Science and Global Challenges of the 21st Century – Innovations and Technologies in Interdisciplinary Applications 3031280857, 9783031280856
This book comprises proceedings of the 2022 International Forum “Science and Global Challenges of the XXI Century”. The
262 34 74MB
English Pages 909 [910] Year 2023
Science and Global Challenges of the 21st Century - Innovations and Technologies in Interdisciplinary Applications (Preface)
Contents
Innovations and Technologies in Interdisciplinary Applications in Linguistics
Knowledge Retrieval by Exploring Correlation Between Texts with Different Genre Perspectives
1 Introduction to Interdisciplinary Research of Clustering and Topic Modelling
2 Background Knowledge of the Project’s Specific Research Areas
3 The Method for Clustering and Topic Modelling of Texts
4 Results of Clustering and Topic Modelling of Texts
4.1 Revealing Latent Topics in the Scientific Text
4.2 Revealing Latent Topics in the Historical Novel
4.3 Penetrating the Historical Part of the Science Fiction Novel
5 Discussion of the Clustering and Topic Modelling Results for Linguistics and Knowledge Mediation
6 Conclusion
References
Corpus-Oriented Comparative Analysis of Metastructures in English Scientific and Technical Dis-course
1 Introduction
2 Materials and Methods
3 Results
4 Discussion
References
Construction and Comparison of Additive Mathematical Models for Ranking CVs by the Degree of Compliance with the Requirements of the Vacancy
1 Introduction
2 The Task of Ranking CVs
3 Description of Mathematical Models
3.1 Assumptions of Mathematical Models
3.2 The Additive Mathematical Model for Ranking CVs Without Synonyms
3.3 The Additive Mathematical Model for Ranking CVs with Synonyms
4 Determination of Fitting Coefficients
4.1 Finding a Formula for Calculating Fitting Coefficients
4.2 Calculation of Fitting Coefficients for Each Model
5 Metrics for Assessing the Quality of Ranking
5.1 Existing Metrics
5.2 Metric Top
6 Evaluating the Quality of Mathematical Models
7 Results
References
Pandemic Crisis Management Programs at Saudi Universities: Current Status and Future Perspectives
1 Introduction
2 Methodology
2.1 Study Population
2.2 Data Collection and Analysis
3 Results
4 Discussion
5 Recommendations
References
Terminology Transfer in the Field of Bioethics of Assisted Reproductive Technologies
1 Introduction
2 Methodology
3 Results
4 Discussion and Conclusion
References
Metaphors as a Tool for Identifying University Students’ Perceptions of English Lesson
1 Introduction
2 Research Statement
3 Methodology
3.1 Project 1
3.2 Project 2
4 Results
5 Discussion
References
Modality of Doubt and Certainty in Contemporary Russian Scientific Texts
1 Introduction
2 Material and Methodology
3 Results and Discussion
3.1 Stereotype Units with Semantics of Doubt and Certainty and Their Application in Scientific Texts
3.2 The Interpretation of Quantitative Data
4 Conclusion
References
Тhe Role of Scientific Intuition in the Text
1 Introduction
2 Theoretical Review
3 Methodology
4 Results and Discussion
5 Conclusion
References
Grammar Terms Classifications in an English Classroom for Future Engineers
1 Introduction
2 Materials and Methods
3 Experiment
4 Results
5 Discussion
6 Conclusion
References
Contemporary Modification of Interdisciplinary Scientific Knowledge
1 Introduction
2 Theoretical Review
3 Results and Discussion
3.1 Analysis of Linguistic Sciences
3.2 Analysis of Historical Sciences
3.3 Analysis of Historical Disciplines
3.4 Analysis of Linguistic Disciplines
3.5 Interpretation of the Results
4 Conclusion
References
Evidential Text Units in Russian Research Articles
1 Introduction
2 Theoretical Review and Methods
2.1 General Views on Evidentiality
2.2 Evidentiality in Academic Discourse
3 Results and Discission
4 Conclusion
References
Integrated Approach in Naming of Companies (Economical, Linguistical, Juridical and Educational Issues)
1 Introduction
2 Theoretical Issues
2.1 Economical Basis in Company Naming
2.2 Juridical Basis in Company Naming
2.3 Linguistic Basis in Company Naming
2.4 Educational Basis in Company Naming
3 Practical Part
3.1 Juridical Analyses of the Company Naming
3.2 Linguistic Peculiarities in the Company Naming
4 Conclusion
Appendix 1
References
Cohesion and Coherence of a Text as a Translation Problem
1 Introduction
2 Literary Review
2.1 Clarification of Terminological Definitions
3 Text Analysis and Translation
3.1 Summary of the Poem
3.2 Structure and Form
3.3 Translation Quest
4 Conclusion
Appendix
References
Cognitive and Pragmatic Aspects of Grammatical Lacunarity
1 Introduction
2 Materials and Methods
3 Discussion
4 Results
5 Conclusions
References
The Linear Metaphor as the Embodied Basis of Moral Philosophical Discourse: Changing Terms in the 17th Century
1 Introduction
2 Embodied Cognition Through a Tradition of Representing Moral Vocabulary in Moral Discourse
3 The Origins of Linearity Behind Morality
4 The Linguistic or Conceptual Shift Behind the Lexical Frequency
5 Conclusion
References
British Fiction in CLIL Methodological Approach at Tertiary Level of Education
1 Introduction
2 Methodology
2.1 Content and Language Integrated Learning (CLIL)
3 Research
4 Analysis
5 Discussion
6 Conclusion
References
At the Crossroads of Mythological and Technological: A Case of Cognitive Linguistic Analysis of EXCALIBUR in Advertising Discourse
1 Introduction
2 Arthurian Myth in Advertising: The Background and Conceptual Analysis
3 The Dynamics of Advertising: Exploiting the Embedded Frames
4 Advertising Exploiting Static Conceptual Characteristics
5 Conclusion
References
Genres of Professional Discourse in the Interdisciplinary and Methodological Context
1 Introduction
2 Literature Review
3 Methodology
4 Results and Discussion
4.1 Genres of Pedagogical Discourse
4.2 Genres of Legal Discourse
4.3 Genres of Medical Discourse
4.4 Genres of Military Discourse
4.5 Interdisciplinary Genre of Report
5 Conclusion
References
Innovations and Technologies in Interdisciplinary Applications in Geosciences
The Application of Innovative Geophysical Technologies for the Creation of Geographic Information Systems for Underwater Archaeological Sites
1 Introduction
2 Remote Methods of Underwater Archaeology
3 Marine Geophysical Research of Underwater Archaeological Sites of Chersonesos
4 Work Results Analysis
5 GIS Creation Based on Underwater Archaeological and Geophysical Research
6 Conclusion
References
Hydrodynamic Modeling of the Winter Runoff of the Upper Kama
1 Introduction
2 Materials and Methods
3 Results and Discussion
4 Conclusion
References
Prediction of Street Icing Using Artificial Neural Network
1 Introduction
2 Dataset
3 Methodology
3.1 Augmentation
3.2 Complex Model
3.3 Lightweight Model for Future Predictions
4 Results
4.1 Evaluation Metrics
4.2 Evaluation of Augmentation
4.3 Complex Model Evaluation
4.4 Lightweight Model Evaluation
5 Conclusion
Appendix
References
Mineral Associations of Permian Sandstones in the Pre-Kama Region
1 Introduction
2 Previous Research
3 Methods of Investigation
4 Results of Investigation
5 Conclusions
References
Landscape and Aesthetic Evaluation of the Riverine Ecotone of the Vyatka in the Area of Atarskaya Luka
1 Introduction
2 Methodology and Research Methods
3 Research Objects and Results
4 Conclusion
References
Innovative Geophysical Techniques for Permanent Type Completion and Long-Term Operating Monitoring of Oil-And-Gas Wells
1 Introduction
2 Integrated Long-Term Producer Monitoring Technique
3 Survey Data Estimation
4 Developing the Flow Logging System
5 Experimental Studies of the Flow Logging System
6 Conclusion
References
Disposition of Industrial Effluent in Paleokarst Earth Enterior
1 Introduction
2 Methods
3 Results
4 Discussion
5 Conclusions
References
Fracture Capacity Model Based on Geology and Production Data
References
The Study of the Perception of the Tourist and Recreation Space of the Region by Textual Data Analysis Method
1 Introduction
2 Literature Review
3 Material and Methods
4 Findings
5 Discussion
6 Conclusion
References
Russian Industrial Heritage: Opportunities of Its Conversation and Development in the Ural Region
1 Introduction
1.1 The Urals Region as Part of Russian: Issues and Industrial Heritage
1.2 Railways and the Cultural Development of Regions
2 Objects, Data and Methods
3 Results and Discussion
3.1 Technical Differences of the Routes
3.2 Heritage Potential of the Retro Trail Train Stations
4 Conclusions
References
Long-Term Forecast of Seasonal Hydrometeorological Phenomena on the Example of Spring Types
1 Introduction
2 Research Tasks
3 Research Information Base
4 Methodic
5 Main Results
6 Conclusions
References
Interaction of Circulation Structures in the Northern Hemisphere
1 Introduction
2 Objects, Data and Methods
3 Results and Discussion
4 Conclusions
References
Resource Potential of Technogenic-Mineral Formations of Santo Tomas II Gold-Copper-Porphyry Deposit (Philippines)
1 Introduction
2 Geological Features
2.1 Geological and Structural Position
2.2 Material Composition of Ores
3 Technology of Ore Development and Processing
4 Technogenic Mineral Formations
5 Conclusion
References
Delimiting the Big Centre of a Millionaire City: Uniqueness of the City of Perm
1 Introduction
2 Materials and Methods
3 Results
4 Conclusion
References
Hydrogeochemical Assessment of Groundwater Conditions and Delineation of the Influence Zone of a Waste Disposal Facility in the Kirovo-Chepetskiy Industrial Area
1 Introduction
2 Region of Interest
3 Objects of Negative Impact
4 Hydrogeological Conditions
5 Hydrogeochemical Characteristics
6 Determination of the Influence Zone
7 Conclusion
References
Changes in Terrestrial Organic Matter Input to the Western Kolchumskaya Anticlinal, During the Jurassic
1 Introduction
2 Site and Sample Selection
3 Analytical Methods
4 Results and Discussion
4.1 Biomarker Abundance
4.2 Distributions of n-alkane
5 Conclusions
References
Intraday Dynamics of the Urban Population in Studies of Natural and Man-Made Risks (Case Study of Moscow, Russia)
1 Introduction
2 Empirical Methodology
3 Typology of Moscow Municipalities According to Temporal Characteristics of Daily Population Dynamics
4 Results and Discussion
5 Findings
References
Territory and Space in Modern Geographical Reality
1 Introduction
2 Materials and Methods
3 Results
4 Discussion
5 Findings
References
Innovations and Technologies in Interdisciplinary Applications in Biosciences
Memory CD4+ T-cells in HIV-Infected Immunological Nonresponders are Prone to Apoptosis When Cycling
1 Introduction
2 Materials and Methods
2.1 Patients
2.2 Plasma Samples for HIV Viral Load Testing
2.3 Blood Samples for T-cell Phenotyping
2.4 Monoclonal Antibodies and Fluorescent Dyes
2.5 Flow Cytometry
2.6 Microarray
2.7 Statistical Analysis
3 Results and Discussion
3.1 Clinical Groups
3.2 In INRs, the Majority of Cycling CD4+ T-lymphocytes is Memory Cells
3.3 In INRs, Cycling Memory CD4+ T-cells Exhibit a Pro-apoptotic Gene Expression Profile
3.4 In HIV-Infected Subjects, Apoptosis of Cycling Memory CD4+ T-cells is Linked to CD4+ T-lymphopenia
References
Effects of Monoacyltrehalose Biosurfactant from Rhodococcus ruber on the in vivo Production of IL-2, IL-4, IFN-γ, IL-17
1 Introduction
2 Materials and Methods
2.1 Extraction and Purification of MAT Biosurfactant Fraction
2.2 Cytokine Production Assessment
3 Results and Discussion
4 Conclusion
References
Prussian Blue Nanoparticles in Dot Blot Assay
1 Introduction
2 Materials and Methods
2.1 Reagents and Instrumentation
2.2 Synthesis of Prussian Blue Nanoparticles (PBNP) Coated with Gelatin B by the Reductive Approach
2.3 Synthesis of Prussian Blue Nanoparticles by the Reductive Approach with Different Size
2.4 Functionalization of Prussian Blue Nanoparticles with Streptavidin
2.5 Dot Blot Assay for the Direct Bi-BSA Detection
2.6 Size and Absorbance Measurement
2.7 Data Analysis
3 Results and Discussion
4 Conclusions
References
Hormone-Dependent Reprogramming of NK Cell Functions in the Aspect of Pregnancy
1 NK Phenotype Changes in the Aspect of Pregnancy
2 Leptin as a Regulator of NK Functions in the Aspect of Pregnancy
3 Ghrelin Modulates of Functional Activity of NK During Pregnancy
4 Role of Estriol in Control of NK Functions at Pregnancy
5 Kisspeptin Regulates NK Functions in the Aspect of Pregnancy
6 Conclusion
References
Effect of Graphene Oxide Nanoparticles on the Differentiation of Th1/Th2/Th9 Subpopulations of T Helper Cells Under Pro-inflammatory Conditions
1 Introduction
2 Materials and Methods
2.1 GO Nanoparticles
2.2 T Helper Cultures
2.3 Flow Cytometry
3 Results and Discussion
4 Conclusion
References
Alarmone Synthesis Inhibition as a New Strategy for Tuberculosis Treatment
1 Introduction
2 The Stringent Response
3 Alarmone Synthetase Inhibitors
3.1 Relacin and Its Analogues
3.2 Vitamin C
3.3 X9
3.4 DMNP
4 Molecular Docking of (p)ppGpp Synthetase Inhibitors
5 Conclusion
References
Evaluation of Nest Building Behavior of Alzheimer’s Disease 5xFAD Animal Model
1 Introduction
2 Materials and Methods
2.1 Animals and Conditions of Detention
2.2 Nest Material
2.3 Conditions in the Experiment
2.4 Photoregistration
2.5 Software
2.6 Genotyping
3 Results
4 Discussion
References
Assessment of Gnawing Behavior in 5xFAD Mice
1 Introduction
2 Materials and Methods
2.1 Animal and Animal Welfare Conditions:
2.2 Gnawing Material (Objects of Interest):
2.3 Conditions of the Experiment
2.4 Measurements
2.5 Genotyping
3 Results
4 Discussion
References
Application of Transition Matrices as Selective Descriptors for Behavioral Phenotyping of Young 5xFAD Animals
1 Introduction
2 Methods and Materials
2.1 Animals
2.2 Behavioral Measurements
2.3 Genotyping
2.4 Statistical Analysis
3 Results
4 Discussion
References
New Data on the Phylogenetic Diversity of Bacteria and Archaea in Marls of the Verkhnekamsk Salt Deposit (Russia)
1 Introduction
2 Materials and Methods
3 Results and Discussion
3.1 Sample Characteristics
3.2 Archaeal Diversity Based on 16S rRNA Gene
3.3 Bacterial Diversity Based on 16S rRNA Gene
4 Conclusion
References
The Expression of Escherichia coli DNA-Binding Protein StpA upon Normal Conditions and Stress Exposure
1 Introduction
2 Materials and Methods
2.1 Strains and Growth Media
2.2 Construction of the Translational StpA::LacZ Reporter Fusion
2.3 β-Galactosidase Assay
2.4 Real Time RT-PCR
2.5 SDS-PAGE and MALDI
2.6 Statistical Analysis
3 Results
3.1 The Expression of StpA on the Translational Level in Rich and Defined Media
3.2 The Expression of StpA on the Translational Level upon the Osmotic Shock and the Nitrogen Starvation
3.3 The Polyamine Effects on the StpA Expression
4 Conclusion
References
Changes in Physiological Parameters of Escherichia coli During Antibiotic-Induced Stress Response
1 Introduction
2 Materials and Methods
3 Results
3.1 Antibiotic-Induced Changes in Specific Growth Rate and Survival
3.2 Effect of Antibiotics on Oxygen Consumption and Membrane Potential
3.3 Antibiotic-Induced Changes in GSH Levels and H2S Production
4 Discussion
References
Generation of Human Myeloid-Derived Suppressor Cells from CD11b+ Cells in Vitro
1 Introduction
2 Materials and Methods
2.1 Object of Study
2.2 Cell Culture
2.3 Flow Cytometry
2.4 Gating Tactics
3 Results and Discussion
3.1 Development of an Experimental Scheme for the Production of MDSC in Vitro
3.2 Selection of Cytokines
4 Conclusion
References
Leptin-Primed Thymic Dendritic Cells Influence on CD4 and CD8 Expression on γδ TCR+ Thymocytes in vitro
1 Introduction
2 Materials and Methods
2.1 Patient Sample
2.2 Cell Isolation and in vitro Culture
2.3 Flow Cytometry
2.4 Statistical Analysis
3 Results
4 Discussion
References
Escherichia Coli LEGM-18 and ŽP Strains: Biological Properties Associated with Probiotic Potential
1 Introduction
2 Materials and Methods
2.1 Bacterial Strains
2.2 Bacterial Cells Surface Hydrophobicity
2.3 Specific Adhesion
2.4 Antagonistic Activity
2.5 Determination of Resistance to Biological Fluids
2.6 Statistical Analysis
3 Results
3.1 Cell Surface Hydrophobicity and Specific Adhesion
3.2 Antagonistic Activity
3.3 Resistance to Biological Fluids
4 Discussion
5 Conclusion
References
Glycodelin Effect on the Spleen State in Case of Allogenous Bone Marrow Cell Transplantation in the in Vivo Experiment
1 Introduction
2 Materials and Methods
2.1 Research Objects
2.2 Histological Examination
2.3 Immunohistochemistry
2.4 Statistical Analysis
3 Results and Discussion
References
Estriol Role in Multiple Sclerosis (Mini-review)
1 Introduction
2 Estriol in Regulation of EAE in Mice
3 Estriol Regulates MS Severity in Human
4 Estriol in Regulation of Immune Cells Function (in Vitro Studies)
5 Conclusion
References
Features of the Functional Activity of MSC in the Presence of Heparin in Modeling the Mechanisms of Osteointegration Under in Vitro Cultivation
1 Introduction
2 Methods
3 Results
4 Discussion
5 Conclusion
References
Innovations and Technologies in Interdisciplinary Applications in Historical and Social Sciences
Creation the Digital Model of the Philosopher Immanuel Kant’s House in Königsberg
1 Introduction
2 Materials and Methods
2.1 Related Studies
2.2 Reconstruction Methods and Technologies: Software
2.3 The Reconstruction of I. Kant’s Objects, Personal Belongings and Furniture
2.4 Interior Items Placement in the Room Space
3 Results. Kolor Panotour Pro is Chosen as the Platform for Developing a Virtual Tour
4 Conclusions
References
The Problem of Arrears in the Poll Tax of Local Provincial Offices in Prikamye in the 18th Century
1 Introduction
2 Theoretical Observations About the Poll Tax
3 Problems of Calculating the Tax Base
4 Sources of Material
5 The Number of Taxpayers
6 Results
References
The Image of the Siberian Army in the Press (Based on Articles in Svobodnaya Perm, Sovremennaya Perm and Otechestvo Newspapers)
1 Introduction
2 Materials and Methods
3 Results and Discussion
3.1 The Image of the Siberian Army
3.2 Stylistic Devices Used for Constructing the Images of the Siberian Army and Its Rear
4 Conclusion
Sources
References
Women’s Agenda in Political Protests: A Cross-National Analysis
1 Introduction
2 Public Protests: Theoretical Foundations and Empirical Methods of the Study
3 Protest Actions on Women’s Issues in 2017–2021: The Database Analysis
4 Conclusions
References
Social Portrait of Female Parliamentarians: A Cross-National Analysis
1 Introduction
2 Framing the Portrait of a Female Deputy
2.1 Age, Family Status and Religious Beliefs
2.2 Educational and Professional Trajectory of a Female Deputy
2.3 Female Deputies in Party Hierarchy and Party Politics
3 Conclusions
References
Personality Features and Destructive Behavior of Students with Various Cyberbullying Experiences
1 Introduction
2 Objects and Methods
3 Results and Discussion
4 Conclusion
References
Technogenic Subjectivity and Its Social Projections
1 Introduction
2 Approaches and Methods
3 Results and Discussion
3.1 Affectated Sensuality
3.2 Spatial and Time Characteristics of Perception
3.3 Correlation Between Productive and Reproductive Imagination
3.4 Unity of Consciousness
References
Ethical-Legal-Technical Challenges for Lawyers and Their Clients with the Internet of Things
1 Introduction
2 Promoting Safe Use of IoT
3 Is There Techno-Caution or Techno-Fear?
4 Ethics Questions: Competence, Confidentiality and Beyond
5 IoT and the Information Polity
5.1 Risks and Challenges from the Internet of Things
5.2 Competency and IoT- Analysis of Extant Litigation and Case Decisions
6 Conclusion
References
Innovations and Technologies in Interdisciplinary Applications in Economics
The Efficiency Assessment Methodic of Expenses Budget Financing on the Chemicals Acquisition by Agricultural Producers
1 Introduction
2 Research Results
3 Discussion
4 Conclusion
References
Position and Role of Business in Economic Security System as in the Case of the Russian Federation
1 Introduction
2 Methodology
3 Research Results and Discussion
3.1 Entrepreneurial Activity by Type
3.2 Evaluation of Sanctions for Entrepreneur Activity in Russia
4 Conclusions
References
Retention of Provider Clients with Variable Quality of Communication Services
1 Introduction
2 Materials and Methods
3 Results
3.1 The Loyalty of B2C Customers of a Telecommunications Company in Conditions of Unstable Quality of Services
3.2 The Loyalty of B2B Customers of a Telecommunications Company in Conditions of Unstable Quality of Services
4 Discussion
5 Conclusion
References
The Role of Local Self-Government in Solving Socio-economic Problems
1 Introduction
2 Materials and Methods
3 Results
4 Discussion
5 Conclusions
References
Transformation of Event Marketing in the Educational Environment
1 Introduction
2 Methods
3 Results
4 Discussion
5 Conclusion
References
Geomarketing in the Placement of Retail in the Development of a Million-Plus City (on the Example of a Regional Retail in Russia, Perm)
1 Introduction
2 Background
2.1 Overview of Models of Placement of Commercial Objects
2.2 Overview of Geomarketing Platforms
3 Methodology
4 Results
4.1 Geomarketing Analysis of Kirovsky District, Perm
4.2 In-Network Comparative Analysis of Retail of the Research Object
4.3 Marketing Research of the Demographic Composition of the District
5 Discussion
6 Conclusion
References
Human Resources Management in an Innovation-Oriented Company: Development Drivers
1 Introduction
2 Materials and Methods
2.1 “What Kind of Employees of an Innovation-Oriented Company Will Be Effective in the Future?”
2.2 “How Should the Human Resource Management System Be Formed in Innovation-Oriented Organizations?”
2.3 “What is Needed to Form an Innovative Potential of Employees Which Will Be Ready for Implementation at the Right Time and Will it Be Sufficient for Innovations?”
2.4 «Where are the Drivers of the Innovative Potential of Employees?»
2.5 «Transformation of Human Resource Management Processes in an Innovation-Oriented Company»
2.6 Methods
3 Results
4 Discussions
References
Estimate of the Impact of Trade Sanctions on the Russian Financial Markets
1 Introduction
2 Data and Methodology
2.1 Data Description
2.2 Methodology
3 Results
4 Discussion
5 Conclusion
References
Organizational Mechanism for Managing Equipment Import Costs Based on Optimization of Auxiliary Business Processes of the Enterprise
1 Introduction
2 Materials and Methods
3 Results
4 Discussion
5 Conclusion
References
The Growth of Appreciation of Distance Learning Among Students in Russia During New Waves of the COVID-19 Pandemic
1 Introduction
2 Materials and Methods
3 Results
4 Discussion
5 Conclusions
References
Technologies and Innovations in the Assessment of Integration Processes in the Higher Education Market in Russia and China
1 Introduction
2 Materials and Methods
3 Discussion
4 Conclusion
References
The Influence of the Shadow Economy on the Integrated Security of the Enterprise
1 Introduction
2 Methodology
3 Results
4 Discussion
References
Problem of Updating Economic Indicators of Enterprise Sustainable Development
1 Introduction
1.1 Methodological Trends in Implementation of Sustainable Development Goals
1.2 Strategic Challenges in Implementing the Sustainable Development Goals at the Enterprise Level
2 Methodology
2.1 Basic Approaches to Assessing Sustainable Development Factors
2.2 Overview of Approaches to Identifying Relationships Between Sustainability Assessment Parameters and Business Performance
2.3 Methodology for Selecting Cluster Analysis Indicators
3 Results
4 Discussion
5 Conclusion
References
Development of Production, Technology and Accounting: Interrelation and Interdependence
1 Introduction
2 Methods
3 Research
3.1 The Content and Technique of Accounting at the Beginning of the XVIII Century
3.2 The Content of Accounting in Modern Conditions of Engineering and Technology
4 Results
References
Market Drivers of the Ruble Dollar Market
1 Introduction
2 Data and Methodology
2.1 Data Description
2.2 Methodology
3 Results
4 Discussion
5 Conclusion
References
Comparison of Long and Short Memory Models for Returns Forecasting in the Formation of Investment Portfolios of Two Assets
1 Introduction
2 Related Works
3 Methods
3.1 Prediction-Based Portfolio Model
3.2 Long Memory Model ARFIMA
4 Research Data and Methodology
5 Results and Discussion
6 Conclusion
References
System and Agglomeration Approach to Industrial Cluster and Region Interplay
1 Introduction
2 Materials and Methods
3 Results
4 Conclusion
References
Author Index
Recommend Papers
![Materials Science and Technology: Challenges for the Chemical Sciences in the 21st Century [1 ed.]
9780309516846, 9780309085120](https://ebin.pub/img/200x200/materials-science-and-technology-challenges-for-the-chemical-sciences-in-the-21st-century-1nbsped-9780309516846-9780309085120.jpg)
- Author / Uploaded
- Ekaterina Isaeva
- Álvaro Rocha
- Similar Topics
- Science (general)
- International Conferences and Symposiums
File loading please wait...
Citation preview
Lecture Notes in Networks and Systems 622
Ekaterina Isaeva Álvaro Rocha Editors
Science and Global Challenges of the 21st Century – Innovations and Technologies in Interdisciplinary Applications
Lecture Notes in Networks and Systems
622
Series Editor Janusz Kacprzyk, Systems Research Institute, Polish Academy of Sciences, Warsaw, Poland
Advisory Editors Fernando Gomide, Department of Computer Engineering and Automation—DCA, School of Electrical and Computer Engineering—FEEC, University of Campinas—UNICAMP, São Paulo, Brazil Okyay Kaynak, Department of Electrical and Electronic Engineering, Bogazici University, Istanbul, Türkiye Derong Liu, Department of Electrical and Computer Engineering, University of Illinois at Chicago, Chicago, USA Institute of Automation, Chinese Academy of Sciences, Beijing, China Witold Pedrycz, Department of Electrical and Computer Engineering, University of Alberta, Alberta, Canada Systems Research Institute, Polish Academy of Sciences, Warsaw, Poland Marios M. Polycarpou, Department of Electrical and Computer Engineering, KIOS Research Center for Intelligent Systems and Networks, University of Cyprus, Nicosia, Cyprus Imre J. Rudas, Óbuda University, Budapest, Hungary Jun Wang, Department of Computer Science, City University of Hong Kong, Kowloon, Hong Kong
The series “Lecture Notes in Networks and Systems” publishes the latest developments in Networks and Systems—quickly, informally and with high quality. Original research reported in proceedings and post-proceedings represents the core of LNNS. Volumes published in LNNS embrace all aspects and subfields of, as well as new challenges in, Networks and Systems. The series contains proceedings and edited volumes in systems and networks, spanning the areas of Cyber-Physical Systems, Autonomous Systems, Sensor Networks, Control Systems, Energy Systems, Automotive Systems, Biological Systems, Vehicular Networking and Connected Vehicles, Aerospace Systems, Automation, Manufacturing, Smart Grids, Nonlinear Systems, Power Systems, Robotics, Social Systems, Economic Systems and other. Of particular value to both the contributors and the readership are the short publication timeframe and the world-wide distribution and exposure which enable both a wide and rapid dissemination of research output. The series covers the theory, applications, and perspectives on the state of the art and future developments relevant to systems and networks, decision making, control, complex processes and related areas, as embedded in the fields of interdisciplinary and applied sciences, engineering, computer science, physics, economics, social, and life sciences, as well as the paradigms and methodologies behind them. Indexed by SCOPUS, INSPEC, WTI Frankfurt eG, zbMATH, SCImago. All books published in the series are submitted for consideration in Web of Science. For proposals from Asia please contact Aninda Bose ([email protected]).
Ekaterina Isaeva · Álvaro Rocha Editors
Science and Global Challenges of the 21st Century – Innovations and Technologies in Interdisciplinary Applications
Editors Ekaterina Isaeva Perm State University Perm, The Perm Area, Russia
Álvaro Rocha ISEG University of Lisbon Lisbon, Portugal
ISSN 2367-3370 ISSN 2367-3389 (electronic) Lecture Notes in Networks and Systems ISBN 978-3-031-28085-6 ISBN 978-3-031-28086-3 (eBook) https://doi.org/10.1007/978-3-031-28086-3 © The Editor(s) (if applicable) and The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 This work is subject to copyright. All rights are solely and exclusively licensed by the Publisher, whether the whole or part of the material is concerned, specifically the rights of translation, reprinting, reuse of illustrations, recitation, broadcasting, reproduction on microfilms or in any other physical way, and transmission or information storage and retrieval, electronic adaptation, computer software, or by similar or dissimilar methodology now known or hereafter developed. The use of general descriptive names, registered names, trademarks, service marks, etc. in this publication does not imply, even in the absence of a specific statement, that such names are exempt from the relevant protective laws and regulations and therefore free for general use. The publisher, the authors, and the editors are safe to assume that the advice and information in this book are believed to be true and accurate at the date of publication. Neither the publisher nor the authors or the editors give a warranty, expressed or implied, with respect to the material contained herein or for any errors or omissions that may have been made. The publisher remains neutral with regard to jurisdictional claims in published maps and institutional affiliations. This Springer imprint is published by the registered company Springer Nature Switzerland AG The registered company address is: Gewerbestrasse 11, 6330 Cham, Switzerland
Science and Global Challenges of the 21st Century Innovations and Technologies in Interdisciplinary Applications (Preface)
The volume comprises the proceedings of the International Perm Forum “Science and Global Challenges of the 21st Century”. The 2022 collection is devoted to Innovations and Technologies in Interdisciplinary Applications, including linguistics, biosciences, geosciences, economics, and historical and social sciences. The Forum’s main goal is to discuss the tasks and problems faced by science and education and the whole society in the context of globalisation of civilisation processes on the planet. The Forum also aims to find solutions and paths for implementing potentials, fighting threats, and controlling risks. Global challenges, which determine the main trends in the development of the social and economic life of humanity in the XXI century, require the integration of efforts of specialists in various fields of knowledge, production, and economy. That is why the main principle of the Forum’s program is interdisciplinarity, the formation of end-to-end innovation chains: fundamental and applied research, technology development, implementation, and wide application of networks and systems. The volume covers a wide range of knowledge-communication methodologies and effective technologies for processing data in various forms and areas. The section “Innovations and Technologies in Interdisciplinary Applications in Linguistics” is aimed at sharing, exchanging, and advancing new ideas, approaches, and innovative technologies in various fields, including but not limited to corpus and computational linguistics. For example, one can be inspired by papers devoted to using additive mathematical models, linguistic corpora, and open-source no-code analytical systems for linguistic categorisation, text ranking, and knowledge retrieval. This section also provides studies of innovative approaches to language teaching and translation studies embedded in the current conditions of the pandemic crisis, using cognitive technologies for translation and language teaching, extending professional networking for teaching methodology improvement, etc. Separately, we consider modern sci-tech trends in terminology studies. The linguistic rubric also covers the features of modern scientific communication with new discursive factors contributing to the specificity of preparation and presentation of scientific knowledge in the XXI century. These include scientific intuition, especially in crossdisciplinary communication, new trends in naming companies, and using myths in technological discourse and advertising. The section “Innovations and Technologies in Interdisciplinary Applications in Geosciences” is to unite researchers of geographical systems and geological research to increase the authority of knowledge and science and to contribute to developing the foundations of rational environmental management. The authors provide their perspectives of fundamental and applied research in geosciences through the prism of innovative technologies.
vi
Science and Global Challenges of the 21st Century
A volume of papers is devoted to mineral studies. Several papers comprise unique perspectives on the aesthetic assessment of landscape, analysing tourists’ perception, using the opportunities of employing the industrial heritage for innovative regional development, creating archaeological GIS, and coping with urbanistic tendencies. Innovative interdisciplinary views are provided on hydrodynamic modelling, analysing the paleokarst environment, modelling fracture capacity, forecasting seasonal hydrometeorological phenomena, and using AI to forecast urban threats. Especially valuable in the current period are the papers connected with natural resources and their potentials, e.g. oil and gas wells monitoring, processing, management, and preservation using innovative geophysical techniques. The section “Innovations and Technologies in Interdisciplinary Applications in Biosciences” is aimed at discussing the problems of development of bioinformatics and innovative approaches to analysis, presentation of large data sets in subsoil management, biotechnology (using nanoparticles, behavioural phenotype modelling), biochemistry (effects of different chemicals on the in vivo production of cytokines and T helper cells), biomedicine (new trends in fighting HIV, multiple sclerosis, Alzheimer’s disease, and others, using T-cells, hormone-dependent reprogramming, new TB treatment strategy, analysing physiological reaction on the antibiotic-induced stress response, analysing biological properties associated with probiotic potential), ecology (preserving phylogenetic diversity), as well as the role of IT technologies in the development of these areas. The section “Innovations and Technologies in Interdisciplinary Applications in Historical and Social Sciences” comprises two major themes: Historical and Social. The historical theme focuses on the study and development of modern digital methods, technologies, and tools for implementing scientific and popular science research aimed at preserving and studying historical and cultural heritage and forming a digital humanitarian environment. The papers cover several topics on the junction of history and economics, politics, and military studies. The goal of the social theme is to integrate the efforts of philosophers, psychologists, sociologists, and specialists in the field of cultural studies and organisation of work with young people to discuss issues related to the social and humanitarian dimension of human development, society, and technology on the path to sustainability. This section’s papers are devoted to creating the digital model of philosophers, drawing the social portrait of female parliamentarians, dealing with technogenic subjectivity, its social projections, and ethical–legal–technical challenges of the modern era. The section “Innovations and Technologies in Interdisciplinary Applications in Economics” considers the key aspects of the modern economy, which has entered a phase of global uncertainty. The authors present their vision of the current state and development forecasts in such areas as the global and regional economy (using the potential of self-government and sustainable development), management (specifics of InnovationOriented Company management), marketing and innovation (using variable communication services for client retention, geomarketing), finance (new assessment methodical of expenses budget financing), economic security (role of business and shadow economy in economic security system), and international integration in education (integration
Science and Global Challenges of the 21st Century
vii
processes in the higher education market, appreciation of distance learning during the COVID-19 pandemic). This edition of the Perm Forum “Science and Global Challenges of the 21st Century” is the second to be published in English. In 2021, the Forum proceedings volume was entitled “Science and Global Challenges of the 21st Century - Science and Technology”. Proceedings of the International Perm Forum “Science and Global Challenges of the 21st Century” (https://link.springer.com/book/10.1007/978-3-030-89477-1#toc) comprised 99 papers. The proceedings’ cross-cutting theme was innovations and technologies. The papers covered innovations and smart technologies in computer science, mathematical modelling, geosciences, biology, linguistics, social studies, historical studies, and economics. This collection was a large interdisciplinary project that took about a year to implement. One hundred and thirty-six reviewers from 24 countries evaluated the papers in the double-blind peer-reviewing process. Additionally, all the papers were checked for plagiarism, and the references were checked for potential predatory journals and publishers using Beall’s list https://beallslist.net/standalone-journals/. This Forum is a natural continuation of the forum “Mathematics and Global Challenges of the 21st Century”, held in 2016, and dedicated to the 100th anniversary of the Perm State National Research University. In the jubilee year for the Perm State University (PSU), the Forum became a significant event that attracted many leading scientists from Russia, near and far abroad. Thousands of participants attended symposia, conferences, exhibitions, master classes, round tables, seminars, and open lectures of the Forum from a rigorous international scientific symposium dedicated to differential equations to a digital art exhibition and a robotics championship. Until 2021, the Forum proceedings were published in Russian. The volume might interest researchers working at the interface of disciplines, such as e-learning, digital humanities, computational linguistics, cognitive studies, GIS, digital geography, machine learning, and others. It can also be a valuable source of information for Bachelor and Master students with open curricula or majors and minors who seek to find a balance between several fields of their interest. Ekaterina Isaeva Álvaro Rocha
Contents
Innovations and Technologies in Interdisciplinary Applications in Linguistics Knowledge Retrieval by Exploring Correlation Between Texts with Different Genre Perspectives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Ekaterina Isaeva, Oksana Manzhula, and Olga Baiburova
3
Corpus-Oriented Comparative Analysis of Metastructures in English Scientific and Technical Dis-course . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Irina A. Anashkina and Inna I. Konkova
29
Construction and Comparison of Additive Mathematical Models for Ranking CVs by the Degree of Compliance with the Requirements of the Vacancy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Irina Tregubova and Yuriy Sharapov Pandemic Crisis Management Programs at Saudi Universities: Current Status and Future Perspectives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Reima Al-Jarf Terminology Transfer in the Field of Bioethics of Assisted Reproductive Technologies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Elena Yakovleva, Svetlana Polyakova, Svetlana Mishlanova, and Michael Losavio Metaphors as a Tool for Identifying University Students’ Perceptions of English Lesson . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Konstantin Klochko, Svetlana Polyakova, Svetlana Snegova, Anatoli Nelubin, and Joseph Lane
42
56
68
76
Modality of Doubt and Certainty in Contemporary Russian Scientific Texts . . . . Elena Bazhenova, Tatiana Karpova, Natalya Solovyova, Anastasiia Chernousova, and Maria Shirinkina
86
The Role of Scientific Intuition in the Text . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Larisa Tikhomirova, Elena Bazhenova, Larisa Kyrkunova, Samoilova Irina, and Ekaterina Petkova
98
x
Contents
Grammar Terms Classifications in an English Classroom for Future Engineers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 109 Ekaterina Ites and Alexandra Alyabeva Contemporary Modification of Interdisciplinary Scientific Knowledge . . . . . . . . 122 Vera Tabanakova, Yuliya Kokorina, and Larisa Fedyuchenko Evidential Text Units in Russian Research Articles . . . . . . . . . . . . . . . . . . . . . . . . . 135 Sergei Grichin and Olga Ulyanova Integrated Approach in Naming of Companies (Economical, Linguistical, Juridical and Educational Issues) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 144 Tatiana Kudelko and Elizaveta Martyanova Cohesion and Coherence of a Text as a Translation Problem . . . . . . . . . . . . . . . . . 161 Vladimir Medvedev Cognitive and Pragmatic Aspects of Grammatical Lacunarity . . . . . . . . . . . . . . . . 177 Oksana Akay and Nella Trofimova The Linear Metaphor as the Embodied Basis of Moral Philosophical Discourse: Changing Terms in the 17th Century . . . . . . . . . . . . . . . . . . . . . . . . . . . . 188 Anastasia Sharapkova and Larissa Manerko British Fiction in CLIL Methodological Approach at Tertiary Level of Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 205 Maria Firstova, Oksana Manzhula, and Boris Proskurnin At the Crossroads of Mythological and Technological: A Case of Cognitive Linguistic Analysis of EXCALIBUR in Advertising Discourse . . . . . . . . . . . . . . . 213 Anastasia Sharapkova Genres of Professional Discourse in the Interdisciplinary and Methodological Context . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 227 Nataliya Kolesnikova and Yuliya Ridnaya Innovations and Technologies in Interdisciplinary Applications in Geosciences The Application of Innovative Geophysical Technologies for the Creation of Geographic Information Systems for Underwater Archaeological Sites . . . . . . 237 Vladimir V. Glazunov, Andrey A. Bukatov, Viktor V. Vakhoneev, and Vadim V. Panchenko
Contents
xi
Hydrodynamic Modeling of the Winter Runoff of the Upper Kama . . . . . . . . . . . 249 Sergey Rusakov, Vitaly Kalinin, Elena Chingayeva, and Adeliya Shaydulina Prediction of Street Icing Using Artificial Neural Network . . . . . . . . . . . . . . . . . . . 259 Anton Vakorin Mineral Associations of Permian Sandstones in the Pre-Kama Region . . . . . . . . . 269 Boris Osovetsky Landscape and Aesthetic Evaluation of the Riverine Ecotone of the Vyatka in the Area of Atarskaya Luka . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 281 A. M. Prokashev and S. A. Pupysheva Innovative Geophysical Techniques for Permanent Type Completion and Long-Term Operating Monitoring of Oil-And-Gas Wells . . . . . . . . . . . . . . . . 293 V. I. Kostitsyn, A. D. Savich, A. V. Shumilov, A. P. Laptev, and D. G. Khalilov Disposition of Industrial Effluent in Paleokarst Earth Enterior . . . . . . . . . . . . . . . . 302 Sergey Kostarev, Yuriy Yakovlev, Vladimir Shatov, Maksim Yakovlev, Andrey Yakovlev, and Gleb Kostarev Fracture Capacity Model Based on Geology and Production Data . . . . . . . . . . . . 318 Aleksandr Nekrasov The Study of the Perception of the Tourist and Recreation Space of the Region by Textual Data Analysis Method . . . . . . . . . . . . . . . . . . . . . . . . . . . . 334 Evgeny V. Konyshev, Azat A. Safarian, Alevtina A. Veprikova, Anna V. Shpengler, Yulia A. Kolesova, and Alyona I. Smetanina Russian Industrial Heritage: Opportunities of Its Conversation and Development in the Ural Region . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 347 Anisya Lyadova Long-Term Forecast of Seasonal Hydrometeorological Phenomena on the Example of Spring Types . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 362 S. V. Morozova, E. A. Polyanskaya, and M. A. Alimpieva Interaction of Circulation Structures in the Northern Hemisphere . . . . . . . . . . . . . 370 S. V. Morozova, E. A. Polyanskaya, and M. A. Alimpieva Resource Potential of Technogenic-Mineral Formations of Santo Tomas II Gold-Copper-Porphyry Deposit (Philippines) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 378 Vitaliy Goldyrev, Vladimir Naumov, and Ulyana Kovyrzina
xii
Contents
Delimiting the Big Centre of a Millionaire City: Uniqueness of the City of Perm . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 391 Tatiana Subbotina, Sergey Merckushev, Vlad Karabatov, and Ludmila Kochetkova Hydrogeochemical Assessment of Groundwater Conditions and Delineation of the Influence Zone of a Waste Disposal Facility in the Kirovo-Chepetskiy Industrial Area . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 400 Oksana V. Kletskina, Pavel A. Krasilnikov, and Olga Yu. Meshcheriakova Changes in Terrestrial Organic Matter Input to the Western Kolchumskaya Anticlinal, During the Jurassic . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 409 Pavel Popov and Ivan Khopta Intraday Dynamics of the Urban Population in Studies of Natural and Man-Made Risks (Case Study of Moscow, Russia) . . . . . . . . . . . . . . . . . . . . . . 417 Roman Babkin, Svetlana Badina, and Alexander Mikhaylov Territory and Space in Modern Geographical Reality . . . . . . . . . . . . . . . . . . . . . . . 428 T. A. Balina, R. S. Nikolaev, K. S. Osorgin, M. A. Pospishenko, V. A. Stolbov, and L. Yu. Chekmeneva Innovations and Technologies in Interdisciplinary Applications in Biosciences Memory CD4+ T-cells in HIV-Infected Immunological Nonresponders are Prone to Apoptosis When Cycling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 437 Evgeniya Saidakova, Larisa Korolevskaya, and Konstantin Shmagel Effects of Monoacyltrehalose Biosurfactant from Rhodococcus ruber on the in vivo Production of IL-2, IL-4, IFN-γ, IL-17 . . . . . . . . . . . . . . . . . . . . . . . 444 Sergey V. Gein, Julia D. Yuzhaninova, Maria S. Kuyukina, and Irina B. Ivshina Prussian Blue Nanoparticles in Dot Blot Assay . . . . . . . . . . . . . . . . . . . . . . . . . . . . 450 M. D. Kropaneva Hormone-Dependent Reprogramming of NK Cell Functions in the Aspect of Pregnancy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 460 E. G. Orlova, I. V. Nekrasova, O. L. Gorbunova, I. L. Maslennikova, O. A. Loginova, and S. V. Shirshev
Contents
xiii
Effect of Graphene Oxide Nanoparticles on the Differentiation of Th1/Th2/Th9 Subpopulations of T Helper Cells Under Pro-inflammatory Conditions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 469 S. V. Uzhviyuk, V. P. Timganova, M. S. Bochkova, K. Yu. Shardina, D. I. Usanina, and S. A. Zamorina Alarmone Synthesis Inhibition as a New Strategy for Tuberculosis Treatment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 476 Roman Yu. Sidorov, Ekaterina I. Markelova, and Alexander G. Tkachenko Evaluation of Nest Building Behavior of Alzheimer’s Disease 5xFAD Animal Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 486 Ksenia Sysoeva, Sofia Shirobokova, Eugenia Ahremenko, Danila Apushkin, and Alexander Andreev Assessment of Gnawing Behavior in 5xFAD Mice . . . . . . . . . . . . . . . . . . . . . . . . . 493 Anastasia Ushakova, Ksenia Sysoeva, Ilya Kovalenko, and Danila Apushkin Application of Transition Matrices as Selective Descriptors for Behavioral Phenotyping of Young 5xFAD Animals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 499 Sofia Shirobokova, Anastasia Ushakova, Eugenia Ahremenko, Ilya Kovalenko, and Alexander Andreev New Data on the Phylogenetic Diversity of Bacteria and Archaea in Marls of the Verkhnekamsk Salt Deposit (Russia) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 507 Ekaterina S. Korsakova, Anna A. Pyankova, Boris A. Bachurin, and Elena G. Plotnikova The Expression of Escherichia coli DNA-Binding Protein StpA upon Normal Conditions and Stress Exposure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 521 Elena A. Khaova and Alexander G. Tkachenko Changes in Physiological Parameters of Escherichia coli During Antibiotic-Induced Stress Response . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 530 Aleksey V. Tyulenev, Galina V. Smirnova, Nadezda G. Muzyka, Zoya Y. Samoilova, and Oleg N. Oktyabrsky Generation of Human Myeloid-Derived Suppressor Cells from CD11b+ Cells in Vitro . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 539 Kseniya Shardina, Valeriya Timganova, Mariya Bochkova, and Sofya Uzhviyuk
xiv
Contents
Leptin-Primed Thymic Dendritic Cells Influence on CD4 and CD8 Expression on γδ TCR+ Thymocytes in vitro . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 548 E. G. Orlova, O. A. Loginova, N. P. Loginova, N. A. Zimushkina, Y. P. Torsunova, and S. V. Shirshev Escherichia Coli LEGM-18 and ŽP Strains: Biological Properties Associated with Probiotic Potential . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 556 Marina V. Kuznetsova, Larisa Yu. Nesterova, Irina L. Maslennikova, Elizaveta V. Afanasevskaya, Valeriy A. Neschislyaev, and Marjanca Starˇciˇc Erjavec Glycodelin Effect on the Spleen State in Case of Allogenous Bone Marrow Cell Transplantation in the in Vivo Experiment . . . . . . . . . . . . . . . . . . . . . . . . . . . . 566 Ya. N. Troynich, N. P. Loginova, N. I. Gulyaeva, S. A. Zamorina, and M. B. Rayev Estriol Role in Multiple Sclerosis (Mini-review) . . . . . . . . . . . . . . . . . . . . . . . . . . . 573 Irina V. Nekrasova and Sergei V. Shirshev Features of the Functional Activity of MSC in the Presence of Heparin in Modeling the Mechanisms of Osteointegration Under in Vitro Cultivation . . . 579 I. K. Norkin, K. A. Yurova, O. G. Khaziahmatova, N. M. Todosenko, V. V. Malashchenko, I. A. Khlusov, and L. S. Litvinova Innovations and Technologies in Interdisciplinary Applications in Historical and Social Sciences Creation the Digital Model of the Philosopher Immanuel Kant’s House in Königsberg . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 591 Elena V. Baranova, Vyacheslav Vereschagin, Denis I. Zherebyatjev, Vitaly N. Maslov, and Svetlana E. Mazanova The Problem of Arrears in the Poll Tax of Local Provincial Offices in Prikamye in the 18th Century . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 604 Anna Kosmovskaya The Image of the Siberian Army in the Press (Based on Articles in Svobodnaya Perm, Sovremennaya Perm and Otechestvo Newspapers) . . . . . . . 616 L. Obukhov, A. Ekhlakova, and D. Renev Women’s Agenda in Political Protests: A Cross-National Analysis . . . . . . . . . . . . 630 Darya Vershinina and Olga Timofeeva Social Portrait of Female Parliamentarians: A Cross-National Analysis . . . . . . . . 638 Darya Vershinina and Ekaterina Burmistrova
Contents
xv
Personality Features and Destructive Behavior of Students with Various Cyberbullying Experiences . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 644 Aleksander Vikhman and Andrey Skorinin Technogenic Subjectivity and Its Social Projections . . . . . . . . . . . . . . . . . . . . . . . . 653 Alexander Vnutskikh and Sergey Komarov Ethical-Legal-Technical Challenges for Lawyers and Their Clients with the Internet of Things . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 669 Michael M. Losavio Innovations and Technologies in Interdisciplinary Applications in Economics The Efficiency Assessment Methodic of Expenses Budget Financing on the Chemicals Acquisition by Agricultural Producers . . . . . . . . . . . . . . . . . . . . 683 D. V. Kondratiev, G. Ya. Ostaev, B. N. Khosiev, O. R. Tegetaeva, and L. V. Basieva Position and Role of Business in Economic Security System as in the Case of the Russian Federation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 696 G. Ya. Ostaev, I. A. Mukhina, D. V. Kondratiev, I. M. Gogolev, I. Yu. Chazova, and O. O. Zlobina Retention of Provider Clients with Variable Quality of Communication Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 708 Ekaterina Antineskul, Viktor Kovalev, and Anir Magasumov The Role of Local Self-Government in Solving Socio-economic Problems . . . . . 725 Elvira Kuznetsova, Ludmila Mkhitaryan, and Alina Mkhitaryan Transformation of Event Marketing in the Educational Environment . . . . . . . . . . 734 Ekaterina Antineskul, Alexandra Lekomtseva, and Mariya Remneva Geomarketing in the Placement of Retail in the Development of a Million-Plus City (on the Example of a Regional Retail in Russia, Perm) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 748 Evgeniia Kerzina, Ekaterina Antineskul, and Lada Patrusheva Human Resources Management in an Innovation-Oriented Company: Development Drivers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 774 Svetlana Sokerina and Anastasiia Sokerina Estimate of the Impact of Trade Sanctions on the Russian Financial Markets . . . 788 Vladislav Rychkov
xvi
Contents
Organizational Mechanism for Managing Equipment Import Costs Based on Optimization of Auxiliary Business Processes of the Enterprise . . . . . . . . . . . . 802 Galina G. Modorskaya and Marina A. Shchelkanova The Growth of Appreciation of Distance Learning Among Students in Russia During New Waves of the COVID-19 Pandemic . . . . . . . . . . . . . . . . . . . 809 Tatyana Alexandrova, Irina Bulgakova, Galina Modorskaya, Elena Borshchevskaya, and Lyudmila Adrakhovskaya Technologies and Innovations in the Assessment of Integration Processes in the Higher Education Market in Russia and China . . . . . . . . . . . . . . . . . . . . . . . . 817 E. V. Chuchulina The Influence of the Shadow Economy on the Integrated Security of the Enterprise . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 828 Tatiana Sheshukova and Aliya Teymurova Problem of Updating Economic Indicators of Enterprise Sustainable Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 835 Elena Lobova, Svetlana Zhukovskaya, Tatiana Pashchenko, Anastasia Appelgants, Nadezhda Lebedeva, and Alexander Mitrofanov Development of Production, Technology and Accounting: Interrelation and Interdependence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 849 Mikhail A. Gorodilov, Nelly N. Shakirova, Tatiana V. Pashchenko, Diana A. Rozhkova, and Tatyana V. Ketova Market Drivers of the Ruble Dollar Market . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 861 Vladislav Rychkov Comparison of Long and Short Memory Models for Returns Forecasting in the Formation of Investment Portfolios of Two Assets . . . . . . . . . . . . . . . . . . . . 873 Robert Garafutdinov System and Agglomeration Approach to Industrial Cluster and Region Interplay . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 883 Dmitry Koshcheev and Tatyana Miroliubova Author Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 899
Innovations and Technologies in Interdisciplinary Applications in Linguistics
Knowledge Retrieval by Exploring Correlation Between Texts with Different Genre Perspectives Ekaterina Isaeva(B)
, Oksana Manzhula , and Olga Baiburova
Perm State University, Perm, Russia [email protected]
Abstract. Clustering and topic modelling are among the most widely used methods for knowledge retrieval in computational linguistics. These methods have many applications in cognitive, discursive, psycholinguistic, and stylistic studies. To date, the application of these methods has mostly been limited to one field per study. This work explores the relationship between different branches of linguistics complementing each other in finding effective, valid, and low-timeconsuming methods for the knowledge mediation methodology. Namely, in this paper, we explore the correlation between texts devoted to the same theme viewed from different genre perspectives. The procedure is carried out on the KNIME analytical platform. We adopted the workflow using the elbow method and Kmeans available on the KNIME hub to determine latent topics in a scientific text, historical novel, and science fiction novel. We reviewed four to five latent topics in each text and provided experts’ reasoning for their relevance. The results reported here provide further evidence for the relevance of genre-specific features in knowledge communication. The data presented here highlight that despite genre specificity, correlations in latent topics are evident and can be applied for mediation purposes. We have obtained encouraging results demonstrating that the interdisciplinary approach enriches our tool base in solving nontrivial tasks. Keywords: Topic Modelling · Genre · Latent Topics · Knowledge Retrieval · KNIME · Clustering · Cluster Analysis · Cognitive Linguistics · Knowledge Mediation
1 Introduction to Interdisciplinary Research of Clustering and Topic Modelling Topic modelling is attracting considerable interest in computational linguistics because of the Method’s multiple applications in cognitive-discursive studies, stylistics, psycholinguistics, etc. in cognitive-discursive studies, topic modelling can contribute to critical discourse analysis, concept framing, metaphorical modelling, and comparing different types of discourses [1]. It is a powerful means of highlighting the semantic structure of texts, “Which can be thought as a representation of knowledge in human cognition” [2]. Topic modelling can deepenour understanding of the discourse. According to T. van Dijk, “in discourse understanding, mental models are the goal of understanding: © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 E. Isaeva and Á. Rocha (Eds.): Perm Forum 2022, LNNS 622, pp. 3–28, 2023. https://doi.org/10.1007/978-3-031-28086-3_1
4
E. Isaeva et al.
we understand a discourse when we are able to construct a mental model for it. The traditional but vague notion of ‘Making sense’ of the text or talk involves the production or actualisation of a mental model” [3, p. 159]. Although we do not equate mental models and topics, we believe topic modelling can be used in retrieving the meaning that lies below the surface of the discourse and has potential in modelling cognitive structures similar to mental models. In stylistics, the method is employed for stylometric research, which is “the statistical analysis of variations in literary style between one writer or genre and another” [4] that can also be applied to other problems in text analysis. These include forensic linguistics, plagiarism detection, chronology studies – observing the developing voice of an author over the years, stylistic inconsistencies in collaborative writing, literary influence, and genre detection [5]. According to M. al-yahya, in the context of information retrieval, genres are as crucial as the content of the text, “as they make documents easy to understand, thus reducing mental effort” [5, p. 2]. In psycholinguistics, topic modelling examines semantic memory and reconstructs various memory representations across contexts [6]. This Study reveals the potential of automated topic modelling for knowledge mediation across different genres. This work explores the relationship between texts belonging to the trojan discourse, i.e. unified by the same theme of the trojan horse embedded in different contexts, namely Information Technology, professional communication, Historical event, and the fantasy world. This work makes an original contribution to specialised knowledge mediation [7] through our focus on topic models, which are known as practical means of uncovering latent topics and dimensions through an abstraction-based mechanism [6]. Throughout this work, topic modelling will represent a method of automatically retrieving latent themes in a text through “A variety of fuzzy clustering performed for words and documents” [8, p. 102]. We will also use the term clustering to designate the unsupervised machine-learning method for exploring the thematic structure of textual data and knowledge retrieval [5]. By clusters, we mean collections of words related to the same topic within one text, which are obtained with the help of a clustering algorithm. The latter refers to a partitioning method dividing the data space into K distinct clusters and assigning all data points to the nearest cluster centres [9]. The term genre will also appear recurrently in the paper. We will follow the definition generated by M. Alyahya, which comprises its key features – a type of communication denoted by a socially accepted purpose and a common form [5, p. 2].
2 Background Knowledge of the Project’s Specific Research Areas Most research on topic modelling and clustering has focused on the technical side of the methodology. The last decade has witnessed an increase in the validating, refining, and developing methods for clustering and topic modelling of textual data. Clustering is an information retrieval task. It helps identify (previously unknown) groups in the data. Clustering can also identify unusual observations from other clusters, such as outliers and noises. A single cluster representative can summarise relatively homogenous data points belonging to the same cluster, enabling data reduction [9]. Unlike categorisation, clusterisation does not involve predefined categories or a training sample. Clusters
Knowledge Retrieval by Exploring Correlation
5
and their relationships are automatically extracted from documents, cluster centres are updated recurrently, and topic words are attached to these clusters. One of the most popular clustering algorithms is K-Means clustering. For more information on clustering and its algorithms, see [9]. In computational linguistics, the method of topic modelling is comprehensively described. According to R. Trad and M. Spiliopoulou, topic modelling is exploited as a dimensionality reduction technique to produce a latent semantic representation, i.e. a low-dimensional representation of texts with latent topics, which is also languageindependent and less noisy [10, p. 304]. The study by A. Anikin et al. [11] has shed more light on reducing the semantic dimension of texts through topic modelling in the framework of distributional semantics. Using word co-occurrence statistics, they employed the Word2vec model, “representing the words as a continuous vector. It also uses continuous bag-of-words and skip-gram models to predict the current word based on the context and maximise the classification of a word based on another word in the same sentence [11, p. 2]. The authors worked with documents distinguished by specific mixtures of topics. Each topic was characterised “by a discrete probability distribution over words: the probability that a specific word is present in a text document depends on the presence of a latent topic” [11, p. 3]. Until recently, determining the number of such latent topics, i.e. clusters, has been a common problem in cluster analysis. The ultimate decision – how many clusters there should be – was made by the user. However, current methods provide solutions to this problem. For instance, R. Trad and M. Spiliopoulou refer to a non-parametric topic model that infers the number of latent topic-based dimensions [10] and A. Dewi and K. Thiel comprehensively describe the elbow method used in their model to decide on the optimal number of clusters [12]. To reduce the number of dimensions in textual data before clustering, the principal component analysis (PCA) is believed to be one of the basic geometric tools. It finds the most informative vectors within a data matrix. “The central idea of PCA is to reduce the dimensionality of a data set consisting of a large number of interrelated variables while retaining as much as possible of the variation present in the data sets” [13, p. 101]. A. Omar explains the main complementary tasks of PCA, which are “organising sets of data and … reducing the number of variables without much loss of information” [13, p. 101]. In cognitive and discursive linguistics, clustering implies the analysis of the units in the cluster and the relationships within them. These can include logical relations (e.g. paradigmatic and syntagmatic) and various aspects of linguistic structure (e.g. wordformation and phonetics). In her paper, N. Nurgalieva identifies four main groups of tasks for cluster analysis: development of typology or classification; exploring applicable conceptual schemes for grouping objects; presenting hypotheses based on the researched data; testing hypotheses or studies to determine whether obtained features or groups are present in available data [14]. However, the most popular linguistic task is cross-lingual generalisation of the concept in question, based on comparing sets of features typical of objects within the same cluster. Another line investigated in our paper concerns the genre specifics of the text. Genre detection is a relatively new task involved in knowledge organisation and retrieval. Genre detection “aims to group and organise texts based on defined similarities … [and] is considered a key step toward automated semantic extraction of metadata” [5, p. 2–3].
6
E. Isaeva et al.
In the broad term, genre refers to any work that shares specific characteristics defined by its style, content, and form. R. Malhotra and A. Sharma define it as “any work that shares certain characteristics defined by its style, content, and form. A good example for knowing genre is through genres of books like Fiction, Folk tale, Poetry, Non-fiction, Biography, etc.” [15, p. 661]. Our study will concentrate on three genres: the scientific text, the historical novel, and the science fiction novel. Scientific text is characterised by domain-related context, terminological density, both static and dynamic narratives (the former refers to results statement, the latter – to the description of processes), mostly impersonal style and reference to impact and causality. The historical novel is a story whose action unfolds in the background of historical events and thus is distinguished by a dynamic narrative and several characters. As for the science fiction novel, it is specific in its plot structure. Typically, a situation in the fantasy adventure-historical novel is the protagonist’s movement through time and necessarily to a past era. However, the actual event of moving to the past or time travel does not make a work a fantasy adventure-historical novel; the author may use this storyline for entirely different purposes. Interestingly, the movement is not that important compared to the expressed attitude to history and its regularities, the problem of influence on history. Therefore, depicting the movement process in time is sometimes reduced to an almost absolute minimum [16]. Thus, the text of this genre acquires features of both scientific text and historical novel. Despite the interest in the methods of clustering and topic modelling in all the areas mentioned above, the research seems somehow discrete, lacking complementarity between computational, programming, linguistic, and stylistic approaches. Additionally, to our knowledge, the potential of such kind of interdisciplinary research for knowledge communication has not been tackled.
3 The Method for Clustering and Topic Modelling of Texts The method used is as proposed by A. Dewi and K. Thiel, namely the Elbow Method, which proved its efficiency for determining the optimal number of topics during clustering and extracting the topics from a collection of text documents using the KNIME Text Processing extension [12]. Earlier, we applied this method to solve another problem, namely finding evidence of infodemiology in computer security discourse [17]. The software used is the desktop version of the KNIME analytical system1 . We modified the freely distributed KNIME workflow “17 Topic Extraction with the Elbow Method” by deleting the RSS branch and creating a separate workflow for each dataset (Fig. 1). The first node in each of the three workflows was configured using the PDF files of the texts under analysis split into chapters and uploaded from the local disc. The rest of the settings are the same as described in [12]. This method represents a valid alternative to manual topic modelling used in cognitive linguistics and literature studies. We decided to automate the procedure to gain insights into the texts’ content and reveal latent topics in texts of three genres. We obtained samples obtained from three texts representing three genres (see above): 1 https://www.knime.com/.
Knowledge Retrieval by Exploring Correlation
7
Fig. 1. Workflow of cluster analysis and topic modelling using KNIME
1) Belous A., Saladukha V. “Viruses, Hardware and Software Trojans: Attacks and Countermeasures”2 , 2020 [20]; 2) M. Miller “The Song of Achilles”, 2012 [21]; 3) D. Simmons “Ilion”, 2005 [22]. We used the PDF versions of the texts. The choice is motivated by the common theme – the Trojan horse – but different genres. The first two samples were taken as a whole, excluding references, contents, and acknowledgements. For the third sample, we have extracted only the chapters which refer to the Trojan war period, excluding the imaginary future era. We uploaded samples to the KNIME analytical system as separate workflows. The first set of results is obtained from the monograph written by Anatoly Belous, Corresponding Member of the National Academy of Sciences of Belarus, Doctor of Technical Sciences, Deputy General Director of the large electronic Holding “Integral” producing integrated circuits and hundreds of types of electronic devices and systems and Vitali Saladukha, PhD, General Director of the same Holding. This book is a piece of scientific and technical literature highlighting a complex of historical, theoretical and practical aspects of the development and application of computer viruses, software, and hardware Trojans. The authors discuss Trojans in electronic devices such as communications systems, computers, mobile communications systems, cars, and consumer electronics. Special attention is devoted to the sphere of effective countermeasures against cyber weapons. The first step of pre-processing consisted in cutting out the cover, information about publishers etc., contents, acknowledgements, index, reference lists, and the running head on every page. The resulting document consisted of about 286 thousand words. Then the book was divided into nine parts according to its original structure. For the second set of results, we used the 2011 historical novel “The Song of Achilles”, recounting the events of Homer’s “The Iliad”. The book’s author is Madeline Miller, a young American novelist and the holder of a master’s degree in Latin and 2 https://doi.org/10.1007/978-3-030-47218-4.
8
E. Isaeva et al.
Ancient Greek from Brown University in Providence, Rhode Island. Her debut novel consists of thirty-three chapters. We preserved the book’s original structure, leaving out the cover, a short dedication, contents, character glossary, author and publisher information, and copyright. The text taken for analysis consists of about 99 thousand words. The third data set for analysis was a historical science fiction dilogy, “Ilium” (2005), written by Dan Simmons, a famous American science fiction and horror writer. He received his B.A. in English from Wabash College in Crawfordsville, Indiana and a Master’s in Education from Washington University in St. Louis, Missouri. The novel represents a fantasy work based on Homer’s “Iliad”, with the plot centred on the course of the Trojan War. Initial manual pre-processing was the same. We removed the cover, dedication, acknowledgements, author’s note, a list of dramatis personae for Ilium, and information about the author. Since the text is many times larger than the book by M. Miller, we chose the twenty-eight chapters of the novel, in which the events take place in Ilium. This part of the book consists of about 93 thousand words. A more detailed description of the novelscan be found in [18].
4 Results of Clustering and Topic Modelling of Texts 4.1 Revealing Latent Topics in the Scientific Text The clustering and topic modelling results are obtained in the form of tables representing topic terms for each text. Tables 1, 2, 3, 4 and 5 show the topic terms for the first text. Each topic term is supplied with the weight per topic. The first cluster of terms is connected with the topic “Hardware, circuits, and electrical supply” engaged in Trojan’s activity (Table 1). Table 1. Results of topic modelling: Text 1, Topic 1 Term
Weight
Term
Weight
jtag
32.0
baud
21.0
crc
31.0
characterization
20.0
rfid
27.0
fabrication
20.0
proasic3
27.0
ip-core
19.0
alpha
23.0
microchip
19.0
Here and below, we will provide a few definitions and examples of the terms in the cluster. For example, the acronymic term JTAG stands for Joint Test Action Group, which “is commonly referred to as boundary-scan and defined by the Institute of Electrical and Electronic Engineers (IEEE) 1149.1, which originally began as an integrated method for testing interconnects on printed circuit boards (PCBs) implemented at the integrated circuit (IC) level” [19]. CRC designates cyclic redundancy check, i.e. “a technique used to detect errors in digital data … commonly used in detecting common transmission errors” [19]. RFID is the Radio Frequency Identification, which is “one of the varieties
Knowledge Retrieval by Exploring Correlation
9
of modern wireless technology” [20, p. 374]. These terms can designate a particular location or means Trojans are transmitted to or operate on a machine, e.g. a hardware Trojan embedded inside such RFID transponder tags [20, p. 374] or hardware Trojans in critical microchips [20, p. 454]. The KNIME workflow also results in the tag cloud for each cluster to visualise the latent topics. Figure 2 shows the tag cloud for cluster 1.
Fig. 2. Tag cloud, text 1, topic 1
The second cluster is connected with visualisation and graphics (Table 2). Table 2. Results of topic modelling: Text 1, Topic 2 Term
Weight
Term
Weight
alignment
67.0
rectangle
28.0
bitmap
55.0
patent
27.0
lsic
49.0
brightness
24.0
cleavage
29.0
sem
23.0
microscopy
29.0
decoration
21.0
The topic is easily inferred from the terms, e.g. SEM, i.e. scanning electronic microscope, or cleavage, which “consists in breaking a sample into two equal parts. The higher the quality of the cleavage, the better will be the quality of vertical topology analysis of the examined sample” [20, p. 597]. Figure 3 is the graphical representation of the second cluster determined in text 1. Judging from the topic terms included in the third cluster and the context of their realisation in the text, we infer that the third cluster refers to the topic of computer security measures and bypassing them (Table 3).
10
E. Isaeva et al.
Fig. 3. Tag cloud, text 1, topic 2
Table 3. Results of topic modelling: Text 1, Topic 3 Term
Weight
Term
Weight
sandbox
72.0
cave
21.0
iips
53.0
ds28e01
20.0
slave
34.0
arbiter
20.0
api
28.0
mining
18.0
shellcode
27.0
interlock
17.0
To exemplify our inference, let us consider the term sandbox, which represents “a designated environment for safe execution of computer programs” [20, p. 691] and is “a method of protection from hardware Trojans” [20, p. 689]. An alternative example is the term cave (1): (1) Code Cave is a piece of code written by another program into the memory of an external process. This code can be executed by creating a remote stream inside the target process. Code cave is often a link to the section of script functions of a code, where virtually any instructions can be injected [20]. See Fig. 4 to get a user-friendly image of the cluster and the latent topic it represents.
Knowledge Retrieval by Exploring Correlation
11
Fig. 4. Tag cloud, text 1, topic 3
The fourth cluster uncovers the latent topic of information transmission (means, ways, and impact) (Table 4).
Table 4. Results of topic modelling: Text 1, Topic 4 Term
Weight
Term
Weight
ipe
27.0
enemy’s
17.0
iti
24.0
ser
16.0
dirt
22.0
cyberthreat
14.0
accident
20.0
reactor
13.0
pickup
17.0
netbus
13.0
A point in case is the term ITI (information technology impact) (2): (2) ITI objects—information, its properties related to information security, information technology systems (communication and control systems, telecommunication systems, radio-electronic equipment, computer networks, etc.), hardware, computer systems and networks, as well as other infrastructure ensuring a high-tech way of life, smooth functioning of the system of government, control of weapons, and military equipment [20]. Another example is the term pickup, which in the book is used in the context of “pickup of informative signals in CE electrical power lines” [20, p. 43]. Figure 5 visualises the fourth semantic cluster.
12
E. Isaeva et al.
Fig. 5. Tag cloud, text 1, topic 4
Finally, the fifth cluster is associated with telephones, smartphones and similar devices or gadgets (Table 5). Table 5. Results of topic modelling: Text 1, Topic 5 Term
Weight
Term
Weight
smartphone
27.0
conversation
13.0
plugin
24.0
pineapple
12.0
microphone
22.0
battery
11.0
gsm
21.0
appliance
11.0
juniper
14.0
beacon
10.0
Most of the terms within the cluster do not cause any doubt about the suggested topic. Unexpectedly, the word pineapple is not an outlier in the context of the book, as is seen below. WiFi Pineapple is “a device thought out to the last detail, which implements an attack out of the box in the literal sense, has long been known among hackers” [20, p. 254]. The topic is visually represented in Fig. 6. 4.2 Revealing Latent Topics in the Historical Novel The clustering analysis of the historical novel “The Song of Achilles” by M. Miller’s resulted in four clusters, referring to the topics “Prehistory of the Trojan War”, “The beginning of the Trojan War”, “The conflict between Achilles and Agamemnon”, and “Troy and the Iliad”. Below, we exemplify the terms by placing them in the context of the novel.
Knowledge Retrieval by Exploring Correlation
13
Fig. 6. Cloud, text 1, topic 5
The cluster “Prehistory of the Trojan War” (Table 6) presents vocabulary related to mythological stories before the Trojan War. Thus, the beginning of the novel describes the upbringing of Achilles, who was trained by the centaur Chiron. According to the legend, the centaur Chiron lived on Mount Pelion. There he educated the princes who were given to him for training (3): (3) I am a centaur, and a teacher of men. My name is Chiron [21].
Table 6. Results of topic modelling: Text 2, Topic 1 Term
Weight
Term
Weight
cave
29.0
mountain
14.0
chiron’s
20.0
heracles
13.0
afternoon
19.0
gift
13.0
centaur
17.0
pelion
13.0
knife
14.0
river
13.0
The topic term “gift” is frequent, as Chiron possessed the gift of immortality. Besides that, Achilles brought the gifts for his teacher when he arrived (4): (4) Achilles turned fourteen, and messengers brought gifts for him from Peleus [21]. Samples (5) and (6) illustrates the topic term river. Achilles was invulnerable because his mother dipped him in an underground river. In addition, the boys learnt to swim in the river near Mount Pelion (5):
14
E. Isaeva et al.
(5) Other than the unsteady surface of the river, there were no mirrors on Mount Pelion, so I could only measure myself by the changes in Achilles [21]. (6) Achilles floated beside me or swam against the slow tug of the river’s flow [21]. The centaur and the young men lived in a cave. One episode describes the building of friendship between the boys (7): (7) That afternoon, we lay on the grass in front of the cave [21]. The cave of Chiron on Mount Pelion was not only the place where the ancient heroes studied but also the origin of the initial conflict connected with the Trojan War. It was there that the wedding of Peleus and Thetis took place, at which the goddess of discord, Iris, gave the golden apple, which was the initial step towards the outbreak of the Trojan War. The topic terms allow us to trace back to an even more extended history associated with Chiron and Mount Pelion. Thus, Hercules was a friend of the centaur Chiron. According to a legend, he lived in the centaur’s cave during one period of his life. Boys often talked about the famous hero (8): (8) True, it had happened before, to Heracles and Orpheus and Orion [21]. The topic terms knife and afternoon also have specific semantic meanings. The knife is listed among the implements that the centaur Chiron taught his disciples to use. It is an ordinary thing to use in the novel (9): (9) It looked like it had been a knife, I thought, or something like it, ripping upwards and leaving behind feathered edges, whose softness belied the violence that must have caused it [21]. The events in this part of the novel often happen in the afternoon (10): (10) One afternoon, as I went to leave him to his private drills, he said, “Why don’t you come with me?”[21]. The “Prehistory of the Trojan War” cluster is depicted in Fig. 7. The second cluster reveals the topic “The beginning of the Trojan War” (Table 7). The cluster contains vocabulary referring to events that take place at the very beginning of the Trojan War when the Greek army has not yet advanced toward Troy, and Thetis hides her son on the island of Skyros as he is predicted not to return from the war. She hides him among King Lycomedes’ daughters, dressing him in women’s clothing (11): (11) As I sat, I tried to remember all that I had heard of Lycomedes. He was known to be kind enough, but a weak king, of limited resources [21].
Knowledge Retrieval by Exploring Correlation
15
Fig. 7. Tag cloud, text 2, topic 1
Table 7. Results of topic modelling: Text 2, Topic 2 Term
Weight
Term
Weight
hall
39.0
lycomede
24.0
table
34.0
daughter
24.0
lycomedes
31.0
deidameia
21.0
tyndareus
26.0
wrist
17.0
guard
26.0
helen
17.0
Achilles, on the island of Skyros, falls in love with one of King Lycomedes’ daughters, Deidameia. He is captivated by her beautiful wrists (12): (12) Deidameia was the most beautiful, of course. With her golden crown and unbound hair, she drew the eye, flashing her wrists prettily in the air [21]. Achilles converses with Lycomedes during the meal at the table in the great hall (13): (13) ‘Well.’ Lycomedes gestured to the table. ‘Shall we eat?’[21]. Odysseus, who has come to Skyros for Achilles, reveals Thetis’s deception. He tells Achilles about the march on Troy and that Helen, daughter of King Tyndareus, was the cause of the war (14): (14) Helen’s former suitors had honoured their vow, and Agamemnon’s army was rich with princely blood [21].
16
E. Isaeva et al.
Guards are the attribute of the Lycomedes’ palace (15): (15) ‘I do not know,’ he said, and the words echoed down the chamber, stirring the guards [21]. “The beginning of the Trojan War” cluster is visualized in Fig. 8.
Fig. 8. Tag cloud, text 2, topic 2
The third cluster reveals the topic “The conflict between Achilles and Agamemnon” (Table 8). Table 8. Results of topic modelling: Text 2, Topic 3 Term
Weight
Term
Weight
ship
49.0
myrmidons
24.0
chariot
43.0
arrow
21.0
briseis
35.0
crowd
21.0
agamemnon’s
35.0
city
19.0
automedon
30.0
shield
19.0
The cluster contains the vocabulary referring to the direct conflict of the Achaean leaders over the captive Briseis (16): (16) ‘Briseis,’ she repeated. She was pointing to herself [21]. Agamemnon is the chief king of the Achaeans, leading a military expedition (17):
Knowledge Retrieval by Exploring Correlation
17
(17) But Agamemnon was older, and his armies the larger; he would lead the expedition to Troy [21]. The Myrmidons are the people of Achilles, of whom he is the leader (18): (18) Only one square was empty still: a place of primacy, reserved for Achilles and his Myrmidons [21]. This cluster contains vocabulary relating directly to military action. The Greeks arrived in Troy by ship (19). They use various weapons, e.g. shields(20) and arrows: (19) Every place we walked buzzed with the same activities: dragging ships onto the shore, setting up tents, unloading supplies [21]. (20) Our men slid down ropes, lifted huge shields to cover themselves from arrows, and began to stream to shore [21]. The warring sides use chariots. Achilles, having killed Hector, drags his body by tying it to the chariot (21). Automedon is Achilles’ charioteer (22): (21) It was easy to stay with them long and late until I heard the creaking of the chariot, and the distant banging of bronze, and returned to greet my Achilles [21]. (22) And still one more – Automedon, the youngest of us, just seventeen. He was a quiet young man, and Achilles and I had watched his strength and deftness grow as he learned to drive Achilles’ difficult horses, to wheel around the battlefield with the necessary flourish [21]. For visualising the “Conflict between Achilles and Agamemnon” cluster, see Fig. 9. Finally, the fourth cluster, “Troy and the Iliad” (Table 9), includes vocabulary relating to Troy and the Trojans, as well as directly to the poem “The Iliad” (23): (23) He ignores the fire, his spear stabbing downwards at the Trojan hands that swarm like feeding fish [21]. Priam is the elderly king of Troy, and Paris is his son who kidnapps Helen (24), (25): (24) It was Hector, offering a second truce, a second duel to make right the dishonor of Paris’ disappearance and the shooting of the arrow [21]. (25) If I cannot, I will find Hector or any of the sons of Priam [21]. The Trojans battle with the Greeks (26) and offer sacrifices to Zeus(27): (26) Outside the removal of our camp, the sounds of battle grow louder: the piercing screams of horses impaled on the stakes of the trench, the desperate shouts of the commanders, the clangor of metal on metal [21]. (27) They knew what powerful sons do to their fathers – Zeus’ thunderbolts still smell of singed flesh and patricide [21].
18
E. Isaeva et al.
Fig. 9. Tag cloud, text 2, topic 3
Table 9. Results of topic modelling: Text 2, Topic 4 Term
Weight
Term
Weight
pyrrhus
35.0
ash
14.0
trojan
21.0
priam
13.0
paris
18.0
book
12.0
fame
16.0
zeus
12.0
iliad
14.0
battle
12.0
Victory over the Trojans is won by Achilles’ son Pyrrhus (28): (28) “My name is Neoptolemus. Called Pyrrhus.” Fire. But there is nothing of flame about him, beyond his hair [21]. One more topic term ash is an attribute of the dead heroes, Achilles and Patroclus, whose ashes are mixed and buried with honours (29): (29) It was your father’s wish, Prince Neoptolemus, that their ashes be placed together [21]. Figure 10 demonstrates the “Troy and the Iliad” cluster.
Knowledge Retrieval by Exploring Correlation
19
Fig. 10. Tag cloud, text 2, topic 4
4.3 Penetrating the Historical Part of the Science Fiction Novel As mentioned earlier, when analysing Dan Simmons’ novel “Ilion” [22], we take only the chapters directly related to the plot of the Trojan War. In the analysis, we get five topic clusters, which we can provisionally call “Troy and the Trojans”, “The Achaean Camp”, “Helen and the Temple of Athena”, “Scientists”, and “Robots and Machines”. The first cluster comprises the terms in Table 10. Table 10. Results of topic modelling: Text 3, Topic 1 Term
Weight
Term
Weight
arrow
25.0
god’s
15.0
aeneas
22.0
dust
12.0
nightenhelser
20.0
echepolus
11.0
forcefield
19.0
pandarus
11.0
fighter
19.0
idaeus
10.0
In the topic cluster “Troy and the Trojans”, several topic terms are connected with battles. For example, fighters conducted defence with arrows (30): (30) Pandarus falls for the ruse hook, line, and sinker — “Athena fired the fool’s heart within him” was the way one fine translator described this moment — and has some of his pals hide him from view with their shields while he prepares his longbow and chooses the perfect arrow for this assassination [22].
20
E. Isaeva et al.
It is clear that this topic cluster should have the names of the Trojans such as a Trojan captain named Echepolusand theleaders of the Trojans. One of latter is Aeneas, the mortal son of the goddess Aphrodite (31): (31) ‘Did Pandarus give that endless speech before Diomedes killed him?’ I ask. In my favorite translation, Pandarus bemoans his fate for forty lines, has a long dialogue with a Trojan captain named Aeneas—yes, the Aeneas—and the two go charging at Diomedes in a chariot, flinging spears at the wounded Achaean [22]. During the battle, the Trojans and the modified Olympians who help them can turn on the forcefield(32): (32) Aphrodite raises a forcefield almost casually, still carrying the wounded Aeneas, obviously not worried by a mere mortal’s attack [22]. Two more topic term are Nightenhelser, the scientist who explores the Trojan War and watches the battle, and Pandarus, the mastermind behind the Trojans. Some of the topic terms reflect the atmosphere of the battle. The participants of the battle return to the city, covered in dust (33): (33) Hidden by dust and confusion in the Trojan ranks, I lift Death’s Helmet over my head and, activating the medallion, QT after the wounded Ares, following his quantum trail through twisted space to Olympos [22]. These topic terms from the novel are summarised in the tag cloud (Fig. 11).
Fig. 11. Tag cloud, text 3, topic 1
The second cluster includes the topic terms as follows (Table 11): The thematic cluster “The Achaean camp” is similar to the previous cluster in many ways. The Achaeans live in a camp which consists of tents (34):
Knowledge Retrieval by Exploring Correlation
21
Table 11. Results of topic modelling: Text 3, Topic 2 Term
Weight
Term
Weight
tent
51.0
circle
19.0
nestor
39.0
teucer
18.0
phoenix
27.0
embassy
18.0
fire
24.0
glory
17.0
thetis
23.0
speech
16.0
(34) But then again, if Helen is no longer the prize for Agamemnon and Menelaus, and Achilles is still sulking in his tent, will mere plunder be enough to keep tens and tens of thousands of other Achaeans in the fight? [22]. Leaders and heroes of the Achaeansare also mentioned. Nestoris the oldest king in the Achaean army (35) and Phoenix is a hero who makes a meaningful speech to the Achaeans (36): (35) The only one who does not flee is old Nestor, and that only because Helen’s husband put an arrow through the skull of Nestor’s leading horse, confusing the other horses in a panic [22]. (36) He tells us that Nestor will name five men for an embassy to Achilles - Phoenix, the great Ajax, Odysseus, Odious and Euribates [22]. In the same way, the atmosphere of the battle is reflected with the use of such topic terms as fire(37): (37) Every time Teusir fires, the Trojans unleash their arrows and spears in a vain attempt to kill the archer, but Great Ajax leans over them both and with his massive shield repels each projectile [22]. Some abstract topic terms are the characters’ attributes. For instance, glory is an attribute of Achilles, the son of the goddess Thetis (38): (38) Then Achilles says something truly amazing - he confesses that his mother, the goddess Thetis, has told him that two fates await him before the day he dies: one in which he stays here, besieges Troy, kills Hector, but dies himself in a few days. In that direction, his mother told him, eternal glory awaits him in the memory of men and the gods. His other fate is to flee, to sail home, to lose his pride and glory, but to live a long, happy life [22]. Finally, the topic term circle belongs to the episode described by Hockenberry, who can see all the legendary heroes sitting in circles (39):
22
E. Isaeva et al.
(39) There are more heroes in the inner circle, of course, as well as countless more in the mob behind me, but you get the idea [22]. For the cluster visualisation, we provide its tag cloud (Fig. 12).
Fig. 12. Tag cloud, text 3, topic 2
In the next cluster, “Helen and the Temple of Athena”, the vocabulary focuses on Helen and her retinue (Table 12). Table 12. Results of topic modelling: Text 3, Topic 3 Term
Weight
Term
Weight
temple
31.0
hecuba
23.0
street
28.0
bracelet
21.0
helen’s
27.0
breast
21.0
cassandra
26.0
athena’s
19.0
hock-en-bear-eeee
25.0
dagger
19.0
The action takes place in the temples of Athena and Aphrodite (40), and the scholar Nightenhelser is observing the characters: (40) “The Trojan women are still entreating Athena for mercy and divine protection, chanting and sacrificing at her temple, as Hector ordered," says Helen [22]. This topic cluster is connected with the Trojan women. Thus, Cassandra enters the entourage of Trojan women, and Nightenhelser examines her and other Trojan noblewomen (41):
Knowledge Retrieval by Exploring Correlation
23
(41) I still have time to see that face and I recognise it – this is Cassandra, King Priam’s loveliest daughter.– “Did you bring us the comb, Hock-en-bear-eeee, as proof of your ability to travel to and from Olympos as do the gods?” asks Hecuba [22]. Both Trojan wives and scientists wear special bracelets with microchips to allow for surveillance (42). In addition to jewellery, women also wear daggers (43): (42) “How long, did you say?” I ask, grabbing the apparent leather bracelet on my wrist that serves as my own covert chronometer. The bracelet has microcircuits and small holographic projectors for when I need to know the time” [22]. (43) The tip of the dagger blade was only inches from my bare skin through the robe [22]. At the same time, Hockenberry draws attention to women’s bodies, e.g. to breasts (44): (44) Simoisius admitted to me that he was terrified of dying-not so much of death itself, he said, but of dying before he ever touched a woman’s breast or felt what it was like to be in love [22]. Figure 13 represents the “Helen and the Temple of Athena” cluster.
Fig. 13. Tag cloud, text 3, topic 3
The fourth cluster is grouped around scientists, called Scholastics in the novel. They are dead scientists who lived a long time ago and have been reconstructed from DNA. They dwell on Olympus, watching the Trojan War. The main Scholastics are Hockenberry and Nightenhelser (Table 13).
24
E. Isaeva et al. Table 13. Results of topic modelling: Text 3, Topic 4
Term
Weight
Term
Weight
nightenhelser
27.0
throne
11.0
building
19.0
question
11.0
cable
13.0
“hockenberry
10.0
“do
12.0
lake
10.0
door
12.0
summit
10.0
The protagonist of the novel, on whose behalf the story is narrated, is Hockenberry, who has been studying the work of Homer. Nightenhelser is his colleague and friend. Both of them watch the Trojans build their city (45): (45) Book Seven has the Achaeans building their defensive wall and trench near the shore, but you and I know that those defenses have been there since the first month after they arrived. Sometimes, homer messes up the chronology [22]. Other topic terms are represented by such nouns as cable, a fascinating new invention used in Olympus, and the metal door for entering Olympus (46): (46) The metal hums, the internal locks click open, and the door swings inward. I have to scurry to slide into the room before Hera gestures the door closed behind her [22]. The cluster also includes a throne on which Hera sits, the Caldera Lake on Olympos and a summit of Olympos (47): (47) The summit of Olympos should be airless and ice-covered, but the air here is as thick and breathable as it is some seventeen miles lower where the scholic barracks huddle at the base of the volcanic cliffs, and rather than ice, the broad summit is covered with grass, trees, and white buildings large enough and grand enough to make the Acropolis look like an outhouse [22]. The topic terms from the cluster “Scientists” are presented in the tag cloud (Fig. 14).
Knowledge Retrieval by Exploring Correlation
25
Fig. 14. Tag cloud, text 3, topic 4
The final thematic cluster “Robots and Machines” is dedicated to robots and terraformed Mars (Table 14). Table 14. Results of topic modelling: Text 3, Topic 5 Term
Weight
Term
Weight
robot
41.0
rockvec
20.0
meter
25.0
mars
20.0
martian
21.0
door
20.0
mons
21.0
leader
18.0
olympus
21.0
machine
17.0
The main robots are called Orpheus and Mahnmut. They are involved in the exploration of the Iliad. The thematic term meter refers to a type of a rhyme (48): (48) These repetitive epithets met the heavy demands of dactylic hexameter more than mere description, and were away for the singing bard to satisfy the metrical demands with formulaic phrases [22]. The robots fly to Mars, where they conduct research. They also visit Olympus Mons (49). The inhabitants of Olympus sometimes speak of robots as machines (50): (49) Further north and further out to sea, turned into an island by terraforming, was Lycus Sulci, which resembled nothing more than a lizard head raised to Olympus Mons [22]. (50) How can they be ’friends and allies’, little machine, when they’re not even men? [22].
26
E. Isaeva et al.
There are different types of robots, for example the Rockvechaving their ownleaders (51): (51) After spending more than five years in the Belt, jumping from rock to rock and losing most of his Jovian-Moravek support team in the process, Koros negotiated with the leaders of the warlike Rockvecclans, sharing the Jovian-Moravek space scientists’ concerns about the rapid terraforming of Mars and the first signs of quantum tunnel activity just discovered there [22]. Figure 15 illustrates the “Robots and Machines” cluster.
Fig. 15. Tag cloud, text 3, topic 5
5 Discussion of the Clustering and Topic Modelling Results for Linguistics and Knowledge Mediation An interesting observation reported in Sect. 4 was the overlap of topics revealed in the texts. For instance, “Troy and the Trojans” (text 3) correlates with “Troy and the Iliad” (text 2), “Hardware, circuits, and electrical supply” (text 1) is connected with “Robots and Machines” (text 3), “Computer security measures and bypassing them” (text 1) is close to “The conflict between Achilles and Agamemnon” (text 3). This interplay of topics can be used for specialised knowledge mediation and, particularly, delivering the scientific text in a popular way employing allusion to the science fiction text while describing highly technical concepts and to the historical novel to examine technical processes and cause-and-effect relationships. The methodological decision to use the elbow method to automatically determine the number of clusters might have influenced the clustering and topic modelling results. We might have overlooked some less representative but relevant topics. To exclude this shortcoming, further experiments with both manual and automatic settings of the number
Knowledge Retrieval by Exploring Correlation
27
of clusters should be done with subsequent linguistic and literary interpretation and the accuracy estimation.
6 Conclusion Taken together, these findings demonstrate that different branches of linguistics (cognitive, discursive, and computational), stylistics, and literature studies can complement each other, for instance, in the attempt to find new means of knowledge mediation. This work has presented a novel approach to examining latent topics in texts united by a common theme from the prism of different genres. The significance of our work lies in describing a ready-made instrument for automating the process available open source and not requiring special technical skills to apply it. This study provides the backbone for our further research of clustering and topic modelling across the genres to see which genres have more overlapping latent topics to be used in knowledge mediation.
References 1. Isaeva, E.V.: Metaphor in terminology: Finding tools for efficient professional communication. Fachsprache 41(Sp. Issue 1), 65–86 (2019). https://doi.org/10.24989/fs.v41is1. 1766 2. Choi, W.J., Kim, E.: A large-scale text analysis with word embeddings and topic modeling. Journal of Cognitive Science. 20(1), 147–188 (2019). https://doi.org/10.17791/JCS.2019.20. 1.147 3. Dijk, T.A.: van: Discourse, context and cognition. Discourse Stud. 8(1), 159–177 (2006). https://doi.org/10.1177/1461445606059565 4. STYLOMETRY | Meaning & Definition for UK English | Lexico.com. https://www.lexico. com/definition/stylometry 5. Al-Yahya, M.: Stylometric analysis of classical Arabic texts for genre detection. Electronic Library. 36(5), 842–855 (2018). https://doi.org/10.1108/EL-11-2017-0236 6. Kumar, A.A.: Semantic memory: a review of methods, models, and current challenges. Psychonomic Bulletin and Review 28(1), 40–80 (2021). https://doi.org/10.3758/S13423-020-017 92-X 7. Isaeva, E.: Specialized Knowledge Mediation. Springer International Publishing (2022). https://doi.org/10.1007/978-3-030-95104-7 8. Mitrofanova, O., Sampetova, V., Mamaev, I., Moskvina, A., Sukharev, K.: Topic modelling of the Russian corpus of Pikabu posts: Author-topic distribution and topic labelling. In: CEUR Workshop Proceedings, 2020, vol. 2813, pp. 101–116 (2021) 9. What is Clustering and How Does It Work? |KNIME. https://www.knime.com/blog/what-isclustering-how-does-it-work 10. Trad, R., Spiliopoulou, M.: A Framework for Authorial Clustering of Shorter Texts in Latent Semantic Spaces. LNCS 12695, 301–312 (2021). https://doi.org/10.1007/978-3-030-742515_24 11. Anikin, A., Sychev, O., Gurtovoy, V.: Multi-level modeling of structural elements of natural language texts and its applications. Advances in Intelligent Systems and Computing 848, 1–8 (2019). https://doi.org/10.1007/978-3-319-99316-4_1
28
E. Isaeva et al.
12. Dewi, A., Thiel, K.: Topic Extraction: Optimising the Number of Topics with the Elbow Method | KNIME, June 19 (2017). https://www.knime.com/blog/topic-extraction-optimizingthe-number-of-topics-with-the-elbow-method 13. Omar, A.: Feature selection in text clustering applications of literary texts: A hybrid of term weighting methods. Int. J. Adv. Comput. Sci. Appl. 2, 99–107 (2020). https://doi.org/10. 14569/IJACSA.2020.0110214 14. Nurgalieva, N.K.: Cluster approach in linguistic analysis (basing on corpus and linguistic analysis of English borrowings in German). Vestnik Bashkirskogouniversiteta (Bulletin of Bashkir University) 18(2), 454–460 (2013). https://www.elibrary.ru/item.asp?id=19411748 15. Malhotra, R., Sharma, A.: A web metric collection and reporting system. In: ACM International Conference Proceeding Series, pp. 661–667 (2015). https://doi.org/10.1145/2791405. 2791561 16. Kozmina, E.Yu.: The invariant of the fantastic adventure-historical novel. The new philological bulletin 2(33), 24–43 (2015). https://www.elibrary.ru/title_about_new.asp?id=28214&lan gid=2 17. Isaeva, E.: Topic modelling in computer security discourse: a case study of whitepaper publications and news feeds. Vestnik Permskogouniversiteta. Rossiyskayaizarubezhnayafilologiya [Perm University Herald. Russian and Foreign Philology] 13(2), 25–35 (2022). https://doi. org/10.17072/2073-6681-2021-2-25-35 18. Isaeva, E., Manzhula, O., Baiburova, O., Crawford, R.: Smart technologies for genre closeness evaluation. LNNS 342, 623-634 (2022). https://doi.org/10.1007/978-3-030-89477-1_60 19. What is JTAG? A guide to the IEEE-1149.1 standard. https://www.corelis.com/education/tut orials/jtag-tutorial/what-is-jtag/
Dataset Sources 20. Belous, A., Saladukha, V.: Viruses, Hardware and Software Trojans: Attacks and Countermeasures. Springer (2020). https://doi.org/10.1007/978-3-030-47218-4 21. Miller, M.: The Song of Achilles. Ecco (2012) 22. Simmons, D.: Ilion. Harper Collins (2005)
Corpus-Oriented Comparative Analysis of Metastructures in English Scientific and Technical Dis-course Irina A. Anashkina
and Inna I. Konkova(B)
National Research Ogarev Mordovia State University, Saransk, Russia [email protected]
Abstract. This article aims at analysing metastuctures and their functions in specialised varieties of English discourse, scientific and technical (sphere of robotics). It also provides all illustrations of how methods and techniques of corporal linguistics can be used to examine the discourse metastuctures in the following genres: monograph, dissertation, research article, patent and report. The aim of every scientific and technical text consists not only in supplying information, but also in delivering it to the reader in the best way for him/her to understand. That is usually achieved with the help of metastructures. The research is conducted with the help of AntConc, the instrument of the corpus-oriented method of a discursive analysis, to get statistic data. In addition a critical discursive analysis method is applied to overcome some fallacies of AntConc. All the selected metastructures were divided into nine groups according to the function fulfilled: explanation, cutting down details, dialogisation, confirmation of the mentioned above by illustration, table, graph, etc., text formation, evaluation, comment, acknowledgment, attention attraction. The results of this article stress that all studied genres are characterized by metadiscursiveness expressed by metastructures in various functions providing better understanding of the authors’ intentions that is depicted in the summary able of these functions in all the genres mentioned above. Keywords: Scientific and technical discourse · Metastructure · Corpus-oriented discourse analysis · Monograph · Dissertation · Patent · Report · Research article
1 Introduction Modern linguistics pays special attention to research texts the main objective of which is to make an impact on the reader. These texts have multi-dimensional characteristics as far as the choice of words and syntax are concerned, and, additionally, we can single out discourse metastructures. The concept “metadiscursiveness” denotes the author’s desire to provide proper understanding of the given information. Metadiscursiveness is essential to the scientific and technical discourse because its devices and structural patterns (metastructures) reveal the author’s intentions, facilitate better understanding of the logic and purpose of the paper. Metastructures have been studied by Russian researchers (N.V. Lukina [1], N.P. © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 E. Isaeva and Á. Rocha (Eds.): Perm Forum 2022, LNNS 622, pp. 29–41, 2023. https://doi.org/10.1007/978-3-031-28086-3_2
30
I. A. Anashkina and I. I. Konkova
Perfirieva [2], V.A. Shaimiev [3], Z.A. Yarigina [4], etc.) as well as the foreign ones (A. Adel [5], K. Hyland [6], etc. Z.A. Yarigina suggests analyzing metastructures using explicit and implicit metacomponents. N.P. Perfirieva and N.V. Lukina state that explicit components are expressed in words, word-combinations and sentences meaning generalization, clarification, explanation, etc. [1, 2]. By means of explicit metastructures the author of the discourse makes it easier for the reader to get the information. As for implicit components, they are supposed to be non-verbal (punctuation marks). In the focus of this article there are only explicit components. The authors of this article define metastructures as language means (verbal and explicit) adding extra sense to the main idea of texts. Methods of corpus linguistics are used to provide a detailed statistic analysis of metastructures in the genres of the scientific and technical discourse. Corpus linguistics operates such instruments as AntConc, Sketch Engine, Word Smith Tool, etc. According to V.P. Zakharov, it is a branch of computer linguistics where new principles of making and applying text corpuses by means of computer technologies are practiced [7]. V.V. Mamontova opposes this point of view. In her opinion, computers assist linguistic investigation with corpora. That is why corpus linguistics cannot be a branch of computer linguistics [8]. The authors of this article support V.P. Zakharov’s definition because computers provide natural language description with computer and mathematical modelling. There are several definitions of the concept “corpus”. It was studied both by Russian scientists (S.Yu. Bogdanova, V.P. Zakharov [9]) and foreign linguists (J. Sinclair [10], T. McEnery, A. Hardy [11], D. Biber, S. Conrad, R. Reppen [12], etc.). V.P. Zakharov and S.Yu. Bogdanova come to conclusion that corpus is a unified, structured and marked massive of language data in the electronic form created for philological and humanitarian studies [9]. The most explicit definition is proposed by J. Sinclair who states that corpus is a collection of text abstracts in the electronic form selected by the specific external criteria in order to clearly understand the language and its variations [10]. Corpus based studies are still conducted applying to many linguistic aspects such as near-synonyms [13–15], genre closeness evaluation [16], indefinite pronouns [17], theory and history of corpus linguistics [18, 19], vocabulary studies [20], etc. The aim of this article is to state and examine metastructures in the genres of English scientific and technical discourse as well as to make the comparative analysis of these metastructures by means of the instrument AntConc (freeware, multi-platform and multi-purpose corpus analysis toolkit, developed by Laurence Anthony) and its function Concordance.
2 Materials and Methods The material of this research is composed of different genres of English scientific and technical discourse: monographs [21], dissertations [22], research articles [23–26], scientific and technical reports [27] and patents [28]. All are in equal proportions. The total amounts to 989 pages A4 (approximately 200 pages of each genre). To begin with, here are some implications of the genres of the material. Monograph (M) is one of the most substantial genres of science works. Usually a monograph presents a profound analysis and solution of a certain actual problem.
Corpus-Oriented Comparative Analysis of Metastructures
31
It is also characterized by a theoretical significance, empiric material originality and composition structure complexity. Monograph is made up of the introduction, the main part (several chapters and subchapters, sections and subsections), conclusions and references, sometimes – acknowledgments. It also includes abstract and information about the author. As a rule, the author of a monograph is a specialist having new knowledge that he/she presents to colleagues and students. The communicative purpose of a monograph is an informative one aimed at rendering scientific information. Monographs are usually saturated with terminology and their syntax is complex [29]. Dissertation (D) is scientific work of a special type. It outlines the scientific research background, the research material and the results attained. Dissertation provides a detailed analysis of the problem under consideration. It meets the requirement of objectivity. Criticism of the previous studies is presupposed. Dissertation as a genre is characterized by an integrity, systemic approach, cohesion and commensurability of its parts. Appendixes containing standardized documents, tables, diagrams, etc. are integral. They provide extra information making an all-round presentation of the scientific problem under consideration. Scientific and technical report (R) is an important source of scientific and technical information, essential for the further progress of science and technology and practical application of the inventions. The structure of this genre varies depending on the branch of science and technology. The report consists of some procedural components: an abstract comprising a short summary of the aims and the results achieved as well as introduction where the enhancements are related. The main body of the report is made up of its objectives, requirement specification, methods, calculations and experiment results. Reports finish with a conclusion and enumeration of the benefits of the possible applications. Research articles (RA) are characterized by a smaller size; analytical style of narration; a strict order of the topic rendering: the main thesis – its arguments – conclusions; procedural structure (abstract, introduction, the main body, conclusions, references); laconism, reliability of the examples and facts; scientific terms and clichés. Abstract is generally written on completion of the article and takes the initial place at the beginning of the article. The aim of the patent (P) is protection of the intellectual right of an invention or idea. The communicative purpose of it is certification of copyright law recognition which is realized in the introduction. In this part the owner of the patent, its lifetime and name are mentioned. The choice of the language means should meet the requirements of the official style and genre as far as structure and clichés are concerned. Patents are important to authorized institutions, their discourses should be stylistically impartial and objective. The dictum content of a patent is an invention or useful model creation that is to be used in certain spheres which oppose the already existed analogues. In the description of the patent there can be many technological terms. Besides professional terminology, the syntax emphasizing the originality and usefulness of invention is used. The main features of the patent are special terminology, abbreviations, contractions, indexes and declarative sentences with predicatives in the Present Tense forms [30]. The research is facilitated by the instruments of the corpus-oriented method of a discursive analysis (instrument AntConc), critical discursive analysis and the continuous
32
I. A. Anashkina and I. I. Konkova
sampling method due to the fact that the first method provides accurate static information while the second one allows to overcome semantic drawbacks of AntConc and the last one is applicable at the initial research stage.
3 Results In such genres as monograph, dissertation, report, scientific article and patent 4879 metastructures were found. As it can be seen from Fig. 1, where statistic data are provided by AntConc, metastructures are widely used in all the genres, but monographs are most volumetric and dissertations are least volumetric. Dissertations are characterized with a high level of originality, while monographs give a generalised analysis of the already existing ideas and opinions.
Monograph - 27% Dissertation - 13% Report - 23% Article - 22% Patent - 15%
Fig. 1. Frequency of metastructures in the scientific and technical genres
It should also be mentioned that there arose some difficulties with AntCons for the text corpus analysis (Table 1). So, there ought to be used a critical analysis method. Table 1. Errors in AntConc instrument Analysed unit
AntConc Results
Problem
I (pronoun)
i.e. I (a letter denoting something)
- no difference between a capital and lower case letter - no semantic analysis
Lie (researcher’s surname)
lie (a verb)
Important! (attention attraction)
important (a descriptive adjective)
- no semantic analysis - impossibility of using an exclamation mark in the search
Note (verb)
note (noun)
- no sense analysis (continued)
Corpus-Oriented Comparative Analysis of Metastructures
33
Table 1. (continued) Analysed unit
AntConc Results
Problem
The first … the second
No result
Only one unit (the first or the second can be searched) while both are to be shown together to see whether there is a sequence or not
All the selected metastructures were divided into nine groups according to the function performed: explanation, cutting down details, dialogisation, confirmation of the mentioned above by illustration, table, graph, etc., text formation, evaluation, comment, acknowledgment, attention attraction. As it can be seen from Table 2, such functions of metastructures as cutting down details, acknowledgment and attention attraction do not occur in all of the studied genres. As for cutting down details, this function is not typical for the scientific and technical discourse at all because this discursive type aims at providing information. Speaking about acknowledgment, it is characteristic only of massive genres such as monograph and dissertation. They are time-consuming and demand a lot of patience, concentration and support and assistance from your tutor and family. Attention attraction is mostly common for not such much strict discursive types, for instance, for an artistic one. Table 2. Functions of the metastructures in the scientific and technical discourse Genre
Monograph
Dissertation
Scientific and technical report
Scientific article
Patent
Explanation
+
+
+
+
+
Cutting down details
+
+
Dialogisation
Metastucture
+
+
Confirmation of the + said afore by illustration, table, graph, etc.
+
Text formation
+
+
Evaluation
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Comment
+
+
Acknowledgement
+
+
Attention attraction +
+ +
+
34
I. A. Anashkina and I. I. Konkova
All the above mentioned metastructures need exemplification. Explanation as a Function of Metastructure
20% 15%
10% 5% 0%
Monograph
Dissertation
Report
Article
Patent
Fig. 2. Frequency: explanation as the function of metastructure
M: There are several other well-known coordinate representations, e.g. Euler angles, Cayley-Rodriges parameters… [21, p. 4] D: … in a more comfortable environment (i. e. office) [22, p. 22] R: Harsh environments pose particular challenges (e.g. dust, dew, dirt, etc.) [27, p. 100] RA: Artificial containers – which are human-made containers as opposed to containers formed via natural processes – play an important role in the breeding of mosquitoes and the transmission of mosquito-borne diseases [26] P: more specifically [28] As it can be seen from Fig. 2, the function of explanation does not very often appear in the scientific and technical discourse. The only exception is genre of report that includes plenty of additional information to illustrate how successful and essential all the researches were especially in practical application. Cutting Down Details as a Function Of Metastructure
20% 10% 0%
Monograph
Dissertation
Patent
Fig. 3. Frequency: cutting down details as the function of the metastructure
This is the least frequent function of the metastructure in all the genres shown in Fig. 3. Such genres as Report and Article do not even have metastructures that have
Corpus-Oriented Comparative Analysis of Metastructures
35
something to do with the style of the technical and scientific discourse which demand detailed analysis of the phenomena and inventions described. M: more generally [21, p. 59] D: As a result [22, p. 19] P: thus [28] Dialogisation as a Function of Metastructure
30% 20% 10% 0%
Monograph
Dissertation
Report
Article
Patent
Fig. 4. Frequency: dialogisation as the function of the metastructure
The function of dialogisation is one of the most frequent in this discursive type. It not only includes citations or references, but also eponyms (an invention, function or tool named after a famous scientist, consisting of a proper name and a common noun). It is closely connected to copyright law. What is more, dialogisation function is represented by questions addressed to the reader or affirmative sentences with such appeals. As can be seen from Fig. 4, such metastructures are not common in Report because this genre is just the general analysis of the researches done before from the practical point of view, so there is no need in the copyright law observance. By the use of references, citations, eponyms and direct address to the reader it is possible to make a dialogue between the reader and the authors of the scientific and technical texts and even attract the third part to that is the researchers worked on the describes problem earlier. M: The Stewart-Gough platform is a popular choice for car and airplane cockpit simulators [21, p. 23] D: Fong, et al. [65] stated [22, p. 24] R: You, the reader, are encouraged to engage with this process and to contribute your knowledge to the content of this document [27, p. 1] RA: To explain how this can be achieved, let us consider an example of the protection level zone [23] P: Boolean function [28] Confirmation of the Mentioned Above by Illustration, Table, Graph, etc. as a Function of Metastructure As it can be seen from Fig. 5, these metastructures are typical to the almost all the studied genres of scientific and technical discourse except Report where it is not necessary. By the means of graphs, figures, tables and appendixes the reader gets illustrative and visual information form that provides better understanding of the authors’ idea.
36
I. A. Anashkina and I. I. Konkova 40%
20% 0%
Monograph
Dissertation
Article
Patent
Fig. 5. Frequency: confirmation by illustration as the function of the metastructure
M: In Appendix C we also present [21, p. 4] D: Results are shown in Table 4 [22, p. 98] RA: Good and bad satellite geometry examples are illustrated in Fig. 4 [23] P: Attention is now drawn to Fig. 1 [28] Text Formation as a Function of Metastructure As it was already mentioned above there is a great variety of metastructures used in text formation function which characterizes all the analyses genres while it is really wide spread in patents and articles. In Table 3, one can see metastructures in this very function specific for the certain genre. Table 3. Metastructures in the textformation function Genre
Metastructures
Monograph
first…second, as the title indicates, this book covers, in the rest of the chapter we provide, as mentioned above, our next task is, in the previous exercise, we assume that, as mentioned above
Dissertation
the dissertation focuses on/examines, the dissertation starts with… this is followed by, the first step was, however, this will be further discussed later, this dissertation is organized in five chapters, the first experiment … the second experiment
Report
this document aims, finally, in addition, on the one hand … on the other hand, furthermore, consequently, as stated before
Scientific Article in this paper, furthermore, lastly, however, moreover, additionally, this paper proposes, nonetheless, our aim is, hereafter, as a consequence, besides this fact, in addition to that, afterwards, the first one…the second one, as mentioned before, subsequently, afterwards, the remainder of this paper is organized as follows Patent
wherein, moreover, according to the first aspect, herein, as already mentioned above, as described earlier, as further described above, this aspect is described below, the invention described hereunder, as outlined above
As it can be seen from Fig. 6, metastructures in this function are the most frequent in such genres as article and patent, then comes monograph. The aim of these genres is to inform the readers about the authors’ achievements and persuade them as correctness
Corpus-Oriented Comparative Analysis of Metastructures
37
and originality are concerned, that is why it is really essential to organize the material in the proper way and by means of metastructures to make it more convincing. 40% 30% 20% 10% 0%
Monograph
Dissertation
Report
Article
Patent
Fig. 6. Frequency: textformation as the function of the metastructure
Evaluation as a Function of Metastructure In spite of the fact that scientific and technical discourse is characterized by strictness and rate setting, evaluation and estimation is present in it in various lexical forms (Table 4). Table 4. Metastructures in the evaluation function Genre
Metastructures
Monograph
important examples, a disadvantage of this approach is .. an advantage is, it is important to note, the key concept, it is worth thinking about, is quite extensive
Dissertation
it would be worthwhile, it is not always possible, nor an easy task, it is no surprise, it is reasonable, can be a challenge, particularly important, is essential,
Report
has become the backbone, the key drivers of flexibility and competitiveness, it is widely recognised/acknowledged, an important step, it is unclear, it is the successful integration, particularly important for, there has been a considerable progress, there are clear benefits, this is not only critical, there is already considerable interest in, it is clear, the current main difficulty, significant opportunity, it is essential
Scientific Article another important advantage of our approach, significant part of a full system, there are many algorithm, one drawback, this is not necessary for, these technologies are quite promising, it is impossible, this is not practical, there are no similar approach Patent
the main background literature, it can be difficult, preferably, substantial amount, the disadvantage of, one of the greatest challenges is
As it can be seen from Fig. 7, metastructures in the function of evaluation is most prevalent in Report, where estimation is an essential part.
38
I. A. Anashkina and I. I. Konkova 100% 50% 0%
Monograph
Dissertation
Report
Article
Patent
Fig. 7. Frequency: evaluation as the function of the metastructure
Comment as a Function of Metastructure Comments in scientific and technical discourse are necessary to express the author’s opinion and make the reader acquire the given information in the proper way. As it can be seen from Fig. 8, the larger number of comments are in monograph. So, comments are an essential part of this genre. 30% 20% 10% 0%
Monograph
Dissertation
Report
Article
Patent
Fig. 8. Frequency: comment as the function of the metastructure
M: Another important component of the book is the software [21, p. XV] D: I consider these seven stages very important especially in the design of a user interface [22, p. 35] R: Therefore, there is a new need for systems capable of picking single items in a store [27, p. 120] RA: To observe this fact, it is suitable to compare Figure 16a-top and Figure 16-b bottom reporting the target loss probability trend and the value of the monitored area, respectively [25] P: for example, it is not necessary that the diameter of the wheel assembly be at least, say, 75% [28] Acknowledgement as a Function of Metastructure As for the function of acknowledgements as metastructures, it is typical only of big genres of the scientific and technical discourse (Fig. 9), where the authors express their gratitude for support and help. 2,00% 0,00%
Monograph
Dissertation
Fig. 9. Frequency: acknowledgment as the function of the metastructure
Corpus-Oriented Comparative Analysis of Metastructures
39
M: It is our pleasure to acknowledge the many people who have been the sources of help and inspiration in writing this book [21, p. XVI] D: I wish to give thanks to all those who in one way or another have provided guidance [22, p. XI] In loving memory of my mother [22, p. X] Attention Attraction as a Function of Metastructure Attention attraction is not typical of scientific and technical discourse. It is used only in rare cases where it is really necessary to emphasize a fact or another. As it can be seen from Fig. 10, they make their appearance only in Monographs and Articles. 5,00% 4,00% 3,00% 2,00% 1,00% 0,00% Monograph
Article
Fig. 10. Frequency: attention attraction as the function of the metastructure
M: Important! [21, p. 61] RA: Note that, we have experimented with other sets of parameters before the optimization step [24]
4 Discussion So, the analysis points out that the functions of metastructures are no doubt important in this type of discourse. The metastructures under study need to conceive as a multi-dimensional phenomenon consisting of numerous discourse components. The conclusions are as follow: 1) all the genres (monograph, dissertation, scientific article, scientific and technical report and patent) are characterized by metadiscursiveness; 2) monograph, the most volumetric genre, is saturated with metastructures that is presumably explained by its subtantiality and all-round description and analysis; 3) all the metastructures can be grouped according to their functions: explanation, cutting down details, dialogisation, confirmation of the mentioned above by illustration, table, graph, etc., text formation, evaluation, comment, acknowledgment and attention attraction; 4) such metastructure functions as cutting down details, acknowledgment and attention attraction are not typical of the scientific and technical discourse because of the degree of its formality; 5) the metastructures in the function of giving explanation, dialogisation, textformation, evaluation and comment are used in all the studied genres because they provide proper understanding of the authors’ thoughts and ideas and are extremely essential;
40
I. A. Anashkina and I. I. Konkova
6) the metastructures presenting dialogisation play special role in the scientific works; the dialogues make the research lively, informative as far as they help share ideas and express criticism or agreement; 7) the instrument AntConc in studying metastructures is not efficient because of lack of semantic analysis and of seeing no difference between capital and small letters. The method of critical discourse analysis is highly recommended when this instrument is used.
References 1. Lukina, N.V.: Smyslovaya struktura meta-teksta (na materiale tvorchestva T. Tolstoj) [Semantic Structure of Metatext (on the Material of T. Tolstaya’s Work)]: PhD thesis. Astrahan’ (2011). (in Russ.) 2. Perfir’eva, N.P.: Metatekst: tekstocent-richeskij i leksikograficheskij aspekty [Metatext: Textcentric and Lexicographic Aspects]: doctoral thesis. Novosibirsk (2006). (in Russ.) 3. Shaimiev, V.A.: Metatekst i nekotorye ego priznaki. [Metatext and some of its traits]. In: Lingvisticheskii seminar. Iazyk kak mnogomernoe iavlenie (1996). (in Russ.) 4. Yarygina, Z.A.: Sposoby i sredstva reprezentacii metastruktury sovremennogo uchebnogo teksta [Methods and Means of Metastructure Representation in Modern Educational Text]. In: Science Journal of Volgograd State University. Linguistics 1(20), pp. 26–33 (2014). (in Russ.) 5. Adel, A.: Metadiscourse in L1 and L2 English. Amsterdam, Philadelphia (2006). https://doi. org/10.1075/scl.24 6. Hyland, K.: Metadiscourse: Exploring Interaction in Writing, pp. 3–131. Continuum, London, New York (2005). https://doi.org/10.1017/S0047404508080111 7. Zakharov, V.P. Korpusnaia lingvistika [Corpus Linguistics] (2005). (in Russ.) 8. Mamontova, V.V.: Korpusnaia lingvistika v sovremennoi paradigme [Corpus Linguistics in the Modern Paradigm]. In: Actual Issues of the Contemporary Science 12, 230–238 (2010). (in Russ.) 9. Zakharov, V.P., Bogdanova, S.Iu.: Korpusnaia lingvistika [Corpus Linguistics] (2013). (in Russ.) 10. Sinclair, J.: Corpus, Concordance, Collocation. Oxford University Press, Oxford (1991). https://doi.org/10.2307/330144 11. McEnery, T., Hardy, A.: Corpus Linguistics. Cambridge University Press, Cambridge (2011) 12. Biber, D., Conrad, S., Reppen, R.: Corpus linguistics: investigating language structure and use. Cambridge University Press, Cambridge (2011) 13. Ivanova, S.V., Medvedeva, S.N.: A Corpus-Based Differentiation of Near-Synonyms in SmartTechnologies Framework. In: Rocha, A., Isaeva, E. (eds.) Perm Forum 2021. LNNS, vol. 342, pp. 684–692. Springer, Cham (2022). https://doi.org/10.1007/978-3-030-89477-1_65 14. Lin, Y.-Y., Chung, S.-F.: English Teaching & Learning 45(2), 189–216 (2021). https://doi. org/10.1007/s42321-020-00072-0 15. Song, Q.: Effectiveness of corpus in distinguishing two near-synonymous verbs: dam-age and destroy. In: Engl. Lang. Teach 14(7), 8 (2021). https://doi.org/10.5539/elt.v14n7p8 16. Isaeva, E., Manzhula, O., Baiburova, O., Crawford, R.: Smart Technologies for Genre Closeness Evaluation. In: Rocha, A., Isaeva, E. (eds.) Perm Forum 2021. LNNS, vol. 342, pp. 623–634. Springer, Cham (2022). https://doi.org/10.1007/978-3-030-89477-1_60 17. Penkova, Y., Rabus, A.: East Slavic indefinite pronouns: a corpus-based approach. Russian Linguistics 45(3), 227–252 (2021). https://doi.org/10.1007/s11185-021-09247-0
Corpus-Oriented Comparative Analysis of Metastructures
41
18. Chilingaryan, K.P.: Korpusnaya lingvistika: teoriya vs metodologiya [Corpus Linguistics: Theory vs Methodology]. In: RUDN Journal of Language Studies, Semiotics and Semantics 12(1), 196–218 (2021). https://doi.org/10.22363/2313-2299-2021-12-1-196-218 (in Russ.) 19. Solnyshkina, M.I., Gatiyatullina, G.M.: Ictoriya razvitiya korpusnoj lingvistiki (na primere angloyazychnyh korpusov) [The History of Corpus Linguistics (on the Example of the English Language Corpora]. In: Tomsk State University Journal of Philology 63, 132–160 (2020). https://doi.org/10.17223/19986645/63/8 (in Russ.) 20. Yotimart, D.: Academic vocabulary in sport tourism news: a corpus-based study. Journal of Language and Linguistic Studies 17(3), 1527–1535 (2021). https://doi.org/10.52462/jlls.110 21. Lynch, K.M., Park, F.C.: Modern Robotics, Mechanics, Planning, and Control. Cambridge University Press, Cambridge (2017) 22. Adamids, G.: User interfaces for human-robot interaction: Application on a semi-autonomous agricultural robot sprayer: doctoral dissertation. Cyprus (2016) 23. Isik, O.K., Hong, J., Petrunin, I., Tsourdos, A.: Integrity Analysis for GPS-Based Naviga-tion of UAVs in Urban Environment. Robotics 9(3), 66 (2020). https://doi.org/10.3390/robotics9 030066-25 Aug 2020 24. Derrouaoui, S.H., Bouzid, Y., Guiatni, M.: Nonlinear robust control of a new reconfigurable unmanned aerial vehicle. Robotics 10(2), 76 (2021). https://doi.org/10.3390/robotics1002 0076 25. Lissandrini, N., Michieletto, G., Antonello, R., Galvan, M., Franco, A., Cenedese, A.: Cooperative optimization of UAVs formation visual tracking. Robotics 8(3), 52 (2019). https:// doi.org/10.3390/robotics8030052 07 Jul 2019 26. Schenkel, J., Taele, P., Goldberg, D., Horney, J., Hammond, T.: Identifying potential mosquito breeding grounds: assessing the efficiency of UAV technology in public health. Robotics 9(4), 91 (2020). https://doi.org/10.3390/robotics9040091 27. Robotics 2020: Multi-Annual Roadmap for Robotics in Europe. Horizon 2020 Call ICT-2016 (ICT-25 & ICT-26) 28. Patents: https://patents.justia.com/patents-by-us-classification/382/153 29. Sabanchieva, A.K.: Zhanrovaya specifika teksta nauchnoj monografii (na materiale sovremennyh russkoyazychnyh monografij po astronomii) [Genre Specifics of the Scientific Monograph (on the Material of Modern Russian Monograph about Atsronomy)]. Molodoj uchyonyj 4(138), 289–296 (2017). (in Russ.) 30. Kurkan, N.V.: Model’ rechevogo zhanra «patent» [Model of Patent Discourse Genre]. Filologicheskie nauki. Voprosy teorii i praktiki 13(8), 122–126 (2020). (in Russ.)
Construction and Comparison of Additive Mathematical Models for Ranking CVs by the Degree of Compliance with the Requirements of the Vacancy Irina Tregubova
and Yuriy Sharapov(B)
Perm State University, 15, Bukireva Street, Perm 614990, Russia [email protected]
Abstract. The paper deals with the comparison of mathematical models of CV ranking for automating the analysis and ordering of CVs according to the degree of compliance with the requirements of the vacancy in the recruitment process. There are two mathematical models available: the RCV and the RCVS models. These models are based on semi-structured data of vacancies and CVs from the site hh.ru. It uses the matching of a vacancy and a CV by such components as education (E), work experience (S), and length of employment (L). Fitting coefficients are introduced in model to manage of the degree of influence of components E, L, S to CV evaluation. The paper provides a solution to the optimization problem of determining the values of fitting coefficients based on the Lagrange multiplier method, and calculates the values of fitting coefficients for a "training" vacancy (the model training stage). The verifications of both models on the test vacancy are presented. The paper also presents an assessment of the quality of ranking models using metrics: precision, recall, f-measure, NDCG, the average relative compliance and the author’s ETop metric. Keywords: e-recruitment · HH.RU · Lagrange multiplier method · recruiting · mathematical model · data ranking · CV · vacancy · synonyms
1 Introduction Nowadays it is a serious problem for many companies to persist to a turnover of employees. This problem has damage influences to business, leads to additional expenses and disable to plan future projects. The best way to reduce a turnover of employees is to recruit right, motivated employee to corresponding position at the beginning work in company [1]. This moment in Russian market almost every company has already used programing tools to automate recruitment [2]. Foremost, it needs to automate routines, repeatable operation. Automating staff preselection leaded to high results in comparison “hand” recruitment except senior positions [3]. There are a lot of scientific papers published in the world about recruitment automation. Some of them are introduced this research. In 2000-th scientists F. Faerber [4] and © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 E. Isaeva and Á. Rocha (Eds.): Perm Forum 2022, LNNS 622, pp. 42–55, 2023. https://doi.org/10.1007/978-3-031-28086-3_3
Construction and Comparison of Additive Mathematical Models
43
T. Keim [5] suggested hybrid approach for recruitment that based on content filtration and collaborative filtration. In 2006 J. Malinowski described a way of two-side mutual evaluation such as employers by employees, such as employees by employers [6]. At the beginning of 2010-th F. Aleskerov suggested a social function of making decision. This function helps to calculate an aggregate value of CV by several expert’s decisions [7–9]. E. Kalugina used Aleskerov’s approach in her practical realization to rank CVs by aggregation rules [1]. In 2013 the automated system EXPERT was created for intelligent screening of candidates for recruitment by S. Kumaran and colleagues [10]. The system transform knowledge from vacancy and each CVs to ontology and then ranked candidates by degree correspondence of CVs’ ontologies by ontology of vacancy. The papers [4, 5] describe CVs filtering that cuts unacceptable documents. Thus, the approach decides for HR specialist what CVs are appropriate, and what are not suitable. The project [6] does not consider priorities of CVs’ evaluation criteria nightie from an employer, nor from a vacancy. The author of article [1] did not introduce mathematical valuations of the approach efficiency. The system EXPERT [10] rank candidate by structured input data. The purpose of this paper is automation of recruitment by HR specialists of Perm branch of Nestlé company. The recruitments use a “cold” search by responses to the vacancy1 by candidates using site hh.ru. It needs to automate an analysis of semistructured vacancies’ and CV’s texts in Russian language. The requirement to solution is not to cut off CVs without HR specialist’s decision. The results of recruitment need to be interpretable and understandable for employer and based on the priority of CV’s evaluation criteria. The existing solutions are not available to the requirements. Also, site hh.ru at the moment has not tools to satisfy the needs of the customer. Therefore, this paper introduces two new additive mathematical models for automating the analysis and ordering of CVs. These models rank CVs by the degree of compliance with the requirements of the vacancy. The results valuation of applying the mathematical models are described and compared with an expert decision.
2 The Task of Ranking CVs Set up of the problem. It is necessary to organize the CVs of applicants who responded to the vacancy, according to the degree of compliance with the requirements of the vacancy. Authors had been solving the problem within recruitment process of Nestlé company. Examples of vacancies and corresponding CVs were found on the site hh.ru in Russian language. HR specialists of Nestlé company did expert ranks of CVs by two vacancies: “HR Department Specialist” and “Quality Control Specialist”. The text of the vacancy consists of sections: “Responsibilities”, “Requirements to candidates”, “Conditions of work” and etc. At the same time, for example, there is no special section of vacancies for Education. We consider that information about education is posted in the section “Requirements to candidates” of Nestlé vacancy. We need to analyze data within vacancy sections as an unstructured data. Thus, in order to separate 1 Response to the vacancy is a CV from a candidate, that he sends for the concrete vacancy of
the employer using site hh.ru.
44
I. Tregubova and Y. Sharapov
education data from other data in the section “Requirements to candidates” of Nestlé vacancy, we had analyzed several vacancies and assumed that such data might be marked with marker words: “required education”, “profile areas”. Table 1 shows the correspondence of vacancy and CVs characteristics. Table 1. Matching vacancy and CV characteristics Vacancy characteristics
CV characteristics
Required length of employment
Total length of employment Length of employment from each place of work
Requirements to candidates
Education Responsibilities from each place of work
Key skills
Key skills
Responsibilities
Responsibilities from each place of work
Salary
Salary
Work schedule
Desired work schedule
3 Description of Mathematical Models In order to rank CVs according to the degree of compliance with the requirements of the vacancy, we will assign a numerical rating to each CV and sort them in descending order. We denote the numerical evaluation vi of the i-th CV of the vacancy. 3.1 Assumptions of Mathematical Models After consulting with HR specialists, we decided to focus on three candidate characteristics: education, work experience and length of employment. According to HR specialists, these characteristics most affect the quality of recruitment. Therefore, we will introduce the following assumption: the mathematical model will consider only those items of vacancies and CVs that correspond to such characteristics of candidates as education, length of employment and work experience. We introduce the following definitions: 1. Education (E) – the number of places of study of the applicant, the specialty of which corresponds to the position of the vacancy, considering the level of the educational organization. 2. Length of employment (L) – the total length of work of the applicant, which corresponds to the position of the vacancy. 3. Work experience (S) – the number of vacancy requirements and responsibilities that correspond to the applicant’s previous job responsibilities and key skills.
Construction and Comparison of Additive Mathematical Models
45
Each component is a numerical score that will be calculated as a result of processing the texts of the vacancies and CVs sections. A comparison of the vacancy and CV sections to the components of the mathematical model is shown in Table 2. Table 2. Mapping components of the mathematical model, sections of vacancy and CV Components of the mathematical model
Vacancies section
CV section
Education(E)
Requirements to candidates
Education
Length of employment (L)
Required length of employment by position
1. Total length of employment 4. Length of employment from each place of work
Work experience(S)
1. Key skills 2. Responsibilities
1. Responsibilities from each place of work 2. Key skills 3. Position from each place of work
We introduce the following formulas for calculating the components which are used in authors’ additive mathematical models. The “Education" (E) component of the mathematical model will be calculated using the following formula: Ei =
Mi
[j] ek · max βk , j = 1, 3,
(1)
k=1
where k – the serial number of the item on education in the i-th CV; Mi – the number of places of education indicated in the i-th CV; ek – the indicator of the education level, ek ∈ { 0.25; 0.5; 1} , where 0.25 – specialized secondary education; 0.5 – incomplete higher education or advanced training courses; 1 – higher education; j – the serial number of scores: βk[1] (j = 1) – the profile conformity score to the requested educational organization, βk[1] ∈ { 0; 0.25} , where 0 – non-core, 0.25 – profile; βk[2] (j = 2) – the profile conformity score to the requested faculty / department of the educational organization, βk[2] ∈ { 0; 0.25} , where 0 – non-core, 0.25 – profile; βk[3] (j = 3) – the profile conformity score of the requested specialization/direction, [3] βk ∈ { 0; 1} , where 0 – non-core, 1 – profile. We analyze text in Russian language. Therefore, the words need to transform to initial form to compare meaning correctly. We introduce the following notation. The basis set of words from the sections “Responsibilities”, “Requirements to candidates” and “Key skills” in the vacancy is denoted as . The power of the word basis set is denoted as F. The basis set of words from the sections “Key skills” and “Work experience” in the CV is denoted as .
46
I. Tregubova and Y. Sharapov
The basis sets of words and consist of words from the texts of the corresponding sections that have passed the following processing steps: 1) lemmatization of words in the text (i.e. reduction of the word form to its original dictionary form – lemma); 2) cutting off stop words, i.e. excluding words that do not carry a semantic load from the list of lemmas obtained during lemmatization of texts. The “Length of employment” (L) component of the mathematical model will be calculated using the following formula: Li =
R
γ r · lr ,
(2)
r=1
where i is the serial number of the CV for the current vacancy; r – the serial number of previous job in “Work experience” section in the i-th CV; R – the number of previous jobs in “Work experience” section in the i-th CV; γr – the profile conformity score of r-th item in “Work experience” section in the i-th CV to vacancy key skills, γr ∈ { 0; 1} , where 0 - non-core, 1 - profile; lr – the length of employment within the r-th item in “Work experience” section in the i-th CV. The “Work experience" (S) component of the mathematical model using the following formula: Si =
F
sq
(3)
q=1
where i is the serial number of the CV for the current vacancy; q – the sequential number of the word from the basis ; sq – the occurrence of the q-th word from basis set to basis set , sq ∈ { 0; 1} , where 0 – is not included, 1 – is included. Fitting Coefficients. We assume that the mathematical model includes each component with a certain fitting coefficient, which determines the degree of influence of the component on the CV’s score (vi ). We introduce the following assumption of the mathematical model: the values of the fitting coefficients αj , j = 1, 3 for the components E, L, and S can be used for all vacancies. Thus, if you find coefficients αj , j = 1, 3 for one vacancy, then these coefficients can be used to calculate CV ratings for other vacancies. 3.2 The Additive Mathematical Model for Ranking CVs Without Synonyms We assume that the CV’s score will be calculated using the following formula: vi = α1 · Ei + α2 · Li + α3 · Si , i = 1, N ,
(4)
Construction and Comparison of Additive Mathematical Models
47
where i is the serial number of the CV for the current vacancy; N – the number of responses (CVs) to the vacancy;vi – the score of the i-th response; αj , j = 1, 3 – fitting coefficients for the CV components; Ei , Li , Si – scores of the components of "Education", "Length of employment" and "Work experience" of the i-th response respectively. We will further name this additive mathematical model as the RCV model. 3.3 The Additive Mathematical Model for Ranking CVs with Synonyms Consider the following hypothesis: when comparing CV and vacancy texts, we will take into account contextual synonyms, as this can potentially improve the relevance of CV ranking. In this research we will use contextual synonyms as words or phrases that are similar in meaning only in a certain context, for example, within the same vacancy, subject area, etc. We will further name this additive mathematical model with synonyms as the RCVS model. In difference with RCV model, RCVS model includes the preprocessing of vacancy texts and CVs changes. Thus, a new processing step is being added: replacing contextual synonyms of one group with a single word of this synonym group before comparison vacancy and CVs.
4 Determination of Fitting Coefficients 4.1 Finding a Formula for Calculating Fitting Coefficients To determine the fitting coefficients, we construct the following objective function: T=
N
(Vˆ i − vi )2 → min,
i=1
vi = α1 Ei + α2 Li + α3 Si ,
(5)
aj ≥ 0, j = 1, 3. where Vˆ i – is the expert score of the CV of the i-th candidate, vi – is the calculated score of the CV of the i-th candidate, which is presented in the form vi = α1 Ei + α2 Li + α3 Si . The objective function T, which is convex, has restrictions of the type of nonstrict inequalities imposed on the fitting coefficients. Thus, these conditions satisfy the requirements of applying the Lagrange multiplier method. We write the Lagrange function as follows: L(α, λ) = λ0
N
(Vˆ i − α1 Ei − α2 Li − α3 Si )2 + λ1 (−α1 ) + λ2 (−α2 ) + λ3 (−α3 ) (6)
i=1
Next, we write out the necessary conditions for the extremum.
48
I. Tregubova and Y. Sharapov
1. Stationarity conditions: N ∂L = λ0 −2 Ei Vˆ i − α1 Ei − α2 Li − α3 Si − λ1 = 0, ∂α1 i=1 N ∂L = λ0 −2 Li Vˆ i − α1 Ei − α2 Li − α3 Si − λ2 = 0, ∂α2 i=1 N ∂L = λ0 −2 Si Vˆ i − α1 Ei − α2 Li − α3 Si − λ3 = 0. ∂α3
(7)
i=1
2. Non-negativity relations: λ0 ≥ 0, λ1 ≥ 0, λ2 ≥ 0, λ3 ≥ 0.
(8)
3. Ratios of complementary non-rigidity: λ1 (−α1 ) = 0, λ2 (−α2 ) = 0, λ3 (−α3 ) = 0.
(9)
We obtain an only joint solution that satisfies the meaning of the problem, when λ0 = 1, λ1 = 0, λ2 = 0, λ3 = 0 in the form of a system of linear algebraic equations: ⎧ ⎪ ⎪ E Vˆ = α1 E 2 + α2 EL + α3 ES, ⎪ ⎨ (10) LVˆ = α1 EL + α2 L2 + α3 LS, ⎪ ⎪ ⎪ ⎩ ˆ S V = α1 ES + α2 LS + α3 S 2 . By the method of Lagrange multipliers, a local minimum of the function T is reached at the critical point obtained from this solution. The function T is convex, and this local minimum is also global. A solution to the problem of determining fitting coefficients has been found. 4.2 Calculation of Fitting Coefficients for Each Model The fitting coefficients were determined based on the data of the "HR Department Specialist" vacancy, data from 14 CVs, and expert scores Vˆ i for each CV. The E, L, and S component scores were calculated for each CV. Substituting these values into the system (10), for the RCV model we obtain α1 = 0.903; α2 = 0.400; α3 = 0.439, for the RCVS model – α1 = 0.858; α2 = 0.398; α3 = 0.416. It can be seen that in both cases the fitting coefficient of the Education component is approximately twice as large as the other coefficients. This suggests that the Education component has a greater degree of influence on the final score of the CV than other components. The other two components have approximately the same degree of influence.
Construction and Comparison of Additive Mathematical Models
49
5 Metrics for Assessing the Quality of Ranking To compare CVs’ order made by model with order made by expert we assume to use ranks of expert scores and ranks of model scores. 5.1 Existing Metrics There are well-known metrics to evaluate quality of information filtering or classification such as recall, precision, F-measure [11]. They operate terms such as relevant object to set or not relevant. They are not suitable in an initial form for our task because there no filtration or classification. In our case all of responses (CVs) to vacancy are appropriate but with different degree. Nonetheless these are classical metrics, so it is interesting to adapt to illustrate measure solution quality of our problem. Recall is calculated as the ratio of the found relevant objects to the total number of relevant objects. Recall characterizes the ability of the system to find objects that the user needs, but does not consider the number of irrelevant objects issued to the user. Precision is calculated as the ratio of the relevant objects found to the total number of objects found. Precision refers to the ability of the system to display only relevant objects in the list of results. The F-measure is often used as a single metric that combines the metrics of recall and precision into one metric: precision·recall Fmeasure = 2 · precision+recall Note that these metrics are used in binary problems where the relevance score takes only two values: 0 and 1. To illustrate metrics recall, precision, F-measure to valuate quality our solution, it needs to determine a set of appropriate objects. We assume that the threshold value is 80% of the maximum score among CVs (similar to the research in Kumaran’s work [10]). Thus, responses by the model version we can evaluate as relevant or not relevant and calculate metrics recall, precision and F-measure. There is other existing metrics are DCG and NDCG [12]. The metrics evaluate the quality of the first n objects in a list. DCG is a ranking metric that takes into account the order of elements in the list by multiplying the relevance of the element by a weight equal to the inverse logarithm of the position number. DCG =
n 2grade(p) − 1 p=1
NDCG =
log2 (2 + p)
DCG Z
where grade(p) is the average relevance score given by experts (evaluators) to the object located at position p in the list of results, grade ∈ [0, 3]: “0” is not available, “1” is seems to not available, “2” is seems to available, “3” is completely appropriate. 1/ log2 (2 + p) – discount for the position of the object (the first objects have more weight). Z – normalization factor, equal to the maximum possible DCG value for a given query (i.e., equal to the DCG of the ideal ranking).
50
I. Tregubova and Y. Sharapov
Therefore, the NDCG metric takes values from 0 to 1, and NDCG = 1 only if the system has ordered objects in the same order of expert scores. As an assessment of the quality of ranking, we will consider the average relative error of the ratings obtained by the model from the ratings set by experts:
n
x syst − Xi
i 1 = n Xi i=1
syst
where Xi is the rating of the i-th document set by experts, and xi is the rating of the i-th document received by the model. The average relative error of the estimates obtained by the model, the estimates made by experts is some analogue of the objective function T (5). Therefore, to compare this metric to previous, we will use the average relative compliance (1 − ) of the model’s list of ranks and expert’s list of ranks. 5.2 Metric Top Let R be the set of all CVs considered for meeting the requirements of the vacancy. Let N be the power of the set R. Authors introduce the Topk metric, which determines the degree of compliance of the two ordered subsets of power k from the set R that selected by an expert and the model. k is a threshold that show power of relevant ordered objects. Let’s represent the Topk metric with the following formula: Topk =
1 |Mk ∩ Tk | k
where k is the number of CVs that best meet the requirements of the vacancy from the set R, Mk – a subset of CVs of power k from the set R that most meet the requirements of the vacancy according to the model; Tk – a subset of CVs of power k from the set R that most meet the requirements of the vacancy according to the expert. The values of the Topk metric for can be represented on the diagram in the following form (for example, take N = 14) (Table 3).
Construction and Comparison of Additive Mathematical Models
51
Table 3. Expert and Calculated CVs ranks of “HR Department Specialist” vacancy Applicants
Expert ranks
Calculated ranks
Applicant1
14
14
Applicant2
14
13
Applicant3
8
9
Applicant4
12
12
Applicant5
10
11
Applicant6
12
10
Applicant7
10
6
Applicant8
2
4
Applicant9
7
8
Applicant10
5
7
Applicant11
7
3
Applicant12
4
2
Applicant13
4
6
Applicant14
1
1
Let calculate Topk metric for k from 1 to N.
Fig. 1. Diagram of the correspondence between the selection of a CV by an expert and a model according to the Topk metric
Let introduce an aggregated score ETop, as an assessment of the compliance of the CV selection by the expert and the model for all Topk , where k ∈ [1, N ].
52
I. Tregubova and Y. Sharapov
Let Sa be the square of the entire rectangle of the diagram, and Se be the square of the blue area (the area that reflects the coincidence of the expert’s choice and the model). The height of the chart rectangle is 1, and the length is (N-1)·h, where h is the imaginary distance between the Topk estimates in the diagram. So Sa = 1·(N-1)·h. The square Se will be considered as the sum of the areas of trapezoids formed by the corresponding estimates Topk and Topk+1 . So the formula of the square of the blue area will look like this: Se =
N −1 i=1
Topi+1 + Topi ·h 2
The formula for the aggregate score ETop will look like this: N −1
Topi+1 + Topi+1 1 Se ·h= = Sa 1 · (N − 1) · h 2 i=1 N −1 n = N 1−1 Top1 +Top + Top i i=2 2
ETop =
Note that the Topn value is always equal to one. Let’s present the formula for an aggregated estimate ETop in the following form: N −1 1 Topi ETop = 1 + Top1 + 2 2 · (N − 1) i=2
Let’s introduce a complementary aggregated estimate DTop, as an assessment of the differences between the selection of a CV by an expert and the model for all Topk , k ∈ [1, N ]. Therefore, DTop = 1 – ETop. The properties of Topk metric: 1. Does not take into account the order of ranks within the top k candidates; 2. If there are several objects with equal rank, but part of them do not satisfy the threshold, all such objects is considered as relevant independently threshold. The properties of ETop metric: 1. 2. 3. 4.
Symmetric result of calculation metric value for two vectors of ranks; Describe quality of ranking without thresholds; Normalized and not depends on numbers of comparable objects; Described by an interpretable diagram (like Fig. 1).
6 Evaluating the Quality of Mathematical Models Nestlé’s "Quality Control Specialist" vacancy, 13 applicants ’ CVs, and corresponding expert scores of CVs were used to verify the additive mathematical models of CV ranking. The values of fitting coefficients αj , j = 1, 3 obtained at the model training stage were
Construction and Comparison of Additive Mathematical Models
53
Table 4. Comparison of ranks by Expert, the RCV model and the RCVS model Applicants
Expert ranks Calculated ranks by the RCV Calculated ranks by the RCVS model model
Applicant B1
13
13
13
Applicant B2
13
12
12
Applicant B3
11
7
9
Applicant B4
10
6
6
Applicant B5
9
11
11
Applicant B6
9
10
10
Applicant B7
7
9
7
Applicant B8
7
5
4
Applicant B9
5
4
5
Applicant B10
4
8
8
Applicant B11
4
2
2
Applicant B12
2
3
3
Applicant B13
1
1
1
used to calculate CV scores. Based on the obtained and calculated data, the ranks of expert scores and calculated ranks for both models were obtained, which are presented in the Table 4. The quality of the mathematical models was evaluated. The ranking quality assessment metrics were used for this. Recall, precision, F-measure, NDCG, the average relative compliance and the ETop metric were measured to determine the quality of the models. Comparison of metrics is shown in Fig. 2. The diagram shows that the measures of the RCVS model are higher than those of the RCV model. Authors have only two vacancies to teach and verify the models. Each vacancy is corresponding about 13–14 CVs. It is not representative data. Nonetheless the results of paper allow to find direction to develop mathematical models in future. It is illustration that the hypothesis that taking into account contextual synonyms when comparing CVs and vacancy texts might be increases the relevance of CV ranking. The average relative correspondence allows us to evaluate the quality of ranking from the side of minimizing the objective function T that we have constructed. This shows that taking into account contextual synonyms in the RCVS model might improve the result of solving the optimization problem. A high NDCG indicates that the ranking obtained by both models is close to the ranking made by the experts when comparing the average relevance scores (grade) of CVs. A high recall of RSVS model indicates that suitable candidates were not missed out. But this metric does not take into account the number of found unsuitable candidates.
54
I. Tregubova and Y. Sharapov
Fig. 2. Assessing the quality of mathematical models using metrics of assessment quality of ranking
A high precision indicates that most of all returned candidates were relevant, and Fmeasure combines precision and recall. The disadvantage of recall, precision and F-measure metrics is that they are sensitive to the choice of a threshold value since in our case the calculated CVs scores are nonbinary. Therefore, candidates with close scores of CVs may be on different sides of the threshold value. At the same time, according to experts, they can be equally suitable. This research showed that properties of ETop metric is correspond to mechanics of ranking CVs by HR specialists of Nestlé company.
7 Results In this paper, we presented the comparison of two mathematical models of CV ranking according to the degree of compliance with the requirements of the vacancy in the recruitment process. These models focused on such characteristics of candidates as education, length of employment and work experience. The research illustrated that the additive mathematical model with synonyms (the RCVS model) might be more efficient than the model without synonyms (the RCV model). All metrics show the increasing of assessment quality of ranking. Authors suggested the new metric ETop to evaluate quality of ranking according to mechanics of ranking CVs by HR specialists of Nestlé company. The ETop metric is shown the increasing quality of ranking of the RCVS model in comparison of the RCV model from 71,63% to 79,16% respectively. There is appropriate to notice that the quality of “best” mathematical model in 79,16% is not so big. The applied field of the mathematical model is humanitarian area. So, authors suppose that it is possible to implement this approach if it leads to save time to staff selection in condition that HR experts supposed to expedient having this error.
Construction and Comparison of Additive Mathematical Models
55
In the future it is possible to consider to wide research to more numbers of vacancies and their corresponding resumes to show more significant result. Also, in the further work authors is going to draw attention to use approaches of fuzzy logic and methods of ontological engineering to improve the results of the research.
References 1. Kalugina, E., Shvydun, S.: An effective personnel selection model. Procedia Computer Science 31, 1102–1106 (2014). https://doi.org/10.1016/j.procs.2014.05.365 2. How to automate recruitment process in Russian companies. https://perm.hh.ru/article/26288 3. Faliagka, E., Tsakalidis, A., Tzimas, G.: An integrated e-recruitment system for automated personality mining and applicant ranking. Internet Res. 22(5), 551–568 (2012). https://doi. org/10.1108/10662241211271545 4. Faerber, F., Weitzel, T., Keim, T.: An automated recommendation approach to selection in personnel recruitment. 9-th Americas Conference on Information Systems (2003) 5. Keim, T.: Extending the applicability of recommender systems: a multilayer framework for matching human resources. In: 40th Annual Hawaii International Conference on System Sciences (HICSS’07) (2007) 6. Malinowski, J., Keim, T., Wendt, O., Weitzel, T.: Matching people and jobs: a bilateral recommendation approach. In: Proceedings of the 39th Annual Hawaii International Conference on System Sciences (HICSS’06) (2006) 7. Aleskerov, F., Subochev, A.: Modeling optimal social choice: matrix-vector representation of various solution concepts based on majority rule. J. Global Optim. 56(2), 737–756 (2013). https://doi.org/10.1007/s10898-012-9907-2 8. Aleskerov, F., Karabekyan, D., Sanver, M.R., Yakuba, V.: An individual manipulability of positional voting rules. SERIEs 2(4), 431–446 (2011). https://doi.org/10.1007/s13209-0110050-y 9. Aleskerov, F.T., Chistyakov, V.V., Kalyagin, V.: The threshold aggregation. Econ. Lett. 107(2), 261–262 (2010). https://doi.org/10.1016/j.econlet.2010.01.041 10. Kumaran, V.S., Sankar, A.: Towards an automated system for intelligent screening of candidates for recruitment using ontology mapping (EXPERT). Int. J. Metadata Semant. Ontol. 8(1), 56–64 (2013). https://doi.org/10.1504/IJMSO.2013.054184 11. Brownlee, J.: How to Calculate Precision, Recall, and F-Measure for Imbalanced Classification. Machine Learning Mastery. https://machinelearningmastery.com/precision-recall-andf-measure-for-imbalanced-classification 12. Pykes, K.: Normalized Discounted Cumulative Gain. https://towardsdatascience.com/normal ized-discounted-cumulative-gain-37e6f75090e9
Pandemic Crisis Management Programs at Saudi Universities: Current Status and Future Perspectives Reima Al-Jarf(B) King Saud University, Riyadh, Saudi Arabia [email protected]
Abstract. The present study aimed to find out whether Saudi Higher Education institutions offer any programs, courses, or even training in Pandemic Crisis Management. Websites of all Saudi higher institutions were searched using search terms such as crisis management, disaster management, and emergency management. It was found that none of the universities and/or colleges in Saudi Arabia has a department, a program or offers courses in health crisis/disaster management education during pandemics for undergraduate or graduate students. Only two universities have an MA in Health services and Hospital Management offered by King Abdul-Aziz University and a B.A. Program in Health Informatics offered by the Saudi Electronic University. In addition, the College of Earth Sciences at King Abdul-Aziz University offers an M.A. program in Disaster Management of earthquakes, landslides, dust collapses and others. Nayef Arab University for Security Sciences offers an M.A. program in Crisis and Disaster Management in cybersecurity and criminology. The Environmental Health Department at Imam Abul-Rahman Bin Faisal University offers a program in Occupational Health and Safety. The Islamic University in Madinah offers a diploma in occupational health and safety and security of factories and engineering companies. There are few programs in Risk Management and Insurance at King Saud University, King Abdul-Aziz University, Jeddah University, and Imam University. Numerous universities have centers, units or committees that are in charge of emergency and disaster occupational safety and security on campus. Due to the dearth of programs, establishing accredited Pandemic crisis management programs/courses in the healthcare field is urgently needed. Keywords: Covid-19 Pandemic · Coronavirus Pandemic · pandemic crisis management · crisis management programs · crisis management courses
1 Introduction A crisis is a time of severe danger or hardships. It is a mishap, catastrophe, calamity, or grave occurrence, a disruptive or unexpected event in a business, an organization or a country arising from natural or human-induced causes, accident, or negligence. It can be a pandemic, a natural disaster, a terrorist attack, a technological or a global © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 E. Isaeva and Á. Rocha (Eds.): Perm Forum 2022, LNNS 622, pp. 56–67, 2023. https://doi.org/10.1007/978-3-031-28086-3_4
Pandemic Crisis Management Programs at Saudi Universities
57
financial crisis. A crisis disrupts business operations, threatens to harm people, their health or life, damages reputation, negatively impacts people’s finances and well-being or a country’s economy. It might also result in substantial loss of life, human suffering, damage to or destruction of property, or degradation of the environment with a magnitude beyond the coping capacity of the community of the affected area. A crisis or disaster management is a continuous and integrated process of planning, coordinating, organizing, and implementing measures which are necessary or expedient. Controlling a crisis requires a professional crisis management team, assessment of weaknesses, a crisis management plan that addresses the decision-making chain of commands, access to emergency funds, holding statements, contingency plans, a crisis communication plan, monitoring, and resolution. In addition, crisis management requires leadership qualities such as communicating early and often, staying calm, separating emotion from logic, managing expectations, staying strong and managing fear during times of crisis (Sickler 2022; Hayes 20211 ; Al-Jarf 2022c; Sharma 2013; Farmer ND2 ). Due to the importance of crisis management education and/or training, a review of the literature before the outbreak of the COVID-19 Pandemic showed numerous studies that revealed lack of preparedness and the need for crisis/disaster management education in the healthcare field, in particular. For example, in Jordan, Al Khalaileh, Bond, and Alasad (2012) assessed Jordanian registered nurses’ perceptions of their knowledge, skills, and preparedness for disaster management. It was found that 65% of the nurses in the sample described their current disaster preparedness as poor; 18% as medium; 12% as good; and only 5% as very good. 31% reported that they received disaster education in undergraduate programs; 8% in graduate nursing programs; 31% in facility drills, and 22% in continuing education courses. 11% had participated in a real disaster. About 430 registered nurses wanted to learn more about their role in disasters, including knowledge and skills. In Indonesia, nurses working in medical services and educational institutions reported that they are less prepared for disaster management, and do not understand their roles either during disaster preparedness or in coping with a post-disaster situation. They added that their capacity in preparedness, responses, recovery, and evaluation of disasters need improvement through continuing education (Martono, Satino, Nursalam, Efendi and Bushy 2018). In South Australia, 50.9% of the participants stated that in the event of a disaster they would call work to see if they needed additional assistance compared with 43.4% who will wait to be contacted by a manager or a floor coordinator. The researchers concluded that disaster nursing general knowledge amongst staff was poor (Sonneborn, Miller, Head and Cross 2018). In Saudi Arabia (SA), Alrazeeni (2015) found that Emergency Medical Services students had a very scant knowledge, attitudes and practices about disaster preparedness and mitigation. The students reported weak to moderate knowledge and that they were unprepared to respond to disastrous events which make them unconfident in their abilities to adequately respond to disastrous events. They recommended the integration of disaster 1 https://www.investopedia.com/terms/c/crisis-management.asp. 2 https://www.boyden.com/media/global-leadership-in-times-of-crisis-15537465/index.html.
58
R. Al-Jarf
courses in undergraduate emergency medical services curricula, together with practical training in disaster management. In China, 89.8% of the health professionals in the sample wanted to get continual education in disaster medical training but preferred on-line training for flexibility of schedule and saving travel time through China. The researchers concluded that health professionals should be equipped with knowledge and skills needed for disaster management (Huang et al. 2011). In the USA, 38.9% of the healthcare administration graduate students’ sample who are employed by a hospital reported workplace-provided emergency preparedness training. Nevertheless, 96.3% believed that their education should address emergency and disaster management (Hertelendy, Burkle, Greenia, Goniewicz, Donahue and Ciottone 2021). Comparisons of emergency management education within public administration programs, their development, progress, and challenges in China with the American emergency management programs revealed that the development of emergency management education in the USA is driven by practical needs and national initiatives, whereas those in China are still in their developmental stage (Hu and Zhang 2020). In Indonesia, a study by Pascapurnama et al (2018) reviewed eight major natural disasters that were followed by outbreaks of infectious disease. The results emphasized the importance of integrating health education in schools and community-based disaster risk reduction plans, including information dissemination, to create resilient communities. Water- and air-borne infectious diseases were the most common illnesses that followed the eight major natural disasters. Facing such challenges, schools and community centers should be agents for disseminating health promotion information so that people become more aware of health risks and conduce good practices related to prevention, response, and recovery. Health education and promotion can be integrated into curriculum-based or training-based disaster and risk reduction programs as modules, short courses, drills, printed and visual media. In Europe, lack of standardization in a disaster management course was repeatedly highlighted as a serious deficiency in current disaster training methods, along with gaps in the command, control, and communication levels. There is also poorly integrated response activities and response managers are inadequately trained for the requirements of disasters (Khorram-Manesh 2015; Khorram-Manesh et al. 2016). After the outbreak of the COVID-19 Pandemic in the early 2020, the need for preparedness and for healthcare crisis management education became more paramount because the Pandemic has spread to almost all countries and affected the whole world. All countries were not prepared to cope with the Pandemic crisis and were overwhelmed by the spread of the Coronavirus and the unprecedented numbers of new cases, deaths, hospital beds, medical staff, equipment, respirators, medications needed and others. The COVID-19 pandemic has placed a great challenge on the healthcare systems in all countries, how the different sectors have responded to this challenge, and its impact on health and social well-being. The healthcare system in all countries failed to build the local capacity, respond immediately when the Pandemic hit, send urgent medical assistance to the COVID-19 victims, and evacuate them (Al-Jarf 2022c).
Pandemic Crisis Management Programs at Saudi Universities
59
When the COVID-19 Pandemic started, healthcare systems were expected to play an essential role in reducing mortality and morbidity. But the pandemic revealed lack of the necessary training programs for experts specialized in Pandemic mitigation, and preparedness for alleviating the effects of the Pandemic. It also revealed lack of adequate training and education, and hospital disaster management plans to respond appropriately. There was an urgent need for trained personnel for managing the COVID-19 crisis especially in the healthcare system. There was a need to integrate and mainstream emergency medical assistance within the primary healthcare system (Swathi, González, and Delgado 2017; Al-Jarf 2022c). Furthermore, Hertelendy, Burkle, Greenia, Goniewicz, Donahue and Ciottone (2021) declared that the COVID-19 pandemic highlighted the need for healthcare administrators to have the right body of knowledge and skills set to handle disaster and emergency management, and to prepare for increasingly severe and frequent crises. Properly trained healthcare administrators offer enhanced, real-time leadership to the everchanging parameters of evolving disasters. They added that among the Commission on Accreditation of Healthcare Management Education (CAHME) accredited programs, only one university in the USA required a course in emergency and disaster management. About 96.3% of 43 the healthcare administration graduate students currently employed by a hospital reported that their education should address emergency and disaster management. The researchers proposed emergency and disaster management as a core competency for accredited healthcare administration programs. The proposed competency-based curriculum for disaster management should address the needs of healthcare students and professionals from multiple settings and should lead to certification and educational credits reflecting advances in the relevant health and management sciences and application of their concepts and principles. In summary, prior studies revealed the need for a consistent national nursing curriculum for disaster preparedness and nationwide drills to increase disaster knowledge, skills, preparedness, and confidence which require continual reinforcement to improve selfefficacy for disaster management (Panos, Dafni, Kostas and Zacharoula, 2009; Swathi, González and Delgado, 2017). They also revealed a dearth of crisis/disaster management education courses or programs for healthcare professionals in numerous countries such as Jordan, Indonesia, China, and even the USA, especially after the outbreak of the COVID-19 Pandemic. Therefore, this study aims to find out whether higher education institutions in SA offer any programs, courses, or training in Pandemic or health crisis management for healthcare students or professional, due to the urgent need for trained health personnel to combat the unprecedented excruciating effects of the COVID-19 Pandemic. Unlike prior studies that surveyed nurses and healthcare staff’s opinions of their knowledge, skills, and preparedness for disaster management, this study will be based on an examination of the programs and course offerings at colleges/departments of business, medicine, applied medical sciences, nursing and hospital administration especially because the COVID-19 crisis requires good leadership and healthcare personnel equipped with the necessary skills and knowledge in a variety of health-related fields. The integration of courses on Pandemic crisis management education at the graduate and undergraduate levels at Saudi higher education institutions is of utmost importance
60
R. Al-Jarf
because today’s healthcare systems require that they are staffed with skilled health crisis managers who have good knowledge and training, adequate experience, excellent organizational skills, operational planning, mental power, and social sensitivity in order to deal with the health challenges imposed by the Pandemic efficiently, effectively and professionally. Second, the primary healthcare system will be able to play a crucial role in building the local capacity, responding immediately to the current and future Pandemics or any other public health emergency and making communities more resilient to disasters. To conquer the COVID-19 crisis, Van der Heyden and Nathanial (2020)3 added that we need a positive combination of talents and competencies, engaging all in framing the crisis and getting their framing right, exploring the crisis and how to fight it, explaining what they have decided, why and how it will work, committing to action, executing with focus and constant monitoring, evaluating, learning and adapting efforts, as well as their leadership, as new information and feedback come in. Third, pandemic and/or health crisis management professionals are urgently needed to enable the Kingdom to handle the variety of Pandemics that hit the Kingdom every now and then such as the Severe Acute Respiratory Syndrome (SARS) outbreak in 2002–2004; N1H1(Swine Flu) in 2009; MERS (Middle East Respiratory Syndrome) in 2012; the H5N8 bird flu outbreak in 2017, the current COVID-19 Pandemic that has been affecting all sectors in the Kingdom since March 2020 and any other pandemics in the future. Fourth, pandemic and/or health crisis management professionals and personnel in a variety of healthcare fields, and IT professionals specialized in pandemic and health crisis management software and data analysis are urgently needed to work at the National Health Emergency Operations Center (NHEOC)4 that was established by the Saudi Ministry of Health (MOH) and its 20 branches all over SA. NHEOC is a control center for managing the COVID-19 crises. It links MOH and World Health Organization, the Saudi Red Crescent, the Department of Civil Defense, public and private healthcare directorates, all hospitals, and healthcare centers, and to human gathering sites such as schools, universities, markets, airports, and others. During the COVID-19 Pandemic, the center has sent more than 12,000 messages, 1,000 reports, and supervised 1,100 various exercises and hypotheses, created 20 data models, and 25 specialized analytical panels. It monitors and follows up all health incidents, conducts periodic risk surveys, analyzes their causes, drafts periodic reports, and prepares action plans to prevent the recurrence of disasters. It has trained 250 trainees in health crises and various health and administrative specialties. It uses a WebEOC emergency management information system, that enables users to submit communications and data, receives directions, wireless and satellite communication devices. It has a team of 50 Saudi staff working in shifts to monitor accidents and notifications, to ensure readiness to deal with crises, based on daily reports about the clinical capacity of each hospital in the Kingdom, number of available blood units, number of ambulances, and available stock of basic medical materials.
3 http://knowledge.insead.edu/operations/a-crisis-management-blueprint-for-covid-19-13716. 4 http://www.spa.gov.sa/2294680.
Pandemic Crisis Management Programs at Saudi Universities
61
2 Methodology 2.1 Study Population The study population consisted of a total of 128 higher education institutions in SA as follows: 31 state universities and colleges, 55 private universities and colleges and 42 colleges of technology. All colleges, departments, areas of specialty, centers and administrative units were included. 2.2 Data Collection and Analysis Each university or college website was searched using search terms such as “crisis management”, “disaster management”, and “emergency management” in any field, especially the healthcare field, whether it is a program, a department, or even a single course. Types of programs and courses, a brief description of the courses offered, and types of jobs where graduates can work were identified together with the department and university that offer them.
3 Results Findings of the present study have revealed that none of the universities and/or colleges in SA has a department, a program, or offers courses in Health Crisis/Disaster Management Education during pandemics for graduate or undergraduate students. However, there are few programs in crisis/disaster management in areas other than Pandemic disease crisis management as follows: • The first program is an MA in Health Services and Hospital Management at King Abdul-Aziz University which offers courses in the administration of health services and hospitals, the economics, legal environment, statistical analysis, financing, quality management, and marketing of health services at hospitals, accounting, managing human resources, health services, hospital information systems, health professions ethics, health insurance, leadership and organizational behavior in health facilities, public policies and investing in health services and hospitals, and health research design. • The second program is a B.A. Program in Health Informatics offered by the College of Health Sciences at the Saudi Electronic University. The program supports the applications of e-health, electronic health/medical records, telehealth, and telemedicine. It equips students with technical and effective communication skills that help them work as a Clinical/Health Informatics Specialist, Health Applications Specialist, Medical Data Analyst, Health Systems Specialist, Head of Clinical Coding Services Health Data Safety Analyst info researcher or might work at a health insurance company. • Few Saudi Universities offer some programs in Disaster Management in specialties other than the healthcare field as follows: (i) The College of Earth Sciences at King Abdulaziz University5 offers an M.A. program in Crisis and Disaster Management of 5 https://www.kau.edu.sa/Content-306-AR-270836.
62
R. Al-Jarf
earthquakes, landslides, dust collapses, crust losses, floods, storms, volcanoes, water and beach pollution, fire handling, facility security, explosives, counterterrorism, and civil protection. (ii) Nayef Arab University for Security Sciences offers an M.A. program in Crisis and Disaster Management in cybersecurity and criminology; (iii) the Environmental Health Department at Imam Abul-Rahman Bin Faisal University6 offers a program in Occupational Health and Safety which prepares the students to apply risk management principles to anticipate, identify, evaluate, and control the risks that employees are exposed to while performing their work; interpreting and applying local and international legislative requirements and best practices in the work environment; inspection and auditing of compliance with occupational health and safety standards in the work environment; understanding and evaluating individual and group behavior; developing a safe and healthy work environment; understanding the organizational culture and its impact on the health and safety of the work environment; using effective communication, technology and modern applications appropriate for work assignments; design, support and evaluation of occupational health and safety programs for various work environments at the university. (iv) The Islamic University in Madinah offers a diploma (2 years and 27 courses) in Safety and Security in which the students receive training in occupational health and safety; security of factories and engineering companies; security and safety of colleges and universities, administrative, scientific, and technical consulting institutions, electrical power installations, the construction sector, and in the security and safety of oil, gas, and petrochemical industries. These centers receive calls and notifications from people working at the institution or company. • There are few programs in Risk Management and Insurance at the Finance and Economics Departments at King Saud University, King Abdul-Aziz University, Jeddah university, and Imam University. • Numerous universities have centers, units or committees for emergency and disaster occupational safety and security as in King Saud university, King Abdul-Aziz; King Faisal, Princess Noura University, Joaf university, Shagra University, and the Saudi electronic University. These centers handle emergencies and disasters within the university in the case of torrential rain, winds, tremors, cracks, falls and war safety. They aim to create a safe and secure college environment in terms of equipment, staff, and facilities. They also aim to achieve safety and security standards, raise awareness and optimal behavior among workers and students and avoid crises at the community health levels. They identify and manage risks that take place within the university, evaluate, and monitor them continuously, prepare risk maps within the university, risk records, periodic reports and risk analysis and submit them to the Deputy Director of the Center. They prepare a guide for procedures and instructions related to emergencies and disasters within the university. They supervise field teams and define their tasks, responsibilities, and work mechanisms. They follow up the response to emergencies and disasters. They supervise the recovery processes and restore the situation as it was before the disaster. They seek assistance of specialists from inside and outside
6 https://www.iau.edu.sa/ar/colleges/college-of-public-health/programs/bachelor-of-science-in-
environmental-health.
Pandemic Crisis Management Programs at Saudi Universities
63
the university. In addition, few offer training courses in Crisis Analysis and Disaster Records, Safety and Security, and Occupational Health.
4 Discussion Findings of the current study have shown very few programs in health crisis management at two universities in SA, which are inadequate for preparing health professional who can handle the large-scale effects of pandemics such as the COVID-19 Pandemic which has been prevalent in SA for more than two years. These findings are consistent with prior studies conducted before the Pandemic such as Al Khalaileh, Bond, and Alasad (2012); Martono, Satino, Nursalam, Efendi and Bushy (2018); Sonneborn, Miller, Head and Cross (2018); Huang et al. (2011); Alrazeeni (2015); and Pascapurnama et al. (2018) which revealed the need for training nurses and other health professionals in health crisis management or disaster medicine as reported by nurses and health professionals in Jordan, Indonesia, Australia, Taiwan, China, the USA and SA. It seems that lack of educational programs in disaster medicine is a worldwide phenomenon. In a review of postgraduate educational programs in disaster medicine, Algaali et al (2015) found 34 programs worldwide. In 84%, public health was the main focus. The researchers concluded that there is a dearth of postgraduate training programs in disaster health and medicine. This specially applies to Asia, which the researchers considered the most vulnerable part of the world. Educational provision must be strengthened in Asia and in low- and middle-income countries to enhance capacity building in the health management of disasters. In the USA, Hertelendy, Burkle, Greenia, Goniewicz, Donahue and Ciottone’s (2021) found that among the Commission on Accreditation of Healthcare Management Education (CAHME) accredited programs, only one university required a course in emergency and disaster management. 96.3% of 43 healthcare administration graduate students currently employed by a hospital in the USA believed that their education should address emergency and disaster management. In China, Hu and Zhang (2020) indicated that emergency management education programs are still in their developmental stage. Finally, lack of programs, courses or training in the COVID-19 Crisis Management revealed in the present study is consistent with findings of two other studies by Al-Jarf (2022a) and Al-Jarf (2022b) which found that no adaptation, adjustments, or changes have been made in the curriculum of Colleges of Education, Languages and Translation and Computer Science and remote practicum and training offered to graduating senior students during the COVID-19 Pandemic and distance learning as reported by college faculty and students at Saudi universities. Practicum and training for senior students during the Pandemic differed from those offered to students before the Pandemic only in the remote delivery mode. No practicum or training practices related to the Pandemic were added such as designing robots or health Apps and software and Pandemic data analysis by computer science students to be used at hospitals and by healthcare professionals.
5 Recommendations Pandemic disaster management has become indispensable with the outbreak of the COVID-19 Pandemic. There is an utter need for Pandemic crisis management education
64
R. Al-Jarf
that aims to train healthcare personnel in a variety of healthcare fields to equip them with the right body of knowledge and skills set to handle the Pandemic emergencies. Such program will prepare healthcare personnel for the intensification of the Pandemic crisis. They will learn how to prepare prior scenarios that enable countries to deal with the challenges they face in a way that makes crisis management more efficient and professional. It will develop a culture of preparedness and safety besides implementing health crisis management plans. Properly trained healthcare administrators offer enhanced, real-time leadership to the ever-changing parameters of evolving disasters (Hertelendy, Burkle, Greenia, Goniewicz, Donahue and Ciottone 2021). To provide disaster related knowledge and education that respond to Pandemics, this study proposes Pandemic emergency and disaster management education as an accredited healthcare program for graduate and undergraduate students in colleges of Medicine, Applied Medical Sciences, Nursing, Pharmacy, Respiratory care, Veterinary Medicine, Emergency medical services, Anesthesia technique, Health Rehabilitation, Clinical Laboratory Sciences, Hospital Administration, and Health Information Systems in SA. The course(s) should introduce students to contemporary knowledge related to Health Crisis Management and its development as a distinct academic discipline at universities and institutes. The Pandemic, health or medical crisis management training program should include the following: (i) a qualified training team; (ii) prevention and risk management, education, operation, (iii) all relevant aspects of medical disaster management, (iv) how to develop a comprehensive medical disaster management plan for the entire country, (v) establishing several disaster management regional collaborating centers in the healthcare system (Djalali et al. 2009). It should be an interprofessional crisis management educational program for students from different backgrounds such as medicine, nursing, health, pharmacy, nursing, and nutrition to enable them to communicate and collaborate with different professionals (Prihatiningsih et al. 2017). A COVID-19 crisis management requires a coordinated and effective operational action plan by certain groups of people (Efstathiou 2008). The human factor plays an important role in organizing health crisis management. There are qualities, characteristics and competencies that define the effectiveness and success of a health crisis management system. It is of paramount importance to develop capacities, competencies, and skills of first level healthcare providers, managers, and healthcare students in COVID-19 crisis management. This means that medical educators need to adapt a tailored contextual strategy for transferring the competencies to the healthcare providers during their preand in-service training (Swathi, González, and Delgado 2017). The health crisis management curriculum should be competency-based. The content should inculcate skill-based training, psychological resilience, and leadership qualities. It should enable interagency cooperation and collaboration. It should increase and improve decision-makers’ understanding of disaster managers’ capabilities at the strategic/tactical level. At the operational level, it should promote disaster managers’ knowledge and capability, and serve as a means for continuing education or further career development (Sharma 2013; Hertelendy, Burkle, Greenia, Goniewicz, Donahue and Ciottone 2021; Khorram-Manesh et al. 2016).
Pandemic Crisis Management Programs at Saudi Universities
65
The Pandemic crisis management program should use a blended and competencybased teaching approach using exercises combined with lectures to improve intercultural and interdisciplinary integration. It can adapt holistic and integrated approaches to develop disaster-management-related capacities, competencies, and skills of first level healthcare providers, managers, and health profession students. Medical educators need to adapt a tailored contextual strategy for transferring the competencies to the healthcare providers during their pre- and in-service training. This strategy includes mapping competencies against the existing curriculum, developing tailored modules for teacher on different aspects of disaster management, arranging training courses for faculty to better equip them in transferring newly acquired skills to health profession students. It also includes the development of web-based training programs and offering relevant continued medical education courses. The core of the training initiative should be a unit that presents a realistic situation, i.e., scenario-based training (Khorram-Manesh 2015; Swathi, González, and Delgado 2017). Technology should be integrated in health crisis management training. An Online Distance Learning platform can be used with various tutorial support, printed study materials, electronic media, internet, and cellular phone, etc. can provided a wide range of knowledge about the disaster vulnerability, risk reduction and management strategies to its learners (Ahmad and Numan 2015). A smart interface-based automated learning environment through social media can be used for disaster management and smart disaster education (Titi Savitri Prihatiningsih et al. 2017). The automated learning environment should be an extension of the Real-Time Alert Model used for natural and anthropogenic disaster management that is integrating encapsulations from multiple sources and retrieve information by combining multiple search results (Bouzidi, Boudries and Amad 2020). Furthermore, the program should foster a close collaboration with external organisations, industries, professional bodies and communities (Thayaparan, Malalgoda, Keraminiyage and Amaratunga (2014). Training programs can benefit from practical implementation experiences and the literature on learning theory, soliciting input from community leaders who had completed the training program and evaluated the preparedness education in disaster prevention, mitigation, and response (Chou, Yang and Ren 2015). Finally, the study of crisis management in other fields such as pilgrimage, sports, education, tourism, and economics during the COVID-19 Pandemic in SA is still open for further research in the future.
References Ahmad, S., Numan, S.: Potentiality of disaster management education through open and distance learning system in Bangladesh open university. Turk. Online J Distance Educ. 16(1), 249–260 (2015). https://doi.org/10.17718/tojde.24161 Algaali, K., Djalali, A., Della Corte, F., Ismail, M., Lugi, I.: Postgraduate education in disaster health and medicine. Front. Public Health, 3 (2015). https://doi.org/10.3389/fpubh.2015.00185 Al-Jarf, R.: Curriculum in emergency Covid-19 remote education at Saudi universities. In: 7th International Conference on ICT in Education and Training (TICET7). Democratic Arabic Center, Berlin, Germany (2022a). https://www.researchgate.net/publication/357826354. Google Scholar
66
R. Al-Jarf
Al-Jarf, R.: Emergency student practicum and training during the pandemic at Saudi universities. In: 18th International Scientific Conference eLearning and Software for Education (eLSE), Bucharest, Romania (2022b) Al-Jarf, R.: The COVID-19 crisis management: male and female leaders’ success factors as perceived by educated Arabs. Int. J. Manag. Stud. Social Sci. Res. 4(2), 108–117 (2022c). Google Scholar. www.ijmsssr.org/paper/IJMSSSR00659.pdf Al-Jarf, R.: The pandemic job market from the perspective of female languages and translation college graduates in Saudi Arabia: Crisis or opportunity. In: Rocha, A., Isaeva, E. (eds) Science and Global Challenges of the 21st Century – Science and Technology. Perm Forum 2021. Lecture Notes in Networks and Systems, vol. 342, 720–733. Springer, Cham (2022d). https:// doi.org/10.1007/978-3-030-89477-1_68 Al Khalaileh, M., Bond, E., Jafar, A., Alasad, A.: Jordanian nurses’ perceptions of their preparedness for disaster management. Int. Emerg. Nurs. 20(1), 14–23 (2012). https://doi.org/10.1016/ j.ienj.2011.01.001 Alrazeeni, D.: Saudi EMS students’ perception of and attitudes toward their preparedness for disaster management. J. Educ. Pract. 635, 110–116 (2015) Bouzidi, Z., Boudries, A., Amad, M.: Towards a smart interface-based automated learning environment through social media for disaster management and smart disaster education. In: Arai, K., Kapoor, S., Bhatia, R. (eds.) SAI 2020. AISC, vol. 1228, pp. 443–468. Springer, Cham (2020). https://doi.org/10.1007/978-3-030-52249-0_31 Djalali, A., et al.: A fundamental, national, medical disaster management plan: an education-based model. Prehosp. Disaster Med. 24(6), 565–569 (2009) Farmer, L.: Global leadership in times of crisis (ND). https://www.boyden.com/media/global-lea dership-in-times-of-crisis-15537465/index.html Hayes, A.: Crisis management (2021). https://www.investopedia.com/terms/c/crisis-managemen t.asp Hertelendy, A., Burkle, F., Greenia, E., Goniewicz, K., Donahue, D., Ciottone, G.: A new core competency for healthcare administrators: discussing the need for emergency and disaster management education in the graduate healthcare administration curriculum. J. Health Adm. Educ. 38(3), 709–726 (2021) Hu, Q., Zhang, H.: Incorporating emergency management into public administration education: the case of China. J. Public Affairs Educ. 26(2), 228–249 (2020) Huang, B., Li, J., Li, Y., et al.: Need for continual education about disaster medicine for health professionals in China-a pilot study. BMC Public Health 11, 89 (2011). https://doi.org/10.1186/ 1471-2458-11-89 Chou, J.-S., Yang, K.-H., Ren, T.-C.: Ex-post evaluation of preparedness education in disaster prevention, mitigation, and response. Int. J. Disaster Risk Reduc. 12, 188–201 (2015). https:// doi.org/10.1016/j.ijdrr.2015.01.002 Khorram-Manesh, A., et al.: Education in disaster management and emergencies: defining a new European course. Disaster Med. Public Health Prep. 9(3), 245–255 (2015). https://doi.org/10. 1017/dmp.2015.9 Khorram-Manesh, A., et al.: Education in disaster management: What do we offer and what do we need? Proposing a new global program. Disaster Med. Public Health Prep. 10(6), 854–873 (2016). https://doi.org/10.1017/dmp.2016.88 Martono, M., Satino, S., Nursalam, N., Efendi, F., Bushy, A.: )2018) Indonesian nurses’ perception of disaster management preparedness. Chinese J. Traumatol. 221, 41–46. https://doi.org/10. 1016/j.cjtee.2018.09.002 Panos, E., Dafni, P., Kostas, G., Zacharoula, M.: Crisis management in the health sector; qualities and characteristics of health crisis managers. Int. J. Caring Sci. 2(3), 105–107 (2009)
Pandemic Crisis Management Programs at Saudi Universities
67
Pascapurnama, D., Murakami, A., Chagan-Yasutan, H., Toshio Hattori, T., Sasaki, H., Egawa, S.: Integrated health education in disaster risk reduction: lesson learned from disease outbreak following natural disasters in Indonesia. Int. J. Disaster Risk Reduc. 29, 94–102 (2018). https:// doi.org/10.1016/j.ijdrr.2017.07.013 Prihatiningsih, T., Widyandana, E., Hapsari, E., Helmiyati, S., Nur Ananda, A.: A lesson learnt: implementation of interprofessional education in disaster management at Faculty of Medicine Universitas Gadjah Mada, Indonesia. J. Interprofessional Educ. Pract. 9, 121–125 (2017). https://doi.org/10.1016/j.xjep.2017.10.001 Sharma, R.: Disaster management education at UG level in the Indian university system. J. Adv. Pharma. Technol. Res. 4(2), 76–77 (2013). https://doi.org/10.4103/2231-4040.111522 Sickler, J.: Crisis management and communication – 7 steps to control a crisis (2022). https:// www.reputationmanagement.com/blog/crisis-management/ Sonneborn, O., Miller, C., Head, L., Cross, R.: Disaster education and preparedness in the acute care setting: a cross sectional survey of operating theatre nurse’s disaster knowledge and education. Nurse Educ. Today 65, 23–29 (2018). https://doi.org/10.1016/j.nedt.2018.02.015 Swathi, J., González, P., Delgado, R.: Disaster management and primary health care: implications for medical education. Int. J. Med. Educ. 8, 414–415 (2017). https://doi.org/10.5116/ijme.5a07. 1e1b Thayaparan, M., Malalgoda, C., Keraminiyage, K., Amaratunga, D.: Disaster management education through higher education –industry collaboration in the built environment. Proc. Econ. Finance 18, 651–658 (2014). https://doi.org/10.1016/S2212-5671(14)00987-3
Terminology Transfer in the Field of Bioethics of Assisted Reproductive Technologies Elena Yakovleva1(B) , Svetlana Polyakova1 , Svetlana Mishlanova1 , and Michael Losavio2 1 Perm State University, Perm, Russian Federation
[email protected] 2 University of Louisville, Louisville, KY, United States
[email protected]
Abstract. The article aimed to analyze the terminology of a new field of bioethics, that is bioethics of assisted reproductive technologies. The initial step-by-step selection of terms from English language specialized scientific materials was made. As a result, five thematic groups of multicomponent term borrowings from donor areas, such as law, philosophy, medicine, economics and technology were identified. It was revealed that in the process of transterminologization the thematic group “Bioethics and reproductive technologies” is most represented as the source of borrowing for the recipient area of bioethics of assisted reproductive technologies. Keywords: terminology transfer · term · transterminologization · bioethics of reproductive technologies · the domain of borrowing
1 Introduction In today’s information society, the development of new knowledge is very fast. This process is reflected in the rapid growth of new terminology. In this regard, there is a need to streamline this new terminology. The focus of this work is the terminology of the subject area of bioethics, namely the bioethics of reproductive technologies (BRT). The relevance of our research can be specified by the statement that this area has been developing dynamically over the past decades due to the appearance of the latest assisted reproductive technologies as a mechanism for regulating the conditions for the emergence of a new human life [3, p. 109, 7]. There have been many approaches to the term “bioethics” itself since the word appeared last century which shows a very complex nature of this concept. It is evident, that “Bioethics” is “a term with two parts, and each needs some explanation. The second part “ethics” refers to the identification, study, and resolution or mitigation of conflicts among competing values or goals.” The ethical question is, “What should we do, all things considered?” or “Is this morally justifiable?” The “bio” puts the ethical question into a particular context. This new science covers “…ethical issues related to medicine, life sciences and associated technologies as applied to human beings, taking into account © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 E. Isaeva and Á. Rocha (Eds.): Perm Forum 2022, LNNS 622, pp. 68–75, 2023. https://doi.org/10.1007/978-3-031-28086-3_5
Terminology Transfer in the Field of Bioethics
69
their social, legal and environmental dimensions” [1]. The definition broadens the scope of the discipline, far beyond the content of the traditional and more controversial issues concerning the beginning and the end of life or the limits of research. Assisted reproductive technology (ART) refers to “…those procedures aiming to achieve pregnancy through manipulating one or both male and female gametes (i.e., sperm and oocyte). The main fertilization techniques are artificial insemination, IVF, ICSI, and gestational surrogacy. Each makes use of different biological materials and organs such as sperm, oocyte, and the uterus of different persons such as parents-to-be or donors.” [1]. Since BRT terminology is a complex field of knowledge, the purpose of this work will be to study the complex nature of terminological transfers this subject area. The legal instruments for regulating reproductive technologies in the bioethical context of bioethics are changing too, which is reflected in international and national documents, for example, in the UDBHR, adopted in 2005 [2]. The fundamentals of the Declaration consists of 15 principles that…«express different obligations and responsibilities of moral agents concerning different categories of moral objects» [2], ranging from individual human beings, human rights, society to the environment [2]. Since bioethical terminology is a complex interdisciplinary area, it has become necessary to trace down the main directions in the dynamics of bioethical terminology development at the crossroads with other subject areas at present. It is the tendencies towards terminology transfer or the phenomenon of transterminologization that results in the development of new multicomponent terminological units with a number of structural organization features. The potential importance of the research is in the analysis and description of a new subject area of knowledge – the bioethics of assistant reproductive technologies (BART). In the future, this will allow us to move towards the standardization of BART terminology through the creation of an English-Russian glossary. The research materials can be used in universities of the humanities when studying special courses on theoretical and practical terminology and lexicology of modern English. In addition, the obtained materials can be used in teaching English to students of different sciences. The theoretical basis of the study are the works of V.M. Leichik (2009), L.A. Alekseeva (1998), S.L. Mishlanova (2002), L.A. Manerko (2000), A.M. Gureeva (2009), M.G. Zasedateleva (2012) and others, devoted to the analysis of the linguistic essence of the term, the derivativeness of the term as a linguistic unit and its terminological variability in different types of discourse. In addition, the works of R.Ya. Dmitrasevich (2013), E.O. Zakharova, A.G. Bogdanova and I.K. Zabrodina [11]; S.V. Kalashnikova [12]; D.S. Kozhevatova (2013), T.A. Kudinova [14], Ya. E. Lipina [15]), N.V. Petrova [17], O.D. Tsaruk [18], who study the features of the formation of terminological variants, the structure of multicomponent terms in new developing areas of knowledge. An important aspect in the study was the provisions of the term as a special nominative unit, as a term-phrase, its structure, methods of term formation (syntactic, morphologicalsyntactic, morphological, semantic), presented in the works of S.V. Grinev [8], Yu.V. Superanskaya (1989) and others [3–21]. So our research aims to specify the complex nature of terminological transfers in the area of BART. The research questions are as follows:
70
E. Yakovleva et al.
1. What kind of term transfer could be expected in the BART terminology? 2. What categories could be found in the term transition in accordance with the source of terminology? 3. What could special features of BART be?
2 Methodology In our study of terminological units of BART, we relied on the methodology presented in the work “Strategies for interaction between terminologists and experts”, which analyzes step by step the stages for selecting and further working with terminology: 1. Understanding the field of activity, 2. Selection of literature, 3. Selection of specialized texts, 4. Creation of a database of texts, 5. Extraction of terms, 6. Selection of “candidate” terms, 7. Creation of a map of concepts, 8. Formulation of terminology definitions, 9. Ordering of terminology [22]. The author of the described technique extracted the terms automatically, but we selected the terms manually, so not all stages of our work coincide with the proposed scheme. In our work there is no stage of selection of terms – “candidates”. At the first we considered bioethics as a new field of knowledge. It is worthy of noting that bioethics is a transdisciplinary field of knowledge. Its origin is often associated with the name of W. Potter, who was the first to define this field of knowledge back in 1971. Meanwhile, the concept of bioethics acquires a new meaning after the invention of the “artificial kidney” device, and, as a result, the need to resolve the ethical dilemma about the priorities for providing medical care using this technology. Moral responsibility, together with doctors, was shared by representatives of different social groups who created a committee to make an ambiguous decision [3, p.110, 7]. At the second stage of our work, we studied educational glossaries of American and European universities offering training in the specialty “Bioethics”, materials of scientific articles selected on specialized Bioethics websites, scientific publications in specialized journals on bioethics, reports and discussions on various websites on bioethics, materials of international conferences on bioethics. In the third and fourth stages of the text selection process, we carefully analyzed the thematic classifications by which the sites grouped scientific articles, helping users navigate through a large amount of new information. The field of bioethics can be divided into three ontological categories: “Bioethics of the beginning of life”, “Bioethics of life” and “Bioethics of the end of life”. Each of these categories includes several sections that explore different aspects of the most important stages of human existence and solve the bioethical problems inherent in them. So “Bioethics of the beginning of life”, according to the American classification [21], includes the following subsections: reproductive technologies, stem cell research, genetic research, eugenics, medical tourism, pediatrics. The site was created by the American organization “Center for Bioethics and the Defense of Human Dignity” at the Trinity International Institute, which includes a number of universities around the world. The creators of the site consider it their mission to inform researchers, specialists and non-specialists about the recent successes in medicine and reproductive technology from the ethical viewpoint.
Terminology Transfer in the Field of Bioethics
71
An analysis of the bioethics sites at universities in the UK and the USA revealed other approaches to the classification of bioethics. Thus, the Newfield Bioethics Committee (London) refers the following subsections to the “Start of Life” category: donor conception, egg freezing, human genome editing and reproduction, prenatal testing, sequencing of the genome of the born, disagreements on the issue of caring for terminally ill children [30]. In the Hasting Center (USA), this category includes reproductive technologies, prenatal screening, the aging process, as well as end of life [31]. Various approaches in categorizing the area of knowledge of bioethics help us to determine the role of BRT terminology in solving linguistic problems of term formation. At the fifth stage (extraction of terms), we created a summary table, which contains terms, definitions and references to sources. It should be underlined that the sources of the research material were both available glossaries and specialized texts on the subject of BART, in most cases scientific articles. Terms and their definitions were extracted from the collection of texts by the content analysis method – dictionary (from glossaries) and contextual (their texts). The resulting corpus of language material included 378 BART terms. At the sixth stage, the analysis of BART terms was carried out. Since the subject area “Bioethics of reproductive technologies” is interdisciplinary, we believe that the terminology of BRT is also complex, interdisciplinary. In other words, in the structure of BART terms there are term elements belonging to other term systems. The process of transition of terms from one terminological system to another in the process of nominating a new object is called transterminologization [3–6]. Moreover, transterminologization is “… a universal terminological transfer characterized by the presence of similar, invariant processes in term systems in different languages [5, p. 309].
3 Results The findings reveal that the BRT terms are most often multicomponent, and the term elements that make up them, as a rule, are borrowed from other subject areas. Based on semantic analysis, all the extracted terms were divided into five groups according to the source of terminology: “Bioethics and Law”, “Bioethics and ART”, “Bioethics and Medicine”, “Bioethics, Ethics and Philosophy”, “Bioethics and Economics”. Let us consider the first thematic group “Bioethics and Law”, which includes 73 terms. This group is represented by the terms such as: legal status of embryos; constitutional right to life; elective abortions, protections of born human beings, embryo donation, embryo adoption, “adoption” of the embryo. For example: Two decisions of the German Constitutional Court on abortion stipulate a constitutional right to life for every individual embryo [23]; At present, most states do not afford embryos the same protections of born human beings, but some states are attempting to change this practice [24]. Thus, this category takes in the terms that can help specify the legal issues of modern reproductive technologies. The second thematic group “Bioethics and Reproductive Technologies” is the most numerous. It includes 148 terms. It is represented by such word combinations as: genetic engineering; genome editing technologies; prenatal screening, prenatal diagnostics; sex selection; surrogate mother; egg freezing; embryo freezing; assisted reproductive technologies; fertility treatment; preimplantation genetic diagnosis. For example:
72
E. Yakovleva et al.
“Based on engineered or bacterial nucleases, the development of genome editing technologies has opened up the possibility of directly targeting and modifying genomic sequences in almost all eukaryotic cells and modification of genomic sequences in almost all eukaryotic cells [25]; Since preimplantation genetic diagnosis has only recently become available, it is only recently that a reliable method of sex selection has become available [26]. Thus, this group consists of the terms that have appeared as a result of the emergence of new assisted reproductive technologies. The ART are described as the processes when some or all stages of conception take place outside the female body. Due to these latest methods many types of infertility can be overcome, as well as the characteristics of future embryos can be improved. The third thematic group “Bioethics and Medicine” is the second in terms of the number of terms presented (88 units). It includes such terms as: female gene; male gene; fetus; termination of pregnancy; ovum fertility; natural conception; sperm; germ sells. For example: After the researchers snipped the harmful mutation from the male gene, it copied the healthy sequence from that spot on the female gene [27]; This raises questions about the morality of sex selection for non-medical reasons. [28]. This thematic group is represented by medical terms in the field of traditional medicine and obstetrics. The fourth category “Bioethics and Philosophy” (28 units) includes the following terms: morality of sex selection; abortion debates; moral status; benefit-risk analysis; public debate on genetic modification of human DNA; to grant moral status to the human embryo. For example: A UNESCO panel of scientists, philosophers, lawyers and government ministers has called for a temporary ban on genetic “editing” of the human germline, calling for a wide public debate on genetic modification of human DN [29]; Some experts do not grant moral status to the human embryo from the point of conception [30]. This category includes terms used in scientific articles, UNESCO documents and other sources and calling on the general public to discuss the moral and philosophical side of the development, use and possible prohibition of the latest reproductive technologies. The fifth category “Bioethics and Economics” (42 units) includes the following terms: medical tourism industry; quality medical services; fertility treatment clinic; IVF clinics; infertility services; shipping of frozen eggs and sperm; shipping of reproductive materials. For example: It is worth mentioning that the development of medical tourism industry has contributed to the increased awareness about Georgia. [31]; Finding the right fertility treatment clinic, providing quality medical services at an affordable price in legally safe environment and without long waiting time can often be significant challenge for international intended parents [32]. This category includes terms functioning in the context of describing the socio-economic political consequences of expanding the field of ART. The distribution of the terms depending on the source of transterminologization is shown in Fig. 1 (Fig. 1). According to the data presented in Fig. 1, obtained as a result of the distribution of all terms into five groups of the source of transterminologization, it was found that the most numerous group is “Bioethics and Technology” (40% ), the second in quantitative terms becomes group “Bioethics and Medicine” (23%), in third place there is a group of terms
Terminology Transfer in the Field of Bioethics
73
Bioethics and ART Bioethics and Medicine Bioethics and Law Bioethics and Economics Bioethics and Philosophy
Fig. 1. Distribution of terms by source of transterminologization
“Bioethics and Law” (19%). The least representative groups of terms were “Bioethics and Economics” (11%) and “Bioethics and Philosophy” (7%).
4 Discussion and Conclusion The intersection of ethics, law and policy defines how people govern themselves. Ethics are the early warning system of legal violations and public disorder. Bioethics is the vital guide for the brave new world of data analytics, artificial intelligence/machine learning and gene manipulation technologies such as Crispr/Cas9. For example, the wonders and horrors genetics and technology may offer require the caution ethical reflection offers long before medicine, law and governance even understand what has happened. This is shown by the analysis presented here. The term frequency and document frequency of these key terms show their centrality to analysis of the issues they represent. It is significant that “Bioethics and Technology” lead in the broad document distribution reflecting discussion, and focus, on the special impact of new bio-technologies have on ethical discussions relating to what those technologies produce. And how they may help or may hurt us. An exceptional political debate is playing out in the United States precisely over issues of human rights and technology. A draft Supreme Court opinion was improperly released in Spring 2022 that argues for the reversal, in part or potentially all, of the holding in the Supreme Court opinion Roe v. Wade, 410 US 113 (1973) that established a national standard as to limits on the rights of a woman to terminate a pregnancy. Founded in the privacy and personal autonomy rights of women, it justified its limits based on the viability of a fetus based on 1973 technology. That technology, along with political consensus and views on state versus federal power, has changed. And it has produced exceptional political responses by those in support and those against those rights. While we must await the final opinion ruling on this issue, it demonstrates the power and risks of any failure to reconcile the ethical and moral and legal perceptions of people with the changes in bio-technology that challenge us at our core as to who and what we are. That reconciliation will be based in rhetoric and terminology nomenclature that defines the scope of the debate. In conclusion, a preliminary analysis of the terminology of the subject area of the bioethics of reproductive technologies showed that as a result of transterminologization, multicomponent term units appear in the terminology of the bioethics of new reproductive technologies. In the semantics of these terms, we might be able to specify some term elements related to the term systems of those subject areas from which they are borrowed.
74
E. Yakovleva et al.
References 1. Semplici, S.: Global bioethics as social bioethics. In: Bagheri, A., Moreno, J.D., Semplici, S. (eds.) Global Bioethics: The Impact of the UNESCO International Bioethics Committee. AGB, vol. 5, pp. 57–71. Springer, Cham (2016). https://doi.org/10.1007/978-3-319-226 50-7_6 2. Ten Have, H., Neves, P.: M. UDBHR. In: Dictionary of Global Bioethics. Springer, Cham (2021). https://doi.org/10.1007/978-3-030-54161-3_26 3. Buzheninov, A.E.: Transterminologization as a type of terminological nomination (based on the sublanguage of homeopathy). In the world of science and art: questions of philology, art criticism and cultural studies, #6 (37) (2014) 4. Gorbunova, N.N.: On the issue of studying the transdisciplinarity of some terminological systems. Bull. Moscow State Reg. Univ. Ser. Linguist. (5), 20–39 (2017) 5. Mishlanova, S.L., Polyakova, S.V., Yakovleva, E.V.: Bioethics in the dialogue of cultures. Multiling. Educ. Space 11, 109–113 (2019). https://doi.org/10.35634/2500-0748-2019-11109-113 6. Ryzhenkova, T.V.: Specificity of the process of transterminologization in the branch terminological system (on the basis of Russian and English terminology of jurisprudence). Abstract of the thesis. Dis. Cand. Philol. Sci. Volgograd (2001) 7. Tatarinov, V.A.: General Terminology: Encycl. Vocabulary. Mosk. Lyceum, Moscow (2006) 8. Grinev-Grinevich, S.V.: Introduction to Terminology, 309 p. Moscow, Lyceum (1993) 9. Dmitrasevich, R.Y.: Structural and word-formation analysis of the English terminology of legal psychology. Int. Sci. Res. J. 9-2(16), 73–75 (2013). https://elibrary.ru/item.asp?id=203 31821. Last accessed: 20 Mar 2022 10. Zherebilo, T.V.: Dictionary of Linguistic Terms (5th edn), p. 339. Publishing House of LLC "Pilgrim", Nazran (2010) 11. Zakharova, E.O., Bogdanova, A.G., Zabrodina, I.K.: Structural organization of multicomponent terms of the English-language scientific ecological discourse. Philol Sci. Quest. Theor. Pract Philol. 14(3), 783–788 (2021) 12. Kalashnikova, S.V.: Structural models of composite terms of the English language in the field of jurisprudence. Philol. Sci. Quest. Theor. Pract. 5–2(59), 90–93 (2016) 13. Kozhevatova, D.S.: Some structural and word-formation models of English legal terminology. Kozhevatova, D.S., Alimuradov, O.A., Razduev, A.V.: Actual problems of philology and pedagogical linguistics 4(20), 44–55 (2015) 14. Kudinova, T.A.: On the nature of a multicomponent term (using the example of the English sublanguage of biotechnology), 58 p. Bulletin of Perm University, Perm (2011) 15. Lipina, Y.E.: Structural features of English-language multicomponent terms in the automotive industry. Text : direct. Actual Problems of Philology: Materials of the III International Scientific Conference, pp. 36–39, Kazan, May 2018. Young Scientist, Kazan 16. Mishlanova, S.L., Gureeva, A.G.: Variability of Terminology of the International Baccalaureate: monograph, 158 p. Perm. State University, Perm (2011) 17. Petrova, N.V.: Multicomponent terms of the sphere of transport logistics of the modern English language: structure and features of translation into Russian. Philol. Sci. Res. (3) (2017) 18. Tsaruk, O.D.: Structural organization of multicomponent terms (on the example of English terms of the oil and gas industry). Lang. Cult. (Novosibirsk) (5), 65–69 (2013) 19. Turanin, V.Y.: Transterminologization is a new problem of modern legal language. Law and Politics (2), 134–140 (2005) 20. Chuchalin, A.G.: Library of bioethics. Preface to the translation into Russian. In: Johansson, I., Lipe, N. (eds) Medicine and Philosophy (Introduction to the XXI Century), pp. 7–18. Atmosfera, Veche, Moscow (2019)
Terminology Transfer in the Field of Bioethics
75
21. Costa, R., Silva, R., Barros, S., Soares, A.: Mediation strategies between terminologists and experts. In: Terminologies : textes, discours et accès aux savoirs spécialisés, pp. 297–308. GLAT, Genova (2012) 22. Bowens, K.K.: The legal status of embryos and implications for reproductive technologies and biotechnology research. J. Biolaw Bus. 9(1). https://pubmed.ncbi.nlm.nih.gov/17111524 23. Hongyi, L., Yang, Y., et al.: Applications of genome editing technology in the targeted therapy of human diseases: mechanisms, advances and prospects. Signal Transduct. Target. Ther. (1) (2020). https://www.nature.com/articles/s41392-019-0089-y 24. de Miguel Beriain, I.: What is a human embryo? A new piece in the bioethics puzzle. Croatian Med. J. 55(6), 669–671 (2014). https://doi.org/10.3325/cmj.2014.55.669 25. McCarthy, D.: Why sex selection should be legal. J. Med. Ethics 27, 302–307 (2001). https:// jme.bmj.com/content/27/5/302 26. Medvisit Global International Surrogacy and Egg Donation Agency: http://www.medvisitg lobal.com/en/page/services 27. Rycke, M.De, Staessen, C.: Preimplantation Genetic Diagnosis//Molecular Diagnostics (3rd edn) (2017). https://www.sciencedirect.com/topics/medicine-and-dentistry/preimplantationgenetic-diagnosis 28. Top 15 bioethical issues in biological advancements. http://www.bioethics.net/2020/07/anew-cautionary-tale-for-heritable-genomeediting 29. Nuffield Council on Bioethics: https://www.nuffieldbioethics.org/what-we-do 30. The Hasting Center: https://www.thehastingscenter.org 31. UNESCO panel of experts calls for ban on “editing” of human DNA to avoid unethical tampering with hereditary traits. https://en.unesco.org/news/unesco-panel-experts-calls-banediting-human-dna-avoid-unethical-tampering-hereditary-traits
Metaphors as a Tool for Identifying University Students’ Perceptions of English Lesson Konstantin Klochko1(B) , Svetlana Polyakova1 , Svetlana Snegova1 , Anatoli Nelubin1 , and Joseph Lane2 1 Perm State University, 15 Bukireva Str., 614099 Perm, Russian Federation
[email protected] 2 Delta State University, Cleveland, USA
Abstract. The present research examined the results of a longitude psycholinguistic study of students’ perception of English lessons. The primary goal of the research was to incorporate the use of metaphor within the framework of this cognitive-discursive approach. Two data sets were used in this metaphorical approach, one from 2018 and one of 2022 were compared. A larger metaphorical model representing students’ positive perception of the educational environment of the lesson is identified and described. Keywords: Cognitive Metaphor · Model · Concept · Psycholinguistic Experiment · Lesson · Student · Language Learning Process · Education
1 Introduction The concept of the term ‘lesson’ is referred to main categories of Pedagogics and Methods of teaching; it is a field of teaching and learning activities. Despite its broad use in didactic, psychological, pedagogical, and educational discourse, the given concept has never been the object of interdisciplinary research. In addition, this term, has not been yet studied from a cognitive or discursive viewpoint [1, 2] nor within the cognitive metaphor framework [3]. In accordance with M. Turner and G. Faucconier’s conceptual theory [4], mental space is viewed as a very special cognitive area of conceptualization, which is constructed by thinking during the process of discourse perception or generation. Thus, a metaphor is a universal way of cognition (conceptualization and communication) that is possible to apply both to linguistic and non- linguistic processes of knowledge construction. Conceptualization takes place in the boundaries of an individual conceptual system [2]. E.V. Budaev and A.P. Chudinov state that in the discourse of pedagogics two aspects of metaphorical semiotics can be revealed – cognitive semantics of a metaphor and the pragmatics of a metaphor. This phenomenon, however, might be transposed to the discourse of didactics (or methods of teaching). In the former case the metaphor is seen as the reflection of a conceptual worldview, while in the latter case the revelation of basic metaphors and their references is in the limelight [5]. © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 E. Isaeva and Á. Rocha (Eds.): Perm Forum 2022, LNNS 622, pp. 76–85, 2023. https://doi.org/10.1007/978-3-031-28086-3_6
Metaphors as a Tool for Identifying University Students
77
The process of metaphorization of the concept ‘lesson’ is in the center of our attention, as it is critical in the evaluation of the lesson’s academic and didactic potential, its effectiveness and psychological comfort for the student. The latter question has been studied in a number of contemporary works dedicated to experiential learning as a component of the educational process, regarded as ‘safety’ [6–8]. Moreover, every prominent scientist dealing with methods of teaching has his (or her) own opinion of what the concept of “Lesson” is. It was in the past and it is so now this topic is justly considered to be one of the widely debated questions. According to the Russian educator, M. Skatkin, a lesson is a systematically applied form for organizing activities of teachers and students fixed composition in a certain period to solve the issues of students teaching education and development [9]. Another academician A. Budarny defines a lesson as a form of educational process organization where the teacher within the specified time organizes cognitive and other activities of a permanent group of students (class), taking into account students personal characteristics using the types, means and methods of work that create favourable environment in order that every student could learn the basis of a studied subject directly in the process of learning, as well as for students cognitive, creative abilities and spiritual forces, education and development [10]. Thus, after having analyzed some scientific papers on the issue of concept of “Lesson”, we can state that the concept of “Lesson” is considered as: 1) 2) 3) 4) 5) 6)
teaching organizational form, complicated dynamic system, educational process segment, sophisticated operated system, didactic tasks system leading step by step students to learning, logical unit of topic, section and etc.
On the other hand, one of the comprehensive approaches to understanding the matter of the concept of “Lesson” is to consider it as a union of science and art. In the present research, the authors will follow the concept of “Lesson” set forth by professor E. Passov in his book “Lesson of the Foreign Language”. In which he determines a lesson as a structural unit of educational and teaching process, which has different potentials namely educational, cognitive, developmental, and training [11]. The research was is focused on the concept of an “English lesson”, since English as a Foreign language is taught to first and second year students across disciplines at a Russian University. Usually the level of students’ English ranges from A1/A2 to B1/B2. The researchers believe that the attitude students have towards this subject can be one of the indications for their motivation in learning English. The issue of identifying “learners’ perceptions regarding foreign language” is being discussed in other studies [12–14]. As a Turkish researcher Cahit Erden points out in his literature observation on use of metaphors for identifying students’ perceptions of learning English, the studies are mainly focused on the analysis of reflections on ‘English teacher’ in elementary school; high school students’ attitude towards the ‘English lesson”; university students’ attitude to an ‘English instructor’; students’ reflections on ‘foreign language’ and ‘foreign
78
K. Klochko et al.
language textbook’. Professor C. Erden conducted a psycholinguistic experiment with the task of completing the sentence and identified the differences in perceptions of the English among male and female students, students of different specialisms [12–21]. In a previous study by Klochko et al. on how university students could explain their attitudes towards English lessons through metaphors, we found out that most of the Russian participants expressed more positive attitudes to the English language and the learning process than neutral or negative ones [22]. Some other studies of the nonverbal metaphors of foreign language learning and teaching developed by undergraduates comply with the findings of the verbal metaphors [23]. A free drawing technique was applied to reveal the students’ visualizations of the educational process. This method is now being used in modern cognitive linguistics and psycholinguistics to identify certain conceptual schemes that can be represented through multimodal metaphors including visual ones [24]. It was found out that most students value safety and psychological comfort when they study a foreign language [24]. The issue of efficiency of the educational process is just as relevant as before. Moreover, in the last decade its urgency has greatly increased in connection with the world informatization process as well as continuous and fast improvement of various technologies and technical means. One of the factors affecting this performance indicator is psychological comfort (PsC) at lessons. Despite the growing number of published research, the term “PsC” remains largely complicated. It is wildly used depending on the situation (activity) under consideration. For example, the concept of PsC is used in educational activity or we may come across with it while speaking about psychological comfort of working environment. The notion of comfort can be seen within the process of communication (communication, perception and human interaction). The examination of PsC in educational process makes it possible to speak of students’ adaptation at different stages of educational process and the process of personality development that allows researchers to give their recommendations on how to optimize educational process at all levels and stages [25–29].
2 Research Statement The metaphor has become one of the key tools to understanding how a person categorizes reality, according to what principles the world is conceptualized. That is why it is believed to be a basic mental operation, a way of knowing, structuring, evaluating, and explaining the world. A person not only expresses his or her thoughts using metaphors, but also thinks in metaphors, learns the world in which he or she lives with the help of metaphors, and also seeks to transform the linguistic frame of the world in their conceptual mindset in the process of communication [24]. In this study, we consider the idea that “our conceptual system is largely metaphorical” [29, p. 25]. We also agree with the view that “the ability of a person to categorize is based on two essential points: on the one hand, it is the experience of a person and their mental image, and on the other – their imagination, mental imagery, metaphor and metonymy” [29, p. 25]. In accordance with Telia’s statement, which is the basis of the study, “metaphor “works…where the need to express the pragmatic aspect of communication is realized since the perception of the metaphor makes the recipient unravel
Metaphors as a Tool for Identifying University Students
79
its plan…” [30]. As it is discovered in the study of metaphorical modeling of the basic concepts of pedagogical discourse by E.G. Kabachenko, the most frequent metaphor to represent the concept of education is “education – a movement towards the goal” [31]. So this research aims to identify first and second year students’ perceptions of an English language lesson through their possible use of metaphors in 2021–2022, after having to learn this discipline via distance learning due to the Covid-19 pandemics restrictions. The researchers have hypothesized that the changed mode of the learning environment in 2021–2022 academic year might influence the students’ perceptions of the English lesson in comparison with the perceptions of the English lesson in 2018. The research questions are as follows: What metaphors of the English lesson could Russian students create? What would be the distribution of metaphors in terms of positive, ambivalent negative and neutral categories? What could specific features of the perceptions of learning English be in 2022?
3 Methodology The current research was conducted according to the Perm School of Metaphor view. A Metaphor, as a cognitive mechanism of communication process, can become a means of indirect representation of a thought [32]. Thus, a metaphor can be utilized as a method of revealing a subject’s conceptual worldview. In this research it may portray the student’s vision of an educational process in the form of metaphorical modelling. The authors suppose that metaphorical modelling is connected with modelling as a means of research in pedagogics. The main advantage of such a method is the integrity of the presented information. As noted by Yu. Apresyan, the necessity of modelling emerges in those academic spheres where the object of analysis cannot be directly viewed, but a model can explain the collected data as well as forecast possible behavior of an object [33]. The manuscript was focused on the ways Russian students at PSU could shape and express attitudes to the English language learning environment via metaphoric modeling in 2018 and 2021/2022. It was applied to the materials, obtained in the course of a directed associative psycholinguistic experiment. Associations underlie the categorization of knowledge about the outer world in the person’s database, because reactions on the stimulus words allow us to determine some parameters of the psychological structure of a stimulus word. According to A. Leontiev, these are emotional connotation and evaluative component of a meaning [34]. It is possible to say that associations verbalize individual’s glimpses of mental worldview – that is conceived knowledge of the outer world. Associative field is a way of representing a ‘lesson’ as a pedagogical concept. Associativity is a component of a verbal-and-cognitive activity that helps study metaphor as one on the modes of fixing a certain association [35]. 3.1 Project 1 The first psycholinguistic experiment was carried out from September to October 2018 in PSU. There were 287 participants in that project. The students did not study English
80
K. Klochko et al.
as teachers or interpreters, but EFL was included in their regular curriculum of 1–3 years of Bachelor Degree studies. During the directed associative experiment they were given the following oral instruction in Russian: «Lesson is like…». After being instructed, the students wrote down one reaction to the given stimulus. Besides, the students were offered to explain the chosen reaction, stating «…because…» after «Lesson is like…». In the process of the directed associative experiment in a number of study groups, the participants were introduced to the following stimuli: «Lesson is like…». After hearing the stimuli the participants were told to record one reaction on each of the two phrases in the foreign language. In addition it was suggested that the participants write their subjective report – their rationale behind the reaction recorded on the answer sheet – «Lesson is like…, because… As a result of the experiment were received 287 reactions. Assuming the subjects of our lesson perception research could only be the reactions that contained metaphors (visual representations of the pedagogical concept «lesson»), were chosen 114 visual associations (39% share of reactions). The remaining associations did not contain metaphors, presumably due to the insufficient metaphorical competence of the participants. The following metaphors can be viewed as examples of associations: Visiting another country, State Duma meeting, Whirling, A tree to climb, Ocean, Labyrinth, Walking with closed eyes, going to the library, Going to hell, etc. 3.2 Project 2 The second psycholinguistic experiment was carried out online from November 2021 to January 2021 in Perm State University. 172 students took part in the experiment in a number of the Zoom lessons. The participants were first, second and third year non-linguistic students who study at the Humanities. During the directed associative experiment the groups of undergraduates were given exactly the same oral instruction in Russian as in the previous experiment in 2018: «Lesson is like…». After being instructed, the students individually wrote down one reaction to the given stimulus in the chat box provided. Besides, the students were also offered to explain the chosen reaction, stating «…because…» after «Lesson is like…». We received 172 reactions in total. 63 of them were chosen as visual associations (36%, which is practically the same percentage as in Project 1).
4 Results All the metaphors received in Project 1 and Project 2 were divided into several groups by the general semantics: a) positive (88), b) ambivalent (23), c) negative (34), d) neutral or null (6). Regardless of the above mentioned group, the obtained metaphors were further distributed according to the models of metaphorical scheme of pedagogical discourse, represented by two domains INDIVIDUAL and NATURE. Each of the domains consists of 4 basic metaphorical models (Individual as a biological being, Wildlife, Inanimate nature, Individual as a social subject) [3, 24, 36].
Metaphors as a Tool for Identifying University Students
81
Let us consider the two models of metaphors concerning the metaphors of 2018 and the metaphors of 2021/2022. The modeling revealed that the model Individual as a Social subject – is the largest group (114 metaphors) in 2018. The largest specific taxon’s, formed because of metaphor distribution are as follows: «Process» (subspecific taxon «game») and «Travel». The taxon «Process» includes 34 metaphors, 12 of which are included into the taxon «Game» (See Table 1). Table 1. Most frequent metaphors in 2018 Individual
Nature
As human being
As Social Subject
Woman
Communication
4 (3.5%)
Food
5 (4.3%)
Lesson
6 (5.2%)
Game
7 (6.14%)
Travel
17 (14.9%)
Process
34
Animate
Inanimate
3 (2.6%)
15 (13.1%)
On the one hand, it may be explained by widespread use of various games by the teachers as part of their foreign language lessons (vocabulary games, grammar games), which is in line with the contemporary trend of the gamification and edutainment in education process. At the same time, it might reveal positive attitudes towards the lessons, organized as a game, which let them learn something «interesting» and «improve the level» of their command of the language. These sentences can be used as the examples “It is like a team work/playing since we usually learn in a group, we study in a team; “It is a game, because I try to complete the game and start it at a new level”. The second most frequently found taxon «Travel» (travelling / journey) is represented by 17 metaphors. These are some of them: “An English Lesson is like a journey in Britain, since while studying English we get to know so much interesting about the culture and the country itself”; “An English lesson is like travelling because I l find out a lot of fascinating information with every class and I admire beautiful places in English». We can also mention such taxons as “challenge”, “competition” and “stairway”, which are represented by singular instances. In these metaphors the participants demonstrate confidence in ability to obtain competence in communication using foreign language in the future. This fact represents the students’ awareness of having to make a lot of efforts in order to succeed in learning the language as well as the undoubtedly positive attitude towards the said efforts: «A lesson of English is like a challenging situation, because I always check my knowledge in various areas». This group also encompasses metaphors «new clothes in the room», «being in an isolated place», «an excellent excerise for your mind», « seeing a light at the end of the day». Considering 172 reactions of the 2021/2022 we should underline the fact that only 63 of them were identified as “pure Metaphors” (36, 6%). For example: «a cat», «a robot»,
82
K. Klochko et al.
«a journey», «a talking squire», «the sun among the gray clouds of law subjects», «a sprout of a tree.» Although the second group of non-metaphors is larger than the “metaphor” group (109), it also has its own specific features. When we look at the “lesson” reactions, one can see the number of words and word expressions which would be characterized as the attributes of an online lesson, terms and metonyms: «regular English lesson offline», «a slower offline lesson», «a paid platform webinar», «a regular lesson», «pronunciation», «activity», «a dialogue», «an online tutor», «online courses», «math’s lesson». Using the same models we could spot some similarities. So, the most frequent reaction was connected with the taxon “Travel” (17 metaphors), for example: «a journey», «a small journey», «moving to another country», «a trip abroad». The category (taxon) “communication” would include such metaphor as: «legal summit», «negotiations», «conversation». (4). The taxon “lesson” is frequently represented with more variations than in 2018: «A lesson from the future», «a dialogue of», «a catch up on practice» etc (Table 2). Table 2. Metaphorical models of 2021/2022 Individual
Nature
As human being
As Social Subject
A first kiss
Communication
12 (19%) Conversation Virtual, internet connection issues
Lesson
12 (19%) Speaking, listening
Game
3 (4.7%) charade
Travel
17 (journey, a small journey, moving to another country (25%)
Process
13 (21, 3%) learning, having tea
sleepleness
A breath of fresh air
Animate
Inanimate
4 (a cat, a cat, sprout of a tree, croaking sound) (6.3%)
3 (sun, clouds, rainbow) (4.7%)
Metaphors as a Tool for Identifying University Students
83
5 Discussion As a result of the analysis of the students’ reflections on the English lesson through their metaphors it was identified that most students have a positive attitude towards the lessons. It indicates comfortable academic psychological environment, which is attained through the use of the new educational technologies and types of communication. The qualitative and quantitative data from the questionnaires and interviews helped to understand the students’ perceptions of and their reflections on the information they exchanged. The two projects tend to demonstrate rather stable trends of perceiving the concept of ‘lesson’. Thus, taxons ‘Travel’, ‘Communication’ and ‘Game’ are of the major proportion on both projects – which shows the basic metaphor related to the ‘lesson’. The difference lies in the growing share of ‘Travel’ taxon (+10%), which seems to demonstrate the lack of real travel due to the worldwide lockdown of 2020/21 period. This can also be referred to ‘lesson’ reactions to the concept under analysis, which seem to concentrate on some particular attributes of a lesson allegedly owing to the fact of ‘distant learning: the range of observed and perceived objects shrank, thus provoking a more concise view on the remaining objects and their details. Another outcome is that the number of examples in ‘Food’ category has diminished in Project 2 compared to the Project 1 results. On the other hand, the number of animate metaphors has gone up slightly; this can be explained by increased online activities that imply many media-objects as stated in the answers: cats, software sounds (e.g. ‘croaking sound’), etc. A considerable benefit of this research project is that it enables us to see a more generalized view on the perception of a lesson as a metaphor. The major part of the reactions in both projects can be seen as a process. As all associations with a trip or a journey, or a game, an adventure, a charade, even ‘a conversation with the Queen of Britain (while having a cup of delicious tea) are seen not considered results in the present research. A result, but as a continuous action that can (and perhaps, should) be repeated. Because each game is played not only for the result, but also for the sake of enjoying the whole process of playing. The same might be applied to similar metaphor models in the given article – a journey, a conversation, a lesson itself. One more benefit of the given research is a promising cross-cultural study that can be based on the work of the described tool – the research has been a longitudinal study on the material of a foreign language lesson. But there we see a potent prospect of studying the vision and understanding the concept of lesson via metaphor on the material of a number of other subjects – both general and professional.
References 1. Chudinov, A., Budaev, E.: Metaphor in Political Interdiscurse, p. 213. Ural State Pedagogical University, Yekaterinburg (2006) 2. Mishlanova, S.L., Utkina, T.I.: Metaphor in Popular Science Medical Discourse (Semiotic, Cognitive, Communicative and Pragmatic Aspects). PSU, Perm, 428 p. (2008) 3. Lakoff, G., Johnson, M.: Metaphors we live by. In: Theory of Metaphor. Progress, Moscow, 511 p. (1990)
84
K. Klochko et al.
4. Fauconnier, G., Turner, M.: Metaphor, metonymy, and binding. In: Dirven, R., Pörings, R. (eds) Metaphor and Metonymy in Comparison and Contrast. Mouton de Gruyter, Berlin; New York (2003) 5. Ivinskikh, N.P.: Dynamics of Metaphorization in English and Russian Educational Discourse, p. 26. Perm State University, Perm (2012) 6. Lewis, L.H., Williams, C.J.: Experiential learning: past and present. New Directions for Adult and Continuing Education, no. 62, pp. 5–16. https://pdfs.semanticscholar.org/e05d/abcc394a5 80e9710492f440259381ae179c1.pdf 7. Klocker, S.: Manual for Facilitators in Non-formal education involved in. Preparing and Delivering the Programme of Study Sessions at European Youth Centres SPDP, Council of Europe, 98 p. (2009). https://rm.coe.int/16807023d1 8. Kisfalvi, V., Oliver, D.: Creating and maintaining a safe space in experiential learning. J. Manag. Educ. 39(6), 713–740 (2015) 9. Skatkin, M.N.: Improvement of Teaching Process, p. 206p. Pedagogika, Moscow (1971) 10. Budarny, A.A.: Ways and methods of poor academic achievements and repetition prevention and overcoming. PhD dissertation abstract. Moscow Regional Pedagogical College named after N.K. Krupskaya, Moscow, 32 p. (1965) 11. Passov, E.I., Kuzovlev, N.E.: Lesson of the Foreign Language, p. 640. Glossa-Press, Moscow (2010) 12. Gömleksiz, M.N.: Metaphorical perceptions of prospective teachers regarding foreign language. Turk. Stud. 8(8), 649–664 (2013) 13. Limon, I.: 9th and 10th graders metaphorical perceptions about English as a foreign language. Int. J. Soc. Sci. Educ. Res. 1(2), 367–379 (2015) 14. Co¸skun, A.: Parents and young learners’ metaphorical perceptions about learning English. J. Educ. Train. Stud. 3(5), 231–240 (2015) 15. Ba¸saran-U˘gur, A.R., Baysal, S.: The metaphorical perceptions of secondary school students regarding the concept of English teacher. S J. Int. Soc. Res. 10(52), 730–736 (2017) 16. Ocak, ˙I., Gürel, E.E.: Lise ö˘grencilerinin ˙Ingilizce dersine yönelik metaforik algıları [High school students’ metaphorical perceptions regarding English class]. 23. Educational Sciences Congress, Kocaeli, Turkey, 4–6 Sep 2014 17. Ocak, ˙I., Gürel, E.: ˙Ilkö˘gretim 4. 5. 6. 7. 8. sınıf ö˘grencilerinin ˙Ingilizce ö˘gretmeni yönelik metaforik algıları [Metaphorical perceptions of elementary students at 4. 5. 6 7. 8. Grades towards English teacher]. International Congress on Science and Education 2018, Afyonkarahisar, Turkey, 23–25 Mar 2018 18. Bekda¸s, M.: The perceptions of high school students for the concept of English through metaphors: Tokat sample. Gazi J. Educ. Sci. 3(2), 35–41 (2017) 19. Ahkemo˘glu, H.: A study on metaphorical perceptions of EFL learners regarding foreign language teacher (Unpublished master dissertation). Çukurova University, Institute of Social Sciences, Adana, Turkey (2011) 20. Kesen, A.: Turkish EFL learners’ metaphors with respect to English language coursebooks. Novitas Royal Res. Youth Lang. 4(1), 108–118 (2010) 21. Erden, C.: Identifying university students’ perceptions of ‘English’ through metaphors. Int. Online J. Educ. Teach. 5(3), 565–577 (2018) 22. Klochko, K., Polyakova, S., Snegova, S., Firstova, M.: Students’ perceptions of English lessons through metaphor. In: Proceedings of All – Russian Scientific Conference. Nizhniy Novgorod, pp. 49–54 (2018). https://www.pugetsound.edu/files/resources/kisfalvi-andoliver-2015.pdf 23. Gritsenko, E.A., Gureeva, A.M., Polyakova, S.V.: Students’ perceptions of educational process at University. In: Word, Statement, Text in Cognitive, Pragmatic and Cultural Aspects. Proceedings of the X-the International Scientific Conference. Chelyabinsk, pp. 93–97 (2020)
Metaphors as a Tool for Identifying University Students
85
24. Polyakova, S.V., Mishlanova, S.L.: Metaphorical representation of health concept among the Russians and Americans: psycholinguistic experiment. In: Language and Culture in the Area of Globalization, pp. 227–233 (2015) 25. Badulina, O.I.: Pedagogical Foundations of Emotional Wellbeing of Preschool Children. PhD dissertation abstract. Moscow, 45 p. (1998) 26. Bugaeva, N.N.: Subject –Subject Interaction in School as a Means of Ensuring the Comfort for Primary School Children. PhD thesis. Yekaterinburg, 190 p. (2003) 27. Kosheleva, A.D.: Emotional Development of Preschool Children. Textbook for higher education students. Akademiya, Moscow, 176 p. (2003) 28. Niyazbaeva, N.N.: Psychological Rationale for Providing Comfort for Junior Students in Educational Activity (2009). https://www.psyedu.ru/journal/2009/3/Niyazbaeva.phtml 29. Lakoff, G., Johnsen, M.: Metaphors we live by, p. 193. The University of Chicago press, London (2003) 30. Telia, V.N.: Connotative Aspect of Semantics of Nominative Units, p. 143. Nauka, Moscow (1986) 31. Kabachenko, E.G.: Metaphoric Modelling of Basic Concepts in Pedagogical Discourse. PhD thesis. Yekaterinburg, 247 p. (2007) 32. Mishlanova, S.L.: Metaphor in Medical Discourse. Perm State University, Perm, 160 p. (2020) 33. Apresyan, Y.-D.: Directly composing method. In: Linguistic Encyclopedic Dictionary. Soviet Encyclopedia, Moscow (1990) 34. Leontiev, A.: Fundamentals of Psycholinguistics, p. l287. Smysl, Moscow (1997) 35. Baranov, A.N., Karaulov, Y.-N.: Dictionary of Russian political metaphors. Moscow (1994) 36. Polyakova, S.V.: Metaphorical Modelling in Russian and American Medical Discourse. PhD dissertation abstract. Perm State University, Perm, 23 p. (2011)
Modality of Doubt and Certainty in Contemporary Russian Scientific Texts Elena Bazhenova(B) , Tatiana Karpova , Natalya Solovyova , Anastasiia Chernousova , and Maria Shirinkina Perm State University, 15, Bukirev Street, 614068 Perm, Russia [email protected], [email protected]
Abstract. A comparative analysis of the use of linguistic units with the meaning of doubt and certainty in contemporary Russian scientific texts has been conducted. The material of the study consists of 60 articles on natural sciences (physics, biology, biochemistry) and humanities (linguistics, psychology, philosophy). The articles were published in peer-reviewed scientific journals of the Russian Academy of Sciences in 2020–2021. Research purposes were the following: a) to establish quantitative distribution of doubt/certainty indicators; b) to identify extralinguistic factors influencing the presentation of doubt and certainty as mental states of a scientist. The results interpretation is based on the functional-stylistic approach, taking into account the unity of extra-linguistic and linguistic aspects of speech. Discourse analysis is also used to determine the discursive factors influencing the presentation of doubt/certainty modality in academic texts. It was revealed that the whole number of doubt/certainty indicators in the articles written by of humanitarians is almost twice as high as in the articles of naturalists. In the latter the quantity of doubt indicators was approximately equal to the number of certainty indicators; in humanitarian articles that number was twice as much. The distribution of doubt/certainty indicators in relation to the components of scientific knowledge (ontological, methodological, axiological) has been identified. It is established that ontological component of knowledge, especially the presentation of a hypothesis, is subject to author’s reflection more often. The dependence of doubt/certainty modality on some discursive factors was determined, that is: uncertainty of scientific knowledge, kind of science, hypothesis verifying methods, content of the text (theoretical, experimental, survey), individual speech style of researcher, etc. The conclusion is that the expression of the author’s mental states in the scientific text contributes to the adequate understanding of the text by its reader. Keywords: Scientific Discourse · Scientific Text · Modality of Doubt · Modality of Certainty · Extra-linguistic Factors of Scientific Speech · Uncertainty of Scientific Knowledge
1 Introduction It has been proved in [1, 2] that scientific knowledge presented in any text is a structure formed with the interaction of ontological, methodological and axiological components. © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 E. Isaeva and Á. Rocha (Eds.): Perm Forum 2022, LNNS 622, pp. 86–97, 2023. https://doi.org/10.1007/978-3-031-28086-3_7
Modality of Doubt and Certainty
87
In other words, both objective (ontology and methodology) and subjective (axiology) sides of cognitive activity interact in scientific knowledge. Obviously, the subjective side is related to the researcher himself. Despite the fact that “the author of a scientific text strives for self-effacement in favour of the object of speech… he never fully achieves this goal” [3]. In [4] it is shown that category of evaluation is one of the manifestations of the subjective side of cognitive activity in a scientific text. We suppose that the subjective side of research is manifested not only in the evaluation of old knowledge, but in the scientist’s capacity for reflection as well; the latter is connected with ability to revert his/her thinking to himself/herself. In scientific activity scholar’s reflection escorts thought’s progress from non-knowledge (or incomplete, inexact, uncertain knowledge) to reliable knowledge. The role of a scientist cannot be reduced to only obtain a scientific result. In addition, he is a thinker and creator asserting his position. Therefore, scientific results cannot be depersonalised to the same extent that mass-produced products are depersonalised. The activity of a scientist is characterised by a high degree of consciousness, which implies reflection at all stages of investigation, from formulating the problem to verifying the result. Through reflection, the scientist becomes an observer of his own cognitive actions. He/she checks whether the chosen methodology corresponds to the set goal, whether the object under study really possesses the properties attributed to it, whether the arguments for proving the hypothesis are sufficient, whether the interpretation of empirical data is convincing, etc. Therefore, it is inappropriate to limit the research result by new information on natural and social phenomena only. A scientific result “encodes” also the researcher’s mental states which accompany the achievement of this result. Because of the close connection between thinking and speech, one can assume that mental states are made explicit in a text, since any text (including a scientific one) is “derived from … human individuality” [5]. Expression of two types of reflection (doubt and certainty) has been studied in this article. In our opinion, the linguistic units presenting these mental states form the modal frame of the utterance and are an important means of conveying its meaning. The aim of this article is to analyse the use of linguistic units meaning doubt (doubt indicators) and meaning certainty (certainty indicators) in contemporary Russian scientific texts. The interpretation of quantitative data aims at identifying the factors which influence the presentation of these mental states in the text.
2 Material and Methodology Sixty articles from journals published by the Russian Academy of Sciences in 2020– 2021 were selected randomly for the study. They are: biology (“Actual Trends in Modern Immunology”, “Zoological Journal”, “Immunology”, “Vegetation of Russia”, “Proceedings of the Zoological Institute of the Russian Academy of Sciences”, “Progress in Physiological Sciences”), biochemistry (“Journal of Evolutionary Biochemistry and Physiology”, “Journal of Analytical Chemistry”), physics (“Physics of the Earth,” “Thermophysics of High Temperatures,” “Physics of Metals”), linguistics (“Russian Speech”), psychology (“Journal of Psychology,” “Social and Economic Psychology”, “Organizational Psychology and Psychology of Work), philosophy (“Philosophical Sciences”).
88
E. Bazhenova et al.
The choice of the journals is determined by the task of comparative analysis of the use of doubt/certainty indicators in natural sciences and humanities. Ten articles in each discipline (a total of 30 articles in the natural sciences and 30 articles in the humanities) have been studied. In each article doubt/certainty units were identified through functional-semantic and contextual analysis. The context analysis identified the knowledge component (ontological, methodological, axiological) escorted by doubt/certainty modality. In cases where the modality is difficult to determine, contextual analysis is used. Here is an example: Apparently, it must be acknowledged that the “society of knowledge” in its ideal incarnation has not taken place and the term itself is becoming a thing of the past (Petrova, p. 33). In this sentence doubt indicator (apparently) and certainty indicator (it must be acknowledged) compete. However, strong-positioned first indicator (the beginning of the sentence) determines doubt modality of the whole utterance. The results of quantitative analysis are presented in a table and diagrams. The results are interpreted on the basis of the functional-stylistic approach (M.N. Kozhyna) widely known in linguistics; the approach is based on the principle of unity of extra-linguistic and intra-linguistic aspects of speech. Method of discourse analysis is also applied: this allows to establish the influence of discursive (non-style-organizing) factors on the presentation of doubt/certainty modality.
3 Results and Discussion 3.1 Stereotype Units with Semantics of Doubt and Certainty and Their Application in Scientific Texts In the Russian language quite a number of lexical and grammatical units are used to express author’s doubt and certainty. The list of these units translated into English is given below. Doubt indicators Modal units: from our point of view, in our opinion, in our view, maybe, most probably, perhaps, probably, seemingly, etc. Impersonal syntactic constructions: it is assumed that, it is highly likely that, it is likely that, it is more than likely that, it is possible that, it may be assumed that, it seems that, etc. Personal syntactic constructions with predicates of thinking: we assume that, we have reason to suppose that, we suppose that, we think that, etc. Certainty indicators Modal words: actually, apparently, certainly, evidently, indeed, naturally, obviously, of course, really, surely, undoubtedly, without doubt, etc. Impersonal syntactic constructions: it is beyond doubt that, it is certain that, it is clear that, it is evident that, it is logical that, it is natural that, it is quite clear that, it is quite obvious that, it is reasonable that, it is unlikely that, there is no doubt that, we assert that, etc.
Modality of Doubt and Certainty
89
Personal syntactic constructions, such as: we are convinced that, we are sure that, etc. Doubt/certainty may be expressed with various degrees of certitude: it seems certain – undoubtedly – it is not subject to doubt – it is not subject to any doubt; it is likely that – it is quite likely that – it is highly likely that – it is more than likely that. If it is necessary to emphasize that the information is indisputable or obvious, the author uses the following means of stating the fact: it is known that, it is well (long) known that, it is common knowledge that, etc. The semantics of the doubt/certainty indicators combine two semantic plans: a) logical-cognitive, connected with the content of the knowledge presented, and b) reflective-psychological, connected with the author’s attitude to this content. The above indicators make expression of various degrees of doubt/certainty (with all tints of the author’s intention) possible. According to our investigation, the most frequently used modal words in contemporary Russian scientific articles are: evidently, probably (doubt-indicators) and certainly, indeed (certainty-indicators). M.V. Lapon [6] rightly points out that modal words are inherently capable of presenting the dynamics of the search for new knowledge, of expressing the interaction between the probable and the veritable, between hypothesis and reality. Hypothesis is usually expressed with the modality of doubt. So soon as the hypothesis is being proved in the process of argumentation, the modality changes towards certainty. The ideas of predecessors, upon which the scholar relies, are usually introduced in the text in the form of a statement, indicating the author’s unconditional certainty in the validity of old knowledge. The analysis of the research material has shown that the greatest number of linguistic means with doubt/certainty meaning is used while explaining the ontological aspect of the content. Here are some examples to illustrate the use of doubt/certainty indicators in scientific articles (the ontological, methodological and axiological components of knowledge taken into account). Examples of the usage of doubt indicators
1. Ontological component of knowledge: Considering the semantics of the expression under study, it is very likely that it did not originate in the skaters’ environment, but outside it, involving other jargons (Berezovich, p. 29); The low level of glucose in plasma of the Black Sea stingray fish is probably a significant precondition for the low level of glycogen in erythrocytes of this fish (Silkin, p. 67). 2. Methodological component of knowledge: I assume that to build a model of man life activity as a source of his behavioral activity it is more appropriate to base oneself on the concept of problem, not need (Ryabov, p. 11). 3. Axiological component of knowledge: This approach is, in our opinion, first, some simplification and, second, an attempt to present the future “new” world as having insufficient connection with its previous states (Fedotova, p. 120).
90
E. Bazhenova et al.
Examples of the usage of certainty indicators
1. Ontological component of knowledge: Today, the idea that interpersonal relations play a resource role in the life of a concrete person… Does not require additional confirmation… (Posokhova, p. 88); The speed of growth of crystals exceeds the speed of longitudinal waves, which indicates without any alternative… The decisive role of the wave process (Kashchenko, p. 53). 2. Methodological knowledge component: Certainly, associative experiment used in the present study does not give complete picture of transformations taking place in the modern family, but helps to demonstrate some tendencies most expressed at present (Kharitonova, p. 90); Obviously, it is necessary to use analysis method in which dissolution of sample could be excluded and direct analysis of solids can be performed (Sikharulidze, p. 80). 3. Axiological component of knowledge: From the practical point of view, we are convinced, that the attempts of control of experience with flaming cannot be productive (Soldatova, p. 93); The mathematical apparatus is absolutely not developed (Kartashov, p. 403); The relevance of studying this phenomenon is doubtless (Abramov, p. 124). It should be noted that in the texts both on natural sciences and humanities we record examples of the alternation/combination in the same utterance of doubt/certainty indicators. Highly likely, this reflects the mental state of the author at the stage of solving the problem by means of formulating his/her hypothesis. For example (doubt indicators are in bold, certainty indicators are underlined): As is known, the ellipsis is associated with reticence. So the easiest option is to suppose that the person just wants to tell you something, but for some reason, can’t (or can’t afford to) say something. If we proceed from this, we want to know, of course, what it is that he/she hasn’t told you (Severskaya, p. 50). 3.2 The Interpretation of Quantitative Data Here are the results of a quantitative analysis of the indicators of doubt and certainty recorded in scholarly articles. 1. The difference in usage of the indicators in articles on natural sciences and humanities is shown in Table 1. As can be seen from the table, natural scientists express their mental state much more seldom than humanitarians. It can be assumed that this is primarily due to the specifics of the object and research methods. It is well known that the laws of nature in the natural sciences are established with the help of experiments which allow us to record and explain cause-effect relations between the studied phenomena. Humanitarian knowledge is anthropocentric in its nature and therefore more subjective. High frequency of modality indicators in humanitarian articles testifies to the greater personal nature of humanitarian texts and the desire of their authors to draw the addressee’s attention to the author’s mental state.
Modality of Doubt and Certainty
91
Table 1. Distribution of doubt/certainty indicators in articles on different sciences. Kind of science
Number of doubt indicators
Number of certainty indicators
Total
Biochemistry
25
31
241
Biology
56
40
Physics
45
44
Linguistics
95
70
Psychology
88
22
Philosophy
86
47
Natural sciences
Humanities 408
2. Distribution of modality indicators in relation to the three components of scientific knowledge (ontological, methodological and axiological) is shown in Figs. 1 and 2. 100
88,1 81,8
90 80 70 60
Ontological component
50
Methodological component
40
Axiological component
30 20 10
5,6 6,3
10,8 7,4
0 Natural sciences
Humanies
Fig. 1. Distribution of doubt indicators as applied to the main components of scientific knowledge.
As it can be seen, most of the indicators of the author’s mental state are in relation to ontological component of knowledge (doubt indicators – 88.1% and 81.8%; certainty indicators – 63.5% and 86.3%). The methodology of research (doubt indicators – 5.6% and 10.8%; certainty indicators – 20.8% and 7.2%) and its axiological content (doubt indicators – 6.3% and 7.4%; certainty indicators – 15.7% and 6.5%) are objects of reflection much less frequently. In our opinion, such a picture is logical, because the pragmatic intention of the author of the article is primarily connected with the characteristic of the object of research, i.e. the expression of the ontological content of the obtained knowledge. Methodological and axiological information serves as an epistemic environment for new knowledge.
92
E. Bazhenova et al.
100
86,3
90 80 70
63,5
60
Ontological component
50
Methodological component
40 30 20
Axiological component 20,8 15,7 7,2 6,5
10 0 Natural sciences
Humanies
Fig. 2. Distribution of certainty indicators as applied to the main components of scientific knowledge.
3. The percentage correlation of doubt/certainty indicators in articles on natural sciences and on humanities is shown in Fig. 3. 100 90 80 70
52,3
65,9
60 50
Doubt indicators
40
Certainty indicators
30
47,7
20
34,1
10 0 Natural sciences
Humanies
Fig. 3. Distribution of doubt/certainty indicators in articles on natural sciences and on humanities.
As we can see, comparable percent (52.3% and 47.7% respectively) of doubt/certainty units is recorded in the articles on natural sciences. In our opinion, this is due to the fact that in the natural science articles arguments (based on calculations mostly) are usually introduced in the text without author’s explicit reflection, as mere stating of facts. Doubt/certainty indicators are usually placed symmetrically in the two
Modality of Doubt and Certainty
93
parts of the text: viz. The hypothesis presentation is usually accompanied by the author’s doubt, while the results presentation is marked by the author’s certainty. In humanities articles percentage of certainty units is significantly lower (34.1%) than the number of doubt units (65.9%). The noticeable prevalence of doubt indicators can be explained by the probability nature of humanity knowledge, it’s greater uncertainty. 4. The distribution of doubt/certainty indicators in all the studied texts is shown in Fig. 4. Humanies 21,4
Humanies 41,5
Natural sciences 17,7
Natural sciences 19,4
Certainty indicators (Nat.)
Doubt indicators (Nat.)
Doubt indicators (Hum.)
Certainty indicators (Hum.)
Fig. 4. Distribution of doubt/certainty indicators in all the texts.
The analysis has shown an almost two-fold predominance of doubt indicators (60.9%) over certainty indicators (39.1%). We assume this result as reflecting ontological uncertainty of scientific knowledge [7, 8]. Primary characteristics of the objects studied are one of the sources of this uncertainty: as has been said in [9] “knowledge increments both at the problem-solving and problem-setting stages”. In addition to this the dominance of the modality of doubt is related to the importance of the subject factor in cognitive activity. Researcher overcomes uncertainty in the course of creating a scientific product [10]. S. Schneider considers that “scientific uncertainty is a driving force for scientific development and evolution” [11]. In other words, uncertainty can be called a “trigger” for the development of knowledge from hypothetical to reliable. Thus, we think that means of expressing the researcher’s mental states objectify his/her reflection on uncertainty of knowledge and on the ways of overcoming it. Let us proceed to the analysis of discursive factors influencing the usage of doubt/certainty indicators with regard to the nature of scientific activity in this or that sphere of research. The natural sciences are characterized by the use of quantitative and experimental methods and the use of mathematical language. Natural scientists implement the principle of additionality, they are oriented towards obtaining practically useful knowledge which manages natural processes on the basis of natural laws.
94
E. Bazhenova et al.
In such texts, the presentation of doubt/certainty modality depends on the field of studies. In particular, in the articles from the journal “Physics of the Earth” (the science adjacent to physics, geology and geography with extended descriptions) doubt indicators prevail (they are 3 times more numerous than certainty indicators). On the contrary, in the articles from the journals “Thermophysics of high temperatures” and “Physics of metals” there are almost 6 times more certainty indicators than doubt indicators. The latter two fields of physics are characterized by experimental orientation and the use of mathematical calculations at all stages of research. Experimental data and mathematical methods (being strong arguments in proving a hypothesis) increase significantly the authors’ certainty in the veracity of the obtained knowledge. The explication of doubt and certainty in science articles is also influenced by the type of content: survey or presentation of the experimental data. Dominance of doubt indicators (e.g.: the authors assumed; apparently; in all probability; it seems that) over certainty indicators has been recorded in survey articles, whereas doubt indicators have been only few in the articles containing experiments results. Veracity of hypotheses in such articles is supported by formulas and calculations. The mathematical argumentation doesn’t need additional authorial reflection. Thus, presentation of mental states of author’s doubt and certainty in natural sciences articles is influenced by the following discursive factors: specific discipline within a broad scientific field (physics of the Earth, physics of metals, thermal physics, etc.), the type of content (survey of the predecessors’ works or presentation of one’s own experimental data), the language of argumentation (only verbal or digital). Humanitarian knowledge is presented by sciences about man, about his selfcognition, about his/her interpretation of philosophical, psychological, socio-cultural phenomena. The prevalence (almost twofold) of doubt indicators over certainty indicators can be explained by the fact that the humanities study human activity, which is less predictable than natural processes. Therefore, articles on humanities contain less certainty and more doubts than articles on natural sciences. Humanitarians do not know which of the possible events will take place, they only establish probability of these events. At the same time, prediction in humanitarian texts is less accurate than that in the articles on natural sciences and engineering. Knowledge in humanitarian studies is always presumptive, depends on the author’s worldview, and is the result of interpretation rather than proof. Let us compare the modality of conclusions in psychology (1) and in biology (2): (1) We assume that this result may depend on the following causes… (Blinova, p. 73); (2) Our results finely confirm the validity of Ch. Rugosus, one of the 4 valid species of a fish in the genus Channichthys (Nikolaeva, p. 492). Despite the widespread use of mathematical methods for processing empirical data, the modality of doubt dominates in the texts on psychology even when presenting research results. The use of doubt/certainty indicators in the texts on humanities is significantly influenced by the type of speech (in descriptive fragments reflection is less pronounced than in reasoning fragments) as well as the author’s speech individuality. Against the background of the use of stereotypical modal units, the use of non-standard indicators attracts our attention. For instance, exclamatory sentences (not characteristic of scientific speech) accentuate the author’s certainty: When we reason about space and time, as
Modality of Doubt and Certainty
95
philosophers, we see how complex and surprising they are, how multifaceted and even mysterious they are… And they are! (Shutyi, p. 134). So, in articles on humanities modality of doubt dominates over the modality of certainty because of the probabilistic nature of humanitarian knowledge; the use of dominantly non-empirical criteria of verity; the subjective interpretation of the material researched.
4 Conclusion 1. The analysis has shown that contemporary scientific texts reflect the “living philosophizing of a living person” [12], as they represent mental states of doubt and certainty. Tellingly, we have not found any texts that are completely “cleared” of authorial reflection. It is possible that they do not exist at all. Doubt and certainty indicators are recorded even in such texts where a mathematical apparatus is used to prove a hypothesis. 2. In most cases ontological content of the new knowledge, especially the hypothesis, is object to authorial reflection. Mental states of doubt and certainty escort explanation of methodological and axiological information to a lesser extent. 3. General tendency towards the dominance of the modality of doubt in scientific texts has been established. This tendency is determined by a number of discursive factors, primarily: uncertainty of scientific knowledge, kind of science, ways of verifying hypothesis, the technique of research (theoretical, experimental, survey), as well as the authors’ individual speech preferences. Other discursive factors also influence presentation of doubt and certainty. In particular, descriptive articles are more characterized by standardization and brevity, so that they contain fewer modal units. Implicit dialogue and evaluative speech are more pronounced in the reasoning texts, so there are more doubt/certainty indicators in them. The peculiarities of the content of various text fragments also influence the manifestation of the author’s reflection. In particular, polemical text fragments are characterized by a high density of modal units. Probably, presentation of the scholar’s reflection depends also on his/her cognitive style. However, this question requires further investigation. 4. In articles on humanities the frequency of doubt/certainty indicators is almost twice as high as in the texts on natural sciences. From our viewpoint this is determined by the fact that humanitarian knowledge is probabilistic, subjective and individual, i.e. its ontological nature implies a more pronounced personal element. Moreover, humanitarian knowledge is less affected by such discursive factors as increasing industrial-practical orientation of science, the collectivity of scientific activity, and the demand for concise texts with a non-personal style of presenting the contents. 5. The study raises the question of the importance of author’s reflection in gaining a high communicative effect. Personal element in text influences the understanding of the text and determines its pragmatic persuasiveness. Conversely, the hypertrophied impersonality of a scholarly text (including the elimination of doubt/certainty indicators) can lead to obscurity of contents, can hinder its adequate perception by the reader and can even cause the article to be unclaimed.
96
E. Bazhenova et al.
List of examples 1 2. 3. 4. 5.
6.
7.
8. 9.
10. 11.
12. 13. 14. 15. 16. 17.
Abramov, D.V. et al.: One possible cause of synchronous continental microseisms in northern Eurasia. In: Earth Physics, 4, 123–131 (2020). Berezovich, E.L. et al.: Where did mushrooms come from in figure skating: on motivational interpretation. In: Russia Speech, 5, 22–39 (2021). Blinova, E.N., Shcherbakova, O.V.: Cognitive mechanisms of understanding of verbal texts and infographics. In: Psychological Journal, 42 (1), 66–79 (2021). Fedotova, V.G. During and after the pandemic. In: Voprosy philosophii, 12, 112–122 (2021). Geraskina, A.P., Shevchenko, N.E.: Assessment of the restrictions of morphoecological groups of earthworms (Oligochaeta, Lumbricidae) to the basic types of forest in the basin of Big Laba river. Northwestern Caucasus. In: Zoological Journal, 100 (1), 3–16 (2021). Kartashov, E.M. Analytical approaches to the study of non-stationary heat conduction for partially bounded regions. In: High Temperature Thermophysics, 3, 402–411 (2020). Kashchenko, M.P. et al.: Dynamical theory of the effect of a strong magnetic field on martensitic transformation in steels at austenite grain size near the critical value. In: Physics of Metals and Metal Science, 1, 53–60 (2021). Kharitonova, E.V.: The modern Russian family in the conditions of uncertainty. In: Social and Economic Psychology, 4 (24), 76–94 (2021). Nikolaeva, E.A.: On the taxonomic status of the red icefish from the Kerguelen Islands (South Ocean). In: Proceedings of the Zoological Institute of the Russian Academy of Sciences, 325 (4), 485–494 (2021). Petrova, E.V. The image of the information society in culture: optimism is replaced by pessimism? In: Problems of Philosophy, 8, 25–35 (2021). Posokhova, S.T., Fomenko, S.V.: Psychological content of parental indifference in relationship with children. In: Social and Economic Psychology, 2 (22), 87–112 (2021). Ryabov, V.B.: Problem as a source of human behavior activity. In: Organizational psychology and psychology of work, 6 (3), 4–22 (2021). Severskaya, O.I. et al.: Some notes about business punctuation: punctuation marks or stumbling-blocks? In: Russia Speech, 2, 44–53 (2021). Shutyi, A.M. Discreteness of space and its consequences. In: Voprosy philosophii, 9, 132–141 (2021). Sikharulidze, G.G. Ion source with hollow cathode in glow discharge mass spectrometry. In: Journal of Analytical Chemistry, 1, 79–96 (2021). Silkin Yu. A. et al.: Glycogen as a storing energy substrate of nuclear erythrocytes of fish. In: Journal of Evolutionary Biochemistry and Physiology, 1, 63–70 (2021). Soldatova, E.I. et al.: Flaming as a type of cyberaggression: the role structure and features of digital sociality. In: Psychological Journal, 42(3), 87–96 (2021).
Modality of Doubt and Certainty
97
References 1. Kotyurova, M.P.: On extralinguistic bases of semantic structure of scientific text. Krasnoyarsk University Publisher, Krasnoyarsk (1988) 2. Bazhenova, E.A.: Scientific text in the aspect of polytextuality. Perm State University Publisher, Perm (2001) 3. Matveeva, T.V.: Functional styles in the aspect of textual categories. Urals University Publisher, Sverdlovsk (1990) 4. Bazhenova, E., Solovyova, N., Karpova, T., Chernousova, A., Shirinkina, M.: Evaluation of the preceding knowledge as reflection of the trends in contemporary scientific language. In: Rocha, A., Isaeva, E. (eds.) Perm Forum 2021. LNNS, vol. 342, pp. 437–450. Springer, Cham (2022) 5. Bakhtin, M.M.: Aesthetics of word creation. Art Publisher, Moscow (1979) 6. Lyapon, M.V.: The semantic structure of a complex sentence and text: to the typology of intratextual relations. Nauka Publisher, Moscow (1986) 7. Gustafson, A., Rice, RE.: A review of the effects of uncertainty in public science communication. In: Public Understanding of Science, vol. 29, no. 6, pp. 614–633 (2020) 8. Hendriks, F., Jucks, R.: Does scientific uncertainty in news articles affect readers’ trust and decision-making? In: Media and Communication, vol. 8, no. 2, pp. 401–412. (2020) 9. Sokolova, O.I.: The concept of uncertainty in non-classical science and philosophy. Cand. in philosophy, Nizhny Novgorod (2020) 10. Woolf, K.: Instead of a preface: uncertainty as a condition of human life. In: Uncertainty as a challenge. Media. Anthropology. Aesthetics. Russian Christian Academy for the Humanities Publisher, St. Petersburg (2013) 11. Schneider, S.: Communicating uncertainty: a challenge for science communication. In: Drake, J.L., et al. (eds.), Communicating Climate-Change and Natural Hazard Risk and Cultivating Resilience, Advances in Natural and Technological Hazard Research 45, pp. 267–278. Springer International Publishing Switzerland (2016) 12. Losev, A.F.: Philosophy of name: Oleg. Abyshko Publishing House, St. Petersburg (2016)
The Role of Scientific Intuition in the Text Larisa Tikhomirova(B) , Elena Bazhenova , Larisa Kyrkunova , Samoilova Irina , and Ekaterina Petkova Perm State University, Perm, Russia [email protected]
Abstract. Annotation. The article describes the structure of scientific knowledge in the text, focusing on a special role of scientific intuition in the text. Intuitive knowledge is a linking component of the formation and unraveling of scientific content. The article describes the ways of transformation of intuitive knowledge in the cognitive process. The authors prove the influence of intuitive knowledge on the formation of conceptually new knowledge. Keywords: scientific text · intuitive knowledge · structure of scientific knowledge
1 Introduction The search for rational approaches to the study of scientific text leads to recognising the need to identify and interpret the most effective ways of cognition expressed in the text, to determine the types of scientific knowledge represented in the text, in other words, to build a scientific worldview. At the same time it is important to clarify the manifestation of those cognitive mechanisms of the intellectual activity which contribute to the implementation and disclosure of a scientist’s creative potential in the text. Here the analysis of the balance of rational and extra-rational aspects of cognition and their role in scientific activity acquire more importance. In this regard, one of the highly topical issues of epistemology is the study of such cognitive ability of a scientist as scientific intuition, which is disclosed in a scientific text and in the act of scientific cognition, in particular. Issues of intuition mainly cover the aspects of the emergence and development of scientific (philosophical, psychological) doctrines where rationalism and irrationalism clash. Interesting publications on intuition have been presented recently in a number of scientific publications. V.P. Bransky, Louis de Broglie and others [1] define intuition as an ability to form visual images. In the works of I.M. Morozov intuition is considered as a specific method of cognition [2], consisting in leaping through certain stages of reasoning. In the works of S.I. Vavilov intuition is a perceptive ability to put a problem, predict or anticipate one or another result of scientific research [3]. In P.V. Kopnin’s research intuition is viewed as a form of cognition, reflected in a specific combination of sentient and irrational moments [4]. In M.A. Kissel’s monograph intuition is presented in four kinds (sentient, intellectual, emotional and mystic intuition) [5]. © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 E. Isaeva and Á. Rocha (Eds.): Perm Forum 2022, LNNS 622, pp. 98–108, 2023. https://doi.org/10.1007/978-3-031-28086-3_8
The Role of Scientific Intuition in the Text
99
In linguistics and functional stylistics scientific intuition is correlated with such well-known notions as prior knowledge-in gnoseology (Kanka V.A, S.A. Lebedev), empirical intuition-in psychology (in the works of A.A. Leontiev [6]; R.R. Garifullin [7] and others), the category of hypotheticality-in functional stylistics (in the works of V.V. Kuskov [8]; T.N. Pluskina [9]; M.N. Kozhina [10, 11]). These and many other studies [12], which are close to the topic of intuitive knowledge, suggest that the formation of this concept requires integration of separate aspects of research. Since none of the termed concepts provided above corresponds to our conceptions of intuitive knowledge in a scientific text, we suggest the following: intuitive knowledge in a scientific text is one of the functional properties of the text which has a relatively “closed” character due to linking lexical units (semantic units)that reflect the transition from Pre-understanding to absolute Understanding, from extra-rational knowledge to rational at any level of structure (transformation) of scientific knowledge in a text.
2 Theoretical Review The purpose of this study is to consider the question of how the divergence between the general picture of scientific knowledge with the true one goes and how the formation of a special-intuitive – knowledge takes place. As scientific consciousness is a picture of the world of a scientist, then “intuitive scientific knowledge”, in turn, is a phenomenon confirming (or refuting) this picture” [13, p. 113]. Let us turn to the analysis of the phenomenon of intuitive knowledge as a component of scientific knowledge in the text and define its role in the cognitive and communicative activity of a scientist. The process of formation of scientific knowledge in the text, in our opinion, is connected with the Author’s identification of intuitive knowledge in the gap between known and unknown (hypothetical) knowledge, as a result of this identification the transition of incomplete, reduced knowledge to the status of comprehensive (exhaustive) knowledge in a scientific text becomes possible. Still, the mechanism of transition from private incomplete knowledge to comprehensive (complete) one requires further elaboration. Taking into account that knowledge-both rational and irrational (intuitive) – is expressed in a scientific text, its structure can be represented as a scheme (see Fig. 1). It is obvious that intuitive knowledge, causing the need for recognition, can be a stimulus, the initial impetus of the process of cognition, which leads to the formation of individual scientific knowledge. Through the interaction of different types of scientific knowledge (rational and extra-rational), the text represents the dynamics of scientific thought, its step-by-step transition from the known to the unknown and from the incomplete in a given text to a new, comprehensive knowledge (see Fig. 1). It should be emphasized that the link in the formation and unraveling of scientific content is intuitive knowledge. It is explicitly or implicitly expressed scientific intuition that is always associated with the author’s choice of this or that theory, concept, idea, judgment, inference as a certain perspective in the cognitive process. That moment, which science usually calls a discovery, a scientific “insight,” is a complex overwhelming process and scientists often fail to recognize the very mechanism of the birth of thought itself. A discovery is already a product of cognitive creativity, carried out through the interaction of rational and extra-rational (intuitive, sentient) cognition.
100
L. Tikhomirova et al.
Fig. 1. Transformation of intuitive knowledge in the process of cognition
Known scientific knowledge, being the initial form of cognition, is transformed at this level of cognitive process by moving from a sentient image to a new concept (or from a concept to another image). This represents the interaction of logical and sentient levels in cognition, which is not fully comprehended by the scientist. In our opinion, this interaction results in “intuitive knowledge” which is the beginning of any new scientific knowledge.
3 Methodology The intuitive knowledge and its role in creation of a scientific text is considered in the framework of cognitive-discursive approach [14, 15], which is based on the study of the text from the standpoint of both cognitive and discursive analysis simultaneously. The cognitive-discursive component of this approach determines the mental logical operations of both the author and the reader. Studying these cognitive operations makes it possible not only to restore all the formal and semantic links in the structural-semantic space of the text, but also to describe its conceptual structures, which correlate with the individual units and fragments of the text, as well as with the scientific text as a whole. This approach allows us to determine the algorithm of representation of the deployment of scientific knowledge in the text, to identify the functions of stereotypical units (terminological and non-terminological) in the unraveling of intuitive scientific knowledge in the text [16].
The Role of Scientific Intuition in the Text
101
4 Results and Discussion The first way of transformation (reformation) of scientific knowledge (see Fig. 1) is connected with the movement from sentient (intuitive) image to sentient (illusory) image. In this case, the product of knowledge transformation (obtained through sentient observation without further explanation at this stage of research) is the very first form of mediated knowledge-sentient knowledge. For a scientific fact to be noticed, for it to become the center of a scientist’s attention, it should become an idea and should be specifically viewed as an essential element in its empirical environment. Observation could be called a kind of “sentient registration” of the expected result. It is necessary to say that an active role belongs to a scientist who, getting into information space, ceases to be a “consumer” and becomes a “producer”. In this case the researcher deals both with their own observations and with description of the results of observations obtained by other researchers. Thus, when forming the future concept, the researcher uses the method of analogy, comparison with the facts already known to the reader. For example, Einstein used analogy in transferring the principle of relativity to electrodynamics and optics, and then to all physical phenomena [17]. [In modern scientific texts the principle of analogy is preserved: In my opinion, however, the most interesting and exciting, scientific question in the field of physics of active galactic nuclei now is perhaps becoming the proof of existence of event horizon and, consequently, black holes themselves… The detection of gravitational “black hole shadow” in galaxy M87 is not an absolutely conclusive argument that the central massive object in this galaxy must be necessarily a black hole. There are alternative models where almost the same “shadow” is observed near more exotic objects, such as mole holes or gravastars] (Egorova, p.3). This example of a physics text illustrates how, by analogy with “black holes” in the galaxy, the researcher discovers alternative models – “mole holes” or “gravastars”. For this paper the act of intuitive thought, when in the text (and in the mind of a researcher) is of particular interest, for example, the original concept is combined with a randomly found concept, fact, or theory (in general, this comprehensive image of the represented object (scientific fact) may differ from to the object of the researcher’s interest. This combination is possible due to “detail-images” which reflect individual features of the objects characterized by the original concept. As a result, a newly derived scientific image (we are talking here about heuristic intuition) is synthesized with new knowledge in “detail-images”. In this case, the initial notion sets the “program” of this synthesis, the essence of whose internal connections consists in combining the new image and the known notion in formation of the future knowledge. F.Kekulé’s discovery of the structure of the benzene molecule (benzene ring) can be an example of this mechanism. “The concept of the benzene molecule was for Kekule,” writes A.C. Karmin, “a starting point for thought, but the notion of the ring structure, … came to him uneexpectedly, when he accidentally saw a cage with monkeys seizing each other in a circle and suddenly, instead of monkeys, he imagined CH radicals connected in a ring.” [17]. It is apparent that in this case the concept of the benzene molecule is the original concept. The ideas of CH radicals are “clarifying detail-images”, and the perception of linked monkeys is an “image of scientific concepts”. Replacing monkeys with radicals led to the synthesis
102
L. Tikhomirova et al.
of “detail-images” with “images of scientific concepts”; the concept of the benzene molecule had predetermined the transformation “scenario” of synthesized images that had to take place in order to construct a new image of scientific knowledge-the “benzene ring”. [17]. Another example of the combination of “accidental elements” is a contemporary text on biology, which notes: [… important discoveries in twentieth-century biology were made using physics and chemistry. For example, deciphering the structure of DNA by Watson, Crick and Franklin relied on X-ray diffraction] (Teben’kova p.3). The author’s the remark here illustrates how the discovery of the biological process “deciphering the structure of DNA” was carried out due to “X-ray diffraction” (from the field of physics). A recent scientific medical text says: [In patients with asthma comorbid with GERD, a pronounced multimorbidity was observed. The presence of cough and “chest tightness” symptom were associated with age, and the frequency of “chest tightness” was associated with an increase in body mass index and a decrease in SPH1/FEL. The identified association between increased pepsinogen-1 and decreased values of SPH1/FEL and FEL in response to inhalation of berodual…… Reflects a significant effect of high DER on manifestations of asthma.] (Gorban’ E.V.p. 21) In this example we observe how the identified “random” association reflects medical deviations of the health status of an individual. It should be noted that scientific intuition proceeds from problematics as an objective factor in the development of knowledge. Nature itself tells the scientist in what direction their thought, their intuition should move. The process of constructing scientific knowledge with the help of analogy is carried out by means of combination, correlation of previously available knowledge with the interpretation of newly discovered phenomena. What is more, among the chosen combinations the most fruitful are often those which are composed of elements taken from very distant fields. Still it cannot be claimed that “to make a discovery one should compare as many disparate facts as possible; most combinations formed in this way would be completely useless, but some of them, though very rare, are the most fruitful of all.” [17]. A research scientist who enters a “search situation” is faced with the problem of choosing theories (concepts), of selecting a single analogy from a range of possible analogies. The researcher immediately, at this stage of cognition, faces the action of intuition. Due to heuristic and conceptual intuition the combination of some analogies with others takes place. In fact, analogy is a specific method of intuitive combination. At the same time, the result of the analogy itself cannot always be regarded as proven scientific knowledge. The second way of transformation (reformation) of knowledge in the text is the movement from notion to notion, from concept to concept. This transition results in rational knowledge. It should be emphasized that the subject of study is formed in the process of research. The scientist does not deal with a clear construction of the object of study, conditioned by extralinguistic conditions, but rather with a relatively free intuitive search. In order to see some essential aspects of a future scientific phenomenon one needs assumptions,
The Role of Scientific Intuition in the Text
103
conjectures, preliminary models, i.e. motivation. Creative activity of the researcher, as it is known, depends not only on their abilities and goals, but also on their world outlook, specific scientific material at their disposal, etc. All this determines the “force” thematic field within which the field of heuristic assumptions, conjectures, hypotheses is situated. Motivation of scientific notions (and movement-from a notion (concept) to a notion (concept)) is understood as their structural-semantic correlation enabling a researcher to realize intuitive connection of the content and expression in the text. In other words, motivational meaning dissects lexical meaning of a word, indicates its semantic components (generic and specific parts) and thus differs from it, not coinciding with it as a rule. These speculations lead to the conclusion that a motivated concept with different features is subordinated to the content of a more general concept. For example: [The massive, hot atmosphere of Venus must significantly influence the nature of the planet’s surface. Researchers presented the results of the study on the surface layer and rocks of the celestial body (Kopernik, 37); The discovery of America in the XVth century was a new page in the history of gold. A huge amount of the precious metal was brought from the Americas by Spaniards. It is one of the heaviest elements of the Earth’s crust.] (Fersman, 183). The extracts from scientific texts above demonstrate that in the given series of nouns one can observe how classification features of the same concept or object which indicate its significant logical connections are given simultaneously for motivation this concept or object (cf.: Venus-planet-celestial body; gold-precious metal-element). Thus, here are genus-species relations observed, which serve as an internal motivation for the formation of concepts and the expansion of their semantic information. This process may be schematically represented as follows (see Scheme 3): Scheme 3. Species or individual name generic name generic name (or periphrasis, figurative name)
The third way of transformation (reformation) implies movement from a concept to a new sentient image, i.e. to direct knowledge. Here direct knowledge acts as a specific form of intuitive knowledge. Obtained in this way, it forms the “foundation” for new empirical knowledge, which, in turn, represents the completion of old and the beginning of new knowledge. It already contains prerequisites for the formation of new theoretical knowledge. It is the combination of theoretical and empirical knowledge that represents new scientific knowledge. As a result, the process of cognition is likened to a search situation which correlates with communicative aspect of cognitive situation. In this connection M.M.Bakhtin’s statement that “a scientific work is connected with other works: both with those to which it responds, and with those that respond to it” [18, p. 254] is appropriate. As a result of such a “search,” the scholar tries to draw their own inference concerning statements deduced earlier, for example:
104
L. Tikhomirova et al.
[However, it cannot be said that these questions have been resolved by now… Much here is still at the stage of experimental verification… Therefore as a result of experimental or theoretical work new independent properties can be and really are identified… (Nebylitsyn, 33); Such in-depth development of research of aggressive periodontal forms group in recent years is certainly a welcome fact… That together allowed to solve the most difficult issue-the issue of differential diagnostics of periodontal diseases] (Bezrukova, 6). If predicted effects of known knowledge turn out to be acceptable and verified (checked), then future new knowledge (idea) can intuitively be considered to have passed the check. If the pronounced decision is negative (or falsified), falsification disproves both the idea and the concept of the predecessor which it has been deduced from. For example: [The idea that psycho-physical differences in constitution can be attributed simply to differences in age should be considered definitively disproved. This is found out in thorough experimental examinations…] (Krechmer, 5). New knowledge (idea) could be concluded to be valid and stable only when it is supported by past experience. However, there remains a question concerning the further life of scientific knowledge (idea): will it get into the scientist’s “field of intuitive search” and thus enter the scientific fund, or will it remain in the “cell” of unclaimed knowledge? Scientific intuition is, in our opinion, an important condition for the process of intellectual thought development. The appeal to the analysis of any new object, which the subject of cognition has no prior knowledge about, begins with empirical observation. The product of purely empirical research is sentient images, sensations or perceptions. It should be noted that at the modern level of scientific cognition empirical research in its pure form means a kind of idealization (a scientific illusion). The researcher approaches the study of a new subject taking into account the theoretical knowledge they already have. However, at a certain level the scientist is forced to operate with new facts sometimes using old theoretical concepts and this results not so much in a clash of old and new knowledge, as in the development and affirmation of new knowledge. In such a complex cognitive-communicative situation, the scholar brings knowledge to the level of theoretical justification. For example: [So far, everything said about physicochemical nature of excitation process was based on the concepts of ionic theory of excitation, developed by its supporters as part of modern membrane theory of bioelectrical potentials. However, there is another set of views on the nature and origin of the biopotentials and the nature of excitation in general, the so-called phase theory, which is represented by numerous works… it attaches great importance not to the membrane separating the cell from the environment, but to the intracellular protoplasm…] (Nebylitsyn, 173). The given extract from a psychological text illustrates that the circle of research of physical and chemical nature of excitation process widens taking over the new facts, properties, principles, approaches (in particular “the so-called phase theory… attaches great importance not to the membrane separating the cell from the environment, but to the intracellular protoplasm…), which, although referring to the same subject, differing from each other. Thus, as a result of empirical observation new knowledge (However,
The Role of Scientific Intuition in the Text
105
there is another set of views on the nature and origin of the biopotentials and the nature of excitation in general, the so-called phase theory, which is represented by numerous works…) transits to theoretically proved significant knowledge. Thus, new scientific knowledge is obtained not only by inductive generalization, but also by conceptual combinations of intuition. As V.R. Irina and A.A. Novikov correctly point out, fundamental concepts of new knowledge (theory) should be obtained by means of similar functions. [19]. So, this paper suggests that process of construction of scientific knowledge represents interaction of conceptual intuition which carries out transition from available visual images of old knowledge, known and generally recognized scientific facts and concepts, etc. to formation of new complex notions (concepts). This transition is carried out on the basis of intuitive selection of scientific facts. As it has been emphasized above, in the process of scientific cognition the transition is possible not only from visual images to a new concept, but also from concepts to new sense-visual images. At the same time, the researcher seeks not only to find, but also to transform (reform) knowledge. Unlike logical or sentient knowledge, intuitive cognition is not an absolutely independent field. In the cognitive process forms of intuition (conceptual, empirical) are in interrelation with the known forms of cognition, while carrying out the interaction of sentient and logical cognition data. “From gnoseological perspective, “ V.R. Irina and A.A. Novikov note, “this interaction consists in some “coupling” of sentient images on the basis of a known concept (conceptual intuition) or vice versa - “coupling” of conceptual images on the basis of an image-model of different concepts (conceptual intuition)” [18]. It is worth saying that a concept-model reflects those properties and features of an object, whose content is already fixed in the categorical apparatus of science (a concept-model is the result of a previous mental experiment). An image-model presents itself on the basis of some initial visual experience. For example: [In 1994, gamma ray bursts were first detected in the Earth’s atmosphere. At the subsequent study of these phenomena they turned out to be connected with lightning strikes… The energy of the flare can escape both into outer space and to the surface of the planet. Scientists believe that areas of relatively strong electric field are often formed inside thunderstorm clouds. Once in such areas, electrons accelerate. In the works of Alexander Gurevich, the term “avalanche of escaping electrons” was introduced. The meaning of this concept is that in the atmosphere slow electrons (with energy less than 300–500 keV) lose energy faster than they receive it from the electric field. Thus, an avalanche of fast electrons and a parallel gamma ray burst appear. There are several models of such flares, but in all of them there are some difficulties with explaining the observed data.] (Kolesnikov, 2021). This example shows how the image-models “avalanche of escaping electrons” and “flashes of gamma rays” are created on the basis of experimental observation and the method of analogy. Let us illustrate how knowledge transformation based on image-models of concepts is realized in a text:
106
L. Tikhomirova et al.
[The mathematical model is constructed on the basis of dimensionless variables “current function-vorticity-temperature” taking into account the Boussinesq approximation. The use of this approach allows to exclude the pressure field from the equations] (Astanina, Sheremet, 2021: 32). [Numerical modeling of thermophysical processes in the air cooling channel of the titanium sponge recovery apparatus is performed. The mathematical model is built on the basis of the unsteady Navier-Stokes equations in the axisymmetric formulation with the use of the kSSTω turbulence model. The model takes into account the radiative heat transfer between the retort and reactor walls.] (Karasev 2021: 39). These examples demonstrate the transformation of model-concepts formed on the basis of previously discovered image-concepts: “dimensionless variables “current function-vorticity-temperature” and “based on the unsteady Navier-Stokes equations”. If possible, it is important to take into account the fact that the choice of conceptsmodels and images-models often hides the intuitive understanding of the object of cognition by the researcher. Scientific intuition is a cognitive act which results in emerging of new knowledge. This gnoseological and cognitive-communicative aspect of scientific intuition is of particular importance in the unraveling of a scientific text. After all, in this case we face not only the problem of identifying the nature of research operations, through which intuitive knowledge is formed, but also the problem of forms and methods of scientific cognition, distinguished by huge heuristic and prognostic functions. At the last stage of the study we carried out a comprehensive analysis of modern scientific texts on physics, medicine, psychology (demonstrated above) in order to identify the degree of explicitness of intuitive knowledge (the means of its transformation) in them. Thus, Table 1 reflects quantitative indicators of transformation methods of intuitive knowledge in a scientist’s cognitive process on the example of texts from different spheres of science (see Table 1). Drawing on Table 1, we can conclude that most texts use different means of transformation of intuitive knowledge to represent a scientist’s own (individual) scientific knowledge. Thus, among the quantitative parameters three means (analogy and the way of comparison, from sensual image to sensual image, from concept to concept) are crucial for expressing intuitive knowledge in the text, because these ways of revealing a conceptual idea are the basis for the formation of solid fundamental knowledge. In a scientific text, as it has been noted earlier, intuition is revealed at several stages of the cognitive process and involves several operations, which, depending on the author/reader’s attitude, can be reconstructed and dissected for the purpose of analysis. As it has become evident, new information in a scientific text (in a scientific article) is presented by the author in an implicit form, so the means of transformation (reformation) of intuitive knowledge start play a pivotal role in the formation of scientific knowledge. In our opinion, the concept of intuition includes the conditions of formation of a scientific text content (in particular, the nature of disciplinary knowledge, acting as new; the degree to which new knowledge has found its wording in termed concepts, statements, generalizing statements; the “stage” of new knowledge in the structure of comprehensive knowledge, etc.); as well as it includes the genre specificity of the text and, finally, the individual style of thinking and speech of the scientist.
The Role of Scientific Intuition in the Text
107
Table 1. Number of means of transformation of intuitive knowledge in scientific texts Text №
Set of means of transformation of intuitive knowledge Observation Analogy
Including comparison
From sentient image to sentient one
From notion to notion
From notion to sentient image
Physics (Astanina, Morozova) 1 (A.)
3
3
3
1
2
2 (M.)
1
1
-
3
2
Biology (Teben’kova, Kopernik) 3 (T.)
3
1
2
2
1
6 (K.)
1
3
2
-
3
Psychology (Nebylitsyn, Krechmer) 4(N.)
-
2
3
1
1
5(K.)
1
-
1
1
2
Medicine (Bezrukova, Gorban’) 6(B.)
2
2
3
2
-
7 (G.)
2
1
2
3
1
5 Conclusion We believe that, being a property of the cognitive process, scientific intuition has its own distinctive nature [20]. It should also be taken into account that intuitive knowledge is not any knowledge in general, it is a special kind of knowledge, which takes part in formation of a scientist’s worldview. This, however, is only one aspect of the matter. The other one, we believe, is that intuitive knowledge is naturally included in the genesis of forms of scientific cognition, which, in turn, implies that we should consider the mechanisms of heuristic and conceptual intuitions deployment in the system of becoming theoretical knowledge in the general scientific pool [21]. List of examples
1. 2. 3.
4.
Egorova E.: Discovering the Mysteries of Black Holes. For Science. Moscow. pp. 3–4 (2021). Teben’kova M. A.: New Era of Biology. For Science. Moscow (2021). Gorban’ E.V., Kameneva E.S. et al.: The Prospects for the Introduction of NonInvasive Diagnostics of Gastroesophageal Reflux Disease Comorbid with Bronchial Asthma: a single-stage open uncontrolled non-randomized observational study. Kuban Scientific Medical Bulletin. Vol. 28. No. 6. pp 14–28 (2021). Kopernik M.: Science and Life. No.3. Moscow (2001).
108
L. Tikhomirova et al.
5. 6. 7. 8. 9. 10.
Fersman E.G.: Geochemistry: Chemical Elements in Nature. Moscow (1959). Bezrukova I.V.: Aggressive Forms of Periodontium. Moscow (2002). Krechmer E.: Body Structure and Charachter. Moscow (2000). Nebylitsyn V.D.: Selects on Psychology. Moscow (1990). Kolesnikov E. A.: New Model of Gamma-ray Flares. For Science. Moscow (2021). Astanina M.S., Shermet M.A.: Simulation of Mixed Convection of a Liquid with Variable Viscosity in a Partially Porous Horizontal Channel with a Source of Heat Release. COMPUTER STUDIES AND MODELING. Moscow Vol. 11, No. 1 pp. 95–107 (2019) 11. Karasev T.O., Permoniv A.V.: Simulation of thermal conditions in the air cooling channel of the titanium reduction apparatus. The Bulletin of Perm State University. Physics. Iss.4. pp. 39–51 (2021).
References 1. Bransky, V.P.: Philosophical Foundations of the Problem of Synthesis of Relativistic and Quantum Principles. Moscow (1973) 2. Morozov, I.M.: The Nature of Intuition. Minsk, University (1990) 3. Vavilov, S.I.: Selecta. Publishing House of the Academy of Sciences of the USSR Vol. 3, Moscow (1956) 4. Kopnin, P.V.: Gnoseological and Logical Foundations of Science. Mysl, Moscow (1974) 5. Kissel, M.A.: The Fate of the Old Dilemma. Mysl, Moscow (1974) 6. Leontiev, A.A.: Active Mind: Activity Sign Personality. Smysl, Moscow (2001) 7. Garifullin, R.R.: Personal Illusionism as a New Philosophical and Psychological Concept. Kniga i K, Kazan (1997) 8. Kuskov, V.V.: Hypothesis in Modern Linguistics. Nauka, Moscow (1980) 9. Plyuskina, T.N.: Functional semantic-stylistic category of hypotheticality in Russian scientific texts of the 18th–20th centuries: autoref. dis. … Cand. Philol. Sciences. Perm (1996) 10. Kozhina, M.N., Bedrina, I.S., Polygalova, N.V.: Functional semantic-stylistic category of hypotheticality in scientific texts. Functioning of Language in Various Types of Text. Perm (1989) 11. Kozhina, M.N.: The Category of Hypotheticality [Stylistic encyclopedic dictionary of the Russian language]. Moscow: Flinta: Nauka, 54–55 (2006) 12. Bazhenova, E.A., Tikhomirova, L.S., Kyrkunova, L.G., Danilevskaya, N.V., Karpova, T.B.: Scientific text semantic structure modeling. Amazonia Investiga 8, 163–167 (2019) 13. Myasishchev, V.N.: Consciousness as a unity of reflection of reality and human relations to it: problems of consciousness. Psychology (1986) 14. Silverstein, M., Urban, G.: The natural history of discourse. In: Natural Histories of Discourse. University of Chicago Press, Chicago (2–16) (1996) 15. Krantz, S G.: A primer of mathematical writing. In: American (1996) 16. Bazhenova, E., Tikhomirova, L., Kyrkunova, L., Petkova, E., Samoilova, I.: The role of illusory knowledge in the structure of a scientific text. Smart Innovation, Systems and Technologies. Springer (2021) 17. Carmine, A.C.: Intuition and its mechanisms. Problems of the methodology of science and scientific creativity. L: LGU (1977) 18. Bakhtin, M.M.: Aesthetics of Verbal Creativity. Moscow (1979) 19. Irina, V.R., Novikov, A.A.: In the World of Scientific Intuition, p. 167. Nauka, Moscow (1987) 20. Danilevskaya, N.V., Bazhenova, E.A., Kyrkunova, L.G., Tikhomirova, L.S., Karpova, T.B.: Value aspect of text formation: the dynamics of meaning. Opción. 26, 1697–1711 (2020) 21. Wright, D., Meadows, D.H.: Thinking in Systems: A Primer. LONDON (2009)
Grammar Terms Classifications in an English Classroom for Future Engineers Ekaterina Ites
and Alexandra Alyabeva(B)
Novosibirsk State Technical University, Novosibirsk 630073, Russia [email protected]
Abstract. To support the development of grammar and intercultural academic literacy skills in a collegiate EFL classroom, a curricular intervention was designed and implemented. This was necessitated by the situation when FL instruction hours are being gradually cut down, while students’ communicative competences, in both the target and native languages, are often not up to the level expected from students entering a university. Drawing on a sociocultural semiotic perspective on ecology of language learning and teaching [1], innovative multimodal instructional materials were designed and introduced as bilingual taxonomies of linguistic terminology. Finalized by students, these materials were regularly used in class for at least a semester to raise English grammar awareness and promote terms’ acquisition, while supporting emerging metalinguistic skills and intercultural academic literacies. To find out if the undertaken intervention was bringing about the intended learning, an action research was initiated. The article describes the intervention and reports on the first stage of the research, a preliminary experiment that was administered as a terminology test to two groups of students. The experimental group included students who had regularly worked with the taxonomies, while the control group students had not been subjected to the intervention. The obtained test results indicate that the treatment group demonstrated a better performance on various tasks designed to check students’ knowledge of grammar terms and application of metalinguistic skills. Some directions for continuing the undertaken research at the next stage are considered. Keywords: Curricular Intervention · Pedagogical Design · Grammar Terminology · Bilingual Taxonomies · Intercultural Academic Literacies
1 Introduction Any technology has its terminology. Acquisition of technical terminology for engineering students is an undeniable part of their education and one of the competences they have to develop over the course of study. Thus, the Federal State Educational Standards of Higher Education of the Russian Federation point out that students receiving a Bachelor’s degree, have to obtain ‘the ability to systematically study the scientific and technical information of domestic and foreign experience in the relevant profile of training’ [2]. This hardly can take place without students’ ability to develop fluency with special terminology in particular academic disciplines they study, including a foreign language. © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 E. Isaeva and Á. Rocha (Eds.): Perm Forum 2022, LNNS 622, pp. 109–121, 2023. https://doi.org/10.1007/978-3-031-28086-3_9
110
E. Ites and A. Alyabeva
In the foreign language (FL) classroom at a technical university, the important role of special terminology and linguistic terms in developing various components of communicative competence becomes even more evident. This is especially so when language is viewed as a particular kind of meaning making technology of communication which employs alongside with linguistic means other semiotic resources (e.g., digits, visuals, tables, graphs, colours, and more). Based on the above, it is reasonable to suppose that as a tool in technology of communication, the linguistic terminology has to be introduced to students as a system and practiced regularly so that they could master it and apply it to support their competent use of language. The authors’ teaching experience demonstrates that linguistic terminology may become a powerful tool enabling students in the English as a FL (EFL) classroom to understand and discuss the workings of language and its products. It allows them to negotiate the form and meaning of different linguistic structures, such as words, phrases, sentences and various texts they come across in the English classroom and beyond. The linguistic terms that students start acquiring at school in Russian and FL lessons may serve as a good starting point for developing skills in the theoretical language used in other academic disciplines [3]. Besides, linguistic terminology allows students to master their language skills more consciously, which ensures the development of metacognitive skills and expands the repertoire of communicative competences. However, the reality is that students who enter the EFL classroom at technical universities often demonstrate a rather low level of skills in using both languages, leaving alone their inadequate knowledge of linguistic terminology in Russian and English alike [4]. The latter can be explained by the fact that language instructors are not united in their views on whether linguistic terminology should be taught and if ‘yes’ then how exactly [5]. It is important to keep in mind that there are different understandings of the very term ‘linguistic terminology’. Its meaning is usually narrowed down to grammar terms [6]. While the term ‘grammar’ usually encompass the areas of morphology, syntax, morphemics and word formation, linguistic terminology also describes formal and semantic relations in lexis, such as antonymy, synonymy, homonymy, paronymy, polysemy, and more. Besides, it extends into terminology of text analysis that students need to master to be able to discuss, interpret and produce different types of academic texts. When it comes to using grammar terminology and teaching it explicitly, FL educators are divided in their opinions. There are opponents and proponents [7, 8] of the issue. Among the arguments against teaching grammar terminology in the FL classroom the following were reported in literature: • Although use of grammar terminology may be appropriate in an English classroom, terminology per se cannot be one of the teaching goals. • Students might just memorise grammar and other linguistic terms without understanding their meaning and the systemic relations among them. • Teaching terminology allows students to talk about the target language but does not allow them to communicate using that language. • Acquisition of linguistic terminology does not lead to fluency in using a foreign language.
Grammar Terms Classifications
111
• The level of material delivery in grammar manuals might not match students’ proficiency level in the target and native languages [9]. • Mastering terminology requires skills in abstract thinking, which increases the level of complexity in teaching a foreign language. • As a target in the EFL classroom, English grammar is difficult enough for studying and is greatly influenced by students’ native language grammar. This results in interlanguage interference, while learning grammar terminology aggravates the challenge [10]. The arguments in favour of teaching FL grammar terminology explicitly are as follows: • Since students entering tertiary education usually know some grammar terminology in their native language, this makes it much easier for them to acquire the equivalent terms in the target FL and expand their metalanguage vocabulary, awareness, and skills. • The metalinguistic competence helps students to come up with accurate and brief descriptions of language phenomena, as well as generate grammar rules based on their own observations [6]. • Strengthening students’ language awareness and metalanguage skills enables them to think and talk analytically about the language and texts they experience, study, use, and produce. This ability is an inalienable condition for helping students develop various academic literacies and expand their repertoires of verbal and non-verbal communicative competences forged in the context of multimodal communication mediated by different semiotic resources used in the FL classroom [11–13]. • Expanding their grammar and metalinguistic knowledge and skills in the FL classroom enables students to develop an intercultural perspective on language and text forms, structures, meanings, and practices of use. Thanks to an emerging intercultural competence, FL learners adopt culturally authentic and context-appropriate ways of using the target language and accompanying semiotic resources recycled in multimodal communication [1, 14, 15]. To continue the list of advantages that emerge from teaching linguistic terminology directly, it is worth mentioning the following: • Working closely with linguistic terms can help students realize that terminology in other academic disciplines also functions as a complex system and hierarchy of signs. Besides, they discover that this semiotic system often features competing ways of understanding the same term, while at the same time it contains a lot of synonymous expressions referring to the same concept. • Students come to know that such variations in terms’ form and meaning might reflect usage adopted by different schools of thought, or theories, or dialect communities (e.g., AmE vs BrE), or point to a particular register, time period, or be intended for users of a particular age. For example, the “adult” term ‘special question’ is a more abstract expression in comparison with its synonym ‘wh- question’ – the latter being a “hands-on” term commonly used when teaching grammar to school children.
112
E. Ites and A. Alyabeva
• Acquisition of linguistic terms leads to greater conscious engagement with the target language in the process of verbal communication [15]. These “focus on form” [16] skills are instrumental, for instance, when searching for specific information in an FL or redesigning existing texts to create a new one. Students need these academic literacy knowledge and skills to successfully perform various learning tasks across different disciplines they study. • Over their course of study at a technical university, students are expected to acquire strong academic literacy skills, including proficiency in metalanguage. They will need these competences in their future life as engineers, who work with a great variety of texts, written and oral, including those in a foreign language. They have to be fluent with such linguistic resources as dictionaries, grammar references, manuals, etc. and deal with texts representing different genres, diverse content areas, and levels of complexity. The outline provided above shows that teaching linguistic terminology in the FL classroom has numerous benefits, however, the question remains as to how to implement this instruction in practice. At present, the conditions for teaching EFL at a technical university can hardly be described as favourable. The number of class hours for FL programmes at different levels of training is dramatically insufficient, students’ groups are usually too big for effective language instruction and learning, while the level of skills in EFL among university newcomers is generally quite low. Another problem is that the official FL curriculum is mostly content-oriented, leaving systematic grammar instruction little or no place, by reducing it to a ‘patchy’ format of hardly related topics.
2 Materials and Methods To improve the situation, the experimental method of curricular intervention was applied and implemented five years ago as a module that was devoted to explicit and systematic instruction in linguistic terminology. The module was taught in parallel with the official curriculum in groups of undergraduate students, for at least a semester in each group. The intervention aimed at supporting students’ learning of English grammar, metalinguistic skills, and intercultural academic literacy by expanding students’ academic vocabulary in both English and Russian and strengthening their language awareness and skills in multimodal communication. To this end, innovative instructional materials were designed, that capitalized on the heuristic (self-explanatory and leading to discovery) potential of classification. These materials presented linguistic terms in the form of four bilingual taxonomies (hierarchical classifications) organizing terms into types and groups. The one-page classifications were structured as a conceptual diagram that shows both terms and relationships between them by giving each item a certain position to express these connections. Each taxonomy included English terms from one of the following areas of language study: morphology, syntax, word formation, and lexis. The taxonomies share the same multimodal design that reflects the multiliteracies perspective on language use, learning, and pedagogy [11, 12, 15, 17]. The design consists of seven structural parts. The first one is the identification section that documents the taxonomy as an individual learning material. It requires students to fill in their group and
Grammar Terms Classifications
113
Fig. 1. Taxonomy 2 fragment
name. The second part is the general heading, which points to the main purpose of the classification (review and revision). The third part introduces the instructions as to how to use the tool. The fourth part presents the title and subtitle of the taxonomy. The fifth part is the main body. It contains 11–15 lines where some main terms are introduced in English, with slots provided for the appropriate Russian equivalents that students have to fill in line by line and thus produce a bilingual instrument. Part six features 1–3 questions that students have to translate and answer in writing. The seventh part includes links to online sources so that students could explore on their own additional information on some of the terms that may require more clarification. Figure 1 shows the upper section of Taxonomy 2. In average, it took students four weeks to work through each classification, so the last one (devoted to systemic relations in lexis) was often introduced and practiced during the subsequent semester. Students’ introduction to and initial exploration of each taxonomy followed the same scenario. First, the instructor presents the taxonomy to the class by using individual handouts and briefly explains its purpose. Then instructions are given as to how students have to complete the taxonomy to create a bilingual learning tool of their own. After that, students read, translate, and discuss the taxonomy’s heading, title, subtitle and the terms featured in the first line. Finally, they fill in the slots provided after the terms by writing in the agreed upon Russian equivalents. As a homework assignment for the following class meetings, students complete the taxonomy in sections of 2–3 lines by adding the Russian equivalents and translating the examples. In class, they read the terms and examples, check and correct their findings, while discussing (in Russian) the meaning of the terms. After all the terms are provided with Russian equivalents, students translate and answer the questions that are placed at the bottom of the taxonomy page to draw their attention to some important concepts related to the domain. Thus, the questions in Taxonomy 2 deal with the phenomenon of inversion and its role in question formation. On the other hand, the question in Taxonomy 1 (that presents the parts of speech realm) addresses the phenomenon of conversion, which is so ubiquitous in the English language and so confusing for native Russian speakers.
114
E. Ites and A. Alyabeva
Before the taxonomy is transformed into a bilingual learning tool, students engage in its deeper exploration as they start applying its terms while performing and discussing various tasks prescribed by the official curriculum or developed specifically within the intervention module. The former include all kinds of grammar and vocabulary exercises, reading, writing, and oral performance, ppt presentations, etc. The latter include miniglossaries of the difficult linguistic terms, a formula-based question formation task (that also works as a reading comprehension check), and intercultural literacy tasks involving conventions of proper names and time-&-date expressions, decoding the enigma of noun-noun constructions, solving acronym puzzles, to mention a few. In order to evaluate the utility and efficiency of the intervention and get evidence whether students’ regular work with the taxonomies can promote the development of the target academic vocabulary, metalinguistic skills, and intercultural academic literacies, an action research [18] was initiated. At its first step, a testing method was applied [18, 19]. To find out if students’ regular work with the new instructional materials could result in higher level knowledge and more accurate use of practiced terminology, a preliminary test was developed and administered. Its goal was to check if the intervention could lead to an increased bottom-line proficiency with Russian linguistic terms featured in the bilingual taxonomies. In designing and administering the experiment test, the method of control group was applied. In coding the collected test data, the principle of nominal dichotomous variables (±) was used [18], which allowed the results to be processed by applying the method of direct quantitative analysis. The scope of the intervention materials that were employed in designing the experiment test was narrowed down to items coming from two classifications – Taxonomy 2 and Taxonomy 3. The former (entitled ‘The Members and the Parts of the Sentence’) contained some basic concepts of syntax, while the latter (‘The Parts of the Word and Word Formation’) presented terms related to the fields of phonetics, morphemics, and word-building. Taxonomy 1 (‘The Parts of Speech’) dealing with the main concepts from the field of morphology, was not considered, since, in general, its terminology is somewhat more familiar to Russian high school graduates, although they often overuse it and fail to apply it accurately, having a vague understanding of these terms. The experiment test is the second type of the materials employed in the study. Its main goal was to check the knowledge and correct application of some Russian terms featured in these two taxonomies. The terms referred to the following areas: • syntactic functions (members of the sentence, homogeneous members/parts); • morphemics/word formation (word morphemic structure, word formation method). Accordingly, the test included two parts. The first part asked students to identify the syntactic positions of ‘artificial words’ (non-words consisting of nonexistent roots but real affixes) employed in a sentence known as ‘Glokaya kuzdra’ (Glokaya kuzdra shteko budlanula bokra i kudryachit bokryonka). In the late 1920s, academician Lev V. Shcherba used this sentence in his lectures in linguistics to emphasise the importance of grammar in acquiring foreign languages [20] and to demonstrate the fact that morphemes and syntactic structures convey various meanings that jointly orchestrate a meaningful whole. Shcherba’s eight-word sentence resembles the famous sentence ‘the gostak distims the
Grammar Terms Classifications
115
doshes’ that was introduced by Andrew Ingraham in 1903 [21]. The absence of the exact lexical meaning in such words makes it possible to reveal students’ ability to recognise and name the grammatical meanings expressed by the members of the sentence. The second part of the test asked students to analyse the morphemic structure of a compound adjective featured in a mini-poem and name the word-building method it illustrates.
3 Experiment Participants and Setting. A total of 120 students from a technical university participated in the test experiment. The participants were divided into two groups of 60. Half of them (group1, the treatment group) had already worked with the taxonomies for at least one semester. The other 60 students (group 2, the control group) had not been subjected to the curricular intervention. As Table 1 shows, the participants of the test were first- and second-year undergraduate students taking the Basic English course taught for 4 semesters. They were recruited from eight class groups, which represented six faculties, such as Applied Mathematics (AM), Aviation Engineering (AE), Computer Engineering (CE), Mechatronics and Automation (MA), Physics and Technology (PT), and Radio Engineering (RE). The composition of the control and treatment groups was similar: one class of first-year students (semester 2) and three classes of second-year students (semester 4). In the treatment group, two classes – CE and RE – had already worked with the taxonomies for one semester (18 weeks in length), while the other two classes had been using the classifications for two semesters in a row. Purpose Statement. The main goal of the experiment test was to compare and measure the two groups’ performance supposedly affected by the implemented curricular intervention. The measurement of the expected difference might provide initial evidence of the effectiveness of the intervention. Table 1. Test participants. Semester
Group 1 participants, faculty & treatment time
Group 2 participants & faculty
Semester 2
20 (CE) one semester
22 (CE)
Semester 4
16 (AM) two semesters
17 (AE)
Semester 4
14 (RE) one semester
12 (PT)
Semester 4
10 (RE) two semesters
9 (MA)
Data collection and Analysis. Data were collected during the first week of the spring 2022 term. The experiment test was administered in the pen-and-paper format during the regular class meeting time. Then the collected data were coded by hand as nominal dichotomous variables (±) [18]. In February, the coded data were processed by using the method of direct quantitative analysis.
116
E. Ites and A. Alyabeva
4 Results Different test items required one or two responses, so the maximum total score for different items could be 60 or 120 points, as shown in brackets in Tables 2 and 3 below. First, knowledge of the terms that refer to the syntactic functions or positions, that is, members/parts of the sentence, was tested. The results of this task performance are presented in Table 2. All students in the treatment group accurately identified the predicate position (100%). In the control group, the total result was lower, but most of its participants (80.8%) also coped with the task. The subject function was identified correctly by the majority of the students in both groups, with a slightly better result in the treatment group (83.3% vs. 78.3%). The positions of object and attribute were named correctly by more than 50% of the students in each group. However, the treatment group showed higher results in both cases (81.6% & 68.3% vs. 59.2% & 58.3%). The main mistake in identifying the syntactic function for the pseudo-adjective word ‘glokaya’ was that students replaced the syntactic term standing for ‘attribute’ with morphological Russian terms equivalent to the English ‘adjective’, ‘participle’, or even ‘gerund’. There were also mistakes in identification of the object position. Some students referred to the object position by the morphological term for ‘noun’. Some participants used wrong syntactic terms that stand for ‘subject’, ‘adverbial modifier’, and ‘attribute’ or did not provide any term at all. Table 2. Knowledge of the syntactic functions of words in a sentence. Syntactic functions
Group 1 correct answers
Group 2 correct answers
Subject
50 (of 60) 83.3%
47 (of 60) 78.3%
Predicate
120 (of 120) 100.0%
97 (of 120) 80.8%
Object
98 (of 120) 81.6%
71 (of 120) 59.2%
Attribute/Modifier
41 (of 60) 68.3%
35 (of 60) 58.3%
Adverbial modifier
37 (of 60) 61.6%
19 (of 60) 31.7%
Homogeneous parts
49 (of 60) 81.6%
20 (of 60) 33.3%
Function words
10 (of 60) 16.7%
4 (of 60) 6.7%
The correct term for the ‘adverbial modifier’ position was used by 61.6% of the students in the first group, however, the control group practically failed to identify this position. Only 31.7% of them named it correctly. Similar to mistakes with the object and attribute positions, wrong answers included the use of morphological terms (adverb and adjective). There were also cases of applying wrong syntactic terms (attribute, object and even subject) or not providing any answer. A similar ratio in the performance scores between the treatment and control groups was observed regarding their use of the term referring to the ‘homogeneous parts’ structures (81.6% vs. 33.3%). The results were significantly higher in the first group (more than 2.5 times). In the second group, two thirds of the students failed the task.
Grammar Terms Classifications
117
Finally, the test revealed that in both groups, most of the participants did not seem to know the fact that function words are not assigned any part of the sentence position. Although many students correctly pointed out that the word ‘i’ (‘and’) is a conjunction (again resorting to a morphological term), they did not specifically indicate that conjunctions do not belong to the ‘members of the sentence’ category. The second part of the test aimed at assessing students’ familiarity with terminology and skills used to discuss the morphemic structure of words and methods of word formation. The task required the participants to analyse the compound form ‘strenozhennykh’ used in the phrase “pyat’ strenozhennykh’ koney” (five hobbled horses) in a mini-poem provided in the test. Table 3 presents the results of the tasks performed in part two. All the participants in the treatment group (100%) correctly identified (separated and named) the ending in the form ‘strenozhennykh’. Most students in the control group – 81.7% – also coped with finding and naming the final morpheme. In identifying the suffix, the results turned out to be slightly lower – 98.3% of the students in the treatment group correctly identified the morpheme (separated and provided the term). In the control group, only 73.3% of the participants did it correctly. Finding the prefix did not pose too much of a problem for the treatment group – 80% succeeded. But only 38.3% of the control group students managed to separate and name the prefix. Table 3. Knowledge of the morphemic structure and methods of word formation. Morphemes/methods
Group 1 correct answers
Group 2 correct answers
Prefix
48 (of 60) 80.0%
23 (of 60) 38.3%
Root 1
9 (of 60) 15.0%
3 (of 60) 5.0%
Root 2
28 (of 60) 46.7%
28 (of 60) 46.7%
Suffix
59 (of 60) 98.3%
44 (of 60) 73.3%
Ending
60 (of 60) 100.0%
49 (of 60) 81.7%
Word formation method
22 (of 60) 36.7%
23 (of 60) 38,3%
Establishing the root morpheme(s) caused the most difficulty. Finding the second root was somewhat easier. In both groups, the same number of students (46.7%, almost a half) identified it correctly. However, only 15% in the treatment group and 5% in the control group were able to single out the first root and did this correctly. The request to identify the word formation method exemplified by the form ‘strenozhennykh’ turned out to be a challenge as well. In both groups, the results were almost equally low, and the only case where the second group slightly outperformed the first one. Only 36.7% and 38.3% of the participants in the treatment and control groups, respectively, completed the task successfully.
118
E. Ites and A. Alyabeva
5 Discussion The analysis of the test results indicates that the competencies of students in the field of syntactic terminology (Table 2) differ significantly when it comes to identifying the major and minor members of the sentence. For both groups, finding the predicate position occupied by verb-like words (budlanula, kudryachit), proved to be the easiest task in comparison to naming correctly the other members of the sentence. Predicativity is a characteristic and preferred Russian form of thought expression, supported by the rich and clearly visible morphemic structure of the verb. This might account for the fact that identifying the subject position taken by a noun-like word (kuzdra) resulted in somewhat lower scores obtained in both groups. Within the minor members subgroup, the adverbial modifier position occupied by an adverb-like word (shteko) turned out to be the most difficult to recognize compared to attribute/modifier (glokaya) and object (bokra, bokryonka). Obviously, the semantically rich position of the adverbial modifier that attracts words and phrases of heterogeneous and often idiomatic structures requires more attention and instructional support to help students get hold of it. Also more instructional attention requires the syntactic behavior of function words that even not being members of the sentence still perform syntactic roles (e.g., conjunctions, that function as connectors). Despite the fact that the notion of homogeneous parts of the sentence is very important for correct interpretation and oral/written production of syntactic structures in Russian and English alike, this term turned out to be mostly unfamiliar to students from the control group. However, the majority of the treatment group successfully completed the task. Such a significant difference in performance may be indicative of the fact that linguistic terms taxonomies regularly used by students as a learning tool is a kind of “technology” that works. An important finding revealed by students’ performance of the first part of the test is that it confirmed a previously observed phenomenon of the overuse of morphological terms, when these terms are applied in place of syntactic terminology. This means that students’ awareness of the area of syntax (including both terms and the notions they convey) is significantly less developed and this subsystem of language is more of ‘terra incognita’ and less accessible for students in comparison with their general understanding of morphology as such. Since syntax, especially in English, ‘runs the show,’ the acquisition of its terminology and its competent application becomes an important academic literacy task in the EFL classroom. The tasks that requested morphemic analysis and identification of the word formation method caused difficulty for most students, although it needs to be admitted that the provided form ‘strenozhennykh’ (hobbled) was not an easy case, in terms of both linguistic and cultural factors. The fact that the best scores in performing morphemic analysis, were obtained in singling out and naming the ending morpheme may be seen as an indication that most of the students already possess a developed sense of the inflectional grammatical form. This assumption is further confirmed by a generally good performance demonstrated by the two groups at identifying the suffix. However, students across the groups showed two different understandings of the boundaries of that morpheme – some singled out one suffix (-enn), while others split it into two suffixes. Generally speaking, either of
Grammar Terms Classifications
119
the solutions might be accepted, since the suffix structure in this word form can be interpreted in two ways (which was reported by few students from both groups). If the form ‘strenozhennykh’ (hobbled) is viewed as an adjective (what the word is in the provided mini-poem), then only one suffix can be distinguished (-enn). If we interpret the form as a passive participle (what originally it was), then two suffixes should be singled out: -en as a short form suffix and -n as a suffix that creates the full form. The level of metalinguistic skills that enables a student to distinguish between homonymous lexicogrammar forms is a desirable learning outcome in the FL classroom. Reaching this level of communicative competence can be facilitated by a systemic approach to teaching grammar and other academic literacies. This approach includes but is not limited to mastering linguistic terminology, while taxonomies with their heuristic potential seem to be an effective tool in this effort. The identifying of the first three morphemes (a prefix and two roots) turned out to be a greater challenge, especially for the control group, in which more than half of students failed to find the prefix morpheme (s-). Many did not single it out at all, either viewing it as the onset of the first root or merging the first three morphemes into a whole chunk as the only root. Based on the difficulty some participants experienced with untangling the three morphemes, it can be assumed that those students generally are not familiar with the verb ‘trenozhit”’ (to hobble a horse). This lack of vocabulary knowledge resulted in their inability to single out the Russian prefix s- and recognize one of its common functions, which is to change the verb’s aspect from imperfect into perfect. Of the two roots in this adjective, the second root (-nozh-) turned out to be more transparent, since many students correctly associated it with the word ‘noga’ (leg) and demonstrated their awareness of the phenomenon of sound alternation occurring in both form and word formation. At the same time, the identification of the first root -tre- (that conveys the idea ‘three’) caused the greatest difficulty. Apparently, this failure seems to mainly stem from the lack of cultural awareness, namely knowledge about the practice of hobbling horses, when the two front legs of a horse are tied up to prevent the animal from straining. As a result, the horse remains, as it were, on three legs. Besides, the Russian root -tri- (three) is realized in this word as a less common variant (-tre-). This may be an additional factor preventing students from decoding the whole meaning of the word and singling out its roots, especially the first one. The various difficulties encountered by the participants in distinguishing between the prefix and the two roots contributed to the fact that they were able to name only one or two of the three main elements of the word formation method this word exemplifies (root compounding, suffixation, and prefixation). At the same time, many students left no answer to this question. The relatively low scores gained by the participants on performing the second part of the test indicate that students are generally less aware of and less skillful in dealing with the language phenomena covered in Taxonomy 3 (phonetics, morphemics, word formation). Meanwhile these phenomena greatly affect both oral and written modalities of language use (cf. increase, n / increase, v) and influence practices of non-verbal communication. Such practices often require decoding the context of culture and situation, so that the user could read/produce correctly both the form and the intended meaning, as it
120
E. Ites and A. Alyabeva
is often the case with homonymous acronyms, so ubiquitous in the academic and professional discourses, leaving alone the areas of politics and entertainment. Developing their academic literacies skills, students need to be aware of these types of signs to be able to correctly pronounce, expand and interpret them. For instance, AC – alternating current/air conditioning, PM – Prime Minister/per month/post meridiem (afternoon)/…/…, PM4PM – ?
6 Conclusion Despite the preliminary character of the experiment test reported in this article as part of an action research conducted to date in several classrooms at a technical university, there is clear evidence that students from the treatment group consistently outperformed the control group on different tasks. The observed significant differences in the test results seems to support the hypothesis that students’ regular work with linguistic terms organized in the heuristic format of taxonomies leads to the expansion of their academic vocabulary and increase in metalinguistic skills, which was among of the goals that the implemented curricular intervention was striving to achieve. The reported study that explores the ongoing curricular intervention is only in its first stage. There is the need and possibility to explore if and how the taxonomies can support students’ acquisition of the English linguistic terminology and its application as a tool for developing English grammar and other language skills, including competences in various academic literacy practices, which often are culturally specific. That is, the undertaken action research has the potential of being extended into the productive stage of English use, at the level of both sentence and text. For instance, in the context of pair work on reading, students apply grammar terms to create a descriptive formula for a question of certain type (and with a prescribed morphological form of the predicate) and use the formula to come up with a reading comprehension question addressed to the class. Or the taxonomies are applied in creating online mini-glossaries of difficult linguistic terms to enhance their metalinguistic skills and start acquiring multiple literacy conventions that inform the content and structure, visual design and practices of use of this academic genre.
References 1. van Lier, L.: The Ecology and Semiotics of Language Learning A Sociocultural Perspective. Kluwer Academic, Dordrecht (2004) 2. The order 957 of the Ministry of Education and Science of the Russian Federation on the Adopting the Federal State Educational Standard of Higher Education in the Direction 15.03.01 Mechanical Engineering (Bachelor Programme) as of 03.09.2015. Accessed on 17 Mar 2022. https://fgosvo.ru/uploadfiles/fgosvob/150301.pdf 3. Inal, S., Turhanlı, I.: Teachers’ opinions on the use of L1 in EFL classes. J. Lang. Linguist. Stud. 15(3), 861–875 (2019) 4. Kogan, E.A., Krymskaya, O.B.: Problems in studying English language among future engineers. Vyss. Obraz. v Ross. 27(7), 45–51 (2018) 5. Harris, A., Helks, M.: What, why and how–the policy, purpose and practice of grammatical terminology. Engl. Educ. 52(3), 169–185 (2018)
Grammar Terms Classifications
121
6. Davoodi, S., Yousefpoori-Naeim, M.: The use of grammatical terminology in foreign language classrooms: a qualitative study of teacher cognition and practice. Threshold 7(2), 95–114 (2014) 7. Al-Khresheh, M.H., Orak, S.D.: The place of grammar instruction in the 21st century: exploring global perspectives of English teachers towards the role of teaching grammar in EFL/ESL classrooms. World J. English Lang. 11(1), 9–23 (2021) 8. Schurz, A., Coumel, M.: Grammar teaching in ELT: A cross-national comparison of teacherreported practices. Language Teaching Research – November 2020, pp. 1–26 (2020), https:// www.researchgate.net/publication/346106814. Last accessed 9 Apr 2022 9. Wijaya, D., Hidarto, A.: The effects of cognitive grammar-grounded instruction and formaltraditional grammar instruction on learning simple past and past perfect. J. Asia TEFL 15(4), 915–930 (2018) 10. Belenkova, N.M., Kruse, I.I., Davtyan, V.V., Wydra, D.: Language for students without interest in languages: challenges of foreign language grammar. XLinguae 11(1), 284–293 (2018) 11. The New London Group: A pedagogy of multiliteracies: designing social futures. Harvard Educ. Rev. 66(1), 60–93 (1996) 12. Lea, M.R.: Academic literacies in theory and practice. In: Street, B.V., May, S. (eds.) Literacies and Language Education. ELE, pp. 147–158. Springer, Cham (2017). https://doi.org/10.1007/ 978-3-319-02252-9_19 13. Council of Europe: Common European framework of reference for languages: Learning, teaching, assessment – Companion volume. CoE Publishing, Strasbourg (2020). Retrieved from https://rm.coe.int/common-european-framework-of-reference-for-languages-learningteaching/16809ea0d4 14. Kramsch, C.: The symbolic dimensions of the intercultural. Lang. Teach. 44(3), 354–367 (2011) 15. Hoff, H.E.: The evolution of intercultural communicative competence. Intercultural Commun. Educ. 3(2), 55–74 (2020) 16. Long, M.: Focus on form: A design feature in language teaching methodology. In: De Bot, K; Ginsberg, R.; Kramsch, C. (eds.) Foreign Language Research in Cross-cultural Perspective, pp. 39–52. John Benjamins, Amsterdam (1991). ISBN 978-1-55619-345-3 17. Thorne, S.L.: Digital literacies. In: Hawkins, M. (ed.) Framing Languages and Literacies: Socially Situated Views and Perspectives, pp. 192–218. Routledge, New York (2013) 18. Mackey, A., Gass, S.M.: Second Language Research: Methodology and Design, 3rd edn. Routledge, New York (2021) 19. Turlo, Y., Alyabeva, A.: Technology of forming competence of pedagogical design in graduate and postgraduate programs. In: Anikina, Z. (ed.) IEEHGIP 2022. LNNS, vol. 131, pp. 904– 913. Springer, Cham (2020). https://doi.org/10.1007/978-3-030-47415-7_97 20. Wikipedia contributors: “Glokaya kuzdra.” Wikipedia, The Free Encyclopedia. Wikipedia, The Free Encyclopedia, 13 Mar 2021. Web. 15 Jan 2022 21. Ingraham, A.: Swain School Lectures. Open Court, Chicago (1903)
Contemporary Modification of Interdisciplinary Scientific Knowledge The Case of Humanities Nomination Vera Tabanakova1 , Yuliya Kokorina2 , and Larisa Fedyuchenko1(B) 1 Tyumen State University, Tyumen, Russia
[email protected] 2 Moscow Polytechnic University, Moscow, Russia
Abstract. The present research is aimed at studying interdisciplinary relations among the contemporary modern nominations of the Humanities and related disciplines. The careful analysis of the nominations reveals the levels of modification of interdisciplinary scientific knowledge. The research analyses such key concepts as interdisciplinary scientific knowledge, interdisciplinarity, and interdisciplinary relations. The authors study interdisciplinarity as a system reflecting relations between different scientific fields and their academic implementation in the form of curriculum disciplines. In this regard, the concept of interdisciplinary relations is considered as relations within the hierarchy of scientific fields and academic disciplines in which these fields are explicitly manifested. There was carried out the analysis of 24 linguistic fields and 19 historical sciences, as well as 51 linguistic disciplines and 58 historical disciplines. The authors defined 4 criteria according to which they analyzed the nominations of sciences and disciplines, they are the object, the subject, the method, and the basic terminology. The next step of the analysis identified three levels of interdisciplinarity. Quantitative analysis of interdisciplinarity by levels showed the lowest degree of interdisciplinarity in historical disciplines, high degree in linguistic sciences, and the highest degree in linguistic disciplines. Keywords: interdisciplinarity · interdisciplinary relations · interdisciplinary scientific knowledge · humanities nominations
1 Introduction Early 21st century faces new trends in the scientific knowledge about nature, society, thinking, and objective laws of their development. This system of ideas is formed because of the principles of globalization and integration of sciences and scientific fields. Today, this process has entered the stage of intensive interdisciplinary synthesis of knowledge. The All-Russian scientific conference titled The Problem of Consciousness in Interdisciplinary Perspective held in March 2012 at the Institute of Philosophy of the Russian Academy of Sciences can be considered as a starting point for the beginning of the program development of science in this direction. Many scientists from different regions of © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 E. Isaeva and Á. Rocha (Eds.): Perm Forum 2022, LNNS 622, pp. 122–134, 2023. https://doi.org/10.1007/978-3-031-28086-3_10
Contemporary Modification
123
Russia—philosophers, psychologists, neurophysiologists, cybernetics, physicians, biologists, and representatives of humanitarian and technical disciplines—took part in the conference. Analyzing the conference reports, we trace the integrative nature of the approaches to the concept of consciousness in the context of NBICS—nano-, bio-, info-, cogni-, socio-humanitarian disciplines and technologies [1]. In our study, we dwell on humanitarian knowledge, which, in our opinion, requires close attention, since today it plays a decisive role in overcoming the crisis of science and education in Russia. To convey the severity and relevance of this topic, it is enough to refer to the title of the report by Delyagin—The death of official science as a process of searching for truth—which he presented at the conference titled Higher Education in the 21st Century: the Role of Liberal Education under Technological and Socio-cultural Changes [2]. The interdisciplinary synthesis of scientific knowledge is reflected primarily in the nominations of sciences themselves and scientific fields, which are usually recorded in normative information sources such as Uniform Document Count (UDC), as well as in the names of academic disciplines, which are presented in the classifiers of areas and majors of higher professional education. Sciences and disciplines are in constant interaction—the synthesis of sciences and scientific fields gives rise to new disciplines, and disciplines, in turn, influence the synthesis of scientific knowledge. It seems that a comparative analysis of interdisciplinary relations in the Humanities and academic disciplines can reveal the patterns of synthesis of modern theoretical scientific knowledge and its continuity in higher education. Thus, the aim of this work is to explore the interdisciplinarity of scientific knowledge in modern nominations of the Humanities and related disciplines, in order to formulate new global concerns about the future of higher education in Russia.
2 Theoretical Review The central concept in the stated topic is interdisciplinary scientific knowledge, which in turn is based on the terms of interdisciplinary relations and interdisciplinarity. Let us dwell on each of them and see how they are considered in modern research. We start with the notion of interdisciplinary relations, which, at first glance, correlates with the subject links in secondary vocational education and special education and with the links among academic disciplines in higher education. Indeed, most of the modern research on interdisciplinary relations is carried out by teachers, lecturers, and methodologists who explore the role, functions, and implementation of interdisciplinary relations in the process of teaching specific disciplines [3–9]. In pedagogical studies, there are also attempts to theoretically and methodologically substantiate interdisciplinary relations as a didactic principle of teaching [10–12]. It is important to emphasize that in some works there is a connection between the disciplinary approach in the educational process and in scientific research [8, 11, 13]. However, we have not come across studies that define any regular relationship between interdisciplinary relations in education and interdisciplinary relations in science. Thus, the term interdisciplinary relations is mainly used as a didactic one, and we move on to the concept of interdisciplinarity. The concept of interdisciplinarity is more abstract, that is, more scientific in nature and is most often considered as a methodological philosophical term. It is defined as an
124
V. Tabanakova et al.
integral characteristic of the state of social and humanitarian knowledge and scientific knowledge as such [14], as “a unit of the vertical structure of interdisciplinary knowledge, fixing the degree of its generality and the boundaries of its prevalence in scientific knowledge” [15], as “the process of integrating a number of (two or more) sciences, accompanied by diffusion (overflow) and the unification of personal approaches, theories, methods of analysis existing in each of them” [16] and as “a form of structural organization of knowledge” [17]. We study the interdisciplinarity basing on the opposition principle of interdisciplinary and multidisciplinary approaches: “an interdisciplinary approach accumulates methods of the sciences involved in it in the subject area of a certain discipline”, and “a multidisciplinary approach accumulates the ideas of an unlimited range of sciences in the subject area of a certain discipline” [18]. From the above interpretations, it follows that multidisciplinarity involves borrowing theories of other sciences, and interdisciplinarity involves borrowing the methods of other sciences [18]. We willfully do not consider such terms as pluridisciplinarity and crossdisciplinarity because these terms are used interchangeably without clear difference. According to Oleinikova, interdisciplinarity is clearly manifested in Linguistics, where a variety of linguistic fields, new outstanding approaches to the analysis of language are put forward to researchers in many diverse views and theories. This problem is typical for the entire humanitarian field, where there is no single method of analysis and synthesis of various approaches, views, and concepts. And one cannot give preference to any one of these approaches, because together, being in relation to the complementary, they form an inseparable unity [19]. This statement is confirmed in several works, for example, the study by Welsh, Mezhuyev, and Irsa is aimed at developing interdisciplinary teaching models. Such models include integrated training in the future profession and language and are being developed for the needs of industry and society. In the Western higher education system, over the past two decades, interdisciplinary learning models have become the standard practice in teaching English as a foreign language. Now such interdisciplinary models have begun to use the vast databases available due to the advances in information technology, corpus linguistics, and database technologies [20]. In literature, interdisciplinarity is understood broadly, as some researchers note, interdisciplinary research is based on the integration of various sciences, and the phenomenon of interdisciplinarity can be traced at various levels of human life [21]. Such a broad understanding of this concept is also well reflected in the description of the tasks that the American Association for Interdisciplinary Research sets for itself: the creation of advanced methods of interdisciplinary learning; the study of key terms and the search for new theoretical models that contribute to the understanding of interdisciplinarity and integration; research on the relationship between interdisciplinary theory and practice; development of high-quality interdisciplinary study programs both at the undergraduate and graduate levels [22], and many others. Some of the works we reviewed are devoted to the study of the differences between three related concepts: interdisciplinarity, multidisciplinarity, and transdisciplinarity, which, according to Carruthes and Fisher, are studied quite often and in detail by their colleagues [23]. According to Repko and Szostak, multidisciplinarity implies having
Contemporary Modification
125
similar findings from two or more disciplines; transdisciplinarity involves the integration of ideas received outside the scientific community, a team approach to research, the active participation of representatives of non-academic circles in the development of research and the application of the “case study” approach; interdisciplinarity studies some complex problem (including problems of the global level) by using the knowledge of various scientific areas, disciplines and their integration [24]. All these terms imply the existence of “disciplines”, in turn, the discipline, according to Widdowson [25], is defined and distinguished by specific theoretical concepts and methodological principles that constitute the approved version of knowledge. In the studied works, there are many disputes about how to define the concept of interdisciplinarity, most often the authors focus on the description of two related concepts: multidisciplinarity and interdisciplinarity. The problem of how to consider multidisciplinarity is being solved: as a part of interdisciplinarity or as a separate concept. According to Rhoten et al., these concepts should be considered as two parts of one concept. Defining interdisciplinarity, they use the metaphors “big tent” and “small tent”, i.e. they believe that this concept can be considered as a broad, comprehensive (“big tent”), which includes several subtypes, each of which has a different kind of interaction between disciplines, as well as a narrow concept (“small tent”), which is interpreted as one of many different ways of combining disciplines [26]. Klein defines interdisciplinarity as a “small tent”. From his point of view, interdisciplinarity integrates content, knowledge, methods, tools, concepts, and theories from two or more disciplines or bodies of specialized knowledge. He distinguishes all three concepts because, in his understanding, multidisciplinarity opposes the approaches/vision of various disciplines, and transdisciplinarity creates a systemic framework that goes beyond the narrow framework of a disciplinary worldview [27]. On the contrary, Lattuca views interdisciplinarity as a “big tent” and describes two subtypes of interdisciplinarity: synthetic interdisciplinarity and conceptual interdisciplinarity [28]. Davies and Devlin define interdisciplinarity as a “midsize tent”. Their definition is one more evidence that the meanings and relationships of interdisciplinarity and multidisciplinarity are disputed. Like Lattuca, Davies and Devlin describe several different options within interdisciplinarity that exist on a continuum, including relational interdisciplinarity (the most minimal or “favorable” option) and transdisciplinarity (the most “radical” option) [29]. Like Klein, Davies and Devlin distinguish between multidisciplinarity and interdisciplinarity, but their definition describes an even more minimal relationship between disciplines: simply the coexistence of several disciplines. In addition, Klein’s definition of multidisciplinarity is similar to Davies and Devlin’s definition of relational interdisciplinarity. Based on the results of research on these concepts, Darbelley formulates a questionproblem: whether such a taxonomy can consider new emerging trends, such as post-disciplinary research. Can the concept of postdisciplinarity simply be assimilated/integrated into an existing taxonomy, or does it offer a radically different and unusual perspective in the sense that it frees itself from any disciplinary references? The answers to these questions will help to further create possible scenarios for the development of universities willing to promote interdisciplinarity, transdisciplinarity and even
126
V. Tabanakova et al.
postdisciplinarity, although they may remain epistemologically and institutionally programmed (disciplinaryly organized) to resist this. This discussion about openness to a more or less likely academic future in the short, medium and long term finally raises the question of the identity and specific possibilities of authors (teachers, researchers, academic leaders, etc.) who want changes in favor of inter- and transdisciplinarity or, even more radically, postdisciplinarity in the context of development, innovation and discovery [30]. Along with this, some authors [31, 32] note a sharp increase in the number of interdisciplinary programs in recent decades, but they are vulnerable to cutbacks given calls from various stakeholders for greater accountability in higher education. The evaluation of the results of interdisciplinary specialties is associated with several problems, including how to describe and classify the pattern differences in the place and goals of disciplines in interdisciplinary programs. Western colleagues study the curricula of interdisciplinary programs in terms of how the disciplines within each educational program are related (for example, through integration or comparison) and what the program is aimed at: developing the depth, breadth of knowledge, or developing specific skills. The goals (or expected student outcomes) of interdisciplinary learning are often understood as skills or cognitions rather than meaningful knowledge [33]. Thus, based on the results of the analysis and synthesis of scientific literature on the designated problem, we conclude that the understanding of the term interdisciplinarity by Russian scientists is close to the term multidisciplinarity, which is used by western colleagues. Both terms denote links between different academic disciplines within the same educational program, and in this sense, both terms are didactic in nature. In this research, we study interdisciplinarity as a broader phenomenon, as a kind of system that reflects the relations between fields of science and their academic implementation in the form of curriculum disciplines. In this sense, our understanding of interdisciplinarity juxtaposes the term transdisciplinarity. In this regard, we consider the concept of interdisciplinary relations as relations within the hierarchy of scientific fields and academic disciplines in which these fields are explicitly manifested.
3 Results and Discussion The nominations of linguistic and historical sciences and disciplines were used as the language material for the study of interdisciplinarity. We chose Linguistics primarily because modern linguistic scientific research is losing its fundamental character and is predominantly applied in its nature. This trend inevitably affects the state of higher linguistic education. In this regard, it seems interesting to trace the character of interdisciplinary relations in Linguistics and linguistic academic disciplines. The division of sciences and disciplines is based on the fact that their list may differ both in number and in nominations, and we compare them in content through the concepts of “interscientific, interdisciplinary relations”. At the same time, in Russian we use two terms—linguistic sciences and linguistic discipline, while in English, the concepts of “science” and “scientific discipline” are denoted by one term—discipline. The choice of History is explained by its somewhat “opposing” nature in relation to Linguistics. This “opposition” can be traced primarily in the comparison of such scientific
Contemporary Modification
127
criteria as the object, the subject, the method, and the terminology. These criteria help us identify and evaluate the interdisciplinary links. The object of History—society—is of a generalized, abstract nature, the object of Linguistics is language. The subject of History is a society in the past, the subject of Linguistics is a multifunctional system of language. The methods of History—comparative historical method, descriptive method, and retrospective method—are of a general scientific nature, while Linguistics has its own linguistic research methods. Moreover, History, unlike Linguistics, lacks a unified system of terms [34–36]. Considering such opposition, we assume that a comparative analysis of the historical and linguistic sciences and disciplines by the criteria will reveal the features of the interdisciplinarity of historical and linguistic scientific knowledge. The practical analysis of the nominations of sciences and disciplines was carried out in stages: 1. Compilation of lists of sciences and academic disciplines. 2. Analysis of definitions and descriptions of sciences and disciplines in order to establish their main criteria: object, subject, method, and basic terminology. 3. Identification of related areas of knowledge with which sciences and disciplines intersect according to the established criteria. 4. Systematization of interdisciplinary relations according to the established criteria. 5. Generalization and interpretation of the results. 3.1 Analysis of Linguistic Sciences The list of linguistic sciences included 24 nominations. Comparison of the linguistic sciences according to the selected criteria made it possible to establish the intersection (full or partial intersection) in one or several criteria with other fields of knowledge and to determine related fields of knowledge. For example, Anthropological Linguistics intersects with such areas as Anthropology, Logic, Psychology, and Cultural Studies in two criteria: the subject and the terminology. As far as the subject of Anthropological Linguistics is the reflection of the evolution of human thinking in language, the concept of “evolution of human thinking” belongs to Anthropology, and such terms as thinking, consciousness, and culture refer to such sciences as Logic, Psychology, and Cultural Studies. Having analyzed in this way all the intersecting criteria of Linguistics with other areas, we found 28 related areas. Further analysis of interdisciplinary relations in the linguistic sciences made it possible, on the one hand, to trace the criteria by which these relations were defined, and, on the other hand, to classify related fields of knowledge. We analyzed interdisciplinary intersections by criteria and found that the number of intersections for each criterion was different: for the object—12 intersections, for the subject—16, for the method—9, and for the terminology—13. We divided related areas of knowledge into two groups: non-linguistic and linguistic. Non-linguistic sciences (23) are represented by natural sciences (Biology), STEM disciplines (Science, Technology, Engineering, Mathematics), and Humanities (20). Linguistic sciences (5) are independent linguistic sciences, formed over time from different areas of Linguistics (Grammar, History of language,
128
V. Tabanakova et al.
Lexicography, Writing, and Terminology). Thus, we have identified two levels of interdisciplinarity in the linguistic sciences: 1) relation with non-linguistic sciences (external relations), 2) relation with linguistic sciences (internal relations). 3.2 Analysis of Historical Sciences In total, 19 historical sciences were analyzed. The comparison of sciences according to the selected criteria made it possible to identify an intersection in one or several criteria and to determine related areas of knowledge. For example, Archeology uses the same research methods as Folklore, Statistics, Cybernetics, Biology, Art History, and Computer Science. And Paleography has common terminology with Chemistry, Physics, Literary Criticism, and Linguistics. Thus, 16 related fields of knowledge were identified for the historical sciences. We analyzed interdisciplinary intersections by the criteria and found that the number of intersections for each criterion was different: for the object—0 intersections, for the subject—0, for the method—13, for the terminology—16. All 16 related fields of knowledge turned out to be non-historical sciences, which are represented by Natural Sciences (6), STEM disciplines (4), and Humanities (6). Thus, we have singled out one level of interdisciplinarity in the historical sciences—external relations. 3.3 Analysis of Historical Disciplines The list of historical disciplines includes 58 nominations, of which all are disciplines of the undergraduate educational program of the Lomonosov Moscow State University. The selection of nominations of disciplines was carried out by the method of continuous sampling from the texts of curricula posted on the official website of the university. Comparison of historical disciplines according to the selected criteria allowed us to determine the related sciences. Therefore, according to the basic terminology, all 58 disciplines intersect with such humanitarian sciences as Art History, Folklore, Political Science, Sociology, and Philosophy. According to the method and the basic terminology, 10 disciplines intersect with Natural Sciences such as Biology, Soil Science, Anthropology, Geography, Geology, and Chemistry. Analyzing in this way the intersecting criteria of historical disciplines with other areas, we found 16 related areas. The analysis of interdisciplinary intersections by criteria revealed the number of intersections for each criterion: by the object—0 intersections, by the subject—0, by the method—16, by the terminology—6. The 16 related fields of knowledge are nonhistorical sciences represented by Natural Sciences (6), STEM disciplines (4), and Humanities (6). Thus, we have singled out one level of interdisciplinarity in historical disciplines—external relations. 3.4 Analysis of Linguistic Disciplines The list of linguistic disciplines includes 51 nominations, of which 34 are the disciplines of the bachelor’s degree program and 17 are the disciplines of the master’s degree program, all programs are implemented at Tyumen State University. The selection of
Contemporary Modification
129
nominations of disciplines was carried out by the method of continuous sampling from the abstracts to academic disciplines posted on the official website of the university. In the course of the analysis, the hierarchy of all selected disciplines was built according to the four selected criteria, which includes three levels. At the first level (Level 1) there are disciplines that have common criteria with the linguistic sciences. In total, 11 disciplines are distinguished at this level, which have common criteria with 7 linguistic fields. These disciplines intersect with linguistic fields in terms of such criteria as the object, the subject, and the terminology. At the second level (Level 2), there are disciplines that have common criteria with non-linguistic sciences. In total, 8 related non-linguistic sciences were identified. At the third level (Level 3), there are two disciplines in which all the selected criteria intersect with the parameters of linguistic and non-linguistic sciences at the same time. The analysis of linguistic disciplines showed that there are two most common matching criteria: the subject and the object, so the subject is common for 46 disciplines, the object is for 43 disciplines, the method is common for 12 disciplines, the basic terminology—for 6 disciplines. We have identified 24 related disciplines and divided related fields of knowledge into two groups: non-linguistic and linguistic. Non-linguistic fields of knowledge are represented by natural sciences (Biology, Chemistry), STEM disciplines (Information Technology)—in total: 13 and Humanities (remaining 11). Linguistic areas of knowledge (7) are linguistic fields: Grammar, Discourse Studies, Text Criticism, etc. Thus, we have identified three levels of interdisciplinarity in linguistic disciplines: 1) relations with linguistic sciences (internal relations), 2) relations with non-linguistic sciences (external relations), and 3) relations of disciplines with both non-linguistic and linguistic sciences in the all selected criteria. 3.5 Interpretation of the Results Before proceeding to interpretation of the analysis results, let us clarify the main concepts that we use in our study: interdisciplinarity, interdisciplinary relations, degree of interdisciplinarity, and level of interdisciplinarity. Following Nekhamkin, we understand interdisciplinarity as “a unit of the vertical structure of interdisciplinary knowledge, fixing the degree of its generality and the boundaries of its prevalence in scientific knowledge” [15]. The interdisciplinarity concept in relation to our material can be specified as a synthesis of humanitarian scientific knowledge, reflected in the nominations of the Humanities and academic disciplines. We called the intersections of the Humanities and disciplines with other sciences according to the given parameters as interdisciplinary relations. By the degree of interdisciplinarity we mean the number of interdisciplinary relations (intersections) according to the given parameters. And, finally, the levels of indisciplinarity are directly related to the nature of the corresponding fields of knowledge. Depending on whether the related areas are linguistic or non-linguistic, historical or non-historical, we have identified three levels: internal, external, and mixed, that is, combining external and internal relations. The results of the comparative analysis of the Humanities’ nominations and disciplines can be conditionally divided into two parts: an analysis of interdisciplinarity by scientific criteria and an analysis of interdisciplinarity by levels.
130
V. Tabanakova et al.
Summarizing the number of interdisciplinary relations by criteria, we have identified the maximum number of intersections of linguistic and historical sciences and disciplines in four criteria: the object, the subject, the method, and the basic terminology. For convenience, these data are presented in the following Table 1: Table 1. Interdisciplinary relations by parameters Sciences and disciplines
Object
Subject
Methods
Terminology
Linguistic sciences
12
16
9
13
Historical sciences
0
0
13
16
Linguistic disciplines
43
46
12
9
Historical disciplines
0
0
16
6
The table shows that the intersections for each criterion in linguistic and historical sciences and disciplines are significantly different. Thus, the historical sciences and disciplines have practically no intersections in terms of the object and the subject, while the linguistic sciences and disciplines have quite a lot of them. This is explained by the fact that the object and the subject of History are expressed by abstract, broad, general (not special) concepts, while the terms language and language system reflect a linguistic terminological system. The absence of a unified terminological system is also manifested by the weak expression of the terminology criterion in historical disciplines. The method criterion indicates that many interdisciplinary relations in the historical sciences and disciplines have only general scientific methods of research in their arsenal, so they “willingly” borrow them from the Natural Sciences, STEM disciplines, and Humanities. Thus, the comparison of quantitative indicators by criteria allows us to conclude that: a) the degree of interdisciplinarity of historical sciences and disciplines is not high; b) the degree of interdisciplinarity in historical sciences and disciplines is much lower than in linguistic ones. The analysis of interdisciplinarity by levels required the building of “vertical” relationships within the sciences and disciplines. At the stage of systematization of interdisciplinary relations of historical and linguistic sciences and disciplines, we managed to classify related fields of knowledge into four groups of nominations: linguistic sciences, historical sciences, linguistic disciplines and historical disciplines. It turned out that linguistic sciences have interdisciplinary relations with both linguistic (internal relations) and non-linguistic (external relations), historical sciences, like historical disciplines, intersect only with non-historical sciences, that is, they have only external interdisciplinary relations, and linguistic disciplines have both internal and external relations. Thus, we have identified three levels of interdisciplinarity: internal, external, internal and external. We arranged these levels according to the principle “from simple to complex”—the first level reflects internal interdisciplinary connections, the second— external, the third—internal and external. The model of levels of interdisciplinarity is visualized in the diagram (see Fig. 1):
Contemporary Modification
131
Level 1. Internal and external interdisciplinary relations
Level 2. External interdisciplinary relations
Level 3. Internal interdisciplinary relations
Fig. 1. Levels of interdisciplinarity
The quantitative analysis of interdisciplinarity by levels showed the lowest degree of interdisciplinarity in the historical sciences (16 out of 19 nominations) and disciplines (16 out of 58 nominations), high degree in linguistic sciences (28 out of 24 nominations) and the highest degree in linguistic disciplines (24 out of 51 nominations).
4 Conclusion As a result of the study, we came to the following conclusions: The process of globalization and integration of sciences and scientific fields at the beginning of the 21st century entered the stage of intensive interdisciplinary synthesis of all areas of scientific knowledge, including humanitarian knowledge, which today plays a decisive role in overcoming the crisis of science and education in Russia. The definitional and comparative analysis of modern nominations of historical and linguistic sciences and disciplines made it possible to reveal the patterns of interdisciplinary synthesis of modern theoretical humanitarian scientific knowledge and its continuity in higher education. Review of the literature has demonstrated a wide variety of interpretations of interdisciplinarity. Thus, in Russian literature, the term interdisciplinary relations is mainly used as a didactic one, and the term interdisciplinarity is often used as a methodological philosophical term. In non-Russian literature, interdisciplinarity is defined either too broadly as a phenomenon at different levels of human life, or as a didactic term that denotes relations among different academic disciplines under the same educational program. Within the framework of this research, we study interdisciplinarity as a category of scientific knowledge, as a kind of system that reflects the links between areas of science and their academic implementation in the form of curriculum disciplines.
132
V. Tabanakova et al.
The analysis of the nominations of historical and linguistic sciences and disciplines was carried out in stages. As a result of the analysis of definitions and descriptions of linguistic and historical sciences and disciplines, 4 scientific criteria were identified for each—the object, the subject, the method, and the basic terminology. The comparison of sciences and disciplines according to the selected criteria made it possible to establish the intersection (full or partial) in one or several parameters with other fields of knowledge and to determine related fields of knowledge. Thus, a step-by-step analysis of interdisciplinary relations in the Humanities and disciplines made it possible, on the one hand, to trace the criteria and the quantitative proportions of these relations, on the other hand, to classify related fields of knowledge and thereby determine the levels of interdisciplinarity. The comparative analysis of the interdisciplinarity of historical and linguistic sciences and disciplines according to the selected criteria and levels reflected certain patterns in the development of historical and linguistic scientific knowledge and a direct impact on the content of higher education in the Humanities. Thus, a comparison of quantitative indicators by criteria allows us to conclude that the degree of interdisciplinarity in historical sciences and disciplines is much lower than in linguistic ones. The quantitative analysis of interdisciplinarity by levels showed the lowest degree of interdisciplinarity in historical sciences and disciplines, high degree in linguistic sciences, and the highest degree in linguistic disciplines. From which we can conclude that a high level of interdisciplinarity in linguistic sciences is a consequence of the transformation/transition of linguistic sciences into the field of applied knowledge, i.e. the results obtained demonstrate the nature of the transformations that modern linguistic sciences and disciplines are undergoing. In general, it can be concluded that in Russia the fundamental nature of humanitarian scientific knowledge is being lost, and this, in turn, leads to the rejection of fundamental classical university education.
References 1. Kovalchuk, M.V., Naraikin, O.S., Yatsyshina, E.B.: Convergence of sciences and technologies — a new stage of scientific and technological development. Vopr. Filos. 3, 3–11 (2013) 2. Ilyinsky, I.M. (ed.) 15th International Scientific Conference, Moscow State University, November 14–16: Reports and Materials, Part 1 (2019). http://publications.mosgu.ru/index. php/main/catalog/book/17. Last accessed 1 Apr 2022 3. Pustovalova, Zh.S.: The role of interdisciplinary relations in the content professionally oriented foreign language teaching. In: Pesotskaya, S.A. (ed.) Collection of materials of the XIV International scientific-practical conference of students and young scientists. National Research Tomsk Polytechnic University (2014) 4. Borlakova, M.: Using interdisciplinary relations in the process of teaching history. Novaya nauka: teoreticheskij i prakticheskij vzglyad 117–2, 11–14 (2016) 5. Galeeva, F.T.: On the implementation of interdisciplinary links in the classroom in a foreign language with the disciplines of the professional cycle. The World Sci., Cult., Educ. 2, 114–116 (2019) 6. Sikharulidze, D., Polozova, S.V.: The importance of interdisciplinary communication in the process of teaching a foreign language to bachelors of non-linguistic universities. Sovremennye problemy gumanitarnyh i obshchestvennyh nauk 5, 201–205 (2019)
Contemporary Modification
133
7. Nasikhamova, A.Z., Tolstova, K.V. Interdisciplinary relations in the process of learning a foreign language on the example of the study of agricultural plants. In: Language and intercultural communication. Collection of articles of the 13th International Scientific and Practical Conference. Astrakhan University Publishing House (2020) 8. Makartseva, N.S.: Interdisciplinary relations and interdisciplinary approach in higher education. Humanitarian Bulletin of the Military Academy of Strategic Missile Forces 2, 72–79 (2021) 9. Stepanyan, I.K.: Activation of interdisciplinary relations by means of an electronic glossary in Lms Moodle. Sovremennaya matematika i koncepcii innovacionnogo matematicheskogo obrazovaniya 8(1), 374–380 (2021) 10. Timoshchuk, N.A.: Interdisciplinary relations as a didactic principle of teaching. Uspekhi sovremennoj nauki 1(4), 219–224 (2017) 11. Kreps, T.V.: Interdisciplinary approach in research and teaching: advantages and problems of application. Nauchnyj vestnik Yuzhnogo instituta menedzhmenta 1, 115–120 (2019) 12. Odinokov, A.S.: Theoretical and methodological approaches to the formation of interdisciplinary relations. Pedagogicheskij zhurnal 11(4), 79–87 (2021) 13. Mirsky, E.M.: Interdisciplinary Research and Disciplinary Organization of Science. Nauka, Moscow (1980) 14. Repina, L.P.: Historical Science at the Turn of the 20th – 21st Centuries: Social Theories and Historiographical Practice. Krug, Moscow (2011) 15. Nekhamkin, V.A.: Interdisciplinarity in the humanities: levels of research. Vestnik Samarskogo gosudarstvennogo tekhnicheskogo universiteta. Seriya Filosofiya 2, 30–34 (2019) 16. Nekhamkin, V.A.: Interdisciplinarity in modern humanitarian knowledge: trends, results, and development prospects. Soc. Power 2(76), 96–105 (2019) 17. Chernikova, I.B., Chernikova, D.V.: Methodological and structural transformations in the development of modern science. Tomsk State Univ. J. Philos., Soc. Polit. Sci. 49, 60–68 (2019) 18. Shchapova, Y., Grinchenko, S.N., Kokorina, Y.: Informatics-Cybernetic and Mathematical Modeling of the Archaeological Era: Logical and Conceptual Apparatus. Informatics and Control Federal research. Center of the RAS, Moscow (2019) 19. Oleinikova, G.: Interdisciplinary approach in modern linguistic field. J. Danubian Stud. Res. 8(2), 233–239 (2018) 20. Welsh, D., Mezhuyev, V., Irsa, W.: Interdisciplinary terminology framework for teaching and research in learning factories. Procedia Manuf. 45, 301–306 (2020) 21. Gardner, A.C., Espinoza, B., Noble, C., Amey, M., Farrell-Cole, P.: Conducting research in the 21st century: how life scientists conceptualize, operationalize, and value interdisciplinary research. Issues Interdisc. Stud. 37(1), 81–107 (2019) 22. Schulz, G., Arvidson, P.S. (eds.) Issues in Interdisciplinary Studies, vol. 38, issue 1–2 (2020) 23. Carruthers, J., Fisher, L.: Conducting interdisciplinary research in modern languages: towards ‘common ground’ and ‘integration.’ Modern Lang. Open 49, 1–16 (2020) 24. Repko, A.F., Szostak, R.: Interdisciplinary Research: Process and Theory, 3rd edn. Sage, Los Angeles (2017) 25. Widdowson, H.G.: Applied linguistics as transdisciplinary practice: what’s in a Prefix? AILA Review 31(1), 135–142 (2018) 26. Rhoten, D., Boix Mansilla, V., Chun, M., & Klein, J. T. Interdisciplinary education at liberal arts institutions. Teagle Foundation white paper (2006) 27. Klein, J.T.: Creating Interdisciplinary Campus cultures: A Model for Strength and Sustainability. Jossey-Bass, Hoboken, NJ (2009) 28. Lattuca, L.R.: Creating Interdisciplinarity: Interdisciplinary Research and Teaching among College and University Faculty. Vanderbilt University Press, Nashville, TN (2001)
134
V. Tabanakova et al.
29. Davies, M., Devlin, M.: Chapter 1 interdisciplinary higher education. In: Davies, M., Devlin, M., Tight, M. (eds.) Interdisciplinary higher education: Perspectives and practicalities, pp. 3–28. Emerald Group Publishing Limited (2010). https://doi.org/10.1108/S1479-362 8(2010)0000005004 30. Darbellay, F.: From interdisciplinarity to postdisciplinarity: extending klein’s thinking into the future of the university. Issues Interdisc. Stud. 37(2), 90–109 (2019) 31. Carmichael, T., LaPierre, Y.: Interdisciplinary learning works: the results of a comprehensive assessment of students and student learning outcomes in an integrative learning community. Issues Interdisc. Stud. 32, 53–78 (2014) 32. Monson, R.A., Kenyon, K.L.: Beyond scavenger hunts and guided expeditions: rethinking interdisciplinary majors and 21st century liberal education. Issues Interdisc. Stud. 36(1), 66–92 (2018) 33. Repko, A.F.: Assessing interdisciplinary learning outcomes. Acad. Exch. Q. 12(3), 171–178 (2008) 34. Sher, Y.: On the development of the language of Archeology. Problemy Arheologii 2, 43–48 (1978) 35. Klein, L.S.: Functions of archaeological theory. STRATUM-plus 3, 8–12 (1999) 36. Shchapova, Y.L.: Introduction to Theory of things Moscow. Moscow State University (2000)
Evidential Text Units in Russian Research Articles Sergei Grichin(B)
and Olga Ulyanova
Novosibirsk State Technical University, pr. K. Marksa, 20, Novosibirsk 630073, Russia [email protected]
Abstract. This study explores the use of evidential markers in Russian research articles (RAs). It seeks to provide evidence that evidential markers index discursive activity and emerge in scientific texts due to discursive reasons. These discursive reasons are beyond the traditionally outlined reasons for scientific texts, such as the necessity to refer to the authority or predecessors and to quote them. We try to demonstrate why and when expressions signaling the source of information (generally called evidential constructions) immerge in the texts of research papers. The immergence of evidentials in RAs in Russian is attributed to the text units that we call “evidential text units.” These units are found to be regular for the pragmatic and content structure of research papers and are discourse specific because they reflect the author’s activity in text. The list of evidential text units is provided, and their basic features are described. Considering that the features of scientific discourse are universal, these findings may apply to any modern language used for scientific/academic purposes. Keywords: Evidential Marker · Scientific Discourse · Research Paper · Evidential Unit · Source of Information · Extralinguistc Factor · Pragmatics
1 Introduction We will first provide an overview of the ideas that lead us to the propositions put forward in this article, starting with the notions of evidentiality and evidential strategies and proceeding to the pragmatic basis of our theory. The linguistic phenomenon of evidentiality has been broadly discussed in linguistic and anthropological literature over the last century and is still receiving attention from linguists. Evidentiality is a linguistic category that indicates the nature of evidence for a given statement, whether evidence exists for a given statement and if so, what kind. The term appeared for the first time in Franz Boas’ work Kwakiutl Grammar (1947), in which he used it to refer to a suffix, which expressed the source, and certainty of knowledge [Boas et al. 1947 qtd. in Jacobsen 1986: 4]. Since the publication of Franz Boas’ work [Boas 1938:133], it has been acknowledged that in some languages, marking of information source is obligatory. This means that the source of information in such languages is unavoidably expressed by morphological means, and evidentiality is a grammatical category. According to A. Aikhenvald [Aikhenvald 2004], evidentiality © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 E. Isaeva and Á. Rocha (Eds.): Perm Forum 2022, LNNS 622, pp. 135–143, 2023. https://doi.org/10.1007/978-3-031-28086-3_11
136
S. Grichin and O. Ulyanova
manifests itself as a grammatical category in about a quarter of the world’s languages. Other languages, from that perspective, having their own means of expressing the source of information, such as adverbs, particles, parentheticals of prepositional phrases, do not have the category of evidentiality. She notes that “the term ‘evidential’ is best used for closed grammatical systems, and the term ‘information source’ for the vast body of other ways of referring to knowing things” [Aikhenvald and Dixon 2007: 222].
2 Theoretical Review and Methods 2.1 General Views on Evidentiality In the current linguistic sense, the term evidential was first used by Roman Jakobson in 1957 in reference to Balkan Slavic [Jacobsen 1986:4; Jakobson 1990]. Jacobson defined evidential as “a tentative label for the verbal category, which takes into account three events—a narrated event (En), a speech event (Es), and a narrated speech event (Ens). The speaker reports an event on the basis of someone else’s report (quotative, i.e. hearsay evidence), of a dream (revelative evidence), of a guess (presumptive evidence) or of his own previous experience (memory evidence).” [Jakobson 1995: 135]. Due to his works, evidential and evidentiality became established terms in linguistic literature. Subsequently, the topic of evidentiality received focused linguistic attention from researchers of typological comparison of semantic categories, and evidentiality was examined cross-linguistically [Chafe & Nichols 1986; Aikhenvald 2004]. In linguistic literature on evidentiality, the focus has traditionally been on grammatical evidentiality. Yet another view on evidentiality can be called semantic. Its representatives [Palmer 1986; Chafe 1986; Crystal 2008] consider evidential constructions as part of epistemic modality. According to this view, evidentiality not only refers to the source of knowledge, but also to certainty of knowledge: “the forms marking the source of information also mark the speaker’s attitude” [Dendale and Tasmowski 2001: 343]. The third view on evidentiality is pragmatic; it claims that evidential constructions have additional pragmatic values. The idea of a pragmatic approach to the study of evidentiality is probably best described in [Lampert and Lampert 2010]. They argue, that “the category of evidentiality is of use only, we conjecture, if a radical conceptual stance is taken in order to not miss capturing alternative linguistic strategies of expressing this notion. Hence, we strongly endorse the primacy of functional criteria and suggest including all linguistic representations that serve as cues for evidentiality in context” [Lampert and Lampert 2010: 319]. This latter view on evidentiality is shared in the present article, but some assumptions should be made. We consider, that a discursive approach to the study of language means eliminating the contradictions caused by different interpretation of the concept of evidentiality. This approach makes the difference between the broad and the narrow understanding of evidentiality, and differentiation between grammatical evidentiality and any other expressions of the source of information insignificant. A discursive (functional) approach implies that focus can be made at any expressions that signal the source of information. Because Russian does not have obligatory grammatical evidentiality, a broad array of expressions merely indexing the source of information will be included in the analysis:
Evidential Text Units in Russian Research Articles
137
metacommunicative comments, expressions of modality (modal verbs), adverbs, parentheticals (including cognitive-based parentheticals like I believe), and particles, particularized configurations of information structure, “grammaticalized expressions such as evidential auxiliaries”, such as “English seem” [Cornillie 2009: 46; Aijmer 2009]. Note that the source of information can also be expressed with an open set of non-linguistic devices, such as implicitly represented references, etc. Following [Mushin 2001], evidential meaning has been analyzed in linguistic literature from a narrow view and from a wide view [Mushin 2001: 51]. The narrow view on evidentiality means that the focus is placed on the specification of the source of information, while a wide view includes the speaker’s attitude toward information, which is generally the domain of epistemicity. 2.2 Evidentiality in Academic Discourse W. Chafe was one of the first linguists to analyze evidentiality in academic discourse. He investigated the differences between spoken and written English in the expression of evidentiality. His study showed approximately the same proportion of evidential markers in conversational English and academic writing to the total number of words. Differences in the frequency of specific kinds of evidentials were revealed, and they reflect the differences between speaking and writing in general. Having analyzed evidential devices that express various modes of knowing (belief, induction, hearsay, and deduction), Chafe found that evidentials in academic writing are more frequently used to express a deduction, while “devices, which match knowledge against expectations are more characteristic of conversation that of aca-demic written language” Chafe, Nichols 1986: 272]. Regarding evidentiality as a functional category displaying discursive properties means accepting the idea of using evidentials as a means of providing evidence when the communicative need arises. Contrasting evidential meaning in ordinary language and discourse, A.Fetzer suggests a “sequentiality-based perspective” view on the use of evidentials. According to her, “evidence is brought into the discourse at a somewhat later stage than the conversational contribution, which a speaker intends to back up with that evidence. Consequently, the mention of ‘evidence’ may count as a backwards reference to some prior stretch of discourse, which contains some queries about the validity of a proposition, and at the same time it may count as a forward reference to a stretch of discourse which is going to provide a backing for the queried proposition” [Fetzer, Oishi 2014: 327]. Such anaphoric and cataphoric use of evidentials is characteristic of different discourse domains. She also writes that evidentials are rare in ordinary and academic discourse and possibly in discourse in general and are only mentioned “when the validity of a contribution and of one or more of its constitutive claims is at stake” [Fetzer, Oishi 2014: 328], or, conversely, when referencing indirect or mediated sources. The contributions to the study of evidentiality in academic discourse are not abundant. Dehkordi and Allami in their study propose a taxonomy of evidentials used in academic writing. They classify evidentials into two broad categories of Specific and Nonspecific ones. The Specific category comprises evidentials “whose functions are providing a link between the author’ own statements and other authors’ statements, thus creating intertextuality” [Dehkordi and Allami 2012:1897].
138
S. Grichin and O. Ulyanova
Almeida and Adams in their research of evidentiality in a corpus of medical research papers in English and Spanish focus on sentential evidentials, i.e. evidentials affecting a complete proposition. They show that this type of evidentials is more frequent in English than in Spanish. Considering evidentials found in the different research sections of the medical research papers and aiming to detect and describe intrageneric differences, they found that more devices are used in the discussion section, while the method and results sections display the fewest frequencies [Almeida, Adams 2012]. Hidalgo-Downing explores the lexical choices and discourse pragmatic strategies of evidential and epistemic stance markers in two subgenres of scientific discourse: semiformal and expert publications. She notices that indirect markers of evidentiality and epistemic stance are more frequent in both subgenres, and there is a higher frequency in the use of direct evidentiality in the expert corpus. As for the semi-formal corpus, it showed a higher frequency of indirect markers. Hidalgo-Downing interprets these differences by “the discourse-pragmatic strategies which underlie the discipline specific conventions and interactive motivations in the two sub-genres” [Hidalgo-Downing 2017: 225]. Revealing the underlying conventions and the discourse-pragmatic strategies of subgenres is a step forward in understanding the differences in evidential markers use, but this understanding is not complete without a more detailed elaboration of these strategies and conventions. Below are some considerations on what these strategies and conventions could be for the scientific discourse in general. If we consider all the meaningfull language structures to have pragmatic meaning (because using language is volitional and therefore purposeful), then evidentials should have this meaning too. Regarded as part of scientific doscourse, evidentials can be analysed from the point of vew of the fuctions they perform in research articles. Because the communicative-pragmatic structure of a text is related to its contentsemantic organization, the analysis we undertake will move from registering the constructions in the utterances of researched articles to interpreteing their meaning and function in the text. The pragmatic content of an utterance (author’s intent to influence the reader) is thus interpreted as additional information to semantic (factual) information. It is quite logical to assume that the text-forming functions of evidentiality are realized not only in compositional structure of a text,as shown in [Almeida, Adams 2012], but also in separate, smaller units, constituting the semantic structure of a text. By the semantic structure of a text we understand the system of cognitively and communicatively relevant meanings, or the concept of communicatively and cognitively given fragment of reality in linguistic form. The semantic structure of a text, according to this approach, is determined by the extralinguistic context, which includes such factors as subject matter, social situation, historical period, and world knowledge. In order to describe the reasons of evidential constructions occurrence in scientific text, we suggest using the notion of a typical evidential situation. A typical evidential situation is an extralinguistic situation or a typical event fixed by our language consciousness, leading to the explication of an evidential construction. In other words, it is an extralingually conditioned motive for an evidential construction to emerge in speech/text. It is linked to the implementation of some sociocultural context and is recognized by repetitive actors and their relationships.
Evidential Text Units in Russian Research Articles
139
To some extent, the evidential situation is laid down at the level of the semantics of verbs acting as evidentials, since verbs of speech, thought, memory, knowledge, emotions, feelings, perception, and evaluation denote specific situations which reflect verbal and mental activity of a person. By introducing a proposition, any of these verbs makes it a subject of speech, thus relating to that proposition. Obviously, this determination of the dictum by the modus goes beyond the limits of a sentence, where relations between predicative units are established. This determination is also possible at the text level because a sentence outside the text may be informatively insufficient. Textual realization of evidential constructions in academic texts can be regarded as its content (semantic) element, because such texts not only reflect fragments of reality (in the narrow sense – things, facts, or denotation), but communicative and cognitive activity of the author and, more broadly, socio-cultural context. The connection between the content of the text and evidential constructions can be demonstrated with the help of a notion that can be called an evidential text unit. Text units are structural-semantic segments characterized by a certain correlation between propositional and intentional content. They present linguistic materialization of one or more speech acts or/and communicative techniques. Thus, we assume that the explication evidential markers in a text is caused by the elements of the text semantic structure. Below, I will try establishing the array of semantic content elements of academic texts, which usually make evidentials immerge in academic texts. The material for the study was texts of research articles on the humanities, containing approximately 2000 statements with evidential markers. The texts of the humanities were chosen to due to their more explicitly expressed subjective modus senses, personal and psychological reflection of the author and greater presence of evidential markers compared to the texts of exact sciences. For the convenience of presenting the results in this paper, we used illustrative material collected in the journal Tomsk State University Journal of Philology 2020–2021.
3 Results and Discission The occurrence of evidential constructions and their place in academic texts can be accounted for by what can be called evidential text units (ETUs). Assuming the bond between the semantic content elements and evidentials, I define the evidential text unit as a discrete text unit (text segment) expressing the components of the communicativeinformational and pragmatic (intensional) content of a text, indicating the source of information, and marked by an evidential construction. The boundaries of an ETU within a text are determined by formal (marking by an evidential construction), and semantic (change of a microtheme and stance) indicators. The length of an ETU in a text is determined by the isomorphism of the communicative-pragmatic setting and the thematic homogeneity of the text segment. I have thus created a generalized typology of evidential text units in academic texts based on their functional-semantic analysis. One of the frequently occurring ETUs can be called “definition of a term.” The general setting of this text unit is to review the existing ideas about the term (concept), highlighting its different aspects:
140
1) 2)
3)
4)
5)
6)
7)
S. Grichin and O. Ulyanova
O.I. Blinova consistently considered imagery as a category among other properties of words [Bolotnova 2021: 5]. N.A. Kupina and T.V. Matveeva even introduced a special term “creative stylistics”, referring to the stylistics of speech creativity and considering creative stylistics as “an expanded version of the stylistics of artistic speech”[Bolotnova 2021: 7]. As developments in this direction since the pioneering study by I. Goffman show, reputation is always a social construct and a socially transmitted representation that allows the observation of social identity [Kamshilova, Chernyavskaya 2021: 54]. This ETU may be made of different types of evidential constructions, which means that the choice of evidential constructions is not predetermined by the content. The strategies implemented in it reveal the text-forming potential of evidentiality, and indicate that the information stored in academic texts is organized according to some patterns: placing a term within an array of similar ones (example 1); introducing a new term (example 2), highlighting some aspects of the term meaning (example 3). Other patterns (not described here, but observed in the corpus of Russian research papers) include bringing a new term/notion into scientific usage; author’s wording, when an author puts new content into a definition, clarifications; redefining a term; transforming the term meaning (making it broader or narrower). Another ETU identified in the semantic structure of the scientific text, can be called “describing the essence of a theory”: Narratology, or narratological theory, as a promising field of philological knowledge, is currently of scientific interest for humanities research. The main provisions of the modern theory of narrative texts are based on the research of historians (H. White), philosophers (A. Dango), linguists (A. J. Greimas and J. Courte) and literary scholars themselves (V.Y. Propp, B.V. Tomashevsky) [Zharkynbekova, Loginova 2021: 28]. As the linguistic fashion for belligerence in language and communication recedes, there is an increasing number of works created in the stream of the so-called Peace Linguistics, considered as an important part of Peace Studies and represented by the works of such scholars as D. Crystal, G. de Matos, A. Curtis, P. Friedrich, and others [Efremov 2021: 18]. As the examples above show, this ETU can describe emerging fields of study, trends in research, etc. The communicative and pragmatic attitude of the ETU “imperative” is to present an event or trend research and science as desirable. It is a call for action, a declared and grounded necessity to take effort as a condition to achieve a desired state of affairs in science in the future: As we see, P.A. Alekseev, developing and specifying the allegory inherent in the text of the psalm, considers it necessary to explicate directly and explicitly for his readers another semiotic opposition created by the fragmentation of the image of the tree - “fruit-root” [Kalitkina 2020:53]. The general contours of the word-formation links in the associative-verbal network of native Russian speakers, as presented by Yu.N. Karaulov, doubtless need further study and specification [Kryuchkova, Kryuchkova 2020: 88].
Evidential Text Units in Russian Research Articles
141
As the examples above (and the data of the corpus of the Russian research articles in general) show, a need take effort to investigate something new is always expressed by the subject of research activities (researchers), which leads to the explication of the source of information in the text and, consequently, to the immergence of evidential constructions in such cases. Another ETU, the “description of properties”, is focused on highlighting the significant attributes, parameters and characteristics of an object, its positive and negative characteristics. Reflecting the nature of description itself, this unit introduces information about the composition, structure, and characteristics of an object. Such ETUs may include adjectives, adverbs and other linguistics units that serve this purpose: 8) Considering the motif of victory, note that the very designation or name of the motif is already predicative in nature. As V.I. Tyupa notes, “by its semantic nature such words (motif of seclusion) are predicative and denote a particular action, with which the corresponding verb or stable verb expression semantically correlates”: win – to win or to gain victory. [Zharkynbekova, Loginova 2021: 30]. 9) N. V. Orlova’s works present a view of the linguistic peculiarities of educational documents (orders) from two periods (70-80s of the 20th century and 2010–2012); the author states changes in the speech organization as an indicator of changes in attitudes, indicating a transformation of the discursive picture of the world. [Kalitkina 2020: 109]. 10) Polish researchers have found that the list of the most popular affectionate vocatives directly depends on the gender of the communicants: the lists of affectionate affectonyms used and expected in their address are different for men and women. [Efremov 2021: 29]. The main reason why description of properties/characteristics of objects is often co-occured by evidential consctuctions (sources of information) is propably related to the nature of research and ethics. Revealing salient features of research objects is usually an outstanding achievement of (a group of) individuals and is duly formalized, respect being shown to the authors. It should be noted that the presented list of ETUs, made on the basis of their communicative and pragmatic attitudes and objectified content, is not quite exhaustive. This is due to factors such as authorial creative textual activity and constantly developing scientific ideas, which result in the transformation of the views on the researched reality. The list of ETUs can be further detailed, and subtypes can be offered based on various parameters. Moreover, the corpus also shows that there are combinations of different EUs, that is, we can interpret their meaning in two ways, and the dominant one cannot always be determined and is depends on the context. Thus, if regarded without the context, example 3 above can be interpreted not only as “definition of a term”, but as “description of properties” too. Acknowledging the need for further detail in the list of ETUs, it should be noted that the demonstrated examples show that evidential markers occur in research articles in close connection with the explication of a certain pragmatic content, conditioned by the discursive action of the researcher.
142
S. Grichin and O. Ulyanova
4 Conclusion The functional approach based on analyzing the contexts in which evidentials occur in research articles allows revealing a strong bond between the pragmatic and discoursive settings expressed in such texts and evidentiality. Evidentials in academic texts tend to appear in numerous contexts (stretches of discourse/text units) that reflect the discursive activity of the authors. The presented findings, relying on the validity of a proposition, support the discursive properties of evidentiality and, simultaneously, highlight the salient features of text structure in the academic discourse. The occurrance of evidentials in academic texts is not haphazard, but is determined by discoursive reasons.
References Jacobsen, W.H.: The heterogeneity of evidentials in Makah. In: Chafe, W., Nichols, J. (eds.) Evidentiality: The Linguistic Coding of Epistemology, pp. 3–28. Ablex, Norwood, New Jersey (1986) Boas, F.: Language. In: Boas, F. (ed.) General Anthropology, pp. 124–145. Health, Boston and New York (1938) Aikhenvald, A.: Evidentiality (Oxford linguistics), pp. xxvii, 452. Oxford University Press, Oxford (2004) Aikhenvald, A., Dixon, R.M.W.: Grammars In Contact: A Cross-Linguistic Typology. Explorations in Linguistic Typology, vol. 4. Oxford University Press, Oxford, UK (2007) Jakobson, R.: Shifters and verbal categories. On language. In: Linda, R. (ed.) Waugh and Monique Monville-Burston, pp. 386–392 (1990) Jakobson, R.: On Language, p. 646. Harvard University Press, Cambridge (1995) Chafe, W., Nichols, J.: Evidentiality: The Linguistic Coding of Epistemology, p. 368. Ablex, Norwood, New Jersey (1986) Palmer, F.: Mood and Modality. Cambridge University, Cambridge (1986) Chafe, W.: Evidentiality in English conversation and academic writing. In: Chafe, W., Nichols, J. (eds.) Evidentiality: The Linguistic Coding of Epistemology, pp. 261–272. Ablex, Norwood (1986) Crystal, D.: A Dictionary of Linguistics and Phonetics, 6th edn. Blackwell, Oxford (2008) Dendale, P., Tasmowski, L.: Introduction: evidentiality and related notions. J. Pragmat. 33(3), 339–348 (2001) Lampert, G., Lampert, M.: Where does evidentiality reside? Notes on(alleged) limiting cases: seem and be like. STUF – Language Typology Universals 63(4), 308–321 (2010) Cornillie, B.: Evidentiality and epistemic modality: on the close relationship between two different categories. Funct. Lang. 16(1), 44–62 (2009) Aijmer, K.: Seem and evidentiality. Funct. Lang. 16(1), 63–88 (2009) Mushin, I.: Evidentiality and Epistemological Stance: Narrative Retelling. John Benjamins Publishing Company, Amsterdam and Philadelphia, PA (2001) Fetzer, A., Oishi, E.: Evidentiality in discourse. Intercult. Pragmat. 11(3), 321–332 (2014) Dehkordi, M., Allami, H.: Evidentiality in academic writing. Theor. Pract. Lang. Stud. 2(9), 1895–1904 (2012) Almeida, A., Adams, H.: Sentential evidentials in english and spanish medical research papers. Revista de Lingüística y Lenguas Aplicadas 07, 9–21 (2012) Hidalgo-Downing, L.: Evidential and epistemic stance strategies in scientific communication A corpus study of semi-formal and expert publications. Evidentiality Revisited: Cognitive grammar, functional and discourse-pragmatic perspectives. In: Marín-Arrese, J., Haßler, G., Carretero, M. (eds.) Pragmatics & Beyond New Series, vol. 271, pp. 225–248 (2017)
Evidential Text Units in Russian Research Articles
143
Bolotnova, N.S.: Olga blinova’s conception of lexical figurativeness in the context of contemporary stylistic research. Vestnik Tomskogo gosudarstvennogo universiteta Filologiya – Tomsk State Univ. J. Philology 70, 5–15 (2021) Kamshilova, O., Chernyavskaya, V.: Academic reputation: a corpus-based analysis of the concept in russian social practice in 2000–2011. Vestnik Tomskogo gosudarstvennogo universiteta Filologiya – Tomsk State University J. Philol. 70, 50–68 (2021) Zharkynbekova, S., Loginova, M.V.: The linguocultural type “student”: a narrative dimension. Vestnik Tomskogo gosudarstvennogo universiteta Filologiya – Tomsk State Univ. J. Philology. 70, 27–49 (2021) Efremov, V.: Affectonyms: semantics, pragmatics, and cultural linguistics. Vestnik Tomskogo gosudarstvennogo universiteta Filologiya – Tomsk State Univ. J. Philology 73, 18–37 (2021) Kalitkina, G.: Plant images in the book of psalms: from allegory to terminal metaphor. Vestnik Tomskogo gosudarstvennogo universiteta Filologiya – Tomsk State Univ. J. Philology 66, 45–64 (2020) Kryuchkova, O., Kryuchkova, N.: Associative perception of derivative words: variation and dynamics factors. Vestnik Tomskogo gosudarstvennogo universiteta Filologiya – Tomsk State Univ. J. Philology 66, 88–106 (2020)
Integrated Approach in Naming of Companies (Economical, Linguistical, Juridical and Educational Issues) Tatiana Kudelko(B) and Elizaveta Martyanova Perm State University, Perm, Russia [email protected]
Abstract. The article views modern approach in naming of companies in economics. The studies are based on the integrated approach of two main scientific fields: law and linguistic ones. In addition, two optional fields are added, like economical and educational intergration. The authors present the classification of company naming pointing out the most actual aspects in law and linguistics. The variety of names of Russian companies is viewed through the applied researching, including stylistic devices in names and juridical basis of naming. In the practical part of the article samples of naming are shown, consider, the names which contain metaphorical part (deliberate metaphors), juridical cases in naming. The juridical analysis of the naming is shown. The five-step analysis of the deliberate metaphor is shown on one of the examples. The article contains appendix with all company names studied. The authors suggest using the results in the perspectives of teaching students (optional courses). These courses can unite four subject areas on juridical, linguistic, economical and educational basis. Keyword: Scientific integration · Naming approach in economics · Juridical basis of naming · Deliberate metaphor · Stylistic devices in naming
1 Introduction According to the recent researches, in modern post-classical model of economics there are a lot of phenomena which are closely integrated into the practical sphere of different subjects, consider, linguistics, education, law and etc. Naming is one of these integral parts. A person cannot start running any business or open the bank account for the company without a juridical name. There are plenty of various studies on the studied topic in the Internet, considering the coherence of the name and the product of the company. This research is made on the basis of the semantic analyses which points out the leading stylistic methods of naming. Such methods help to create diverse company names which are different to the existing ones, as well as, metaphors which are, on the contrary, leading to the mixture of the names being already existed.
© The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 E. Isaeva and Á. Rocha (Eds.): Perm Forum 2022, LNNS 622, pp. 144–160, 2023. https://doi.org/10.1007/978-3-031-28086-3_12
Integrated Approach in Naming of Companies
145
2 Theoretical Issues The theoretical part of the article presents the main definitions which are supposed to be used in the further studies of the stated problem. The authors start with the definition of naming itself. This word dates back to the old-Scandinavian name brand. Online etymological dictionary points out the origin of brand in the Old English brand, brond”fire, flame, destruction by fire; firebrand, piece of burning wood, torch,” and (poetic) “sword,” from Proto-Germanic *brandaz”a burning” (source also of Old Norse brandr, Old High German brant, Old Frisian brond”firebrand; blade of a sword,”German brand”fire”), from PIE root *gwher-”to heat, warm” [8]. 1. Macmillan dictionary defines this term in 4 different aspects: 2. a product or group of products that has its own name and is made by one particular company 3. a particular type of something 4. a mark that is burnt onto the skin of an animal such as a cow, to show who owns it 5. LITERARY a burning piece of wood [9]. As it is shown, this term was firstly mentioned in connection with something burning, attracting attention. Later, this term has been used to define the naming of company as well as its recognizable product. Nowadays term brand is used only to define a product, while naming has become an integral part of the company image [1]. The authors give a short observation of the main principles of naming to proceed with the logics of naming studies viewed in the article. The name should identify a company as distinct from the competition. The name includes all the things that create its identity, e.g. brands, advertising, etc. Naming the company is the integral part in its future reputation, development and success. One should remember that even the famous and big name cannot guarantee you the success in business [4]. 2.1 Economical Basis in Company Naming There are some strategies of selecting a brand, consider, Strategy Own Brand. This strategy requires a new brand name which should follow a strict branding policy. Strategy Private-Label Brand means that the seller doesn’t own the brand but agrees to do the sales being a particular distributor. Strategy Mixed Brand combines previous mentioned brands, i.e. the seller can be a distributor and the owner of the other brand simultaneously [2]. Consider some steps of developing the name of the company: 1. It is necessary to define what exactly you want to sell and how it can coincide with the name of your company. 2. The seller should conduct the marketing research to study the competitive surroundings. 3. Brainstorming inside your team is a good decision in choosing the name.
146
T. Kudelko and E. Martyanova
4. This item is very important for you should check the availability of the name (no trademark conflicts). On this stage it is useful to screen all names and brands as perceptual (Google search, no similarity in phonetic sounds, spelling, root word or meaning); legal (in the USA, for example, there’s special trademark searching tools (TESS); linguistic (help to avoid blunders which can be translated offensively in other languages). However, in Russia searching process is conducted through the United System of Registration of the Juridical Companies. 5. While developing your advertising plan, check the domain name and social media availability. 6. It can be of great help to check the opinion of the future customers about the name. 7. After the final selection you should protect your name by putting a trademark protection ® [4]. 2.2 Juridical Basis in Company Naming We should point out the fact that all company names are to be legally protectable. Otherwise, it can threaten legal actions to the naming, including big fines and taxes. According to the article 1473 of Civil Code of Russian Federation all commercial companies must have the name which should follow certain requirements including the forbidden usage of the names which can be easily mixed with the ones which are already in the governmental list, running the same business. The tax authority can reject the registration of a new company in case of finding such similarities (article 23 of Federal Law 129). The company with has already been registered with such a name, has the full right to demand the compensation for the new one with the similar meaning, ordering the stop of the activity of the latter (article 1474 of Civil Code of Russian Federation). This underlines the importance of being ‘the first to be included in the list”. The company name of the legal entity shall comprise a reference to its organisational legal form and the name of the legal entity proper, which cannot be composed only of words designating a kind of activity [10]. The court will take into account the so-called “free” naming of the company, not its organizational and legal form, because the difference in the latter cannot be the difference in the naming itself. According to the letter of the Ministry of Building of Russia (21.06/2008 N 26618AQ/04 “About the estimation of the equality or similarity of the company naming”) it is strongly recommended to compare the full and the short names of the companies. The names can be considered equal if it coincides in all elements with the compared one, and similar if it is mixed and associated. These associations are marked by graphic, semantic and phonetic units. All above mentioned is concerned to the naming of the juridical commercial companies. For all other companies there aren’t any cases of the rights on the official naming [Resolution of the Plenum of the Supreme Court of the Russian Federation from 23.04.2019 N 10 {Konsultant Plus}]. The inclusion in the firm name of a legal entity of the official name Russian Federation or Russia, and also words derivative from this name, shall be permitted by a permit issued in the procedure established by the Government of the Russian Federation. In the event of the revocation of the permit for inclusion in the firm name of a legal entity of the
Integrated Approach in Naming of Companies
147
official name Russian Federation or Russia, and also words derivative from this name, the legal entity must, within three months, make respective changes in its constituent documents [Article 1474. The Company Name]. To sum it up, it is vivid that the problem of correspondence or mapping cannot be viewed from the juridical perspectives only. It is necessary to be seen in the linguistic perspectives. Therefore the integrated research should be made which allows to see the problem of naming from different aspects. 2.3 Linguistic Basis in Company Naming The authors proceed with the research viewing naming from the linguistic aspects. The linguistic expression of the naming is characterized through the imaging and idea. This naming association should be distinctively recognizable forming the whole image of the company. There are some rules to be observed in naming from the language side [2]: – the name should sound phonetically distinctively; – it should sound “easy-to-remember” (including rhyming); – it is to be positively accepted by a person (not to forget the case of its translation into other languages). Naming can be created from several alternatives. Consider, the describing naming, the geographical naming, the associative and non-associative naming, the colloquial naming, the metaphorical naming and etc. Among stylistic devices it is important to mention pun, words-matryoshka (nested dolls), deliberate mistakes and phraseological units. Deliberate metaphors are known to be often used in company naming (consider the deliberate metaphor in the marketing, our product – your house (the latter is a place full of light and kindness, the product will make our house lighter) [7]. 2.4 Educational Basis in Company Naming Studying peculiarities of company naming which are being integrated into different spheres, the authors suggest creating own optional course on the linguistic, juridical, economical and educational base. If we look at the integrating educational process of this research (see Fig. 1), the aim of such a course will be teaching the stylistic devices in economical company naming with the juridical basis for future teachers of different specialties. To conclude the theoretical part of the research, it is necessary to put emphasis of the applied side of this research. The authors aimed at showing the integrating process of modern higher education offering optional courses from the practical side.
3 Practical Part 3.1 Juridical Analyses of the Company Naming We are presenting the practical steps of the juridical analyses according to the article 1474 paragraph 3 Civil code of Russian Federation. It is said that no usage of the company
148
T. Kudelko and E. Martyanova
Fig. 1. The integrated approach of the research
name similar to the existing one in the meaning is allowed. In case both companies run the same type of business, the right for the name should be given to the first to have been registered in the State List. The acting civil law proclaims the threat of mixing of the company name depends, firstly, on the available difference that distinguishes the name; secondly, on the similarity of compared names; thirdly, on the estimation of the alikeness of the names (Resolution of the Third Arbitration Court of Appeal of 09.07.2010 in case N A74-569/2010). All in all in the basis of Civil Code RF three main evidence of the illegal usage of the naming of the right owner by the third person have been formulated: 1) absolute equality of the name, which belongs to the right owner, by the third person; 2) the companies’ activity is fully identical; 3) the late including of the company of the third person in the State List. It is the most common fact that the threat of coincidence happens in the free part of company naming. This similarity is fixed in case of absolute phonetic coincidence (consider, similar alliteration or assonance). The graphic similarity should be viewed visually according to the place of letters in the naming. Consider the case (Resolution of the Twenty-first Arbitration Court of Appeal of 01.06.2021 N 21AP-1053/2021 in case N A83-13306/2020) where Complainant has got the company JSC (Joint Stock Company) “Electronetbuildingproject” whereas Responder was registered later with the naming JSC “Electronetbuildingproject Crimea”. The activities are similar according to the codes of NACE (classification of economic activities): 25.11 (the production of building metal constructions and its parts) and 42.12 (the building of engineering communications for water and gas supply). The Court resumed the illegal usage of the name of Responder due to the problems of individualization of the companies for the consumers. The authors applied this three step test to two naming from the list: – LLC (Limited liability company) “CAT DA VINCHI” 141109, MOSCOW REGION, SCHYOLKOVO CITY, TALSINSKAYA STREET, HOUSE 6A, BUILDING 1, PSRN (Primary State Registration Number): 1195050002740, THE DATE OF PSRN (Primary State Registration Number): 27.02.2019, TIN: 5050141158, TRRC (Tax Registration Reason Code): 505001001, GENERAL DIRECTOR: KRASNYKH EKATERINA VIKTOROVNA; – LLC (Limited liability company) “CAT DA VINCHI”
Integrated Approach in Naming of Companies
141109, MOSCOW REGION, SCHYOLKOVO STREET, HOUSE 6A, BUILDING 1, PSRN (Primary ber): 1205000019399, THE DATE OF PSRN (Primary ber): 27.02.2020, TIN: 5050145804, TRRC: 505001001, KHALILOV ALOSAT MAMED OGLY.
149
CITY, TALSINSKAYA State Registration NumState Registration NumGENERAL DIRECTOR:
The results are the following: 1. Absolite similarity in sound and visual naming. 2. LLC with PSRN (Primary State Registration Number): 1195050002740 has the main activity—56.10 The activity of restaurants and product delivery service. LLC with PSRN (Primary State Registration Number): 1205000019399 has got the same activities. There are also coincidence of the following codes: 10.85, 10.89, 56.21, 56.29, 56.30, 93.29. 3. LLC with PSRN (Primary State Registration Number): 1195050002740 has been registered in 27.02.2019, LLC with PSRN (Primary State Registration Number) 1205000019399 has been put in the list in 27.02.2020. As one can see, the first to be registered company has the full right to address to the court with the demand for the later registered company to stop its activity. The authors have conducted the lingual juridical analysis of the companies in the list on the matter of coherence. The results are the following: – the most common ways of having a risk of the coincidence in the company naming are English-Russian transliteration (consider, LLC MY GOD); starting words like as if, why not, as, awful power, would loke, etc.; rhyming (consider, LLC MASTER MARKER, LLC LOVE LOVE); using famous characters (LLC WINNIE POOH, LLC POOH, LLC WINNIE POOHH, LLC CHIKH PYKH, etc.); names where all words are written without space (consider, LLC OMNOMNOM (5 companies!), LLC ITTOYOURHOUSE), using spoken phraseologisms (consider, LLC MAD STOOL, LLC MAD HAIR STYLE, LLC IF NOT WE, THEN WHO) and interjections (consider, LLC TYTS TYTS TYTS, LLC I I I, LLC BRRR, LLC RRR, LLC O-LA-LA); – however, there are some clues to “catch” the difference and be legally registered in the company naming list: adding some words, letters or interjections (consider, LLC WELL OK, LLC AJ OCEAN); making spelling mistakes on purpose (consider, LLC PA-PRIKOLA); the longer the free part of namig is, the most difficult it can be plagiated (consider, LLC NO WORLD WITHOUT CHILDREN – NO CHILDREN WITHOUT WORLD); making special spaces in words (consider, LLC FR EE, LLC B UY). The analysis is to be continued aiming at deeper researching aspects of all integrated subjects. The authors suppose that above mentioned facts are to lead to the motivation increase in learning of students of different specialties.
150
T. Kudelko and E. Martyanova
3.2 Linguistic Peculiarities in the Company Naming The authors have observed 500 units of economical company naming from the State List. 283 of them have been chosen as the material for the research. All companies are still in business or have been closed recently. The authors analyze the stylistic basis of the naming. 283 company names can be called metaphorical ones due to their content. 80 per cent of the metaphors are deliberate. Some examples are given below (see Fig. 2).
Fig. 2. Metaphors in the company naming
The example of the metaphor analyses is given based on MIPVU [6, 7]. LLC “LIKE CHEESE IN BUTTER” Step I Identification of metaphor-related words LIKE CHEESE IN BUTTER CHEESE – MILK PRODUCT BASE MEANING BUTTER – MILK PRODUCT BASE MEANING LLC “LIKE CHEESE IN BUTTER” – LIFE IN FULL WEALTH CONTEXTUAL MEANING BASE MEANING = CONTEXTUAL MEANING Step II Identification of propositions P1 (CHEESE (target) – BUTTER (source)] P2 (MOD P1 LIKE] P3 (KAK CHEESE] target P4 (MOD LIKE CHEESE IN BUTTER!] target Step III Identification of open comparison SIM { F a (F (CHEESE)] target (BUTTER] source Step IV E
E
Integrated Approach in Naming of Companies
151
Identification of analogical structure SIM {(LIKE) CHEESE] target (IN) BUTTER] source} Step V Identification of cross-domain mapping IN BUTTER > IN FULL LIKE CHEESE > WEALTH goal of IN BUTTER > goal of IN FULL goal of LIKE CHEESE > goal of WEALTH inferences: BUTTER/FULL, RICH CHEESE/ WEALTH This metaphor is considered to be also deliberate for the consumer to understand his wonderful perspectives of cooperation with such a company. The research has shown other stylistic devices in the company names. Consider, pun (LLC “MISS KUS”); transliteration (LLC “OH MY GOD MUSIC”, LLC “ALL WE NEED”); mixed transliteration (LLC “NOT EVIL PRODUCTION”); anaphora, epiphora (LLC “WITHOUT RIVERS LIKE WITHOUT HANDS”, CHARITY CHILDREN FUND “NO WORLD WITHOUT CHILDREN – NO CHILDREN WITHOUT WORLD”); rhyming (AUTONOMIC NON-COMMERCIAL ORGANIZATION “CENTRE OF SOCIAL INITIATIVES “I AM YOUNG – I LIKE CHUSUVOILAND”); alliteration (LLC “CHIKH-PYKH”, LLC “UUU TYTS TYTS TYTS”); antithesis (LLC “ADVERTISING AGENCY “BLACK ON WHITE”); special mistakes (LLC “PA-PRIKOLY (FUNNY)”), irony (LLC “MAD STOOL”), etc. The table below views the numeral results of the analyses of the given material (see Table 1). Table 1. Stylistic analyses of the company names Stylistic device
Quantity
Pun
50
Transliteration (foreign names)
20
Mixed transliteration
10
Anaphora
30
Epiphora
10
Alliteration
17
Assonance
15
Antithesis
5
Special mistakes
11
Deliberate tautology
34
Metonymy
60
152
T. Kudelko and E. Martyanova
The table shows the bright diversity of lexical and grammar sources to be noticed and studied (consider, metaphorical company names and deliberate tautology usage). The full list is in Appendix 1 to the article. Students are inspired to give additional commentaries integrating their knowledge in linguistics and law. There are some exercises to be offered, like constructing tables in Google with special glossary; modeling new company names with all rules and principles of integrated subjects, taking into consideration all integrated spheres in the studied subject.
4 Conclusion The adequate representation of the company naming can be achieved within the integrated approach to studies. This approach makes the acting with all communicative channels and its inner organization with the students and teachers possible. The bright images used in the names of companies allow linguistic studies of the material together with juridical and economical ones. The analyses made in juridical and linguistic spheres point out a lot of misunderstanding in the process of naming of Russian companies. These facts can give the opportunity of managing optional courses in economics (Company Naming – Whether this iceberg big underwater?); law (Peculiarities in Company Naming – How to be like Cheese in Butter); linguistics (Metaphorical basis in the economical names – What is in my name for you?); education (I will teach you right names). The given list of company names is to be studied further due to the great amount of interesting facts that can be found in the names of companies viewed from the different sides of subjects integrated in the process.
Appendix 1 List of the company names 1. 2. 3.
4. 5. 6. 7. 8. 9. 10. 11. 12.
LLC “FR EE” (TIN: 6658284419) LLC “LOVE LOVE” (TIN: 7701338182) AUTONOMIC NON-COMMERCIAL ORGANIZATION “CENTRE OF SOCIAL INITIATIVES “I AM YOUNG - I LIKE CHUSUVOI-LAND” (TIN: 5918219388) LLC WITH FOREIGN INVESTMENTS “YELLOW BLUE BUS (YELLOWBLUE BUS, I LOVE YOU)” (TIN: 2360010960) LLC “MY GOD” (TIN: 4025457981) LLC “MY GOD” (TIN: 7804663339) LLC “OH MY GOD MUSIC” (TIN: 9705159808) LLC “UUU TYTS TYTS TYTS” (TIN: 1001342055) LLC “AND IT!” (TIN: 5401377349) LLC “THE FIFTH WHEEL” (TIN: 3801123024) LLC COMPANY “THE FIFTH WHEEL” (TIN: 7610070749) LLC “PA-PRIKOLA” (TIN: 5321179060)
Integrated Approach in Naming of Companies
13. 14. 15. 16. 17. 18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34. 35. 36. 37. 38. 39. 40. 41. 42. 43. 44. 45. 46. 47. 48. 49. 50. 51. 52. 53. 54. 55. 56. 57.
153
LLC “NLY YOU” (TIN: 7841036336) LLC “NLY YOU” (TIN: 9717093630) LLC “OH MY GOD WHAT A MAN” (TIN: 4704107438) LLC “WINNIE PYKH” (TIN: 7203372367) LLC “CHIKH-PYKH” (TIN: 5030098793) LLC “AS IF CAFE” (TIN: 9102027569) LLC “AS IF FOREIGN AGENT” (TIN: 6027204147) LLC “WHY NOT A BAR” TIN: 2366003977 LLC “AS IN TANK” (TIN: 7801641658) LLC “S AS IN DOLLAR” (TIN: 1435338291) LLC “AS TWO BY TWO” (TIN: 7017425879) LLC “LIKE CHEESE IN BUTTER” (TIN: 4705044773) LLC “AS USUAL” (TIN: 7451335186) LLC “LIKE BUTTER” (TIN: 7743322480) LLC “ALL WE NEED” (TIN: 6952317757) LLC “NOT EVIL PRODUCTION” (TIN: 7714475531) LLC “ANGRY RACCOON” (TIN: 7839039259) LLC “CAT DA VINCHI” (TIN: 5050141158) LLC “CAT DA VINCHI” (TIN: 5050145804) LLC “ITTOYOURHOUSE”(TIN: 7707702952) LLC “OMNOMNOM” (TIN: 7727429797) LLC “OMNOMNOM” (TIN: 7810614227) LLC “SOMETHING FOR TEA” (TIN: 7810758525) LLC “B UY” (TIN: 7802862120) LLC “GRANDMOTHER HAS COME” (TIN: 7804677050) LLC “ADVERTISING COMPANY “BLACK ON WHITE” (TIN: 2309106373) LLC “HARD EATEN” (TIN: 6670483234) LLC “MISS KUS’” (TIN: 5005069904) LLC “SOFA EXPERT” (TIN: 7736321609) LLC “D’EER” (TIN: 1831191123) CLOSED JOINT-STOCK COMPANY “LAZINESS-MUM” (TIN: 7731133506) LLC “FIRE WITH FIRE” (TIN: 3664238623) LLC “HELPING YOU OUT OF A PICKLE” (TIN: 9719010011) CLOSED JSC “TILI-TESTO” (TIN: 7729380177) LLC “ALLO, GARAGE?” (TIN: 7715368814) LLC “I. I. I.” (TIN: 6119000320) LLC “WHEN I BECOME A GIANT” (TIN: 7707444081) LLC “CO-FI” (TIN: 7710343735) LLC “EVERYBODY KINDNESS AND CATS” (TIN: 6671043927) LLC “EATING NEEDS TO BE TASTY AND USEFUL, AND NOT LIKE NOW IN SHOPS. FRANCHAISING” (TIN: 6670495173) LLC “FAST-GOER” (TIN: 0272020660) LLC “O-LA-LA” (TIN: 9724048170) LLC “TRU-LYA-LYA” (TIN: 7743863715) LLC “THE TRUE STORY” (TIN: 7714969033) LLC “EEE” (TIN: 7801571094)
154
58.
T. Kudelko and E. Martyanova
REGIONAL SOCIAL ORGANIZATION OF MARYI EL REPUBLIC “FELINOLOGICAL CENTRE “YOSHKIN CAT” (TIN: 1215193266) 59. LLC “WANT AND BE 2” (TIN: 1660321725) 60. LLC “FLY WHERE I WANT” (TIN: 3525449747) 61. LLC “WHERE I WANT, THERE I FLY” (TIN: 4027116948) 62. LLC “WHERE I WANT, THERE I FLY” (TIN: 1900000260) 63. LLC “WANT SHASHLYK” (TIN: 7840034840) 64. LLC “LARISA IVANOVNY WANT” (TIN: 7453317827) 65. LLC “A5 HERE WANT” (TIN: 7802541688) 66. LLC “BOBRO” (TIN: 4345455694) 67. LLC “BOBRO DISTRIBUTION” (TIN: 7704339635) 68. LLC “FROM AGU UP TO ALL I CAN” (TIN: 9721000395) 69. LLC “SUCH A COFFEE, I NEED IT” (TIN: 7719277491) 70. LLC “100CANTEEN” (TIN: 5321179341) 71. LLC “I LIKE MONEY” (TIN: 0268070241) 72. LLC “PHONE ME, PHONE” (TIN: 7710323104) 73. LLC “BEATY IS AN UNGLY FORCE” (TIN: 2320211452) 74. LLC “UGLY FORCE” (TIN: 7841007938) 75. LLC “NEED BRIGADE” (TIN: 7814647992) 76. LLC “NEED MARI” (TIN: 6679083960) 77. LLC “WON’T TELL WHERE I AM” (TIN: 7116159441) 78. LLC “WHERE CANCERS HAVE WINTER” (TIN: 6732134606) 79. LLC “BAR WHERE CANCERS HAVE WINTER” (TIN: 0276920319) 80. LLC “YES WE CAN DO IT” (TIN: 9705030184) 81. LLC “TASTIER THAN IN TURKEY” (TIN: 7703427938) 82. REGIONAL SOCIAL ORGANIZATION IN FIGHT AGAINST THE CANCER “CIRCLE AGAIST BREAST CANCER” (TIN: 7704313450) 83. LLC “BEER TO EVERY KIND” (TIN: 0274182225) 84. LLC “ONCE TO ONCE CAN’T GO” (TIN: 1328020017) 85. LLC “ONCE MEAT” (TIN: 3435138225) 86. LLC “FASHION IS MY PROFESSION” (TIN: 7718921949) 87. LLC “MY NAME IS” (TIN: 7726410546) 88. LLC “PEACE LABOUR MAY” (TIN: 7718693604) 89. LLC “HAVEN’T THOUGHT OUT” (TIN: 7718898753) 90. LLC “OH GREEN-EYED TAXI” (TIN: 5262355419) 91. LLC “GREEN-EYED TAXI” (TIN: 7751002741) 92. LLC “GREEN-EYED TAXI” (TIN: 7813658487) 93. LLC “SLOW DOWN, SLOW DOWN” (TIN: 7733333444) 94. LLC “MUM, BUY!” (TIN: 6685187453) 95. LLC “WELL OK” (TIN: 2204072769) 96. LLC “YOUTH WILL FORGIVE” (TIN: 8603245750) 97. LLC “MONDAY FOR ME” (TIN: 9729318077) 98. LLC “I HAVE GOT PAWS” (TIN: 3305799560) 99. LLC “KISS ME IN CHAKRA” (TIN: 6141053493) 100. LLC “TVER WILL SEE ME” (TIN: 6950209474) 101. LLC “PIECE OF PLYWOOD” (TIN: 7727317317)
Integrated Approach in Naming of Companies
102. 103. 104. 105. 106. 107. 108. 109. 110. 111. 112. 113. 114. 115. 116. 117. 118. 119. 120. 121. 122. 123. 124. 125. 126.
127. 128. 129. 130. 131. 132. 133. 134. 135. 136. 137. 138.
155
JSC “YOUR PIECE OF SOCHI” (TIN: 2319017740) LLC “PIECE OF HAPPINESS” (TIN: 7703736943) LLC “WILL BE OK” (TIN: 7715652783) LLC “THERE WILL BE A BITE” (TIN: 3025036050) LLC “LET THE LIGHT BE” (TIN: 5402538060) LLC “WILL BE AS NEW” (TIN: 7802586390) LLC “W-POOH” (TIN: 7810419160) LLC “POOH NON-STOP” (TIN: 2311284101) LLC “NON POOH” (TIN: 2308280040) LLC “WINE POOH” (TIN: 3812125030) LLC “AH!” (TIN: 3525238810) LLC “AH THESE LITTLE MONKEYS” (TIN: 9710020495) LLC “SIR MACDUCK”(TIN: 6623130802) LLC “NON STUCK” (TIN: 5406614875) LLC “NON STUC ON THE LEFT” (TIN: 5404081692) WILD NATURE SAFETY FUND “NOTIVORY” (TIN: 7702469188) LLC “DON’T WAKE UP SLEEPING”(TIN: 4029062984) LLC “FROM AGU UP TO I CAN EVERYTHING” (TIN: 9721000395) LLC ADVERTISING AGENCY “IT ISN’T HARMUFUL TO DREAM” (TIN: 8602025737) CONSUMER COOPERATIVE “GOOD GIVE” (TIN: 9102280434) MURMANSK REGIONAL CHARITY FUND “GOOD GIVE” (TIN: 5113002015) NATIONAL FUND OF SOCIAL SUPPORT AND DEVELOPMENT “GOOD_GIVE” (TIN: 7714322790) LLC “AS DRINK GIVE” (TIN: 3906407351) LLC “WELL NORTH” (TIN: 2461048311) AUTONOMIC NONCOMMERCIAL ORGANIZATION “CENTRE OF SOCIAL ADAPTATION “BETWEEN THE SKY AND THE EARTH” (TIN: 6670490150) HOMEOWNERS’ ASSOCIATION “BARRACK” (TIN: 3304018069) CHARITY CHILDREN FUND “NO WORLD WITHOUT CHILDREN - NO CHILDREN WITHOUT WORLD” (TIN: 7743166714) LLC “GOOD COMPANY AI-AI-AI” (TIN: 0262036011) LLC “RUN THROUGH THE WORLD” (TIN: 2540254130) CHUKOTSKAYA REGIONAL CHILDREN YOUTH SPORT SOCIAL ORGANIZATION “BEAT-RUN” (TIN: 8709013607) GARDEN NON-COMMERCIAL COOPERATIVE CONSUMER OF PROPERTY OWNERS “GRASS SNAKE AND HEDGEHOG” (TIN: 8622027059) LLC “AJ OCEAN” (TIN: 7325133380) AUTONOMIC NON-COMMERCIAL ORGANIZATION “CENTRE OF GAME TECHNOLOGIES AND CREATIVITY “PERSON AJ” (TIN: 6670477819) LLC “AJ 741852” (TIN: 7716684097) LLC “CRUSH GARAGE” (TIN: 2540259668) LLC “CHEAPER ONLY FOR FREE” (TIN: 7536143162) LLC “ONLY ONLI” (TIN: 9717075743)
156
139. 140. 141. 142. 143. 144. 145. 146. 147. 148.
149. 150. 151. 152. 153. 154. 155. 156. 157. 158. 159. 160. 161. 162. 163.
164. 165. 166. 167. 168. 169. 170. 171. 172. 173. 174. 175. 176. 177.
T. Kudelko and E. Martyanova
LLC “ONLY YOU - OWL” (TIN: 7806334971) LLC “ONLY NOBODY” (TIN: 3702628144) LLC “AS ONLY, SO AT ONCE” (TIN: 2543104870) LLC “I LOVE YOU CRIMEA” (TIN: 7840506821) KALININGRAD REGIONAL SOCIAL MOVEMENT “SAY NO! LONELY OLD AGE” (TIN: 3910005302) LLC “SAY WOW!” (TIN: 7701361760) LLC “SAY AM” (TIN: 1831140834) CHARITY FUND “THROUGH THORNS TO STARS” (TIN: 7106066484) LLC “UNDERSTANDING THROUGH MOVEMENT” (TIN: 7714469626) AUTONOMIC NON-COMMERCIAL ORGANIZATION OF THE DEVELOPMENT OF SCIENCE, CULTURE AND CHESS “THROUGH KNOWLEDGE TO STARS” (TIN: 7725407205) LLC “MATE” (TIN: 1647019508) LLC “CHECKMATE” (TIN: 9717095387) LLC “EVERYONE EVERYONE EVERYONE” (TIN: 7702807221) LLC “EVERYONE EVERYONE EVERYONE_!!!”(TIN: 7723674653) LLC “PUBLISHING GROUP “EVERYONE EVERYONE EVERYONE!” (TIN: 2463062946) LLC “HUMMUS TO EVERYONE” (TIN: 9709014786) LLC “EVERYONE OOO OOO” (TIN: 6658536909) LLC “COLLEGUAGES HELLO TO EVERYONE” (TIN: 9705149101) LLC “SALUT TO EVERYONE” (TIN: 0700000983) LLC “MISTAKES OF YOUTH” (TIN: 7720417513) LLC “SAUSAGE IN BULLE” (TIN 7806254765) LLC “OR-OR” (TIN 7715935372) LLC “WHERE TO” (TIN 9715255109) LLC “WHERE MOTHERLAND WILL SEND” (TIN 5321190271) NONCOMMERCIAL CONSUMER COOPERATIVE “WHO WANTS NYASHKI” (TIN 4634013261) LLC “WHO WANTS LULEI” (TIN 7730265901) LLC “MUM, BUY!” (TIN 6685187453) LLC “KIND BEAVERS” (TIN 7842169770) LLC “ADD WINE” (TIN 9723077001) LLC “SORRY I HAVE GOT BRAINS” (TIN 7714913224) LLC “TOMORROW-THE DAY AFTER TOMORROW” (TIN 7706804253) LLC “WHEN I WILL BECOME A GIANT” (TIN 7707444081) LLC “BRR” (TIN 2455036780) LLC “RRR” (TIN 2349027537) LLC “PFF” (TIN 7725797690) LLC “ALLIEN DEPARTATION SERVICE” (TIN 2543052069) LLC “DON’T EAT WELL - BE A WOLF” (TIN 6658534620) LLC “EATING NEEDS TO BE TASTY AND USEFUL, NOT AS IN SHOPS NOW. FRANCHASING” (TIN 6670495166) LLC “AAA” (TIN 2367012237)
Integrated Approach in Naming of Companies
178. 179. 180. 181. 182. 183. 184. 185. 186. 187. 188. 189. 190. 191. 192. 193. 194. 195. 196. 197. 198. 199. 200. 201. 202. 203. 204. 205. 206. 207. 208. 209.
210.
211. 212. 213. 214.
215. 216.
157
LLC “UUU” (TIN 7453342703) LLC “THIS LLC IS TO ALL LLC” (TIN 6658536909) LLC “LLC” (TIN 7840503997) LLC “JS” (TIN 7840068430) LLC “OR” (TIN 4705091445) LLC “NOT” (TIN 9204015795) LLC “NOT FOUND” (TIN 3906362326) LLC “DON’T WAKE UP SLEEPING” (TIN 4029062984) LLC “HASN’T REGISTERED YET” (TIN 7839132547) LLC “DON’T GET LOST” (TIN 6451017230) LLC “NOT STUCK” (TIN 5406614875) LLC “WHY NOT A BAR” (TIN 2366003977) LLC “DON’T TELL WHERE I AM” (TIN 7116159441) LLC “DON’T TRY TO LEAVE OMSK” (TIN 5506158369) LLC “GRAPE ISN’T TO BLAME” (TIN 7714475130) LLC “EATING NEEDS TO BE TASTY AND USEFUL, NOT AS IN SHOPS NOW. FRANCHASING” (TIN 6670469938) LLC “I WANT TO BE YOUR CANARY” (TIN 7842124105) LLC “AS IF A FOREIGN AGENT” (TIN 6027204147) LLC “WHY” (TIN 9704074598) LLC “WHY NOT” (TIN 7707420122) LLC “MY MINE” (TIN 1832140587) LLC MICROCREDIT COMPANY “YO-MOYO” (TIN 1701062825) LLC “#HOW IT CAN BE?” (TIN 5405039855) LLC “SOMEHOW” (TIN 7707843463) LLC “WELL YES” (TIN 5902033839) LLC “SASHA EVERYTHING IS BAD” (TIN 9701178133) LLC “NOT YET THOUGHT OF” (TIN: 7842201712) LLC “TIN” (TIN: 7721028929) LLC “PSRN (Primary State Registration Number)-TIN” (TIN: 7727718446) LLC “THE PART OF SOMETHING BIG” (TIN: 2310208010) LLC “WHO WHOM” (TIN: 7724548080) AUTONOMIC NON-COMMERCIAL ORGANIZATION OF ANIMAL CARE SERVICE “WE ARE RESPONSIBLE FOR THOSE WHO HAVE BEEN TAMED” (TIN: 3902790049) AUTONOMIC NON-COMMERCIAL ORGANIZATION “CENTRE OF SPORT DEVELOPMENT “UNLIMITED SPORT INSTEAD OF UNLIMITED INTERNET” (TIN: 5029253290) LLC “INSTEAD OF WORDS” (TIN: 7814719510) LLC “THE HOLIDAY THAT IS ALWAYS WITH YOU” (TIN: 7842149389) LLC “THINGS TO WHICH HANDS ARE SPREAD” (TIN: 7807386482) AUTONOMIC NON-COMMERCIAL ORGANIZATION “DEVELOPMENT OF CREATIVITY AND HOBBIES CENTRE “TIME WE ARE CHOOSING…” (TIN: 5024214201) LLC “ HOUSE THAT JACK BUILT” (TIN: 7804164516) LLC “PASSION EMPIRE” (TIN: 6674148808)
158
T. Kudelko and E. Martyanova
217. LLC “TACKLE AND PASSION” (TIN: 5504155620) 218. LLC “PASSION IN DETAILS” (TIN: 7706447509) 219. AUTONOMIC NON-COMMERCIAL ORGANIZATION AMATEUR SPORT AND TECHNICAL CLUB “FAT FACE” (TIN: 5011038421) 220. LLC “FULL FACE” (TIN: 7203493996) 221. LLC “MAD CLEANING” (TIN: 7811763334) 222. LLC “MAD STOOL” (TIN: 7709432684) 223. LLC “EKH” (TIN: 4612002315) 224. JSC “TAKE FOR A RIDE” (TIN: 7840310025) 225. LLC “OH ROADS” (TIN: 3808275876) 226. LLC “SOUR CREAM. GOOD” (TIN: 7731320827) 227. LLC “CALL-WASH» (TIN: 7806476158) 228. LLC “COFFEE GUN” (TIN: 2463123525) 229. LLC “OH‘GUN” (TIN: 7820041624) 230. LLC “FULL PARTY” (TIN: 9709070727) 231. AUTONOMIC NON-COMMERCIAL ORGANIZATION “SCHOOL OF SURVIVAL “LIVE DON’T GIVE UP” (TIN: 5300002270) 232. LLC “FOOD YOU WANT” (TIN: 2366021856) 233. LLC CREATIVE STUDIO “STOP THE MOMENT!” (TIN: 8611009354) 234. LLC “WELL-YES” (TIN: 7901547560) 235. LLC “SHO KO KO” (TIN: 9102051106) 236. LLC “SHO ILYA MUROMETS” (TIN: 7100004322) 237. LLC COMIC TROUP “WHETHER PEOPLE, WHETHER DOLLS” (TIN: 7705816070) 238. LLC “AS CLOCK” (TIN: 7722686092) 239. LLC “LIKE BUTTER” (TIN: 2224175339) 240. LLC “NOT CAKES, BUT CAKES” (TIN: 6671082637) 241. AUTONOMIC NON-COMMERCIAL ORGANIZATION “TELECOMPANY “OBVIOUS-UNBELIEVABLE” (TIN: 7717127564) 242. LLC “OBVIOUS-UNBELIEVABLE” (TIN: 6829067914) 243. LLC “ART-SHIZA” (TIN: 7733275224) 244. LLC “OK NOT OK” (TIN: 2465336984) 245. LLC “TO-DO” (TIN: 9725030337) 246. LLC HOLIDAY AGENCY “IT IS HIGH TIME FOR PAIRS” (TIN: 5401350883) 247. LLC “TRADING HOUSE “PACK-PACK” (TIN: 7814784011) 248. LLC “SHITO-KRYTO” (TIN: 3459079829) 249. AUTONOMIC NON-COMMERCIAL ORGANIZATION “GAGARIN YOUTH SPORT CENTRE “HE SAID - LET’S GO!”“ (TIN: 6723011781) 250. LLC “LIFE IN HIGH” (TIN: 6658550357) 251. LLC TOURISTIC COMPANY “LIFE IN HIGH” (TIN: 6141054480) 252. LLC “BUILDING IS FUN” (TIN: 2210010873) 253. LLC “COFFEE-FUN-COFFEE” (TIN: 7722252440) 254. LLC “IT SEEMS TO HAVE BEGUN” (TIN: 7728291750) 255. LLC “HOG GOAT” (TIN: 6154144959) 256. LLC “OH PANCAKE” (TIN: 7723577096)
Integrated Approach in Naming of Companies
159
257. NON-COMMERCIAL FUND OF SOCIAL ECOLOGICAL DEVELOPMENT “WITHOUT RIVERS LIKE WITHOUT HANDS” (TIN: 7706456430) 258. CHARITY FUND OF CHILDREN HELP “NO WORLD WITHOUT CHILDREN - NO CHILDREN WITHOUT WORLD” (TIN: 7743166714) 259. LLC “MASTER MARKER” (TIN: 1840014762) 260. LLC “FIND MYSELF” (TIN: 7017490420) 261. LLC “WHERE IS CABLE” (TIN: 5903956533) 262. CHARITY FUND “TIME FOR GOOD” (TIN: 9717068601) 263. LLC “IT IS HIGH TIME TO EAT” (TIN: 5408021550) 264. LLC “OSHKA” (TIN: 7111015742) 265. LLC “LEFT HIMSELF” (TIN: 3443100916) 266. LLC “AGAIN 25” (TIN: 5009047637) 267. LLC “45 WOMAN IS A BERRY AGAIN” (TIN: 6679125850) 268. LLC “A A A A A A FUNNY FIREWORK” (TIN: 7017453315) 269. LLC “A” (TIN: 7727450260) 270. LLC “A” (TIN: 7722481810) 271. LLC “MAYBE BREAD” (TIN: 7704300807) 272. LLC “TOURISTIC BEAUROU “ELKI-PALMY” (TIN: 3329058338) 273. LLC “TRADE CENTRE “ELKI-PALKI” (TIN: 6231047751) 274. LLC “ELKI-MOTALKI” (TIN: 6321458210) 275. LLC “ELKI-METELKI” (TIN: 6659197663) 276. LLC “REALLY FLOWER” (TIN: 1655299136) 277. LLC “GROW BELLY” (TIN: 9106002974) 278. LLC “EAT AND CRY” (TIN: 7724495150) 279. LLC “BE CAREFUL ELEPHANT” (TIN: 7720380020) 280. LLC “BE CAREFUL PAINTED” (TIN: 7743679970) 281. LLC “VEC TORY” (TIN: 7805632781) 282. LLC “JUST IN CASE” (TIN: 0411120142) 283. LLC GROUP OF COMPANIES “JUST IN CASE” (TIN: 6323112601)
References 1. Baranov, A.N.: The introduction in the applied linguistics. URSS, M. (2003) 2. Chung, S., Lee, S.Y.: Cognitive processing of corporate social responsibility campaign messages: the effects of emotional visuals on memory. Media Psychol. 23(2), 244–268 (2020) 3. Kozhanova, V.Y.: The criteria of foundings of proper names of brands in Russian and English languages. In: The material of the Russian scientific and practical conference SPb, pp. 23–27 (2003) 4. Kusbianbto, K., Dewi, A.T., Sitanggang, M.O.: The law of effectiveness on brand name disputes for better industrial protection. Int. J. Innov. Creativity Change 13(5), 262–274 (2020) 5. Steen, G.J.: The paradox of metaphor: why we need a three-dimensional model of metaphor. Metaphor Symbol 23(4), 213–241 (2008) 6. Steen, G.J.: Deliberate metaphor affords conscious metaphorical cognition. J. Cogn. Semiot. 5, 179–197 (2011)
160
T. Kudelko and E. Martyanova
7. Steen, G.J., et al.: Metaphor in communication: the distribution of potentially deliberate metaphor across register and word class. Corpora 14(3), 301–326 (2019) 8. Online etymology dictionary. https://www.etymonline.com/word/brand 9. Principles of marketing. https://courses.lumenlearning.com/clinton-marketing/chapter/rea ding-name-selection 10. Macmillandictionary. https://www.macmillandictionary.com/dictionary/british/brand_1 11. Civil Code. Article 1474. The Company Name
Cohesion and Coherence of a Text as a Translation Problem Vladimir Medvedev(B) Text Analytics, Kazan Federal University, Kremlyovskaya, 18, 420008 Kazan, Russia [email protected]
Abstract. The article deals with some controversial topics regarding definitions of such fundamental concepts of text theory as cohesion and coherence in terms of their acceptability in solving problems of theory and practice of translation. The result of the study was a rethinking of these terms and the introduction of additional terms “connectedness” and “coupling” into the theory of the text, which permits more accurately reflect the essence of intra- and intertextual relations. Theoretical calculations have been confirmed in the analysis of Walt Whitman’s poem “On the Beach at Night Alone” and its interpretations into Russian made by recognized translators. The research findings provide a broad context for understanding the range of cohesive devices which may be useful for text comprehension studies, as well for translation theory and practice. Keywords: Cohesion · Coherence · Connectedness
1 Introduction The recognition of the decisive role of text coherence in its understanding and interpretation is beyond doubt. The translator’s immersion into the text’s content depends not only on the features of the text, but also on his ability to see the internal connections of the source text in their diversity, to integrate the elements of this text into a single whole and recreate them entirely in the translated text. To a large extent, the solution of this problem is facilitated by the translator’s understanding of the source and target texts as an interconnected whole both in formal and semantic aspects. Therefore, the definition of the types of intra- and intertextual relations and their influence on the translation process is an important area of linguistics in general, – and translation studies in particular. The ability to translate linguistic material is also directly dependent on the clarity of terminological definitions that have been developed in linguistic theory. The lack of unanimity among scientists in the interpretation of such significant parameters of the text as cohesion and coherence, which underlie its integrity, predetermined the relevance of the chosen scientific topic. The proposed approach to their interpretation may also contribute to the new directions of scientific research. The purpose of this study is to analyze some of the most important concepts of text theory, such as cohesion and coherence, and their impact on the results of translation practices. © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 E. Isaeva and Á. Rocha (Eds.): Perm Forum 2022, LNNS 622, pp. 161–176, 2023. https://doi.org/10.1007/978-3-031-28086-3_13
162
V. Medvedev
2 Literary Review 2.1 Clarification of Terminological Definitions 2.1.1 Cohesion and Coherence While some researchers [4, 17, 18] identify the concepts of “cohesion” and “coherence”, their colleagues represented by I. Galperin [7] prefer to consider cohesion as a formal and meaningful means of connectivity including the concept of “coherence”. The group of scholars is of the opinion about the relationship of these concepts as of the notions as particular and general, manifested at different levels of text perception: cohesion – on the horizontal (connectivity of a chain of sounds, words, phrases, lines, stanzas) and coherence – on the vertical (connectivity of all sounds, words, phrases, lines and stanzas between themselves in the text) [2]. The main types of cohesion are syntactic, which include various syntactic repetitions, interrogative sentences, anaphora and cataphora; lexical (synonymous and antonymic groups), keywords that serve as textual bonds, and semantic or meaningful cohesion, suggesting the presence of the author’s communicative intention, thematic and compositional-genre unity of the text, the use of stylistic devices contained simultaneously within a unit of text and the entire text as a whole. Understanding of coherence as a vertical vector of communication of text elements allows to define this feature of the text as a phenomenon that contributes to the creation of the integrity of the text through the interaction of communicative, semantic and structural factors [12:4] in their semantic unity as a single structure throughout the text [ibid.:6]. G. Gervoni writes that the basis of coherence, as well as of cohesion, is adequacy not to the verbal context, but to the situation. At the same time, coherence is assessed as a purely cognitive, and therefore subjective factor of the text, and it refers to the logical flow of interrelated topics: coherence is a cognitive phenomenon [15:1]. In the vision of N. Valgina, the coherence of the text is provided by its structural organization, which manifests itself “through external structural indicators, through the formal dependence of the components of the text, … and the integrity of the text is seen in its thematic, conceptual, modal unity” [24:1]. Thus, cohesion provides mainly a theme-rhematic connection of linguistic elements, while coherence extends to the area of structural organization and content integrity of the text. However, it is easy to see that, taking into account the use of the same stylistic figures, for example, lexical or syntactic anaphora within the framework of the whole text, the line between both types of connection is also easily erased. In addition, if we proceed from the interpretation of cohesion as “an indicator of relations between topics in a text” (Cohesion can be regarded as an indicator of relations between topics in a text [10]), then there is an obvious transfer of the concept of “cohesion” to the area of “coherence”. Thus, in all the definitions considered above, the line between cohesion and coherence remains rather thin, which greatly complicates the translator’s work with the text. To solve the problem of terminological confusion, it seems advisable to turn to natural science sources, from which these terms are apparently borrowed. In chemical science, cohesion is defined as a bond between identical molecules (atoms, ions) of a certain physical body within the same phase, creating an electrical attraction capable of forming microscopic structures, such as water drops. In the field of automation and
Cohesion and Coherence of a Text as a Translation Problem
163
process control, cohesion characterizes the integrity, “density” of a module, i.e. how simple the module is in terms of its use. Ideally, the module should perform one single function and have a minimum number of “control knobs”. If coupling is a characteristic of a system, then cohesion characterizes a single module [6]. According to this definition, we can conclude that cohesion is characterized by the relationship between the elements of the system, which are characterized by simplicity, uniformity of composition and single-functional orientation. In this case, with respect to linguistics cohesion should be understood as linguistic relations, manifested in the connections of identical or functionally similar linguistic elements within an integral text. Such relations come into being with the help of repetitions of lexical units and their alternation, words and phrases included in the same thematic sphere, synonymous relations, in particular, repeated introduction of elements into the text, literal lexical repetition; partial repetition (use of a single-root word of another part of speech); paraphrasing (re-expression of content using other formal linguistic means (synonyms, hyponym etc.). Here also should be indicated pronominalization (subsequent use of pronominal words of substitutes in the text), as a rule, in the form of an anaphoric connection, in which pronouns or a class of substitutes replace certain linguistic expressions if their repeated use is necessary. It is important to pay attention to the fact that these means of communication must be taken into account within the whole text, which automatically implies its use also in a vertical section, and be preserved in interlingual transformation, especially since in quantitative terms they are able to perform an additional cultural function, for example, in the novel “Jud Süβ” by Lion Feuchtwanger the number of repetitions is sacred [13]. Such an understanding of the coherence of the text makes it possible to expand the inventory of this linguistic phenomenon and also include in it the structure of the text defined as “the constituent parts of the text, interconnected into a single whole, which in this case is the literary work. These parts are: 1) words and phrases; 2) sentences; 3) phrases; 4) superphrasal segments united by one and the same theme [16]. What, then, is coherence in the comprehension of natural scientists? In physics, coherence is understood as the correlation (consistency) of several oscillatory or wave processes in time, which manifests itself when they are added, which means the synchronism of oscillations at various spatial points of the wave. Oscillations are coherent if the difference between their phases is constant in time, and when the oscillations are added, an oscillation of the same frequency is obtained. The absence of coherence takes place if the wave was generated not by a single emitter, but by a set of identical, but independent (not correlated) emitters. Transforming these definitions into the field of linguistics, text coherence can be interpreted as a synchronous interaction of the entire set of connecting elements and structural links within the text that contribute to the fulfillment of the communicative task. In other words, the synchronism by the actualization of a number of elements in a certain segment of the text or in the whole text is a sign of its coherence. The absence of coherence indicates cases of correlation of thematically similar superphrasal formations created by one or different authors, for example, about the eponymous
164
V. Medvedev
Sorbian folk hero Krabat is written both in the novel by Otfried Preussler [19] as well in the roman by J. Brezan. [3]. 2.1.2 Coupling The coherence of the text should be opposed to the lexico-grammatical relations that arise between the individual segments of the superphrasal formation, which can exist outside the text or be withdrawn from it. To characterize such cases, it is appropriate to use the term “coupling”. Coupling and cohesion are one of the main characteristics of the quality of the designed system (in particular, a software system). The term is borrowed from the field of programming and serves to denote the degree of relative independence of modules in software while establishing a minimum “cohesion” of modules within a system to minimize information flows between subsystems. As an example, we can cite logically connected fragments of the text without a clearly defined lexico-grammatical connection between them, as we observe in N. Chukovsky’s translation [20] of the short story by E. Seton [21]. The inclusion of a text segment is highlighted in bold in the original text; its absence in the translation by the word “GAP”. Cf. Table 1 below: Table 1. Coupling between text segments E.Th. Seton
N. Chukovskiy
The home had become a place of danger. At once she set about preparing a new den, and at dawn began to move her family Among the country folk, when it is decided to save only one of a litter of kittens, there is a simple, natural way of selecting the best. The litter is left in the open field. The mother soon finds her young, and begins carrying them back to the barn; and it is believed that the first that she brings is always the best. There is at least one good reason for this: the liveliest will get on top of the pile and force itself first on mother’s notice, and so be first brought back Thus it was now. The mother Fox was met in the tunnel by the liveliest cub, the eldest and strongest, him of the domino face, and she carried him first to the safety of the new home [21]
Ho licica-mat ye vctpevoilac: ee dom byl tepep v opacnocti. Totqac e naqala ona pyt novy nopy i na paccvete – pepenocit cvoe cemectvo U depevenckix itele, ecli oni xott otobpat lyqxego iz novopodennyx kott, cywectvyet ppocto i ectectvenny cpocob otbopa: oni vynoct kott v otkpytoe pole. Koxka ckopo naxodit cvoix dete i naqinaet pepetackivat ix obpatno. Tot kotenok, kotopogo ona vozmet pepvym, i cqitaetc camym lyqxim. to vepna ppimeta: camy xyctpy kotenok vcegda vybepetc iz kyqi navepx, pepvy obpatit na ceb vnimanie matepi, a potomy ona i necet ego domo ppede vcex GAP B ctapo nope pepvym vctpetil licicy tot licenok, kotopy byl camym bokim i camym cilnym, – Domino, i ego pepvogo pepenecla ona v novoe, bezopacnoe ybeiwe [20]
Cohesion and Coherence of a Text as a Translation Problem
165
This text fragment describes the fear that gripped the fox on the eve of the approaching catastrophe and the need to change the home, followed by the establishment of the rescue order for the cubs. The discussion about the mores of the villagers in dealing with cats seems, at first sight, not entirely appropriate and even alien, since the story is not about the life of pets, but of forest dwellers – foxes. But upon a closer analysis of the text, the insert about cats turns out to be necessary and is accompanied by careful observance of syntactic cohesion. As regards the translation, it is easy to see that the translator has dared omitting the connecting sentence between the two passages, which is present in the original and highlighted in bold. Such careless handling of the text makes it difficult to perceive the target text and requires some kind of connecting bridge between parts of the text. We could fill the semantic gap between two similar behavioral features of different animal species with the connecting sentence “That is what happened to the foxes” omitted by N. Chukovskiy [14]. This kind of intermittent connection between text segments, initiated by the translator, could be attributed to coupling. 2.1.3 Connectedness With regard to translation practice, we are talking about the texts of one author, one of which is made with the participation of an interpreter. Undoubtedly, completely different relations from those indicated above develop between the original text and its transform. Their uniqueness consists, at least taking into account a conscientious translation, in the thematic, structural and multi-level identity of linguistic elements, leading to the equivalence of texts. The relationship between the original and the translation affects involuntarily the concept of intertextuality, which we understand somewhat more broadly than the generally accepted cases of precedence.1 There is every reason for this: the product of interlingual translation is based on a close connection between source and target texts, which is the more obvious, the more equivalence the translation demonstrates. The end product of interpretive activity is not completely independent, but is in close connection with the original text, which is confirmed by their common authorship. The translator should be interested in observing the connectedness between source and target texts: preserving the imagery and structure of the source text in the target text. In other words, the translator’s ability to maintain in the translation process the elements of integrity and coherence of the source text and convey the intention of its creator to the reader. And if cohesion, coherence and coupling are the characteristics of one whole text, a special term should be assigned to designate the intertextual connection, to wit: “connectedness”. The connectedness, characterized in a general sense as “the state of being connected and having a close relationship with other things or people” [5] according to translation practices is understood by us as “the state of being connected and having a close relationship of source and target texts. We will consider the theoretical points on the example of the analysis of Walt Whitman’s poem “On Beach alone at night” [26] and its translation into Russian. 1 Intertextuality is “a common property of texts, expressed in the presence of links between them,
as a result of which texts (or parts of them) can explicitly or implicitly refer to each other in many different ways” [22: 9].
166
V. Medvedev
3 Text Analysis and Translation 3.1 Summary of the Poem Walt Whitman’s poem “On the Beach at Night Alone” [26], dedicated to the problem of the connection of everything that exists in nature, also attracts attention because it indirectly points to a parallel with the theme of this study, concerning the connection of linguistic elements in a single text, reflecting the connectedness of the objects of the surrounding reality. At the beginning of the poem the author watches from the seashore the starry sky, which inspires him to think about the broader universe, and how connected all spheres, places, forms, and structures are. All life, civilizations, languages, and peoples are part of the same similitude as well. This is a unifying message, one that should be treated as uplifting and inspiring. The poet doesn’t openly declare his connection with the universe, but the pronoun “all”, which has a generalizing meaning, indicates the author’s involvement in what is in the world. 3.2 Structure and Form “On the Beach at Night Alone” [ibid.] by Walt Whitman is a two-stanza, fourteen-line poem. The first stanza has three lines, and the second has eleven. They are very long and don’t use a specific rhyming or metrical scheme that matches the form of free verse. Stanza One On the beach at night alone, As the old mother sways her to and fro singing her husky song, As I watch the bright stars shining, I think a thought of the clef of the universes and of the future [ibid]. In the first lines of “On the Beach at Night Alone” [ibid.] the poet watches “the shining of bright stars” and thinks of “the key of universes and the future” in terms of a piece of music. This is a broad topic, which we will briefly touch upon. The first stanza differs from the next stanza in its seeming independence, due to the absence of an obvious theme-rhematic connection between the stanzas, demonstrating that the next stanza is a disclosure of the author’s thoughts about the essence of the structure of the universe. Such a logical connection of text segments can be defined at first glance as “coupling”. However, the independence of stanzas is only apparent when analyzing the content of key lexical units in each stanza. One of the significant words in the first stanza is “clef”, and the meaning of the statement is to search for the key to the universes and the future. In addition to the logical connection between stanzas, the semantic connection may also present interest. It is the semantic relationships between text segments that are decisive in building coherence in its structure. So in the second stanza the keyword “interlock” follows with the component lock, suitable in meaning to the keyword of the first stanza “clef”. Further, a connecting word is the lexeme “future”, standing at the end of the first stanza and used at the end of the final stanza. E.g.: clef of …the universes and of the future.//…All lives and deaths, all of the past, present, future [ibid].
Cohesion and Coherence of a Text as a Translation Problem
167
The next keyword is ‘universe’, the content of which is revealed in the second stanza by listing all the things that are included in it. After the formation of an intratextual connection other elements of cohesion that ensure the integrity of the entire work, should be considered. Stanza Two Lines 1–5. A vast similitude interlocks all, All spheres, grown, ungrown, small, large, suns, moons, planets, All distances of place however wide, All distances of time, all inanimate forms, All souls, all living bodies though they be ever so different, or in different worlds…[ibid]. In the next five lines, the speaker notes how there is a “similitude” that “interlocks” or connects “all.” There is a state of similarity that connects all things that have ever existed and will ever exist, living and dead. The next eight lines use pronoun “all” at the beginning. This is a way of emphasizing how all-encompassing the interlocking and “similitude” really is. All the spheres of the universe are connected, as are all the “places however wide” or small. The distance, shape, form, or location don’t matter. Each thing is locked together. He also notes that “all inanimate forms” are also connected. Just because something is not human or not traditionally alive doesn’t mean it isn’t connected to the broader universe. All souls, the author goes on to say, “all living bodies” even when they’re “ever so different” or are in “different worlds” are also “interlock[ed].” This wonderful statement reminds that there are very few things that separate one person from another and many more that connect humanity and all other living things. Lines 6–11. All gaseous, watery, vegetable, mineral processes, the fishes, the brutes, All nations, colors, barbarisms, civilizations, languages, All identities that have existed or may exist on this globe, or any globe, All lives and deaths, all of the past, present, future, This vast similitude spans them, and always has spann’d, And shall forever span them and compactly hold and enclose them. In the next lines, the author adds in “gaseous, watery, vegetable, mineral processes, the fishes, the brutes,”[ibid] noting that they are connected. Rather than speaking broadly about the universe and spheres, he now brings the language to earth and specifically mentions “civilizations” and “languages.” Everyone who has ever lived or will ever live is connected. The poem concludes with the author using the word “similitude” again. Noting that it has always “span[ned]” existence and always will. It will “compactly hold and enclose them” [ibid]. This is his way of stating that no matter how our personal lives change, how people relate to one another, or the broader state the world is in, we are always going to be connected to one another.
168
V. Medvedev
The following elements of cohesion also contribute to the creation of the integrity of the poetic work’s structure. These include various types of repetition: Alliteration: the repetition of the same consonant at the beginning of words (“think” and “thought” in line three of the first stanza and “bodies” and “be” in line five of the second stanza). Anaphora: occurs when the same word or phrase is used at the beginning of multiple lines. In this case, eight of the eleven lines in the second stanza start with pronoun “all.” Cf.: All distances of place however wide, All distances of time, all inanimate forms, All souls, all living bodies though they be ever so different, or in different worlds; identities … hat have existed or may exist on this globe, or any globe [ibid]. Repetition of a phrase using synonyms (interlock, span) with a break at the beginning and at the end of the poem: A vast similitude interlocks all ---------------------------------This vast similitude spans them [ibid.]. Walt Whitman repeatedly refers to the antithesis – the opposition between the living and the dead, large and small creatures, the moon and the sun (All lives and deaths; past, present, future; grown, ungrown; small, large; suns, moons), which emphasizes the unity and connection of all things, manifested in both similarity and difference. The interaction of all types of cohesion in the text ultimately ensures its coherence, creating the precondition for achieving equivalence in its translation. 3.3 Translation Quest It could be clearly stated that the translator’s desire to preserve in the target language the coherence inherent in the original text can to a large extent contribute to the achievement of equivalence of the final result of the interpretation process. At the same time, the target text, presenting itself as a relatively independent product, should be associated with the source text. This approach is based on the desire to accurately convey the structural and stylistic features, as well as the content of the source text, which consists in searching for an equivalent element for the translated text based on maintaining the coherence of both texts, ensuring by the recipient a complete understanding of the translated material. To confirm the above, let us turn as an example, to the analysis of the translation of Walt Whitman’s poem “On the Beach at Night Alone”.
Cohesion and Coherence of a Text as a Translation Problem
169
We know three translations of this poetic work, made by V. Bryusov, A. Sergeev and Y. Khavkin. The presented interpretations of this poem were not difficult in most cases for translators to preserve all the subtleties of both formal and intertextual connection content in great degree due to the fact that the poem was written in free verse. However, there are a few points in the translated texts that deserve more careful consideration, which we will now focus on.2 With respect to the structure the translations of A. Sergeev and Y. Khavkin maintain inter-line and line-to-line correspondence quantitatively. V. Bryusov’s translation violates coherence as it has 24 lines instead of 14 of the original text, however the content of the translated lines remains unchanged, which cannot be said about Y. Khavkin’s translation. First of all, one should pay attention to the fact that Y. Khavkin’s translation is distinguished by its own interpretation of the inner state of the narrator, different from the original and two other translations, which was also reflected in the translation of the title of the poem – «Odinok v noqi na mopckom bepegy» (“I am lonely at night on the seashore”). In the translation of Y. Khavkin the title of the poem should evoke compassion for the narrator, while in the original it encourages reflection on the place of a person in the universe. Focusing on the narrator’s sense of loneliness, Y. Khavkin marked a logical gap between the first and second stanzas, since the hero’s inner state finds neither confirmation nor continuation in the content of the poem. Thus, in the version proposed by Y. Khavkin, the interstrophic connection is broken and, due to the free treatment of the source text, the connectedness between the source and target texts is lost. Somewhat debatable is the translation of the first lines of the image of an old mother lulling or swaying a certain object: in the version of V. Bryusov, an unknown “child”, and by A. Sergeev, the earth, with the image of the mother replaced by the water element. It can be assumed that the choice of the aforementioned translation models was influenced by the translators’ literal understanding of the lexeme “her” as a personal pronoun that replaces an object with an action directed at it, which allowed V. Bryusov to transform this lexical unit into possessive pronoun with the addition of an object, and A. Sergeev choose an appropriate substitute for it. Cf. Table 2. Below: From the standpoint of intra-textual relations in the analyzed translations, due to incorrect interpretation of the content of a language unit, there was a reassessment of the coherence of linguistic elements, which led to a weakening of the coherence of the source and translated texts due to the imposition of a connection with a redundant object and even substitution of the subject.
2 Gender-oriented readers should be immediately warned that, due to the grammatical features of
the English language, all three poets V. Bryusov, A. Sergeev and Y. Khavkin identified in their translations the writer and the protagonist of the work, arranging the narration in the masculine gender. Our doubts in this case are easy to understand: the demonstration in Russia in 2017 of the South Korean film “At Night on the Beach Alone” with a girl as a leading actor, has influenced the choice in the Russian translation of the film’s title the female numeral “one”(«Hoq y mop odna»). Therefore, the option of a female character should not be excluded, if only due to the fact that in another poem by Walt Whitman with a similar title, ‘On the Beach at Night’, the main character is a girl.
170
V. Medvedev
Table 2. Translation options for the stanza one of W. Whitman’s poem “On the Beach at Night Alone” W. Whitman
Literal translation
V. Brysov
A. Sergeev
Y. Khavkin
On the beach at night alone, // As the old mother sways her to and fro singing her husky song,// As I watch the bright stars shining,// I think a thought of the clef of// the universes and of the future 26]
Ha ple noq odin, // Poka ctapa mat kaqaet ee vzad i vpeped, napeva cvo xpiply pecn,// Kogda cmotp na cinie pkix zvezd,// dyma o klqe// vcelennyx i o bydywem
At night, alone on the coast, // While the old mother// Singing a raucous song-//Lulls her child//I look at the brilliant clear stars. // And I think a thought – // where is the key of//the universes and the future Hoq odin na ppibpee,// Me tem kak ctapa mat// Pacpeva xpiply pecn, —// Bakaet qado cvoe// cmotp na blectwie cnye zvezdy. // I dyma dymy,—gde klq// Bcelennyx i bydywego. [27]
Alone by the sea at night.// Water, like an old mother, cradles the earth with a hoarse song,// And I look at the bright stars and think about the secret key of all universes and the future. Hoq y mop odin.// Boda, clovno ctapa mat, c ciplo pecne bakaet zeml,// A vzipa na pkie zvezdy i dyma dymy o tanom klqe vcex vcelennyx i bydywego [28]
I’m lonely in the night on the seashore -//Like an old woman who, swaying rhythmically, hoarsely sings her song,// So I too, with the brilliance of the luminaries, all in thought about the secrets of the worlds and the future.… Odinok v noqi na mopckom bepegy –// Kak ctapyxa, qto, mepno kaqac, xpiplo poet cvo pecn,// Tak i ppi blecke cvetil, vec v pazdymx o tanax mipov i gpdywem.… [29]
Thus, free translations of the segments of the poem, which is the case, and the literal translation presented above did not contribute to establishing the coherence of texts and, as a result, to achieving the desired equivalence of translations. First of all, when working with the presented text, it should be taken into account that in this poetic context the pronoun “her” acts as a reflexive pronoun and in combination
Cohesion and Coherence of a Text as a Translation Problem
171
with a verb, requires an appropriate interpretation. In this regard, Y. Khavkin’s translation, in which the author of the poem imagines himself as an old woman, compares favorably with other Russian translations of the poem. Thus, we come to the conclusion that we are talking in these lines about an action of the subject, aimed at himself. The addition of another subject in the form of “water”, as we see in A. Sergeev’s translation (“Water, like an old mother, lulls the earth with a hoarse song…”), or the object “child” in the translation of V. Bryusov (“the old mother… lulls his child”) are redundant. On the other hand, the question arises, who is the true subject of the activity is because the image of a young, notold mother, lulling a baby, seems contradictory and is perceived as an obvious dissonance in the general context. Following the chain of denotations indicated in the poem (“stars, universes, spheres, suns, moons, planets”), one can reliably build the structure of relations between them and understand the true meaning which the author puts into this image. It is clear that in this planetary context, it is not an elderly woman singing a lullaby in her usual trance, but a more situationally appropriate image. Knowledge of the set phrase “Old Mother Earth”3 , accepted in English, can help in this search, which allowed the author of the poem not to oversaturate the text with excessive clarification of the subject “Earth”, resorting to its elimination. Exactly the same word-combination is also found in Russian(“Matyxka-Zeml mo”) conditioning its presence in the translated text, although it is less occurrence as compared to the original. A correct understanding of the original image in the context of mentioning other celestial bodies made it possible to preserve it in the translated text as well, to avoid translation liberties without violating the author’s intention, and preserving the coherence of the texts. The result of establishing the connection between the first and second stanzas of the poem is decisive for determining the degree of equivalence of translations carried out by poets-translators and possible correction of translations within the framework of connectedness with the original. Since in the vision of J. Khavkin there are no such important attributes of the original text as “lock” and “clef”, which violate the coherence of the text and the author’s worldview contained in them, let’s move on to considering their interlingual transformations performed by V. Bryusov and A. Sergeev. In the case of the word “clef”, supposed to be a tool to unlock the secrets of the universe (“clef of the universes and of the future”) [26], the true meaning of the content of the lexeme “clef” (not “key” with a universal meaning, and not “clue “, suitable for expressing figurative meaning – “furnish the clue to smth”, but the sign used in the musical notation, and therefore semantically associated with the word of the previous line “singing”. Instead, “klq” (“key”) in the translation of A. Sergeev suddenly acquires unreasonably the attribute “mysterious” – (“mysterious key”), which is absent in the original. This element is redundant in the target text, since the author of the original text seems to have an obvious answer to the question he himself asked, of which the reader gets to know in the next stanza. However, due to the stylistic features of the Russian language, the attribute to the verb does not spoil the overall picture of the final text. 3 Kirtley F. Old Mother Earth. Harvard University Press. 2014. 312 pp.; Mather Old Mother
Earth – song by Simon Lynge.
172
V. Medvedev
And yet, more accurately revealing the meaning of the noun “clef” is an adjective that emphasizes the musical component of the object without properly specifying its type, for example, “sounding” – “sounding key”. As a result of these reflections, one could propose the following equivalent translation of the analyzed stanza, presented in Table 3. Table 3. Equivalent translation option for the stanza one of W. Whitman’s poem “On the Beach at Night Alone” W. Whitman
V. Medvedev
V. Medvedev
On the beach at night alone, // As the old mother sways her to and fro singing her husky song,// As I watch the bright stars shining, I think a thought of the clef of // the universes and of the future.// A vast similitude interlocks all…[26]
Ha mopckom bepegy odin v noqi,// Pod xpiplovatoe penie packaqivawec ctapyxki matyxki Zemli,// cmotp na pkoe cinie zvezd i dyma dymy, gde tot zvyqawi klq // k vcelennym i bydywemy…
On the beach at night alone, // As the old mother Earth sways her to and fro singing her husky song,// As I watch the bright stars shining, I think a thought of that sounding key// to the universes and the future
4 Conclusion Thus, following the principle of adherence to cohesion, understood as a manifestation of a connection in identical or functionally similar linguistic elements within a whole text, and coherence as a synchronous (total) interaction of the entire set of connecting elements and structural connections within a text, we determined the preference for the translation performed by the poets and made corresponding changes to it. Remaining unchanged in the original, the features of cohesion and coherence are manifested in all their sharpness in translations, where adherence to the coherence of the source and target texts leads to a rethinking of the results of internal horizontal, vertical, and intertextual connections. Accounting for coherence within the source and target texts, as well as their connectedness (the state of being connected and having a close relationship of source and target texts), contributes to an adequate reading of the source text, determines the choice of an optimally correct element, and, if necessary, initiates the restoration of the missing unit in the translation.. Understanding the necessity to observe intertextual connectedness as the most important condition for the successful implementation of translation practices predetermines also the formulation of definitions for generally accepted types of translation models. Free translation is a translation with a weakened connection between the source and target texts, characterized by the introduction of elements that are thematically and stylistically alien to the original into the translated text.
Cohesion and Coherence of a Text as a Translation Problem
173
Literal translation is characterized by excessive attachment of the target text to the original, accompanied by a violation of the grammatical, semantic, and in some cases logical connection, which aggravates the perception of the translated text. Equivalent translation is a translation in which the connectedness of texts is the result of the successful interaction of all elements of cohesion and coherence.
Appendix 1. ON THE BEACH AT NIGHT ALONE… Walt Whitman On the beach at night alone, As the old mother sways her to and fro singing her husky song, As I watch the bright stars shining, I think a thought of the clef of the universes and of the future. A vast similitude interlocks all, All spheres, grown, ungrown, small, large, suns, moons, planets, All distances of place however wide, All distances of time, all inanimate forms, All souls, all living bodies though they be ever so different, or in different worlds, All gaseous, watery, vegetable, mineral processes, the fishes, the brutes, All nations, colors, barbarisms, civilizations, languages, All identities I hat have existed or may exist on this globe, or any globe, All lives and deaths, all of the past, present, future, This vast similitude spans them, and always has spann’d, And shall forever span them and compactly hold and enclose them. 2. HOQ U MOP ODIH… Pepevod A. Cepgeeva/Translated into Russian by A. Sergeev Hoq y mop odin. Boda, clovno ctapa mat, c ciplo pecne bakaet zeml, A vzipa na pkie zvezdy i dyma dymy o tanom klqe. vcex vcelennyx i bydywego. Beckoneqna obwnoct ob emlet vce,— Bce cfepy, zpelye i nezpelye, malye i bolxie, vce colnca, lyny i planety, Bce paccton v ppoctpanctve, vc ix bezmepnoct, Bce paccton vo vpemeni, vce neodyxevlennoe, Bce dyxi, vce ivye tela camyx paznyx fopm, v camyx paznyx mipax, Bce gazy, vce idkocti, vce pacteni i minepaly, vcex pyb i ckotov, Bce napody, cveta, vidy vapvapctva, civilizacii, zyki, Bce liqnocti, kotopye cywectvovali ili mogli by cywectvovat na to planete ili na vcko dpygo, Bce izni i cmepti, vce v ppoxlom, vce v nactowem i.
174
V. Medvedev
bydywem — Bce obnla beckoneqna ta obwnoct, kak obnimala vcegda. I kak bydet vcegda obnimat, i ob edint, i zaklqat v cebe. 3. HOQ ODIH HA PPIBPE E Pepevod B. Bpcova/Translated into Russian by V. Bryusov Hoq odin na ppibpee, Me tem kak ctapa mat. Pacpeva xpiply pecn, — Bakaet qado cvoe cmotp na blectwie cnye zvezdy. I dyma dymy,—gde klq. Bcelennyx i bydywego. Cmykat vce obxipnye podob, Bce cfepy, qto vzpocli i ne vzpocli, Mipy bolxie, malye cmykat, Bce colnca, lyny i planety, Bce paccton mect, xot b obxipnyx, Bce paccton vpemeni, vce fopmy, B kotopyx dyxa net, Bce dyxi, vce ivywie tela, Xot b oni vcegda pazliqny byli. B mipax pazliqnyx, Bce to, qto ppoicxodit v gazax, vlage, Pactenx, minepalax, medy pyb, Cpedi zvepe, cmykaet vce napody, Bce kpacki, vapvapizmy, zyki, Bce todectva, kakie tolko byli. Il mogyt voznikat na tom xape, Bce izni, cmepti, vce, qto bylo v ppoxlom, Qto v nactowem, v bydywem idet, Obxipnye podobi ckpeplt, Bcegda ckpeplli vce i bydyt veqno. Ckpeplt, cmykat, depat vce plotno, celno. 4. ODIHOK B HOQI HA MOPCKOM BEPEGU ˘ Xavkina/Translated into Russian by J. Khavkin Pepevod I. Odinok v noqi na mopckom bepegy – Kak ctapyxa, qto, mepno kaqac, xpiplo poet cvo pecn, Tak i ppi blecke cvetil, vec v pazdymx o tanax mipov i gpdywem. Cpleteno vc kakim-to beckpanim podobem, Bce cloivxiec, kpypnye, malye, lix pactywie cfepy, colnca i lyny, planety,
Cohesion and Coherence of a Text as a Translation Problem
175
Bce paccton, pycka dae oqen bolxie, Bce vpemenn´ye otpezki i neodyxevlennye vidy, Bce dyxi i vce opganizmy ivye, dae paznye ili e v paznyx ppoctpanctvax, Bce gazoobpaznye, vodnye, pactitelnye, minepalnye fopmy, pyby, zvep , Bce napody i pacy, kyltypnye il dikapi, zyki, Bce obliq – i ppenie, i lix vozmonye zdec na Zemle ili ppoqix planetax, Bce, v konce koncov, izni i cmepti – kogda-to davno, il ceqac, ili poze, I podobe bezbpenoe to ix ob emlet tepep neppectanno, kak panxe, I ppodolit vcegda obnimat ix, tecno cima i ne otpycka.
References 1. Barkhudarov, L.: Language and translation: Issues of general and particular theory of translation, 2nd edn. LKI, Moscow (2008) 2. Bezuglaya, L., Silina, L.: Coherence of the poetic text (based on the material of the site “Stikhoslov”). Homepage, py https://stihi.ru › 29 Jul 2011 3. Brˇezan, J.: Krabat oder Die Verwandlung der Welt, 3rd edn. Neues Leben, Berlin (1980) 4. Brinker, K.: Linguistische Textanalyse: Eine Einführung in Grundbegriffe und Methoden (7th edn.) Erich Schmidt Vlg. Berlin (2010) 5. Cambridge Dictionary. https://dictionary.cambridge.org 6. Encyclopedic Dictionary of Structural-Parametric Synthesis and Related Industries. Homepage, http://www.structuralist.narod.ru › dictionary 7. Galperin, I.: Text as an Abject of Linguistic Research. Nauka, Moscow (1981) 8. Gervoni, J.: L’énonciation, PUF (1987) 9. Gosselin, L.: Sémantique de la temporalité en français, pp. 110–113. Duculot, Bruxelles (1996) 10. Halliday, M.A.K., Hasan, R.: Cohesion in English. Longman, London (1976) 11. Kirtley, F.: Old Mother Earth, 312 pp. Harvard University Press (2014) 12. Kobrin, M.: Coherent Characteristics of the Dialogic Text: (based on the material of the modern German language): Abstract of the diss. cand. philol. Sciences. Pyatigorsk (1986) 13. Medvedev, V.: Harmony of repetitions in the work by L. Feuchtwanger “Jew Süβ”. Bulletin of ChuvGU. No. 4, pp. 256–260. Publishing House ChuvGU, Cheboksary (2012) 14. Medvedev, V., Solnyshkina, M.: Technologies of Assessing and Enhancing Cohesion of Instructional and Narrative Texts./ Science and Global Challenges of the 21st Century// – Science and Technology Proceedings of the International Perm Forum “Science and Global Challenges of the 21st Century”, pp. 693–712. Springer (2021) 15. Menzel, K., Lapshinova-Koltunski, E., Kunz, K.: Cohesion and coherence in multilingual contexts. In: New perspectives on cohesion and coherence, pp. 1–11. Language Science Press, Berlin (2017) 16. Milchin, A.: Publishing Dictionary-Reference Book. Jurist, Moscow (1998) 17. Morokhovsky, A., Vorobieva, O., Likhosherst, N., Timoshenko, Z.: Stylistics of the English Language. Vishcha schola, Kyiv (1984) 18. Moskalskaya, O.: Text Grammar. Vysshaya shkola, Moscow (1981) 19. Preußler, O.: Krabat. Reclam, Philipp, jun. GmbH, Vlg (2019)
176
V. Medvedev
20. Seton, E.: Stories about animals. Translated into Russian by N.K. Chukovskiy. Detgiz, Moscow (1955) 21. Seton, E.: The Biography Of A Silver-Fox Or Domino Reynard Of Goldur Town, with over 100 Drawings. Constable, London (1909) 22. Stepanov, Y.: Intertext and some modern extensions of linguistics. Linguistics: a look into the future. FGUIPP “Yantarny skaz”, Kaliningrad (2002) 23. Turaeva, Z.: Linguistics of the Text (Text: Structure and Semantics). Education, Moscow (1986) 24. Valgina, N.: Teoriya Texta. Logos, Moscow (2003) 25. Whitman, W.: On the Beach at Night. Homepage. https://www.americanpoems 26. Whitman, W.: On the Beach at Night Alone. Penguin Books (2015) 27. Whitman, W.: On the Beach at Night Alone. Translated into Russian by V. Bryusov. American Verse in Russian Translation XIX-XX c. ed. Jimbinov, S. Raduga, p.148. Moscow (1983) 28. Whitman, W.: On the Beach at Night Alone. Translated into Russian by A. Sergeev. / Song of Hiawatha. Poems. Series: Library of World Literature. Series 2. Literature of the 19th century. M.: Khudozhestvennaya literature, p. 331 (1976) 29. Whitman, W.: On the Beach at Night Alone. Translated into Russian by Y. Khavkin. Homepage, https://urldefense.com/v3/__https://lyricstranslate.com__;!!NLFGqXoFfo8MMQ! slqMtmQYfiufts4CJQg33BAv4o5L4Eewlk-avD5V93bSR2OGTbAWp6UtUG4io6y8czyk ztQJ-3XshwE6_gt8_cR6gceb$ › beach-night-alone-odinok-y. 2021/08/18
Cognitive and Pragmatic Aspects of Grammatical Lacunarity Oksana Akay(B)
and Nella Trofimova
Saint Petersburg State University, Saint Petersburg, Russian Federation [email protected]
Abstract. Language has long been considered a well-organized system, in which a special part is represented by the cognitive perceptive functions of a human. Why do the representatives of different nations and cultures comprehend various notions differently? On the lexical level, this phenomenon can be explained by the absence of some notions in different languages, but the same cannot be said about the grammatical level of the language – the most stable and fixed linguistic layer. The presence or absence of a grammatical category in the language system is a sign of deep mental discrepancies of the spokespersons of this or that linguacultural region, in their different universe perceptions. The authors of the article attempt to consider the phenomenon of grammatical lacunarity from the cognitive point of view, that is to compare lacunarity with related categories, consider grammatical coding reasonability and investigate grammatical lacunas as markers of cultural and linguistic identity. Keywords: lacunarity · pragmatic meaning · implicitness · equivalence · grammatical categories · covert categories · cognitive mechanisms · interpretation
1 Introduction General classification of lacunas is considered to be developed in modern linguistics from the point of view of comparing different languages. However, there is still no sufficient explanatory structure concerning theory of lacunarity – the researchers limit the substantiation to well-known ideas of mentality and mind characteristics of various nations. There is no doubt, that in some cases this direction is reasonable – extra-linguistic factors have a great impact on any language structure – e.g., the term ‘lawyer’ has a number of synonyms with a gradation of legal activity (barrister, solicitor, counsel, counsellor). There is a special nomination of an elder brother in Turkish – abi; and an elder sister – abla (the meaning of both terms covers not only relatives, but spreads on a large group of people; cognitive perception includes respect component as well due to mental specifics), in Russian these nominations turn to be a lacuna. Nevertheless, to explain the origin and principles of grammatical lacunarity phenomenon from lexis position would be wrong as grammar is more stable than lexis and is related to social life only indirectly. © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 E. Isaeva and Á. Rocha (Eds.): Perm Forum 2022, LNNS 622, pp. 177–187, 2023. https://doi.org/10.1007/978-3-031-28086-3_14
178
O. Akay and N. Trofimova
2 Materials and Methods Cognitive Aspects of Lacunarity Lacunarity vs implicitness, latent category, non-equivalence, null signs The designations “lacuna” and “lacunarity” like most linguistic terms are far from being unambiguous and correlate (or simply blend) with such entities as implicitness, covert categories, non-equivalence, and null signs. Although various proposals related to the regulation of terminology in this sphere have been made, at present the prevalence of multiple meanings by the type of metonymy can be ascertained: a lacuna is both the phenomenon itself (=lacunarity) and a unit that represents a virtual essence. The development of cognitivism from the end of the 20th to – the beginning of the 21st century has caused the close interest of linguists to implicit the language expressiveness. Though the meanings have not been included to the expression directly, they still existed in the speaker’s mind, so were presented in an unconsciousness way. That proves the idea that the speaker’s mind is much wider than the real language reserves. And outside of language “there remains the untold, the unexpressed, the unspoken” [1]. Implicitness is considered in modern cognitive linguistics as a natural phenomenon having essential characteristics of narrowing language content in comparison to possibility of expression, because the resources of the richest language are finite and limited, while experience is infinite. With this understanding, the implicit is by no means reduced to the formal incompleteness of a sentence, and formal gaps (omissions) should not be confused with the hidden meanings of an utterance. That is, implicit is rightly interpreted as covert, implied, non-expressed rather than reduced, diminished, incomplete. The term “implicitness” is widespread and is used to define entities of different levels. Thus, for example, it may refer to implicative substantive word-formation suffixes in the Russian morphemic system, which compete with each other and with explicative suffixes. Alternatively, we see it as a typical example – the generalized meaning of the term “lacuna” (in the meaning of “textual omissions, textual implicitness”) is as follows: lacunas that arise as a result of intentional omissions, abbreviations of known, template descriptions, facts are easily restored by the reader. Implicitness can be compared to the term ‘subtext’ referred to a textual category in modern cognitive linguistics, but the category of implicit content is much broader as it is a proficient semiotic feature of a language system. So, the idea that the term ‘lacuna’ is a hyponym to the term ‘implicitness’ has a proof in this respect. The term ‘lacuna’ has correlation not only with implicitness, but without lack of equivalence or ‘blank space’, so, it is a ‘covert’ category [2]. The term “covert” category was proposed by B. Whorf [2], but the idea of covert grammar and covert grammatical categories has been present in linguistics since the formation of general linguistics in the works of W. Humboldt. It was developed in the works of A. A. Potebnya, A. A. Shakhmatov, L. V. Scherba, and A. M. Peshkovsky. S. D. Katznelson, N. D. Arutyunova, A. V. Bondarko and many others wrote about latent grammar and latent grammar classes. All these authors were referring to implicit categorical features that have no independent expression. Fundamentally important for the study of latent categorical expression in language becomes the position of grammatical theory that grammar can be expressed
Cognitive and Pragmatic Aspects of Grammatical Lacunarity
179
syntactically, i.e., represented by a set of syntactic constructions. The latent categories are most often interpreted as classes of words and semantic oppositions based on them, those not having direct morphological indicators are revealed in the set of grammatical properties peculiar to units of such classes. Semantics of the feminine gender is implicitly presented in the names of occupations of persons possessing formally masculine indicators (the word teacher in the name of a woman), whereas the semantics of quantitative plurality is present in the universal generic use of the singular form of the name (fish in the river, fish breathing with its gills). At the syntactic level, the “hidden” category is represented by certain combinatorial principles. Hence, neuter semantics (class meaning) is only implemented in utterances with an irrelevant preposition, with no quantitative words or inflectional words, and in article languages – in the absence of an article. In modern science, it has become a valid view that an exhaustive grammar of a language must include a description of the latent categories. Grammar was once compared to an iceberg, most of which is hidden under water [3]. Such an idea correlates with the concept of A.V. Bondarko, according to which there are three kinds of grammar: the first one is complete, universal, deep, conceptual grammar; second – explicit, categorical, formalized grammar and, third – hidden, latent, collocative, contextual grammar [4]. Categorical grammar possesses ultimate systematicity, while contextual grammar depends to the maximum extent on the environment. The environment in this concept is understood as a totality (set) of linguistic and non-linguistic factors, playing the role of environment concerning the original system. In interaction with this system, the environment performs its function. It is believed that non-verbal media comprises everything in the environment of a verbal text as a speech work belongs to the sphere of discourse (including such components as social factors, background knowledge, etc.). That is, communicative (otherwise – collocative, contextual) grammar in this concept is focused on the covert (not expressed in the traditional way) categories as well. In this case, the identification and description of the covert grammatical categories are recognized as a necessary condition for a complete grammatical language representation. The existence of null morphemes was first stated in the grammar of Panini (5th century B.C.). Panini famously proved that a word belonged to a certain part of speech based on its morphological composition. Regarding the language as an organized set, he noticed that the chain of morphemes may be incomplete, and introduced the concept of “zero morphemes”. This phenomenon was introduced into the works of European grammarians only in the 19th century. I. A. Baudouin de Courtenay pioneered the notion of the null morpheme in Russian linguistics: “over and above the morphemes consisting of a certain utterance-verbal value, we are bound to accept null morphemes, that is, devoid of any enunciation-verbal composition and nevertheless associated with the well-known semasiological and morphological representations” [5]. G. Guillaume wrote about null signs as a system manifestation: “…the system exists for those who understand it. For the one who does not understand it and notices in a language only the visible components that come under direct observation, the system does not exist” [6]. This point of view was expressed even more vividly by A.A. Reformatskij, who said that zeros in any semiotic system are necessary – they are a direct consequence of signification, that the whole
180
O. Akay and N. Trofimova
dichotomy is built on the relation to zero; zero “acts as a necessary inventory of system relations” [7]. Linguistics has consolidated the understanding of the null sign as devoid of a material mode of expression, singled out paradigmatically, that is, being in opposition to another sign or signs having a material form. The null sign performs a distinctive semantic function in this opposition. Thus, along with the morphologically expressed definite and indefinite types of the article, the null sign or the null article is often classified as a member of this opposition. There is a specificity of generalisation through the null article type, which contributes to the concept of perception as a symbol. The null article (absence of the article) leaves the concept whole/integrated. The indefinite or definite article divides the concept into the general (known, nonvariant – known or to be known) and the special (unknown or known). The article, following the dual nature of the word, places accents in one way or another, correlating with the figurative meaning of the word. The special significance of the null co-presenter, the null sign in the triad – definite article/indefinite/null – is obvious. Naturally, the null sign will have its meaning only in the case of equipollent grammatical opposition. The term “lacuna”, as well as the general use of the concept of “zero”, and “absence” in linguistics, is sometimes questioned and even denied. An illustrative example: the verb to do lacks the Future Continuous Passive form, but we know what it looks like: *will be being done. It turns out that nothingness, that which is not there, has a certain appearance. The most important law of formal logic, the law of the excluded third, according to which an object (in this case a grammatical form) either exists or does not exist and there cannot be a second possibility, is clearly irrelevant in this case. Lack of consistency can be explained not from the position of formal logic, but from the position of dialectical logic of Plato and Hegel, from the position of the law of conjoined opposites, which states that a thing under certain conditions exists in one aspect of being and does not exist in the other. From this point of view the case with zero marks is different. There is a time-honoured tradition in scholarship in various areas of linguistics of the study of significant absence in the paradigmatic system at different levels of language, such as “null”, latent grammatical morphemes and their relationship to “manifest” expressive morphemes. The absence of equivalents for individual units that have not received a clear terminological designation of “lacuna” is revealed even in cross-lingual comparisons within such a correlation. The existence of absolute, or “marginal”, cross cultural lacunas has been widely admitted. Searching for identities and differences in comparative cross-linguistic and cross-cultural studies, however, requires an approach that can be broadened to all fragments of verbal and non-verbal experience that need to be adapted upon their transfer from one linguistic and cultural community to another. Thus, a lacuna can be defined broadly – as something incomprehensible, strange, erroneous, something that can be evaluated on the scales of “incomprehensible/understandable”, “unusual/usual”, “unknown/known”, “erroneous/true”. Thus, we consider both terms “lacuna” and “lacunarity” to be rationally used and established in modern concept of linguistic terminology. We have also proven that the term “lacunarity” is a hyponym for the hyponym “implicitness” and, in turn, a hyperonym for the hyponym “non-equivalence”. The term ‘lacuna’ is often
Cognitive and Pragmatic Aspects of Grammatical Lacunarity
181
used as a synonym for ‘latent’ grammatical categories (in cross-lingual comparisons of grammatical systems). Lacuna differs from the null sign (null morpheme) in its essence: the null sign is identical to the sign-in general, while lacuna is the absence of the sign that requires elimination. Thus, the notion of lacuna, which is not always clearly differentiated and “confused”, has substantial scientific potential, and the phenomenon of lacunarity is highly significant for the world languages. Lacunarity investigation can be considered as a cross-cultural study comprising several linguistic aspects – intellectual-logical and cognitive-pragmatic mechanisms of interpretation of the language system elements, and the epistemological incompleteness of the lacuna and lacunarity concepts provides scope for further research.
3 Discussion Grammatical Lacunas as Markers of Cultural and Linguistic Identity One of the most important functions of grammatical (morphological) categories in the language is that they serve as a means of compression, as well as saving linguistic and thinking efforts. Estimation of quantitative meanings is a case in point. The original way of representing the idea of quantity in various types of languages is known to have been simple lexical repetition. Most languages have followed this path, from simple reduplication to inflective expression of the grammatical meaning of number (which, however, have also retained root repetition as a relict means suitable for special purposes). In recent decades, however, many empirical generalisations have emerged which limit the permissible diversity of languages. The idea that languages can differ from one another in an infinite number of parameters has been challenged by some of these theories. The identification of common parameters in phonology occurred in the middle of the twentieth century, when the theory of differential features was developed, while in morphological and syntactic typology the development of such parameters is still in progress [14]. Grammatical lacunas reflect the incongruence of different images of the world; the situation “a stone falls” is different from the point of view of grammar conveyed by the linguistic means. In European languages, the important of this ethnoculture aspects is marked by specific categories – gender, number, tense, in the languages of North American Indians other specific categories, such as psychological closeness to the subject of speech, are grammatically highlighted. When considering one language, text, or culture, lacunas are most noticeable not from within, that is, but when comparing languages. Moreover, typological differences are not always associated with the formation of lacunarity: cf. English – I think and Latin – Cogito. In Latin, the expression by special means of the idea of a person is not obligatory: the personal pronoun ego could be used for special purposes, for example, to emphasize the meaning ‘it is I, and not someone else’. In Russian, the analytic way of representing a person (relatively more recent) coexists with the ancient synthetic way (in constructions with present and past tense verbs). In English, the later analytic way of expressing grammatical meanings prevails, but it is still not the only one. Thus, the
182
O. Akay and N. Trofimova
third person singular forms differ from the null endings of all other present forms by their non-zero endings. Typologically, it is common to distinguish the third person form as special, but the specific morphological way of distinguishing it in English is opposite to the common way. Consider the English translation of Descartes’ dictum Cogito, ergo sum: I think, therefore I am. In recent years extensive corpora of lacunar units, when the meanings cover such fragments of reality, which are not fixed by the units of other languages, have been collected. In grammar, these are, first of all, categorical (particle) lacunas. Parts of speech is a very contradictive system because in different languages the division is performed without concreteness, so cannot be expressed directly. Some concepts of reality are grouped with an aim to reflect some separate phenomena, and establishment of parts of speech is of high importance due to its systematized and organized in a certain way, in other words – accumulated and sorted development. This property of linguistic semantics is conditioned by the cumulative-systematizing function of a language. And the basis for this cumulative-systematizing function implementation is, first of all, large lexical grammatical classes of words – parts of speech. So, language is a device that not only transmits, but processes, changes or draws new projects; in this case a language serves as a computer, that not only keeps and serves as a reservoir for information, but which can create or imitate a language. Accidental nature of grammar composition is based on understanding a language as a result of cognitive activity of a human. Aristotle first invented the classification of the parts of speech based on the tradition of cognitive perception of the surrounding reality; it includes elements of dialectics but is conditioned by formal logic. The division of words into classes was based on identifying their common meanings, by which logically correct syntagms can be constructed. This approach predetermined a unified system of parts of speech for different languages. Later linguists came to proceed in their grammatical descriptions from the data of the language itself and not dictate to it prior categories. Grammatical lacunarity is a historically variable category. For example, the tendency to use the second-person plural personal pronoun when referring to a single person has been emerging in English since the 13th century, which eventually led to the archaisation of the singular pronoun in literary language and a narrowing of its use. The well-educated segments of the population in official speech as well as when addressing people of their and higher social status used the plural form, but in friendly conversation, they used the pronouns thou and thee. It was still rather rarely used in the 14th century with a single person. In the works of Chaucer, the pronouns thou and thee are mostly used, and only in some cases you are used, for example, when addressing a lady, when knights talk to each other when addressing Venus: 1) It needeth not to pine you with the corde (Chaucer G. The Canterbury Tales). 2) Venus, if it be thy will/You in this garden thus to transfigure/Before me (Chaucer G. The Canterbury Tales). Both forms are found in Shakespeare, with the 2nd person singular pronoun thou is used in conversation with relatives and friends, as well as to express anger or contempt. For example, the widow of the Prince of Wales and future wife of Richard III addresses thou in a state of anger:
Cognitive and Pragmatic Aspects of Grammatical Lacunarity
183
3) Out of my sight! Thou dost infect mine eyes. Would they were basilisks to strike thee dead! When the conversation turns into a quiet one, the characters use the 2nd person plural pronouns when referring to each other: 4) Tis more than you deserve (Shakespeare W. Richard III). In the eighteenth century, starting with the Restoration, the situation changed significantly, and an important role was played by the French code of politeness, according to which the plural pronoun was recognized as the only form of address, while thou and thee were considered rude. The lower classes in England used singular pronouns to address each other until the 18th century when the plural became common for all classes. The singular forms were gradually displaced from the paradigm of personal pronouns along with the verbal ending of the 2nd person singular -st. Categorical lacunarity (parts of speech lacunarity) is interlingual lacunarity and is revealed only when the languages are compared. The most obvious differences between the Indo-European languages (in terms of distinguishing the composition of parts of speech) are related to the article category. E. Sapir noted that “Stone falls (the noun is used without an article which is outside the rules of English grammar) sounds quite good for Lenin, just as it sounded quite good for Cicero” [9]. The names of the famous people are here merely indications of the typical speakers of their language. E. Sapir meant that if the semantic category of certainty/indeterminacy has no formal obligatory expression in one or another language, the corresponding semantic differences are ignored by the speakers of these languages. Relative and absolute lacunas are often distinguished in the sphere of grammatical lacunas, just as with lexical lacunas [15]. An example of an absolute grammatical lacuna in English about Russian is the noun category of gender. For Russian, the lacunar categories would be articles, gerunds, etc. The gerund is regarded in English as an independent part of speech or combined with Participle I, but functionally it differs from Participle I quite substantially. In English the use of the gerund makes it possible to avoid cumbersome and grammatically overloaded sentences, succinctly combining the connotation of the process of the action and personification, which makes the statement brief and clear. There is no such part of speech in Russian, where the functions of the action and the object are intertwined. Some languages, such as Bulgarian and Macedonian, possess the grammatical category of evidentiality, which is the attribution of the origin of information. However, it is not the only Slavic languages in which its denotation is lexical, that is, it becomes a lacunar category. Evidentiality denotes an authentic action of the speaker that he or she knows of from others or by circumstantial reference. In other languages, this category actually serves to denote someone else’s speech. A special morphological indicator with the function of transmitting other people’s speech exists in Lezgian and some other languages. Temporal forms of English verbs about the Russian system of tenses constitute a relational lacunarity at the same time for both languages because the category of temporality is actually available.
184
O. Akay and N. Trofimova
With similar categories, the specific connotations which are the components of their grammatical meaning sometimes drastically differ. An example of this is the ‘pragmatic’ declension in the Aus-Tralic language cayardilde. The language system provides for the pragmatic ones, and their primary function is influenced not by semantics or syntax, but by pragmatics. Modern cases, whose indicators are used to express the verb categories of tense, aspect and inclination in the name, also occur in the same language. On the whole, the inventory of cases in the world’s languages is remarkably diverse: from languages with a maximally reduced bipapular system to languages with dozens of cases (and most frequently with a great number of spatial cases, as in the Nakh-Dagestani languages). However, the system is not static: there are processes of the emergence of cases from adverbs, postpositions or prepositions, and of prepositions from adverbs. The number and composition of cases can also vary in different languages – some linguistic systems have lost, rearranged or substituted the cases. But these facts cannot be explained out of the context of inter-lingual lacunarisation ideas. In addition to the case composition, withing one grammatical category the languages can have a different grammatical meaning content comprising the category and in the extent to which different classes of words are covered by this category. It is well known that the English language does not distinguish number forms for second-person personal pronouns (and the you-address that has become massively popular in modern Russian public communication is often considered a consequence of the English language influence). In English, the category of number is found in index pronouns and in other, which form plural forms like nouns – others. The English reflexive pronoun is the only category of forms that has preserved the morphologically pronounced distinction between singular and plural second persons – yourself, yourselves. Reflexive pronouns in analytic English are differentiated in number unlike in inflective Russian. There are well-known facts of the 2nd and 3rd person pronouns’ differentiation, depending on the status of the person who is addressed or spoken about. Thus, in the Gagauz language (Turkic group) there are special pronouns of the 2nd and 3rd persons, singular and plural, used about elders, respected persons and foreigners or when mentioning them; these pronouns derive from the Arabic word with the meaning ‘majesty, power, superiority and are endowed with personal possessive endings. In Chinese, the personal pronouns were even superseded by expressions like ‘little younger brother’, ‘insignificant’, ‘fool’ (instead of I), ‘big older brother’, ‘wise man’, ‘old man’ (instead of you). Similarly, Korean uses the words with the meanings ‘younger brother’, ‘little man’, ‘little student’, ‘servant’, ‘slave’, etc. for the 1st person; for the 2nd person, ‘older brother’, ‘old older brother’, ‘teacher’, etc. In Japanese, only such pronouns are used in the 1st and 2nd person; there are no neutral pronouns. There are languages with an even finer differentiation of indicating persons by age, and social status with the help of the system of personal pronouns.
4 Results Lacunarity as a phenomenon has recently become a target research goal for scholars from different scientific directions not only because the aspect of lacunarity puts some light on adequacy of perception, but also for its capability of a manifestation of artistic cognition in general linguistic system. It is indisputable that lacunas result from the
Cognitive and Pragmatic Aspects of Grammatical Lacunarity
185
incompleteness and/or redundancy of the linguacultural community’s experience. The term lacuna is far from being homogeneous and inconsistent. There are two completely different approaches to understanding and developing this phenomenon. The first approach is focused on lexical level of a linguistic system, ignoring grammatical aspect of it; the second one views lacunarity in a more broaden sense, but considers it to represent omissions or mismatches, ignoring cognitive part of this unique phenomenon. However, that is its cognitive background that allows for wide expression of pragmatic linguistic potential and mechanisms at all linguistic levels. Relativity is an ontological, basic property of any lacunarity, both interlingual and intralingual. Linguistic lacunas, as a significant absence of an element to be filled by any means, are a useful construct of language theory, which contributes to paying particular attention to the specificity of structural organisation of all levels both within one language and in the comparison of different languages. The principal semiotic feature of a language system is implicitness, and in relation to the notion of lacuna, it is a generic name, that is, a hyperonym about a hyponym. The term “lacuna” is often used as a synonymic designation for “hidden” grammatical categories (in interlingual comparisons of grammatical systems). The lacuna differs from the null sign (null morpheme) in essence: the null sign is identical to the sign-in general, while the lacuna is the absence of the sign that should be eliminated. It is not only through use of external grammatical devices that language content is established, but also through the use of externally impersonal categories which, in a certain sense, have the function of grammatical meaning. The relational nature of a lacuna explicates its systemic nature and, therefore, equates it to a substantially embodied object, since language is characterized not only by which the cells in its paradigms are filled, but also by which the cells remain unfilled. The unfilled cells represent the language’s potential and the ways of its development. No wonder modern science has established the fair view that an exhaustive grammar of language must also include a description of the covert categories. There is considerable research potential for the notion of lacuna, and the phenomenon of lacunarity is very relevant for theoretical linguistics. We believe that both interlingual and intralingual lacunarity have scientific significance. These two types are not essentially opposed, since they create a contradictory theory concerning lacuna’s core nature, but the way of its identification – in comparison with the data of one language or more than one. Inter-linguistic lacunas are the most important construct allowing to solve the problems of optimizing intercultural interaction, the problems of correctly supplementing the experience of one linguacultural community with the experience of another and comparing – the mental and axiological attitudes of different linguacultural. The ontologically grounded approach to lacunarity can be applied to all levels of the linguistic system, to the text and linguacultural as a whole. Lacunarity is not limited to the lexical-phraseological level, where it is certainly most vividly expressed (therefore, lexical lacunarity is most fully investigated). Grammatical (morphological) lacunarity is less studied than in other spheres (especially in terms of explicitness).
186
O. Akay and N. Trofimova
5 Conclusions The boundary between vocabulary and grammar as two global components of the language system is in some cases blurred and mobile. In this perspective, grammar should not be seen as a self-contained, independent, arbitrary system, but as a representation of an individual’s cognitive experience of the world around him/her. The grammatical lacuna is viewed from this point of view as a unique cognitive-motivated element of the linguistic system. Understanding the motivation of lacunas helps to understand the specificity of the corresponding fragment of the grammatical system. Taking into account that, for example, the transitivity category scope in a language correlate not only with the grammatical system proper but with the very nature of linguacultural community, it is clear what crucial information (not only for linguistics) the study of grammatical lacunas can provide. As the issue of lacunarity belongs to the sphere of macrolinguistics and has the potential to elucidate the specificity of encoding strategies for extra-linguistic information, to expose the reasons that predetermine both the occupancy and non-occupancy of cells in the system, the research of this phenomenon is essentially relevant for theoretical linguistics. In recent years, extensive corpora of lacunar units, which meanings cover fragments of reality not captured by units of other languages, have been collected. Today it is obvious that lacunarity reflects objectively existing differences in the structure of contact languages. Cognitive mechanisms of understanding and interpreting the text (discourse) correlate with the notions of lacunarity at different levels of the linguistic and linguacultural systems. There is still a broad corpus of lexical units and grammatical structures that draw the attention of linguists in terms of lacunarity concept. Future investigations will be devoted to quantitative lexical and grammar analysis of the lacuna phenomenon issue.
References 1. Arutyunova, N.: Language about language. Yasyki russkoi kultury, Moscow (2000) 2. Whorf, B.: Language, Thought, and Reality. The MIT Press, Massachusetts, Cambridge (1972) 3. Katznelson, S.: Language Typology and Speech Cognition. Nauka, Leningrad (1972) 4. Bondarko, A.: Fundamentals of Functional Grammar. Linguistic Interpretation of the Time Idea. St. Petersburg University Publishing House, St. Petersburg (2001) 5. De Courtenay, B., Niecisław, J.: Selected Works on General Linguistics 1845–1929. USSR Academy of Science Publishing House, Moscow (1963) 6. Guillaume, G.: Principles of Theoretical Linguistics. Translated from French by L. M. Skrelinaia, Progress, Moscow (1992) 7. Reformatskij, A.: On the comparative method. In: Reformatskij, A.A. (ed.) Linguistics and Poetics, pp. 40–52. Nauka, Moscow (1987) 8. Borodai, S.: Modern understanding of the linguistic relativity problem: works on spatial conceptualisation. Voprosy Jazykoznanija (Topics in the Study of Language) 4, 17–49 (2013) 9. Sapir, E.: Culture, Language and Personality. Selected Essays. University of California Press, Los Angeles (1956) 10. Potebnya, A.: The Notes on Russian Grammar. Prosvescheniye, Moscow (1968)
Cognitive and Pragmatic Aspects of Grammatical Lacunarity
187
11. Epstein, M.: On the creative potential of the Russian language. Grammar of transitivity and the transitive society. Znamya 3, 193–208 (2007) 12. Vezhbitskaya, A.: Language. Culture. Cognition. Russian dictionaries, Moscow (1997) 13. Bally, C.: General linguistics and questions of the French language. Foreign Literature Publishing House, Moscow (1955) 14. Alpatov, V.: What and how does linguistics study? Voprosy Jazykoznanija (Topics Study Language) 3, 7–21 (2015) 15. Hale, K.: Gaps in grammar and culture. In: Dale Kinkade, M., Hale, K.L., Werner, O. (eds.) Linguistics and Anthropology, pp. 295–315. The Peter de Ridder Press, NY (1975)
The Linear Metaphor as the Embodied Basis of Moral Philosophical Discourse: Changing Terms in the 17th Century Anastasia Sharapkova1(B)
and Larissa Manerko2
1 Department of English Linguistics, Philological Faculty, Lomonosov Moscow State
University, Moscow, Russia [email protected] 2 Higher School of Translation and Interpreting, Lomonosov Moscow State University, Moscow, Russia
Abstract. The paper examines the cognitive pattern lying beneath the verbal description of morality in philosophical discourse of John Locke and theological and religious texts of the previous centuries. We overview contemporary approaches to morality through the prism of theory of conceptual metaphor and embodied cognition framework. The metaphor of linearity or some straight line being the core source for conceptualizing morality is studied in dynamics in discourse though analyzing the collocations: moral rule, moral rectitude and moral right. Google Books and English Historical Book Collection corpora were used to gage metaphorical conventionality and lexical versatility. Then, the obtained data were compared to their use in Locke’s text “Essay Concerning Human Understanding”. We reveal that, although the core metaphor remained the same, the choices made in the philosophical discourse point at a clear shift from the terms mainly used in religious discourse to the neutral ones to form a terminologically solid narrative devoid of any contradictions, unclear understandings and diverse connotations. Our findings reveal how metaphorical lexicalization changes yet being inherently the same in terms of underlying images thus marking important cultural shifts. Keywords: moral discourse · morality · moral responsibility · John Locke · linear metaphor · embodied cognition · theological discourse · Enlightenment · academic discourse
“Morality, like art, consists in drawing a line somewhere.” G. K. Chesterton
1 Introduction The phenomenon of morality is one of the most complex concepts in philosophy and, at the same time, a phenomenon seemingly easy to pinpoint in discourse through various linguistic markers (Sullivan, 2013). Moreover, moral responsibility of an individual towards another individual or to other larger community entities including a society is © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 E. Isaeva and Á. Rocha (Eds.): Perm Forum 2022, LNNS 622, pp. 188–204, 2023. https://doi.org/10.1007/978-3-031-28086-3_15
The Linear Metaphor as the Embodied Basis
189
both an inherently fundamental and a surprisingly common part of interpersonal relations deeply rooted in human “physically embodied and culturally embedded” experience (Langacker, 2014: 33). This kind of experience applies to specific philosophical communication and to everyday discourse, where we refer to some acknowledged moral norms and blame someone for not following certain moral rules. Moral discourse seems to be so pervading and panhuman that Richard Dawkins, the English evolutionist, was moved to remark: “we have a moral sense which is built into our brain, like our sexual instinct or our fear of heights” (Dawkins, 2006: 214). Not to mention the mysterious moral sense, moral norms and rules of behavior in a certain society are partly a socio-cultural and discursive construct expressed by language, formed within language and spread with the help of it. A. Wierzbicka pointed out that the quest for moral universals turned out to be largely mediated by the English perception of the concept of moral sense thus presumably “built into our brains” (Wierzbicka, 2007: 67). Moral norms or rules provide “patterns of expectations and obligations, the structures for coordinated cooperation within a group” (Voorhees et al., 2018). They most probably arise from fundamental cognitive capacities of humans as social beings as marked by evolutionists: “Cultural rules mandating cooperation between group members could exert ordinary selection pressures for genotypes that obey cultural rules. Social selection mechanisms …would have exerted strong selection against genes tending toward antisocial behavior (Bell, Richerson, McElreath, 2009: 17673). And these norms are shaped by language used to express them to a no lesser extent than changing norms shape the linguistic expression in statu nascendi. The concept of morality is a peculiar cultural phenomenon that can only be described indirectly, through building a complex system of ideas about an individual embedded in a society. Therefore, mental representation of morality is inherently metaphorical. Lakoff (1996) revealed that contemporary American discourse is based on two wide-spread foundational conceptual metaphors: MORALITY AS STRENGTH and MORALITY AS NUTRANCE. Köveces further explained the first one in the following way: “According to this metaphorical system of morality, evil can act on an upright person1 who can either fall (become bad) or remain upright (remain good). < … > Thus, in this view, moral “strength” is based on the notion of physical strength” (Kövecses, 2005: 152). Fully understanding that morality is a complex phenomenon, we have to admit that the concept of physical strength is no less complex as such, inevitably requiring further scrutiny to get to the roots. To understand moral discourse in dynamics, it is crucial to delineate the already complex source domain of physical strength into the constituent parts to potentially get to some basic image schemas. Moreover, it is necessary to study the transition periods, when vocabulary of morality shifted to reflect the processes going on beneath the linguistic level – particularly in mental structures. Meanwhile, the dynamic changes in language are brought to life by and have a lasting impact on much more fundamental processes. Thus, investigating these notions and social attitudes it is necessary to harness an integrated methodology, that is the primary objective this work tries to contribute to. In this paper, we study the linguistic repertoire used to describe the concept of morality, the discourse of which was undergoing significant changes in 16–17 centuries, 1 Italics are the authors’.
190
A. Sharapkova and L. Manerko
preceding and during the period of Enlightenment. More specifically we focus on the set of words describing the abstract notions of correctness and responsibility or the absence of those as well as changes they underwent during the civilization shift. For this purpose, we have chosen the collocations describing proper behaviour including moral rectitude, moral right, moral rule(s) in more than 17 books in English between 1473 and 1820 from Google books, English Historical Book Collection (EHBC), extracted through Sketch Engine and John Locke’s (1632–1704) “Essay Concerning Human Understanding” (1689) also processed through a corpus manager Sketch Engine as primary sources of our research. Locke’s works are remarkable for they offer both – new ways of understanding the phenomenon of morality and moral responsibility and linguistic ways of representing it in philosophical discourse. It seems important to demonstrate to what extent he relied on the texts and discursive traditions of previous centuries, and to pinpoint where Locke acts as an innovator creating his own terms, or problematizing the words already used in philosophical/religious/ethical texts earlier. J. Locke’s works were chosen due to his remarkable impact on both his contemporaries and the subsequent reception of the Enlightenment as a whole2 . It is Locke who is rightfully considered the founder of the Age of Reason and a thinker equal in influence on science to Isaac Newton, who marked a new era in physics: “he lived to influence the intellectual climate of Europe as no other Englishman of his era save the Cantabrigian Isaac Newton” (HargreavesMawdsley, 1973: 23). Moreover, Locke saw himself as providing the conceptual ground for knowledge (even taking into account natural sciences) advancement: “his task was to clear the ground, and to remove, among other rubbish, vagueness in the use of words, so that knowledge could be more easily and further advanced by the master-builders” (Yoh, 1975: 169). So, the linguistic changes occurred in this period could have an impact on future development of moral discourse in English. In our paper we rely on the key provisions of corpus and cognitive linguistics, as well as traditional philological methods including definitional, semantic, etymological, and contextual analyses.
2 Embodied Cognition Through a Tradition of Representing Moral Vocabulary in Moral Discourse It is most natural that concepts for simple actions of physical movement are embodied. It is less obvious however that the “so-called abstract concepts are embodied as well” (Lakoff, 2012: 774). Moreover, this close connection between embodiedness and embeddedness in each case reveals a peculiar dynamic equilibrium of cognitive mechanisms and bases to be unpacked through cognitive linguistic analysis. The dynamic character of communication involves using the units undergoing semantic changes, in 2 Locke’s political claims are well known to underly the United States Constitution and “The
Declaration of Independence”. His ideas have largely contributed to secularization of American intellectual life, because Locke’s theory was “thus fundamentally incompatible with the Platonic doctrine of American Puritans” (Murphey & Flower, 1977: 68), yet a detailed discussion of mechanics behind attempts building “a more perfect union” are beyond the scope of the present research.
The Linear Metaphor as the Embodied Basis
191
which the direct and transferred meanings of a word reflect embodied cognition (Lakoff, Johnson, 1999). Our bodily experience serves an anchor for abstract thought “emergent from patterns of interaction or derived from perceptual experience” (Clausner, 2005: 100–101) and further proceeds on to high-level cognitive operations. They preserve the conceptual core and allow for linguistic modifications, numerous transformations “as recurring cognitive structures which establish patterns of understanding and reasoning, often elaborated by extension from knowledge of our bodies as well as our experience of social interactions” (Sharifian, 2017: 36). The afore discussed theoretical ideas are true for many abstract concepts, but even more so for concepts orchestrating human interaction with each other like morality, ethics, law, religion, etc. It was well formulated in Lakoff’s “Political mind”: “even our ideas of morality and politics are embodied in this rich way – those ideas are created and carried out not merely by the neural anatomy and connectivity of our brains, but also by the ways we function bodily in the physical and social world. Morality and politics are embodied ideas, not abstract ones, and they mostly function in the cognitive unconscious – in what your brain is doing that you cannot see” (Lakoff, 1996: 12). Deep beneath the thin film of rationality there lie primary metaphors linking well-being and ill-being to other embodied experience. Research into morality followed the path of distilling the vast complexity of moral representations and verbalizations into basic elements, schemas, and oppositions, being potentially universal or at least common for some cultures. Earlier research has revealed that moral propriety could be framed by a set of metaphors emerging from a conceptual structure generated from our experiences with dirt and cleanliness, thus rendering morally good as clean vs bad as dirty and vice versa (Lizardo, 2012). It allowed for potentially tracing morality back to the anthropological primitive of an archaic “definition of dirt as matter out of place” and order as a source of morality (Douglas, 1966: 36) further supported by extensive psychological evidence (Körner, 2014). Subsequent research comparing English and Chinese material outlined two domains serving as sources for moral metaphors: visual (and spatial experience. In the visual domain there were several contrastive categories: WHITE vs BLACK, LIGHT vs DARK, PURE vs IMPURE, CLEAR vs MURKY, CLEAN vs DIRTY, (Yu, 2015). The following spatial source categories were outlined to be common for two cultures: STRAIGHT vs CROOKED, HIGH vs LOW, BIG vs SMALL UPRIGHT vs TILTED, LEVEL vs UNLEVEL (Yu et al. 2016). Interestingly, some of the dichotomies turned out to be not only the linguistic patterns embellished with surprisingly unanimous metaphorical patterns, but psychological valid driving forces having an impact on moral judgments revealed in a series of psychological experiments. They supported aligning cleanness with morality. First, a sudden need to use antiseptic wipes correlated with a feeling signifying a threat to the moral image of participants (Fayard, Bassi, Bernstein, Roberts, 2009). Second, the moral judgments concerning abortion and pornography was harsher in the individuals feeling physically clean demonstrated (Zhong, Strejcek, Sivanathan, 2010). Third, participants reminded of physical cleansing demonstrated severe moral judgments toward violations of sexual purity (Helzer, Pizarro, 2011). Thus, the principle of embodied cognition forms the foundation of conceptualizing morality as a complex mental construct.
192
A. Sharapkova and L. Manerko
However, these schemas of binary oppositions being true to a large extent fail to grasp the diachronic perspective, thus potentially neglecting the complex interplay between linguistic and mental structures on those stages when these schemas were formed and enriched. We intend to remedy this oversight here, introducing a diachronic perspective on understanding the uprightness in the next section and then mapping some linguistic expressions onto this metadiscourse model in dynamics.
3 The Origins of Linearity Behind Morality One of the most recurrent and likely universal ideas behind morality in Western culture and arguably in many Indo-European cultures is the idea of some straight line, whether vertical or horizontal. The horizonal line could be either the line, separating the right from the wrong, the us from the others, the inner from the outer world, left from right, already visible in archaic times, manifested in early fairytales and myths and uncovered through image schemas of a CONTAINER, CORE-PERIPHERY, and BORDER (Komova, Sharapkova, 2014) and in modern political discourse in left-winged/rightwinged scale (Lakoff, 1996). More than that, augmenting the system of horizontal line with a vertical one most probably marks the transition from pagan antiquity to largely Christian Middle Ages. In the philosophical tradition, as well as in art and culture, coming from antiquity, the idea of correctness is some straight horizontal line. E. Benveniste mentioned analyzing the group of words related to the royal power including the noun rex and the verb regere with profound discussion of the Indo-European meanings of the original roots. He drew the conclusion that the key idea behind the king was “ruling right” or “Regere fines” literally means to draw boundaries in the form of straight lines to demarcate the territory, that was the action needed to erect a sacred building thus separating sacred and profane, or outlining the national vs foreign territory. Thus, Latin word regio “did not originally mean ‘region’ but ‘the point reached in a straight line’” (Benveniste, 2016: 310). Similarly, “this is a concept at once concrete and moral: the ‘straight line’ represents the norm, while the regula is ‘the instrument used to trace the straight line,’ which fixes the ‘rule’ (règle). Opposed to the ‘straight’ (droit) in the moral order is what is twisted, bent. Hence ‘straight’ (droit) is equivalent to ‘just,’ ‘honest,’ while its antonyms ‘twisted, bent’ (tordu, courbe) is identified with ‘perfidious,’ ‘mendacious,’ etc. This set of ideas is already Indo-European. To Lat. Rectus corresponds the Gothic adjective raihts, which translates Gr. Euthus ‘straight’; further the Old Persian rasta, which qualifies the noun ‘the way’ in this injunction: ‘Do not desert the straightway’” (Benveniste, 2016: 311–312). Moreover, almost all European languages bear the traits of these primary metaphors: English. Right, rule, rectitude Germ. Richt, Fr. Droit, It. Rettitudine. The idea of a correct straight posture, some static correct verticality engendered the whole field of ideas related to “rectitude, rightness, straightness, and uprightness” (Rimell, 2017: 768). And the concept of an “upright man” is not just a frequent metaphor related to physical strength that reflects the principle of embodied cognition, but also a culturally embedded being a historically significant image, as well as the basis of the paradigm for Western philosophy: “a subject who conforms to a vertical axis, which in turn functions as a principle and norm for its ethical posture” (Cavarero, 2016: 6, 129).
The Linear Metaphor as the Embodied Basis
193
Similar ideas are found in the works of Plato and Aristotle on the orthos logos “correct mind” and then in the ideas of the scholastics’ ratio recta “sound mind”, further perceived and developed by religious thinkers within a moral and ethical vein. As noted by researchers, “Rectitude is a general principle” by Seneca (an analysis of examples is presented in (Rimell, 2017: 772)). Further on, the word rectitude was found in the texts of Anselm of Canterbury “On Truth” – “De veritate” about the correct order of things established by God: rectitudo and rectus ordo (Vale, 2018). In general, rectitudo pointed to the moral meaning of “justice” and “righteousness” already in Latin, and in medieval writings in Latin, the word becomes a term in moral Christian discourse of Latin texts and is widespread in talking about morality in French tradition before it was borrowed into English. Importantly, conceptualizing the divine mainly in Cristian religion as the “most high” or “high above earth” (Lattimore, 1996) thus presupposing extending verticality to get closer to him, most clearly embodied in Gothic architecture for instance, is running through the semiotics of Christian culture. Another peculiar example is a typical Catholic Mass, where a hymn titled “Glory to God in the Highest” is read (Richstatter, 2005). Moreover, it was experimentally demonstrated that vertical perceptions are invoked when people access divinity-related cognitions and people’s memory for the vertical location of God- and Devil-like images showed a metaphor-consistent bias based on UP for God and DOWN for Devil (Meier et al., 2007). These theoretical, historical, and experimental insights establish a context for lexical and terminological shift we could outline in the texts of John Locke.
4 The Linguistic or Conceptual Shift Behind the Lexical Frequency Let us start with characterizing the period preceding Locke’s “Essay…” in 1689. The period of the Early Modern English language is characterized by an exponential vocabulary expansion through borrowings, mainly of Latin or French origin. They appeared not to denote any new concepts, but to enrich synonymity and stylistic variation: “providing alternative ways of saying the same thing in different registers” (Burchfield, 1992: 332). According to various estimates, up to 50 per cent of the words were borrowed within 1600–1650 (Wermser, 1976: 40); moreover, 15 per cent of the new words enriched the theological discourse and about 14 % – the discourse of natural sciences (Ibid, 114). This allowed the authors not only to diversify the style of communication, but also to point out significant lexical differences more subtly, which was crucial for the functioning of the language of science. The potential ground for philosophical discourse in statu nascendi is the religious and theological discourse of the 15–17th centuries, most probably well known to Locke as a censor of moral philosophy and a man who received a classical education at Oxford University (Marshall, 1994). It is important to note that the philosophical moral discourse in English only took shape at the end of the 16th and beginning of the 17th centuries and could rely both linguistically and discursively only on the ethical texts existing before. This could be partially court ethics, where tectonic shifts in rethinking the field of words of noble origin (noble, virtue, valour, gentle, worthy) to describe moral behavior happened (Komova, Sharapkova, 2017) and philosophical and religious
194
A. Sharapkova and L. Manerko
discourse (Kuczynski, 2016). Literature of the preceding decades was concerned with questions of Christian’s morality through allegorical images, like in Bunyan’s The Pilgrim’s Progress (1678) there was a village called Morality with a young man – Legality and a woman – Civility living there. Although the English philosophical terminology, as a whole, had emerged before the Enlightenment, an independent, coherent and well-established terminological system was not formed yet. For example, such key words for the English philosophy as understanding, reason, person, experience, memory have already been used in the work by T. Hobbes “Leviathan”, which Locke was familiar with (Lemetti, 2011). Another author familiar to Locke was Ralph Cudworth (Cudworth, 1996: xi–xii), who also used such words as understanding as the equivalent to the Latin intellectus or consciousness, unlike Hobbes’ conscience understood in a moral context. He also uses the concepts of morality associating them with the concepts of good and evil/bad. Since the language of science in the previous period was Latin, most of the works which J. Locke could be acquainted with, or which could theoretically influence him were written in Latin. Until the 17th century, there was a rich tradition of considering the problems of morality and moral responsibility in Latin. So, we suppose that the borrowed words from Latin or French as opposed to the words of the English origin construe the key point of tension and development. Within the list of words, describing morally appropriate behaviour and collocating with the adjective moral, only the noun right is of Germanic origin, whereas the nouns rule and rectitude are borrowings. If rule was borrowed earlier – in the 13th century and was perfectly assimilated by the English language in court and legal discourse, rectitude appeared much later. This noun entered the English language in the 15th century in the original physical meaning of “straightness, quality of being straight or erect”, derived from the 14th century Old French rectitude (OED). The initial idea is based on the aforediscussed embodied concept of straightness, physical non-curvature, a certain straight line, and order. These words are largely synonymous and seem to undergo the major shifts during the period of 17th century. Moral rectitude is much more prominent in 1620– 1630, moral right demonstrated just a surge in 1650s, and moral rule(s) clearly replace those two at the end of the 17th century (Fig. 1). We believe, the role of philosophical discourse, particularly, the texts of John Locke, could have played the key role in this process. In the following parts we would zoom into the use and pragmatics of these collocations in 15th and 17th centuries using mainly the examples from Google books and English Historical Book Collection (EHBC) corpus. The lexeme rectitude in the original meaning was recorded in religious works in the 14–15th centuries with one of the earliest examples being the translation from Latin of the “Polychronicon” by the monk Ranulf Higden, made into the southwestern English dialect by John de Treviza in 1387 (Arakin, 2001: 115), where the word rectitude is used to describe the strength and beauty of a human figure pointing at moral conformity. But thauZhe the body of man was made in the begynnenge of the erthe, hit was so proporcionate to the sawle that equalite of complexion was in hit, conformite of organizacion, rectitude of stature, and pulcritude of figure, and so the body sholde be
The Linear Metaphor as the Embodied Basis
195
Fig. 1. The frequency of collocations moral right, moral rule(s), moral rectitude based on Google Ngram viewer data in 1680 – 1700
afterwardeob temperate to the sawle with owtefiZhte of rebellion, vegetable with owtedefawte of strenghte, immutable with owtecorrupcion of mortalite (MED). A similar example is recorded in the Oxford English Dictionary in 1641: J. Jackson True Evang. T. II. 153 That which is straight shews at once both its own rectitude, and the crookedness of the contrary (OED). In its original meaning, the English word rectitude soon became obsolete, and the noun acquired ethical and moral associations. In the meaning of “moral straightness or uprightness; goodness, integrity; virtue, righteousness” this word starts to be used from 1530, as indicated by contexts from the Oxford English Dictionary. Moral correctness or virtue substantiates the concept of justice or possible just judgment: a 1533 Ld. Berners Gold. bk. M. Aurel. (1559) H h ij b, By the rectitude of his iustice (OED). The reason behind this shift could be the cultural background we presented in Sect. 3. Gradually, the meaning was extended from concrete to abstract meaning. The analysis of the use of the word rectitude in discourse of 15th –17th centuries based on English Historical Book Collection (6 contexts) and the Google Books service (20 contexts) reveals, that it is solely used in theological discourse, especially in disputes, sermons, commentaries to Bible, essays about faith and other kinds of texts. For instance, reflections on morality and the oath of allegiance (oath) using the noun rectitude are found in the writings of R. Widdrington. The author separates the supreme law, which refers to the supernatural and church rule, moral correctness and virtue as phenomena of different levels: “For if under a spirituall rule hee understand a supernaturall and Ecclesiasticall rule and by rectitude and vertue he means supernationall rectitude and vertue, his assertion is most true: for, to make temporall governing to bee good and virtuous supernaturally, it must of necessity be directed and guided by a supernational rule. But if he speaks only of moral rectitude, and vertue, it is most false, that to make temporal governing good and vertuous morally, it must of necessity be directed by a supernatural rule, but it sussiceth if it be directed by the rule of moral rectitude and vertue” (Widdrington, 1613: 30). It is important to note that along with rectitude in this context, vertue is used as a word corresponding to the Latin virtus, which was used
196
A. Sharapkova and L. Manerko
to describe a whole range of concepts: strength, valor, masculinity, virtue, but this unit, which later had the form of virtue, was rethought to reflect the moral aspects (Taratuta, 2007). In the sense of physical strength, masculinity, this word has already undergone semantic changes in the English language in discourse, pertaining to knighthood and chivalry (Komova, Sharapkova, 2017). A similar context is found in another work of the same period by John Salkeld. The passages discussed represented a skillful compilation from the texts of the Bible, ancient authors, church fathers, and contemporary quotations. In the following extract the relationship between physical and spiritual correctness is discussed. The metaphor of physical strength and verticality as created by God and serving the basis for spiritual uprightness is extended by similar words: upright and uprightness. “Hence Bernard well noteth, that God made man vpright in stature, and erected towards heauen, to the end that his corporall rectitude and vprightnes of his shape, might stirre him up to prcferue’ the spirituall rectitude, and righteousness of the inward man, who was made to the image of God; and that the beaute of our corporal substance, and outward proportion, and right disposition of the lineaments of our body might correct the inward deformitie of our souls, and the powers thereof” (Salkeld, 1617). The external not only reflects, but also determines the internal, and the beauty and correctness of the physical body can make it possible to correct the deformations that have occurred in the soul. It is further development of the ideas expressed by Aristotle in his various writings, as well as in his treatise “De juventute et senectute 468a5–9” (On youth and old age, life and death) where a person, differs from all living beings due to his straight posture: “To man in particular among the animals, on account of his erect stature, belongs the characteristic of having his upper parts pointing upwards in the sense in which that applies to the universe, while in the others these arc in an intermediate position”.3 Many ideas of the kind could be found in Aristotle’s texts that construed part and parcel of classical education in Europe perfectly known to John Locke. In another passage in “De partibus animalium” 686a27–32 Aristotle connected the straightness of a human with his God’s nature: “For of all animals man alone stands erect, in accordance with his god- like nature and essence. For it is the function of the god-like to think and to be wise; and no easy task were this under the burden of a heavy body, pressing down from above and obstructing by its weight the motions of the intellect and of the general sense”. So, the straightness metaphor existed in philosophical literature dating back to ancient times and was adapted in English theological discourse. Other passages in Aristotle aligning straightness with include De partibus animalium 656a10–13, where the vertical line is explained: “his upper part being turned towards that which is upper in the universe. For, of all animals, man alone stands erect”. Other passages where the erect position of a human as distinguishing him from other animals are: “De incessu animalium” 710b9– 11; “De respiration” 477a20–23. Thus, the metaphor of straightness as a defining feature of a human had been rather pervasive to be easily adapted into theological discourse to acquire the ethical dimension. This created the associations surrounding the words to be used further creating the folded stories around each word in discourse.
3 I refer to passages of Aristotle by the traditional pagination of Imannuel Bekker’s editio princeps;
the English translation is that of Ross, W. D., Stock, G., & Solomon, J. volume III and V.
The Linear Metaphor as the Embodied Basis
197
In the majority of contexts extracted from Google Books, the initial metaphor is extended and supported by other words with ethical semantics virtue, right, tying physical and spiritual into a coherent whole as in Theophilus Gale (1672): “Yeahe makes the Virtue, not only of the Soul, but also of the bodie, and of every thing else to consist, in order and rectitude; For indeed the Harmonic or Mediocritie of Virtue is nothing else but a rectitude of principles and acts”. In the first context, the unity of the physical and spiritual is clear, described by the words in order and rectitude in a religious meaning. In another work dating to 1622 by a group of authors arguing with Protestant ideas, the following examples can be found. Again, the noun rectitude is combined with the adjective moral and is present in the same context as reason. Moreover, the authors use an anaphoric repetition to stress the major idea: “Every action, every duety, which is deficient and bereaved eyther of due conuerfion to God, conformity to reason, or such moral rectitude, as by percept binding under mortall sinne ought to be in it, is a morall crime, and true prevarication of the Law. But every action, every duty we acheive, is (according to Protestants) deficient, and bereaved of that conuersion, rectitude, or conformity, as by percept binding under mortal sinne ought to be in it. Therefore every action, every duty we accomplish is (according to them) a deadly cryme, a true breach and prevarication of the law”. A similar example is found in a corpus: “The origin of moral rectitude in humans is God: for his natural rectitude was the effect of the influx or communication of Gods Spirit: And he could have no moral rectitude without it; as there can be no effect without the chief cause” (EHBC, 1670: № 7395). In various works of 17th century, rectitude is used with the words, having the semantics of some linearity or integrity: uprightness, right, integrity and rule as in the following examples: 1633 Prynne 1st Pt. Histrio-m. vii. Iii. 593/2 The obscene jests of Stage-players and other vanities, which are wont to soften a Christian soule from the rigour of its rectitude and uprightnesse (OED). “The Right Government of Thoughts” (1659) by John Angel (Puritan Divine) the true rectitude is of Heavenly origin: “Things are said to be right or just many wayes: First, that is right which hath rectitude from itself, and is the cause of rectitude in every other thing; and so God onely is righteous”. In a book “XXXI. Sermons… Upon several subjects and occasions” (1677) by Charles Gibbes, the metaphor is augmented by the opposition: rectitude is opposed to a wounded spirit, that lost integrity: “But then it must be understood of the Spirit of a man in its Rectitude and Integrity, opposite to a wounded Spirit, as the Antithesis in the latter part of the verse shews”. Integrity and holiness laied the ground for moral rectitude as it follows from the works of James Durham (Covenanting Divine), William Jenkyn: “When we speak of things Moral, we are to distinguish between things Naturally Moral, that is such (as love to God and our Neighpour, and such like) which have an innare rectitude and holiness in them…” (1677). The most developed set of oppositions is presented in The Middle Way of Predetermination Asserted. Between the Dominicans and Jesuites, Calvinists and Arminians. Or, a Scriptural Enquiry Into the Influence and Causation of God, in and Unto Humane Actions; Especially Such as are Sinfull of 1679, which addressed the difference between teachings of Dominicans and Jesuits, Calvinists and Arminians, devoted to views on the causality of human deeds under the influence of certain religious doctrines:
198
A. Sharapkova and L. Manerko
“Harmony and Dircord, Order and Disorder, Conformity and Disconformity, Rectitude and Obliquity, Righteousness and Unrighteousness, have an Efficient Cause”. Drastically less frequent both in the corpus and Google books is the collocation moral right (1 context): “…they are not payed to the Ministers of Christ by a ceremonial right, but a moral right, and by a positive Law of the Nation, as was proved before” (EHBC, 13119: № 1660). No more frequent is moral rule – only 3 contexts in EHBC and 1 context in Google books before Locke’s publication not allowing to draw any generalizations. The only use is in Owen’s commentary to Aristotle’s thoughts: “From this original proper importance of the word, is its metaphorical use deduced, which is most Common; and therein it fignifies a moral Rule, or a measure, for diArißor. Folrection, tryall and judgement” (Owen, 1668). The frequency, use and distribution of these collocations in the text of Locke’s “Essay…” is drastically different signifying a shift towards another type of discourse being formed – the philosophical one, as a type of scientific discourse. The noun rectitude is used 12 times, mainly in the context of the final assessment (judge/judgment/measure) of human actions (actions) as corresponding to moral correctness (moral rectitude) or not. This collocation is supported by the others also originating from the physical metaphor of straightness: moral pravity or obliquety: “Of these moral rules or laws, to which men generally refer, and by which they judge of the rectitude or pravity of their actions, there seem to me to be three sorts, with their three different enforcements, or rewards and punishments” (Locke4 , 336). Thus, this combination becomes one of the terms used to indirectly describe moral responsibility and the guiding principles of it. Moreover, it is the adjective moral and the noun actions that are the closest to rectitude according to the traditional collocation metrics – Tscore (moral – 2.83; actions – 1.73) and MI (11.17 and 8.65), as well as the Dice coefficient (Dice): 11.25 and 8.82, respectively. Moral rectitude in Locke’s understanding is not granted by God, neither it is innate as he argues against any inborn rules or ideas: “To which I answer, that I doubt not but, without being written on their hearts, many men may, by the same way that they come to the knowledge of other things, come to assent to several moral rules, and be convinced of their obligation. Others also may come to be of the same mind, from their education, company, and customs of their country; which persuasion, however got, will serve to set conscience on work; which is nothing else but our own opinion or judgment of the moral rectitude or pravity of our own actions; and if conscience be a proof of innate principles, contraries may be innate principles; since some men with the same bent of conscience prosecute what others avoid” (Locke, 51). The original conceptual metaphor of physical correctness, a straight line or irregularity was so recurrent in the period before Locke, that it even undergoes secondary metaphorization in his text through Locke himself was an avid opponent of metaphors in scientific discourse: “The strength of our persuasions is no evidence at all of their own rectitude: crooked things may be as stiff and inflexible as straight: and men may be as positive and peremptory in error as in truth” (Locke, 699). This context is interesting in that it reveals a contradiction inherent in the very idea of physical straightforwardness
4 Here and further citations are given by Locke, J.: An essay concerning human understanding.
Oxford University Press, New York (2008).
The Linear Metaphor as the Embodied Basis
199
as correctness and the basis of moral behavior thus turning the reader’s attention on whether recurrent ideas we are so used to really true. Moral rule(s) is used much more often in the text (17 contexts). J. Locke emphasizes the idea that the rules of morality are not innate and need proof: Moral rules need a proof, ergo not innate (45). Two most frequently used words in Locke’s text together with collocation Moral rule(s) are innate (Tscore –1.72; MI – 7.62: Log Dice – 8.29) and several (Tscore – 1.72; MI – 7.31; Log Dice – 7.99). The ideas of morality being complex mental constructs are created by a person solely on the basis of scientific and philosophical reflection and communication with other individuals, which is associated with the search for truths in accordance with the understanding of their own needs and social utility: “Moral principles require reasoning and discourse, and some exercise of the mind, to discover the certainty of their truth” (Locke, 46). The scientist points out that people of different times and places of residence affirm the same universal truths, which are formed by their universal essence: “I grant the existence of God is so many ways manifest, and the obedience we owe him so congruous to the light of reason, that a great part of mankind give testimony to the law of nature: but yet I think it must be allowed that several moral rules may receive from mankind a very general approbation, without either knowing or admitting the true ground of morality; which can only be the will and law of a God”(Locke, 50). The rationality of a person or the ability to think and reflect is inherent within the nature of an individual. Moral right is used only once in the text also within the context of discussing moral responsibility: “Thirdly, sometimes the foundation of considering things, with reference to one another, is some act whereby any one comes by a moral right, power, or obligation to do something” (Locke, 334). It emerges from the studied contexts, that J. Locke’s text was the turning point in conceptualization of morality. In his work he establishes an intricate dialogue with his predecessors and substantiates his own views on the phenomenon of moral responsibility and the formation of moral laws. Locke relied on a rich tradition of commentaries on philosophical works of antiquity and the religious and philosophical discourse of previous centuries, both in terms of vocabulary and in terms of key cognitive patterns. The very choice of words, their use and the newly revealed metaphors in Locke’s texts indicate that he was familiar with many of the texts of his predecessors and had a nuanced sense of language. His treatise echoes the religious contradictions of the previous period and the conceptualization of ideas about morality characteristic of classical philosophy and theology of subsequent centuries. However, the frequency of certain words with religious associations is reduced, and words in collocations with neutral semantics that are not directly related to religious discourse are more frequent, for example, moral rules, moral law and moral right. In our work we have also demonstrated that the word moral in combination with rule/rules is used more frequently in J. Locke’s texts than rectitude. The fact that this particular combination is beginning to play an important role in philosophical discourse is indirectly indicated by Google Ngram viewer data, where it is clear that the combination of the adjective moral with the singular or plural form of the noun rule/rules noticeably exceeds the use of the collocation moral rectitude in the number of uses at the end of the 17th century (Fig. 1).
200
A. Sharapkova and L. Manerko
Our analysis indicates that J. Locke deliberately formed his moral and ethical vocabulary on the basis of rational or potentially rationalized principles and laws, adhering to the concept of “reasonableness of Christianity”, which included the ideas of liberal and tolerant philosophy. Respecting the tradition of describing morality in religious discourse (moral rectitude) he tries to suggest a completely new basis for an ethical system built on rational principles, and that is why he selects words for his text that do not have an explicitly religious specification (moral right, moral rule). But, in addition to these words, the system of moral terms includes others: principle, discourse, action, science, matter, knowledge, rightness, pravity and obliquity. First and foremost, Locke understands morality rationally and brings reason to the limelight being in accord with “a further tendency towards the rationalization of religious discourse and prerequisites for the cultural secularization emerging” (Tsaregorodtsev, 2009: 103). This tendency, did not have a significant impact on English population, but some of the ideas “determined, to a certain extent, the attitude towards religion of some representatives of English Enlightenment, John Locke in particular” (Ibid). His primary objective was to separate the transcendental and human in understanding of morality to build not the ideal system of how it should be but rather of how it presumably works: “Locke separates the source of virtue, which turns out to be transcendent for a person, and the actual interest of a person in it, which by the human nature is primarily pragmatic (selfish). Meanwhile, he also shows the possibility of various grounds for a person’s turning to virtue – on the one hand, as to an object of personal interest and assignment to others (in the form of a demand to be virtuous towards himself), and, on the other hand, as to an object of personal moral responsibility” (Apresyan, 2006: 136).
5 Conclusion In conclusion, conceptualizing morality through the metaphorical pattern of physical strength could involve a multifaceted concept of linearity. The representation of a straight line whether a horizontal or vertical one to define human correct position in the surrounding world has existed long before any profound discussion of good and evil or ground of morality. The etymology insights combined with corpus analysis demonstrate that these cognitive patterns lying beneath the variety and variability of the word use are stable and deeply embodied experience, that could be tentatively referred to as panhuman universal moral patterns or at least Indo-European predispositions. Meanwhile, the vocabulary to describe morality is influenced by a number of historical factors pertaining to cultural embeddedness. First of all, it is the change of paganism to Christianity, and then the rise of scientific discourse of philosophy. The lexico-semantic, socio-cultural and frequency shift marks the transition from religious theological discourse to a proper scientific philosophical discourse with the creation of the terminological system in Locke. The way to describe morality, moral norms and ground for responsibility were in statu nascendi within the period preceding Locke. This core presented the philosophy of thinking and morality as a single science, which was able to demonstrate the sophistication and complexity of relationships in the society and the possibility of understanding the human foundations of moral responsibility for actions.
The Linear Metaphor as the Embodied Basis
201
One of Locke’s early biographies emphasized his enormous impact not only on understanding of certain problems, but also on changing the way of thinking about them: “Locke did not merely enlarge men’s knowledge, he changed their ways of thinking” (Cranston, 1957: 482). We assume that Locke’s text “Essay Concerning Human Understanding” as well as the concepts formed, problematized and terminologized in it and expressed through words and collocations have become a turning point in description of morality in English. John Locke also had enormous influence on how to talk about a particular issue. Thus, the change from moral rectitude having distinct religious connotations towards neutral ones in moral rule and moral right is observed in his discourse to be further transformed to philosophical discourse in general rendering rectitude outdated, while rule and right suiting the following collocation and terminological units. Moreover, the data obtained and confirmed by quantitative methods presented in Google Books and English Historical Book Collection corpora characteristics by the Sketch Engine manager, can be interpreted within the framework of ideas about the influence of a single linguistic personality on the scientific discourse of a particular field in general. Our results on collocations moral rule, moral rectitude and moral right as well as evolution of the linear metaphor in moral philosophical discourse also indicate the complexity of formulating a universal definition of morality and moral responsibility. Even considering this from a very rational and generalized point of view we should take into account the realities of a particular historical period, its sociocultural and pragmatic context influencing the consciousness of a particular language personality and linguistic background. Acknowledgements. This work was supported by the Russian Science Foundation, the grant No. 21-78-10044.
References Angel, J.: The Right Government of Thoughts. https://www.google.ru/books/edition/The_Right_ Government_of_Thoughts_Or_A_Di/mOK5h3S-6RAC?hl=ru&gbpv=1&dq=2.%09%E2% 80%9CThe+Right+Government+of+Thoughts%E2%80%9D+(1659)+John+Angel+(Pur itan+Divine)&pg=PA72&printsec=frontcover (1659). Last accessed 20 Apr 2022 Apresyan, R.G.: Ethical Issues in J. Locke’s “Essay Concerning Human Understanding”. In: History of Philosophy Yearbook, pp. 132–152. Nauka, Moscow (2006). (in Russian) Arakin, V.D.: The History of the English Language: Text Book. Physmatlit, Moscow (2001). (in Russian) Bell, A., Richerson, P., McElreath, R.: Culture rather than genes provides greater scope for the evolution of large-scale human prosociality. Proc. Natl. Acad. Sci. 106(42), 17671–17674 (2009). https://doi.org/10.1073/pnas.0903232106 Benveniste, E.: Dictionary of Indo-European Concepts and Society. Hau Books Chicago. https:// archive.chs.harvard.edu/CHS/article/display/3947.book-4-royalty-and-its-privileges-1-rex (2016). Last accessed 20 Apr 2022 Burchfield, R. (ed.): English in britain and overseas: origins and development. In: The Cambridge History of the English language, vol. 5. Cambridge University Press, Cambridge (1992) Cavarero, A.: Inclinations. Stanford University Press, Stanford (2016)
202
A. Sharapkova and L. Manerko
Clausner, T.C.: Image schema paradoxes: implications for cognitive semantics. In: Hampe, B., Grady, J.E. (eds.) From perception to meaning: Image schemas in cognitive linguistics, pp. 93– 110. Mouton de Gruyter, Berlin-New York (2005) Cranston, M.: John Locke. A Biography. Longmans, London (1957) Cudworth, R.: A Treatise Concerning Eternal and Immutable Morality. Cambridge University Press, Cambridge (1996) Dawkins, R.: The God Delusion. Houghton Mifflin, Boston (2006) Douglas, M.: Purity and Danger: An Analysis of Concepts of purity and Taboo. Routlege & Kegan Paul, London (1966) Durham, J.: The Law Unsealed: Or, a Practical Exposition of the Ten Commandments, with a Resolution of Several Momentous Questions and Cases of Conscience. Fifth Edition, to which are Prefixed the Commendatory Epistles of Dr Owen and MrJenkyn https://www.google.ru/books/edition/The_Law_Unsealed_Or_a_Prac tical_Expositi/Be4G1rm9-jIC?hl=ru&gbpv=0 (1677). Last accessed 20 Apr 2022 Fayard, J.V., Bassi, A.K., Bernstein, D.M., Roberts, B.W.: Is cleanliness next to godliness? Dispelling old wives’ tales: Failure to replicate Zhong and Liljenquist (2006). J. Art. Support Null Hypothesis 6(2), 21–30 (2009) Gale, T.: The Court of the Gentiles Or a Discours Touching the Original of Human Literature, Both Philologie and Philosophie, from the Scriptures & Jewish Church (1672). https://www. google.ru/books/edition/The_Court_of_the_Gentiles/nnBJCHZjzXMC?hl=ru&gbpv=1&dq= The+Court+of+the+Gentiles+Or+a+Discours+Touching+the+Original+of+Human+Litera ture&printsec=frontcover. Last accessed 20 Apr 2022 Gibbes, Ch.: XXXI. Sermons ... upon several subjects and occasions (1677). https://www.google. ru/books/edition/XXXI_Sermons_upon_several_subjects_and_o/B6qc3rAYjYAC?hl=ru& gbpv=1&dq=Sermons+...+upon+several+subjects+and+occasions%E2%80%9D+(1677)& pg=PA154&printsec=frontcover. Last accessed 20 Arp 2022 Hargreaves-Mawdsley, W.N.: Oxford in the Age of John Locke. University of Oklahoma Press, Norman (1973) Helzer, E.G., Pizarro, D.A.: Dirty liberals! Reminders of physical cleanliness influence moral and political attitudes. Psychol. Sci. 22(4), 517–522 (2011). https://doi.org/10.1177/095679 7611402514 Komova, T., Sharapkova, A.: The conceptual and semantic shift of “noble” and its synonyms as a case of semiosis. Lege Artis 2(2), 95–147 (2017). https://doi.org/10.1515/lart-2017-0014 Komova, T.A., Sharapkova, A.A.: Space: from word philosophy to a myth about King Arthur. In: Manerko, L.A., Baumann, K., Kalverkamper, H. (eds.) Terminology Science in Russia Today: from the Past to the Future, vol. 116, pp. 369–388. Frank and Timme Germany, Berlin (2014) Körner, A.: Psychological Mechanisms in Embodied Cleansing. Dissertation, Universität Würzburg (2014) Kövecses, Z.: A broad view of cognitive linguistics. Acta Linguistica Hungarica 52(2–3), 135–172 (2005). https://doi.org/10.1556/ALING.52.2005.2-3.2 Kuczynski, M.P.: Preface: “...Beatus vitrestechyng”. In: Kuczynski, M.P. (ed.) Prophetic Song: The Psalms as Moral Discourse in Late Medieval England, pp. xv–xxvi. University of Pennsylvania Press, Philadelphia, PA (2016) Lakoff, G., Johnson, M.: Philosophy in the Flesh: The Embodied Mind and its Challenge to Western Thought. Basic Books, New York (1999) Lakoff, G.: Explaining embodied cognition results. Top. Cogn. Sci. 4(4), 773–785 (2012). https:// doi.org/10.1111/j.1756-8765.2012.01222.x Lakoff, G.: Moral Politics. The University of Chicago Press, Chicago (1996)
The Linear Metaphor as the Embodied Basis
203
Langacker, R.W.: Culture and cognition, lexicon and grammar. In: Yamaguchi, M., Tay, D., Blount, B. (eds.) Approaches to Language, Culture and Cognition: The Intersection of Cognitive Linguistics and Linguistic Anthropology, pp. 27–49. Palgrave Macmillan, Houndmills-New York (2014) Lattimore, R.: The New Testament. North Point Press, New York (1996) Lemetti, J.: Historical Dictionary of Hobbes’s Philosophy. Scarecrow Press, Lanham, Toronto, Plymouth (2011) Lizardo, O.: The conceptual bases of metaphors of dirt and cleanliness in moral and non-moral reasoning. Cogn. Linguist. 23(2), 367–393 (2012). https://doi.org/10.1515/cog-2012-0011 Locke, J.: An Essay Concerning Human Understanding. Oxford University Press, New York (2008) Marshall, J.: John Locke: Resistance, Religion and Responsibility. Cambridge University Press, Cambridge (1994) Meier, B.P., Hauser, D.J., Robinson, M.D., Friesen, C.K., Schjeldahl, K.: What’s “up” with God? Vertical space as a representation of the divine. J. Pers. Soc. Psychol. 93(5), 699–710 (2007). https://doi.org/10.1037/0022-3514.93.5.699 Murphey, M.G., Flower, E.: A History of Philosophy in America, vol. I. Capricorn Books, New York (1977) Owen, J.: Exercitations on the Epistle to the Hebrews, Also Concerning the Messiah. Robert White, London. https://www.google.ru/books/edition/Exercitations_on_the_Epistle_to_the_ Hebr/D1k1AAAAQAAJ?hl=ru&gbpv=0 (1668). Last accessed 20 Apr 2022 Oxford English dictionary (OED). https://www.oed.com. Last accessed 20 Apr 2022 Richstatter, T.: A walk through the mass: A step-by-step explanation. https://ininet.org/a-walk-thr ough-the-mass-a-step-by-step-explanation.html (2005). Last accessed 20 Apr 2022 Rimell, V.: Philosophy’s folds: seneca, cavarero, and the history of rectitude. Hypatia 32(4), 768–783 (2017). https://doi.org/10.1111/hypa.12361 Ross, W.D., Stock, G., Solomon, J.: Works of Aristotle, vol. III. Oxford University Press, London (1931) Ross, W.D., Stock, G., Solomon, J.: Works of Aristotle, vol. V. Oxford University Press, London (1912) Salkeld, J.: A Treatise of Paradise, and the Principal Contents Thereof. Especially of the Greatness, Situation, Beautie, and Other Properties of that Place ... Collected Out of the Holy Scripture, Ancient Fathers, and Other Both Ancient and Moderne Writers. https://www.google.ru/books/edition/A_Treatise_of_Paradise_and_the_Princi pal/mFI7AQAAMAAJ?hl=ru&gbpv=0 (1617). Last accessed 20 Apr 2022 Sharifian, F.: Cultural Linguistics. John Benjamins, Amsterdam (2017) Sullivan, K.: Frames and Constructions in Metaphoric Language. John Benjamins Publishing Company, Amsterdam (2013) Taratuta, E.E.: Philosophy of Virtual Reality. St. Petersburg State University Press, St. Petersburg (2007). (in Russian) The Middle Way of Predetermination Asserted. Between the Dominicans and Jesuites, Calvinists and Arminians. Or, a Scriptural Enquiry Into the Influence and Causation of God, in and Unto Humane Actions; Especially Such as are Sinfull; Signed: W. M. With an Epistle to the Reader Signed: Rich. Baxter. https://www.google.ru/books/edition/The_Middle_Way_of_Predeterm ination_Asser/oYtmAAAAcAAJ?hl=ru&gbpv=0 (1679). Last accessed 20 Apr 2022 Tsaregorodtsev, A.V.: On some aspects of the evolution of English Protestantism in the XVI-midXIX century through the prism of the problem of bourgeois ethos formation (in Russian). CSU Bulletin 12(150), 99–108 (2009) Vale, F.: Anselm on the rectus ordus of creation. Saint Anselm J. 14(1), 93–109 (2018) Voorhees, B., Read, D., Gabora, L.: The objectivity of moral norms is a top-down cultural construct. Behav. Brain Sci. 41(E116), 31–49 (2018). https://doi.org/10.1017/S0140525X18000213
204
A. Sharapkova and L. Manerko
Wermser, R.: Statistische Studienzur Entwicklung des englischen Wortschatzes. Francke, Bern (1976) Widdrington, R.: A Theologicall Disputation concerning the Oath of Allegiance ... Translated out of Latin into English by the Author himselfe, whereunto hee hath added an Appendix, etc. https://www.google.ru/books/edition/A_Theologicall_Disputation_concerning_th/hCp kAAAAcAAJ?hl=ru&gbpv=1&dq=%C2%ABA+Theologicall+Disputation+concerning+ the+Oath+of+Allegiance%C2%BB+(1613)&pg=PA19&printsec=frontcover(1613). Last accessed 20 Apr 2022 Wierzbicka, A.: Moral sense. J. Soc., Evol., Cultural Psychol. 1(3), 66–85 (2007). https://doi.org/ 10.1037/h0099824 Yoh, M.: Locke the representative of an age? The Dalhousie Rev. 55(1), 166–169 (1975) Yu, N., Wang, T., He, Y.: Spatial subsystem of moral metaphors: a cognitive semantic study. Metaphor. Symb. 31(4), 195–211 (2016). https://doi.org/10.1080/10926488.2016.1223470 Yu, N.: Metaphorical character of moral cognition: a comparative and decompositional analysis. Metaphor Symbol 30(3), 163–183 (2015) Zhong, C.B., Strejcek, B., Sivanathan, N.: A clean self can render harsh moral judgment. J. Exp. Soc. Psychol. 46(5), 859–862 (2010)
British Fiction in CLIL Methodological Approach at Tertiary Level of Education Maria Firstova(B)
, Oksana Manzhula , and Boris Proskurnin
Perm State University, Perm, Russia [email protected]
Abstract. The paper deals with CLIL methodological approach which is traditionally considered to be implemented in secondary educational phase and the possibility of its introduction at the tertiary level of education as “CLIL” is used by modern scholars as an umbrella term for a wide range of dual-focused approaches in which the equal attention is given to both additional language (English as the global lingua franca of the time) and curricular subject that is taught and learnt with and through this language. Also, the use of literary works in CLIL implementation at Higher Educational Institutions is discussed through questioning the possibility to achieve the aims of this educational approach. The analysis of classroom activities, students’ performance and the interviews of the learners who read and discussed fiction texts the content of which is relevant to their university major shows that the use of literary works chosen on certain criteria can be a valuable option in CLIL implementation. Various types of exercises on developing vocabulary and grammar as well as language, communicative and cognitive skills are presented in the paper. Keywords: CLIL · tertiary level of education · British fiction
1 Introduction Nowadays due to the globalization it is critically important to be able to communicate in the international milieu in different fields of human activity using the language which is spoken by the majority of the communicators i.e., common to them. Today English is the language that can be considered the one that is predominantly used in international communication both in oral and written forms in a great variety of fields: science, arts, education, health care, diplomacy etc. This fact leads to the idea that English can be regarded as a lingua franca of the modern time or a global lingua franca [6]. It means that a good command of the English language is necessary for those who study, work, research etc. internationally. For instance, science and education are two areas where a good command of English is the key to the successful dissemination of the information (including latest developments, inventions, technologies and know-how) and acquisition of new knowledge. Graduates of most Russian universities (bachelors) are supposed to be able to read and discuss various types of texts on the topics related to their university major. They © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 E. Isaeva and Á. Rocha (Eds.): Perm Forum 2022, LNNS 622, pp. 205–212, 2023. https://doi.org/10.1007/978-3-031-28086-3_16
206
M. Firstova et al.
are encouraged to use the data from foreign sources of information (textbooks, articles, media, Internet) in their researches. As for students of master’s programs they are obliged to write scientific articles with the results of their researches and publish them in international scientific magazines and journals in English as well as to take part in international conferences where they are supposed to communicate in English. The above-mentioned requirements show that to be academically and professionally successful students and graduates of Russian universities are to have a good command of English for Specific Purposes (ESP). It means that when learning English, they need to be focused on the vocabulary, grammar etc. relevant to their future professional or scientific occupation rather than General English. We believe that some elements of CLIL can be used to achieve this.
2 Methodology 2.1 Content and Language Integrated Learning (CLIL) It is known that CLIL is a methodological approach that is traditionally used in secondary educational phase. However, we believe that CLIL approach can be used in teaching English in tertiary educational phase as well, especially at the classes where students are supposed to learn English for Specific Purposes. The similar point of view can be found ˇ in the researches done by European scholars [4, 5]. For instance, Ludmila Hurajová considers the use of different forms of CLIL at tertiary level of education and concludes that it can be used as “an umbrella term” [5] for various ways of learning a curricular subject through the English language in most cases. As for the classical definition of CLIL we chose the one given by Coyle, Hood and Marsh [3]. Following this definition, we see that CLIL is the educational approach that gives students an opportunity to learn subject and additional language (not a native one) simultaneously. The distinctive feature of the approach (dual focus) is mentioned in the works of the majority of modern scholars [1, 6, 7, 9, 10]. In CLIL equal attention is paid both to the acquisition of a foreign language (English, in most cases) and a curricular subject. Students do not study language separately from content subject. At the same time, they study the content subject with and through a foreign language. This idea is also mentioned by Eurydice [2]. In CLIL approach a wide range of curricular subjects is meant by “content” and “content subject” or curricular subject, e.g., biology, chemistry, political science, geography, management etc. except a foreign language as it is a means of teaching and learning though it is a part of the curriculum. The focus on the subject in this educational approach gives university students ready access to authentic documentary and scientific texts (articles, textbooks etc.), audio and video on realia, phenomena, concepts, notions and recent developments in their field of study as CLIL teachers want to draw students’ attention to the most up-to-date data. It proves the idea that content drives most CLIL implementation. So, it is not possible to contradict the words of Wolff: “The CLIL approach is based on the well-known assumption that foreign languages are best learnt by focusing in the classroom not so much on language – its form and structure – but on the content which is transmitted through language” [11].
British Fiction in CLIL Methodological Approach
207
There are four components of CLIL (4Cs): content, communication, cognition, culture [3] that are to be considered when developing a CLIL lesson. Considering the goals of CLIL implementation at university we believe that they do not differ from those that are set at secondary level of education. They are summarized in TKT: CLIL. Handbook for Teachers [8]. Summing up the information on the essence of CLIL and the aims of its implementation in the English classroom we would like to consider in this paper the possibility of the use of some works of British authors in this educational approach. The use of CLIL gives an opportunity both to teachers and learners to pay equal attention to the target language and the curricular subject. Though at different stages of CLIL implementation the stress can transferred either to the language or to the curricular subject depending on the learners’ language competence or cognitive difficulties that may arise in studying the subject. We think that CLIL can be used both in subject classes and language ones. Taking into account dual focus of CLIL approach we foresee some difficulties in the course of its implementation. On the one hand, subject teachers may feel some inconvenience and the lack of confidence in the additional language in which the instruction is done and, on the other one, language teachers may not be completely sure in the content of the subject they teach. However, these difficulties that are highly likely in CLIL implementation can be regarded as opportunities to improve language skills and expand the knowledge of the subject for the subject teacher and the language teacher, respectively.
3 Research In order to consider the possibility to use the literary works of British authors in CLIL approach we held a number of classes with students of Perm State University of three faculties: the faculty of History and Political Science, the faculty of Geology and the faculty of Biology. The choice of fiction was based on the following criteria: a literary work contains a certain percentage of specialized vocabulary relevant to the field of knowledge of the faculty (first of all, terms, special words, collocations); supplies learners with new ideas, data and notions in curricular subjects; interesting enough; the author should follow the scientific principle when interpreting the material; he/she should avoid primitivism in presenting scientific phenomena. We believe that the books chosen for the research meet these criteria. The books that were used at the classes were the following. “Stuff Happens” by David Hare, a history play, on “very recent history” as the playwriter puts it in the Author’s Note to the play. i.e., on the events that precedes the invasion of Iraq by American and British troops – the book was read, discussed and some parts of it were dramatized by the students whose major is International Relations. The play gives an overview of the presidential system of U.S. government with its distinctive feature of the system of checks and balances and political principle of the separation of powers. It explains world political machinery of the late 1990-ties paying special attention to the work of diplomats, the role of the UN in making decision critical for the whole world. The book focuses on the personalities of world leaders of that time: George Walker Bush, Anthony Blaire and their cabinets. Also, the play is full of historical events (9/11 attacks), political terms and notions, vocabulary units used in the field of
208
M. Firstova et al.
international relations and diplomacy, concepts of the world politics. The performance of some international organizations like IAEA (International Atomic Energy Agency) is in the focus of author’s attention as well as the activities of such organizations as CIA and MI6. The style of the play can be described as semi-documentary which means that the author uses interviews, talks of politicians, decision makers in his work. All these things are of interest for the International Relations and Political Science students. The use of this play as a classroom material makes the content subject the main focus of the educational process which corresponds to one of the aims CLIL. And, two works of Arthur Ignatius Conan Doyle (1859–1930): “The Maracot Deep” (1929) and “The Lost World” (1912) were read by the students of the other two faculties. Both novels of Conan Doyle are rich in special vocabulary, as they belong to the genre of science fiction novel. The plot of the works is quite fascinating and written in classical English. The author tries not to depart from the principle of science in fiction, his interpretation of scientific realities and facts is knowledgeable and trustworthy. Also, the fiction material is not primitive, it is quite serious and full of scientific hypotheses and facts. In “The Maracot Deep” A. Conan Doyle describes his hypothesis of the disappearance of the Atlantis continent, which went to the bottom, with an air dome formed around it, as a result of which the existence of people and animals on the continent is possible. The writer praises the Atlantean heroes who managed to escape and live at the depth of eight thousand kilometers. He tells how the Atlanteans built a civilization that can withstand tremendous pressure and resist underwater monsters. Professor Maracot’s expedition travels in a special underwater vehicle (bathysphere) to the deepest depression in the Atlantic Ocean. There, the professor and his companions discover an underwater city that once sank. This city is Atlantis, which has been lost to Earth’s civilization. Along with learning about the culture and customs of the Atlantean descendants, the expedition representatives learn about the flora and fauna of the depression and the surface of the lost city. At the end of the expedition, Maracot and his companions return to the surface of the ocean in balloons filled with gas. In “The Lost World”, the author describes an expedition of British scientists to South America. They go to an unexplored plateau, where they hope to find new species of animals and plants. What they see there far exceeds their expectations. The expedition discovers a real lost world inhabited by dinosaurs, prehistoric humans, and overgrown with plants that died out millions of years ago. Conan Doyle depicts alosaurs, pterodactyls, iguanodons, and rich paleontological vegetation in the novel. He also includes in the novel an intelligent tribe of ape-men. Consistent with the content of the works, we study the novel “The Maracot Deep” in Geology faculty because it is replete with a narrative of underwater geology, and the novel describes the seismic processes that created the underwater city. The novel “The Lost World” is more suitable for work with Biology students because it presents hypotheses for the formation of an isolated area inhabited by extinct species of fauna and flora. Having worked with the books mentioned above the students were interviewed on the relevance of the literary works to their fields of study, improvement of language skills,
British Fiction in CLIL Methodological Approach
209
the need for scaffolding in simultaneous learning content and language, the acquisition of new concepts and ideas of the curricular subjects etc. New ideas and concepts relevant to the fields of study of the students were introduced in most cases with new vocabulary, so the quantity of vocabulary units learnt by the students who read and discussed literary works was compared with the one of the other groups that studied the same topics but with vocabulary textbooks.
4 Analysis The interviews held with the students who read literary works revealed that they found the content of the books not only relevant to their field of study, but interesting and inspiring, expanding their horizons and enriching their knowledge of the curricular subjects. It shows that one of the main aims of CLIL educational approached can be achieved with the use of authentic literary works that meet the criteria mentioned above. As for the improvement of language skills most students who were reading “Stuff Happens”, a historic play, highlighted the expansion of their vocabulary on topics relevant to their major and better understanding of some realia, for instance, the division in American politics into “doves” and “hawks”, the peculiarities of U.S. electoral system (the role of Electoral College in presidential elections) as well as British and American idioms used by politicians of these countries. Also, special attention was paid by the students to the titles of international agreements, names of political doctrines, names of international organizations, geographical names, diplomatic terms, position titles within the British and American governments. As one of the key events in the play is a military conflict in the Middle East students mentioned the acquisition of military vocabulary which was new to them. Some students mentioned the necessity of preliminary vocabulary work (pre-reading activities) as the pronunciation of some new terms, names of political movements and religious groups was difficult to a few. In order to facilitate the reading of authentic text students were supplied with “A Commentary with Annotations” edited by Karen Hewitt where the pre-history of the events depicted in the play “Stuff Happens” is discussed and explained. The play and the booklet of commentaries became available during the implementation of the project “Contemporary British fiction at Russian Universities” by Oxford Russia Fund. The booklet contains valuable information on previous international armed conflicts in Vietnam and Afghanistan, the Cold War, Israeli-Palestinian conflict etc. So, the booklet can be regarded as a scaffolding medium to support learning of content and language, and that is also one of the aims of CLIL. Comparison of the number of vocabulary units learnt by the students of the group that read the play and of the group that did not shows that learners who dealt with the new vocabulary with and through fiction remember more words than their peers who did it with vocabulary textbooks. It became evident through lexical dictations held in both groups.
210
M. Firstova et al.
5 Discussion The use of fiction in teaching and learning both the English language and the curricular subjects leads to the development of exercises that help to focus on each. It is also important to note the use if ICT in CLIL. The most widely spread ones are creating PowerPoint presentations and doing web searches. For instance, during the reading of the play students were doing web searches fairly often as they need additional information on countries, regions, people (characters of the play), religions etc., mentioned in the text. They made PowerPoint presentations on their findings. As for the resources used at the lessons that are discussed in this paper it is necessary to note that reading a historical play makes learners to read documents, listen to interviews and talks and watch videos connected to the events depicted in the fiction text. For example, while discussing the invasion of Iraq George W. Bush’s address on the start of war. Students also watched the timeline of the Iraq war on the net. These resources can be effectively used in CLIL as they are dual-focused on the language and the content subject. Considering exercises on vocabulary and grammar used in the literary text here we place some examples of these ones based on the novels of Arthur Conan Doyle: “The Maracot Deep” and “The Lost World”. Exercise 1. Find sentences with certain words. e.g., Find the sentence about the misfortune of the ship. Exercise 2. Match a word with its definition. Students are given 2 columns of words and an extract from the text where these words are used; their task is to connect pairs. e.g., Match the word with its definition. 1. Paper
a
a ship that moves by steam power
2. Oceanography
b
a long journey organized for a particular purpose, especially to a dangerous or distant place
3. Expedition
c
likely to end in failure or death
4. Experienced
d
the scientific study of the sea
5. Navigator
e
an engine moved with steam
6. Steamer
F
documents relating to work, study, or personal matters
7. Deck
g
part of ship you walk on
8. Mechanic
h
someone whose job is to repair vehicles and machines
9. Steamship
I
someone whose job is to plan the direction in which a ship, plane, or car should travel
10. ill-fated
J
someone who is experienced has skill at something because they have done it a lot
Exercise 3. Choose an antonym of a word from the suggested group. Exercise 4. Choose a synonym of a word from the suggested group. Exercise 5. Explain the meaning of the word without translating it. Exercise 6. Fill in the blank with the right preposition.
British Fiction in CLIL Methodological Approach
211
Exercise 7. Write out and translate sentences with a particular grammatical structure. (Write down the sentences where Present Perfect Tense is used and translate them into Russian). The following exercises can be used to check comprehension of the general content of the text: 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15.
Think of headings for the main semantic parts of the text. Find the sentences that express the main idea of the individual parts of the text. Read or write out passages that describe the character. Find sentences that confirm or disprove the thought that … Identify the sentences that support the statement. Identify the sentences that disprove the statement. Name the places where the actions took place. Name the main characters and secondary characters of the action. Continue the story. Finish the story. Agree with the statement. Disagree with the statement. Choose a sentence that matches the content. Render the text. Answer the questions on the text.
In the next stage, the students discuss what they have read. At this stage their understanding of the text devoted to a particular field of study is monitored. The tasks are continually made more difficult, moving from tasks with prepared speech to tasks with unprepared speech. The practice at this stage is: 1. 2. 3. 4. 5.
Render the content of the episodes 2. Description of the action of a character in a specific situation. Description of the scene, time, circumstances. Comments on the episodes. Organizing a discussion about the particular situation, etc.
Exercises on creativity development are also given which are designed to work on both general and professional vocabulary development. Students are encouraged to: 1. Describe the behaviour of the characters in changing circumstances (increased air temperature, increased pressure, etc.). 2. To tell a story on behalf of different characters (they may be scientists from different specialties). 3. Have the text be illustrated with diagrams and drawings. 4. Ask a question to the characters, imagining that you are holding a science conference after the characters return home. 5. To write a post-it paper based on some part of the text. 6. Write an abstract of the text. 7. Write a business letter to a character. 8. Give advice to the main character.
212
M. Firstova et al.
6 Conclusion The analysis of the results obtained in interviewing students who use fiction texts in order to develop their language skills and knowledge of curricular subject shows that literary works can be effectively used in CLIL educational approach. We think that the use of authentic literary texts related to the topics of the university students’ field of study allows to achieve the main aims of CLIL i.e., to give university students the most recent data, cutting edge concepts, notions and knowledge in curricular subjects, to improve their skills in both curricular subjects and the English language which is regarded as the most widely used additional language in CLIL in Europe, to encourage students to feel more confident in English, to make the content subject the main focus of classroom materials, to enable students to access curricular subjects by adapting lesson plans and material to the students’ level of command of the English language which can vary, to provide them with cognitively challenging materials and to provide scaffolding in order to facilitate the process of learning both of content and language through various range of exercises on vocabulary and grammar development as well the use of ICT.
References 1. Biglari, N., Struys, E.: Native language interference in English l2 word recognition and word integration skills. Theory Pract. Lang. Stud. 11(1), 1–11 (2021) 2. European Commission, Directorate-General for Education, Youth, Sport and Culture: Content and Language Integrated Learning (CLIL) at school in Europe. Publications Office of the European Union (2006) 3. Coyle, D., Hood, P., Marsh, D.: CLIL: Content and Language Integrated Learning. Cambridge University Press, Cambridge (2010) 4. González, J.A., Barbero, J.: Building bridges between different levels of education: methodological proposals for CLIL at university. Language Value 5(1), 1–23 (2013) 5. Hurajová, L.: Tertiary CLIL. In: CLIL in Foreign Language Education, the e-textbook, p. 85– 98. Nitra, UKF (2015) 6. Díaz Pérez, W., Fields, D.L., Marsh, D.: Innovations and challenges: conceptualizing CLIL practice. Theory Pract. 57(3), 177–184 (2018) 7. Teruel, T.M., Fields, D.L.: Playback theatre: embodying the CLIL methodology. In: Nicolás Román, S., Torres Núñez, J.: Drama and CLIL, pp. 47–75. Peter Lang Verlag, Lausanne (2015) 8. TKT: CLIL. Handbook for Teachers. Cambridge University Press, Cambridge (2016) 9. Van de Craen, P.: CLIL and educational change. What CLIL teaches us about (language) learning. Analisi Linguistica e Letteraria 1(2), 245–256 (2019) 10. Van De Craen, P., Surmont, J., Knell, G., Stroughmayer, M., Struys, E.: CLIL, languages of schooling and the role of implicit learning with special reference to the learning of mathematics. Eur. J. Appl. Linguist. 6(1), 91–108 (2018) 11. Wolff, D.: Content and language integrated learning. In: Knapp, K.-F., Seidelhofer, B. in cooperation with Henry Widdowson (eds.) Handbook of Foreign Language Communication and Learning 5(21), pp. 545–572. Mouton de Gruyter, Berlin (2009)
At the Crossroads of Mythological and Technological: A Case of Cognitive Linguistic Analysis of EXCALIBUR in Advertising Discourse Anastasia Sharapkova1,2(B) 1 Department of English Linguistics, Philological Faculty, Lomonosov Moscow State
University, Moscow, Russia [email protected] 2 Research Institute for Brain Development and Peak Performance, Peoples’ Friendship University of Russia, Moscow, Russia
Abstract. The paper zooms in on the myth evolution in advertising discourse and its semiotic and cognitive functions. Myth is an instrument to advance and mediate knowledge blended with rationality, emotionality, and pragmatic purposes. This article aims to present the development of King Arthur’s sword Excalibur as a source for mental and technological construal in modern advertising discourse, where the mythological and technological meet to encode new conceptual projections referring to the outer world. Outlining the core conceptual characteristics of EXCALIBUR as a weapon and two dynamic frames, we are able to outline the references to the secondary conceptualizations interwoven with interpretations of the concept. We demonstrate that EXCALIBUR can be interpreted in two mutually exclusive ways of its source that shapes the construal of the mythological Blended space 1 to which technological sphere is added in the Mental space 2, which can specifically focus our attention on certain conceptual characteristics projected in discourse. Keywords: Conceptual Analysis · Myth · Advertising Discourse · Mental Spaces · Secondary Conceptualization
“Any sufficiently advanced technology is indistinguishable from magic” Arthur Clarke
1 Introduction Myth has always offered a rich source of inspiration for multiple purposes ranging from purely artistic to no less purely applied. The world’s literature, poetry, art, music, and films – all of them can be regarded the enduring heritage of myth evolution. These are archaic “traditional prose narratives” (Bascom 1965: 136) that existed long before the This publication has been supported by the RUDN University Scientific Projects Grant System [project number №050738-0-000]. © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 E. Isaeva and Á. Rocha (Eds.): Perm Forum 2022, LNNS 622, pp. 213–226, 2023. https://doi.org/10.1007/978-3-031-28086-3_17
214
A. Sharapkova
“axial age” (Jaspers 1991: 4). They have withstood the rationality surge to perfuse the modern-day reality in various spheres ranging from entertainment to such serious things as politics (Strath 2006). However, the cognitive underpinnings of harnessing myth in contemporary settings in dynamics are not fully elucidated. Being successful mediators between mass and individual consciousness (Sharapkova, 2022), myths have formed part and parcel of a ‘community interpretational mental tool’1 crucial to our ability to form novel structures of knowledge adjusting and adapting the old ones. Myths have been the earliest systems that “fix and organize abstract conceptual relationships in terms of concrete images and thus make speculative thought possible” (Geertz 2000: 13). Being defined by an amalgam of “diffusion, syncretism, and emotional saturation” (Meletinsky 2001: 24–25), myths “can be used as a bridge between rationality and emotion” (Do˘gan and Gjorgjioska 2021: 93). As a result, powerful mythical images turned out to be in high demand for mankind. We believe that myths act as pragmatically necessary both mental and narrative constructs of the world. This construct is rooted in the distant past, but continues to partially perform its cognitive, explanatory, and regulatory functions even today. Most probably, the ability to integrate old and new types of knowledge as a feature of human consciousness allows myth to remain relevant. Myth is still an instrument to advance and mediate knowledge blended with emotionality, they “provide us with the tools we use to organize the flow of incoming information” (Midgley 2004: 4). When the binary opposition of Mythos – Logos was formed, “the age of myth gave way to the age of reason or logos” (Fowler, 2011: 46). However, the dichotomy between two opposing models of thinking, namely rationality/reason and myth, has turned out to be a mere model or a myth itself being debunked by further studies. The ability of myth to bridge the well-known and unfamiliar pieces of knowledge as well as complex interrelation between rational and irrational constructs is successfully used in advertising discourse. Advertising exploits mythological to add another dimension to the sold goods and opens a way to a figurative (secondary) conceptualization and reinterpretation. Branding and myth-making are known to have a lot in common and marketers often build their brands on the existing myths; as a successful brand is closely connected with images, emotions, and associations aroused by mythological conceptual patterns. Marketing researchers also address the significant role of the latter, separating two components within a brand – the actual (a commodity and its properties) and the emotional, i.e. “a certain narrative, a legend, a magic story about the unique qualities of a certain product that acts as a magical artefact” (Tulchinsky 2011: 189). As it was already mentioned by Do˘gan & Gjorgjioska, “brands try to communicate their reality to the target audience through the emotions that myths contain” (2021: 93). Apart from the roster of products themselves, a brand includes what “consumers feel about the product; it is attachment to it, trust and loyalty” (Starov 2013: 16) which are built on the preformed image. Trying to influence the irrational part of human consciousness, marketers act at the level of recognizable myths, as they are “the most semantically rich, energetic and exemplary images” (Toporov 1995: 5). As M. Batey emphasized, brands strive to break through to primordial experiences and use symbolic meanings carrying archetypal meanings (Batey 2008: 36). 1 Here and further the italics of the authors.
At the Crossroads of Mythological and Technological
215
Here we would like to scrutinize a case of using Excalibur as an element, unlocking references to the myth about King Arthur, reviving it in the consumers’ consciousness. Our aim is to analyze the use of name and image through construing the concept of EXCALIBUR as the mythological artefact; in doing so, we point out how myth is interpreted by a linguistic personality being transformed in and through advertising discourse. The integrated methodology applied to the advertising discourse exploiting Arthurian imagery was built on conceptual (Evans 2006) and discourse kinds of analysis (Dijk 2001) linked with the blending theory (Fauconnier and Turner 2008; Fauconnier 2018). First, central and periphery elements of the studied concept were determined through analyzing dictionaries of language, culture, and associations. Studying the advertising discourse as well as the customers’ reviews, we outline the major characteristics most typically played upon and the set of conceptual extensions the mythological images can sustain in modern world. Further, we applied the method of mental spaces modeling and considered the principles behind creating a successful brand that is aimed to carry a cultural message through the integration of mythological images.
2 Arthurian Myth in Advertising: The Background and Conceptual Analysis One of the ideal myths surpassing the archaic times and used almost in every context possible is the myth about King Arthur. This myth originated presumably in 5–6th centuries AD and was associated with a just ruler who tried to protect his land from the invasion of Germanic tribes. The Arthurian legend has Celtic mythological origins (god-Artahe) (Rolleston 2004: 140), and in the early periods of its existence it could be embodied in a legend that tends to incorporate features of a certain historical prototype. Then this mythical image separated from whatever historical prototype there had been; the collective cultural memory distilled it through numerous narratives. Finally, it turned into a cultural myth with a set of archetypes in their interrelation, social attitudes, and a series of established plots – embedded frames. This mesmerizing mélange of history and myth, idealism and realism, romance and tragedy endowed it with unprecedented durability and adaptability. E. Sklar accurately described the Arthurian myth as “a sensitive vessel filled with expectations, anxieties, and desires” of each new era, or as she puts it, it is a “cultural currency” (Sklar 2002: 9). In other words, each element of the myth can be given both meaning and value, which in its turn suggests that the elements of myth are organically embedded in culture. Each of these elements has value and thus can be reevaluated and commodified. In her pioneering work the author further singled out the “promotional Arthuriana”, “designating any use of or allusion to the legend or its central images as a vehicle or hook to direct potential customer’s attention” (Ibid 17). This apt observation is very interesting as we are going to see from the analysis below, that the process of exploiting this myth in advertising resembles the cross-domain mapping in case of metaphorization process with some feature working as a vehicle with the final blend formed of two or more input spaces, one of them being mythological.
216
A. Sharapkova
In advertising this myth gives an opportunity to open up an additional narrative layer and to shift the focus, and as for the model the necessary product characteristics indirectly, through the key features of basic conceptual entities that are transformed in advertising discourse. As Sklar further noted advertisements “neither imply nor assume knowledge of Arthurian fictive history, but instead count almost exclusively on the associations evoked by the individual icons” (Ibid 19). Excalibur is one of the key artefacts that legitimized King Arthur’s power. Moreover, the sword has magical properties rendering its owner invulnerable in battles. This object is an ancient artefact appearing in fairytales even before it was connected with Arthuriana and King Arthur himself. For instance, it even belonged to Gawain in the earliest French romances (Lacy et al. 2013: 147). First of all, the conceptual characteristic of a “weapon” is most naturally outlined in the structure of this concept. In 6 out of 10 analysed definitions the following adjectives are combined with the word sword, they are as follows: mythical, legendary, and magic. As a result, the core of the concept also includes positive assessment of the sword and its magical and protective properties. Notably, King Arthur had two swords – the first, that he pulled out of the stone, which allowed him to demonstrate his right to the throne, and the second one given by the Lady of the Lake. Due to the peculiarities of medieval novels’ style, and partly because of the syncretism of mythical images, when reading T. Malory’s novel “Le Morte d’Arthur” one gets the feeling that it is one and the same sword. This explains the interacting coexistence of two parts in the concept structure in the everyday consciousness represented by two different frames. The first scenario is pulling a sword from a stone as an act proving the legitimacy of the claim to the throne and heroic virtues. This feature is presented in “Longman Dictionary Online”: Arthur became king of Britain when he succeeded in pulling a sword called Excalibur out of a stone – something, that only the person who would be king could do; and in “Oxford Advanced Learner’s Dictionary”: As a boy, he pulled it from a stone when no one else could move it. This particular scenario involves its emerging from the water being granted by some superhuman entity. This version is presented in the English-language encyclopedia “Britannica”, cf.: It was the Lady of the Lake offering Arthur a magic unbreakable blade, fashioned by an Avalonian elf smith, along with a scabbard which would protect him as long as he wore it. The concept of Excalibur is a complex conceptual entity with both static conceptual representations and dynamic frames embedded. At the core lies the frame of a WEAPON property: “a device intended to injure or harm opponents’ in a conflict (offensive weapons) or to protect against such an attack (defensive weapons)” (Framenet). Thus, we have the most recurrent parts within this frame realized differently in different contexts: as a CREATOR, DESCRIPTOR, TYPE, USE, WEAPON, and WIELDER. To build the conceptual structure we relied both on the dictionaries and a set of associations to the word EXCALIBUR. According to the “Dictionary of Associations” (Word Associations Network), besides the above-mentioned characteristics the conceptual structure denoted by the word “Excalibur” also includes actions with the sword and other images associated with it (see Fig. 1). For example, the characteristic feature “weapon” unites the following set of associations: scabbard, saber, blade, to forge, to
At the Crossroads of Mythological and Technological
217
smite, battle, and to dub. It naturally connects the weapon with other characters, including Merlin – Arthur – Superhero –Avalon – Holy Grail – Moira – Albion – Fay – Morgan.
Fig. 1. The structure of the concept EXCALIBUR
This inherent complexity allows to profile one conceptual feature or even a frame slot and have the multiplicity of variations profiled in advertisements.
3 The Dynamics of Advertising: Exploiting the Embedded Frames There were more than 30 advertisements exploiting the reference to Excalibur found with two domains largely prevailing: technology accounted for 11 cases, while weapon – 10 ones. Most advertisements seem to use the static characteristics, while the most interesting examples are connected with two dynamic frames of obtaining the sword. It is either pulling it from the stone or obtaining it from the Lady of the Lake. These two frames seem not to clash in advertising discourse. First is the advertisement for “POWER Stick Jet” vacuum cleaner produced by Samsung company. In Fig. 2 (a) a powerful wireless vacuum cleaner associated is represented with the scenario of pulling the sword from a stone and thus legitimizing royal power. We get this action literally in this example, when several elements of the myth get actualized at the same time. It projects the concept of KING ARTHUR or a superhero with exceptional physical strength, valour onto a consumer. A blend is formed in the mind of a potential buyer, in it the conceptual features of KING ARTHUR are superimposed on the characteristics of the vacuum cleaner that is described as powerful. It is important to note that in this case not only linguistic, but also visual means are ascribed, which start the integration process, since “mental spaces include not only linguistic, but also nonlinguistic blends that are directly related to the areas of reference, correlation, structural projection, dynamic mental simulations, etc.” (Manerko 2002: 236). So, the vacuum
218
A. Sharapkova
cleaner is projected to the sword, while the consumer gets projected to the image of King Arthur. The idea of proof and status legitimization of the consumer are perfectly realized in an advertisement for a wooden “burr puzzle” in Fig. 2 (b), where a sword has to be pulled out after various actions with the constituent parts: The challenge of Excaliburr, as its name suggests, is to ultimately remove the sword from its resting place. Become the KING of this burr puzzle! The mapping of the consumer to King Arthur is also quite clear. This advertisement worked well with the consumers as they start paying with the mythic associations in their comments. Two popular YouTube bloggers Chis Ramsey and Mr. Puzzle intended to solve this puzzle. At the very beginning of the fight, the first blogger emphasized the peculiarity of this toy through the word legendary (before we start solving this legendary puzzle I would like to…), i.e. uses one of the core characteristics of the concepts EXCALIBUR and KING ARTHUR, involving the audience in a mythological plot. Unfortunately, he failed to solve the puzzle, so users suggested changing the name, playing by the rules of the proposed myth: Have you tried legally changing your name to Arthur; You know why you can’t take out sword? Your name’s not Arthur; Your problem is that this puzzle can only be solved by the true King of England; Looks like England remains without a king. I think it would be easier to pull out the real sword from the stone. After the puzzle was finally solved, the blogger received comments like: After first solving Excalibur and now this offer, you are not «Mr. Puzzle», you are «Sir Puzzle». In two further advertisements (See Fig. 2 (c) and (d)) the action is not presupposed, but the picture clearly facilitates aligning the consumer with the legendary king. The old English brand “Wilkinson sword” uses the iconic image https://www.ebid.net/nz/for-sale/1966-wilkinson-sword-razor-blades-ad-royalnavy-officer-s-sword-200678672.htm) as well as the Keltek premium beer. This taking the blade or opening the beer is similar to the action of pulling the sword.
a) a vacuum cleaner
b) burr puzzle
c) razor blades
d) beer
Fig. 2. Advertisements, relying on the idea of pulling the sword out the stone
The second frame based on the scenario of obtaining a sword from the water – was realized mainly in some experimental vehicles. In all examples discussed below, the blending is ensured by the physical movement – arising from water and getting back to
At the Crossroads of Mythological and Technological
219
it, like the mythological sword arising from the Lake and returning there after Arthur’s death. First, an experimental amphibious aircraft designed by Sikorsky called “Excalibur VS-44” realizes the idea of arising and coming back to water. It was described in a documentary “The Queen of the Sky” (2002) as an icon from the golden age of flying boats. It was designed in 1937 for transatlantic, long-distance air travel, and named after King Arthur’s fabled sword; it was built to hold more than 40 passengers in compartments allowing to have a comfortable sleep on board (see Fig. 3 (a)). According to the legend, the sword emerges and then goes under water, which is the main functional component of this aircraft capable of landing both on water and on land. Interestingly, the American helicopter services offers the Excalibur card with a secondary reference: “The Excalibur Card’s name honors Sikorsky’s long and ongoing history of innovation, including its Excalibur, VS-44, four-engine, commercial flying boat” (https://www.flyaag.com/hel icopter-charter-card-excalibur/). On the other side of the ocean, the motherland of the Arthurian myth the first experimental British submarine “HMS Excalibur” was created for the Royal Navy in 1947 (Fig. 3(c)). The model based on high-test peroxide (HTP) power was not successful and soon replaced by nuclear-powered submarines, but naming still exploited the second frame. The reduced version of the second frame relying only on connection with water can also be observed in the common names of high-speed and often very luxurious yachts- “Excalibur” or “Excalibur Princess” (Fig. 3 (b)).
a) Excalibur VS-44
b) Excalibur yacht
c) HMS Excalibur
Fig. 3. The objects named Excalibur connected with the frame of getting the sword from the water
Notably, these two frames are mutually exclusive. One of them is pulling the sword out of stone, while the other one is arising from and returning to water. The marketers choose one of them as Input space 1 and blend with the input space 2, the representation of some goods. Interestingly, the mysterious sword is projected into the technological sphere, and in the blended space the core characteristics are reconceptualized. Having the mythological features making the ordinary sword exceptional, are transferred to the goods, being exceptional for being technologically advanced. (Fig. 4).
220
A. Sharapkova
Fig. 4. The conceptual blending in the advertised objects based on two distinct frames of EXCALIBUR
4 Advertising Exploiting Static Conceptual Characteristics In all static examples of an allusion towards Excalibur as an artefact of the king, KING ARTHUR’S conceptual characteristics are evoked. Namely, the reference to the concept of a knight, with numerous slots including the armour, the horse, the adventures, belonging to aristocracy, and last, but by no means least, – just a weapon. Most generally, it implies at least three potential conceptual slots to be used in advertising – a vehicle, weapon, and armour. Since Excalibur has always been “a symbol of prowess, of manhood, of potency, and of structural stability” (Sklar 2002: 20), it renders itself into various goods for ‘real men’ like vehicles or steel tools. There are numerous vehicles named Excalibur ranging from motorbikes to luxury cars and yachts. Moreover, since knights are aristocratic, these are no ordinary cars but some fine, high-quality, and luxurious products (Fig. 5 (a) and (b)). The following slogans can be found in the first advertisements of Excalibur cars: Add a Little style to your life! Indulge yourself , America’s only Luxury convertible built especially four you in limited numbers, of course. “Moto Morini 501 Excalibur” was first advertised with a sword, being a design element. The knights have to take part in adventures, travelling to remote areas. Another realization of a vehicle scheme is Excalibur van (Fig. 5(c)). It was advertised with the following text: Once upon a time – or more accurately, back in the 1970s – the van reigned supreme. Riding-in right on the heels of the fading muscle car era, the custom van became the ultimate self-expression vehicle– tricked-out and personalized to show all the world just how your bad self rolled. Here we find the references to the old good times with brutal knights, warriors, and crusaders. The syntax of the passage contributes to building this image. As it happens with good advertising, the customers immediately got involved in this play and we can find pictures dating back to 1970-s, with a young woman dubbing a young man with a shining sword, ironically developing the story and rendering the conceptual mapping successful. In this vein, not only the products but also the services could be advertised. We were able to find “Excalibur Los Angeles Movers” with an image of a knight on their logo, “Crusader caravans” (Australia) with a knight on its logo as well offering various vans to travel like Excalibur Van, Excalibur Nobleman etc. (Fig. 5 (d)). The first exploited
At the Crossroads of Mythological and Technological
a) Excalibur car
b) motorbike
c) van
221
d) A logo of a transport company
Fig. 5. The Excalibur-related advertisements connected with vehicles and travelling
the image of some elite, high-quality product, the excellent service. Here at Excalibur Movers in Los Angeles, you will not find your ordinary Moving Company. With an elite team of knowledgeable and caring Moving Consultants, we are set and prepared to provide you with excellent moving services in Los Angeles and competitive prices. Not only does Excalibur Movers in Los Angeles provide competitive prices and maintain an EXCELLENT rating, but all our movers are PROFESSIONALS, licensed, bonded, and insured (https://excaliburmovers.com/). The development of aristocratic luxury for true knights is seen in various beautiful objects with vintage or knightly artistry. This element is undoubtingly present in many products connected with marketing Athuriana, yet some objects are particularly high-class. For instance, the series of mechanical watches “Excalibur” with miniature golden knights, manufactured by Roger Dubuis, where each knight figure is unique and corresponds to the number on the dial. The dial is designed in the style of Winchester Round Table (Fig. 6 (a)). Another example in Fig. 6 (b) is “King Arthur Excalibur Antique Walking Cane Stick (No Sword)” playing upon the discrepancy between a sword of a knight and a cane of a modern gentleman, quite a natural conceptual development of demilitarizing the hero. It is being advertised with the following text, where the cane is described through the lexis commonly used to describe swords: This walking cane is a man’s best friend. The cane features solid steel construction and features a 440 stainless steel blade. The tip has a rubber bottom for nonslip functionality. The handle is forged from steel and features detailed depictions. These canes are relatively inexpensive, hot sellers and are of superb quality. Don’t let these walking cane hidden swords pass you by. The similar process is observed in Cuban “Excalibur Cigars” and “Spar at Excalibur”: If you want to relax like a king or queen for a day, a massage at The Spa at Excalibur is the place to be. Since Excalibur is a sword, and the basic underlying frame is a weapon, it seems quite logical to use such a core characteristic as weapon, which, however, can be reinterpreted in numerous ways. Naturally, it does not have to be a blade of any kind. We found a
222
A. Sharapkova
a) a mechanical watch “Excalibur”
b) a Walking Cane Stick
c) cigars
Fig. 6. Advertising for an exclusive mechanical watch, a cane, and cigars
company “Excalibur Crossbow” for hunters, a rifle in service with Indian army “Excalibur rifle Mark-I”, and a rocket-assisted projectile “M982 Excalibur” in service with the US army. The first actively exploits the images remotely connected with myth-related narrative sphere with a slogan: DUALFIRE™ TECHNOLOGY – WE’RE MAKING HISTORY. Excalibur crossbows are safe, reliable, and durable. Matched with their incredible performance and how simple they are to use, Excalibur crossbows are made for hunters. A more complex process occurs when two features are used simultaneously: weapons and other conceptual characteristics. Thus, a warship in service with the British army is also named Excalibur. And the American Cold War – an era research program to develop an X-ray laser system as a ballistic missile defense program was called “Project Excalibur” combining the weapon and high technology. “Excalibur Army” is a Czech-based company, producing a full range of military equipment. It uses both the conceptual part connected with a weapon and technology: Today we focus on development and production of new products integrating proven concepts and modern state-of-the-art technology that meet the changing requirements of armed and security forces worldwide (https://www.excaliburarmy.cz/company). Merging the characteristics of a weapon and protection is found in various security services like “Excalibur protection agency” or Excalibur protection group” “Excalibur Academies Trust having the reference to the knights of the Round Table: Excalibur Protective Agency was formed around the idea that honesty and integrity are the core of every call for service along with a professionally trained staff. Protection could be found in the sphere of finances as in “Excalibur Insurance” featuring a lady in knight’s armour with a shield and a sword: https://excaliburinsurance.ca/protection-checkup/. 21st century marked an interesting transition of something mythical and mysterious into some advanced technology given the nearly mythological perception of omnipresence and omnicompetence of science by laymen. The slot of a weapon was transformed into some high-technological tool presumably more appropriate for a modern consumer. There are several examples of this type. There is a company selling equipment for drying
At the Crossroads of Mythological and Technological
223
fruit and vegetables while preserving their properties called “The Excalibur Dehydrator”, the company producing tools for spring removal “Xcalibur tools” and “Excalibur hammer tools”. In the latter case, three elements are blended: 1) the material: metal sword-aluminum material body; 2) characteristic: a mythical, strong blade-ultra-strong, high quality; and 3) the owner: knight-man having such a luxury tool. Ultra-strong hammer tool with 10 functions. Packed in luxury gift box including high quality 1680D pouch. Aluminium material body and stainless steel tools (see Fig. 7 (a)). Another example is the shop for technological tools for drilling, metal work and repairing, called “Excalibur tools” with the knight with a sword in his hands and slogan: Go to work with finest tools! (Fig. 7 (c)). Yet another funny example of the kind with the metal being profiled is a series of nail tools “Excalibur stainless steel” comprising nail clippers and files for women.
a) the company producing tools
b) hammer tools
c) “Excalibur tools” logo
Fig. 7. Advertising going from a weapon to a tool
The idea of the sword and its magical properties in the modern world of technology is easily transformed into a unique technology, literally confirming the ironic remark of science fiction writer A. Clarke about technology indistinguishable from magic at a certain level of development. Thus, one of the first smart phones in 2006 was named HTC Excalibur without any references to a weapon or tool whatsoever, but possibly something that accompanies the modern man. The apex point is the development of a computer program being an acronym “Exascale Computing Algorithms & Infrastructures Benefiting UK Research (ExCALIBUR)”: ExCALIBUR is a UK research programme that aims to deliver the next generation of high-performance simulation software for the highest-priority fields in UK research. A number of other computer software programs for various purposes and united by the idea of protection in the online world also exist: “Excalibur WMS”, “Excalibur Apache”, “Excalibur Solutions”, “Excalibur Technology”. Another example, where three slots got partially blended is the device used by divers to find metal underwater: Minelab’s multi-frequency BBS technology, housed in a rugged platform, makes the EXCALIBUR II the best deep diving underwater treasure detector available. In Input space 1 the following characteristics are profiled: the frame connected with water, the ideas of a sword being a treasure, and the weapon transformed into a tool. With the reference to both the mythical sword reconceptualized as advanced technology
224
A. Sharapkova
and the secondary reference to avia transport by Sikorsky, “Excalibur systems” provides software for various flying vehicles having a sword on their logo. The products where two ideas get merged, namely, the idea of an armour of a knight and protection fulfilled by the mythic sword is clothing and boots. The menswear line “Excalibur” draws an analogy between the image of a knight and the image of a modern gentleman, and stylish clothing is reinterpreted here as a social weapon, cf.: Excalibur is the definition of a contemporary British sensibility of formal dressing. The brand offers wardrobe solutions from work to after hours, with a youthful flavor and cementing its position as an arbiter of taste and style. Excalibur prides itself on being contemporary, refreshing, youthful, dynamic and suave. Excalibur offers a distinct combination of fashion and quality for multiple lifestyle occasions, addressing fashion needs across work, after hours and partying occasions. Everything produced under Excalibur has personality woven into its very heart, an unswerving energetic approach to producing truly exciting formal wear. It also seems logical to create a line of shoes where we again observe the transfer through the intermediate concept knight; in these shoes a man can go on a knightly quest to the places where there are no roads. The quest is dangerous, so he should have durable, leather, waterproof shoes. The Excalibur Mens Leather Waterproof Boots are high performance hiking gear. The Vibram sole and nubuck leather upper make these waterproof boots highly durable with great traction on rough terrain. The breathable and antibacterial insole keep your feet fresh, cool and comfortable. Highly waterproof and durable, the Excalibur Mens Leather Waterproof Boots are ideal for off-road trekking and serious hikers. We have also found several bars and restaurants using the name of Excalibur, yet it is clearly the development of the slot of knighthood, pointing at friendly fabulous feasts, vining and dining, where the Arthurian references work merely as promotional embellishments. In all these examples, we observe an interesting phenomenon: in case of frame-toframe or concept-to-concept mapping there is no one to one correspondence but some slots present in the mythological domain are added thus augmenting the target domain, thus the blend is not a simple sum but an amalgam of various characteristics. This opens an avenue for creativity, being in such demand in advertising.
5 Conclusion Arthurian plots and images in films, literature, and especially in advertising of the past decades are so persistent and omnipresent that claiming the death of this myth would be too hasty. A well-known myth is a convenient mental construct with the already preconstrued form and content, possible combinations of meanings, and well-established connections of sign and meaning, which are easy to operate in new circumstances and types of discourse. It is also a mythological story of glory and power, so much loved in the word of rationality and technological progress. The analysis of advertising discourse showed that although the central or core characteristics are used most frequently, many peripheral ones unlock the possibilities of the myth-oriented transformations. Excalibur is successfully used in advertisements naturally connected with weapons, instruments, armament, but its mythological magical
At the Crossroads of Mythological and Technological
225
characteristic is re-conceptualized in new situations used in brands of advanced technology. This shift is determined by the modern social and cultural context and the priority of scientific knowledge. We may even say that this case is an example of merging between rational and mythological thinking to which a pragmatic function is added aimed at attracting our modern-day consumer. It was most aptly summarized by Mircea Eliade: “The modern man who feels and claims that he is nonreligious still retains a large stock of camouflaged myths and degenerated rituals” (1968: 204–205). The modern man is seeking for rationalizing and de-sacralizing of old myths, yet conceptualising some technology escaping his understanding is better rendered through myths being wholistic structures of knowledge. From the semiotic point of view each linguistic unit within a single advertising text refers to two conceptual systems at once having the same sign, but realizing a different concept. The words used in advertising discourse make it possible to develop and realize several meanings, one of which is material associated with technological sphere (advertising), and the other which, being initially culture-specific, becoming abstract in the process of human myth and experience development. Linguistic units serve as points of “semiotic conjugations”, i.e. lines through which integration is simplified or enhanced due to the development of discursive content. The formation of a united mental space with new characteristics not only creates a blend necessary for interpreting the content of a particular advertising text, but also determines new ways of reconstruction and reconceptualisation of the entire secondary system meeting at the crossroads in myth understanding, forming possible connections between mythological and modern technological realities, between archaic and modern world view. The most important thing in all the analysed cases is that EXCALIBUR is becoming one of the most important domains for secondary conceptualization in the process of identifying new anchors of human knowledge, mostly associated with novel trends of interpretation through the prism of understanding the mind and needs of customers. The analysed material showed that not only new practices of using ancient cultural myths have emerged in a contemporary society, but also new ways of their transformation in communication determined by a linguistic sign or a visual image. These ways are based on knowledge structures that have been formed over centuries and are supported by culture.
References Bascom, W.: The Forms of Folklore: Prose Narratives. J. Amer. Folklore 78(307), 3–20 (1965). Reprinted in: Dundes, A. (ed.) Sacred Narrative, pp., 5–29. University of California, Berkeley, CA (1987). https://doi.org/10.2307/538099 Batey, M.: Brand Meaning. CRC Press (2008) Dijk, T.A.: Critical discourse analysis. In: Hamilton, H.E., Schiffrin, D., Tannen, D. (eds.) The Handbook of Discourse Analysis. Blackwell Publishers Ltd., Malden, MA (2001) Do˘gan, B.Ö., Gjorgjioska, M.A.: Exploring the Potential of Myths as Marketing Instruments in the Post-Truth Era. In: Entrepreneurial and Communicative Mind in Action, pp. 92–104. Pearson, London (2021) Eliade: The Sacred and the Profane. Translated by Willard R. Trask. Harvest Books, New York (1968)
226
A. Sharapkova
Evans, V.: Lexical concepts, cognitive models and meaning-construction. Cogn. Linguist. 17(4), 491–534 (2006). https://doi.org/10.1515/COG.2006.016 Fauconnier, Turner, M.: The Way We Think: Conceptual Blending and the Mind’s Hidden Complexities. Basic Books, New York (2008) Fauconnier, G.: Mental spaces. In: Ten Lectures on Cognitive Construction of Meaning, pp. 1–23. BRILL, Boston (2018). https://doi.org/10.1163/9789004360716 Fowler, R.: Mythos and logos. J. Hellenic Stud. 131, 45–66 (2011) Framenet, Homepage. https://framenet.icsi.berkeley.edu/fndrupal/. Last accessed 17 Apr 2022 Geertz, C.: Available Light: Anthropological Reflections on Philosophical Topics. Princeton University Press, Princeton, NJ (2000) Jaspers, K.: The Meaning and Purpose of History. Politizdat, Moscow (1991). (in Russian) Lacy, N.J., Ashe, G., Ihle, S.N., Kalinke, M.E., Thompson, R.H. (eds.): The New Arthurian Encyclopedia: New edition. Routledge, New York (2013). https://doi.org/10.4324/978020339 6636 Manerko, L.A.: Fundamentals of conceptual integration of mental spaces. In: Text and Discourse: Traditional and Cognitive-Functional Aspects of Research (in Russian), pp. 17–29. Publishing house of RSPU, Ryazan (2002) Meletinsky, E.M.: From Myth to Literature. Publishing Center of RSUH, Moscow (2001). (in Russian) Midgley, M.: The Myths We Live By. Taylor & Francis (2011) Rolleston, T.: Myths, Legends and Tales of the Celts. ZAO Tsentropoligraf, Moscow (2004). (in Russian) Sharapkova, A.A.: Mediating and Transforming Knowledge in Daily Intercultural Communication: A Case of Arthurian Myth in Politics. In: Isaeva, E. (ed.) Specialized Knowledge Mediation, pp. 173–208. Springer, Cham (2022). doi: https://doi.org/10.1007/978-3-030-951 04-7_9 Sklar, E.S.: Marketing Arthur: the commodification of Arthurian legend In: Hoffman, D.L., Sklar, E.S. (eds.) King Arthur in Popular Culture, pp. 9–23. McFarland, Jefferson, NC (2002) Starov, S.A.: Management of trademarks of retail chains (in Russian). Publishing House “Higher School of Management”, St. Petersburg (2013) Strath, B.: Ideology and history. J. Polit. Ideol. 11(1), 23–42 (2006) Toporov, V.N.: Myth. Ritual. Symbol. Image: Research in the field of mythopoetic (in Russian). Progress, Moscow (1995) Tulchinsky, G.L.: Branding as mythology of the contemporary mass society (in Russian). In: Semiosis and Culture: From Reality to Text – from Text to Reality, vol. 7, pp. 189–200. KPI, Syktyvkar (2011) Word Associations Network, Homepage. https://wordassociations.net/en. Last accessed 17 Apr 2022
Genres of Professional Discourse in the Interdisciplinary and Methodological Context Nataliya Kolesnikova
and Yuliya Ridnaya(B)
Novosibirsk State Technical University, Novosibirsk 630073, Russian Federation [email protected]
Abstract. The article provides an overview of professional genres described by linguists and methodologists for pedagogical purposes as effective teaching languages and teaching professional genres in particular, remain relevant topics of lively discussions between national methodologists and linguists. Also, the article describes how the concept of genre entered the history of domestic and foreign science and how genre studies became a part of a scientific paradigm. Based on Swales’ Genre Analysis and the Theory of Genres by Bukhtin, the relevance of the description and classification of genres of different professional discourses is underlined. As a result of the analysis of domestic and foreign linguistic and methodological literature on genre studies, sets of genres typical of some professional discourses have been distinguished. These discourses are pedagogical, legal, medical, and military. Special attention is paid to an interdisciplinary genre – a report. Moreover, the limitations of the published studies have been revealed. Thus, it has been found that most authors who pose in their articles the problem of teaching scientific genres to undergraduate and graduate students write mainly about the importance of genre studies and do not point out what opportunities this will give students in the future and how it will help them be successful in the globalization context. The analysis revealed that there are few specific teaching models and real developments devoted to genre competence formation and the use of a genre approach to teaching communication to future specialists, but the studies published in the literature today appear to be quite promising. Keywords: Genre · Legal Discourse · Medical Discourse · Pedagogical Discourse · Military Discourse · Language Teaching
1 Introduction The concept of genre, as well as the concept of style, date back to the history of domestic and foreign science. This concept is ‘highly variable’ and depends on what scientific trends and concepts it is considered in [1, p. 150]. Genre is not a purely specific scientific category; it is a social category. Genre exists in all types of human communication, “the use of language is carried out in the form of single specific statements (oral or written) of participants in a particular area of human activity” [2, p. 249], genre “itself becomes © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 E. Isaeva and Á. Rocha (Eds.): Perm Forum 2022, LNNS 622, pp. 227–234, 2023. https://doi.org/10.1007/978-3-031-28086-3_18
228
N. Kolesnikova and Y. Ridnaya
a condition of speech interaction between people, a generator of mental activity” [3, p. 81]. Genre has been an object of research in the works of linguists, philosophers, methodologists, and educators. However, there are many published studies describing academic and professional genres mainly as linguistic phenomena. The aim of our study is to provide an overview of recent research works devoted to rhetorical and methodological description of different genres of different professional discourses, such as legal, pedagogical, medical, and military, that can be used for educational purposes.
2 Literature Review To start our overview, it is worth considering how the concept of genre entered a scientific paradigm. The term ‘speech genres’ was introduced by the Russian philosopher, literary scholar and linguist Bakhtin who defined them as “… Relatively stable thematic, compositional and stylistic types of statements” [2, p. 268], as real units of communication, fundamentally different from the units of language – words and sentences. He claimed that “to learn how to speak means to learn how to make up statements” [2, p. 272]. According to Bakhtin, “we speak only using certain speech genres, that is, all our utterances have certain and relatively stable typical forms as a whole. We have a wide range of oral (and written) speech genres. We use them confidently and skillfully in practice, but we may not know about their existence at all, … these speech genres are given to us in the same way as we are given our native language, which we freely speak even without theoretical study of grammar” [2, pp. 272–273]. There is an immeasurable number of speech genres. Each communication environment has its own set of speech genres, which serve multidimensional and heterogeneous human activity and are divided into primary and secondary ones. Due to the breadth and diversity of the phenomenon described, the term ‘genre’ has more than seven hundred different definitions and interpretations in terminological dictionaries. Some researchers interpret it as a substyle, others attribute a dialogue and a monologue to genres. Some consider a genre to be a culturally and historically formed way of language communication, a process-result sample of text. Some call functional and semantic types of speech (description, narration, argumentation) genres [4]. Today, speech genres are relatively stable thematic, compositional, and stylistic types of statements (texts). Speech genres are objective to an individual person, are normative and historical. They are developed in a particular era in accordance with the specific conditions of social life; are characterized by an evaluative attitude to reality; serve as a means of integrating individuals into society; are diverse and heterogeneous, classified according to the spheres of human activity and communication; are a support for creativity [5, p. 352]. In foreign linguistic literature, the speech genre is described as a special type of text, which is characterized by the connection between textual characteristics and a user of the text, and the presence of a special structure and its typical grammatical forms, reflecting the purpose of the genre [6]. An outstanding contribution to genre studies belongs to Swales [7] who combined rhetoric and linguistics to explain genre as grounded in shared
Genres of Professional Discourse in the Interdisciplinary
229
communicative purposes and discoverable through text analysis [7]. According to the author, “a genre comprises a class of communicative events, the members of which share some set of communicative purposes. These purposes are recognized by the expert members of the parent discourse community and thereby constitute the rationale for the genre. This rationale shapes the schematic structure of the discourse and influences and constrains the choice of content and style.” [7, p. 58]. It is worth mentioning that there is a large volume of published studies carried out by foreign researchers to describe genres for pedagogical purposes. Teaching genre performances as well as competence is considered in the work by Cope and Kalantzis [8] who analyze the rhetorical purposes, social functions, and organizational and textual features in some models of a particular genre. Johns [9] uses the method of having students conduct ethnographic research to improve students’ genre competence. Cheng [10] uses an approach to teaching genre awareness based on analytical methods for understanding and writing a new genre. Davitt in his work [11] underlines the necessity for genre scholars and teachers to employ rhetorical and linguistic genre studies to consider genre performances as well as competence. In addition, the analysis of foreign literature shows that most foreign genre studies are devoted to the linguistic description of genres of different professional discourses. Much attention in literature is paid to legal texts and genres. In [12] a state-of-the-art account of past and current research in the interface between linguistics and law is provided, the range of legal areas in which linguistics plays an increasing role is outlined. Tessuto [13] provides a corpus-based, comprehensive linguistic description and interpretation of selected English legal genres: Case Notes, Research Article Abstracts, Book Reviews, by surveying the distinctive arguments, content, structure, and interactions revealed in the construction and the use of the academic and professional written genres. Berukstiene [14] overviews and discusses genres of legal texts focusing on specific features of legal texts and criteria for their classification. Classroom discourse and curriculum genres are a focus of the study by Rose [15], who describes how the genres perform in pedagogic practice. In order to develop a potential generic model, using heuristic analysis to achieve a less biased view of the nature of variations of introductions, Elhambakhsh et al. [16] in their study try to investigate possible variations across medicine and applied linguistics. Thus, based on the postulate that representatives of this or that profession master a certain set of genres, which is a distinctive characteristic that allows us to refer them to one or another ‘discursive community’ [7], and supporting the idea that the generality and sociality of genre are emphasized by the fact that “we speak only using certain genre forms” [2, p. 181], it is possible to conclude that the representatives of different professions communicating within a group of specialists of the same area interact mainly through the same genres, professional genres in particular. Hence, there is a need for developing and enhancing future specialist genre competence [17, 18] based on methodological description of genres of different professional discourses for language teaching purposes.
3 Methodology The study is based on the analysis of domestic and foreign linguistic and methodological literature on genre studies. The issues revealed in the publications are as follows: the
230
N. Kolesnikova and Y. Ridnaya
description and classification of genres of different professional discourses, approaches to teaching genre competence to students, development of universal models of learning and teaching and models as a means of teaching at the higher education level. The sources of material for the study include national and foreign scientific journals, proceedings of international scientific conferences in Russian and English and dissertations. The study uses the methods of analysis and synthesis of linguistic and methodological literature and systematization of the published approaches and principles of language teaching.
4 Results and Discussion Recently, national linguists and methodologists have shown an increased interest in studying professional genres. The researchers deal with the genres of the following discourses: economic, pedagogical, legal, medical, military, construction, media, sports, etc. Some professional genres have been thoroughly described, while others are still under systematic study. The overview attempts to provide information on the sets of genres that are typical of this or that professional discourse. 4.1 Genres of Pedagogical Discourse The principles and methods of teaching written and oral speech genres to future teachers of Russia are described in detail in different dissertations. In pedagogical discourse, a special value is not reproducible but predictable information, which demonstrates the independence of a learner’s thinking and ‘the highest level of creativity’. This level is realized through such informative genres as description, explanation, and derivation of rules. The genres of report, reasoning, discussion, lecture, lecture notes, scientific article, summary, abstract and graduate qualification work supplement and systematize the process of information exchange. Informative creative genres also include dissertation, monograph, textbook, syllabus and curriculum [19]. 4.2 Genres of Legal Discourse In the study by Kosyanova [20], a set of written and oral genres of legal specialties is considered. The author prioritizes oral dialogical professional genres, considering them, in comparison with written genres of legal professionals, the most demanded and more complex ones, due to their regulated and stenciled nature. The peculiarity of judicial speech is that even though it is a monologue in form, it is a dialogue in content. In the process of teaching oral genres, argumentative rhetorical skills are formed. The study focuses on combined, complex genres that include a number of simple genres (subgenres) arranged in a certain sequence. For example, complex in structure and difficult to teach /learn genres include such combined and consisting of several ‘small’ genres as accusatory speech, defensive speech. These ‘small’, simple professional genres: ‘opinion’, ‘analysis of the situation’, ‘speech in the debate’, ‘proposal’, ‘wish’ are also demanded as autonomous subgenres.
Genres of Professional Discourse in the Interdisciplinary
231
4.3 Genres of Medical Discourse In recent years, researchers’ focus has shifted to the following genres of medical discourse: medical card of an ambulatory patient, medical booklet, medical consultation, medical instruction, and surgical operation. The following speech genres were singled out on the basis of the texts of medical writers’ works of the late 19th – early 20th centuries: complaint, diagnosis, anamnesis collection, refusal of treatment, recommendation (advice), consolation, persuasion, gratitude, plea, accusation. Today, the list of genres of medical professionals is not completely defined, which means the possibility of the emergence of “new genres that reflect the needs of the medical community” [21]. At the same time, the importance of mastering the genres which “help specialists anticipate the communication process, plan it correctly, adequately respond to the communicative actions of patients, and eventually achieve the intended goals” [21] is underlined in the literature. 4.4 Genres of Military Discourse The linguistic description of military discourse genres is presented in the scientific literature, taking into account different approaches, communicative purposes, classifications of intents, classifications of speeches, and linguistic features. On the whole, the complex multidimensional formation of military institutional discourse is presented as a conglomerate of genres that are in close interconnection with each other. The analysis of the General Military Regulations allows us to identify a standardized set of genres that have an oral form of implementation and are intended to be used in various situations of military service. These include: command, report, detailed order, presentation, address, and military salute [22]. The methodological investigation of military discourse genres [23] is just beginning. 4.5 Interdisciplinary Genre of Report As we know, there are no closed functional styles. The scientific style today, via its separate substyles and genres, goes beyond its borders, penetrating particularly into the official-business sphere. Nowadays, there are a number of educational and scientific genres on the border between official and scientific styles. Against the background of a detailed study of the main (core) written genres of scientific style (article, monograph, dissertation), it is necessary to distinguish a scientificbusiness genre of a report as a least studied genre. The variants of the genre include: report on research work, report on introductory internship, report on survey internship, repot on technological internship, report on pre-graduate internship. The study of this genre and its variations in scientific-theoretical and scientificmethodological terms in Russian and foreign languages is just beginning [24, 25]. The problem of describing and considering this genre in a linguo-didactic context seems particularly relevant.
232
N. Kolesnikova and Y. Ridnaya
5 Conclusion Thus, the cornerstone of teaching language to further specialists is a genre competence, and the description of professional genres in multidisciplinary and methodological contexts becomes of great importance. According to Dementyev [26], the current digitalization of culture will cause a great increase in genre studies and, perhaps, even the development of a new direction of genre studies. At present, the problem of the specific organization of genres of scientific and technical literature is increasingly attracting the attention of linguists and methodologists, as evidenced by a growing number of publications devoted to the study of the genre specificity of scientific texts and genre approach to teaching. Unfortunately, most authors who pose in their articles the problem of teaching scientific genres to undergraduate and graduate students write mainly about the importance of genre studies and do not emphasize what opportunities this will give students in the future and how it will help them be successful in the globalization context. In current literature, there are few specific teaching models and real developments devoted to the genre competence formation and the use of genre approach to teaching communication but the studies published seem to be quite promising.
References 1. Kozhina, M.N.: Rechevedenije i funktsional’naja stilistika: Voprosy teorii. Izbrannyje Trudy [Speech studies and functional stylistics: Theoretical issues. Selected works] Perm University, PSI [Prikamsky Social Institute], PSSGK [Prikamsky Modern Social-Humanities College], Perm (2002). (In Russian) 2. Bakhtin, M.M.: Avtor i geroj. K filosofskim osnovam gumanitarnykh nauk [Author and Character. [Towards philosophic basics of the humanities]. Azbuka, St. Petersburg (2000). (In Russian) 3. Zhilyakov, S.V.: Zhanrovaya problema posler M.M. Bakhtina (Ontologicheskije zametki) [Genre issue after M.M. Bakhtin (Ontological notes)]. In: Research Result. Social Studies and Humanities, vol. 1, issue 1, pp. 79–84. Belgorod State National Research University, Belgorod (2015). (In Russian) 4. Komarova, A.I.: Funktsional’naya stilistika: Nauchnaja rech, Yazyk dlya spetsialnukh tselej (LSP) [Functional stylistics: Scientific speech. Language for Specific Purposes (LSP)], Editorial, URSS, Moscow (2004). (In Russian) 5. Stilisticheskij entsiklopedicheskij slovar’ russkogo yazyka [Russian stylistic dictionary] (ed. M.N. Kozhina) Flinta, Nauka, Moscow (2003). (In Russian) 6. Nunan, D.: Introducing discourse analysis. Penguin English, London (1993) 7. Swales, M.: Genre analysis: English in academic and research settings. Cambridge University Press, Cambridge (1990) 8. Cope, B., Kalantzis, M.: Background to genre teaching. In: Cope, B., Kalantzis, M. (eds.) The Power of Literacy: A Genre approach to Teaching Writing. Falmer Press, London (1993) 9. Johns, A.M.: Destabilizing and enriching novice students’ genre theories. In: Mahwah, N.J. (ed.) Genre in the classroom: Multiple Perspectives, pp. 237–246. Cambridge University Press, Cambridge (2002)
Genres of Professional Discourse in the Interdisciplinary
233
10. Cheng, A.: Language features as the pathway to genre: Students’ attention to non-prototypical features and its implications. In: Journal of Second Language Writing, vol. 20(1), pp. 69–82. Elsevier, Amsterdam (2011). https://doi.org/10.1016/j.jslw.2010.12.002 11. Devitt, A.J.: Genre Performances: John Swales’ Genre Analysis and Rhetorical-Linguistic Genre Studies. In: Journal of English for Academic Purposes, vol. 19, pp. 44–51. Elsevier, Amsterdam (2015). https://doi.org/10.1016/j.jeap.2015.05.008 12. Meijes, P., Solan, L. (eds.) The Oxford Handbook of Language and Law. Oxford University Press, Oxford (2012) 13. Tessuto, G.: Investigating English Legal Genres in Academic and Professional Contexts. Cambridge Scholars Publishing, Newcastle upon Tyne (2012) 14. Berukstiene, D.: Legal Discourse reconsidered: genres of legal texts. In: Comparative Linguistics, vol. 28, p. 89. Publishing house of Adam Mickiewicz University, Poznan (2016). https://doi.org/10.14746/cl.2016.28.5 15. Rose, D.: Analysing pedagogic discourse: an approach from genre and register. Functional Linguistics 1(1), 1–32 (2014). https://doi.org/10.1186/s40554-014-0011-4 16. Elhambakhsh, S.E., Jalilifar, A., White, P.: A comparative genre analysis of academic textbook introductions in applied linguistics and medicine. In: Global Journal of Foreign Language Teaching, no. 8, pp. 112–130. Science Park Research, Organization and Counseling, Bangkok (2018). https://doi.org/10.18844/gjflt.v8i3.3614 17. Kolesnikova, N.I., Ridnaya, Y.V.: The genre model of a scientific paper in the Russian and English languages. In: Higher Education in Russia, vol. 6, pp. 98–105. Publishing house of Moscow Polytechnic University, Moscow (2016). (In Russian) 18. Kolesnikova, N., Ridnaya, Y.: The Integrated Model as a Basis for Teaching Academic Writing in Context of Globalization. In: Rocha, A., Isaeva, E. (eds.) Perm Forum 2021. LNNS, vol. 342, pp. 560–569. Springer, Cham (2022). https://doi.org/10.1007/978-3-030-89477-1_54 19. Volynkina, S.V., Kuzina E.N.: The repertoire of genres of scientific-pedagogical discourse. In: Bulletin of Krasnoyarsk State Pedagogical University named after V.P. Astafyev 2(36), 144–147. Krasnoyarsk (2016). (In Russian) 20. Kasyanova, O.M.: Rechevyje zhanry kak model professional’noy kommunikatsii [Speech genres as a model of professional communication]. In: Vestnik of Orenburg State Pedagogical University 1(43), 177–183. Orenburg (2006). (In Russian) 21. Kolesova, N.N.: Zhanrovy podkhod k obucheniju professional’noj rechi inostrannykh stufentov meditsinskogo buza [Genre approach to teaching professional communication to foreign students of the medical university]. In: Nauchny poisk [Scientific Search], vol. 2.6, pp. 21–23. Ivanovsky State University, Ivanovo (2014). (In Russian) 22. Phakhrutdinova, D.R.: Structuring the genre space of the military institutional discourse. In: Uchenye Zapiski Kazanskogo Universiteta. Seriya Gumanitarnye Nauki, vol. 150, no.2, pp. 259–266. Kazan (2008). (In Russian) 23. Barbasoeva, M.N., Gritsevskaya, I.M.: Genre of professional communication when teachning the Russian language as a foreign at military school. In: Issues of modernization of modern higher education: linguistic aspects. In: Proceedings of VI International scientific and methodological conference (May, 22, 2020), pp. 141–145. OABII, Omsk (2020). (In Russian) 24. Abrosimova, A.V., Kolesnikova, N.I.: Speech genre of ‘report’ and its variants (linguodidactical Aspect). In: The world of science, culture and education, no. 2(69), pp. 225–228. Co. Ltd “RMNKO”, Gorno-Altaisk (2018). (In Russian)
234
N. Kolesnikova and Y. Ridnaya
25. Polikarpov, A.M., Strelkov, V.I.: Scientific report in glaciology in Germanic languages (Exampled on English, German, Swedish and Icelandic languages). In: Pastukhov, A.G. (ed.) Genres and Text Types in Academic and Media Discourses, Book of Collected Papers 17, 36–51. Gorizont, Orel (2020). (In Russian) 26. Dementyev, V.V.: Transformation of scientific genres in the context of scientometric strategies. In: Communication Studies, vol. 7, no. 2, pp. 272–282. Publishing house of Dostoevsky Omsk State University, Omsk (2020) https://doi.org/10.24147/2413-6182.2020.7(2).272-282
Innovations and Technologies in Interdisciplinary Applications in Geosciences
The Application of Innovative Geophysical Technologies for the Creation of Geographic Information Systems for Underwater Archaeological Sites Vladimir V. Glazunov1
, Andrey A. Bukatov1 , Viktor V. Vakhoneev1,2(B) and Vadim V. Panchenko1
,
1 Sevastopol State University, Sevastopol 299035, Russia
[email protected], [email protected], [email protected] 2 Institute for the History of Material Culture, St. Petersburg 191186, Russia
Abstract. The article is devoted to the development and implementation of new innovative methods of geophysical technologies for the creation of geographic information systems for underwater archaeological sites. The authors analyze the results of side-scan sonar survey, continuous seismoacoustic profiling and bottom electrotomography. These data were obtained during research in the Quarantine Bay – the water area of the ancient settlement of Tauric Chersonesos. According to the authors, the basis of the archaeological interpretation of underwater research materials is the joint analysis of information obtained by various methods of geophysics. All these data can be effectively presented in GIS, providing comprehensive information necessary for the study and determination of protected areas of the site. The authors concluded that the digital structure of complex research materials makes it possible to refine and supplement GIS information layers in the future, as new results are obtained. Keywords: Underwater Archaeology · Geoinformation System · Hydroacoustic · Side-Scan Sonar · Seismoacoustic Profiler · Bottom Electrotomography · Seismoacoustic Sections · Geoelectric Slice Maps · Geomorphology of Marine Terraces
1 Introduction Geographic information system (GIS) have been actively used in all archaeological areas in the last decade. They provide the spatial component of traditional database structures, allowing us to collect, store, analyze and visualize geographic data effectively [1]. The research of cultural heritage sites in the waters of the Crimea has acquired a particular relevance in connection with the active economic development of the territory. In addition, natural and anthropogenic factors lead to the gradual destruction of The work was made within the program ‘Prioritet-2030’ of Sevastopol State University (strategic project №3) © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 E. Isaeva and Á. Rocha (Eds.): Perm Forum 2022, LNNS 622, pp. 237–248, 2023. https://doi.org/10.1007/978-3-031-28086-3_19
238
V. V. Glazunov et al.
underwater archaeological sites, which aim to monitor them constantly. Digitalization of marine archaeology in this connection has great potential [2]. The water area of Sevastopol, the city of federal importance, extends from Cape Lukull to Cape Sarych and is full of underwater significant sites of different eras, including ancient areas submerged by the sea. The most remarkable is the western coast of the Quarantine Bay, where Tauric Chersonese is located. The introduction of GIS is becoming more relevant for underwater archaeology. This is one of the tools for spatial analysis of both a single archaeological object and a whole complex of sites of different times in a certain area. At the moment, there are no similar geoinformation portals for the Black and Azov Seas, which contain the data about cultural heritage. The closest analogues are ESIMO (United State System of Information on the Situation in the World Ocean) [3], and the European portal MACHU (Managing Cultural Heritage Underwater) [4].
2 Remote Methods of Underwater Archaeology Underwater archaeology has recently absorbed the latest methods and technical means for studying the sea bottom. However, most of the digital information collected during underwater expeditions remains inaccessible to most specialists. The data sets, obtained with the modern underwater archaeological research are various. Remote methods of underwater archaeology are widely used nowadays, that is why they make it possible to identify archaeological sites at the sea bottom. The leading role belongs to hydroacoustic observation systems, which include side-scan sonars, subbottom profilers and multibeam sounders. In the coastal area, the results are obtained from the analysis of satellite images and the survey from UAV. Hydroacoustic methods allow us to survey quickly and efficiently large bottom areas with high spatial resolution. On the basis of hydroacoustic data, bathymetric maps are compiled and the places for diving operations for visual inspection and photographing (including using photogrammetry methods) of detected objects are outlined. At the stage of underwater archaeological excavations, one of the tasks is the accurate record of all objects which were found under water using mapping and photogrammetry methods. Photogrammetric methods make it possible not only to record the stages of earthworks and archaeological remains at their place of occurrence, but also to obtain 3D-images of the most significant finds with further cameral processing. Hydroacoustic methods in many cases are limited in their ability to see objects located deep in the marine sediments thickness due to the high acoustic rigidity of the bottom surface and the presence of multiple reflections of seismoacoustic waves [5, 6]. A promising method for underwater archaeological research in the coastal area is electrical tomography (ET). This method makes it possible to study the structure of the cultural layer of monuments to a considerable depth, significantly expanding the capabilities of underwater archaeologists. This method is especially effective for revealing construction remains hidden in bottom sediments, flooded as a result of transgression processes [7–9]. In 2022, Sevastopol State University launched the project “Marine Cultural Landscape. Digital Archaeological Atlas of Chersonesos”. The main area for this project
The Application of Innovative Geophysical Technologies
239
is the procedure for identifying and registering the cultural heritage site “The plat of building structures of Tauric Chersonese and the cultural layer in the Quarantine Bay”, which occurred in 2020, with an area of 10,379.64 m2. Poor visibility in the water, shallow depths and topography of the bottom make it difficult to obtain information about the layout of construction remains buried in the bottom sediments. Systematic archaeological work has been carried out here since 2018. The materials obtained during this period include not only the archaeological finds and data on the spatial arrangement of the remains of building structures visible at the bottom. A survey of the water area was carried out using side-scan sonar (SSS) and seismoacoustic profiling (SAP). In 2021, in addition to hydroacoustic methods, an innovative method of bottom electrotomography (BET) was applied.
3 Marine Geophysical Research of Underwater Archaeological Sites of Chersonesos The optimal set of marine geophysics methods for creating GIS of underwater monuments of the Quarantine Bay included the following types of work: 1. The surveying by the side-scan sonar (SSS). 2. The continuous seismoacoustic profiling (SAP). 3. The bottom electrotomography (BET). Within the coastal area of the bay, the survey of each type of work was carried out according to its own system of profiles. The complex of geophysical observations covered the area, which included all known archaeological sites in the coastal part of the Quarantine Bay. The parameters of the geophysical survey network ensured a high density and detail of observations. Topographic references were carried out using GPS + GLONASS + BeiDou. The SSS survey was carried out by an instrumentation complex that included a side-scan sonar, ultra-high-resolution model H5se7 “Hydra”, combined with a hydrographic echo sounder. A set of GNSS equipment was used for topographic referencing of survey profiles. The SSS in real time received a high-quality image of the bottom with photographic quality in a swath up to 190 m. As a result of SSS data processing, the obtained sonograms were combined in the form of an acoustic map of the entire work area, the so-called bottom mosaic, linked to the geographic coordinates of the work site (see Fig. 1). The interpretation of the map-mosaic was made on the basis of the bottom survey data by divers. Underwater sites correspond to: 1 – “diamond-shaped tower”; 2 -pit (2020 g.); 3 – “object of 2019”. 4 - collapse of stones to the east of the “diamond-shaped tower”;
240
V. V. Glazunov et al.
Fig. 1. Mosaic-sonogram according to SSS data with indication of archaeological sites and pits: 1) “diamond-shaped tower”; 2) pit of 2020; 3) construction remains (object of 2019); 4) ruins of stone material and processed blocks.
The survey by continuous seismoacoustic profiling (SAP) was carried out within the western coastal strip of the bay along 17 profiles. Observations were carried out using the bottom parametric profiler “Hydra” (model H5p1) (manufacturer LLC “Ekran”, Russia). The SAP technique makes it possible to study not only the bottom relief, but also the upper part of the geological structure of the terraces to a depth of several meters. Topographic referencing of SAP profiles was carried out continuously in the process of movement using a set of GNSS equipment. The results of SAP surveys within the entire area are summarized in a 3D bottom topography model of the surveyed section of Quarantine Bay (see Fig. 2). Seismoacoustic sections contain not only the bathymetric information about the morphology of the bottom topography, they also reflect the structure of the upper part of the bottom sediments to a depth of 1 m and the stone material which are located on the bottom surface.
The Application of Innovative Geophysical Technologies
241
Fig. 2. Model of the bottom relief in 3D image with indication of the location of archaeological sites and pits: 1) “diamond-shaped tower”; 2) pit of 2020; 3) construction remains (object of 2019); 4) ruins of stone material and processed blocks.
On seismoacoustic sections, 3 accumulative marine terraces occurred, indicated by indices I, II and III (see Fig. 3). The numbering of the terraces reflects the sequence of their formation, which is due to the cycles of transgression and regression of the sea from ancient times to the present.
Fig. 3. A typical seismoacoustic section indicating the morphological elements of the marine terraces I, II and III: 1 – the surface of the terrace, 2. – ledge, 3 – edge, 4 – rear seam.
242
V. V. Glazunov et al.
The full range of morphological elements of these terraces includes the terrace surface, the escarpment, the balk, and the rear seam. The terrace I is the most significant. Its height reaches 3.7 m, and all morphological elements are the most clearly manifested. The height of the terrace II is 0.5–0.7 m. Its profile and elements are more pronounced in the multiple reflection from the bottom (see Fig. 3). On the surface of the terrace II, there are stones, apparently associated with the construction remains of structures, which suggests its artificial origin. The height of the terrace III is also small. The “diamond-shapes tower” is located here. Therefore, it can be assumed that the emergence of this terrace may be associated with construction work. The revealed elements of the terraces characterize the location of ancient coastlines, dating of which is possible on the basis of archaeological research data. The isobath map shows the terraces‘ ledge lines I, II, III and IV, indicated by indices 3/1, 3/2, 3/3 and 3/4 (see Fig. 4).
Fig. 4. Bathymetric map according to the SAP with indication of the line of ledges of terraces: 3/1, 3/2, 3/3 and 3/4 and archaeological sites.
The discovered partially surveyed by excavations archaeological sites are shown on the isobath map. The location of the “diamond-shaped tower” (1) is clearly distinguished on the map in the form of two local zones associated with the remains of walls protruding above the bottom surface. The pit (2) and construction remains (3) are located at the edge of the survey area. The section of the bottom, corresponding to the collapse of building blocks and stone material, is confined to a low-amplitude local elevation of the bottom (see Fig. 4). It should be noted that the “diamond-shaped tower” is located on the surface of the terrace III, and the building blocks area (3) is located on the terrace II. The confinement
The Application of Innovative Geophysical Technologies
243
of the construction remains of buildings to different terraces is an indirect sign indicating the difference in time of their installing. The joint imaging of the SAP and SSS data confirms the existence of a connection between the geomorphology of the marine terraces and the archaeological sites, which were found at the bottom of the Chersonesos surveyed part of the Quarantine Bay. Electrical explorations with the BET method were carried out in order to study the structure of marine terrace sediments to a depth of 10 m and to identify local heterogeneities that may be associated with the remains of the development of the Quarantine Bay coast in various historical epochs. The measurements were carried out with a set of electrical exploration equipment “Skala - 48K12. For electrical surveys, a 48-channel cable was used, the sealing of which ensured the possibility of its immersion to the seabed to a depth of 10 m. The process of electrotomographic observations was used the Xeris_5.2 program (Windows). The BET results are displayed in the form of geoelectric sections and maps that characterize the distribution of electrical resistivity (SER) in subbottom sediments to a depth of 10 m from the sea surface. The obtained geoelectric sections are summarized as a 3D BET data cube. Based on the obtained digital array, which forms a 3D cube, geoelectric slice maps were constructed for depths of 3 and 5 m from the sea surface, presented in (Fig. 6) the form of layers 3 and 4. The maps clearly show geoelectric targets 1 and 2 of the increased SER, colored on the maps in yellow and red. The most vivid target 1 is a high-resistivity area, which is located at a depth of about 2–3 m below the surface of terrace II and is extended along the coast (see Fig. 3). The increase in the SER of marine sediments and the formation of a lens under the conditions of the Quarantine Bay sediments can be connected with the presence of coarse-grained material in the soil mass, which formed the terrace II. The target 2 is noted in the coastal area of the section at a depth of 0.5–1 m and, apparently, was formed by stone material accumulated in the surf zone of the bay (see Fig. 4). It should be mentioned that the SER value depends on the size and volume of rock material in bottom sediments. It enhances with an increase in the amount of this material within the lens, which is the source of the target 1. An analysis of the maps showed that the size, amplitude, shape and location of targets 1 and 2 change with increasing depth. These maps contain the most representative amount of information about the sources of geoelectric targets, and therefore, are the basis for the archaeological and geomorphological interpretation of electronic spreadsheet data. Geoelectric targets are of interest for solving archaeological problems, as they can be associated with the remains of buildings on the flooded part of the coast in various historical epochs, and therefore require a more detailed analysis.
244
V. V. Glazunov et al.
4 Work Results Analysis The basis of the archaeological interpretation of underwater research materials is the joint analysis of information obtained by various methods of geophysics. For the convenience of a comprehensive analysis of materials, a summary map has been synthesized, which combines interpretation schemes built according to the data of the SSS, SAP, BET methods and underwater archaeological research (see Fig. 5).
Fig. 5. Summary map of the results of complex geophysical studies: 1 – contours of geoelectric anomalies; 2 – isobates of the bottom relief; 3 – elements of the morphology of sea terraces; 4 – excavated archaeological sites.
The Application of Innovative Geophysical Technologies
245
The contours of geoelectric targets are drawn with blue (targets 1/3 and 2/3) and red (targets 1/5 and 2/5) dotted lines corresponding to depths of 3 and 5 m and confined to different terraces. The target 1/3 is located under the surface of the terrace II, and the brightest highresistance lens 1/5 is located under the terrace III. Assuming that the terraces could be formed as a result of different time cycles of sea transgression, and the SER increase is due to the presence of stone material and partially destroyed buildings, it can be assumed that the targets 1/3 and 1/5 reflect different epochs of the Quarantine Bay coast development. Based on these data, it can be assumed that the target 1/5 is associated with the remains of the early development of the ancient coast of the bay, and the target 1/3 is associated with later construction works. The target 2/3 relates to the terrace IV, and was apparently formed due to the presence of stone material which is accumulated in the modern surf zone. The “diamond-shaped tower”, according to archaeological data, was built in the 9th-10th centuries near the water’s edge on the terrace III, the escarpment 3/3 of which approximately corresponds to the outline of the coast at that time. The boundary position of the terrace IV reflects the line of the shore which was formed after the flooding of this structure. Within terrace II, the most significant and extensive geoelectric targets were found at a depth of 2–3 m from its surface. It can be assumed that this terrace corresponded to the earliest period of the city life and was built up when the sea level was lower than modern. To test the hypothesis about the connection of geoelectric targets 1 and 2 with the buildings of the supposed seaport of Chersonesos in the Quarantine Bay, it is necessary to carry out additional and more detailed work using the electronic spreadsheet method. The detailed maps and sections of the contours of geophysical targets make it possible to substantiate and optimize the choice of sites and the scope of expensive underwater excavations.
5 GIS Creation Based on Underwater Archaeological and Geophysical Research The basis of GIS for underwater archaeological and geophysical research is the joint presentation of materials obtained by various methods of marine geophysics and underwater archaeology. The GIS structure is formed by digital images of the obtained results in the form of cartographic layers of an underwater archaeological site. Layers in a GIS are represented in a single geographic coordinate system.
246
V. V. Glazunov et al.
The optimal GIS structure is synthesized for the surveyed underwater archaeological site in the Quarantine Bay of Chersonesos includes the following cartographic layers: 1 – the mosaic of SSS sonograms; 2 – the bathymetric map of the bottom relief according to the SAP data; 3 – the geoelectric section map at a depth of 3 m according to the BET data; 4 – the geoelectric section map at a depth of 5 m according to the BET data; 5 – summary archaeological and geophysical map of the underwater site according to hydroacoustics data, bottom electrical tomography and archaeological research/ The created GIS is convenient for the complex analysis of materials and synthesis of a summary map, which combines interpretation schemes which is formed according to the data of SSS, SAP, BET methods and underwater archaeological research (Img. 6). The summary map makes it possible to link the marine terraces which were formed as a result of various time cycles of sea transgressions and regressions, with the presence of stone material of partially destroyed buildings associated with various epochs of development on the Quarantine Bay coast. The great importance for solving the problems of underwater archeology are the materials of the innovative technology of bottom electrotomography, which are the effective means of detecting alleged archaeological sites hidden in marine sediments. Geoelectric maps and sections of geophysical targets make it possible to substantiate and optimize the choice of sites and the scope of expensive underwater excavations.
6 Conclusion The obtained results demonstrate the optimality of the chosen set of marine geophysical studies for the GIS formation of the Heracles Peninsula underwater archaeological sites. The geophysical maps and sections fully characterize the morphology of the bottom relief, the structure of marine terraces, and the presence of stone material connected with the ancient development of shallow bays coasts flooded by the sea. All of these data can be effectively presented in a GIS, providing comprehensive information needed to study and define protected zones of the site [10]. The digital structure of complex research materials allows us to refine and supplement the GIS information layers in the future, as new results are obtained (Fig. 6).
The Application of Innovative Geophysical Technologies
247
Fig. 6. GIS cartographic layers of the underwater archaeological monument of Quarantine Bay according to the data of complex geophysical studies: 1 – SSS mosaic; 2 – bathymetric map of the NSP; 3,4 – maps-sections of BET at depths of 3 and 5 m; 5. Archaeological and geophysical map of the underwater monument.
References 1. Davies, B., Romanowska, I., Harrisk, K., Crabtree, S.A.: Combining geographic information systems and agent-based models in archaeology: part 2 of 3. Adv. Archaeol. Pract. 7(2), 185–193 (2019) 2. Vakhoneev, V.V.: Steamship of the Russian Society of Shipping and Trade “Vesta”: the Experience of Studying the 19 Century Underwater Cultural Heritage by Methods of Digital Marine Archaeology. Voprosy Istorii. 11(3), 22–31 (2021) 3. Portal of the unified state information system on the situation in the world ocean. http://esimo. ru/portal/ last accessed 10 May 2022 4. Hootsen, H., Dijkman, W.: Building a Geographical Information System in MACHU. MACHU Final Report Nr. 3, 16–30 (2009) 5. Gainanov, V.G., Starovoitov, A.V.: Seismoacoustic methods for engineering and geological surveys on rivers. In: Exploration and protection of mineral resources. Moscow 12, 22–24 (2008)
248
V. V. Glazunov et al.
6. Shalaeva, N.V., Starovoitov, A.V.: Fundamentals of seismoacoustics in shallow waters. Textbook, p. 13. Publishing House of Moscow State University, Moscow (2013). ISBN 978-211-05755-5 7. Bobachev, A.A.: Electrical resistivity tomography in shallow and coastal studies. Engineering and Mining Geophysics 2021, pp. 1–7. Netherlands (2021) 8. Bobachev, A.A., Sergeev, K.S.: Aquator electrical exploration on direct current. In: II International Geological and Geophysical Conference and Exhibition “GeoEurasia - 2019”, pp. 1119–1122. Tver (2019) 9. Bobachev, A.A.: Electrotomography with submerged installations. In: Berdichevsky, M.N., Vanian, L.L. (eds.) The collection: Materials of the VIII All-Russian School-seminar on Electromagnetic Sounding of the Earth named after, pp. 284–289. Moscow (2021) 10. Pletneva, L.A., Pletnev, A.L.: Forecasting the state of water bodies using geoinformation systems. Ecology and industry of Russia 6, 21–23 (2006)
Hydrodynamic Modeling of the Winter Runoff of the Upper Kama Sergey Rusakov, Vitaly Kalinin(B)
, Elena Chingayeva, and Adeliya Shaydulina
Perm State University, Bukireva Str.,15, Perm 614990, Russia [email protected]
Abstract. The paper considers the features of winter season water runoff in the path of the Upper Kama between the Gainy and Bondug gauge stations. A hydrodynamic model of river runoff in the preflood-water period is proposed, based on the materials of daily water observations (level H and discharge Q) and cross-sections of a stream at the gauge stations. The model makes it possible to estimate inflow to the Kama River from areas without observations. The parameter β is obtained, an additional numerical characteristic of the river discharge in winter season. It indirectly characterizes conditions of autumn soil moistening and a formation of winter runoff during winter low water period. Statistical studies of influence of the river flow in winter period on parameters of spring flood have been carried out. The model can be used to make forecasts of spring flood runoff during the snowmelt period with further refinement. Keywords: Hydrodynamic modeling · Winter flow of rivers · Spring flood
1 Introduction Snow melt flood and flooding of coastal areas in spring is one of the most important problems for various regions of Russia. Thus, the area of territories located in potential flood zones is about 400,000 km2 [1]. According to Roshydromet [2], economic losses from floods amount to more than 50% of the total damage from all hazardous phenomena. Settlements, agricultural land and industrial facilities are flooded during the period of snow melt flood. The phase of snow melt flood is typical for rivers of the Perm Territory [5], the feeding of which is mainly snow, accounting for 50–80% of the annual runoff. On the rivers of the territory, spring snow melt flood, summer-autumn floods and a long-term stable winter low-flow are clearly expressed. The features of the rivers water regime are determined by the nature of the intraannual supply of heat and moisture of their catchments. Moreover, each phase of the water regime depends on both the climatic conditions at the present moment of time and the conditions of the previous period. So, among the main factors influencing the amount of water discharge during a snow melt flood, there are [3]: autumn (pre-winter) moisture reserves in soils and a depth of their freezing; water reserves in a snow cover before the start of snowmelt; the intensity of increase in positive air temperatures in © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 E. Isaeva and Á. Rocha (Eds.): Perm Forum 2022, LNNS 622, pp. 249–258, 2023. https://doi.org/10.1007/978-3-031-28086-3_20
250
S. Rusakov et al.
spring and rainfall in spring. There are many works devoted to the assessment of spring snowmelt and floods [4, 6–11]. The formation of snow melt flood is also determined by the characteristics of the runoff in the previous winter season. The purpose of this study is to develop a hydrodynamic model of river runoff in winter period.
2 Materials and Methods The object of study is a part of the Upper Kama with a length of 123 km, located between the gauge stations (g/s) Gainy and Bondug (Fig. 1). The initial data for modeling were: – materials of daily water observations (level H and discharge Q) at the g/s: KamaGayny, Kama-Bondug and Kosa-Kosa for the period 2008–2015. The g/s Kosa-Kosa is located on the River Kosa - the right-bank tributary of the Kama River which flows 59 km downstream from Gayny; – cross-sections of a stream at the g/s (Fig. 1).
Fig. 1. Study area within the Votkinsk reservoir catchment
The intra-annual distribution of daily water levels and discharges at the studied g/s is shown in Fig. 2.
Hydrodynamic Modeling of the Winter Runoff of the Upper Kama
251
Fig. 2. Intra-annual distribution of daily water levels and discharges at g/s: Kama-Gayny, KamaBondug, and Kosa-Kosa in 2010 (t is the time in days from the beginning of the current year)
As it can be seen from Fig. 2, winter period is characterized by fairly stable values of Q and H. Therefore, average values for the first 70 days of the year are denoted by the index w. They can be used as a typical values while modeling. The maximum values of daily water levels and discharges Qmax and H max are observed during the snow melt flood period, values of which for the g/s Kama-Bondug are presented in Table 1. Table 1. Values of characteristics at the g/s Kama-Bondug for the study period Uear
H B,w *
QB,w
H B, max
QB, max
2008
86
112.8
444
1970
2009
192
168.0
559
2820
2010
70
104.2
491
2370
2011
63
85.6
471
2220
2012
54
86.9
458
2160
2013
55
113.3
458
2480
2014
101
146.4
532
2630
2015
88
112.1
550
2850
Note: H B,w * – the water level value is given above the zero of the graph of the g/s Kama-Bondug (113,65 m Baltic height system)
252
S. Rusakov et al.
We will use the designations QB (t), H B (t), QG (t), H G (t), QK (t) and H K (t) for these quantities, respectively, on g/s: Kama-Bondug, Kama-Gainy and Kosa-Kosa, where t is the time in days from the beginning of the current year. There is a significant statistical relationship between the values of the level and discharge in winter period and their maximum values in snow melt flood period. They are characterized by the coefficients of paired linear correlation presented in Table 2. Table 2. Values of paired linear correlation coefficients H B, max
QB,max
H B,w
0.73
0.58
QB,w
0.71
0.66
The winter discharge at the g/s Kama-Bondug in the proposed model is determined by the water flow: in the cross-sections of the g/s Kama-Gayny, g/p Kosa-Kosa and water inflow to the Kama River from the areas without observations (small rivers, streams, groundwater etc.). It denote by QP,w . The water balance equation looks like: QB,w = QG,w + QK,w + QP,w . The contribution of each component to the discharge at the g/s Kama-Bondug is presented in Table 3. Table 3. Incoming components of water discharge for g/p Kama-Bondug Uear
QB,w (m3 /s)
QG,w / QB,w (%)
2008
112.8
55.4
8.8
35.8
2009
168.0
61.7
10.0
28.3
2010
104.2
49.2
8.8
42.1
2011
85.6
65.7
8.4
25.9
2012
86.9
60.5
7.1
32.3
2013
113.3
56.9
7.4
35.7
2014
146.4
47.2
7.5
45.3
2015
112.1
68.4
9.4
22.1
Average
116.2
58.1
8.4
33.4
QK,w / QB,w (%)
QP,w / QB,w (%)
There are significant fluctuations of QP,w , from 22.1% to 45.3% in different seasons.
3 Results and Discussion The Fig. 3 shows the change in values of QB (t), QG (t), QK (t) and QP (t) during winter period. They are characterized by QP (t) slight fluctuations in time. It is noticeable that
Hydrodynamic Modeling of the Winter Runoff of the Upper Kama
253
the course of the QP (t) value calculated from the water balance equation doesn’t agree with the behavior of the other quantities. Because the inflow to the Kama River from the areas without observations is distributed.
Fig. 3. Changes in water discharge for the first 70 days of 2010
The winter average flow velocity in this part of the Kama River is 0.15 ÷ 0.25 m/s. Therefore changes in water discharges at the g/s Kama-Gainy QG (t) will lead to corresponding changes in water discharges at the g/s Kama-Bondug QB (t)) with a time shift of 7–10 days. Changes in water discharges at the g/s Kosa-Kosa QK (t) will lead to corresponding changes in water discharges at the g/s Kama-Bondug QB (t) with a time shift of 3–7 days. Let us consider in more detail the behavior of the inflow to the Kama River from areas without observations QP (t). Because it has the distributed nature we can determine this value as a function of q(x,t), where x is the spatial coordinate directed along the Kama River channel. In this case, the point x = 0 corresponds to the g/s Kama-Gainy. The distances along the river from the g/s Kama-Gainy to the mouth of the Kosa River will be L K and from the g/s Kama-Gainy to the g/s Kama-Bondug – L B . Let Q(x,t) be the water flow through the cross section of the river bed at the point x. A model describes the behavior of this quantity based on the equations of hydrodynamics in the form: ∂Q(x, t) ∂q(x, t) ∂Q(x, t) + u(x, t) = K(x, t)S(x, t) + , x > 0, t > 0, ∂t ∂x ∂t
(1)
Here S(x,t) is the cross-section area of the river bed, u(x,t) is the average flow velocity at point x at time t, which is determined by the formula u(x, t) = Q(x,t) S(x,t) . The empirical
254
S. Rusakov et al.
coefficient K(x,t) is designed to take into account the action of gravity and the force of viscous friction resistance. The identification of this parameter will be based on the empirical data. The initial condition is the discharge distribution along the Kama River channel: Q(x, 0) = Q0 (x).
(2)
The water flow in the Kama River at the mouth of the Kosa River will be taken into account in a discrete, “point” way. To do this we solve problem (1)-(2) on the segment x(0,L K ) with the boundary condition. Q(0, t) = QG (t).
(3)
Further, when the solution at the point x = L K will be obtained (which is denoted by Q(L k -0,t), the problem (1)-(2) will be solved on the segment x(L K ,L B ] with the boundary condition. Q(LK , t) = Q(LK − 0, t) + QK (t).
(4)
Using information about water levels and cross-sections at the g/s Kama-Gayny and g/s Kama-Bondug (Fig. 1), the cross-section areas which are denote by QG (t) and QB (t) respectively were determined. While solve the problem, it will be used the following simplifying assumptions: 1. the change in the cross-section area along the river bed was approximated with a linear dependence: S(x, t) = SG (t) +
x (SB (t) − SG (t)) LB
(5)
2. the terrain of the Kama River catchment between the g/s Gainy and g/s Bondug is fairly homogeneous that is why inflow to the Kama River from areas without observations assume as a constant along the entire coastline, i.e. q(x,t) = q(t). 3. the empirical coefficient K depends only on water discharges in the points of g/s: K(t) = K(QG (t),QK (t),QB (t)). In 2008–2015 winter periods there are distinguished time intervals (1–2 weeks in February), when water discharges for all g/s are practically constant and don’t depend on time. In this case, problem (1)–(4) for a partial differential equation is simplified and reduced to solving the Kochi’s problem for a first-order ordinary differential equation: dQ2 (x) = 2K · S 2 (x), x > 0, dx Q(0) = QG , x ∈ (0, LK − 0), Q(Lk ) = Q(LK − 0) + QK , x ∈ (LK , LB ]
(6)
Hydrodynamic Modeling of the Winter Runoff of the Upper Kama
255
where K = const. Here, due to the stationarity of the process, the argument t is omitted. Using approximation (5), an analytical solution of the problem (6) is obtained: 2 + 2K · F(x), x ∈ [0, L ), Q(x) = QG K Q(x) = (Q(LK − 0) + QK )2 + 2K · F(x), x ∈ [LK , LB ], (7) x 2 + 2K · F(L ), F(x) = S 2 (ξ )d ξ , x ∈ [0, LB ]. Q(LK − 0) = QG K 0
The requirement that solution (7) satisfy the equality Q(L B ) = QB makes it possible to determine the value of the empirical constant: K(QG , QK , QB ) =
1 2 QB − (Q(Lk − 0) + QK )2 2F(LB )
(8)
Processing of the data from g/s made it possible to obtain this dependence in the form of multiple linear regression: K(QG , QK , QB ) = −0.534 − 2.5 · 10−6 QG + 5.5 · 10−6 QB − 1.1 · 10−5 QK .
(9)
The coefficient of determination R2 was more than 0.9. Figure 4 shows the values of the empirical coefficient K calculated on the basis of experimental data using formula (8) and regression Eq. (9). The coefficient K was calculated for time intervals (1–2 weeks), when water discharges for all g/s are practically constant. There may be several such intervals in one year, and in total there were 12 of them in the considered years.
Fig. 4. The values of the empirical coefficient K on the basis of experimental data and according to the regression equation are calculated. The number of the time interval is plotted along the horizontal axis.
Figure 4 shows a good qualitative agreement between the results.
256
S. Rusakov et al.
The numerical solution of problem (1)–(4) was implemented in the form of an implicit scheme with a first-order approximation in time and space on a regular grid taking into account the assumptions. xj = j · x, t = t (n) = n · t, x = LB /N : (n+1)
Qj
(n)
− Qj
t (n+1)
Q0
(n)
+
Qj
(n+1)
Qj
(n)
(n+1)
− Qj−1 x
Sj
(n+1) dq (n) (n) (n) (n) = K QG , QK , QB Sj + , j = 1, ..., N , dt
(n+1)
= QG
(10)
The main calculations were carried out in steps: Δt = 1 h and Δx = 1000 m, (n) (n) (n) while the necessary values of the quantities QG , QK , QB were obtained using linear interpolation. (n) The purpose of numerical modeling in this case was to determine the value dq dt – inflow to the Kama River from areas without observations. (n+1) , it makes possible to Because at each step we know the experimental values of QB determine the desired value. To do this, we use the following algorithm, which takes into (n+1) : each time account the linearity of problem (10) with respect to the unknowns Qj (n+1) dq step is performed twice with different values of dt , for example, equal to 0 and 0.1. These two options were designate with indices 1 and 2, respectively. Further, from (n+1) (n+1) (n+1) = αQN ,1 + (1 − α)QN ,2 we find the value of the weight coefficient the ratio QB α=
(n+1) −QN ,2 (n+1) (n+1) QN ,1 −QN ,2
(n+1)
Qj
(n+1)
QB
(n+1)
= αQj,1
. Using the obtained value of α we finally obtain: (n+1)
+ (1 − a)Qj,2
, j = 0, ..., N , (0)
(n+1) (n+1) dq (n+1) dq dq =α + (1 − α) . dt dt 1 dt 2
The analytical solution (7) Qj , j = 0, ..., N was taken as the initial condition. Then it was refined by internal iterations at the first-time step. The function of inflow to the Kama River from areas without observations q(t) was (n) . The integration constant was obtained by numerically integrating the values of dq dt determined from the assumption that the average value of this function for the considered winter period is equal to QP,w . Figure 5 shows the distribution of q(t) and QP (t) for the winter season of 2010. Figure 5 shows the function q(t) which is decreased and approximated by a first-order polynomial with a determination coefficient R2 greater than 0.99. Similar results were obtained for all winter seasons from 2008 to 2015. In future, the rate of decrease q(t) will be denoted by the value β, which in the variant shown in Fig. 5 has the value β = -0.1462 m3 /(s·day). Table 4 shows the summary results of the value β for the considered winter seasons. Thus, there is a rather wide scatter in the values of the rate of decrease in inflow to the Kama River from areas without observations. There is a significant relationship between this value with the average value for winter period. A coefficient of the paired linear correlation is -0.77. On the other hand, the obtained value of β can serve as an additional numerical characteristic of the behavior of the river water flow in winter season.
Hydrodynamic Modeling of the Winter Runoff of the Upper Kama
257
Fig. 5. The distribution of q(t) and QP (t) for the winter season of 2010 Table 4. The results of calculations of inflow to the Kama River from the areas without observations for the winter seasons 2008–2015 Uear
2008
2009
2010
2011
2012
2013
2014
2015
QP, w
40.9
58.8
47.8
28.1
31.5
44.9
65.2
22.4
B
−0.139
−0.357
−0.148
−0.078
−0.110
−0.119
−0.230
−0.121
4 Conclusion The statistically significant relationship between winter river flow and parameters of the snow melt flood was revealed. A hydrodynamic model of river runoff is proposed for the part of the Upper Kama in winter season. The analysis of the results made it possible to objectively assess inflow to the Kama River from areas without observations between the g/s Kama-Gayny and g/s KamaBondug. This model can be used to make forecasts of spring flood runoff with additional consideration of water inflow from the area uncovered by observations during a snowmelt period.
References 1. Alekseevskii, N.I., Frolova, N.L., Agafonova, S.A.: Methods for preventing socio-economic damage during the flood period on the rivers of Russia. Environ. Manage. 3, 47–52 (2011)
258
S. Rusakov et al.
2. Borshch, S.V., Asarin, A.E., Bolgov, M.V., Polunin, A.Ya: Floods. Methods for assessing the consequences of climate change for physical and biological systems, pp. 87–125. Rosgidromet, Moscow (2012) 3. Gareev, A.M., Zaitsev, P.N., Komissarov, A.V.: Some features of the variability of maximum water flows of spring flood, depending on the influence of flow-forming factors (on example of river basins of the Bashkir part of the Urals region). Bulletin of Bashkir University 2, 478–484 (2015) 4. Gelfan, A.N., Moreido, V.M.: Dynamic-stochastic modeling of snow cover formation on the European territory of Russia. Ice and Snow 54(2), 44–52 (2014) 5. Kalinin, V.G.: The water regime of the Kama reservoirs and rivers of their catchment area in the winter season. PSU Publisher, Perm (2014) 6. Kalinin, V.G., Sumaneeva, K.I., Rusakov, V.S.: Modeling the spatial distribution of snow cover during spring snowmelt. Meteorology and Hydrology 2, 74–85 (2019) 7. Kalinin, V.G., Shaydulina, A.A., Rusakov, V.S., Fasahov, M.A.: Mathematical and geoinformation modeling of snowmelt process in the river drainage basins of the Kama region. Ice and Snow 62(1), 64–74 (2022) 8. Krylenko, I., et al.: Modeling ice-jam floods in the frameworks of an intelligent system for river monitoring. Water Resour. 47(3), 387–398 (2020). https://doi.org/10.1134/s00978078 20030069.(WoS,SCOPUS,IF0.556) 9. Motovilov, Y., Gelfan, A.N.: Modeli formirovaniya stoka v zadachah gidrologii rechnyh bassejnov. Water problem Institute of RAS Press, Moscow (2018) 10. Pyankov, S.V., Kalinin, N.A., Shikhov, A.N., Abdullin, R.K., Bykov, A.V.: Simulation of snow cover formation and melt with publication of the output data on the web map service (on the example of Kama river basin). IOP Conference Series: Earth and Environmental Sciences 321, 012009 (2019). https://doi.org/10.1088/1755-1315/321/1/012009 11. Sazonov, A., Krylenko, I., Rumyantcev A. et al.: Two-dimensional hydrodynamic modeling of residential areas flooding using a highly detailed computational mesh. E3S Web of Conferences 163, 1–5 (2020). https://doi.org/10.1051/e3sconf/202016301010
Prediction of Street Icing Using Artificial Neural Network Anton Vakorin(B) Perm State University, Perm, Russian Federation [email protected]
Abstract. Icing is responsible for economic losses and injuries to people. Despite the interest in icing, other studies mainly focused on power grid icing and wind turbine icing and few studies have considered researching street icing. This work describes the approach to street icing problem. We offer one of the first investigations into icing of general structures on the wide territory. In the research, we have proposed an artificial neural network model that can help predict street icing for the next 12 h. The augmentation strategy is also used to artificially increase the number of positive cases. The model was validated on random samples and showed accuracy as high as 89%. Keywords: Icing · ANN · weather
1 Introduction The area of weather prediction is attracting growing attention because of advances in machine learning and big data analysis. Over the years, there have been many applications of machine learning to predict one of the weather parameters, such as rain precipitation level [1, 2] based on other parameters such as temperature, humidity, atmospheric pressure, and wind speed. In this paper, we discuss how artificial neural networks can help predict street icing. Most research on icing has focused on power grid icing as it ‘directly affects the normal work of power systems’ and ‘causes huge economic losses’ using ensemble of TCN trained on historical methodological parameters and historical icing force values [3]; building parallel coordinates plots and analyzing them with CNN [4]. Other general direction of studies is icing of wind turbines using methods as combining several CNN architectures with recurrent layers [5]; frequency modelling in wind turbine blade [6]; CNN with historical and forecast input blocks [7]. These directions are the most popular because conditions for such icings are much easier to observe, investigate and model. However, street icing is much rarer and requires some specific weather state to build.
2 Dataset In this research, 8-month long data were taken for the period from September to April and 2012 to 2020. The main weather parameters are sea level pressure, dew point deficit © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 E. Isaeva and Á. Rocha (Eds.): Perm Forum 2022, LNNS 622, pp. 259–268, 2023. https://doi.org/10.1007/978-3-031-28086-3_21
260
A. Vakorin
2m above ground, wind direction and wind speed 10m above ground, difference of sea level pressure, difference of temperature, difference of dew point deficit, difference of wind direction, and difference of wind speed. See Appendix 1 for the complete list of parameters. Output variable denotes probability of building icing in next 12 h. Data was collected from open meteorological archives: Weather for 243 countries of the world [8] and Atmospheric Soundings [9].
3 Methodology Firstly, the initial data had information about timestamp when each sample was collected. So, we decided to split it into three datasets: the morning dataset with differential data within 0–12 h, the evening dataset with data within 12–24 h, and the merged dataset used for reference. Each data set was treated separately. The timestamp was used only for the purpose of separating samples and was not used for model training. We had three main goals for the research: 1. Mitigate the skew in the dataset and train a basic model, 2. Improve the model, in order to reduce the prediction MSE, 3. Create an additional model for predictions based on the predictions of weather parameters. 3.1 Augmentation Because the initial data had a big skew in situations where icing is not present, a special pretreatment must be applied to the data. The experimental design called augmentation was used. The approach is mainly based on artificial increasing number of samples. The augmentation was done with two approaches: 1. The naïve, where the samples were just copied without any changes. 2. Range-based, where the range of each parameter in the data set was determined, and the copied samples had their parameters filled randomly within these ranges. With these approaches, the skew was mitigated to a 3 to 5 ratio (900 samples with icing and 1500 without). Figure 1 shows the architecture of the model as a diagram. To rule out the problem of different scale of each parameter, normalization layer was added as the first layer. Then the data is put into dense layer with 15 neurons, and then routed to the output. For the purpose of easer testing and tuning the model, the output is presented as 0–1 continuous variable instead of binary. The models were trained separately for each data set and augmentation method. For each layer the hyperbolic tangent function was used as activation function. Training was carried out for 1000 epochs, with the loss function chosen as the mean square error, with 20% of the data set split for validation purposes, and the Adam optimizer with default parameters was used.
Prediction of Street Icing Using Artificial Neural Network
261
Fig. 1. Diagram of architecture of the icing prediction model
3.2 Complex Model In order to further increase the predictive ability of the model, additional steps must be taken. Firstly, we considered the direction of wind is too random, and not useful for our purposes, so we decided to remove all parameters connected to wind direction from our dataset. Secondly, all parameters for all of samples, where icing does not occur, were analyzed for outlier values using the interquartile range method defined as following: 1. Calculate IQR = Q3 − Q1 , where Q1 is 25% quantile and Q3 is 75% quantile 2. Consider all values below Q1 − IQR ∗ 1.5 or above Q3 + IQR ∗ 1.5 as outliers 3. If sample has one or more of outlier value, then we consider that sample is outlier Thirdly, we added another layer and added an automatic process of best model selection. Figure 2 shows the architecture of complex model. For each hidden dense layer, we enumerate through the 9/12/15/18 neurons. Each of 16 model is trained on the whole augmented dataset and the best architecture is determined by the model accuracy score. Then the best architecture is used to train real model, that can be used for testing and predictions. 3.3 Lightweight Model for Future Predictions Previous models demand the whole set of parameters, but the set contains parameters which we cannot predict far into the future. Therefore, we need to reduce the set to include only parameters we can predict with other meteorological methods. Through the careful examination of the dataset, we decided to include only following parameters: T925 – temperature at isobaric surface 925 hPa, Ts – temperature in 2m above the ground layer, and Vs – wind speed in 10m above the ground layer, and their deltas with
262
A. Vakorin
Fig. 2. New model architecture
the previous value within 12 h. The architecture of model is shown on Fig. 3, where number of neurons on hidden layers for model is determined on previous step.
Fig. 3. Architecture of lightweight model
4 Results 4.1 Evaluation Metrics We use the following metrics to evaluate the performance of our models Mean Square Error (MSE), which is defined as: (1) MSE = 1n ni=1 (yi − yi )2
Prediction of Street Icing Using Artificial Neural Network
263
where yi is true label and yi is predicted value, n is number of samples in testing dataset. For the complex model we use binary classification metrics such as false positive rate and false negative rate and accuracy defined as: FPR =
FP TN +FP
(2)
FNR =
FN TP+FN
(3)
TP+TN TP+FP+TN +FN
(4)
ACC =
where TP is the number of cases where model correctly predicted the icing, TN is the number of cases where model correctly predicted no icing, FP is the number of cases where model incorrectly predicted the icing and FN is the number of cases where model incorrectly predicted no icing. 4.2 Evaluation of Augmentation
Fig. 4. Results of testing the neural network (morning dataset)
From Figs. 4–6, we can observe that the basic augmentation method can improve the ability of ANN to calculate the probability of icing conditions. The MSE for each model is 0.16. Then we observe the range-based augmentation method applied can further reduce the MSE of each model. The MSE for evening model is 0.14, for morning model is 0.13 and for merged model is 0.15. And the L2-regularization on hidden layer further improves the predictive ability of the models, bringing down the MSE below 0,1 for the morning dataset. Also, the performance of merged model is lower than performance of separated ones; therefore, the initial decision to treat them separately proved to be true. Importantly, the results reveal that augmentation can provide the way to train ANN on datasets with high skew in distribution, and with some techniques to increase overall accuracy and eliminate false positives. Interestingly, it was also observed that states of icing differ in different time periods and separation of the dataset by different time periods also increase ability of model to predict icing.
264
A. Vakorin
Fig. 5. Results of testing the neural network (evening dataset)
Fig. 6. Results of testing the neural network (merged dataset)
4.3 Complex Model Evaluation For the evening dataset the best architecture has 15 neurons on the first hidden layer and 15 neurons on the second hidden layer. Accuracy of model on testing dataset is 70%. Full evaluation results are presented in Table 1. Table 1. Evaluation results of model on evening dataset with wind direction parameters True prediction
False prediction
Total
Icing
4
0
4
No icing
20
10
30
For the evening dataset the best architecture has 15 neurons on the first hidden layer and 12 neurons on the second hidden layer. Accuracy of model on testing dataset is 66%. Full evaluation results are presented in Table 2.
Prediction of Street Icing Using Artificial Neural Network
265
Table 2. Evaluation results of model on morning dataset with wind direction parameters True prediction
False prediction
Total
Icing
4
3
7
No icing
21
10
31
The level of performance of both models can be improved by exclusion of wind direction parameters. Therefore, we ran another series of experiments to train the models without these parameters. Other point of removing wind direction is reducing the amount of noise in dataset, thus reducing the number of outlier samples, and increasing the number of samples in training and testing datasets. For the evening dataset model has increased accuracy to 88%. Full evaluation results are presented in Table 3. Table 3. Evaluation results of model on evening dataset without wind direction parameters True prediction
False prediction
Total
Icing
4
0
4
No icing
47
7
54
Performance of morning model is also significantly increased to 81% of accuracy. Full evaluation results are presented in Table 4. Table 4. Evaluation results of model on morning dataset without wind direction parameters True prediction
False prediction
Total
Icing
6
1
7
No icing
41
10
51
4.4 Lightweight Model Evaluation We expected lower accuracy from the lightweight model due to lack of most of meteorological parameters, but the accuracy of both models still allows us to use them for future prediction. And we still can run more accurate models on time of final decision. For the evening dataset model accuracy lowered to 81% due to presence of false negative cases in testing dataset. Full evaluation results are presented in Table 5. For the morning dataset model, accuracy remained on the same 81% level, so we can use that model as our main model for predictions. Full evaluation results are presented in Table 6.
266
A. Vakorin Table 5. Evaluation results of the lightweight model on evening dataset True prediction
False prediction
Total
Icing
4
0
4
No icing
43
11
54
Table 6. Evaluation results of the lightweight model on morning dataset True prediction
False prediction
Total
Icing
6
1
7
No icing
44
10
54
In Tables 7–8 we consolidate the false positive rates and false negative rates for all presented models, respectively. From these tables we can conclude that morning dataset gained the most benefits from removing the wind direction parameters. Table 7. False positive rates for all models With wind direction
Without wind direction
Lightweight
Morning
42%
14%
14%
Evening
0%
0%
0%
Table 8. False negative rates for all models With wind direction
Without wind direction
Lightweight
Morning
32%
20%
20%
Evening
33%
13%
20%
5 Conclusion In conclusion, we created two models that can predict the icing of Perm’s streets in the morning and in the evening. The accuracy of each model is 89% and 81%, respectively. Also, we created models which can work on predicted weather parameters with small cost of accuracy. This work also has presented a novel method for artificially increasing the number of samples in case of a large skew. Additional data collection for 2021 would help to determine the applicability of the models in real world.
Prediction of Street Icing Using Artificial Neural Network
267
Appendix The entire list of meteorological parameters, all differences (like DPs) between values calculated within 12 h: YEAR; MON – month; DAY; Z – hour(0 or 12); Ps – atmospheric pressure at sea level; Ts – temperature at 2m height; dTs – dew point deficit at 2m height; Ds – wind direction at 10m height; Vs – wind speed at 10m height; DPs – difference of pressure at sea level; DTs – difference of temperature at 2m height; DdTs – difference of dew point deficit at 2m height; DDs – difference of wind direction at 10m height; DVs – difference of wind speed at 10m height; H1000 – height of isobaric surface 1000 hPa; DH1000 – difference of height of isobaric surface 1000 hPa; H925 – height of isobaric surface 925 hPa; T925 – temperature at isobaric surface 925 hPa; dT925 – dew point deficit at isobaric surface 925 hPa; D925 – wind direction at isobaric surface 925 hPa; V925 – wind speed at isobaric surface 925 hPa; DH925 – difference of height at isobaric surface 925 hPa; DT925 – difference of temperature at isobaric surface 925 hPa; DdT925 – difference of dew point deficit at isobaric surface 925 hPa; DD925 – difference of wind direction at isobaric surface 925 hPa; DV925 – difference of wind speed at isobaric surface 925 hPa; H850 – height of isobaric surface 850 hPa; T850 – temperature at isobaric surface 850 hPa; dT850 – dew point deficit at isobaric surface 850 hPa; D850 – wind direction at isobaric surface 850 hPa; V850 – wind speed at isobaric surface 850 hPa; DH850 – difference of height of isobaric surface 850 hPa; DT850 – difference of temperature at isobaric surface 850 hPa; DdT850 – difference of dew point deficit at isobaric surface 850 hPa; DD850 – difference of wind direction at isobaric surface 850 hPa; DV850 – difference of wind speed at isobaric surface 850 hPa; H700 – height of isobaric surface 700 hPa; T700 – temperature at isobaric surface 700; D700 – wind direction at isobaric surface 700 hPa; V700 – wind speed at isobaric surface 700 hPa; DH700 – difference of height of isobaric surface 700 hPa; DT700 – difference of temperature at isobaric surface 700 hPa; DD700 – difference of wind direction at isobaric surface 700 hPa; DV700 – difference of wind speed at isobaric surface 700 hPa; SdT – sum of dew point deficit through layers from ground level to isobaric surface 850 hPa; H925–1000 – difference in height between isobaric surfaces 925 hPa and 1000 hPa; H850–1000 – difference in height between isobaric surfaces 850 hPa and 1000 hPa; H700–1000 – difference in height between isobaric surfaces 700 hPa and 1000 hPa; H850–925 – difference in height between isobaric surfaces 850 hPa and 925 hPa; H700–925 – difference in height between isobaric surfaces 700 hPa and 925 hPa; H700–850 – difference in height between isobaric surfaces 700 hPa and 850 hPa; DSdT – difference of sum of dew point deficit through layers from ground level to isobaric surface 850 hPa; Dmean – average wind direction through layers from ground level to isobaric surface 850 hPa; DH925–1000 – difference of difference in height between isobaric surfaces 925 hPa and 1000 hPa; DH850–1000 – difference of difference in height between isobaric surfaces 850 hPa and 1000 hPa; DH700–1000 – difference of difference in height between isobaric surfaces 700 hPa and 1000 hPa; DH850–925 – difference of difference in height between isobaric surfaces 850 hPa and 925 hPa; DH700–925 – difference of difference in height between isobaric surfaces 700 hPa and 925 hPa; DH700–850 – difference of difference in height between isobaric surfaces 700 hPa and 850 hPa; LV = V925 + V850-Vs-V700; DDmean – difference
268
A. Vakorin
of average wind direction through layers from ground level to isobaric surface 850 hPa; DLV – difference of LV;
References 1. Alankar, B., Yousf, N., Ahsaan, S.U.: Predictive analytics for weather forecasting using back propagation and resilient back propagation neural networks. In: Patnaik, S., Ip, A.W.H., Tavana, M., Jain, V. (eds.) New Paradigm in Decision Science and Management. AISC, vol. 1005, pp. 99–115. Springer, Singapore (2020). https://doi.org/10.1007/978-981-13-9330-3_10 2. Mohd Safar, N., Ndzi, D., Mahdin, H., Khalif, K.: Rainfall intensity forecast using ensemble artificial neural network and data fusion for tropical climate. In: Advances in Intelligent Systems and Computing, pp. 241–250 (2019). https://doi.org/10.1007/978-3-030-36056-6_24 3. Wen, Y., Wu, J., Gao, Z., He, J., Li, H., Zhao, L.: A multi-source feature temporal convolutional deep learning-based method for power grid icing prediction. In: 2021 International Conference on Digital Society and Intelligent Systems (DSInS), pp. 344–347 (2021). https://doi.org/10. 1109/DSInS54396.2021.9670571 4. He, L., Luo, J., Zhou, X.: A novel deep learning model for transmission line icing thickness prediction. In: 2021 IEEE 5th Advanced Information Technology, Electronic and Automation Control Conference (IAEAC), 733–738 (2021). https://doi.org/10.1109/IAEAC50856.2021. 9390825 5. Xiao, J., Li, C., Liu, B., Huang, J., Xie, L.: Prediction of wind turbine blade icing fault based on selective deep ensemble model. Knowl.-Based Syst. 242, 108290 (2022). https://doi.org/ 10.1016/j.knosys.2022.108290 6. Li, F., Cui, H., Su, H., Iderchuluun, Ma, Z., Zhu, Y., Zhang, Y.: Icing condition prediction of wind turbine blade by using artificial neural network based on modal frequency. Cold Reg. Sci. Technol. 194, 103467 (2022). https://doi.org/10.1016/j.coldregions.2021.103467 7. Kreutz, M., et al.: Convolutional neural network with dual inputs for time series ice prediction on rotor blades of wind turbines. Procedia CIRP. 104, 446–451 (2021). https://doi.org/10.1016/ j.procir.2021.11.075 8. Weather for 243 countries of the world. https://rp5.ru/. Accessed 02 Feb 2022. (Pogoda v 243 ctpanax mipa) 9. Atmospheric Soundings. http://weather.uwyo.edu/upperair/sounding.html. Accessed 02 Feb 2022
Mineral Associations of Permian Sandstones in the Pre-Kama Region Boris Osovetsky(B) Perm State University, Perm, Russia [email protected]
Abstract. The features of the mineral composition for heavy fraction of Permian sandstones in the territory of the Pre-Kama Region are considered. The presence of two mineralogical “boundaries” in the formation of Permian terrigenous rocks with characteristic associations is established (chromite for the rocks of the Lower Permian, and epidote for the rocks of the Middle and Upper Permian). The reason for the change of association is the erosion of various bedrocks in the greenstone zone of the Urals. At the same time, the epidote association in sandstones has a particularly wide distribution, and its presence is also characteristic of the sandstones of the Lower Triassic. The main purpose of the investigations is to suppose the new opportunities to use of mineralogical information for understanding of geological history of the Permian period in the Pre-Kamd Region.The change in the mineral composition of Permian sandstones can be used in dissection and correlation of sections, as well as in the search for ore occurrences. Keywords: Mineral associations · Permian sandstones · Chromite · Epidote · The Urals · Pre-Kama Region
1 Introduction Clastic rocks are an important and widespread component of the Permian deposit sections in the East European Platform. Conglomerates, gravelites, siltstones are often found among them, but the area of distribution, the volume of rocks, the thickness of horizons are significantly dominated by sandstones. Oil is the most important raw material in Permian-age sandstones (for example, large oil deposits were found in polymictic sandstones of the Assel stage, while single and small oil occurrences were also noted in some layers of the Upper Permian sandstones). Copper sandstones in sections of Permian deposits are widely known, from which copper had been extracting in the 18th century. There are interlayers of green clay with an admixture of chromium (a variety of montmorillonite volkonskoite). In some areas of the Pre-Kama Region in the Permian sandstone strata dense sandstones are used as building stones, and the other ones are applied as material for paving. Permian sandstones in the Pre-Kama Region became the object of detailed mineralogical studies in the 30–40s of the last century in connection with the discovery of the first oil deposits here. Since the 50s, the active development of the territory of the © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 E. Isaeva and Á. Rocha (Eds.): Perm Forum 2022, LNNS 622, pp. 269–280, 2023. https://doi.org/10.1007/978-3-031-28086-3_22
270
B. Osovetsky
“Second Baku” was accompanied by a large volume of drilling operations. At the same time, Permian sandstones made up a significant part of the core material from the sections opened by wells. Their dating presented certain difficulties due to the lack of faunal remains. In this regard, data on the mineral composition of Permian rocks were used to dissect and correlate the strata, to clarify the conditions of their formation, etc. Special attention to the composition of the heavy fraction as the most informative part of the sandstone mineral substance was paid already at an early stage of research. As the actual material accumulated, the material composition of Permian sandstones began to be used for large-scale generalizations. At the same time, the researchers took into account their presence on the vast territory of the Urals and the adjacent areas of the East European Platform, their role as indicators of erosion processes, paleogeographic features, source rocks, and the history of geological development. The results of these studies had shown great possibilities of using data on heavy fraction mineral composition in Permian sandstones to solve complex issues concerned the formation of a significant part of the sedimentary cover in this vast area (Fig. 1). To date, a huge amount of factual material had been accumulated, original research methods had been developed, new concepts had been introduced into scientific use, etc.
- 300 km
Fig. 1. Position of the Pre-Kama Region in the geological map of the Eastern European Platform (rectangle is the investigation area)
In this article, the author provides his own factual material on the mineral composition of heavy fraction in Permian sandstones of the Pre-Kama Region, and the modern alluvium of watercourses eroding these deposits. It is based on the development and use of a detailed technique of multi-fractional mineralogical analysis, i.e. the study of the composition in several dimensional classes of sand and siltstone range, covering the entire granulometric spectrum of heavy minerals.
Mineral Associations of Permian Sandstones in the Pre-Kama Region
271
2 Previous Research Among the pioneering works based on a detailed study of heavy fraction mineral composition in the Permian sandstones, the monograph of S.G. Sarkisyan [16] stood out in particular. It provided extensive information about the material composition of the Upper Permian sandstones in the territories of Bashkiria and Molotov Region (now Perm Krai), studied in core samples of many exploratory wells. The main purpose of this study was to identify mineralogical criteria for the dissection and correlation of sections in the interests of petroleum geology. The result of these works was the identification in sections of several mineralogical complexes and their constituent horizons. When summarizing the data obtained, the author of this monograph identified some mineral species that could be used as indicators for rocks of a certain age. In particular, chromite and magnetite were the most characteristic in the heavy fraction of the Kungur sandstones, and epidote was that of in the sandstones of the Upper Permian. In one of the subsequent generalizing articles, S.G. Sarkisyan [17] noted that “only the use of the mineralogical method gave a positive result in the dismemberment and correlation of variegated Permian deposits on the territory of the Urals.” The mineral composition of the heavy fraction in the Artinskiy sandstones for the section of the mouth of the Koiva River was studied by A.A. Kukharenko [10] in connection with the establishment of possible intermediate collectors of the Urals placer diamonds. He noted the predominance of ore components in the complex of heavy minerals (hematite, ilmenite, chrome spinelides, zircon). The classic and multifaceted work of this early period was the monograph by T.V. Makarova [11], devoted to the study of the mineral composition of the Upper Permian deposits not only in the Pre-Kama Region, but also in the adjacent areas of the European part of Russia. In total, the results of several thousand mineralogical analyses were used in this work. The result of this study was to establish the uniqueness of the mineral composition of Permian sandstones, which was markedly different from that in the Permian rocks of the central regions of the East European Platform. The author of this monograph noted that the reason for this difference was the influence of various source rocks of detrital material. Scientists of Kazan University [7, 19] made a great contribution to the study of the material composition of Permian sandstones in the eastern regions of Tatarstan. They revealed a sharp change in the mineral composition of the heavy fraction at the border of the Lower and the Upper Tatar sublayers, which was associated with an increase in the erosion of igneous rocks in the Urals at this boundary. Great attention was also paid to the variability of the composition of the heavy fraction under the influence of many factors, which could be used in sedimentological studies (for example, the role of tectonic factor, the duration of re-washing of terrigenous deposits, the influence of additional source rocks, etc.). Scientists of Perm University also studied the material composition of Permian sandstones during this period. Thus, in one of the first works [4] devoted to the Kazan stage sandstones, it was found that the composition of their heavy fraction changed markedly in the vertical section, which made it possible to subdivide the studied rocks into mineralogical horizons. In addition, the variability of the composition of heavy minerals was also observed in space, in particular with the distance from the Urals in the western
272
B. Osovetsky
direction. The authors of this work suggested the possibility of the existence of rivers which had been flowing along the Urals in the Kazan epoch. Later, the sediments of the Solikamsk and Sheshmin formations were studied [3], and it was concluded that they had filled in the paleo-rivers beds, which had a flow direction from the southeast to the northwest. The features of the heavy fraction composition were revealed, which allowed us to confirm this conclusion. Terrigenous-mineralogical zoning of Tatar deposits in the north of the East European Platform was proposed by O.S.Kochetkov [9]. He established two mineralogical provinces for deposits of this age, for which the most characteristic minerals were epidote and amphiboles. The main sources of clastic material, according to this author, were the rocks of the Scandinavian Shield (for amphiboles) and Timan (for epidote). It is characteristic that the generalizing monograph of VSEGEI employees [18] also provided data on the composition of the heavy fraction of Tatar sandstones, but already for the territory of the Sterlitamak Pre-Urals. In this area, a sharp predominance of chromite has already been noted (45–60, sometimes up to 82%). Scientists of the Institute of Geology and Geochemistry of the Ural Branch of the Russian Academy of Sciences [5, 6] had been actively engaged in a detailed study of the material composition for the Lower Permian terrigenous rocks, including the mineralogy of heavy fraction, since the 70s of the last century. Based on detailed studies of heavy fraction composition in the Lower Permian rocks of the Western Urals, G.A. Misens [12, 13] identified 10 terrigenous-mineralogical provinces, with chromite significantly predominant (up to 70%) in almost all of them. The exceptions are the territories of the northern and, conversely, the southern regions, where zircon and pyroxenes were noticeably distinguished in heavy fraction, respectively. The chromite association of the allotigenic part of the heavy fraction of Kungur sandstones in the Shakva River basin was also established by I.I. Chaikovsky [2]. In addition, a large amount of information was given in the production reports of many authors, where the composition of the heavy fraction was assigned an important role [14]. A review of the above materials on the mineral composition study of heavy fraction in the Lower Permian sandstones allows the author of this article to conclude that the most characteristic component in its is chromite. The chromite mineral association of heavy fraction in sandstones of the Lower Permian is a consequence of the erosion by watercourses of the rocks of the greenstone zone in the Urals, which at that time experienced intensive uplift and, accordingly, was subjected to active erosion. Chromite ore occurrences in the Urals are widespread and are divided, like the rocks of the greenstone zone itself, into primary mantle and metamorphosed. They are confined to the rocks of the ultrabasic ophiolite complex and correspond to two stages of their formation (upper mantle and crust). At the same time, upper mantle ones are found only in the massifs of the western slope and the middle zone of the Urals. Metamorphosed ore occurrences of chromites are characteristic of the eastern slope of the Urals. Chromite in the composition of the Lower Permian sandstones was the most characteristic indicator of the erosion of ore occurrences in the western slope of the Urals. To this we can add the proximity of the sedimentation zone and the source rocks, since the Lower Permian rocks are located in a relatively narrow strip along the Urals. Thus,
Mineral Associations of Permian Sandstones in the Pre-Kama Region
273
chromite with its relatively high density (4.0–4.6 g/cm3 ), although it is a near-drift mineral, is quite capable of occupying a leading position in the heavy fraction of the Lower Permian sediments due to the high activity of the aquatic environment in mountain and foothill watercourses. When establishing the appropriate mineral indicators for the Middle and Upper Permian sandstones, which will already belong to the components of remote and even distant migration, great difficulties arise. They are due to the significant thickness and area of distribution of these rocks, for which it is impossible to provide representative testing even of the sections available on the surface. The analysis of the data obtained by different authors gives contradictory results due to the variety of methods of sample preparation and mineralogical analysis of heavy fraction. Thus, the authors had chosen either the concentrates or the heavy fractions isolated in bromoform as the object of study, analyzed only one size fraction, but of different sizes (0.25–0.1 or 0.25–0.01 mm, etc.), often did not separate the allotigenic and autigenic components, etc. The task set by the author in this article is to establish the main (leading) component of the heavy fraction of sandstones of the Middle and the Late Permian age, which could become a reliable correlative feature in the dismemberment and correlation of terrigenous strata sections in the Urals, as well as a source of detrital material.
3 Methods of Investigation At the first stage, the author took a small number of samples from several sections of Permian sandstones of the Ufimian, Tatar and Kazan stages. Weakly cemented interlayers with a low content of clay particles admixture were mainly tested. Samples weighing up to 1 kg were taken in sections from the intervals up to 0.3–0.5 m. The method of laboratory processing of samples included the following operations: 1) disintegration of the material by grinding; 2) removal of clay fraction (particle size less than 0.01 mm), 3) grain size analysis; 4) separation of heavy fraction in the bromoform from the detrital material with a size of less than 1 mm; 5) sieving of the heavy fraction into classes (in mm): 1–0,5; 0,5–0,25; 0,25–0,1; 0,1–0,05 and less than 0.05, 6) mineralogical analysis of each fraction according to a representative number of grains (500), 7) diagnostics of minerals with the isolation of individual mineral species and their groups (epidote, pyroxenes, amphiboles, mica), 8) calculation of the weighted average mineral content in the heavy fraction. Generalization of the obtained data on the composition of heavy fraction allows us to make a preliminary conclusion about the leading role of the epidote association in all studied sections (Table 1). However, the small number of studied sections and samples does not allow us to confidently extend this conclusion to the entire territory of the Pre-Kama Region and the entire complex of rocks of the Middle and Upper Permian. In addition, the discrepancy between the data of different authors, although obtained on the basis of the use of different techniques, nevertheless allowed us to assume the influence of many local source rocks on the composition of heavy fraction. Especially noticeable were variations in the mineral composition of Upper Permian sandstones for areas remote from the Urals. To solve this problem, the author of the article proposed and implemented the following approach. Firstly, modern alluvial deposits of the main rivers were tested in territories
274
B. Osovetsky
where sandstones of the Middle and Late Permian age were the source rocks. Secondly, the same technique of multifraction analysis of heavy fraction was used, which made it possible to take into account the difference in the grain size composition of eroded sandstones, the presence of layers of pebbles, gravelites and siltstones in the sections [14]. Table 1. Mineral composition of heavy fraction in the Middle and Upper Permian sandstones, % Mineral
Ufimian stage
Tatarian stage
Kazanian stage
Nagornoe
Kotelnich
Epidote
42.9
50.8
67.1
39.0
Amphiboles
–
–
3.2
1.2
Pyroxenes
1.4
–
0.7
0.6
Garnets
2.2
0.4
0.3
0.5
Staurolite
0.8
0.5
0.3
0.1
Leucoxene
0.3
1.2
0.6
0.8
Zircon
0.6
0.8
0.1
0.1
Sphene
–
1.6
0.5
0.6
Goethite
2.8
22.7
13.0
13.4
Ilmenite
3.0
3.8
1.0
0.3
Magnetite
17.7
2.0
1.2
7.0
Chromite
0.8
6.0
1.5
1.3
Hematite
17.6
2.7
2.4
6.8
Mica
0.1
0.2
1.3
7.9
Number of analyses
1
1
4
4
When justifying this approach, it was taken into account that the mineral composition of modern river sediments in the vast territory of the Urals was formed mainly as a result of the rewashing of the detrital material of Permian sandstones, the sections of which were presented in watersheds and were located in the basement of river terraces. In addition, Permian sandstones were usually the underlying rocks at the base of river sediments. Secondly, the erosion of other lithological types of rocks of Permian age (clays, mudstones, etc.), often presented as interlayers in sandstones, should not affect the composition of heavy fraction of modern alluvium due to the low content of heavy minerals in them and the significantly smaller size of mineral particles. An equally important consideration is the fact that the mineral composition of modern alluvium is formed as a result of the erosion of Permian sandstones on long stretches of rivers with numerous tributaries, and thus covers almost the entire area of the Pre-Kama Region. In addition, the formation of modern alluvium is the result of the rewashing of terrace deposits of different ages, which in turn had Permian sandstones of different ages as source rocks. It follows from this that testing the modern alluvium of the rivers
Mineral Associations of Permian Sandstones in the Pre-Kama Region
275
of the territory allows us to obtain averaged data on the composition of heavy fraction in Permian sandstones of different ages throughout their distribution. Testing of modern alluvium was carried out by the author in the period from 1961 to 1966 on the territories of the basins of the rivers Kama, Vyatka, Cheptsa, Vishera, Yayva, Chusovaya and some small tributaries of the Kama during the inter-war period. Sampling from river sediments was carried out from sandy sediments of the river plain facies. The total number of samples taken was 163. The methodology of laboratory sample processing and mineralogical analysis of heavy fraction was the same as in the study of samples taken from sections of Permian sandstones (see above).
4 Results of Investigation The results, based on very representative testing in river basins covering almost the entire territory of the Pre-Kama Region, confirmed the earlier conclusion about the dominance of the epidote mineral association in the Middle and Upper Permian rocks of this area (Table 2). From this fact, it follows that the influence of one main source of detrital material, which had been removing by water flows during the erosion of the Urals in this time interval. This source was either the rocks of the greenstone zone of the Urals, but underwent intensive exposure to metamorphism processes, as a result of which ultrabasic rocks were transformed into epidosites. It is known that during the metamorphization processes the main rock-forming minerals of ultrabasic rocks (olivine, pyroxenes) were transformed into a complex of green-colored minerals (epidote, chlorite, actinolite, etc.). Only epidote from them corresponds to the hydrodynamic conditions of accumulation in sandy strata (actinolite, due to its high cleavage, quickly disintegrates into small particles, chlorites fall mainly into clayey fraction). It should be noted the increased migration ability of epidote grains due to their average density (3.3–3.4 g/cm3 ) and moderate abrasive capacity, too. Certain fluctuations in the values of the average content of epidote (in particular, in the heavy fraction of the alluvium of the Chusovaya and the Vyatka Rivers it is over 80%, and in that of the alluvium of the Vishera River and the middle course of the Kama River is 51–55%) are caused by the superimposition of material from other source rocks. The most characteristic of them is a complex of terrigenous Mesozoic rocks (the Middle and Upper Jurassic, the Lower Cretaceous) with a mineral association of heavy fraction represented by a combination of components resistant to chemical weathering agents (garnet, stavrolite, distene, ilmenite, leucoxene, etc.). Thus, at the border of the Lower and the Middle Permian, there was a sharp change in the mineral association of heavy sandstone fraction (from chromite in the Lower Permian to epidote in the Middle Permian). Previously, the change in the mineral composition of terrigenous rocks in time and space was repeatedly recorded by various researchers. However, the attention of scientists to such events was firstly attracted by E.S. Buzulutskova [1] with the introduction of the concept of the mineralogical “boundary” as the most important event in the history of terrigenous sedimentation in a certain area. She used this concept very successfully in the study of lithological complexes of the Upper Precambrian rocks in the territory of the Western Bashkiria, and the restoration of the history of their formation. Later, mineralogical “boudaries” were described in some other territories [14].
276
B. Osovetsky
Table 2. Average mineral composition of alluvium heavy fractions in the Pre-Kama Region, % Mineral
1 b
2 c
a
3 b
c
a
4
5
6
7
b
Epidote
55.5 74.7 75.7 68.2 80.4 61.3 83.0 66.1 60.3 51.2 70.2
Amphiboles
0.5
0.3
1.3
1.8
0.1
1.7
3.0
0.5
0.6
0.5
1.2
Pyroxenes
7.2
0.3
0.5
0.6
+
7.6
5.9
0.2
5.8
6.1
0.4
Garnets
4.1
0.8
5.0
8.1
0.6
0.1
0.2
3.3
1.2
5.4
5.3
Staurolite
3.5
5.2
5.8
7.5
2.0
0.1
+
3.7
0.5
9.0
5.1
Kyanite
0.6
0.8
1.3
1.4
0.6
–
+
0.6
0.1
0.9
1.9
Ilmenite
4.3
1.7
1.1
1.2
1.3
1.4
0.3
1.3
2.8
1.0
1.9
Hematite
5.9
1.8
0.4
1.0
1.9
1.8
0.1
6.1
1.0
4.4
1.4
Chromite
2.1
0.9
1.1
1.9
1.3
1.5
0.1
2.0
0.3
0.7
1.2
Magnetite
2.1
0.3
0.6
0.4
0.7
3.8
0.1
0.6
0.9
0.4
0.3
Goethite
6.2
8.9
1.1
2.2
5.4
17.8 2.8
4.1
22.4 3.1
5.3
Zircon
1.1
0.4
0.3
0.5
0.1
0.2
+
0.5
0.8
0.4
0.2
Rutile
0.2
0.2
0.1
0.2
0.1
0.1
+
0.1
0.2
0.3
0.2
Leucoxene
1.0
0.7
1.2
1.1
1.1
0.3
0.2
1.2
0.8
3.9
1.4
Tourmaline
0.8
0.3
1.8
1.7
0.2
0.2
+
0.8
0.7
2.5
1.4
Sphene
0.3
0.4
0.2
0.2
0.6
0.1
+
1.5
0.1
0.5
0.7
30
33
40
6
2
12
19
2
9
3
Number of analyses 7
* The rivers: 1 – Kama, 2 – Vyatka, 3 - Chusovaya, 4 – Cheptsa, 5 – Yaiva, 6 - Vishera, 7 – small
tributaries (Chernaya and Belaya Cholunitsa, Letka); a – lower, b – middle, c – upper stream; + less than 0.1%
The main reason for the presence of mineralogical “boundaries” in the strata of terrigenous deposits of different ages is a radical change in the source rocks as a natural result of the geotectonic cycle development in the adjacent provenance of sedimentation. Each of these boundaries is the result of the opening by erosion of another material complex in the process of lifting an adjacent mountain structure, which is clearly shown by the example of the Urals. The formation of a mineralogical “boundary” in the composition of heavy fraction of terrigenous sediments is also accompanied by a change in the petrographic composition of fragments of river sediments, the mineral composition of light fraction of sandy sediments, clay particles, etc. At the same time, the most sensitive indicator of the change of the source rocks is the mineral association of heavy fraction of terrigenous rocks. It should be noted that the composition of heavy fraction minerals in terrigenous sediments is very variable even in the same-aged section due to different grain size composition of layers, and also depends on subsequent superimposed processes (weathering, interstational dissolution, etc.). However, the mineralogical “boundary” differs from the other variations in that the change in the composition of the heavy fraction
Mineral Associations of Permian Sandstones in the Pre-Kama Region
277
occurs not only on a quantitative, but also on a qualitative level with a change in the mineral association for a long period of time. The role of the mineralogical “boundary” is especially great when studying terrigenous strata of considerable thickness over large territories, which fully characterizes terrigenous sedimentation in the Permian period on the western slope of the Urals. The most important feature of this geological stage is the presence of two mineralogical “boundaries” in the Permian sections. A cardinal change in the mineral association of heavy fraction occurred as a result of the intensive impact of metamorphism processes on the rocks of the ophiolite complex in the Urals, which were the main source rocks for the detrital material of the Permian deposits. The erosion of the greenstone rocks in the Urals at the beginning of the Permian period radically changed the sedimentation conditions throughout the Eastern European Platform. As a matter of fact, that the formation of terrigenous deposits during Carboniferous period occurred under the predominant influence of detrital material migration from the west due to erosion of the weathered rocks in the Ukrainian Shield, the Baltic Shield, the Tokmovsky Vault and the Voronezh massif. Therefore, the mineral association of heavy fraction in carboniferous sandstones was formed by the components resistant to weathering agents (garnets, zircon, tourmaline, rutile, etc.). Intensive erosion of the Urals in the Early Permian had conditioned the erosion of numerous occurrences in the ophiolite complex of primary mantle rocks in the greenstone zone, among which chromite ores played a special role. In some local areas, such ore occurrences were absent and main minerals of heavy fraction turned out to be characteristic rock-forming minerals of ultrabasic rocks (olivine, pyroxenes). However, the chromite mineral association of heavy fraction in the Lower Permian sandstones was the leading one. At the next stage, the erosion of the Urals had reached the rocks of greenstone zone, within which the ultrabasic rocks were transformed into epidosites during metamorphism, and, as a result, the chromite composition of heavy fraction in terrigenous deposits at the border of the Early and the Middle Permian was changed by epidote one. Special attention should be paid to the fact that the area of distribution of the epidote association in the heavy fraction of modern alluvium stretches far beyond the territory of the Pre-Kama Region. It is installed not only for the alluvium of the Kama River basin, but also for the basins of other large rivers flowing along the Urals (the Pechora River and the Ural River). In the western direction, the zone of distribution of the epidote association extends to the basin of the upper and middle streams of the Vychegda River, covers the basins of the middle and partially lower streams of the Volga River [14]. The reasons for its wide spread are the considerable length of the Urals, the huge thickness and volume of greenstone metamorphosed rocks, and a long period of their erosion. An additional factor contributing to the formation of the epidote association in the heavy fraction of the Middle and Upper Permian sandstones is the high migration ability of epidote grains (compared to that of chromite), high content and higher abrasive capacity compared to other typical minerals of metamorphosed ophiolite complexes (actinolite, prehnite, etc.). Another important feature was the long geological time of existence of the epidote association in the terrigenous rocks of the East European Platform. It continued to exist
278
B. Osovetsky
in the Lower Triassic terrigenous rocks. Terrigenous sedimentation on the territory of the Pre-Kama Region after a long break fully resumed only in the Middle Jurassic. This was connected with the formation of the next mineralogical “boundary”, which was marked by the transformation into the garnet-stavrolite-ilmenite mineral association in the heavy fraction of the Middle Jurassic deposits. The reason was another change of source rocks in the Urals and Timan, which became the weathered rocks of Mesozoic. The latter were eroded by watercourses flowing from the Urals (in the western direction) and from Timan (in the south-west).
5 Conclusions The long-term existence of the epidote mineral association in time and extended in space, established by a detailed study of heavy fraction composition in the Permian terrigenous rocks, is a unique phenomenon of important paleogeographic, petrological and sedimentological significance. It is the result of the erosion over a considerable interval of geological time of a huge mass of metamorphosed greenstone rocks in the Urals. The presence of the epidote association in the heavy fraction of Permian sandstones was used in carrying out prospecting operations for oil in the Pre-Kama Region. In this area, numerous oil deposits were discovered in terrigenous reservoirs, in which there were no paleontological remains. Therefore, the composition of heavy fraction of sandstones was used for the dissection and correlation of sections in wells, especially when establishing the boundary between the Lower and Middle Permian rocks. The materials presented in this article make it possible to expand the scope of mineralogical analysis of Permian sandstones in the Urals, as well as to improve the method of dismemberment and correlation of sections of oil-bearing reservoirs and their host deposits. The results of this study can also be used in various geological studies related to the sampling and study of the material composition of modern alluvium on the territory of the Pre-Kama Region. First of all, this concerns predictive prospecting for various types of useful resources. At the same time, special attention should be paid to areas in which minerals associated with other source rocks of detrital material are present in the heavy fraction of alluvium. Our studies have shown that markedly reduced concentrations of epidote group minerals in heavy alluvium fraction (up to 50–30%) were noted within certain places in the area of distribution of the Middle and Upper Permian sandstones. These data are valid grounds for concluding about the influence of other source rocks, which may have a certain prospecting value. In particular, the presence of elevated contents of garnets, stavrolite, distene and leucoxene, which is observed in the upper streams of the Kama and the Vyatka Rivers, eroding Mesozoic rocks, was also noted in a number of other areas. In such areas, Mesozoic rocks could have been destroyed by erosion processes, but signs of their erosion were preserved as components of the heavy fraction in modern alluvium. One of the important areas of research in the northern regions of the Pre-Kama Region is to establish the signs of erosion of kimberlites (presumably of Early Mesozoic age), which according to some data may be located in the eastern regions of the East
Mineral Associations of Permian Sandstones in the Pre-Kama Region
279
European Platform. In particular, during the detailed sampling of modern alluvium, as well as Triassic and Middle Jurassic rocks, pyropes, chromediopsides, and fine diamonds, were found here [15]. In conclusion, it should be noted that when studying the composition of heavy fraction, it is of great importance to choose the method of sample preparation and mineralogical analysis, which depends on the objectives of the study. This is due to the variability of the composition of heavy fraction under the influence of numerous factors, the role of which must necessarily be taken into account. This leads to the conclusion that there is a need for a scientific justification of the chosen methodology, which should remain constant when performing research in order to solve the task.
References 1. Buzulutskova, E.S.: Lithological complexes in deposits of the Upper Precambrian in the Russian Plate. Evolution of lithogenesis in the Earth history. Novosibirsk, pp. 78–89 (1981) 2. Chaykovsky, I.I.: Petrology and Mineralogy of Intrusive Diamondiferous Pyroclastic Rocks of the Vishera Urals. Perm Univ, Perm (2001) 3. Chernyshov, N.I.: The structure of the Upper Permian deposits of the south-weastern part of Perm Region. Izvestiya vuzov Geol. Prospect. 4, 47–51 (1958) 4. Chernyshov, N.I., Ignatyev, N.A.: The expearance of petrographic investigation of the Permian variegated-colored complex in the eastern part of Molotov Pre-Kama Region. Uchenye Zapiski Molotov Univ. 9, 119–136 (1955) 5. Chuvashov, B.I., Dyupina, G.V.: The Upper Paleozoic Terrigeneous Deposits of the Western Slope of the Middle Urals. Nauka, Moscow (1973) 6. Chuvashov, B.I., Dyupina, G.V., Mizens, G.A., Chernukh, V.V.: Support sections of the Upper Carboniferous and the Lower Permian in the western slope of the Urals and Pre-Urals. Sverdlovsk (1990) 7. Ignatyev, V.I.: The Tatarian Stage of the central and eastern areas of the Russian Platform. Kazan Univ. Part 1, Kazan (1962) 8. Khalymbadzha, V.G.: On mineralogical composition of terrigeneous components in the sediments of the Moskovskiy stage of the territory of Tataria and Mari republics. In: The Problems of Geological Structure and Oil-Bearing of Tataria, pp. 142–145. Kazan (1959) 9. Kochetkov, O.S.: On Paleaogeography of the Tatarian stage of the northern part in the Russian platform on heavy minerals. In: Geology Institute of Komi Branch of the Russian Academy of Sciences, pp. 97–102. Syktyvkar (1962) 10. Kukharenko, A.A.: The Urals Diamonds. Gosgeoltekhizdat, Moscow (1955) 11. Makarova, T.V.: Permian Deposits of the Central Regions of the Russian Platform. Gostoptekhizdat, Leningrad (1957) 12. Mizens, G.A.: Petrography and mineralogy of the Lower Permian sandstones of the wtsyern slope of the Middle Urals. Sverdlovsk (1980) 13. Mizens, G.A.: The Upper Paleozoic Flish of the Western Urals. Ekatherineburg (1997) 14. Osovetsky, B.M.: Mineralogy of Mesozoic-Cenozoic of the Pre-Kama Region. Perm Univ, Perm (2004) 15. Osovetsky, B.M. (ed): Fine diamonds and mineral-companions in the Jurassic deposits of the Vyatka-Kama Depression. In: Perm Univ., Perm (2008) 16. Sarkisyan, S.G.: Petrographical and Mineralogical Investigations of the Upper Permian and Triassic Colored Deposits of Pre-Urals. Academy of Sciences of the USSR, MoscowLeningrad (1949)
280
B. Osovetsky
17. Sarkisyan, S.G.: Mineralogy of sedimentary rocks and oil industry of the USSR. In: The problems of sedimentary rocks mineralogy. L’vov: L’vov Univ., pp. 87–106 (1956) 18. Smirnov, Y.D., Borovko, N.G., Verbitskaya, N.P., et al.: Geology and Paleogeography of the Western Slope of the Urals. Leningrad (1977) 19. Vinokurov, V.M.: Lithology of the Belebeyev deposits of the eastern part of Tatariya. Kazan. Univ., pp. 229–250. Kazan
Landscape and Aesthetic Evaluation of the Riverine Ecotone of the Vyatka in the Area of Atarskaya Luka A. M. Prokashev1,2(B)
and S. A. Pupysheva1
1 Vyatka State University, Kirov, Russia
[email protected] 2 Vyatka State Agrotechnological University, Kirov, Russia
Abstract. The paper presents methodological approaches to assessing the aesthetic potential of riverine valley landscapes. They are based on 9 evaluation criteria, evaluation is made in points. The important items are the presence and number of structurally and materially heterogeneous, diverse elements, the color scheme of the landscape, the presence and number of landscape-composite nodes, landscape-composite axes, landscape scenes, the depth of the species perspective, the degree of afforestation and anthropogenic transformation of the landscape, the presence of symbolic natural or cultural-historical objects in the landscape. The ranking of the aesthetic value of landscapes was carried out in a sum of points. In total, four categories were identified for the region under research – from “the most picturesque” to “aesthetically dull”. The paper may be in demand when designing a national park or other tourist and recreational areas. Keywords: Evaluation Criteria · Ranking of Landscape Aesthetics in Points
1 Introduction In modern Landscape Studies structural-genetic analysis of geosystems is broadly used, according to it each landscape has a definite inner structure [1]. This approach fully reveals characteristic features of landscape special organization. Still landscape-aesthetic aspects reflecting the landscape tourist-recreational potential are not taken into account. Evaluation of this potential is especially important for the territories with high potential for creating natural and national parks. Some parts of the Kirov region, namely the ones where the national park “Vyatka” is being projected, can be attributed to territories with national park-creating potential. Thus this research appears to be highly topical. There are no commonly recognized criteria of geosystems’ landscape-aesthetic evaluation, and it is still a matter of discussion [2–5]. The reason of it is that the subjective factor plays quite an important role in the process of evaluation. Nevertheless there are definite aesthetic criteria of beauty which have been formed for years and years. So that most people are highly likely to see really picturesque landscapes as beautiful and attractive. All the above-mentioned proved to be the main motives for the research. © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 E. Isaeva and Á. Rocha (Eds.): Perm Forum 2022, LNNS 622, pp. 281–292, 2023. https://doi.org/10.1007/978-3-031-28086-3_23
282
A. M. Prokashev and S. A. Pupysheva
2 Methodology and Research Methods Aesthetic classification should be based on the theory of landscape morphology with the use of methods of analyzing physiognomic elements of local geosystems, they help to assess landscape diversity of the territory. Certain visualizable features of appearance of natural complexes serve as the main criteria in evaluating. From the viewpoint of aesthetics and beauty a landscape is viewed and analyzed as a picture landscape, a scenery, some visible space of a definite site of the ground surface. A landscape is the main operational unit of landscape-aesthetic research [6, 7]. Landscapes, as well as geocomplexes of smaller ranks, serve as a material background of forming a scenery. The term “scenery” is understood as the outlook of a landscape viewed either from a definite scenery point or along the route [2]. Aesthetic-oriented mapping is a complex task as it is quite an issue to draw the borderlines between real landscapes. In case the observer changes the position stepping aside just some scores of meters the landscape scenery proves to be changed too. Landscape sceneries visualized from a certain definite site should be ranged in assessing landscape-aesthetic potential. The subject to assessment is the site from which a certain landscape scenery view is vizualized. In other words, in mapping the aesthetic potential the contours of the field testing sites, which form certain landscape sceneries, do not span whole landscapes. They are represented by facies and areas from where one can see the landscape from a certain angle. All the landscape sceneries consist of landscape components, of its relief, vegetation, surface waters, etc. Analyzing the aesthetic value of a landscape scenery they often take into account only visual characteristics of its components, Still the assessment of each of them is not that definite, as for the aesthetic role in the overall picture. In such a case a systematic approach is the most effective. The systems emergence law is of the most importance here, the whole is more than just the total number of the parts it consists of. This quality is inherent to any scenery, and the impression of the whole is quite different from the impression of its separate parts [3]. Thus, it is possible to judge on the beauty of a landscape scenery only in case that all its parts are united into a whole. The aesthetic evaluation criteria are to be represented by complex systematic indices which reflect the qualities of a scenery as a whole. All the above-mentioned is the main methodological basis for the issue in question. The authors of the research used the scales of landscape scenery-aesthetic value which had been worked out before [; etc.]. In course of adjusting them to the local conditions some criteria and their points were changed (Table 1). Assessment criteria are interpreted in the following way. 1. Landscape diversity. It is evaluated according to any structurally and compositionally diverse elements (SCE) present, such as bedrock slopes, erosions, water bodies, and forests united into three groups of landscape-forming components: geologicalgeomorphological, biological, and hydrological. Borderline ecotone areas are characterized by rich diversity of landscapes, i.e. the areas situated along the borders dividing valley and interfluve geosystems. 2. Colour-scheme. It reflects the ranging of scenery-forming and optic complementary colours according to their psychic and aesthetic effects.
Landscape and Aesthetic Evaluation
283
Table 1. The scale of evaluating scenery-aesthetic values of landscapes № Assessment indices of landscapes aesthetic value
Points
1
Landscape diversity (absence of The scenery includes 1 SCE structurally and compositionally diverse The scenery includes 2–3 SCE, with elements – SCE) areal predominance of 1
1
The scenery includes 3–4 SCE, with prevailing of 2
3
2
The scenery includes over 5 SCE with 2 the similar share of the areas 2
Colour-scheme of the landscape
Black, dark-grey
0
Light-grey, brown, fawn
1
Light-blue, green
2
turquoise, green with some touches of 3 yellow, white, blue, orange, red 3
4
5
6
7
Existence and the number of scenery-compositional nodes
Non-existent
0
1
1
2–3
2
4–5
3
6–7
2
7–8
1
>8
0
Existence and the number of scenery-compositional axes in the landscape
Non-existent
0
One compositional axis
2
Several compositional axes
1
Existence of scenery settings
No settings
0
From one side
1
Depth of the viewing perspective
Forest coverage, %
From two sides
2
Frontal
1
Volumetric
2
Deep spatial
3
0
0 (continued)
284
A. M. Prokashev and S. A. Pupysheva Table 1. (continued)
№ Assessment indices of landscapes aesthetic value
8
Any symbolic objects in the landscape
9
Anthropogenic transformation of the landscape
Points
1–15
1
16–30
2
31–60
3
61–85
2
>85
1
Absent
0
Present
1
Relatively unaltered landscape
3
Little altered landscape
1
Reasonably altered cultural landscape
2
Damaged landscape
−3
3. Existence of scenery-compositional nodes which attract the most attention: separate dome-shaped hills, meanders, flood-plain islands, spots of cultivated fields, etc. 4. Existence of compositional axes which cross the landscape in a linear way: rives, riversides, hollows, gullies, etc. 5. Existence of scenery settings which underline compositional nodes and focal spots: slopes, erosions, forest edges, separate trees and bushes, etc. 6. Depth and diversity of the viewing perspectives: frontal, volumetric, and deep spatial scenery compositions. The frontal composition has only a close-up perspective, the volumetric one – close-up and middle perspectives, and the deep spatial one is characteristic of sceneries with a distant perspective. 7. Forest coverage. The optimum degree of forest cover is within the range of 30–60%, in this case the forest does not interfere with viewing the scenery from the focal spots. In case forest cover reaches 80–100%, scenery attractiveness decreases; still in pine forests on eolian relief it remains high due to a more picturesque look of light-coniferous wood and absence of thick regrowth and forest understorey. 8. Presence of some “symbolic” objects in the landscape, any notable natural or cultural attractions, visual dominates, such as lakes, separate trees, beaches and shallows, rocks, as well as churches, bell towers. 9. The degree of anthropogenic transformation of the landscape. Relatively unaltered landscapes are the most aesthetically attractive. There are also aesthetically valuable cultural landscapes which demonstrate harmonious, well-balanced cooperation of man and nature. Such landscapes also meet high aesthetic demands.
3 Research Objects and Results The area of Atarskaya Luka is situated in the east of the Russian Plain on the territory of the Kirov region. It is set at the interface of landscape subzones of southern taiga and
Landscape and Aesthetic Evaluation
285
northern types of mixed woodlands, linden ramens, within the landscape ecotone of the regional level (see Fig. 1).
Fig. 1. The research area at the crossing of the Hills of Vyatskiy Uval by the Vyatka
The territory is represented by a part of the basin of the Vyatka lower course with the adjoining slopes of interfluve areas. It is the most interesting site of the Kirov region where the Vyatka crosses the axial elevations of the Hills of Vyatskiy Uval. So that three incised meanders are formed, Kukarskaya, Atarskaya, and Krasnoselskaya river loops. The valley in this area is narrowed to 1.5–2.5 km and it is stuck between steeple bedrocks consisting of limestone of the Kazanian strata. Due to confrontation of floating water and hard rock picturesque panorama views are formed in the area. They are appreciated by specialists in local studies, painters drawing inspiration from nature, many people seeking for the quiet of the mind and finding it here. This treasure is called “the Switzerland on the Vyatka” [10]. Such places are considered as one of the clusters of a national park. Further the authors are presenting their experience of landscape scenery evaluation of the local riverside ecotone landscape. The aesthetic value of the landscapes is estimated in points. There are four categories: from the most picturesque to aesthetically dull. The points are transformed into coefficients of specific aesthetic value (CV). The maximum number of points assignable to a landscape scenery (23) is taken for a unit. The most picturesque landscapes (16–20 points, CV = 0.7–0.87): these are panoramic views on the Vyatka river and its valley in narrow places from interfluve sites, canyon-like valleys of small rivers and ravine-draw complexes; panoramic and sector views on the riverbed from the upper sites of bedrock slopes and erosions on the banks framed by settings of long-stemmed vegetation with valuable coniferous species, vast beaches by the river with the views on high bedrock banks, panoramic views of the water surface and on the slopes from the bank-line sites, geologic outcrops peculiar in form and colour, old bell-towers and churches. II. Picturesque landscapes (11–15 points, CV = 0.48–0.69): small rivers and floodplain lakes, as well as high-stemmed vegetation alternating with meadows; I.
286
A. M. Prokashev and S. A. Pupysheva
panoramic views from distant upland sites on river alleys, wood edges and ravinedraw complexes; panoramic views on water areas from bank-line sites; vast landscape sceneries of floodplain meadows of the central overbank flow channel with oak groves edges and bedrock slopes on the background; coniferous forests without thick undergrowth and shrubs on eolian mesorelief; forests on bedrock slopes with large-stemmed coniferous trees without thick undergrowth. III. Less impressive landscape sceneries (6–10 points, CV = 0.26–0.48): Panoramic views from upland and riverside sites with randomly overgrown agrolandscapes; narrow views on the valley from ravines; monotonous forests with thick undergrowth and shrubs; boggy inter-low-ridge depressions of terraces rising above the floodplain; coastal willow and alder stands; barely passable floodplains with brier growths. IV. Aesthetically dull (1–5 points, CV less than 0.26): desolate agrolandscapes overgrown with young pine or birch forests with dead soil cover, as well as with giant hogweed; landscape sceneries with visual “contaminants”, such as destroyed farm structures, electricity transmission lines, open pit mines, eroded or broken roads, areas with spontaneous residential constructions and allotments, logging sites, refuse dumps. We have ranged the sites of Aktarskaya Luka according to the criteria of aesthetic value, on the basis of the above-motioned categories, we used maps and on-site surveys, made photos of landscape sceneries and geocomplexes. The most picturesque landscapes. There are two districts in the river valley and 11 areas with many focal sites on interfluves: 1. The riverbed of the Vyatka from the outflow of the Pizhma to the village of Ishlykh. Here the river runs past floodplain geosystems of the Kukarskaya river loop, there are big beaches and shallow places, bedrock slopes of the right and the left bank of the river are seen from there. Near the bank there are quarters of Suvodskiy forest, pinewoods are well seen on the above-flood plain terraces. The places where the small rivers, the Suvod, the Ishet, the Ishetka, inflow into the Vyatka are also picturesque, the small rives are characterized by canyon-like valleys, stepped beds, and swift current. Up the rock there is a half-ruined bell-tower on the site of the former village of Ishet which adds impressiveness to the scenery. 2. The littoral zone from the village of Malkovo to the village of Priverkh. It is the central and the most picturesque part of Akarskaya Luka. From the river one can see acclivitous and steeple bedrocks with lime outcrops, floodplain fragments and quite vulnerable erosions of the second above-flood plain terrace with rhythmically triangle cone deltas looking like red and brown pinnacles. At the spit of Atarskaya Luka there is a beach called “Singing Sands” with numerous viewpoints on slopes covered with coniferous forests. Opposite the beach there is “Vershigorovskiy Utes” from where the painter P.S. Vershigorov used to paint his studies from nature. From the river one can see a half-ruined church of the former settlement of Atary. From downstream one can see a picturesque view of meadows and gardens on the left bank, on the site of the former village Moshiny, and old riverbeds stretching between the main riverbed and Belayevskiy pine forest situated on above-floodplain terraces.
Landscape and Aesthetic Evaluation
3.
4.
5.
6.
287
From the right bank one can see the village Tolstik with old wooden houses, surrounded by rising slopes overgrown with birch and spruce-birch forests. Near the village there are red-brown erosions of the second above-flood plain terrace. They lack the typical pinnacle-shaped from, still they add extra charm to the landscape scenery. In the southern part of Belayevskiy forest there are vast beaches visually connected with the bedrock slope of the right bank. The bank is cut with numerous ravine-draw complexes which makes the view even more impressive. From the former village of Sludka to Priverkh village on the bedrock slope in some places there are sand-lime walls 4–5 m high with layers of gypsum. Areas where view spots are concentrated with the panoramic view angle are in the area of the tracts Nizhnyaya Suvod, Ishet, Verkhnyaya Kukushka, and Zaborye. From the focal sites of the left bank one can see a vast flood land covered with forest and bedrock slopes of the right bank and in the distance there are riverside solid woods of Suvodskiy pine forest. The most picturesque view is on the estuaries of the small rivers of Suvod, Ishet, Ishetka, their riverbeds form the so-called “Ishedskiy Ostrov (Ishetskiy Island)” which was mapped already in 1913 and which is a territory of a floodplain with fragments of the first terrace above the floodplain. Downstream on the territory of the former village of Zaborye, 200 m high, there are spots viewing the floodplain of the left bank and the bedrock slopes of the right bank, where the settlement Ishlyk and the holiday camps of the pansionat “Naslediye” are situated. The area of concentration of view sites with panoramic and sector view angles is near the settlement Ishlyk, there is a view on the valley of the Vyatka from there, as well as on acclivitous bedrock slopes of the both banks and on cultivated rural landscape with a river harbor and an Orthodox Christian church. The areas of view sites concentration with the panoramic view angle are near the tract Verkhneye Lyskovo, as well as near Malkovo and Krupino villages. From 160– 180 m high one can see multiple-subject landscape sceneries with the in-depth spatial composition of the valley of the Vyatka in the vicinity of Atarskaya Luka. In the overall view all the mentioned types of local landscapes are present, they mark their locations in the mesorelief. The aquatorium of the Vyatka, with sandy shallow places and islands, as well as winding streams crossing them, is a landscape dominant of the views. The settings flanking the scenery are steeple-acclivitous bedrocks with abies-and-spruce and birch forests in the far background. They allow tracing the river down the valley beyond the vision. The areas of a multitude of view sites with sector and panoramic view angle are near the tracts Svetlozerye, Oreshnik and Moshiny. From these sites one can see the views of the western side of Atarskaya Luka. In the foreground there are floodplain forest-clad islands framed with dead stream channels, as well as above flood-plain terraces of the right bank covered with spruce forests. In the distance one can see houses of the village of Tolstik and bedrock slopes spotted with overgrowing fields and meadows. The area of high concentration of view sites with panoramic and sector view angles is situated near the tract of Zaovrag and the village of Tolstik. From here there is a view on the valley of the Vyatka, Belayevskiy forest, and steeple bedrock slopes of the left bank near the tracts of Moshiny and Kamen.
288
A. M. Prokashev and S. A. Pupysheva
7. The areas of concentration of view sites with panoramic and sector view angles are near Klyuchi village. From there one can see landscape views on the valley of the Vyatka, Belayevskiy forest on the left bank and steeple bedrock slopes of the right bank near Priverkh village. There is an example of the most picturesque landscape views in the neighborhood of Atarskaya Luka in the Fig. 2a. Picturesque landscapes. Such areas can be called picturesque: 1.
The littoral area of the Vyatka from Ishlyk settlement to Malkovo village. Along the riverside there are numerous shallow places and flood-plain islands. They are clad with pine and oak forest formations mixed with floodplain meadows. Behind them there are acclivitous bedrock slopes on the both banks of the river near Smutyaki village, the tracts of Tokari, Mansurovo, and Serki. In the upper part of bedrock slopes there are pine and abies-spruce forests, in places they are changed with spots of overgrowing meadows at watersheds. The slopes are often cut with coombes overgrown with black cherry, at the bottom there are strong well springs, they give birth to numerous creeks flowing into the river. 2. The littoral area of the Vyatka from Priverkh village to Krasnoye settlement. Not far from Khmelevka village along the left bank one can see a picturesque brownocher part of the slope. Here sandstone and limestone sheet deposits crop out, they are coloured red by ferric oxides. A bit lower there is a high erosion called “Belaya Gora” (“A White Mountain”) from which there is a splendid view of Krasnoselskaya river loop with flood-plain areas of the right bank and watersheds far in the background. 3. The valley of the Suvid river and the Ishet river near the tract of Nizhnyaya Suvod with canyon-like steeple bed-rock slopes and pine forest areas on above flood-plain terraces. 4. Canyon-like valley of the Ishetka river from the estuary to the tract of Dubrov. 5. The areas of view sites concentration providing a sector view on the cross-country track near the tract Komino, from there one can see the narrow valley of the Ishetka river. 6. The area of multitude of view sites with sector view on the cross-country tracks to the tracts of Petukhi, Lavrukhino, and Zaluzhye. From there one can see the valley of the Vyatka and the bedrock slopes of the right bank. 7. The area of many view sites with sector and panoramic view on the valley of the Vyatka on the watersheds near Smutyaki village and the tract of Sildug. 8. The concentration of view sites with sector view on the watershed near Elkino village and the tract of Sludka. From there one can see a valley-outwash plain of Belaevskiy forest with near-valley elevations of the left bank. 9. The area of view sites concentration with sector view on the interfluve area near the districts of Belayevshchina and Chistovrazhye. 10. The local areas of Suvodskiy and Belayevskiy forests with green-moss, lichen, and cowberry pine forests on eolian forms of mesoreleif. 11. The open areas of the central floodplain adjoining the lakes and mixed with outlines of an oak forest.
Landscape and Aesthetic Evaluation
289
Picturesque landscape sceneries of the area of Atarskaya Luka are presented lower (see Fig. 2b). Less impressive landscape sceneries are: 1. In-depth, completely wooded areas of Suvodskiy and Belayevskiy forests crossed with a geometric net of openings and wood roads. 2. Wooded in-depth areas of bedrock slopes with areas of deadwood and windthrown trees, with thick undergrowth and shrubs closing the view of the lower-situated geosystems. 3. Monotonous watershed areas 2–3 km detached from river-valleys which are covered with overgrowing fields in the places of former agricultural fields. 4. The upper parts of ravine-draw complexes which are 1–2 km detached from the bank line, alternating with neglected agrolandscapes of riverside-watershed areas. 5. The bottoms of balkas littered with windthrown trees, overgrown with nettles, lacking permanent streams. 6. The areas of parallel-ridge-shaped mesorelief of the near-the-river-channel part of the overflow area, with forests difficult to travel over and hardly in evidence, covered with thick undergrowth and dense grass. 7. Parts of central and near-terrace overflow areas thickly overgrown with brier, alternating with marshy inter-ridge and paralimnic gaps. The examples of less impressive landscape sceneries of the area of Atarskaya Luka are presented in Fig. 2c. Aesthetically dull, negatively influencing visual perception: 1. The areas in placed of former populated places with half-ruined half-rotten wooden houses and allotments fully overgrown with nettles. 2. Open pittings around Priverkh village and the district of Shestunino. 3. Local fellings in Suvodskiy and Belayevskiy forests, as well as in other forests on above flood-plain terraces. 4. The areas near populated placed with waste deposits and half-ruined manufacturing and agricultural complexes. 5. The areas of spontaneous farm and allotment buildings in modern style in Tolstik, Smutyaki, and Malkovo settlements seen from the river and the watersheds which break with the traditions of Vyatka architecture. 6. Landscape views with ruined wood-transport roads, with deep ruts and ditches, as a result of starting erosion processes. The example of aesthetically dull landscape sceneries in the district of Atarskaya Luka is presented in Fig. 2d. We have found some notable objects which could be attributed to pedogenic natural monuments of Atarsko-Kukarskiy district. They include unique podzol soils of Belayevskiy forest with buried sod-podzol profiles of valley-outwash geosystems with paleo-eolian treatment. In the near-alley ribbon of watersheds specific surface geological substrates are found, such as flinty post-carbon montmorillonite clays not known and not found before as a new type of soil-forming stratums of the region.
290
A. M. Prokashev and S. A. Pupysheva
Fig. 2. Examples of landscape sceneries differing in the degree of picturesqueness in the district of Atarskaya Luka: a – from a viewpoint near Malkovo village; b – a green-moss pine forest on eolian mesorelief; c – a littered bottom of a dry balka; d – a view of a felling in Belaevskiy forest.
On the whole, landscape-aesthetic evaluation of the recreational potential of the territory of Atarskaya Luka and the adjoining river loops has shown that the aquatory of the Vyatka and the adjoining watershed areas from Sovetsk settlement to Lebyazhye settlement are quite picturesque. Thus there are certain grounds for organizing a national park there, developing water tourism and recreational fishery. A considerable number of view sites with panoramic angle in near-watershed areas and in upper parts of bedrock slopes contributes to planning walking and cycling routes, making touristic and ecological paths on the both banks of the river. The landscape views alongside the paths dramatically change from the valley to flat interfluves, so that there is no feeling of monotonousness of natural complexes alongside the route. In making such paths they can use the paths which have survived, as well as field and forest earth roads overgrown in places. Rugged topography makes them look picturesque. They cut bedrock slopes at different angles, go up to watersheds, then go down to balkas and river valleys. Forests and open spaces change each other, on their borders there are picturesque edges. If these roads are organized into one net, if they are cleaned and marked properly, and provided with informational stands, they can attract tourists. It is necessary to make specialized venues for taking a short rest along all the walking and cycling paths. They are to be placed at scenery viewpoints facing attractive objects or in places with contrasted landscapes, for example, on the border of forests and open spaces, in pine forests on above flood-plain terraces, in valleys of small rivers and ravinebalka complexes, nice-looking walking bridges should be built there too. Also special sites in the depth of forests should be chosen in places with less picturesque landscapes,
Landscape and Aesthetic Evaluation
291
there tourists can gather berries, mushrooms, etc., as such a kid of rest does not specially require any aesthetic values of the place.
4 Conclusion The area under consideration is one of the most important from landscape-aesthetic, tourist-recreational, educational and research, as well as environmental points of view. Here the valley of the Vyatka crosses tectonically active morphostructures of the Hills of Vyatskiy Uval. As a result, this territory has become the most picturesque area of the Vyatka region. Four categories of local landscape were stated on the basis of a complex of evaluating criteria from the point of view of aesthetic attractiveness: with the most picturesque, picturesque, less impressive, and aesthetically dull landscape sceneries. The territory under research was ranged according to landscape-aesthetic attractiveness. The research results are to be used in working out the project of a national park in the Kirov region. It would be also topical to fulfill paleo-geographic research of fossil macro- and mesofauna of the concave banks of above flood-plain terraces. The research would allow to increase the value of the territory and to provide more variegated use of natural potential of the region. The work was fulfilled with financial support of the Russian Geographical society (grant of the RGS for 2021–22, agreement № 08/2021-R). Acknowledgements. The authors are very thankful to the candidate of geographical sciences R.R. Chepurnov for his great help at all the stages of the research.
References 1. Dirin, D.A., Popov, E.S.: Assessment of scenery and aesthetic attractiveness of landscapes: a methodological review. Izv. Altai State Univ. 3, 120–124 (2010). (in Russian) 2. Motoshina, A.A., Vdovyuk, L.N.: Assessment of aesthetic properties of landscapes of the Tobolsk district of the Tyumen region for recreational purposes. Geogr. Bull. 4(23), 10–20 (2012). (in Russian) 3. Nikolaev, V.A.: Landscape ecotones. Vestn. Moscow. un-ta. Ser. 5. Geogr. 6, 3–9 (2003). (in Russian) 4. Nikolaev, V.A.: Landscape studies: aesthetics and design: textbook. In: Nikolaev, V.A. (ed.) Manual, 176 p. Aspect Press, Moscow (2003) (in Russian) 5. Nikolaev, V.A.: Aesthetic perception of the landscape. Vestn. Moscow. un-ta. Ser. 5. Geogr. 6, 10–15 (1999). (in Russian) 6. Dirin, D.A.: Landscape and aesthetic resources of mountain territories: assessment, rational use, and protection (monograph), p. 258. ABC, Barnaul (2005). (in Russian) 7. Dirin, D.A.: Approaches to assessment of aesthetic resources of mountain landscapes (by the example of the Multa river basin). Polzunovsky Vest. 2, 67–75 (2004). (in Russian) 8. Bibayeva, A.Yu.: Features of formation of aesthetic properties of coastal landscapes: dis. ... candidate of geographical sciences. Irkutsk, p. 206 (2015). (in Russian)
292
A. M. Prokashev and S. A. Pupysheva
9. Likhacheva, E.A.: Relief – its essence and beauty, p. 144. Media PRESS, Moscow (2015). (in Russian) 10. Chepurnov, R.R., Prokashev, A.M.: Landscape structure of the valley-interfluve geoecotone of the lower Vyatka: [monograph], p. 210. VyatGU Publishing House, Kirov (2020). (in Russian)
Innovative Geophysical Techniques for Permanent Type Completion and Long-Term Operating Monitoring of Oil-And-Gas Wells V. I. Kostitsyn1(B)
, A. D. Savich1 , A. V. Shumilov1 and D. G. Khalilov2
, A. P. Laptev2 ,
1 Perm State University, Perm Krai, Perm, Russian Federation
[email protected] 2 Permneftegeophizika PJSC, Perm, Russian Federation
Abstract. The paper provides an integrated approach to efficient well permanent type completion which promotes optimized costs, higher completion quality and informational support of oil well operation, both during completion steps and in the course of artificial oil recovery. The technique is based on a special-purpose logging cable, which includes not only conductors that are used to connect the perforator and the bottom hole device but also fiber-optic modules. Such cable design affords ground for implementing a package of innovative process designs for underbalanced perforation below subsurface pumps and informational support of inter repair reservoir/equipment operation using both the author-developed modification of distributed temperature survey and a subsurface device. Keywords: fiber-optic systems · flow survey · long-term monitoring · perforation · transient processes
1 Introduction Development of special-purpose explosion-proof bottom hole device and load-bearing logging cables with conductors and fiber-optic modules which are variously designed to provide for perforation of thick seams allows to implement an integrated completion technique including underbalanced perforation below subsurface pumps and long-term monitoring of reservoir operation. Such approach allows considerable cheapening of perforation, logging and well testing by eliminating direct oil-recovery losses which are unavoidable when wells are shut down in order to prepare and carry out research in conventional ways. That said, there is considerable potential for oil well permanent type completion quality improvement and cycle optimization by reducing the process step numbers but not the suite of logging methods which are provided for by the operating procedures. The bunch of tasks in hand may not always be achieved via a single technical device due to physical restraints which are inherent to technical facilities and particular operating techniques. Conventional devices and procedures are sophisticated and integrated to the © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 E. Isaeva and Á. Rocha (Eds.): Perm Forum 2022, LNNS 622, pp. 293–301, 2023. https://doi.org/10.1007/978-3-031-28086-3_24
294
V. I. Kostitsyn et al.
maximum extent via structural update; technological refinement is thus stimulated on a job linking basis. As of late, more and more hydrocarbon-producing wells are logged without shutting them down and pulling the subsurface pumping equipment. Such measurements use electronic (the bottom hole device) and fiber-optic (the cable) probes, point type and distributed type, respectively. Fiber -optic systems (FOS) allow temperature measurement along the entire borehole without moving [3, 5, 6]. Experimental research is also underway to record distributed acoustic-emission wave patterns [4]. Development of special-purpose explosion-proof bottom hole device and loadbearing logging cables with conductors and fiber-optic modules which are variously designed to provide for perforation of thick seams allows to implement an integrated completion technique including underbalanced perforation below subsurface pumps and long-term monitoring of reservoir operation. At present, FOS are steadily used in DTS (distributed temperature sensing) involving fiber-optic distributed temperature sensors (FODTS). This procedure allows thermal field to be measured simultaneously all over the run-in cable length, by recording spectral components of reflected laser signal. Thus, the spatial resolution of the method allows targets, producing/pressure seams to be studied simultaneously with the rest of spacing which can demonstrate anomalies due to foreign events in the geological section and the wellbore elements. Borehole device must be used because no fiber-optic sensors of pressure and fluid composition are currently available and therefore many problems cannot be solved, in particular, bottom hole/reservoir pressure measurements, fluid analysis and hydrodynamic reservoir testing.
2 Integrated Long-Term Producer Monitoring Technique No distributed fiber-optic cable systems with sensors of pressure and fluid composition are currently available, these being of key importance of the course of long-term monitoring; therefore, comprehensive monitoring of reservoirs/equipment operation is impossible. Absence of pressure data prevents real-time under balance control and hydrodynamic reservoir testing which provides the most important data in the course of pay zone try out and operation. One monitoring technique involves preliminary wireline run of a logging devices below subsurface pumping equipment for the well overhaul life. The technique allows the tool to be moved between the bottom hole and the pump suction, being thus also suitable for dual-pumping wells [8]. Alternatively, borehole devices is connected to the electric centrifugal pump (ECP) motor supply cable. The devices are placed in pay-out beds zone on a logging cable section which is connected mechanically and electrically to the ECP bottom («Sprut» hardware/software system) [9]. The existing versions of the above approaches cannot be used in integrated techniques of casing perforation and operational monitoring of reservoirs and downhole equipment. The most practicable method involves preliminary running in of logging equipment below the subsurface pumping equipment. Development of logging tools of
Innovative Geophysical Techniques for Permanent Type Completion
295
higher mechanical strength which are connected electrically to perforators, and specialpurpose load-bearing logging cables with conductors and fiber-optic modules provides for an integrated high-performance technique of perforation and long-term reservoir monitoring. The integrated technique is based on wireline running of the logging tool and the perforator below subsurface pumping equipment, and subsequent triggering there of after the subsurface pump lowers the wellbore fluid level. Such approach allows logging monitoring of under balance in the course of casing perforation. Extra well-killing operations are thus avoided which brings about a considerable output increase, apart from multifold decrease of completion times. After perforation, the logging tool and the perforator body are situated outside the perforated interval, and left in the well for logging and well testing (WT purposes) until the pump is repaired for the first time. For the equipment layout, see the figure below [8] (Fig. 1).
Fig. 1. Permanent type Completion Layout of Equipment below Electric Submersible Pump Unit
The experience of using the innovative completion techniques in oil fields showed it had considerably higher potential in inter repair logging monitoring of reservoirs/equipment operation which is an important advantage as compared to Schlumberger counterparts which have no communication link. This drawback does not allow the technique to be developed for the purpose of operational monitoring of reservoirs and down hole equipment by integrating electronic logging tools and FOS which are run in together with the perforator [6, 7].
296
V. I. Kostitsyn et al.
3 Survey Data Estimation However, as evidenced by analysis and practice of processing and interpretation, logging data obtained from producing well stock using wireline tools and fiber-optic systems often reflect the target temperature field patterns in different ways. Ambiguous reflection of the thermal field pattern is exemplified by thermal measurement from well 122 T which uses the concept of simultaneous exploitation of two formations: a terrigenous one and a carbonate one. After a fiber-optic cable with a logging tool was run in, operation of reservoirs and pumping equipment could be monitored continuously without production suspension. Integrated measurements of temperature, pressure, fluid composition are held intermittently, including various operating modes of the sucker-rod pump (SRP). Well testing is also undertaken simultaneously: the pressure buildup curve is recorded. One can see temperature curves (Fig. 2) from the integrated tool look different than the FODTS-recorded curves which are characterized by thermal field fluctuations. The latter is probably due to specifics of spatial layout of the fiber-optic module inside the logging cable and higher sensitivity to borehole heat-transfer processes. Note that the logged temperature values were obtained for two pump operating modes so the measurement data from conventional measuring systems and FODTS could be estimated in more detail. The difference in absolute temperature values obtained from the logging tool sensor and from the wireline DTS can be attributed to fundamental difference in how various systems perform measurements. Thus, temperatures recorded via FOS virtually instantaneously throughout the wellbore length, are generally different in time and depth than discrete temperature measurements from a moving point-type sensor of a logging tool. The measurement timing difference increases as the tool velocity decreases; the latter must be reduced to obtain more accurate data. Such advantages break new ground for fiber-optic systems which allow to record local thermal fields resulting from transient processes which accompany changes in well operating conditions. Such processes may include pump stop and start, and draw down increase/decrease due to changes in pumping mode, gas lift valve breakthrough, injection stoppage and renewal, etc. Duration of these processes is the first tens of minutes as indicated by specialist research data [2]. Note that transient processes generated artificially in well 122 T by changing the pump work modes allowed to single out producing intervals which can be mapped most clearly on fiber-optic temperature curves due to reservoir fluid cooling effect. Thus, the upper and the lower perforated-interval temperature shift was 0.33° and 0.26° in DTS measurements, and 0.05° and 0.04° as indicated by the logging tool, respectively. It should also be noted that mode change with transfer of the well to more intense drainage and associated temperature decrease in producing intervals indicates an increase in output gas concentration and degradation of reservoir filtration properties. According to the WT data, the reservoir pressure is 10.68 MPa which is lower than the saturation pressure (11.0 MPa). This resulted in gas see page and lower near-wellbore permeability of each reservoir. The operating mode was optimized to provide fluid withdrawal within 17 m3/day. As shown in Fig. 2, the flow rate of each pay as a function of well operating mode was derived from temperature measurements. These values were determined by
Innovative Geophysical Techniques for Permanent Type Completion
297
Fig. 2. Flow Log as Measured by a Logging Tool and a Fiber-Optic Distributed Temperature Sensor
expert appraisal from temperature anomaly values against producing layers. Conventional mechanical flow logging methods are inapplicable to these conditions because the velocity sensor fails as the reservoirs are perforated. A reliable way of quantitating inflow from each producing interval is to equip the logging cable with an extra conductor so that a small section of it can heat the environment. Implementation of this approach is summarized below.
4 Developing the Flow Logging System The system is based on a logging cable which includes a heating element and a measuring element. A combined conductor acts as the heating element, an optic fiber (FOODS) as the measuring element. The system operates as follows. To one of the logging cable conductors supplies voltage which is required to heat a section of the logging cable above ambient temperature. The heating process is monitored via a fiber-optic distributed temperature sensor. After optimum overheating is achieved, voltage is removed, and begins the registration of cable cooling process. Cooling rate of a body is directly related
298
V. I. Kostitsyn et al.
to the fluid flow rate (intensity) and direction so the producing interval flow can be quantitated. Logging cable conductors are generally made of copper which has relatively low resistivity (0.017 ·m) and so needs high amperage values to be heated. According to Joule’s law, such conductors take strong power supplies to be overheated on a real-time basis. Therefore, another conductor type must be used as a heating element. Q = U · I · t = I 2 · R · t,
(1)
where Q = heat, W, U = voltage, V, I = amperage, A, R = conductor resistance, , and Δt = current flow time, s [1]. Using a cylindrical (tube-shaped) stainless-steel conductor (0.87 ·m) it is easier to obtain the needed heat. A cable core can therefore be fabricated as a copper-steelcopper in homogeneous conductor. Cross-section and length of the copper component and the stainless-steel component of the core are optimized to minimize electric losses and produce heat sufficient for the heating element to operate sufficiently.
Fig. 3. Steel Conductor in Triple-Core Cable: Layout
Figure 3 shows how steel conductor section is included in the logging cable core, and the logging tool and the perforator uses a separate core in cable lug (HKB). The authors fitted the resistivity data according to Eq. (2) in order to determine approximate limiting amperage values for a stainless-steel conductor [5] IC =
ρM · IM , ρC
(2)
where I M , I C = limiting amperage value for copper and stainless-steel, respectively, A, and ρ M , ρ C = resistivities of copper and stainless-steel, respectively, ·m. Cross-sectional area of stainless-steel core sections should be limited to no more till 1 mm2 to reduce compromising the cable flexibility. The cross-sectional area of the copper section should be as large possible, depending on the overall cable length and the set cooling measuring zone length. Calculations should also provide for increase in amperage value (amperage margin, Imar) to heat the cable further because the cable overheating is partially decreased by cooling effect of the fluid, especially it the fluid contains much gas.
Innovative Geophysical Techniques for Permanent Type Completion
299
Therefore, maximum circuital amperage can be determined as follows: Imax = Ilim,SS + Imar = Umax /(RSS + RCu ),
(3)
where I max = maximum circuital amperage, A, I lim,SS = limiting amperage of a stainlesssteel conductor, A, I mar = rated amperage margin for extra heating, A, U max = maximum net voltage, V, RSS = resistance of the stainless-steel conductor (heating element), , and RCu = resistance of the copper conductor, .
5 Experimental Studies of the Flow Logging System To confirm functionality of the system in question two cable models of various design (Fig. 4) were tested experimentally. The first model was an optic fiber (FODTS) inside a polymer insulated steel tube which was used as a heater. No difference is average cooling rate could be detected in the course of measurement, either without of with flow because steel has good heat-transfer properties, and cools rapidly.
Fig. 4. Optic Fibers and Steel Tube in Cable Models 1 and 2: Layouts
Negative findings necessitated optic fiber repositioning and cable redesign. The second model used a lower-heat-conductivity substance as a cooling material while the optic fiber was positioned some what away from the steel tube and coated with polymer insulation. This concept resulted in positive outcome. To confirm that the measuring system could recognize local fluid flows and differentiate these by flow rate value, a dedicated laboratory scale-plant was designed to simulate well conditions (Fig. 5). Plant is based on a cylindrical metallic vessel with two flanges with sealable cable passages. Each flange also has circulating valves (V1 and V2) to simulate downhole fluid mainstream during of joint operation. The mid-unit carries the third valve (V3) to simulate local flow, and equipped with a fluid flow sensor. The measurements used Silixa Ultima station. In the course of the experiment, fluid flow rate through the local flow valve (V3) was maintained between 0 m3 /hour and 0.51 m3 /hour. After the flow rate was set at the
300
V. I. Kostitsyn et al.
Fig. 5. Experimental Plant Scheme
Average cable cooling rate, °C/min
specified value, the cable was heated 10 °C to 15 °C above ambient temperature. When the required overheating was achieved, voltage was removed, and cable temperature was recorded using a fiber-optic distributed temperature sensor. When through cooling a cable model initial temperature was achieved, setup another flow rate value was specified, and the tests were repeated.
5.40 4.90 4.40 3.90 3.40
y = 4,6832x + 2,5299 R = 0,99
2.90 2.40 0
0.1
0.2 0.3 Fluid flow rate, m³/hour
0.4
0.5
Fig. 6. Average Cable Cooling Rate versus Fluid Flow Rate
After the experiment was completed, the cable cooling rate was plotted versus fluid flow rate (Fig. 6); the resulting correlation allows to quantitated reservoir flow rates in wells producing up to 15 m3 per day. Further more, optimum design of a multifunctional logging cable was determined from the tests.
6 Conclusion 1. Using a geophysical special-purpose load-bearing logging cables with conductors and fiber-optic lines, and which are connected electrically to perforation apparatus
Innovative Geophysical Techniques for Permanent Type Completion
301
(gun), allowed to create an integrated high-performance technique of perforation and long-term monitoring of reservoir management and subsurface equipment operation. 2. Downhole cable equipment with fiber-optic sensors allow to measure temperature throughout wellbore length or wellbore portion during short time intervals. Ability to record transient processes is the main in formational potential of fiber-optic systems which are therefore the most convenient and insightful within long-term downhole monitoring techniques. 3. Experimental findings confirmed that special-purpose fiber-optic systems combined with the heating section of the cable core were substantially able to locate producing intervals, and to differentiate these quantitatively by fluid flow rate (output). As to cable design, the take away message is that a fiber-optic module must be polymer coated and situated at a calculated distance from high-thermal-conductivity components and the heating portion of the conductor.
References 1. Barkov, Y.A., Votinov, G.N., Zverev, O.M., Perminov, A.V.: General Physics Condensed: Tutorial. PH of PermNatResPolytechnic Univ., p. 407. Perm (2015) 2. Buyanov, A.V.: Horizontal Well Flow (Intake) Logging as Based on Distributed Non-Stationary Thermometry: PhD Thesis in Engineering Science, p. 146 (2019) 3. Gayvoronsky, I.N., Kostitsyn, V.I., Savich, A.D., Chernykh, I.A., Shumilov, A.V.: Improving casing perforation efficiency. Oil Ind. 10, 62–65 (2016) 4. Ipatov, A.I., Kremenetsky, M.I., Kayeshkov, I.S., Buyanov, A.V.: Logging monitoring of horizontal well operation using distributed fiber-optic stationary measuring systems. Oil Ind. 12, 69–71 (2016) 5. Klishin, I.A.: Promising logging methods for active oil wells and gas wells. Geology and hydrocarbon potential of the west Siberian Megabasin (experience, innovations). In: Proceedings of the 10th International Science and Technology Conference Dedicated to the 60th Anniversary of Tyumen Industrial University, pp. 66–70 (2016) 6. Kostitsyn, V.I., Savich, A.D., Shumilov, A.V., Salnikova, O.L., Chukhlov, A.S., Khalilov, D.G.: Integration of logging techniques for perforation and long-term monitoring of reservoir operation. Oil Ind. 9, 108–113 (2019). https://doi.org/10.24887/0028-2448-2019-9-108-113 7. Lapshina, Y., Rybka, V.F.: Effect of fiber-optic distributed temperature sensing technique in ECP Well completion. Oil-Gas Exhibit 7(32), 13–16 (2013) 8. Elkind, S.Y., Savich, A.D., Denisov, A.M., Chernykh, I.A.: Fluid parameter monitoring technique for wells equipped with subsurface pumps. Karotazhnik 155, 22–37 (2007) 9. Yakin, M.V., Safiullin, I.R., Korovin, V.M., Aliyev, I.Y.: Individualized well testing as based on long-term monitoring of well operation using “Sprut” logging system. Autom. Remote Control Eng. Commun. Oil Ind. 12, 4–9 (2016)
Disposition of Industrial Effluent in Paleokarst Earth Enterior Sergey Kostarev1(B) , Yuriy Yakovlev1 , Vladimir Shatov2 , Maksim Yakovlev2 , Andrey Yakovlev2 , and Gleb Kostarev2 1 Perm State University, 15 Bukireva St, 14990 Perm, Russia
[email protected], [email protected] 2 PermNIPIneft, Branch of LLC LUKOIL-Engineering in Perm, 3a Permskaya St, Perm, Russia
[email protected], [email protected]
Abstract. The objects of placement of industrial effluents enterprises in the underground horizons of the Earth interior at various depths are considered. Examples of effluent injection into widely used types of reservoir geological systems rocks in Russia are shown. An analysis of the distribution of paleokarst reservoir in Paleozoic carbonate deposits in the east of the Volga-Ural oil and gas province has been performed. Examples of the placement of excess produced brines into the paleokarst environments of the Upper Devonian-Tournaisian deposits of the Perm Territory and the Lower-Middle Carboniferous carbonate deposits of the Udmurt Republic of Russia are given. It is shown that the paleokarst environments of the Upper DevonianTournaisian deposits of the Perm region oil fields have high geofiltration characteristics. The results of hydrodynamic modeling of the injection of excess produced brines from oil fields are presented. The work of two geofiltration systems (karstfissure and cavernous-pore) of a deep-lying permeable matrix of Upper DevonianTournaisian and Lower-Middle Carboniferous carbonate rocks with different, very contrasting reservoir properties is shown. Keywords: Industrial effluent · Paleokarst environment · Oil deposites
1 Introduction The need to study reservoirs in the Earth interior is explained not only by the intensive development of mining enterprises, but also by the fact that modern industrial production (metallurgical, chemical, petrochemical, pulp and paper, machine-building, fuel and nuclear-energy industries) accompanied by the formation of a large amount of toxic waste, including sewage. The cardinal way to eliminate waste is the use of non-waste technologies, however, high costs do not allow this approach to be applied everywhere. Physical, chemical and biological wastewater treatment technologies currently do not always allow bringing the concentrations of toxic substances to the standard level [6, 14]. Much safer is the disposal of liquid wastewater into deep aquifers of platform artesian basins. Such horizons contain, as a rule, highly mineralized groundwater and have © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 E. Isaeva and Á. Rocha (Eds.): Perm Forum 2022, LNNS 622, pp. 302–317, 2023. https://doi.org/10.1007/978-3-031-28086-3_25
Disposition of Industrial Effluent in Paleokarst Earth Enterior
303
reliable natural isolation from the Earth’s surface and drinking groundwater. Subject to the correct choice of a favorable subsoil area and the appropriate design of an underground storage facility, long-term, predictable isolation of wastewater from biological chains is reliably ensured [19].
2 Methods For the first time, underground disposal of liquid potash effluents was carried out in Germany in the 1920s, when excess brines of potash production were pumped into fractured limestones and platy dolomites of the upper and middle Zechstein (Permian deposits) to a depth of 300–900 m, and later and “malma” (Jurassic deposits) to a depth of 1100 m or more [16]. These technologies were used in the middle of the 20th century in the USA, Canada, France, Great Britain, Japan and other countries, at the enterprises of the oil refining, gas, potash and chemical industries. For example, in the United States, about 11% of all liquid effluents are utilized [15] through wells with a depth of more than 600 m, where in 96% of cases absorbing horizons composed of sedimentary rocks are used, which in 74% of cases are represented by sands and sandstones, less often limestones. In the southwest of Florida (USA), underground disposal of municipal wastewater in the fractured dolomites of the early Eocene to a depth of 750 to 1050 m. In France, for injection of industrial wastewater, layers of Middle Jurassic limestone are used to a depth of more than 1800 m [9, 10]. Karst collectors carbonate deposits research in Canada [17] and Australia [4, 11]. At the mine in Esterhazy, the process brine and the brine coming from the mine workings are pumped into Ordovician and Silurian carbonate rocks. In Saskatchewan (Canada) excess brine has been dumped underground since 1968. The thickness of fractured limestones and dolomites of the absorption zone is up to 35 m - Winnipeg, 135–270 m - Dawood and 100–270 m - Interlake. The reservoirs are located below the spent potash horizons. The depth of the wells is 1200–1750 m. In Saskatchewan, excess brines are discharged underground into the zone of fractured limestones and dolomites, which is located below the spent potash horizons at a depth of 1200–1750 m. In the Saskatoon area, brines are discharged into sandstones of the Ordovician and Cambrian age, which occur at a depth of about 400 m under the layers of potassium salt. In Japan, underground burial of many types of industrial and domestic wastewater is carried out. Thus, in one of the copper mines, for many years, acidic drainage water has been pumped into 150 wells 35–60 m deep, drilled from a mine in the thickness of andesites, bedded by sandstones. At the Starobinskoye deposit (Belarus), the absorbing horizon (decompacted sandstones) is confined to the Upper Proterozoic aquifer complex, which occurs significantly below the potash deposit at depths of 1800– 2140 m. At the Shebelinsky field (Ukraine), sewage is injected into the Lower Triassic absorbing horizon to a depth of 880–1000 m, and at the Shatlyk field (Turkmenistan) - into the Bukhara deposits to a depth of 1500–1600 m. At the Karachaganak oil and gas condensate field (Kazakhstan), industrial effluent is injected into the Upper Permian deposits to a depth of 1808–1870 m. In Russia, the practice of underground waste disposal began in the late 1950s and early 1960s in connection with the creation and operation of radioactive waste disposal sites [5, 13, 18]. On the Russian platform, industrial effluents were usually pumped
304
S. Kostarev et al.
into the Lower Carboniferous (Oksk-Serpukhovian) and Upper Devonian carbonate and sandy rocks, occurring at a depth of 700–1500 m., and in the Stavropol Territory in the sandstones of the Hot Key Formation (Paleocene) in the depth interval of 1466–1573 m. In the Krasnodar Territory, wastewater is pumped into the Pontic deposits (Pliocene) at a depth of 1500–1600 m. Wastewater from the Norilsk Mining and Processing Plant is pumped into a tectonically disturbed zone of Devonian deposits to a depth of 300–350 m, under a water-resistant permafrost formation (WPF) with a thickness of up to 220 m. At the diamond deposits of Yakutia, a technology was developed for burying brines in permafrost collectors, at a depth of about 180–260 m. The greatest experience in using the lithospheric space to maintain reservoir pressure (RPM) and injection of oil produced water (PWT) was obtained in the development of hydrocarbon deposits with hydrogeological karst collectors research due to oil exploration [1, 2, 7, 8, 12, 13]. In the area of the Orenburg gas-condensate field (GCF), the Visean-Bashkir complex, which occurs at a depth of 2634–3042 m, was chosen as the absorbing horizon. At the Vuktylskoye GCF, PWT is injected to a depth of 3727– 3923 m into the Serpukhovian absorbing horizon of the Lower Carboniferous, and at the Zapadno-Soplesskoye GCF, into the Upper Famennian absorbing horizon of the Upper Devonian to a depth of 1000–1300 m.In the north of the Tyumen region, PWT is injected under the Cenomanian gas deposit to a depth of 990–1600 m (usually 1100–1400 m). Ancient karst cavities in the Paleozoic carbonate deposits were noted in most of the east of the Russian platform according to field geophysical data and during well drilling (tool failures, leakage of drilling fluid, etc.). The injection of excess MPE into absorbing horizons in karst carbonate strata of Carboniferous and Devonian deposits is widely used in the oil fields of Bashkortostan, Tatarstan, Udmurtia, the Orenburg region and the Perm Territory. The issues of studying the possibility of deep underground disposal of industrial effluent in the Perm Territory became very relevant in the 70-90s of the XX century at the enterprises of the chemical industry, potash and oil industries. At present, almost all “old” oil fields in the region are characterized by high water cut, and in most of them the problem of “excess” water in large oil fields is very urgent, the collection points of which receive watered products from several fields. Associated waters separated from oil cannot be used in full for reservoir pressure maintenance during oil production, and the method of pumping excess MPE into deep horizons within the mining allotment of the field is considered at the present stage of development as the most environmentally reliable, technologically accessible, and economically profitable.
3 Results The main exploitation object for pumping excess MPE in the oil fields of the Perm Territory is reef paleokarst geofiltration environment (GFE) of the Upper DevonianTournaisian carbonate gas-oil-water complex (GOWC), which is developed everywhere [20]. It covers a part of the Paleozoic section from the base of the Sargaev Horizon to the top of the Tournaisian Stage. An incomplete section of the GOWC was found only in the northwest of the Perm Territory and in the area of some insular reef massifs in the Solikamsk depression (Durinsky, Gezhsky, and other atolls), where Tournaisian
Disposition of Industrial Effluent in Paleokarst Earth Enterior
305
deposits are completely eroded in places. Dense argillaceous Tournaisian limestones and Kozhimsky mudstones serve as the overlying fluid seal of the GOWC. The Timan regional seal is considered as a poorly permeable base of the complex. Three main types of sections are distinguished in the Upper Devonian-Tournaisian GOWC: side (reef), dome, and depression. The distribution of section types and associated permeable zones is determined by the position of paleotroughs of the Kama-Kinel system (KKSP), as well as the crests of paleo-elevations. The side section type is characterized by an increased thickness of massive, indistinctly layered organogenic and organogenic-detrital limestones. Dolomites prevail in the dome-type section, while the depression section is characterized by the greatest thickness of clayed limestones with subordinate interlayers of dolomites, marls, mudstones, and bituminous shales. The total thickness of carbonate deposits varies from 600 m in side sections, to 300–400 m in dome sections, and 100 m in depression sections. In accordance with the GFE classification [3], the section of the Upper DevonianTournaisian GOWC is represented by a karst type with the identification of paleokarst, granular-clastic, and weakly permeable subendogenous subtypes. Their formation is closely related to the short-term post-Famenian and long-term post-Tournaisian continental breaks in sedimentation. In the Tournaisian Stage, the paleokarst and granular clastic GFE subtypes are developed in its upper and middle parts [20]. These enironments are represented by highly porous and cavernous limestones and dolomites. For granular-clastic enironments, limestones with a clot structure with pore sizes from 0.01 to 0.35 mm are characteristic. The most well correlated is the Tournaisian layer T, which consists of 1–2 permeable interlayers with a total effective thickness of 2 to 30 m. The porosity of rocks varies from 6.1 to 15–17% (rarely 27%), and the permeability varies from 10–4 mkm2 to 22, 6*10–1 – n*10–1 mkm2 [20]. A large range of permeability changes gives reason to believe that this reservoir is heterogeneous. Its structure involves both low permeable endogenous and highly permeable paleokarst GFE. At the same time, the zonal, and even more so the regional permeability of the Tournaisian reservoir is completely determined by the low filtration properties of low-permeability subendogenous enironments. Due to the high spatial heterogeneity, the correlation between the development intervals of granular clastic and paleokarst GFE is possible only within local areas. For example, in the Nozhovskaya group of deposits in the Tournaisian “karst horizon” there are three “karst zones” - T1, T2, T3 [20]. Their average thickness is 4.7 m, 5.7 m and 5.9 m, and the average porosity is 17.8%, 13.5% and 16.0%, respectively. The distribution of “karst zones” for the area of uplifts of the Nozhovsky dome has a strip-like latitudinally oriented character. The boundaries of the bands are parallel to the edge of the paleotroughs and cross the contours of local uplifts, which are oriented in the meridional direction. A good correlation of the Tournaisian “karst zone” was also established within the Shumovsky single reef massif, as well as on the territory of the Krasnokamsky swell. In the inner part of the paleotroughs, Tournaisian siltstones and mudstones form a sequence with a thickness of 20 to 102 m. These deposits can be attributed to the subendogenous GFE subtype, since they have a low permeability background (less than n*10–5 -n*10–4 mkm2 ).
306
S. Kostarev et al.
In general, the zones of the widest development of geofiltration environments of the paleokarst and granular-detrital subtype of the Upper Devonian-Tournaisian GOWC are noted in the Perm and Bashkir arches, where the total effective thickness of the Tournaisian deposits reaches 70 m in the crests of local reef structures (with a background of 10–20 m). Zones of complete and catastrophic absorption are most often exposed here. The average total thickness of granular-clastic and paleokarst environments in the platform part of the region is 12–24 m, and in the Pre-Ural fore deep 8–16 m. In the Upper Devonian carbonate deposits, permeable zones are distinguished in sections of dome, side and depression types [20]. It should also be noted that paleokarst reservoirs in Devonian deposits are not always located in the immediate vicinity of the unconformity surface, so their direct relationship with sedimentation breaks is often not captured. Several permeable zones are distinguished in the Upper Devonian deposits. The upper one is located 30–35 m below the top of the Famennian deposits. Its thickness is 18–33 m, and the effective capacity is from 20 to 70% of the total. The middle permeable zone corresponds to the lower part of the Famennian deposits. It is separated from the overlying zone by a pack of dense rocks with a thickness of 26–67 m. The thickness of the zone is 13–70 m, and the effective thickness reaches 50% of the total. The lower zone is confined to the Middle Frasnian deposits. Its thickness is 32–120 m, and the effective part is 30–80% of the total. In the dome of the paleo-elevations, the permeable zones are correlated in the upper and lower intervals of the section, and in the sides of the troughs they are also correlated in the top and bottom of the Upper Devonian deposits, but less confidently. Their total number ranges from 1 to 6, each with a thickness of 15 to 150 m. Satisfactory correlation of permeable zones is noted in the Famennian stage at the Osinskoye field. On the eastern subsidence of the Krasnokamsko-Polaznensky swell, karsted rocks are noted 300–350 m from the top of the clays of the Kozhim suprahorizon of the Lower Carboniferous deposits. On the Yarinsky uplift, this distance is from 250 m to 370 m, and on the Unvinsky reef massif, 360–390 m. In sections of the depression type with a sharp predominance of clayed bituminouscarbonate rocks, a relatively permeable zone up to 80 m thick is conventionally distinguished only in the middle part of the Upper Devonian carbonate sequence. The permeable zones of the onboard and depression types of sections (granular-clastic environment) are not always correlated even within the same local structure, and the prediction of reservoir properties has a high degree of uncertainty. The most intensive manifestation of paleokarst environments are mud losses during well drilling. Thus, more than 370 such cases have been recorded for the Upper DevonianTournaisian deposits. It has been established that the distribution of absorptions over the area is completely controlled by structural and lithological conditions, and their greatest number is typical for the side zones of the KKSP, areas of local reef massifs and other large positive structures, which is in good agreement with the previously characterized permeable zones. The greatest number of losses was found in areas with a high drilling density - the Bashkir and Perm arches, as well as the Solikamskaya, Visimskaya and Verkhnekamskaya depressions. According to the stratigraphic elements of the complex, the highest
Disposition of Industrial Effluent in Paleokarst Earth Enterior
307
occurrence of absorption zones is predicted for the Frasnian and Famennian deposits. Complete and catastrophic losses are characteristic of the Visim depression, the Perm and Bashkir arches, as well as the Solikamsk depression. The regional GFE of the Upper Devonian-Tournaisian deposits are characterized by the zoning scheme (Fig. 1). The forecast characteristics of geofiltration zones (GFZ) presented in [20] were refined and supplemented by the authors of this work based on the results of field studies and hydrodynamic modeling (Table 1). Sufficiently contrasting lithofacies conditions of sedimentation make it possible to identify several GFZ within the Upper Devonian-Tournaisian GOWS, which differ in the complex of parameters of reservoir properties.
Fig. 1. Geofiltration zoning of the Upper Devonian-Tournaisian GOWS on the territory of the Perm Territory
308
S. Kostarev et al.
The most favorable for the injection of excess brines is the first side zone (SZ1 ) of karst massive limestones in the area of the Osinsky and Nozhovsky oil fields, traced along the western side of the KKSP (see Fig. 1 and Table 1). It should be noted that this zone is characterized by the most valuable examples of losses during well drilling, and a good regional correlation of permeable paleokarst reservoirs (in Tournaisian deposits) has also been established. Within these zones, there are sites for the injection of “commercial” waters of the Padunskoye and Osinskoye fields. Legend: 1 – board of main tectonic structure; 2 – GFZ reef massive; 3-complete and catastrophic losses PVT; 4-perspective “commercial” water (I-Chashkinski, II-Unvinski, III-Kamennologski, IV – Rassvetni, V-Osinski, VI-Padunski, VII-Kokujski, VIII- Tanipski, IX-Pavlovski, X-Krasnoyaro-Kuedinski, Xi-Gogano-Shagirtski, XII Shumovskoj); 5,6,7-GFZ of KKSP crest; 8-GFZ of second-stage structure crest; 9,10,11 – GFZ of paleoshelf; 12 – GFZ of depression section type; 13 – unexplored and none-perspective territory for injection recharge. Table 1. Predictive characteristics of the Upper Devonian-Tournaisian gas-oil-and-water complex GFZ in the Perm Territory GFZ (Fig. 1)
Useful Permeability, Porosity, Transmissibility, Elasic Hydraulic Injectivity, efficiency, mkm2 % m2 /day capacity, conductivity, m3 /day* m m−1 day MPa
Side zone 1 (SZ1)
100–150
0,1–0,3
15–20
8–35
1,5*10–6 1*105 1,5*105
400–1000
Side zone 2 (SZ2)
100–125
0,1–0,15
10–15
10–16
1*10–6
1*105 1,3*105
350–700
Side zone 3 (SZ3)
150–175
0,1–0.15
10–15
13–20
1*10–6
1*105 1,1*105
500–800
Crest structure (CrSt)
50–100
< 0,1
< 12
4–8
1*10–6
8,6*104
200–400
Reef massive (RM)
100–125
0,1–0,15
10–15
8–16
1*10–6
8*104 1,3*105
400–700
Paleoshelf 1 (PS1)
100–125
0,01–0.05
< 10
1–5
7*10–7
1,4*104 5*104
40–250
Paleoshelf 2 (PS2)
100–150
0,01–0,05
< 10
1–6
7*10–7
1,4*104 6*104
40–250
Paleoshelf 3 (PS3)
50–100
0,01–0,05
< 10
0.5–5
7*10–7
1,4*104 7*104
20–200
0,01–0,05
Plat , • the layer surface efficiency through fracturing N frac , • to establish the dependence of changing N frac from changing the formation pressure N frac = f (Pres ). The complete vertical formation pressure is calculated for the depth of bedding of oil-water contact. At the moment, the average calculative bulk density of the rocks (δ) or 2801 m of the carbonate part of the section—2.65 tons/m3 , but the average volume density of the rocks of the whole section (δsec ) of the field equals to 2.5 tons/m3 . The given calculation has form [2]: Poverburden = 0.01 · δ · HOWC ,
(1)
where H OWC is the absolute OWC level. According to the form (1) the magnitude of complete formation pressure of the layer D3 fm at the depth (oil-water contact) makes up74.0 MPa, at the initial formation pressure, being made up by the fluid, filling fractures, pores and caverns, equal to 30.8 MPa or 0.42 of the complete formation pressure.
Fracture Capacity Model Based on Geology and Production Data
325
Fig. 3. Production works time chart of the D3 fm reservoir.
Fig. 4. The schematic imaging diagram at the vertical borehole with the traces of mesa-fractures, crossing the layer at different angles to the borehole axis (cylinder).
It means that at the coefficient of horizontal stress less than 0.42 and the lateral formation pressure less the initial formation pressure, subvertical crevices are kept in the open state and the layer is fracture (K lat < 0.42 i Plat < 30.8 MPa). The coefficient of horizontal stress (Klat ), the lateral formation pressure (Plat ) and Poisson’s ratio (μ) as the most optimal parameter for statistical analysis of the materials
326
A. Nekrasov
of FWS, are connected by the following ratio [2]: Plat = Poverburden Klat , Klat =
Klat μ , μ= . 1−μ 1 + Klat
(2)
For critical values of the coefficient of horizontal stress and the lateral formation pressure, the boundary magnitude of Poisson’s ratio, dividing fracture and non-fracture layers of the formation D3 fm makes up 0.3 (for Klat = 0.42 and Plat = 30.8 MPa), but accepted in the calculation Poisson’s ratio, starting with which and lower, layers are singled out as fracture ones, is equal to 0.295 (Fig. 5).
Fig. 5. Distribution at the section of the D3 fm layer of Poisson’s ratio (M), the coefficient of horizontal stress and lateral formation pressure (Plat ).
The analysis of the materials of FWS allows to establish the most important property of the pore/cavernous/fracture types of reservoirs, distinguishing them from the static pore reservoirs. It is expressed in the dynamic connection of layer surface efficiency through fracturing with changing the formation pressure (Fig. 6). While reduction formation pressure from the initial (according to FWS it is accepted equal to 29.83 MPa, which corresponds to Poisson’s ratio of 0.295) up to 22 MPa, the surface efficient through fracturing of the whole section of the layer D3 fm is abruptly reduced from 0.408 to 0.039, effective part of the section from 0.563 to 0.054 and dense part of the section from 0.354 to 0.0. At increasing the formation pressure (at the line of water injection), higher of the initial hydrostatic pressure the contrary situation is observed: the surface efficient of the layer D3 fm through fracturing is increasing very fast and achieving 0.995 from 36 MPa. Corresponding to [1, 5] the dynamic connection of the fracture abundance coefficient N f of the layer D3 fm through fracturing with reduction of formation pressure is described in the following way:
Fracture Capacity Model Based on Geology and Production Data
327
• total layer thickness: Nf = 0.408 e−0.3(29.83−Pres ) ,
(3)
Nf = 0.563 e−0.3(29.83−Pres ) ,
(4)
Nf = 0.354 e−0.3(29.83−Pres ) .
(5)
• effective thickness:
• dense thickness:
The adaptation of the calculative ratio N f = f (Plat ) to FWS data for all the thickness of the layer D3 fm is represented in Fig. 7. It is seen from the Figure that in spite of values scattering, the general tendency of reduction of the layer’s surface is similar. While increasing the value of formation pressure over the initial (hydrostatic one), the calculation for defining the surface efficient through fracturing of the layer D3 fm gives the following equation: Nf = 0.408 e−0.3(29.83−Pres ) .
(6)
Thus, researching of the layer D3 fm in the oil well №200 with the FWS reveals two more specific characteristics of pore/cavernous/fracture reservoirs. At first, if in the pore reservoir the effective thickness remains constant at any changes of formation pressure, then in the pore/cavernous/fracture type of reservoir the conditions for existing of the open fracture thickness change variously depending on the sign of change of ratio of lateral formation pressure and formation pressure. While formation pressure reducing at the D3 fm fracture thickness (hf ) is reduced according to the exponential law: hf = 64.6 e−0.3(29.83−Pres ) .
(7)
While formation pressure increasing over the initial hydrostatic pressure, the fracture thickness increases, too: hf = 64.6 e−0.3(29.83−Pres ) .
(8)
It is, however, does not mean that such a changing of the fracture thickness can be seen at the diagram of FWS, scanned at the lowered formation pressure, for example, at 19.5 MPa (Table 3) in comparison with 30.8 MPa, as in the oil well №200. Through FWS not the fracture thickness itself is defined, but Poisson’s ratio which does not depend on changing formation effective pressure so much to be investigated through FWS logging. There is no data yet to discuss the dependence of lateral formation pressure from the change of the formation effective pressure. In our case the reduction of fracture thickness can be interpreted as lessening of the possibilities (or conditions) for existing the open subvertical crevices. It is expressed through the calculating changing of the fracture thickness, the initial value of which we can define also by the calculative method at static parameters of Poisson’s ratio and lateral formation pressure for the initial (hydrostatic) formation pressure according to the rule (μ ≤ 0.295, Klat < Pres/Plat, Plat < Pres).
328
A. Nekrasov
Fig. 6. The dependence of the fracture abundance coefficient of the D3 fm layer from the changing of reservoir pressure.
Fig. 7. The adaptation of the calculative ratio N f = f (Pcurrent ) for all the section of the D3 fm layer.
This very latent character of changing the fracture thickness is still the main obstacle for studying dynamic properties of pore/cavernous/fracture reservoirs through geology field methods.
Fracture Capacity Model Based on Geology and Production Data
329
At second, the reduction of the surface efficient of the layer D3 fm through fracturing and fracture thickness 10 times while falling formation pressure from 30.8 to 22 MPa not only coincide synchronically with reduction of fracture production factor but causes the destruction of the volume net of crevices as the system which provide hydrodynamic unity of all the kinds of cells of pore/cavernous/fracture reservoir. Proportionally to this, from draining process oil reserves of pore/cavernous matrix are excluded, covered earlier by the net of fractures. It is clearly realized from Table 5. Qloss = Qbal (Vstart − Vcurrent ).
(9)
Table 5. Dependence of the fracture oil reserves drained of the D3 fm layer from the change of the formation pressure and the effective surface fractures area. V current of effective thickness
V f (V start − V curr. )
30.8
0.563
0
5667
0
0
30
0.563
0
5667
0
0
29
0.56
0.003
5637
30
0.5
28
0.55
0.013
5536
131
2.3
27
0.5
0.063
5033
634
11.2
26
0.43
0.133
4328
1339
23.6
25
0.32
0.243
3221
2446
43.2
24
0.11
0.45
1107
4560
80.5
23
0.04
0.523
403
5264
92.9
22
0.04
0.523
403
5264
92.9
21
0.03
0.533
302
5365
94.7
20
0.02
0.543
201
5466
96.5
19
0.02
0.543
201
5466
96.5
18
0.015
0.548
151
5516
97.3
Formation pressure
Fractures oil reserves (tons · 103 ) Qbal · V current
Losses of fracture drained oil reserves (Qbal · V f ) 103 · tons
% of initial
From the Table 5 it implies that for 01 Jan 2021 the layer D3 fm has practically lost its fracture constituent and in the process only single subvertical crevices with low lateral formation pressure are remained. They selectively drain pore/cavernous matrix and also single channels of the matrix itself the filtration properties of which according to the research data make up 2–5% from the initial filtration properties of all the pore/cavernous fracture system. All these features are not typical completely for reservoirs porous type (Table 6). In Table 6, the conventional porous reservoir of the layer D3 fm has the same initial properties (permeability, productivity, covered by draining oil reserves) as the real pore cavernous/fracture reservoir of the layer D3 fm in the well №200. Such a situation
330
A. Nekrasov
is quite probable in cases when above mentioned parameters are defined under field geology and hydrodynamic research at the early stage of the well operation. The substitution of the properties takes place: the parameters of the fracture medium are assigned to porous medium. As the porous medium is static, so all the prognosis on oil extraction is carried out without taking into consideration compression deformation, that is without considering the productivity coefficient reduction and shutting down draining of oil reserves, contained in the pore/cavernous matrix. Such mistakes in the field activity happen and almost always have the dramatic consequences. Table 6. Comparison of the conventional parameter dynamics of the D3 fm layer for the variants of porous and pore/cavernous/fracture reservoir types of the oil well №200. Pressure (MPa)
Porous reservoir
Reservoir pressure (MPa)
Bottom pressure (MPa)
k
Oil reserves drained (fraction)
tons per day per MPa
tons per day
Pore/cavern/fractures reservoir k
Oil reserves drained (fraction)
tons per day per MPa
tons per day
30
24
0.067
0.563
28.1
168
0.067
0.563
15.4
92
29
23
0.067
0.563
28.1
168
0.061
0.44
14
84
28
22
0.067
0.563
28.1
168
0.055
0.325
12.7
76
27
21
0.067
0.563
28.1
168
0.05
0.24
11.5
69
26
20
0.067
0.563
28.1
168
0.045
0.179
10.4
62
25
19
0.067
0.563
28.1
168
0.041
0.132
9.5
57
24
18
0.067
0.563
28.1
168
0.037
0.098
8.6
52
23
17
0.067
0.563
28.1
168
0.034
0.072
7.8
47
22
16
0.067
0.563
28.1
168
0.031
0.054
7.1
43
21
15
0.067
0.563
28.1
168
0.028
0.04
6.5
39
20
14
0.067
0.563
28.1
168
0.025
0.029
5.9
35
19
13
0.067
0.563
28.1
168
0.024
0.022
5.4
32
18
12
0.067
0.563
28.1
168
0.023
0.016
4.9
29
17
11
0.067
0.563
28.1
168
0.022
0.012
3.9
27
Note: for porous reservoir—V start = 0.563, V current = const., for pore/cavernous/fracture reservoirs—V start = 0.563, V current = 0.563·e−0.3(Pstart–Pcur.)
To prove such a statement, let us carry out the estimation of the reserves in the fractures which are defined according to following equation: Qf = F · h · Nf · mf · δoil · where:
1 , boil
(10)
Fracture Capacity Model Based on Geology and Production Data
331
Qf is fracture oil reserves (tons · 103 ), F is the deposit square (m2 · 103), h is the average productive layer thickness (m), N f is the fracture abundance coefficient (fracture of unit), mf is the fracture porosity (fracture of unit), δoil is the density of degassed oil (tons per m3), boil is oil volume coefficient. Fracture oil reserves are calculated differentially for the general thickness, effective and dense thickness of the oil section, according to the category A + B1 jointly. At the same time the fracture oil saturation coefficient is equal to 1. The calculation results are shown in the Table 7. Table 7. The differential assessment of the oil reserves in the fractures of the D3 fm layer. Category
Thickness type
Thickness (m)
Fracture abundance (%)
Fracture porosity (%)
Oil density (t/m3 )
Area (m2 )
The initial oil reserves (t · 103 ) in fractures
pore/cavernous matrix
Oil extraction for 01 Jan 2021 (t · 103 )
Oil reserves remained (t · 103 ) in fractures
pore/cavernous matrix
A + B1
tot.
35.6
43
1.16
2000
10066
685
1377
10004
16734
eff.
14.5
56.3
1.16
1044
10066
685
421
10004
dense
21.1
35.4
1.16
956
0
956
0
0.843
The general reserves of the fracture/and pore/cavernous oil for 01 Jan 2021 make up 10 066 thousand tons, including fracture oil reserves of 2 000 thousand tons or 20.0%. In correspondence with share distribution of productivity from fracture effective part of the category A + B1 from 1 044 thousand tons for 01 Jan 2021—623.0 thousand tons is extracted, from pore/cavernous matrix—62.0 thousand tons. As we can see, oil reserves of the category A + B1 is produced to 60.0% at the current annual oil extraction 57.0 thousand tons and the current formation pressure 18 MPa compared to the initial 30.8 MPa. It is evident that covered by draining fracture oil reserves remained of the category A + B1 will be fully produced by 2028. From the Table 7, it is clear that oil reserves of the pore/cavernous matrix are drained only 1%. It can be explained by too high speed of selection of fracture oil at which the fluid’s underrun from the matrix to crevices is pressed to compensate oil selection from crevices. Consequently, engineering technology is designed under the rules acceptable for porous reservoirs and not suitable for fracture/pore/cavernous reservoirs. For all kinds of engineering works with fracture/pore/cavernous reservoirs hydrodynamic models with double porosity and double permeability are being built. Mine engineering is carried out on the specialized programs «FRACA» Beicip-Franlab (JFP), Schlumberger Geo-Quest Eclipse, Petroleum Services Ltd Pan System which take into account the dynamics of all parameters of fracturing and the specific mechanism of fluid exchange between fracture medium and pore/cavernous matrix. Thus, in the Table 8 the analytical description of dynamic connection of fracturing parameters with changing
332
A. Nekrasov
formation pressure is shown; in the Table 9—the dynamic of fracturing parameters in the digital format is demonstrated. The graphic image of these dependences is presented in the Fig. 8.
Fig. 8. Dynamic connection of the of the D3 fm layer parameters with changing formation pressure.
Table 8. The analytical description of dynamic connection of fracturing parameters of the layer D3 fm from changing formation pressure. Parameters
Unit
Analytical description Nf = 0.563 e−0.3(29.83−Pres)
Fracture abundance Total productivity coefficient (matrix and fractures)
tons per day per MPa
Km+f = 2.8 + 4.9 e0.1029(Pres−11)
Total permeability (matrix and fractures)
μm2
∗ Km+f =
Total production rate at Pres – Pbottom = 6 MPa (matrix and fractures)
tons per day
0.01 + 0.017 e0.1029(Pres−11) Qm+f = (Pres − Pbottom ) (2.8 + 4.9 e0.1029 (Rpl−11) )
To sum up, the fracturing model on the layer D3 fm has been created. It allows to rethink the history and further prospect for mine workings of the Lekkerskoye deposit keeping in mind the pore/fracture/cavernous type of reservoirs. So, while engineering mine workings the deposit, it allows successfully apply the specialized programs of Eclipse type, «FRACA» Beicip-Franlab (JFP).
Fracture Capacity Model Based on Geology and Production Data
333
Table 9. Dynamic connection of fracturing parameters of the layer D3 fm with changing formation pressure. Formation pressure (MPa)
Fracture abundance (%)
Productivity (tons per day per MPa)
Permeability (μm2 )
Production rate (tons per day)
total
fractures
total
fractures
total
fractures
30.8
56.3
40.4
37.6
0.140
0.130
139
122
30
56.3
37.4
34.6
0.130
0.120
129
112
29
44.0
34
31.2
0.118
0.108
118
101
28
32.5
31
28.2
0.108
0.098
108
91
27
24.2
28.2
25.4
0.098
0.088
99
82
26
17.9
25.7
22.9
0.089
0.079
91
74
25
13.2
23.5
20.7
0.082
0.072
84
67
24
9.8
21.5
18.7
0.075
0.065
77
60
23
7.2
19.6
16.8
0.068
0.058
72
55
22
5.4
18
15.2
0.063
0.053
66
49
21
4.0
16.5
13.7
0.058
0.048
61
44
20
2.9
15.1
12.3
0.053
0.043
57
40
19
2.2
14
11.2
0.049
0.039
53
36
18
1.6
12.8
10
0.045
0.035
49
32
References 1. Victorin, V.: The influence of the peculiarities of carbonate reservoirs on the mining oil deposit effectiveness. Nedra Publishing, Moscow (148) (1988). (in Russian) 2. Gimatudinov, S., Shirkovskii, A.: The Physics of Oil and Gaz Layer, 3rd edn. Nedra Publishing, Moscow (311) (1982). (in Russian) 3. Lebedinets, N.: Studying and Mining Oil Deposits with Fracturing Reservoirs. Nauka Publishing, Moscow (324) (1997). (in Russian) 4. Petersilie, V., Poroskun, V., Yatsenko, G.: The methodics recommendations on the calculation of geology oil and gaz reserves using the volume method. Tver, Moscow. VNIGNI, NPTS Tvergeophysics (2003). (in Russian) 5. Nekrasov, A.: Geology and geophysical research of carbonate reservoirs of oil fields. Perm (422) (2006). (in Russian) 6. Chernitskii, A.: Geology modeling of oil deposits of mass type in the fracturing carbonate reservoirs. Nefteotdacha, Moscow (254) (2002). (in Russian)
The Study of the Perception of the Tourist and Recreation Space of the Region by Textual Data Analysis Method Evgeny V. Konyshev1 , Azat A. Safarian1(B) , Alevtina A. Veprikova2 Anna V. Shpengler2 , Yulia A. Kolesova2 , and Alyona I. Smetanina2 1 Perm State University, 15, Bukireva St., 614990 Perm, Russian Federation
[email protected] 2 Vyatka State University, 16, Moskovskaya St., Kirov, Russian Federation
Abstract. Assessment of the perception of the tourist and recreation space of the region is a new direction of research in recreational geography. The study of the perception of space became possible in connection with the development of a methodology for textual analysis of digital traces of tourists and recreants. The purpose of the study is to develop a methodology for assessing the perception of tourist and recreation space and its testing on the example of the Perm Krai and the Kirov Region. The research base was formed from the reviews of tourists and recreants posted on the Tripadvisor platform from 2014 to 2021. In total, 5668 reviews were collected for the Perm region and 6300 reviews for the Kirov region. Data processing was carried out using the PolyAnalyst software product. A component-by-component, geographical and temporal analysis was carried out, which made it possible to comprehensively assess the features of the perception of the tourist and recreation space of the regions. After calculating the tone index, identifying the main points of interaction between consumers and the components of the tourism sector, identifying problematic service areas, a conclusion was made about the common and unique aspects of the perception of the tourist and recreation space of the Perm Krai and the Kirov Region. The unsatisfactory state of the transport infrastructure, problems of improvement of historical sites, unsatisfactory condition of the facades of buildings, quality of roads to tourist sites are common in the perception of the tourist and recreation space of the two regions. In general, travelers positively perceive products associated with the largest rivers in the region - the Kama and Vyatka. The differences are due to both geographical factors and the peculiarities of the tourist specialization of the regions. The change in the tone index was significantly affected by the restrictive measures taken to fight against COVID-19. The results have different meanings for consumer, business and executive authorities and can be applied to solve a wide range of problems. Keywords: tourist and recreation space · text analysis · big data · Tripadvisor · PolyAnalyst · the Perm krai · the Kirov region
© The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 E. Isaeva and Á. Rocha (Eds.): Perm Forum 2022, LNNS 622, pp. 334–346, 2023. https://doi.org/10.1007/978-3-031-28086-3_27
,
The Study of the Perception of the Tourist and Recreation Space
335
1 Introduction The Perm Krai and the Kirov Region are making significant efforts to increase tourist attractiveness and competitiveness. So, in 2020, the Strategy for the Development of the Tourist and Recreational Cluster of the Kirov Region until 2024 and the Strategy for the Development of Tourism in the Perm Krai until 2035 were adopted. Both Strategies contain ambitious goals, which may be hindered by underestimation of the perception factor of tourist and recreation space. Perception is a measure of a person’s emotional reaction as a result of interaction with a real space component. Based on the perception of a potential tourist, an image of the territory is formed, and expectations are formed from the quality of services of the tourism industry enterprises. The image of the territory may differ from the real characteristics of the tourist potential of the region, but when making a decision about a trip, it is the subjective perception of the consumer that becomes the main factor. In addition, in recent years, an increasing number of potential tourists, when choosing a destination, pay attention to the opinions of other more experienced travelers. As a rule, the opinion is recorded in the form of a review or a comment on specialized tourist resources. Traditional geographic methods are not suitable for processing a huge array of unstructured text data. It is necessary to develop a methodology that combines the latest achievements in the field of big data analysis, machine learning and geographical understanding of the essence and structure of the tourist and recreation space. Thus, the purpose of the study is to develop a methodology for assessing the perception of tourist and recreation space and its testing on the example of the Perm Krai and the Kirov Region.
2 Literature Review Tourist and recreation space is the object of study of recreational geography. In modern studies tourist and recreation space is defined as a real space of tourist and recreational objects in combination with the space of physical connections and relations between them [13]. Geographers [7, 8], sociologists [3], and economists [6] dealt with certain aspects of the formation and development of tourist and recreation space. In the context of the increasing importance of digital technologies, attention is growing to research on the problems of forming the tourist information space [9, 24]. In the modern interpretation, it is a territorial system of users, information resources, software and hardware means of interaction and information flows between them, and consists of a territory, information resources, users-producers and consumers of information resources, as well as means of information interaction [22]. In the structure of the information space, virtual and mental space is allocated. The mental space is formed through perception and is fixed in the form of images and digital traces. When assessing the perception of tourist and recreation space, the “tourist index”, “proper quality” and the intention to revisit are calculated, and the influence of various factors on the overall “picture” is determined [18]. A number of studies are devoted to assessing the perception of the tourist and recreation space of individual countries [5, 10].
336
E. V. Konyshev et al.
In Russia attempts have been made to analyze the perception of the tourist space using survey and observation methods [23], methods of visual analysis of photographs posted in cartographic services [17], social media monitoring methods [21]. The regions that are considered as operational-territorial units of the study do not belong to traditional tourist destinations and came to the attention of scientists relatively recently. The greatest publication activity is undertaken by scientists of the Department of Tourism of the Perm State National Research University. Thus, they proposed a concept for the development of tourism in the Perm Krai. Geographical approaches to the preparation of a regional tourism development program are outlined [25]. An assessment of the prospects for the development of certain types of tourism and recreation in the Perm region is given [11, 12, 14, 26]. Some studies are devoted to the formation of literary images of the territory [1] and the formation of the territory image on the basis of symbolic resources [15]. In the Kirov region, the main focus of research is on studying the domestic tourism market [2], increasing the availability of tourist services [16], and developing certain types of tourism [4, 20]. In general, it should be noted that a comprehensive study of the perception of tourist and recreation space has become possible relatively recently, in connection with the development of the methodology for text analysis of big data [12, 19]. The application of this method makes it possible to obtain good results in processing a large amount of unstructured data, track changes in the perception of space over time, highlight problem areas and competitive advantages of the destination.
3 Material and Methods The methodology for assessing the perception of the tourist and recreation space of the region consists of three interrelated stages (Fig. 1). The first stage involves the formation and preparation of the research information base for further processing. The database is structured data in the form of people reviews downloaded from the Tripadvisor platform. Two bases were formed - in the Perm Krai and in the Kirov Region. These are two regions that are neighbors of the first order, having both common features (climate, basin character, inland position, economic structure) and differences (regional size, relief, number and standard of population living, transport accessibility). The database consists of feedback from 2014 to 2021 collected in early 2022. The total number of reviews in the Perm krai was 5668 units, and in the Kirov region - 6300 units. Preparation of the initial base for further analysis was carried out using the built-in tools of the PolyAnalyst software product: column modification, indexing, spell checking, identification of unique records and texts. The “modify columns” node allows to change the format of the feedback column from string to text, which allows to work with more complex nodes later. The “indexing” node is designed to divide texts into paragraphs and sentences, mark up all words by parts of speech. This operation is required for faster operation of subsequent nodes. A mandatory procedure is the correction of spelling errors. For this base, a confidence threshold of 70% was chosen. The result of applying the “unique texts” and “unique records” nodes is a table from which rows with duplicate or similar review content have been removed. After carrying out the necessary procedures, the research base becomes more prepared for data processing.
The Study of the Perception of the Tourist and Recreation Space
Research Base download reviews
Data processing
enty extracon
column modificaon indexing
idenficaon of unique texts
Result interpretaon
geographical analysis
tone analysis component-bycomponent analysis
spell checking idenficaon of unique records
337
keyword extracon
link of terms
temporal analysis
Fig. 1. Methodology for studying the perception of the tourist and recreation space of the region
Data processing is carried out using the tools of the PolyAnalyst software product. To quickly understand the essence of the content of reviews, the “keyword extraction” tool is designed. Using various settings, it is possible to create your own dictionary for work. The tool also includes a “keyword cloud” tab, the use of which allows to visualize the results in the form of a word cloud. Also, the “link of terms” tool allows to visualize the links between keywords. It is possible to generate the desired connection of terms and configure the search for a connection within a sentence, paragraph or the entire text, as well as set the necessary distance between words and the strength of the connection. As a result, a connection graph is formed, where the strength of the connection is calculated as the logarithm of the value of the probability of deviation between the two terms. The greater the strength of the connection is, the more meaningful the relationship is. The “entity extraction” tool is aimed at solving the problem of finding named entities in a text using algorithms to search a sequence of words and to work with dictionaries. As a result, a list of entity types is displayed, among which geographic entities are of significant interest. The tone analysis tool allows to evaluate the attitude of the reviewer to a particular object or situation. Evaluation is an emotionally colored judgment of the subject (tourist or recreant) in relation to the object (component of the tourist and recreation space). It is advisable to place this node after the “entity extraction” tool, since the extracted entities, as a rule, become objects of evaluation. Also, possible to select the field of study in the node settings: general, air transport, finance, hospitality, medicine and technology. To study the perception of tourist and recreation space, the field of “hospitality” was used. Built-in tone analysis algorithms determine the number of negative and positive reviews for each object of evaluation. For this, words are analyzed, most often adjectives, which correlate with the object of evaluation and have their own degree of negativity (from −1 to −5) and positivity (from +1 to +5). The ratio of the number of positive and negative reviews is the tone index. The functionality of the node
338
E. V. Konyshev et al.
provides the ability to build a graph to visualize the results about the relationship of the subject to the object. In the constructed graph, aspects (areas) of the study are indicated by a gray punch, positive tones are displayed in green, and negative tones are displayed in red. The interpretation of the results involves geographical, component-by-component and temporal analysis. A component-by-component analysis was carried out in order to identify differences in the perception of the components of the tourist and recreation space: accommodation, entertainment, food, tourist product and transport. Geographical analysis was aimed at identifying the territorial features of the distribution of the tone parameters of reviews, keywords, key problems of cities (tourist territories) of the Perm Krai and the Kirov Region and determining the most popular tourist sites. The temporal analysis consisted in measuring the tone index of reviews over the years, which made it possible to identify changes in the key problems of the development of real tourist and recreation space in dynamics.
4 Findings In the structure of the tourist and recreation space, the most significant for tourists and recreants are the components for the organization of accommodation, meals, transportation, entertainment services and the implementation of an integrated tourist product. Emotional evaluation of these components varies considerably (Fig. 2). The highest values of the tone index and, consequently, the best perception are typical for the “tourist product” component. A tourist product is a complex of services, in the implementation of which an important function is performed by a guide, guide, instructor. Being in direct contact with tourists, this specialist can create a favorable atmosphere and form positive impressions, reduce service problems at the enterprises of the tourist and recreational complex. The Perm Krai and the Kirov Region offer a variety of tourist products on the tourist market. In the Perm Krai, these are tourist products of cultural, educational, event, health-improving, skiing, sports and tourism, cruise, and children’s orientation. The range of tourist products in the Kirov region is somewhat poorer, due to physical and geographical factors. The region specializes in cultural, educational and sanatorium tourism, and in the summer season also in sports tourism. Also, special attention is paid to children’s tourism. Tourists and vacationers experience significant negative emotions when interacting with the transport infrastructure of both regions. At the same time, it is transport that is the “calling card” from which the journey begins and ends. Primary and final emotions have a strong influence on the overall attitude towards relaxation. Most often negatively perceived are railway stations, airports, taxi services. Tourists are not satisfied with the quality of service, queues at the terminals, uncomfortable ramps. Emotional assessments of the organization of entertainment and food in the Perm Krai are generally more positive than in the Kirov Region. Perm is a million-plus city with a developed entertainment infrastructure, with more diverse catering establishments with a unique regional cuisine. In the Kirov region, among the entertainment organizations, theme parks dedicated to dinosaurs and fairy-tale characters stand out.
tone index
The Study of the Perception of the Tourist and Recreation Space
339
60.0 50.0 40.0 30.0 20.0 10.0 0.0
Components of the tourist and recreaon space Perm krai
Kirov region
Fig. 2. Tone index of the components of the tourist and recreation space of the Perm Krai and the Kirov Region
The assessment of residence in the territory of the Perm Krai and the Kirov Region is generally similar. The hotel industry in the Kama region is more saturated and diverse, but part of the room stock is morally outdated. Reconstruction has slowed down due to the crisis, which causes dissatisfaction among clients. At the same time, 4-star hotels have appeared in the Kirov region in recent years, which, in general, affects the assessments of visitors favorably. In order to identify the key areas of the tourist and recreation space and the main problems of their development, in addition to the tone analysis, the tools “keyword extraction” and “entity extraction” were used (Table 1). An analysis of feedback on the components of the tourist and recreation space allows us to identify the most problematic sectors that are negatively perceived by tourists and hinder a positive decision to visit the Kirov Region and the Perm Krai. The tone index is not a static indicator. The database allows assessing its change since 2014 (before 2014, the number of reviews is insignificant). The general trend of change in the tone index of the Perm Krai and the Kirov Region is directed towards its decrease (Fig. 3). The maximum value of the tone index in the Perm region was noted in 2019, when a new airport was put into operation, and the number of negative reviews regarding the organization of air transportation decreased. The tone index of the perception of the tourist and recreation space of the Kirov region has been gradually decreasing since 2016. The share of positive reviews is decreasing, while negative ones are increasing. The situation in both regions worsened in 2021. Many organizations, in an effort to compensate for the financial losses of 2020, lowered the quality-of-service delivery and increased the cost. In addition, experienced travelers who, due to restrictions on outbound tourism, turned their attention to tourism in the regions of Russia, were more critical
340
E. V. Konyshev et al.
Table 1. Component-by-component analysis of reviews of tourists and recreants of the Kirov region and the Perm krai Components of the tourist and recreation space
Taxonomy Tool: Keywords (significance more than 5)
Sentiment Analysis Tool: Key Issues
Accommodation
room, breakfast, restaurant, window, bed, level, parking, cost, air conditioning
equipment, parking
Entertainment
museum, exhibition, excursion, chocolate, dinosaur, toy, master class, impression, city, monument, monastery, theatre, road, park, embankment, river, course, forest, bus, lake, exhibition, theatre, pond, rotunda, waterfall, rock, lake
personnel, repair, queue, cafe operation, building facades, sidewalks, information, roads, water, climate, infrastructure, paths, price for attractions, lighting, fear of getting lost
Food
restaurant, rest, dish, menu, cuisine, atmosphere, portion, bill
dish taste, service time, high price, hood, interior
Tourist product
hike, ship, instructor, trip, fairy tale, city, emotion, impression, excursion, bonfire, office, discount, booking, sea, staff
food during the trip, clients
Transport
station, airport, taxi, driver, queue, service, parking, car, order, waiting, toilet, cafe ventilation
the Kirov region
the Perm krai Accommodation
room, breakfast, city center, staff, restaurant, parking, repair
lack of air conditioning, renovation on the floor, poor sound insulation, expensive, poor breakfast, problems with water
Entertainment
theatre, cave, monument, museum, performance, tour, gallery, bear
queues, garbage, graffiti, boring programs
Food
dish, service, cuisine, menu, interior, atmosphere, serving
price, taste of food, long service, quality of service
Tourist product
excursion, trip, history, hike, mountain, nature, river, rafting, snow
weather, food, road, garbage, toilets (continued)
The Study of the Perception of the Tourist and Recreation Space
341
Table 1. (continued) Components of the tourist and recreation space
Taxonomy Tool: Keywords (significance more than 5)
Sentiment Analysis Tool: Key Issues
Transport
waiting room, cafe, check-in area, toilet, staff, parking, boarding gate
parking and ramp at the railway station, prices at the airport, few departures, queues, toilet and smell
tone index
8 6 4 2 0 2014
2015
2016
2017
2018
2019
2020
2021
year Perm krai
Kirov region
Fig. 3. Tone index of perception of the tourist and recreation space of the Perm Krai and the Kirov Region
about the quality of service. So, in the Kirov region in 2021, there is one negative one for three positive reviews. That is, about 30% of the guests left the region with a negative attitude. In the Perm Krai, the ratio of positive and negative reviews is even worse - two to one. The tourist and recreation space of the regions is heterogeneous. Therefore, an important direction of text analysis of reviews is to identify the territorial features of the perception of tourist areas and centers, popular recreational areas. The Kirov Region and the Perm Krai do not belong to the traditional tourist regions and are at the initial stage of the formation of a tourist and recreational complex and recreation infrastructure. The main tourist flows are directed to the capitals of the regions and to several cities where there are tourist resources (Table 2). The values of the tone index of the cities of the Kirov region are generally higher than those of the cities of the Perm region. Kirov is an ancient city (formerly Vyatka, founded in 1374), has a significant cultural and historical potential and a concentration of tourist sites (monasteries, temples, museums, historical buildings, theme parks). The city of Slobodskoy (founded in 1505) has a high degree of attractiveness. Located 30
342
E. V. Konyshev et al.
Table 2. Geographical analysis of reviews of tourists and recreants of the Kirov region and the Perm krai Cities of the regions
Tone index
Taxonomy Tool: Keywords (significance more than 5)
Sentiment Analysis Tool: Key Issues
Touristic objects
The Kirov region Kirov
8,4
hotel, restaurant, museum, park, Vyatka, toy
street lighting, parking, old houses, sidewalks
reserve of fairy tales, chocolate museum, flying ship, Kirov Regional Museum of Local Lore
Slobodskoy
9,6
museum, tour, history, main street
road, sidewalks, food
Sloboda Museum of Local Lore, water tower, square
Vyatskiye Polyany
7,6
river bank, museum, road, parking lot, bus, church, building facades, hammer garbage
Shpagin, Hammer, hat museum
Sovetsk
2,0
nature, water, cave, river
the Nemda river, skala Chasovoj (Sentry rock), Beresnyatsky waterfall, Burzhatsky cliff
Perm
5,0
hotel, city center, room, breakfast, theatre, restaurant, air conditioning, monument, museum airport, water
the Kama river, Kungur Ice Cave, Perm Art Gallery, Opera and Ballet Theater
Kungur
6,0
cave, excursion, boring cave, inn history, ice, balloon, Stalagmite merchant
Kungur Ice Cave, Sylva River, Museum of Merchants, Stone Museum
Solikamsk
4,9
church, salt, museum, merchant
road, house facades, catering
the Usolka River, Solikamsk Museum of Local Lore, Salt Museum
Gybaxa
3,8
track, mountain, complex, skiing, snow, cafe
lifts, queue, hotels, windy weather
Krestovaya mountain, Gubakha Center
road, garbage, lighting, mosquitoes
The Perm krai
The Study of the Perception of the Tourist and Recreation Space
343
km from the regional center, the city specializes in excursion programs, with the return of tourists back to Kirov. In the south of the Kirov region, the city of Vyatskiye Polyany is actively developing as a tourist center. The city is characterized by an advantageous transport and geographical position (located between Tatarstan and Udmurtia, on the southern branch of the Trans-Siberian Railway, 150 km from Kazan, on the navigable part of the Vyatka River). Ethnographic, industrial and event tourism is developing in the city. There is a unique museum of hats and a house-museum of G.S. Shpagin. The low values of the tone index of the city of Sovetsk are associated with a low level of infrastructure development and features of the region’s tourist specialization. Basically, the city is an intermediate point for organizing tours in the natural environment to the sights of the Soviet District (Nemda River, Beresnyatsky waterfall, Burzhatsky cliff, “Kirov-600” cave, skala Chasovoj (Sentry rock), etc.). In the Perm Krai, the highest index of tonality was determined for the city of Kungur (founded in 1663). The tourist center of the historical city of Kungur ranks first in the top 10 tourist attractive centers of cities in the Perm Krai. On the territory of Kungur there are several centers of tourist attraction (the unique Kungur Ice Cave, the Kungur Historical, Architectural and Art Museum-Reserve, objects of cultural heritage of federal significance), in addition, several interregional tourist routes pass through the city. The city of Gubakha, which specializes in ski tourism, received the lowest marks. However, tourists note problems in the development of the material and technical base of the ski resort and not a sufficiently high level of service. Common in the perception of the tourist and recreation space of the two regions are the problems of improvement of historical sites, the unsatisfactory condition of the facades of buildings, the quality of roads to tourist sites. In addition, many people positively perceive products associated with the largest rivers in the region - the Kama and Vyatka.
5 Discussion In the information society, significant attention is paid to digital footprints, which are unstructured data that accumulate like an avalanche and require special analysis tools. The method of textual data analysis is an effective tool for studying the perception of tourist and recreation space. The relevance of its application is confirmed by a significant amount of work by foreign authors and emerging interest from Russian scientists. The objectivity of the assessment will largely depend on the quality of the formed research base. When collecting data, it is advisable to take into account the structure of the real tourist and recreation space and group reviews according to its main components. However, tourists and recreants do not interact with all components of the real tourist and recreation space, so the largest volume of digital footprints corresponds to the blocks: “accommodation”, “entertainment”, “food”, “transport”, “tourist product”. Reviews are one of the options for a digital trace, which contains an emotional assessment of the result of interaction with the components of a real tourist and recreation space. As a research information base the Tripadvisor platform is the most suitable one. It is widely used in the world, is popular with tourists, tourists trust reviews from
344
E. V. Konyshev et al.
Tripadvisor and use it when choosing travel destinations. The authors of the reviews are not anonymous, the portal contains information about the place of residence, age and other characteristics. This allows us to analyze differences in the perception of space depending on the region of residence, age, gender and experience of the traveler. In addition, negative reviews are not removed from the portal, which makes it possible to assess the tone of perception of the components of the tourist and recreation space more objectively. Text analysis of a large number of tourist reviews requires special tools and software. PolyAnalyst is suitable for a component-by-component and geographical analysis of the perception of the tourist and recreation space of the regions. It is expedient to consider the application of the obtained results from the position of the consumer, business and authorities. For a tourist and a recreant, the opinion and experience of another traveler is important when making a decision about a trip. Based on the totality of reviews from a potential tourist, a system of expectations is built, and a potential level of impressions is set. Knowing about possible problems, the level of expectations will be adjusted and brought closer to the real situation. The heads of organizations of the tourist and recreational complex are directly interested in improving the quality of services provided and increasing customer loyalty. PolyAnalyst text analysis tools allow to automate the processes of collecting and analyzing feedback in real time, not only in relation to own enterprise, but also to potential competitors. Ultimately, this information will improve the overall competitiveness of the organization. One of the functions of the executive authorities is the formation of a positive tourist image of the region, creation of conditions for the growth of the tourist flow, balanced development of the regional tourist and recreational system. Information about the key problems and territorial features of the perception of tourist and recreation space, changes in the index of tone, the main areas where the formation of impressions of tourists takes place, should be used in the development of territorial planning documents, and considered when implementing the tourism policy of the region.
6 Conclusion The study revealed differences in the perception of the components of the tourist and recreation space. The transport sector received the most negative attitude from tourists and recreants. This is the weakest component in the perception of tourist and recreation space. At the same time, taking into account its importance in forming the impressions of travelers, it is necessary to make serious efforts to solve the key problems of its development. A complex indicator that reflects the perception of tourist and recreation space is the tone index. The tone index reflects the ratio of positive to negative reviews. The nature of its change over time can be the basis for making managerial decisions, both in relation to individual components, and the sphere of recreation and tourism as a whole. An analysis of the perception of the tourist and recreation space of the Perm Krai and the Kirov Region revealed both common features and problems, as well as features due to geographical conditions and factors. Higher values of the tone index are typical not for the capitals of the regions, but for small towns with a developed tourist function and good transport accessibility.
The Study of the Perception of the Tourist and Recreation Space
345
References 1. Abashev, V.V., Firsova, A.V.: Alexey Ivanov’s creativity as a factor in the development of domestic tourism in the Perm region. Bull. Perm Univ. Russ. Foreign Philol. 23(3), 182–190 (2013) 2. Burtseva, T., Orlova, D.I.: Problems of development of domestic tourism in the Kirov region. Bull. Natl. Acad. Tourism 44(4), 65–68 (2017) 3. Dusenko, S.V.: Social space of tourism (sociological analysis): monograph, p. 180. SWGU, Kursk (2014) 4. Gerasimov, S.V., Konyshev, E.V.: The phenomenon of sports and health. Tourism in the depths of Russia. In: Proceedings of the III International Scientific Seminar: Federal State Budgetary Educational Institution of Higher Professional Education Perm State National Research University, pp. 60–66 (2014) 5. Karolczak, M.: Tourist-recreational space in Roztocze. Turyzm. Tourism 12(1), 5–36 (2002) 6. Kosenko, O., Rud, N., Shtapova, I.S.: Tourist destination as an economic space: main approaches to definition. Manag. Econ. Syst. Electron. Sci. J. 117(11), 29–35 (2018) 7. Kowalczyk, A.: The phenomenology of tourism space. Tourism 24(1), 9–15 (2014) 8. Mazhar, L.Y.: Geosystem approach to the development of tourist space: problems and prospects. Recreational geography and tourism development trends. In: Proceedings of the III International Scientific and Practical Conference, Irkutsk, 22–26 September 2021, pp. 24–26. Institute of Geography. V.B. Sochavy of the Siberian Branch of the Russian Academy of Sciences, Irkutsk (2021) 9. Morozov, M.A., Morozov, M.M.: Digital communications as a tool for the formation of a single information space in tourism. Bull. Russ. New Univ. Ser. Man Soc. 2, 69–72 (2019) 10. Rahmawati, R., Oktora, K., Ratnasari, S.L., Ramadania, R., Darma, C.D.: Is it true that Lombok deserves to be a halal tourist destination in the world? A perception of domestic tourists. GeoJ. Tour. Geosites 34(1), 94–101 (2021) 11. Raskovalov, V.P.: Analysis of the development potential of nature-oriented tourism (on the example of the Perm region). Geogr. Nat. Resour. 3, 132–135 (2010) 12. Schuckert, M., Liu, X., Law, R.: Hospitality and tourism online reviews: recent trends and future directions. J. Travel Tour. Mark. 32(5), 608–621 (2015) 13. Sharygin, M.D., Konyshev E.V.: Tourist and recreational space: geographical features of formation, territorialization and functioning. Spatial organization of society: theory, methodology, practice. In: Collection of Materials of the International Scientific and Practical Conference, 07–11 November 2018, pp. 115–119. Perm State National Research University, Perm (2018) 14. Shirinkin, P.S.: Evaluation of the potential of cultural tourism in the Perm region: problems and solutions. Bull. Assoc. Higher Educ. Inst. Tour. Serv. 9(3), 21–30 (2015) 15. Shirinkin, P.S.: Problems and prospects of involving symbolic resources in the sphere of tourism (on the example of the Perm Territory). Mod. Prob. Serv. Tour. 10(3), 99–107 (2016) 16. Spengler, A.V., Kolesova, Y., Luchinina, M.I.: Problems of development of barrier-free tourism in the Kirov region. Econ. Manage. Probl. Solutions 5(12), 197–200 (2017) 17. Sokolova, A.A.: Virtual development and virtual images of the region (according to Google Earth and Panoramio). News Russ. Geogr. Soc. 142(6), 31–40 (2010) 18. Suharto, R.B., Roy, J., Darma, D.C.: Degree of potential and development strategy of tourism objects. Int. J. Sci. Technol. Res. 8(9), 2343–2347 (2019) 19. Taecharungroj, V., Mathayomchan, B.: Analysing TripAdvisor reviews of tourist attractions in Phuket, Thailand. Tour. Manage. 75, 550–568 (2019) 20. Tanina, A., Konyshev, E., Tsahaeva, K.: Agritourism development model in digital economy. In: ACM International Conference Proceeding Series, p. 34–44 (2020)
346
E. V. Konyshev et al.
21. Tkacheva, T.A.: Geographical analysis of the representation of the image of the North Caucasus in social media. InterCarto. InterGIS. 26(2), 224–239 (2020) 22. Beshentsev, A.N., Budaeva, D.G., Sanzheev, E.D.: Tourist and recreational information space: essence, structure, mapping. Environ. Control Syst. 35(1), 123–129 (2019) 23. Tretyakova, O.V., Sozonova, E.: Characteristics of the territorial perception of tourist resources in the socio-cultural space of Tyumen. Success Mod. Nat. Sci. 12, 170–174 (2019) 24. Vishnevskaya, E.V., Klimova, T.B.: Prospects for the development of virtual information space in the tourism industry. Sci. Result. Bus. Serv. Technol. 3(1), 22–33 (2017) 25. Zyryanov, A.I.: Organization of tourism in the Perm region. Geogr. Nat. Resour. 2, 129–136 (2008) 26. Zyryanova, I.S., Safarian, A.A.: Industrial tourism in the Perm. Geogr. Tour. 2, 66–71 (2021)
Russian Industrial Heritage: Opportunities of Its Conversation and Development in the Ural Region Anisya Lyadova(B) Perm State University, Perm, Russia [email protected]
Abstract. The article studies how historic railways contributed to the development of the industrial heritage of the Urals region. Taking the Uralian Mining Railway (UMR) as an example, the authors of the article show that in small and medium sized towns, where the heritage is concentrated, railways are the key to the development of the towns’ industrial heritage as well as the solution to many urban problems. The authors point out that with the help of the railway in the valley of the Ruhr River the Bochum-Dahlhausen Railway Museum in Germany managed to revive and make accessible the achievements of the Ruhr coal basin plants. In the Perm region a project of the Perm Technical Museum has been designed. The heart of the project is going to be the Perm Automobile Museum “Retro-Garage”. It is planned to combine the project of tourist locomotive routes at the Perm Division of the Sverdlovsk Railway with projects of the Perm Technical Museum. The authors claim that it is important to create locomotive routes on the UMR and the Perm Technical Museum is supposed to play an important part in them. The authors suggest three circular tourist routes. Using the point-rating system the authors demonstrate the unique features of each route as well as the tourist potential of the railway stations. Keywords: industrial heritage · russian industrial heritage · railway tourism · the Urals region · Perm krai
1 Introduction 1.1 The Urals Region as Part of Russian: Issues and Industrial Heritage The importance and scale of the Ural region in the country’s industrial development is comparable to such regions as the Ruhr in Germany, Wales in England and the Appalachian Basin in the USA. Just like these regions, it faced the problems of postindustrial transformation and production crises. Industrial towns and cities of the region need to increase the types of activities and develop the post-industrial economy. At the same time, they should not completely abandon their industrial potential [1]. According to some researchers, the solution to this problem is closely related to the need for serious transformations of their urban environment and the development of the cultural sphere © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 E. Isaeva and Á. Rocha (Eds.): Perm Forum 2022, LNNS 622, pp. 347–361, 2023. https://doi.org/10.1007/978-3-031-28086-3_28
348
A. Lyadova
[2, 3]. Studies of the Russian industrial heritage demonstrate that [4, 5], the projects will be successful only in case three components (government, community and business) interact. As a part of the Urals, the Perm krai occupies an important position in the Russian economy. It locates export-oriented mining and manufacturing industries. The Perm krai accounts for 0.3% of the Russian GDP, 1.7% of fixed production assets, 1.4% of Russia’s foreign trade. 100% of Russia’s potash fertilizers and magnesium export comes from the Perm krai. Moreover, the krai is one of the largest electricity producers and aircraft motors manufacturers [6]. All industries of the region share the same distinctive feature, which is the intermediate character and simplified structure of production. As a result, the Perm krai can be considered as an old industrial region with a low share of industries representing the fourth and fifth sectors. The authorities make efforts to develop digitalization, but they create no conditions for the transition to new development [7]. We present a preliminary assessment of how the government, businesses and communities interact to preserve the industrial heritage. The assessment is made on the example of the Perm krai. Regional authorities support industrial heritage projects in an extremely low and mixed way. It is notable that the ethnocultural and natural heritage receive a long-term and significant support from the tourism sector of the krai [8, 9]. Another feature is a poor attention of local researchers to touristic objects [10, 11]. As for industrial heritage, it is hardly considered as a source of development, which is not the case in other regions of the Urals [12]. However, the examples provided by other countries and regions show that the industrial heritage develops the touristic structure and attracts other directions of domestic and inbound tourism, for example eco-tourism. Local communities and the conditions for their development include the following features: – population decline and aging outside the center of the region [6]; – excessive territorial concentration of the population in the Perm agglomeration with a core in the capital of the region – the city of Perm. Degradation is observed, the periphery of the region is degrading, it only gives away the population and resources (out of 2 million 599 thousand people, 1 million 49 thousand live in Perm) [13]; – the periphery has a significant number of small and medium-sized, mainly industrial cities (24 cities with an average population of 32.3 thousand people) and there is a high proportion of the rural population living in small settlements (24.1% in the Perm krai against 25,3% across the country) [14]. This complicates the spatial development of most territories in the region, since it entails infrastructure costs while the population decreases throughout the area and the region is not attractive to large investors [15]. However, the majority of industrial heritage sites are concentrated in these small and medium-sized towns of the region. That is why the towns of Perm krai can hardly develop the industrial heritage potential themselves. A high proportion of industrial heritage objects distinguish the Ural region among other regions, except the Central and North-Western parts of Russia [16]. This is also confirmed by the fact that the Ural region still has a high level of industrial production
Russian Industrial Heritage: Opportunities of Its Conversation and Development
349
compared to other regions of the country outside of Moscow and St. Petersburg [6]. Back in 1972, one of the first industrial heritage museums, the Museum of Salt, was created in the Perm krai. After that, such complexes almost stopped to develop, unlike the situation in neighboring regions. Regional and local authorities were unwilling or unable to engage in industrial heritage projects together with large industrial investors. These conditions made businesses to support mainly the creation of corporate museums and individual initiatives of regional museums [17, 18]. This situation requires that unusual approaches should be used to create a system of the industrial heritage support and development. 1.2 Railways and the Cultural Development of Regions The examples of European regions show that railways contribute to the integration of their industrial heritage into a single whole without significant infrastructure investments. Two countries Great Britain and Germany possess the largest number of industrial heritage sites in Europe [20], some of them are UNESCO cultural heritage sites. In Germany, they are presented by museum complexes combined with the existing railway, which represent the interactive component. The complexes are located in the valley of the river Ruhr in North Rhine-Westphalia area. The British example demonstrate the museum consisting of Blaenavon narrow gauge line and the whole settlement. The interactive component (that is the railway) allows tourists to comfortably get acquainted with almost all objects of industrial heritage, as well as with natural and European history [19]. In the Ruhr, the interactive component is the Ruhr Valley Railway. Germany demonstrates the most interesting experience in the integrated development of industrial heritage, since it is here that the heritage is woven into the life of a transforming region [20]. It is not conserved, as in the UK, but acquires new functions and significance. Several factors contribute to the success of the German project: 1. There is a museum, since the full and integrated development of the heritage is possible only in the museum [21]. The Railway Museum Bochum-Dahlhausen is Germany’s largest railway museum, which is situated in the region of North RhineWestphalia in the city of Bochum, a few kilometers south of Essen. It occupies a former railroad depot built in the 1940s and includes 14 railroad tracks and a water tower. More than 150 exhibits occupy an area of 46,000 m2 . They allow you to get a complete picture of how German railway technology has developed since 1853. The museum’s collection contains many rare exhibits [19]. 2. The museum possesses ample opportunities for projects due to the fact that it is private. At the same time, it is supported by regional and local authorities, private companies, as well as 150 volunteers. The museum was established in 1977 by the German Society for the History of Railways. It is currently actively supported by the city of Bochum and the Ruhr Foundation [20]. Several studies have emphasized the importance of the local community who should primarily determine the development of their heritage [22]. 3. Train tourist route on a steam locomotive traction is included in the train routes of the Ruhr. The Ruhr railway formed the basis for a locomotive route from the museum to the station Wengern Ost in the town of Witten. The route consists of
350
A. Lyadova
8 stations (24 km). The way from the railway station Bochum-Dahlhausen to the railway museum goes alongside with the current line of the German Railways. This line is fully used for the regular movement of high-speed trains. The museum route is open to visitors in the summer and at Christmas. Tourists visit six sights of the Ruhr Valley, which are linked to its natural wealth and the history of the German coal industry. In addition, the route includes a bicycle path and a ferry. In general, this museum has formed actual recreational cycles using the resources of the railways: visiting the railway museum, participating in the events related to the history of the railway, trips along the “museum” railway, acquaintance with the settlement connected to the railway, acquaintance with the industrial heritage. Thus, this example shows the important role of this museum in the preservation of the industrial heritage. The importance lies in the opportunity for visitors to get involved in the process of knowing the industrial heritage not only by looking at the museum’s exhibits. The interactive component allows them to get a kind of historical experience by “relocating” in the historical and cultural space. Another important point consists in the fact that the museum is private. The government and different political institutions help to maintain it, but the museum does not depend on them. The first railway museums appeared in Russia in 1813 [23]. More museums have appeared in the USSR since the 1980s. The largest of them, the Museum of the October Railway, was opened in 1987 in St. Petersburg [24]. However, rail tours appeared only in the 1980s, for example Circum-Baikal Railway, and were not linked to railway museums [25]. Nowadays the Russian railway tourism experiences a rebirth. Tourist destinations that are actively developing in Russia include weekend tours from Moscow and St. Petersburg, as well as longer rail tours in central and the northwest Russia and the European North. All of them successfully exist together with the already established tours along the Trans-Siberian Railway and the Circum-Baikal Railway [26]. In addition, these tours include retro tours or trips on a retro train (steam train). In Russia, railway tourism is developing in several directions with the largest projects created by the company Russian Railways (the subsidiary “RZhD Tour”) [26]. The company Russian Heritage Railways was also engaged in railway tourism [27]. However, only the company Russian Railways offers routes, involving steam trains. The Ural Mining Railway (UMR) constitutes a unified railroad for the Urals. It was built in the period from 1878 to 1901. Now it is mainly a part of the Sverdlovsk railway, some parts are included into the South Ural, Gorky and Northern railways. It consists of several branch lines, which differ in length and the time of creation (Fig. 1) [28]. This railroad possesses a number of distinctive features compared to similar railways in European industrial regions: 1. it is a working line, which connects a significant number of settlements along the western and eastern slopes of the Ural Mountains. It crosses the main ridge of the Ural Mountains, several rivers in the Kama and Ob river basins. The railway connects 5 territorial entities of the Ural region, 3 territorial entities from the basin of the river Volga and 1 territorial entity of Western Siberia. It covers almost all industrial centers of the Urals and neighboring regions;
Russian Industrial Heritage: Opportunities of Its Conversation and Development
351
Fig. 1. Spurs of the UMR
2. the railroad has not been rebuilt or partly destroyed. It still passes through tunnels and crossings, which were built in the era of the industrial development of the Urals in the 19th century. However, the West Ural Railway stands idle and is underutilized, which in the future will lead to the closure or partial dismantling; 3. the road itself and its rolling stock are unique for Russia, because the construction methods and trains for mountainous areas were created here. This experience was subsequently used in the construction of the Trans-Siberian Railway; 4. each major UMR station possesses a variety of technical structures, natural and cultural objects; 5. there is a railway museum in Yekaterinburg, which is not integrated into the regular service of Russian railways; Perm has a locomotive depot and the project of the Perm Technical Museum. Retro-routes on UMR are impossible without a stably working locomotive depot. All locomotive depots (including those with steam locomotives) are incorporated into the traction directorate at each of the branches of Russian Railways. In total, there are 7 traction directorates in Russia, where there are steam locomotives (Moscow, Oktyabrskaya, Severnaya (Northern), East Siberian, Sverdlovsk, South Ural and North Caucasian) and two training centers for locomen (in Kursk and Tikhoretsk) [29]. Steam locomotives can move along the UMR thanks to the Perm Directorate of the Sverdlovsk Railway. Steam locomotives of this directorate participate in all largescale events dedicated to professional and national holidays (Victory Day, Steelworker’s
352
A. Lyadova
Day, and Railroad Man’s Day). In fact, Russian Railways is a partner of these public events in the Perm krai and the Sverdlovsk oblast. In the Sverdlovsk oblast, where the center of this Sverdlovsk railway is located, there is the Museum of History, Science and Technology of the Sverdlovsk Railway (Yekaterinburg) and the Museum Complex of the Ural Mining and Metallurgical Company (Pyshma) [30], which represent railway equipment from several eras. However, this equipment is not involved in the projects on the working railway. There are no similar railway facilities in Perm, but the project of the Perm Technical Museum has been proposed [31]. The collection of Soviet-made retro cars, which is located in the Retro Garage Museum, should constitute the core of the exposition [32, 33]. It is proposed to create the interactive part of the exposition based on the Perm locomotive depot and the exhibits of the Kama and Krasnoe Sormovo shipyards (diesel-electric ship Sovetsky Soyuz). A site for the museum is currently being searched. The collection of cars was chosen to serve as the core of the museum because it plays a key role in supporting the transport and engineering business in the krai through master classes, field events, and car races. Retro Garage has developed a system of partnerships with foreign motorists and clubs, as well as a system of regular events: Perm-StalingradSevastopol, Perm–Leningrad–Nevsky Pyatachok car rallies. It also supports the BeijingParis rally. The Presidential Grants Fund and Russian Railways support the museum. Moreover, several dozens of volunteers assist the Retro Garage Museum. Thus, the old industrial areas use the industrial heritage as a resource for the development of their territories. At the same time, it is important to understand that transport makes up an important element in the development of the heritage itself, since it can link all parts of the heritage into one whole, and attract more attention than a separate museum. Transport can also diversify the use of heritage.
2 Objects, Data and Methods We analyzed and assessed if the UMR has a potential to develop steam locomotive routes. The analysis was conducted in several stages. 1. We used the research of the Science council of “Retro-Garage” museum for retroroutes construction [31]. Retro-routes are based on the initial state of the UMR before it entered into the Sverdlovsk Railway. Each route starts in the city of Perm, as it is where the construction of the UMR historically began. The Science council also identified the key stations of each route. The choice of these stations depended on, whether they were parts of the UMR at the time of its creation. Another factor, influencing the choice, consisted in tourist and cultural features of each station, namely the opportunity to get acquainted with the industrial heritage or the related natural heritage of the Ural Mountains. Additionally, the information is presented concerning the quantity of the heritage, the time when it appeared, and the character of its production. 2. Territorial entities of the UMR – road departments of the Russian Railways – were assessed concerning the possibilities to use the rolling stock on their territories. Three main technical characteristics were taken into account concerning the operation of a steam-powered train (point rating system). They include the availability of coal, a
Russian Industrial Heritage: Opportunities of Its Conversation and Development
353
water tower and the possibility for a steam-powered train to turn (if there is a railway turntable or a wye-track) (Table 1). Wikimapia [34] provided the information on the technical characteristics of railway stations. 3. Each station was assessed concerning its heritage potential. Parameters described in Table 2 were used to conduct the assessment for the method point rating system. Each station received a score by each parameter, then the final score was calculated. The data obtained allowed creating a map of the potential development of the railway retro-routes from Perm. It should be noted that the indicator 1.2 was used to assess the potentials of Perm and Yekaterinburg separately and they were compared only with each other. As regional centers, they presumably possess a higher potential than cities and towns in the regions, so they should be evaluated in comparison with each other. Moreover, other indicators should be used in such an assessment. We found the data on the industrial heritage on the websites Perm the Great [8], Uraloved [35] and Nashural [36]. 4. All parts of potential retro routes were finally analyzed based on their technical and touristic characteristics.
Table 1. Point rating system of UMR’s railways stations design Design
Points
Water
0 – no
1 – partial
2 – yes
Coal
0 – no
1 – partial
2 – yes
locomotive turnround
0 – no
2 – yes
–
Table 2. Parameters and their scores of UMR’s railways stations industrial heritage Type of points
Point
Score
Industrial heritage
Operating enterprise and/or it museum
1 – visit 2 – technical visit, workshop session
Monument of industrial/railway heritage Geological or natural site (pond, pit, mine and the same)
1 – excursion 2 – more then two
Festival of industrial culture
1 – festival program’ visit
Museum of industrial heritage Museum of railway heritage
1 – one or two 2 – more then two
Museum Theatre or other cultural sites Festival
1 – eexcursion, workshop session, festival program’s visit 2 – more then two museums
Cultural heritage
354
A. Lyadova
3 Results and Discussion The configuration of the UMR itself allows singling out three routes (Fig. 2):
Fig. 2. UMR’s historical and industrial retrotrails
1. The Big Ring includes the oldest part of the UMR. The key stations are Perm – Chusovskaya (the town of Chusovoy) – Lysva – Kyn – Gornozavodsk – Kushva – Nevyansk – Nizhniy Tagil – Yekaterinburg. The value of the route consists in the crossing of the Ural Mountain Range and getting acquainted with the largest and most famous industrial centers of the Urals – Perm, Chusovoy, Lysva, Kushva, Nizhny Tagil and Yekaterinburg. When the tourists arrive at the Kyn and Gornozavodsk stations, it is advisable to visit the settlements located a few kilometers away, not only the stations themselves. These settlements are Kyn and Kusye-Aleksandrovsk (Table 3). 2. The Small (the Kama river) Ring. This consists of a part of the UMR (Perm – Chusovskaya) and the complete Lunjevskaya branch railway line. The key stations
Russian Industrial Heritage: Opportunities of Its Conversation and Development
355
include Perm – Chusovskaya (the town of Chusovoy) – Usva settlement – Gubakha – Alexandrovsk – Vsevolodo-Vilva – Yaiva – Kisel – Berezniki – Solikamsk. The Small (the Kama river) Ring is a circular route. The route includes visiting all the largest mining settlements in the Perm krai. It passes along the western slope of the Middle Urals. Thanks to this, the direction of the train changes all the time, going round low ridges. The train also passes through some of the very first railway tunnels in Europe. The Lunjevskaya branch crosses several left tributaries of the Kama River. These tributaries are among the most popular rivers for rafting both in the Urals and in Russia (Chusovaya, Usva, Kosva) (Table 3). 3. The projected southern ring. The part of the UMR the Western Urals railway has a potential to develop steam locomotive routes. Its key stations may include Lysva – Kyn – Kusino – Druzhinino – Bakala (Table 3). The projected southern ring. This branch railway line is currently underused. Therefore, in the future railway tourist trails can be developed along this branch line [37], but this requires an additional research. Previously, the company Russian Heritage Railways organized railway tours along it [27]. Their experience also needs to be studied.
Table 3. Historical and industrial characteristics of UMR’s stations Station of retro tour
Century of design
Industry and Railway
Chusovskaya
19
M, R
Lysva
19
M, En
stationKyn–Kyn
19
M
Gornozavodsk–Kusye-Aleksandrovsk
19
M
station Evropeiskaya
19
station Khrebet Uralskiy
19
station Aziatskaya
19
Kushva
18–19
M
Nizhniy Tagil
18–20
M,En,AnC
Nevyansk
19
Big ring Perm
Yekaterinburg
M En,R
Small (the Kama river) ring Perm Chusovskaya
M, Ch, En 19
M, R
Usva
–
–
Gubaha
19
C, Ch (continued)
356
A. Lyadova Table 3. (continued)
Station of retro tour
Century of design
Industry and Railway
Kizel
19
C, M
Aleksandrovsk
18–19
C, En
Vsevolodo-Vilva
19
M, E
Yaiva
20
E
Berezniki
19
Ch, M
Solikamsk
16–19
Ch
perspective part of Hugh ring – the Southern ring Lysva
19
M, En
stationKyn–Kyn
19
M
Kuzino
20
R
Nizhnie Sergi
M
Mikhailovskiy Zavod
M, Ch
Berdyaush
R
Satka
M
Bakal
Mi
* M – metallurgical industry, C – coal technology, Ch – chemical industry, E – nepgetika, En
– machinery, Mi – mining, AnC – arts and crafts, R – railway ** this station was not operated as UMR’s station
3.1 Technical Differences of the Routes There are considerable technical differences between the stations on different routes (Table 4). The main problem of both circular routes consists in the inability to turn around when the train returns to the starting point of the route. There is no a railway turntable or a wye-track both in Solikamsk and Yekaterinburg. Solikamsk, possesses more opportunities to build a wye-track. A water tower is needed to supply water. However, this problem is solved by delivering water using special equipment, although in the future this will require investments in the water supply system. Coal is a lesser obstacle to the passage of a steam locomotive, since it is usually available at the stations. Moreover, its delivery can be carried out without any problems, especially since the Urals is located in the middle of the coal supply routes from the Western Siberia. The main question is how the region and local authorities should help develop this infrastructure. It is necessary to develop a comprehensive program for the development of tourism in this direction, which will clearly indicate the functions of all participants. It is also necessary to conclude an agreement with “RZhD Tour”.
Russian Industrial Heritage: Opportunities of Its Conversation and Development
357
Table 4. Texniqeckie xapaktepictiki ctanci Malogo i Bolxogo kolcevyx mapxpytov Station of retro tour
Design water
coal
railway turntable
Total
2
2
2
6
Big Ring Chusovskaya Lysva
0
0
0
0
stationKyn–Kyn
0
0
2
2
Gornozavodsk–Kusye-Aleksandrovsk
1
0
0
1
station Evropeiskaya
2
1
2
5
station Khrebet Uralskiy
1
1
2
4
station Aziatskaya
2
1
0
3
Kushva
2
2
0
4
2
2
2
6
Nizhniy Tagil Nevyansk Small (the Kama river) Ring Chusovskaya Usva
0
0
0
0
Gubaha
1
1
0
2
Kizel
2
0
2
4
Aleksandrovsk
0
1
0
1
Vsevolodo-Vilva
0
0
0
0
Yaiva
2
1
0
3
Berezniki
only by train or bicycles
Solikamsk
0
1
0
1
3.2 Heritage Potential of the Retro Trail Train Stations A distinctive feature of the Big Ring is that it is possible to visit two subjects with different, but historically related industrial potential, as well as to see two parts of the world and cross the Ural Mountains (Table 5). This retro-route includes the second largest industrial centers of two subjects – Chusovoy and Lysva (Perm krai) and Nizhny Tagil and Kushva (Sverdlovsk oblast). This means that these cities locate several large operating enterprises, monuments and man-made natural objects, several museums and cultural sites. It is especially important that these centers possess not only mining and metallurgical, but also machine-building enterprises (Table 5). Nizhny Tagil has the highest industrial heritage potential. In fact, it has all the components of the industrial heritage, which began to be museumized and develop additional
358
A. Lyadova
cultural functions back in the USSR. Therefore, the complex of monuments devoted to the heritage, history and culture of the Urals, situated in this city, is the largest in the Russian Federation. It is the Nizhny Tagil Museum-Reserve “Gornozavodskoy Ural” [38]. Table 5. Big Ring stations ratings
Chusovskaya Lysva stationKyn–Kyn Gornozavodsk– KusyeAleksandrovsk station Evropeiskaya station Khrebet Uralskiy station Aziatskaya Kushva Nizhniy Tagil Nevyansk
Theatre or other cultural sites
Total
Festival
Museum
Festival of industrial culture
Monument of industrial/railway heritage
Geological or natural site (pond, pit, mine and the same)
Cultural heritage
Museum of railway heritage
Station of retro tour
Museum of industrial heritage
Operating еnterprise and/or its museum
Industrial heritage
1 1 0
0 1 0
1 0 0
1 1 1
1 1 1
0 0 0
1 1 1
0 1 0
1 0 0
6 6 3
1
1
0
1
1
0
1
1
0
6
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
1
0
1
0 1 2 1
0 1 2 0
0 0 1 0
0 1 1 1
0 1 1 1
0 0 0 1
0 1 2 2
0 0 2 1
0 0 1 1
0 5 14 8
As a result of assessing the potential of the stations of the retroroute Small (the Kama river) Ring, the following can be noted (Table 6): – the largest stations of the route have the highest potential. Because they already exceed the rest of the stations in terms of numbers, and, therefore, in terms of a set of cultural objects; – the entire route is full of geological objects associated with industrial heritage. Operating enterprises are located only at the largest stations. There are practically no museums with industrial themes, although in reality industrial themes are present in local museums. In general, monuments of industrial heritage are located everywhere;
Russian Industrial Heritage: Opportunities of Its Conversation and Development
359
Table 6. Small (the Kama river) Ring stations rating
Chusovskaya Usva Gubaha Kizel Aleksandrovsk Vsevolodo-Vilva Yaiva Berezniki Solikamsk
1 0 1 0 1 0 1 2 1
0 0 1 1 0 0 0 0 1
1 0 0 0 0 0 0 0 0
1 1 1 1 1 0 0 1 1
1 1 1 1 1 1 0 1 1
0 0 0 0 0 1 0 0 1
1 0 1 1 1 2 1 1 2
0 0 0 0 1 0 0 1 0
Total
Festival
Museum
Festival of industrial culture
Geological or natural site (pond, pit, mine and the same)
Monument of industrial/railway heritage
Museum of railway heritage
Museum of industrial heritage
Operating еnterprise and/or its museum
Station of retro tour
Theatre or other cultural sites
Cultural heritage
Industrial heritage
1 0 1 0 0 0 0 1 1
6 2 6 4 5 4 2 7 8
– high attractive part of the route falls on the section after Gubakha. At the same time, at the stations of Aleksandrovsk and Vsevolodo-Vilva, it is necessary to combine the route with bus / road transport. This is due to the close location of several settlements or several industrial facilities. Such complexity is due to the peculiarities of settlement in this part of the Perm krai – many industrial settlements and stations; – high rate of cultural potential. Basically, they are connected with the history of the region and its participation in Russian culture; – absence of industrial festivals and railway museums at most of the stations of the route, which impoverishes the potential. The presence of the railway in these areas is still the key to the development of this territory.
4 Conclusions The Urals present a unique opportunity to operate the steam locomotive route along the existing railway branch line along with visiting existing enterprises. The enterprises themselves as well as the stops along the route have accumulated a vast experience in developing cultural projects. This enhances a synergistic effect of combining the railway routes with the visits to working factories. Due to this, the Urals provides possibilities for creating several different routes within the same railroad. This allows showing all the diversity of the industrial heritage. Moreover, new activities and attractors can be added to the economy and culture of the settlements situated along the routes.
360
A. Lyadova
Private companies and volunteers usually initiate and implement projects for the preservation of industrial and railway heritage both in Russia and other countries. Thus, the Bochum Museum employs 120 volunteers, and the money for its development come mainly from a specially created fund. There is a similar scenario for the creation of the Technical Museum in Perm, so the development of projects will not have any difficulties. Having railway companies as partners makes it possible to successfully implement interactive programs and enrich the exposition. Acknowledgments. This study is supported by the Foundation for Presidential Grants under Grant No. 22–1-004677 «The Heirs of Mining Civilization».
References 1. Baburin, V.L.: Influence of path dependence on the evolution of industrial areas in Russia. Reg. Res. Russ. 11(1), 80–90 (2021). https://doi.org/10.1134/S2079970521010032 2. Merckushev, S.A., Khusnutdinova, S.R.: Trends and problems of transformation of the territorial-functional structure of Ekaterinburg, Kazan and Perm: general features and differences. Adv. Curr. Nat. Sci. 11–2, 366–371 (2018) 3. Subbotina, T., Merckushev, S., Stolbov, V., Kochetkova, L.: Green spaces as an element of the urban environment: their functioning and transformation. In: Rocha, A., Isaeva, E. (eds.) Perm Forum 2021. LNNS, vol. 342, pp. 123–133. Springer, Cham (2022). https://doi.org/10. 1007/978-3-030-89477-1_12 4. Revaluation practices’s research platform. https://uralbiennale.bm.digital/article/112212345 1348050457/issledovanie-industrialnosti 5. Xie, P.F.: Developing industrial heritage tourism: a case study of the proposed jeep museum in Toledo. Ohio. Tourism Manag. 27, 1321–1330 (2006) 6. Russian statistical yearbook (2020). https://eng.rosstat.gov.ru/storage/mediabank/8IORJlTH/ year_2020.pdf 7. Treivish, A.I.: Unevenness and structural diversity of the economy’s spatial development as a scientific problem and Russian reality. Reg. Res. Russ. 10(2), 143–155 (2020). https://doi. org/10.1134/S207997052002015X 8. Perm krai tourist information center. http://visitperm.ru/en/ 9. Program “Perm krai – territory of culture”. https://tkpermkrai.ru/ 10. Zyryanov, A.I., Myshlyavtseva, S.E.: Touristic clusters of perm region. Izvestiya Rossiiskoi Akademii Nauk. Seriya Geograficheskaya. 2, 13–20 (2012). https://doi.org/10.15356/03732444-2012-2-13-20. (In Russ.) 11. Giventala, E., Stepanova, A.V., Ilyushkinac, M., Burnasov, A.S.: The post-industrial landscapes of central Urals, Russia: heritage value, tourist potential, and unrealized opportunities. Reg. Res. Russ. 9(2), 193–203 (2019). https://doi.org/10.1134/S2079970519020035 12. International tourist forum Big Ural. https://www.youtube.com/channel/UCuF4I7FF2Zz7XK mPXSxDTug 13. Population census. https://eng.rosstat.gov.ru/folder/76215 14. Urban population rate on January 1. https://showdata.gks.ru/report/278932/ 15. Gurova, I.P.: Regional distribution of foreign direct investment in the Russian economy. Reg. Res. Russ. 10, 318–326 (2020). https://doi.org/10.1134/S2079970520030041 16. Moscow region industrial architecture as a cultural heritage Site: statistics and a difficult path to preservation. https://auipik.ru/object/promnasledie/promyshlennaya-arhitektura/
Russian Industrial Heritage: Opportunities of Its Conversation and Development
361
17. Russian corporate museums platform. https://corporate-museum.ru/platform/info/ 18. Lukoil social projects competition. https://www.lukoil.com/Responsibility/SocialInvestment/ Socialprojectscompetition. European route of industrial heritage 19. Eisenbahnmuseum bochum. https://eisenbahnmuseum-bochum.de/ 20. The regionalverband Ruhr. https://www.rvr.ruhr/ 21. Catalunya, el patrimoni industrial és part de la nostra identitat. https://eix.mnactec.cat/eusebicasanelles-a-catalunya-el-patrimoni-industrial-es-part-de-la-nostra-identitat/ 22. Railway heritage and tourism: global perspectives (Tourism and Cultural Change). Channel View Publications (2014) 23. Central museum of railway transport. https://www.pgups.ru/en/culture-and-sport/culture/thecentral-museum-of-railway-transport/ 24. Railway museums. https://culttourism.ru/list/railway-museums.html 25. Circum-baikal railway by train. https://www.justgorussia.co.uk/en/circumbaikal_railway. html 26. Russian railways tour. https://rzdtour.com/ 27. Heartwarming tours to Russian province. https://rusbestrailways.ru/?q=en 28. Blame the Switchman? Russian railways restructuring after ten years. https://www.justice. gov/atr/blame-switchman-russian-railways-restructuring-after-ten-years 29. Steam locomotive tourist trails. https://rzdtv.ru/2021/03/11/turisticheskie-marshruty-na-par ovoznoj-tjage/ 30. Ural mining and metallurgical company Museum complex. https://mkugmk.ru/ru/ 31. Lyadova, A.A., Merkushev, S.A., Luchnikov, A.S., Nikolaev, R.S.: On the issue of use the European and Russian experience for the process of creation of an industrial and transport museum on the territory of Shpagin’s works in Perm city. Geogr. Tourism. 2, 122–128 (2019) 32. Pem automobile museum “Retro-Garage”. https://privatemuseums.ru/en/about/project-geo graphy/perm-region/perm-automobile-museum-retro-garage/ 33. Mark the 65th anniversary of automobile Volga GAZ-21 65-years birth. https://ru.euronews. com/2021/10/11/nc6-russia-retro-cars 34. Wikimapia. https://wikimapia.org 35. Pavel raspopov project about the Urals region “Uraloved”. https://uraloved.ru/ 36. Local history and nature fond “Our Urals”. https://nashural.ru/ 37. Zhang, C., Dai, S., Xia, H.: Reuse of abandoned railways leads to urban regeneration: a tale from a rust track to a green corridor in zhangjiakou. Urban Rail Transit 6(2), 104–115 (2020). https://doi.org/10.1007/s40864-020-00127-2 38. Museum complex “Gornozavodskoy Ural”. http://livingheritage.ru:81/brand/view/id/821
Long-Term Forecast of Seasonal Hydrometeorological Phenomena on the Example of Spring Types S. V. Morozova(B) , E. A. Polyanskaya, and M. A. Alimpieva Saratov State University, Saratov, Russia [email protected]
Abstract. The issues of expanding the use of physical and statistical methods in long-term forecasting are considered. Based on the consideration of asynchronous relationships between the state of the circulating systems of the Atlantic-Eurasian hemisphere sector and the timing of the onset of seasonal hydrometeorological phenomena in the southeast of the European part of Russia, a model of nonparametric discriminant analysis is constructed. The model allows one to separate not two, but three cluster regions corresponding to the three phases of the forecasting phenomenon. The results of forecasts testing on the training and control samples are presented. The conclusion is drawn about the effectiveness of the use of the model in regional forecasting. Keywords: long-term forecasting · physico-statistical model · discriminant analysis
1 Introduction The problem of long-term weather forecasting remains a rather complicated scientific problem. The undoubted successes achieved in the field of long-term forecasting at the beginning of the XXI century are undoubtedly associated with the introduction of global numerical models (COSMO, PLAV, MOTSAT63L25, etc.) into operational practice by such leading domestic and world centers as the Hydrometeorological Center of Russia, the North Eurasian Climate Center, The main geophysical observatorynamed after A.I. Voeykov, European Center for Medium-Range Weather Forecasting, however, the justification for long-term forecasts is still quite low. Moreover, model prognostic production is usually represented by fields of anomalies of meteorological variables or their characteristics averaged over various time intervals - from several days to a month, and, as a rule, in a probabilistic form. At the same time, there is a need to forecast not only the general background of meteorological variables or its anomalies, but also to forecast various hydrometeorological phenomena, for example, droughts, types of springs, dates of transition of average daily air temperature over certain limits, dates of formation and loss of snow cover, advent and ending of rainy or dry periods, etc. © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 E. Isaeva and Á. Rocha (Eds.): Perm Forum 2022, LNNS 622, pp. 362–369, 2023. https://doi.org/10.1007/978-3-031-28086-3_29
Long-Term Forecast of Seasonal Hydrometeorological Phenomena
363
At present, the solution of such problems in the framework of hydrodynamic modeling is not possible [12], therefore, for these purposes, synoptic and physico-statistical methods are increasingly being used [3, 11]. It should be noted that global numerical models always need regional statistical correction [4, 5, 7].
2 Research Tasks The authors set the task to investigate the possibility of long-term forecasting of seasonal hydrometeorological phenomena based on the consideration of long-distance asynchronous connections of the circulating systems of the Atlantic-Eurasian hemisphere sector with various characteristics of the hydrometeorological regime in the southeast of European part of Russia. The dates of transition of the average daily air temperature through 0; 5 and 10 ºC were selected as the object of forecasting. The model of nonparametric discriminant analysis was used to build predictive dependencies. It should be noted that, until now, in predicting various weather elements using the discriminant model, two-phase separation of the predictant has been used [2]. In the present study, discriminant analysis is used to separate the three phases of the phenomenon. Since the technology of using the discriminant model is identical for all forecasting objects, we will show its application using the example of forecasting the date of transition of the average daily air temperature through 0 ºC. The transition of air temperature through 0 ºC is considered the beginning of meteorological spring. The research area is the Saratov region, which is an important agricultural region of Russia. The territory is characterized by a high degree of continental climate, which results in great variability of the weather regime. The date of transition through 0 ºC is especially important for farmers, since this date determines the conditions of snowmelt and the accumulation of productive moisture in the soil by the beginning of spring field work, as well as the development of plants in the initial phases of vegetation, that are the most important for the crop formation.
3 Research Information Base The research information base is data on timed and average daily air temperature values for five meteorological stations in the Saratov region. These meteorological stations are located in the Volga valley. They are Saratov SE, Oktyabrskiy Town, Balakovo, Splavnuha, Engels. These meteorological stations are characterized by the earliest onset of meteorological spring [1]. Throughout the rest of the territory, with a few exceptions, meteorological spring comes three to five days later [1]. The calculation scheme for forecasting is connected with the earliest transition dates. Binding to specific transition dates (in our case, to the date of transition through 0 ºC) is a definite novelty of the work. The traditional algorithm is as follows. Usually, the forecast is a refinement of the climatic background, and all prognostic characteristics (anomalies) are calculated relative to the long-term average (climate). In our case, the climate does not perform a basic but a corrective function, that is, climatic patterns (in this case, regionalization) allow one to adapt the prognostic solution to all other areas of the region.
364
S. V. Morozova et al.
The dates of stable transitions were determined by the authors according to the developed original program “DATA PEREHOD”, compiled in accordance with the recommendations [10]. Temperature data was taken over a 48-year time interval from 1971 to 2018 from the site of All Russian Research Institute for Hydro-meteorological Information [20] and from the original archives of the laboratory of agrometeorology of the Research Institute of Agriculture of the South-East Region. The circulation structures, whose characteristics were used in the construction of the calculation scheme, were the atmospheric action centers of the Atlantic-Eurasian sector of the hemisphere, and these are precisely those whose state experiences noticeable spatio-temporal variability [8]. These are the Icelandic Low and the winter Asian (Siberian) anticyclone. The data on the average monthly characteristics of the Atmospheric Centre Action (AAC) were taken from the average maps of the distribution of atmospheric pressure. Such maps are compiled in the Hydrometcentre of Russia. These maps were used for the period from 2011 to 2018. In the interval 1971 – 2010, the average long-term values of AAC were selected from the Reference Monograph [9]. The necessary calculations were carried out using the statistics program (STATISTICA). A set of statistical parameters was calculated. Based on the calculated parameters, a set of necessary predictors and the optimal forecast lead time are determined. The set of characteristics was used (p-levelmax, F, R2, quotient λ).
4 Methodic The solution to the problem is based on theoretical developments on teleconnection (asynchronous connections). There is a relationship between AAC and weather in areas remote from AAC. The existence of teleconnection (asynchronous connections) is indicated by the authors of many publications [6, 14–18]. However, the introduction of only indices that take into account the intensity of the circulation structures into prognostic models, significantly depletes the models and limits the prognostic capabilities of the circulation objects. Therefore, the authors used the change in the spatial localization of the centers in the physical-statistical model. A series of statistical experiments made it possible to identify the most informative predictors and determine the optimal prognostic interval (forecast lead time). The optimal forecasting interval was a two-month interval.
5 Main Results Statistics of transition dates through 0; 5 and 10 ºC showed that the highest temporal variability is the date of transition through 0 ºC (σ = 5.02, Cv = 0.03), and the smallest one is the date of transition through 10 °C (σ = 2.94, Cv = 0.02). The variability of the date of a stable transition of the average daily temperature through 5 ºC is as follows: σ = 4.81, Cv = 0.03. Since forecasting developments are presented only for the date of transition through 0 ºC, we indicate that the earliest value of this date was observed in 2008, when transition through this limit occurred on February 23, and the latest took place in 1983, transition through 0 ºC occurred on April 16 (according to data from the weather station
Long-Term Forecast of Seasonal Hydrometeorological Phenomena
365
Saratov South-East). Thus, the spread of the extreme values is 53 days, which once again emphasizes the importance of developing methodological forecasts of seasonal hydrometeorological phenomena. The selected characteristics of the indicated centers of action of the previous autumnwinter period with the exception of February were studied as potential predictors. The introduction of the atmospheric action centers characteristics into the model in February makes the forecast lead time practically zero, and the forecast becomes irrelevant. In the result of the calculations, four predictors were selected. Their statistical estimation parameters are shown Table 1. Table 1. Predictor statistical characteristics. Predictor
R2
F-statistics
p-level
Quotient λ
x1
0.694
12.230
0.0007
0.380
x2
0.734
6.269
0.0105
0.545
x3
0.739
7.121
0.0066
0.513
x4
0.778
6.872
0.0076
0.522
F c r = 3.8726. The data in Table 1 show the success of the applied model. The predictors included in the predictive equation describe 75% of the predictant variability. The values of the determination coefficient are quite stable. According to F-statistics, we have an excess of its critical value. According to the quotient λ, showing the influence of a single predictor on the separation of objects, we conclude that the forecast for a group of factors is much more reliable. The physical characteristics of the predictors and the values of the linear discriminant function (LDF) coefficients are given in Table 2. Table 2. The values of the coefficients of the separating functions and the characteristic of the predictor. Predictor The values of the coefficients L1 x1
0.21
L2 0.19
x2
0.01
0.16
x3
-0.31
-0.01
x4
-0.07
0.06
0.33
-0.35
Constant
Predictor physical characteristics
Icelandic Low pressure anomaly in January Longitude anomaly of the Asian (Siberian) anticyclone in October Icelandic Low latitude anomaly in November Icelandic Low longitude anomaly in November
From the general form of the linear discriminant function (LDF).
366
S. V. Morozova et al.
Displayed equations are centered and set on a separate line. L = b0 + b1 x1 + b2 x2 + . . . + bn xn ,
(1)
where b0 is an absolute term of an equation; bn are coefficients of linear discriminant function; x n are predictors. move on to the standardized equations: L1 = 0.33 + 0.211 + 0.012 − 0.313 − 0.074
(2)
L2 = −0.35 + 0.191 + 0.162 − 0.013 + 0.064
(3)
According to the Eq. (1), the intensity of the Icelandic minimum in January and its displacement along the meridian in November are the most significant for the forecast. According to the Eq. (2), the intensity of the Icelandic Low in January and the displacement of the winter Asian anticyclone along the latitude circle in October also have the greatest influence on the predictant. The prognostic equations were derived from data on the state of the AAC from 1971 to 2010 years. This time interval constituted a dependent sample. Independent tests were carried out on materials from 2011 – 2018 years. Predictive equations are compiled on the material of 1971 - 2010. LDF values for 2011 - 2018 are calculated according to the obtained equations according to the state of the atmosphere action centers. The figure shows a graph for forecasting the characteristics of the spring transition date of the average daily air temperature through 0 ºC.
Fig. 1. Predictive chart for determining the type of date of the transition of the average daily , - normal transition date, temperature through 0 ºC in spring : - early transition date late transition date.
To determine the quality of the proposed method, it is necessary to evaluate the feasibility of this forecast method. This type of long-term forecasting belongs to the
Long-Term Forecast of Seasonal Hydrometeorological Phenomena
367
category of multiphase forecasts. Methods for estimating multiphase (>2) forecasts, in contrast to two-phase ones, are not sufficiently developed. Some methodological developments can be read in [13, 19]. Below is a matrix for calculating the justification of a three-phase forecast (Table 3). This matrix shows the results of LDF forecast calculations. The numerator shows the number of correct and incorrect forecasts for the dependent material. The denominator of the fraction shows the results of the model for the entire available series (1971–2018). Table 3. The matrix of the conjugacy of predictive and actual states of the predictant. Actually observed Fi
m
Predicted Pi
j=1 nj
Early P1
Normal P2
Late P3
Early F1
12/12
-/1
-/-
12/13
Normal F2
-/2
12/13
1/1
13/16
Late F3 n i=1 ni
2/3
1/2
4/5
7/10
14/17
13/16
5/6
32/39
The contingency matrix (Table 3) makes it easy to determine the proportion of correct predictions and differentially consider unjustified cases - how many forecasts of early transition dates fell into late ones, how many late transitions fell into normal, etc. For example, out of five unjustified forecasts of early transition dates, two fell into the normal region and three into the region of late ones. The indicator P, which shows the share of justified forecasts to their total number is used as an approximate measure of the quality of forecasts of weather phenomena. The share of justified forecasts was 87.5% for the dependent sample and 77%, taking into account independent tests. The values of the indicator turned out to be 0.78 and 0.54, respectively. Using the conjugacy matrix, one can determine the sensitivity of the model to a rare event (λ* = q11 / p01 , where q11 is the share of the justified forecasts of the rare event; p01 is the share of all forecasts of the rare event). As can be seen from Table 3, the rarest occurrence is a late transition date. The value of any predictive model lies in the prediction of rare events. The estimation of the sensitivity of the model to a rare event (λ*) was 0.54 for the dependent series of years and 0.50 for the entire studied material. The “grabbing” by the model of half of the rare phenomena can be considered as very successful. We calculate the rank measure of communication according to Goodman and Kruskal (γ). We point out that γ shows the ratio of correct and incorrect forecasts (analogous to indicator ρ) [12]: δ
γ =
S −D S +D
(4)
where S is the total number of observation pairs for which either i1 > i2 and j1 > j2 , or, conversely, i1 < i2 and j1 < j2 , i.e. when the ranks of the pairs of measurements match;
368
S. V. Morozova et al.
D is the total number of observation pairs for which either i1 > i2 and j1 < j2 , or i1 < i2 and j1 > j2 , i.e. when the ranks of the measurement pairs do not match. In fractions of a unit, the value of this indicator for dependent tests was 0.09, taking into account independent ones - 0.21. Note that some deterioration in the results of forecasting with the use of materials from an independent sample is typical for physicalstatistical methods [12]. to evaluate the effectiveness of prognostic development, a comparison of the methodological forecast with the climatic one is always carried out. For this, a measure of mastery is calculated - QS. QS = Q − Qcl , QS = Q / Qcl , where Q is the correctness of methodological forecast; Qcl is the correctness of climatic forecast. We point out that in the climate forecast, all transition dates are considered normal. That is, the onset of meteorological spring corresponds to the climatic norm. The correctness of both methodological and climatic forecasts is taken over the entire available series of years. According to the fact, QS = 36%, and the preference for methodological forecast over the climate one is 1.85.
6 Conclusions 1. With the help of non-parametric discriminant analysis, three groups of phenomena were separated - earlier onset of meteorological spring, late onset of meteorological spring, and onset of meteorological spring in normal (average) terms. 2. The use of a three-phase discriminant model contributes to the expansion of the possibilities of using physical and statistical methods for long-term weather forecasting. 3. The evaluation of the validity of long-term forecasts of the timing of the onset of meteorological spring showed good results. This allows us to consider the proposed method as very promising. 4. The obtained forecasting developments can serve as clarifying elements for seasonal weather forecasts 5. An indication of the need for further methodological developments in assessing three-phase forecasts can be considered as an independent conclusion.
References 1. Atlas saratovskoy oblasti (Atlas of the Saratov region), p. 14, Moscow (1978) 2. Baidal, M.H., Neushkin, A.I.: Macrocirculation method and drought prognosis in the main agricultural regions of the country. Trudy VNIIGMI-MTSD, 59, 140 (1979). (In Russ) 3. Wilfand, R.M., et al.: Compilation of synoptic-statistical and hydrodynamic forecasts of air temperature per month. Meteorol. Hydrol. (2017). (In Russ)
Long-Term Forecast of Seasonal Hydrometeorological Phenomena
369
4. Wilfand, R.M., Tishchenko, V.A., Khan, V.M. Statistical prediction of the air temperature within the month using the output data of hydrodynamic models; Meteorol. Hydrol. 3, 517 (2007). (In Russ) 5. Kiktev, D.B., Tolstykh, M.A., Zaripov, R.B., et al.: The release of detailed meteorological forecasts within the framework of the North-Eurasian Climate Center (CEACC). Trudy Gidrometeorol. Nauchn. Tsentra, 366, 14–28 (2017). (In Russ) 6. Kryzhov, V.: Connection of the average monthly, seasonal and annual air temperatures in the North of Russia with zonal circulation indices in winter. Meteorol. Hydrol. 2, 15–28 (2003). (In Russ) 7. Kryzhov, V.N.: Regional correction of global seasonal forecasts of the Russian hydrometeorological center for Northern Europe. Meteorol. Hydrol. 5, 5–14 (2012). (In Russ) 8. Morozova, S.V.: Complex study of the behavior of the centers of action of the atmosphere of the Atlantic-Eurasian sector of the hemisphere. Uchonyye apiski RGGMU, Saint Petersburg 21, 53–56 (2011). (In Russ.) 9. Neushkin, A.I., et al.: Monitoring obshchey tsirkulyatsii atmosfery. Severnoye polushariye (Monitoring of the general circulation of the atmosphere. North hemisphere), Obninsk, 200 (2013) 10. Rukovodstvo po agrometeorologicheskim prognozam (Guidance on agrometeorological forecasts. vol. I. Cereals), Leningrad, 309 (1984) 11. Sadokov, V.P., Kozeltseva, V.F., Kuznetsova, N.N. Determination of the dates of a stable transition of the mean daily air temperature through 0, +5 °C, their forecast and estimation. Tr. Hydrometeorol. Nauchn. Tsentra 348, 144–152 (2012). (In Russ) 12. Ugryumov A.I.: Dolgosrochnyye prognozy pogody (Long-term weather forecasts), St. Petersburg, 84 (2006) 13. Khandozhko, L.T.: Ekonomicheskaya meteorologiya (Economic meteorology), St. Petersburg, 490 (2005) 14. Kryjov, V.N.: Searching for circulation patterns affecting Northern Europe annual temperature. Atmos. Sci. Lett. 5(1), 23–24 (2004) 15. Kryjov, V.N., Kang, H.-W., Nohara, D., et al.: Assessment of the climate forecasts produced by individual models and MME methods APCC Technical report 1(1), 534 (2006) 16. Randall, D., Curry, J., et al.: Status of and outlook for large-scale modelling of atmosphereice-ocean interactions in the Arctic. BAMS 79, 197–219 (1998) 17. Yun, W.T., Stefanova, L., Krishnamurti, T.N.: Improvement of the multimodel superensemble technique for seasonal forecasts. J. Clim. 16, 3834–3840 (2003) 18. Wallace, J.M., Gutzler, D.S.: Teleconnections in the geopotential height field during the Northern hemisphere winter. Mon. Wea. Rev. 109, 784–812 (1981) 19. Wilks, D.S.: Statistical methods in the atmospheric sciences, 467 p. Moscow (1995) 20. Data on average daily air temperatures. http://meteo.ru/index.html. Accessed 14 Jan 2022
Interaction of Circulation Structures in the Northern Hemisphere S. V. Morozova(B) , E. A. Polyanskaya, and M. A. Alimpieva Saratov State University, Saratov, Russia [email protected]
Abstract. This article examines the influence of the seasonal center of atmospheric action (the winter Asian anticyclone) on the dynamics of adjacent circulating oscillatory structures - the North Atlantic Ocean and North Pacific Ocean ones. To assess the impact of the winter Asian anticyclone on the baric-circulation structures of the North Atlantic Ocean and the North Pacific Ocean, a statistical technique was used - analysis of variance. The influence of the Asian winter anticyclone on pressure fluctuations in the baric centers of the North Atlantic has been discovered. The degree of influence is estimated at 83%. The reverse effect of the intensity of the centers of action of the North Atlantic atmosphere on the change in the thickness of the winter Asian anticyclone was revealed. The Asian winter anticyclone affects the state of the oscillation structure of the North Pacific Ocean. This impact is estimated at 23%. Changes in pressure in the center of the Aleutian cyclone and the Honolulu anticyclone depend on the thickness of the winter Asian anticyclone. This influence is estimated at 14%. Fisher’s test was used to assess statistical significance. With the strengthening of the Siberian maximum, the Icelandic and Aleutian depressions deepen. The correlation coefficients were −0.53 and −0.37, respectively. In addition, it is noted that the intensity of the winter Asian anticyclone during the second wave of global warming was slightly higher than during the stabilization period. Keywords: Atmospheric action centers · The winter Asian anticyclone · Statistical significance
1 Introduction Sustainable socio-economic development of regions is highly dependent on the state of the environment. The most important characteristic of the natural environment is climatic conditions. All over the globe, including the Asian region, quite strong changes in the climate regime have been recorded. According to the IPCC [1], the Second Assessment Report [2], the near-surface air temperature increases, as well as the average depth of seasonal thawing (by 1–2 cm). At the same time, a strong intra-annual variability of air temperature and atmospheric precipitation was observed in Western Siberia and Yakutia. Atmospheric circulation plays the main role in the variability of the weather and climatic regime. The weather-determining baric formation in the cold season in the © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 E. Isaeva and Á. Rocha (Eds.): Perm Forum 2022, LNNS 622, pp. 370–377, 2023. https://doi.org/10.1007/978-3-031-28086-3_30
Interaction of Circulation Structures in the Northern Hemisphere
371
northeastern part of Asia is the winter Asian anticyclone (Siberian maximum (SM) of the pressure) - the seasonal atmospheric action center (AAC). The role of this baric formation is leading not only in the cold part of the year (October–March), but also in two months of the warm half of the year - in April and September. During these months, its formation and destruction occur, respectively. As follows from the above, the study of the state of this circulation object against the background of climatic changes is of great interest. It should be noted that any circulating object affects the state of the adjacent circulating structures. At the same time, the object itself is affected by the circulation structures adjacent to it. In this regard, the purpose of this publication is formulated as follows. To study the state of the Siberian Maximum in different periods of climatic variability, as well as to assess the degree of influence of the Siberian maximum on the functioning of the circulation oscillatory systems adjacent to it - the North Atlantic Ocean and North Pacific Ocean. We point out that the classical information about these circulation systems is presented [3, 4].
2 Objects, Data and Methods The object of the study ware Azores maximum, Icelandic minimum and the winter Asian anticyclone (Siberian maximum). A huge number of works have been devoted to the study of this structural element of the atmospheric general circulation (AGC). The earliest of these works are researches of V.L. Arkhangelsky. The author [5] established that the most significant factors for the formation and functioning of this action center are: 1) northwestern, northern and northeastern incursions of cold arctic air; 2) the impact of the spurs of the subtropical (Azores) maximum; 3) the removal of sea air masses in the middle and upper troposphere from the Far Eastern seas. In addition, the local orography features of Eastern Siberia and the TibetanHimalayan mountain system play a significant role in the formation of the winter Asian anticyclone. Two permanent centers of atmospheric action - the Icelandic cyclone and the Azores anticyclone. They are considered as the North Atlantic Ocean oscillatory structure. The Pacific Oscillation System includes the Aleutian cyclone and the Honolulu High. Data on the state of these action centers for 2010 are taken from the Reference monograph [6]. Information about the state of the centers of action of the atmosphere (CAA) from 2011 to 2018 was taken from average monthly maps regularly compiled at the Hydrometeorological Center of the Russian Federation (https://meteoinfo.ru/pogoda). Standard statistical techniques (calculation of average statistical characteristics, as well as correlation analysis) were used as research methods [7]. To assess the degree of influence of one quantity on another, the method of variance analysis was used. The essence of this analysis is to compare the “factorial” variance generated by the influence of a factor and the “residual” variance due to other reasons.
372
S. V. Morozova et al.
If the difference between these variances is significant, then the factor has a significant impact on the investigated value [7, 8]. The main technique of variance analysis is the calculation of the total σx, factorial σf and residual variances σz . In practice, sometimes, instead of variances, the sums of squares of deviations are calculated: Sx- total sum of squares, Sf- factorial sum of squares, Sz- residual sum of squares [8, 9]. The peculiarities of using the variance analysis in order to assess the mutual influence of circulating objects are detailed in [10].
3 Results and Discussion The real climatic changes, against the background of which the dynamics of the winter Asian anticyclone was studied, were considered during the natural climatic periods of the state of the Earth’s climate system (ECS) - the period of stabilization and during the second wave of global warming. The physical and statistical justification for the identification of these periods is given in [11]. Table 1 contains the characteristics winter Asian anticyclone in two natural climatic periods of the state of the ECS - the period of stabilization (1949–1974) and the second wave of global warming (1975–2018). Table 1. Characteristics of the Asian winter anticyclone in various natural climatic periods of the state of the ECS. Natural climatic periods of the state of the ECS
Intensity
Center position
p, gPa
ϕ° N.l
λ° E.l
1) stabilization
1027
50
90
2) second wave of global warming
1030
51
90
According to Table 1, the position of the center of the winter Asian anticyclone is rather stable and does not differ in different periods of climatic variability. However, the Siberian anticyclone significantly changes its intensity from one natural climatic period to another. During the second wave of global warming, its intensity increased, and quite significantly. The noted intensification of the winter Asian anticyclone can be explained by a decrease in the area occupied by it. Publications [10, 11] indicate a significant decrease in the impact of the western periphery of the winter Asian anticyclone on the Lower Volga region during the second wave of global warming compared to the stabilization period. Let us consider whether the winter Asian anticyclone influences the state of the adjacent circulation structures - atmospheric action centers of the North Atlantic Ocean and the North Pacific Ocean. Figure 1 emphasizes the features of pressure changes in the centers of the Icelandic cyclone, the Azorean anticyclone and the Siberian maximum pressure. The peculiarity lies in the following. If the pressure in the center of the Siberian maximum increases,
Interaction of Circulation Structures in the Northern Hemisphere
373
then the consistency of the pressure course in the Icelandic cyclone and the Azores anticyclone is violated. At a time when the Siberian maximum does not exist, in the Icelandic cyclone and the Azores anticyclone, the consistency of the pressure course in their centers is restored.
Fig. 1. Average seasonal pressure changes in the centers of the winter Asian anticyclone, Azores maximum and Icelandic minimum (1949–2017).
According Fig. 1, the change in the intensity of the considered atmospheric action centers during the year occurs in a very peculiar way. The following feature should be noted. From May to August, when the winter Asian anticyclone no longer exists (or does not yet exist), pressure changes in the two centers of atmospheric action of the North Atlantic (the Icelandic minimum and the Azores maximum) occur in concert: the course of pressure changes in these two centers is parallel. As the thickness of the Siberian maximum pressure increases, the parallel course of pressure in the centers of the Icelandic cyclone and the Asian anticyclone will be disturbed. This phenomenon is most clearly expressed in the winter months - from December to February. The maximum difference is observed in January and is about 30 hPa. With the destruction of the Siberian high, the parallel course of pressure in the Icelandic cyclone and the Azores anticyclone is restored. Therefore, it can be noted that the Siberian pressure maximum disrupts the parallel (coordinated) course of pressure in the centers of action of the North Atlantic Ocean. Similar results were obtained for the North Pacific oscillatory system (figure is not shown). However, the discrepancy between the pressure change in the centers of the Aleutian cyclone and the Honolulu anticyclone under the influence of the Siberian maximum is much less pronounced. However, the discrepancy between the pressure change in the centers of the Aleutian cyclone and the Honolulu anticyclone under the influence of the Siberian maximum is much less pronounced. Therefore, we note that the Pacific Ocean oscillation system is less affected by the Siberian maximum than the North Atlantic Ocean circulation system.
374
S. V. Morozova et al.
Since the Siberian maximum has a much stronger effect on the oscillatory system Icelandic cyclone - Azores anticyclone, it is this effect that should be assessed. For This Purpose, we use correlation and variance analysis. Let us calculate the correlation coefficients between the three characteristics (longitude, latitude and pressure in the center) of the indicated atmospheric action centers. Note that the correlation coefficients were calculated for the average annual values and the central month of the winter season. The calculation results are shown in Tables 2 and 3, respectively. Table 2. Correlation coefficients between the average annual characteristics of the Icelandic minimum (IcM), the Azores maximum (AzM) and the winter Asian anticyclone (SM). (Significant correlation coefficients are highlighted in bold) Centers actions
Latitude IcM
Longitude AzM
SM
IcM
Center pressure
AzM
SM
IcM
AzM
SM
IcM
–
0,26
−0,03
–
0,07
−0,05
–
−0,17
−0,53
AzM
0,26
–
0,02
0,07
–
0,16
−0,17
–
0,22
0,02
–
0,16
–
−0,53
0,22
–
SM
−0,03
−0,05
According to Table 2, for the average annual values, a statistically significant correlation was found between the latitude of the location of the atmospheric action centers of the North Atlantic. As the latitude of the center of the Icelandic minimum increases, the latitude of the center of the Azores maximum increases. No significant correlations have been established between the position of the AAC in the North Atlantic Ocean (Icelandic minimum - Azores maximum) and the position of the center of the winter Asian anticyclone. The correlation coefficient (negative relationship) between the pressure in the center of the Siberian maximum and the Icelandic minimum showed statistical significance. With an increase in the strength of the winter Asian anticyclone, the Icelandic cyclone deepens (Kcor = −0.53). Table 3 shows the calculations of similar dependencies between the state of Center of the North Atlantic Ocean and the Siberian maximum, but only for the central month of the winter season - January. In this month the winter Asian anticyclone reaches its maximum power, and the Icelandic cyclone deepens as much as possible. For January (Table 3) statistically significant relationships were found between the latitude of the Icelandic minimum and the Azores maximum (Kcor = 0.25). The centers of this oscillatory system are both shifted either to the south or to the north. A negative correlation (Kcor = −0.22) was marked between the latitude of the location of the centers of the two considered anticyclones AAC: if the Azores anticyclone moves to the north, then the winter Asian, on the contrary, to the south. Negative correlation coefficients between the intensity of the considered centers of action confirm the revealed regularities of pressure changes in baric centers (Fig. 1).
Interaction of Circulation Structures in the Northern Hemisphere
375
Table 3. Correlation coefficients between the monthly average characteristics of the Icelandic minimum (IcM), Azores maximum (AzM) and the winter Asian anticyclone (SM) (January) (Significant correlation coefficients are highlighted in bold) Centers actions Latitude
Longitude
IcM
AzM
SM
IcM
AzM
IcM
–
0,25
−0,14 –
AzM
0,25
–
−0,22 −0,02 –
SM
−0,14 −0,22 –
Center pressure SM
IcM
AzM
−0,02 −0,02 –
−0,02 0,21
SM
−0,40 −0,47
0,21
−0,40 –
0,19
–
−0,47 0,19
–
The small correlation coefficients revealed for the remaining cases (Tables 2 and 3) indicate only the absence of a linear relationship. It is obvious that the structural elements of the AGC are in a complex nonlinear interaction with each other (Fig. 1). Let us estimate the influence of the winter Asian anticyclone on the changes in the intensity oscillatory system of the North Atlantic Ocean (Icelandic cyclone - Azores anticyclone). The intensity of the North Atlantic Ocean oscillation system was determined as the difference in the pressure values at their centers. The values of the characteristics of the intensity of the studied centers of action in January were taken for the analysis. Recall that it is in January that the Siberian maximum pressure is gaining maximum power. Statistical estimates of the influence of the Siberian pressure maximum on the oscillatory system of the centers of action atmosphere of the North Atlantic Ocean are given in Table 4. In the table mi is the absolute frequency. Table 4. Dependence of the intensity of the North Atlantic AAC on the intensity of the winter Asian anticyclone (January). Statistical characteristics
Intensity gradations of the Siberian maximum
mi
6
6
17
10
4
8
6
1
Sf
502,83
509,33
2152,94
435,61
27,0
493,50
506,01
0,00
1030,0–1033,9
1033,9–1037,9
1037,9–1041,8
1041,8–1045, 8
1045,8–1049,7
1049,7–1053,6
1053,6–1057,8
1057,8–1061,5
Based on the data of the Table 4, total, factorial and residual variances and sums of squares were calculated. The total sum of squares (Sx) estimated as 5347.724. The factorial sum of squares (Sf) estimated as 4627.208. The residual sum of squares is 720.516, respectively. The ratio of the factorial and total sum of squares of deviations made it possible to evaluate the influence of the Siberian maximum on the studied value (pressure difference between the Icelandic cyclone and the Azores anticyclone). The Sf /Sx ratio estimated as 0.86527; therefore, the impact of the Siberian maximum on the change in the pressure variation in the AAC of the North Atlantic Ocean is 87%. In addition to the sum of squares, the variances were calculated: σx = 79.8; σf = 69.06; and σz = 10.7. Using the values of the factorial and residual variances, we calculate their ratio (σ2f/σ2z = 6.45). Comparison of the obtained value with the Fisher criterion (Fcr
376
S. V. Morozova et al.
= 4.18 at a 5% significance level) made it possible to reject the null hypothesis about the equality of factorial and residual variances (Ffact > Fcrit). Therefore, the impact (the power intensity of the winter Asian anticyclone) on the studied value (pressure in the centers of the oscillation systems of the North Atlantic Ocean) is significant. The impact was similarly considered of the North Atlantic Ocean system on the pressure fluctuation of the winter Asian anticyclone was carried out in a similar way. Calculations of the total, factorial and residual sums of squares and variances did not show the statistical estimates of the influence of the North Atlantic Ocean baric-systemoscillation on the pressure in the center of the winter Asian anticyclone. The impact of the AAC of the North Atlantic Ocean on the power of the winter Asian anticyclone was only 23%. The mutual influence and interdependence of the winter Asian anticyclone and the atmospheric action centers of the northern part of the Pacific Ocean are investigated. Correlation analysis made it possible to conclude that the statistical estimates of changes was established only between the strength of the Siberian maximum and the Aleutian cyclone. A pressure drop in the Aleutian cyclone corresponds to an increase in the Siberian maximum (Kcor = −0.37). The use of variance analysis in order to study the impact of the Siberian pressure Maximum on the intensity of the baric-oscillatory system of the North Pacific Ocean allowed one to conclude that the pressure change in the Aleutian minimum and Hawaiian maximum by 67% is determined by the intensity of the winter Asian anticyclone. Comparison of the factor variance (σf) and residual variance (σz) made it possible to conclude that the impact of the winter Asian anticyclone on the Aleutian cyclone is statistically significant of the impact the winter Asian anticyclone on the North Pacific oscillatory system (Ffact = 4.91 versus Fcrit = 4.18 at a 5% significance level). The inverse impact of the baric-oscillation system North Pacific Ocean on the intensity of the winter Asian anticyclone was estimated at 14% and did not show statistical significance.
4 Conclusions The conclusions obtained in the work are presented in the conclusion: 1. A change in the strength of the winter Asian anticyclone in various natural climatic periods of the state of the earth’s climate system has been revealed. During the period of stabilization, the pressure in the center of the Asian winter anticyclone was lower by 3 hPa than during the second wave of global warming. Thus, in the second climatic period under study (the second wave of global warming), the Siberian pressure maximum increased its power. 2. The impact of the Siberian pressure Maximum on the state of the baric-oscillatory systems of the North Pacific Ocean and the North Atlantic Ocean is revealed. With the appearance of the Siberian pressure maximum, the parallel course of pressure in the conjugated baric centers of these two oscillatory systems is disturbed. 3. Stable, statistically significant correlations between the intensity of the Siberian maximum and cyclonic AAC are revealed. The strengthening of the Icelandic and Aleutian cyclones corresponds totheincreasein the Siberian maximum (K cor = − 0.53 and −0.37, respectively).
Interaction of Circulation Structures in the Northern Hemisphere
377
4. It was revealed that the state of the winter Asian anticyclone determines the variability of the pressure difference in the centers of the North Atlantic atmospheric action center by 87% and of the North Pacific Ocean CCA by 67%. 5. No statistically significant impact of the baric-oscillatory systems of the North Atlantic Ocean and the North Pacific Ocean on the intensity of the winter Asian anticyclone was found.
Acknowledgements. Work is performed within the Program Fundamental Research Institute Geography RAS, project no. 0148-2019-0009. The study was made as part of the IBSS research (registration number: AAAA-A19-119061190081-9).
References 1. Intergovernmental Panel on Climate Change, Climate Change 2013: The Physical Science Basis, 1535 p. Cambridge University Press, Cambridge (2013) 2. Second Assessment Report of Roshydromet on Climate Change and its Consequences in the Territory of the Russian Federation General summary, 60 p. ZAO “Gruppa more” Press (2014) 3. Smirnov, N.P., Vorobiev, V.N., Kachanov, S.Yu.: North Atlantic Oscillation and Climate, 119 p., Russian Hydrometeorological University Press (1998) 4. Smirnov, N.P., Vorobiev, V.N.: North Pacific Oscillation and Climate Dynamics in the North Pacific Ocean. Russian Hydrometeorological University Press, Saint Petersburg (2022) 5. Arkhangel’skiy, V.L.: Some features of the atmospheric processes of Transbaikalia Region Notes of the Trans-Baikal. Department of the Geographical Society of the USSR, vol. 24, pp. 21–38 (1964) 6. Neushkin, A.I., et al.: Monitoring obshchey tsirkulyatsii atmosfery. Severnoye polushariye, 200 p. Obninsk VNIGMIMTSD Press (2013) 7. Gmurman, V.E.: Probability Theory and Mathematical Statistics. Higher School Press, Moscow (2003) 8. Kolemajev, V.A., Staroverov, O.V., Turundajevskyi, V.B.: Theory of Probability and Mathematical Statistics. Higher School Press, Moscow (1991) 9. Sikan, A.V.: Methods for Statistical Processing of Hydrometeorological Information. Russian Hydrometeorological University Press, Saint Petersburg (2007) 10. Morozova, S.V., Polyanskaya, E.A., Kononova, N.K., Molchanova, N.P., Letuchiy, A.V.: A study of the mutual influence of global circulation objects by a method of dispersive analysis. In: IOP Conference Series: Earth and Environmental. Science, 386 p. (2019). https://doi.org/ 10.1088/1755-1315/386/1/012011 11. Morozova, S.V., Polyanskaya, E.A., Ivanova, G.F., Levitskaya, N.G., Denisov, K.E., Molchanova, N.P.: Variability of the circulation processes in the Lower Volga Region on the background of global climate trends. In: IOP Conference Series: Earth and Environmental Science, 107 p. (2019). https://doi.org/10.1117/12.2603727
Resource Potential of Technogenic-Mineral Formations of Santo Tomas II Gold-Copper-Porphyry Deposit (Philippines) Vitaliy Goldyrev(B) , Vladimir Naumov, and Ulyana Kovyrzina Perm State University, Perm, Russia [email protected]
Abstract. In the coming years, Padkal mine, which is at the moment working on Santo Tomas II gold and copper deposits, will run out of economically viable reserves. The specifics of the mining area are that the technogenic mineral formations (TMF) or mining dumps are stored on the land which does not belong to the mine. According to legal norms the dumps belong to the owner of the land on which they are located. The purpose of this study is to allocate main types of TMF deposits of Santo Tomas II which occur in solid and liquid mineral form; evaluate the possibility of its commercial exploitation, based on mining engineering and recovery of precious and non-ferrous metals in liquid form; thus, increasing the quality of water and reducing the environmental pressure on the district. Based on the analysis of the geological peculiarities of the deposits, beneficiation method and the properties of the ores of the Santo Tomas II Deposit, we can identify two genetic types of TMF: mining and processing production. We determined and calculated useful components contained in the solid phase. The conditions of concentration of gold and other metals in them were also estimated. Revaluation of mineral resources while taking into account the solid and liquid parts of the tailings of Santo Tomas II deposits, as well as development of technological solutions to involve unaccounted resources in economic turnover will bring a significant economic and environmental effect. Keywords: Santo Tomas II deposit · mineral processing · technogenic-mineral formations · technogenesis · gold-bearing ores · porphyry deposits · Pacific ore belt · Philippines
1 Introduction The Philippines company Philex is engaged in mining and energy business. It was established in 1955 and registered in Philippines stock market in 1956. It has several affiliated companies that manage different mines in the country. One of the company’s assets is Padkal mine which is located in Benguet, Luzon Island. This province is one of the largest gold producers in the country. There are other gold mining companies in the region such as Lepanto Consolidated Mining Corporation © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 E. Isaeva and Á. Rocha (Eds.): Perm Forum 2022, LNNS 622, pp. 378–390, 2023. https://doi.org/10.1007/978-3-031-28086-3_31
Resource Potential of Technogenic-Mineral Formations
379
or Benguet Corporation. Mining companies account for about 98% of the province’s export earnings. Padkal mine has been developing Santo Tomas II gold-copper-porphyry deposits, located about 1300 m above the sea level. From 1958 to 2016, the mine produced about 1 million tons of copper and 170 tons of gold in the form of copper concentrate. A large amount of copper concentrate is shipped to Japan for smelting by Pan Pacific Copper Company Limited, along with Nippon Mining Co. LTD. and Mitsui Mining and Melting Co. LTD (www.philexmining.com). The main problem of the mine is a limited mineral resource base (Table 1). One of the ways to solve this problem is the processing of technogenic mineral resources allowing using substances that have already been prepared (crushed and frayed) and accumulated in dumps. Table 1. Mineral reserves base in Padkal mine on 31.12.2019 according to www.philexmining. com Mineral reserve and mineral resource (JORC)
Ore
Gold
Volume, M tons
Content, grams/ton
Proved
23.95
0.27
Measured and Indicated
83.8
0.37
Copper Amount, tons
Content, %
Volume, tons
6.5
0.18
430.2
31.0
0.20
167.6
The aim of the work is to identify the main types of TMF, found during the development of the Santo Tomas II deposit in solid and hydromineral form; to assess the possibility of industrial development of TMF based on available technologies for mining and extracting the solid phase of precious and non-ferrous metals and the mineral part of TMF; to purify process waters by extracting metals that were dissolved in them; to improve water quality and reduce the environmental burden on the territory of the district. Based on our experience, we know that in order to achieve this goal, we need to take into account geological conditions of the deposit formation; forms of useful components; mining method and ore beneficiation method; types, composition and conditions of forming tailings; composition history of the new geological environment [1].
2 Geological Features 2.1 Geological and Structural Position The Philippine archipelago is located on the Western border of the Pacific Ocean, along the sinking Philippine plate. In the Manila trench on the West and Philippine trench on the East we can observe subduction. As a result of magmatism associated with subduction in the period from the Pliocene to the Pleistocene occurred penetration of volcanic and
380
V. Goldyrev et al.
Intrusive bodies that contain porphyry copper-gold and gold veins (epithermal) deposits [2]. Santo Tomas II deposits are located in the southern part of Baguio ore region (BOR), which belongs to the Central Cordilleras of Luzon Island (Fig. 1). The Baguio area is famous for its mineral resources: epithermal gold (Au) Antamok and Akupan [3– 7], and porphyry copper (Cu) deposits including in Santo Tomas II, Black Mountain, Santo Nino, Lobo, and Boneng [8]. In addition, the Au-containing skarn deposits of the Thanksgiving mine [9] are known to be located in the area of the Black Mountain Deposit; the highly sulfidized epithermal (enargite/luconite) Lepanto Deposit [10–13] and the deeper gold-rich copper-porphyry Lepanto(DUV) Deposit [14–16], located in Northern Baguio.
Fig. 1. Geological map (left) of the Padkal mine (Santo Tomas II) and the adjacent promising porphyry copper Deposit (blue dot, corresponds to current exploration activities) (according to [17]). The Santo Tomas II field is located in the Pugo and Zigzag formations.
The main tectonic structures within the BOR are associated with the Philippine fault zone (PFZ), which splits into several North-Northwest shifts. Locally, these faults connected several north-eastern tectonic fault systems, such as the Santa Fe fault zone (SFFZ) and the Albian fault. These systems were favourable structures for the location of porphyry copper-gold ore formation and the formation of deposits such as Santo Tomas II and adjacent sites [18]. SFFZ crosses Santo Tomas II field at an altitude of 800 m and below. This dislocation of North-easterly direction and South-easterly fall, consisting of destroyed rock blocks
Resource Potential of Technogenic-Mineral Formations
381
and crushing zones, is encountered both in mine workings and during exploration drilling. Its estimated capacity is about 50 m. The fault is more recent in time relative to the Santo Tomas II mineralization. However, the fault itself did not cause a significant truncation of porphyry copper-gold deposit to a depth [2]. 2.2 Material Composition of Ores Santo Tomas II deposits are located in a multiphase diorite stock that has penetrated “meta-andesites” (Fig. 2) [2]. Main copper minerals are chalcopyrite and bornite, which occur in the form of cleavage, scattering, and inclusions in quartz veins. The mineralized zone halo extends up to 100 m from the intrusion contacts into the host rocks. Ore-bearing Intrusive rocks have a similar chemical composition (Table 2). Table 2. Chemical composition of ore bodies of the Santo Tomas II Deposit [19] Component SiO2 TiO2
Part, % 60,49
Component
Part, g/t
Ba
341,36
0,54
Co
12,12
Al2 O3
17,72
Cr
13,01
Fe2 O3
6,30
Ga
18,13
MnO
0,13
Nb
3,28
MgO
2,38
Ni
6,23
CaO
7,23
Rb
7,79
Na2 O
4,46
Sr
671,90
K2 O
0,61
V
134,33
P2 O5
0,16
Y
19,56
Total
100,02
Zr
96,32
Ce
27,32
La
11,02
Pb
3,46
Sc
14,25
Zn
43,68
Th
2,36
Gold mineralization is confined to the crushing zones within the SFFZ Gold and is associated with the third stage of the hydrothermal process. There is an increase in its content in these veins. The density of gold-bearing veined mineralization of the third stage is usually weak or moderate. It is about 5% of the rock volume per linear meter of core. The veins usually have a thickness of 3 to 5 cm. In the veining zones, the gold content ranges from 0.22 to 80.4 g/t. Similar rich with gold veins have not yet
382
V. Goldyrev et al.
been discovered above the 500th horizon. The SFFZ appears to have formed a natural gap between the upper porphyry copper-gold mineralization in its hanging block and the gold-rich, copper-poor mineralization in the lying block. Gold in the deep-lying horizons is mainly associated with pyrite, and in Santo Tomas II Deposit itself, with chalcopyrite and bornite [2]. The subvertical orientation of gold-rich veins away from the SFFZ indicates its potential stability to depth. However, deeper drilling was not planned for economic reasons due to the low capacity of the veins and their deep location [2].
3 Technology of Ore Development and Processing Currently, the Padkal mine processes an average of 22 thousand tons of ore per day (about 8 million tons per year) with an average content of 0.21% Cu and 0.41 g/t Au. Mining is carried out at the horizons Number 908, 798 and 782 m above sea level (www.phi lexmining.com). According to local geologists, the discharge of processed water from TMF is 27,000 t/day. The field is being developed underground. The development uses the method of block cave method using low-profile loaders. The essence of the method is a controlled collapse of the rock under its own weight. The main advantages of this mining method are low cost and high output. This method was chosen at horizon 908 in 1996 and is still used today. The ore passed through the transmission load lifting is collected at horizon 840. The ore is then transported by 30-ton low-profile trucks and dumped, resulting in its subsequent collapse at horizon 773 (www.miningdataonline.com). Ore preparation is carried out in underground conditions. Two jaw crushers are used in the crushing department. Pieces of ore larger than 20 cm are re-fed to the crushers. Ore of a suitable size falls to the transport level at horizon 745, where it is transported by five belt conveyors. A conveyor system that is longer than 3 km transports the ore to the surface and unloads it into a hopper for subsequent abrasion (www.miningdataon line.com). Crushed ore is fed to the flotation processing technology, where mineral concentrates of copper, gold and silver sulphide minerals are obtained. After dewatering, the final product is obtained – copper concentrate with a moisture content of 10–11%, which is sent to copper smelters. In addition to the final product-flotation concentrates, numerous technological products (“tailings”) or technogenic mineral formations are formed during mine development (including beneficiation) (Fig. 2). We consider them as an invaluable mineral resource in solid form, which decomposes, entering the sludge storage, becoming a hydromineral resource of metals in dissolved liquid form.
4 Technogenic Mineral Formations Based on our previous work experience and in accordance with the technological scheme of ore beneficiation, we have identified several types of TMF that have different potential for further processing and development.
Resource Potential of Technogenic-Mineral Formations
383
Fig. 2. The location of Padkal Technogenic Mineral Formations (or tailings)
Tailings Dump Sediments. A waste product formed as a result of flotation beneficiation method of gold containing ore. It is almost identical in mineral and chemical characteristics to the source material. The ore however is crushed and worn away. The material composition of TMF should differ from primary ores in almost complete absence of sulfides, containing copper and precious metals, as well as a decreased content of minerals of reduced hardness (low hypergenic stability), “grinded” during abrasion and carried out by water in the form of a suspension. However, flotation of sulfides does not always ensure their complete recovery into the flotation concentrate. Attrition does not always result in complete release of the sulfide grains. Aggregates of sulfides with non-ore material, relatively large (undererased) particles, and free gold particles can enter the tailings and accumulate in the sludge storage. Based on our previous work, the sludge storage facilities formed during the development of gold-copper-molybdenum-porphyry deposits (Sorskoye, Khakassia, Russia) are characterized by the preservation of hypergenically stable minerals that are less susceptible to abrasion. Quartz, feldspar, and plagioclase are the predominant minerals in the light fraction. Heavy fraction minerals include magnetite, rutile, zircon, epidote, and pyrite, as well as their aggregates. There are also precious metals that are not extracted during flotation in free form.
384
V. Goldyrev et al.
Based on available materials (www.philexmining.com) the balance of distribution of gold and copper at the Padkal mine was calculated for the period from 2008 to 2019 (Tables 3 and 4). It is determined that, the gold content in the tail pulp (Table 4) varies from 0.06 to 0.14 g/t (the average content for the calculation period is 0.09 g/t). In future, when working out the gold-rich zone, the content should increase to 0.4 g/t. Over a period of 10 years of ore processing (according to open sources), the tailing dump received 9.5 tons of gold. This means that a technogenic gold deposit, similar to the amount of resources of the average gold deposit, was formed in the beneficiation tailings. According to other data, provided by the results of experimental work at TMF Padkal, it was found that fresh tailings contain 0.3% copper, 2 g of gold per ton and 9–12% of iron ore. Such results seem to be overstated. This may be due to an unsuccessful choice of the sampling point on the TMF area and does not correspond to the gold content data obtained from available sources. The owner of the territory where the tails are located has been attempting to extract gold from the tails. Beneficiation of current tailings is carried on an inclined direct-flow sluice 3 m long and 1 m wide. Concentrated heavy minerals are collected at the bottom of the sluice and stored in bags. This allows to recover only 5% of the volume of incoming tailings (1500 t/day). This is how a concentrate of heavy minerals containing gold is formed. Daily intake of gold is 40 g. The share of free gold accounts for 25%, and 75% of that is associated with the sulphides. The gold content is 0.027 g/t, which is in principle consistent with the available data. The content of copper in the tailings is 0.034 to 0.048% (the average content for the calculation period is 0.040%). During the 10 years of receiving TMF, about 40.4 thousand tons of copper were accumulated in the tailing dump, which corresponds to the reserve of 3 years of operation of the mine. It is worth noting that in the period of 1958–2020, the tailing dump received about 41 tons of gold and 200 thousand tons of copper. Part of technogenic mineral resources are located in conserved tailing (Fig. 2). Approximate volume of existing tailings ponds is no less than 55.6 million m3 and reserved - 7.5 million m3 . The data illustrating the volume of rock mass accumulated in the tailings storage facility is not consistent with the data presented in the results of experimental work, where the volume of rock mass is calculated to be 200 million tons. The majority of solid phase of technogenic and mineral resources will be concentrated in the discharge sites (Fig. 3), since the alluvial facies of the TMF have certain zoning of the mineral distribution. The heavy fraction does not move away from the alluvial site, while the light fraction is carried away from it. Hydromineral Resource. Processed water, that transports solid phase of the pulp to tailing dump, is an additional source of raw mineral materials. During the operation and beneficiation of ore, the concentration of dissolved metals of copper, iron and gold in water is increased. After the filtration process through the body of the tailing dump, the concentration of metals increases again several times over. The predominance of silicates in the composition of the tailing dump determines the transformation processes of a substance, the physical and chemical parameters of
Tailings Sludge
Amount of tailings:
Copper Concentrate
Year
8,1 0,26 2,1 100
Amount, M tons
Amount of Au, t
Percentage of Au, %
2019
Content of Au, g/t
Characteristics
8,1 0,06 0,5 23,0
Content of Au, t
Percentage of Au, %
77,0
Percentage of Au, %
Amount, M tons
1,5
Content of Au, t
Content of Au, g/t
56,0 53,1
Content, M tons
Content of Au, T ounces
Amount of useful product:
Processed Ore
Coming in:
Product
24,0
0,6
0,07
8,1
76,0
1,7
62,0
57,8
100
2,4
0,30
8,1
2018
19,0
0,6
0,07
8,6
81,0
2,4
84,6
64,7
100
3,3
0,38
8,7
2017
17,6
0,6
0,07
9,3
82,4
2,9
103,3
73,1
100
3,5
0,42
9,4
2016
16,8
0,7
0,07
9,1
83,2
3,0
107,9
70,0
100
4,0
0,44
9,2
2015
22,0
0,9
0,10
9,4
78,0
2,9
105,0
70,1
100
4,2
0,44
9,5
2014
20,2
0,8
0,10
7,6
79,8
2,8
99,8
60,6
100
3,9
0,50
7,7
2013
21,0
0,6
0,11
5,5
79,0
2,0
71,3
40,6
100
2,8
0,51
5,5
2012
18,7
1,0
0,11
9,4
81,4
3,9
140,1
69,6
100
5,4
0,56
9,5
2011
19,7
1,0
0,11
9,3
80,3
3,8
134,0
65,3
100
5,2
0,55
9,4
2010
20,3
0,9
0,12
8,1
79,7
3,3
119,2
62,5
100
4,6
0,57
8,2
2009
21,3
1,2
0,14
8,8
78,7
4,1
145,0
77,9
100
5,7
0,64
8,9
2008
Table 3. Theoretical balance of gold distribution at the Carrion mine for the period 2008–2019 according to (www.philexmining.com)
20,1
9,5
0,09
101,4
79,9
34,3
1225,3
768,1
100
47,1
0,46
102,2
Total
Resource Potential of Technogenic-Mineral Formations 385
Tailings sludge
Amount of tailings:
Copper concentrate
Year
8,1
0,177
14,4
100
Amount, M tons
Content of Cu, T tons
Percentage of Cu, %
2019
Content of Cu, %
Characteristics
8,1
0,034
2,7
19,0
Content of Cu, T tons
Percentage of Cu, %
Percentage of Cu, %
Amount, M tons
11,6
81,0
Content of Cu, T tons
Content of Cu, %
56,0
25,7
Amount, T tons
Content Cu, T pound
Amount of useful product:
Processed ore
Coming in:
Product
22,0
3,2
0,040
8,1
78,0
12,0
26,6
57,8
100
14,7
0,181
8,1
2018
18,0
3,0
0,035
8,6
82,0
13,6
30,1
64,7
100
16,6
0,192
8,7
2017
17,9
3,4
0,037
9,3
82,1
15,7
35,0
73,1
100
19,3
0,206
9,4
2016
17,9
3,4
0,037
9,1
82,1
15,3
34,1
70,0
100
18,9
0,205
9,2
2015
20,0
4,0
0,043
9,4
80,0
15,9
35,4
70,1
100
20,1
0,212
9,5
2014
19,0
3,5
0,045
7,6
81,0
14,6
32,5
60,6
100
18,2
0,236
7,7
2013
18,5
2,3
0,042
5,5
81,5
10,0
22,3
40,6
100
12,3
0,224
5,5
2012
17,9
3,8
0,040
9,4
82,1
17,1
38,0
69,6
100
21,0
0,221
9,5
2011
17,8
3,5
0,038
9,3
82,2
16,0
35,6
65,3
100
19,7
0,210
9,4
2010
17,9
3,3
0,041
8,1
82,1
15,2
33,8
62,5
100
18,7
0,228
8,2
2009
18,3
4,2
0,048
8,8
81,7
18,5
41,2
77,9
100
22,9
0,257
8,9
2008
18,6
40,4
0,040
101,4
81,4
175,6
390,3
768,1
216,8
0,212
102,2
Total
Table 4. Theoretical balance of copper distribution at the Carrion mine for the period 2008–2019 according to (www.philexmining.com)
386 V. Goldyrev et al.
Resource Potential of Technogenic-Mineral Formations
387
which change slightly. In the process of sulphides decomposition, bornite transits into tenarditis, pyrite is replaced by hydrogoethite, quartz, muscovite, and kaolin are formed out of potassium feldspar.
Fig. 3. Indicative zones with increased gold concentrations in the tailings dump of Padkal mine
Obvious signs of changes in the sulphide part of the tailings represent the presence of newly formed phases, vertical and lateral zoning. Externally, zoning is expressed in the fact that in some places the upper part of the TMF consists of a fine-grained yellow jarosite-quartz, which overlaps a grey sulphide fine-grained mass. Newly formed crusts consisting of iron-sulphate crystalline-hydrate almost completely cover sulphide mass in hot. Secondary signs of sulphide mineralization are expressed as products of sulphide decomposition in the form of iron sulphate crystalline-hydrates (rozenite, smolnokite, zincmelanterite, coquimbite). These zones of hypergene changes and neoplasms are interesting for further study, since gold and other metals are released from goldcontaining sulphides and their aggregates at the location of iron sulphate crystallohydrates (Fig. 4). Gold particles serve as a substrate layer on which sulphates crystallize, forming a shell-layer 2.0–3.0 mm thick. Small particles of sulphides and other iron sulphates reside on gold particles. Metals can be won in the solid phase in form of micro-and nano-particles, as well as converted to ionic form or solution.
388
V. Goldyrev et al.
Fig. 4. Crystalline hydrate sulphate of iron (white coating) in the tailings of Padkal
5 Conclusion Analysis of the state of the mineral resource base of the Padkal mine allows us to conclude that economically justified reserves will run out in the coming years. At the same time, tailings ponds are a promising technological product for the extraction of gold, copper and other metals, on the one hand, and the production of refined ore-free material of stable minerals, on the other. As a result of studying the material composition of ores, mining methods, technological schemes for processing and production of products at the porphyry deposit of Santo Tomas II, some types of tailings that contain a wide range of useful components were identified. The use of the substances from tailings of TMO Santo Tomas II Deposit can be used in various areas of industry and the national economy. A special set of studies should be conducted at the tailings land to justify the production of an additional range of liquid products in both solid and liquid form. Extraction of metals from the tailing dump, use of technogenic waters as hydromineral raw materials with associated extraction of dissolved metals, and management of sulphide decomposition processes will reduce the environmental burden on the territory of the deposits area. Revaluation of mineral resources considering the solid and liquid parts of the TMO of the Santo Tomas II field, development of technological solutions for involving unaccounted resources in economic turnover will bring significant economic and environmental effects.
Resource Potential of Technogenic-Mineral Formations
389
Additional income for the company will be provided by measures, such as those taken in Russia, within the framework of best available technologies to reduce emissions, reduce fees for the waste, income from the sale of the ore-free part of tailings and other useful components, as well as increase the extraction of gold and copper.
References 1. Naumov, V.A., Fioruchchi, A., Goldyrev, V.V., Bryukhov, V.N., Fetisov, V.V.: Scientific bases of management of geological processes in technogenic-mineral formations. Int. Sci. Res. J. 75, 89–92 (2018) 2. Masangcay, B., et al.: Mineralization controls of the gold-rich zone below Santo Tomas II porphyry copper-gold deposit, Tuba, Benguet, Philippines. J. Geol. Soc. Philipp. 20, 5–11 (2018) 3. Fernandez, H.E., Damasco, F.V.: Gold deposition in the Baguio district and its relationship to regional geology. Econ. Geol. 74, 1852–1868 (1979) 4. Sawkins, F.J., O’Neil, J.R., Thompson, J.M.: Fluid inclusion and geochemical studies of vein gold deposits, Baguio district, Philippines. Econ. Geol. 74, 1420–1434 (1979) 5. Cooke, D.R., Blooms, M.S.: Epithermal and subjacent porphyry mineralization, Acupan, Baguio district, Philippines: a fluid inclusion and paragenetic study. J. Geochem. Explor. 35, 297–340 (1990) 6. Mitchell, A.H.G., Balce, G.R.: Geological features of some epithermal gold systems, Philippines. J. Geochem. Explor. 35, 241–296 (1990) 7. Mitchell, A.H.G., Leach, T.M.: Epithermal Gold in the Philippines: Island Arc Metallogenesis, Geothermal Systems and Geology. Academic Press, London (1991) 8. Sillitoe, R.H., Gappe, I.M., Jr.: Philippine porphyry copper deposits: geologic setting and characteristics. CCOP Technol. Publ. 14, 89 (1984) 9. Callow, K.J.: The geology of the thanksgiving mine, Baguio district, Mountain province, Philippines. Econ. Geol. 60, 251–268 (1967) 10. Gonzalez, A.: Geology of the Lepanto copper mine, Mankayan, Mountain province. Phil. Bur. Mines Spec. Project Series Publ. 16, 17–50 (1956) 11. Garcia, J.S., Jr.: Geology and mineralization characteristics of the Mankayan mineral district, Benguet, Philippines. Geol. Surv. Japan Rept. 277, 21–30 (1991) 12. Imai, A.: Pyrite disease in luzonite from the Lepanto CuAu deposit, Mankayan, Philippines: further example of disease texture and its origin. Resour. Geol. 49, 163–168 (1999) 13. Claveria, R.J.R.: The Lepanto copper and gold epithermal deposits, Mankayan mineral district, Philippines: studies on mineral paragenesis. Resour. Geol. 51, 97–106 (2001) 14. Concepcíon, R.A., Cinco, J.C., Jr.: Geology of Lepanto Far Southeast gold-rich porphyry copper deposit, Mankayan, Benguet, Philippines. 28th IGC Washington, D.C., Abstr. 1, pp. 319–320 (1989) 15. Hedenquist, J.W., Arribas, A., Jr., Reynolds, T.J.: Evolution of an intrusion-centered hydrothermal system: far southeast-Lepanto porphyry and epithermal Cu-Au deposits, Philippines. Econ. Geol. 93, 373–404 (1998) 16. Imai, A., Anan, S.: Sulfur isotope study and re-examination of ore mineral assemblage of the Hol Kol and the Tul Mi Chung skarn-type copper-gold deposits of the Suan mining district, Korean peninsula. Resour. Geol. 50, 213–228 (2000) 17. Peña, R.E.: Lexicon of Philippine Stratigraphy 2008: The Geological Society of the Philippines. Quezon City
390
V. Goldyrev et al.
18. Aurelio, M.A., Galapon, J.B., Hizon, V.T., Sadsad, D.B.: Stress behavior from fault data sets within a transtensional zone, South Central Cordillera, Luzon, Philippines: implications for mineral occurrences. Island Arc 18, 144–154 (2009) 19. Imai, A.: Generation and Evolution of Ore Fluids for Porphyry Cu-Au Mineralization of the Santo Tomas II (Philex) Deposit, Philippines: Resource Geology, vol. 51, no. 2, pp. 71–96 (2001)
Delimiting the Big Centre of a Millionaire City: Uniqueness of the City of Perm Tatiana Subbotina(B) , Sergey Merckushev , Vlad Karabatov , and Ludmila Kochetkova Perm State University, 15, Bukireva st., Perm 614990, Russian Federation [email protected]
Abstract. As the urban life style has become predominant, much research is focused on cities, particularly on their development and spatial organisation. Adequate development of an urban system depends on the correct identification of city functions and the delimitation of city zones (especially the big city centre) according to the functions. The article analyses forms, functions and the essence of geographical boundaries as well as emphasizes the difficulty of boundary delimitation. Using their own methodology the authors have defined the big centre of the city of Perm and identified the four types of the city centre boundaries: separating, restrictive, contact and problematic. Defining boundaries of the problematic type is the most difficult task. The areas adjacent to a big city centre have to be key places where city identity markers are concentrated because such markers increase the attractiveness of the urban environment. Perm has some unique city identity markers due to the active participation of local civil society groups in the city development. Such groups’ initiatives have to be appreciated and supported by the local authorities. Keywords: big city centre · delimitation · identity marker · marginalization
1 Introduction Nowadays cities are the most common form of human settlement characterized by certain integrity. They are places of self-regulation, management and control which provide their residents with the daily social and reproductive cycle which includes accommodation, workplaces, services and recreation. People get all these things with minimal time losses due to local production and transport conditions, ethnic and demographic traditions, cultural values, etc. Spatial integrity of an urban system is achieved due to continuous housing development, adequate transport infrastructure and interlinked functions of the area. An urban system consists of subsystems of a lower hierarchical level. The edges of an urban system as well as the limits of subsystems within it are marked by boundaries. From a geographical point of view, boundaries are lines separating adjacent areas which differ in at least one feature. Boundaries are established in order to make geographical space more organized and harmonized. The intensity of a geographic boundary depends on its functions and essence. © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 E. Isaeva and Á. Rocha (Eds.): Perm Forum 2022, LNNS 622, pp. 391–399, 2023. https://doi.org/10.1007/978-3-031-28086-3_32
392
T. Subbotina et al.
In terms of their form boundaries can be clear (borders between states) and blurred (boundaries between landforms or economic regions); blurred boundaries tend to be transitional lines [1]. According to their essence boundaries can look like lines separating two geographical systems from each other or they can be lines separating a geographical system from all the other systems [2]. E.G. Animitsa and M.D. Sharygin [3] point out two possible approaches to the boundary analysis. The first approach suggests that boundaries between adjacent areas constitute a group of peripheral zones. In this case a boundary has a typological function as it divides space into different types. A boundary of this type looks like a line (or corridor) of a different width and clarity. In this case there are three types of contacts between adjacent areas: • mutual penetration, when a boundary of one area crosses another area; • mutual overlapping, when a boundary belongs to two areas at the same time; • complex cooperation, when a boundary becomes an independent entity. According to the second approach, a boundary between adjacent areas is a transient line in which the areas are mixed together. In this case a boundary shows the limits of an activity or an attribute. Boundaries play a significant role in simple and complex zoning because they show the limits between attributes. Complex zoning is about dividing a whole into parts in which inner heterogeneity of components results from various types of bonds. In that case boundaries are established at the places characterized by the weakest bonds and the smallest potential to be connected with the nuclei, i.e. district centres. Boundaries of the complex type have several special features: • They do not look like clear linear borders of the administrative type; • They tend to change as they quickly respond to relocation of economic, residential, infrastructural and other objects and activities; • Boundary lanes are objective while specific boundaries within them are subjective; • Boundary lanes have blurred edges. Complex boundaries are usually blurred and they are typical of complete subsystems within cities. Administrative districts, which are often incomplete systems, have clear boundaries. Thus, when establishing boundaries primary importance is placed on the systems defined while administrative boundaries are of secondary importance. According to V.E. Shuvalov [4], geographical boundaries between complex systems are formed as a result of a struggle between organizing and disorganizing forces influencing geographical space. Organized geographical systems are clearly seen in space and have clearly marked boundaries, including the ones between states.
2 Materials and Methods As a rule, city boundaries and urban district boundaries are also clear; they are marked on the map (the so called boundary delimitation) and the reasons for them are explained
Delimiting the Big Centre of a Millionaire City
393
in scientific articles. Such boundaries look like lines demarcating a geographical system and separating it from all the other systems. From the content-related point of view, M.D. Sharygin and E.G. Animitsa consider them as boundaries of the second approach [3]. Boundaries of the complex type don’t only separate adjacent areas but also serve as places of their contact. By separating adjacent areas such boundaries show the limits of processes which form a district. The boundaries of this type increase integration within the areas and form a barrier between adjacent areas and between the activities which happen in the areas. At the same time boundaries can have a uniting function when a contact between adjacent areas leads to different kinds of exchange activities between them. Both functions are interconnected – the function of a barrier increases the contrast between adjacent areas while the function of a contact blurs their difference. In our opinion, boundaries between zones within a city can be of both types described above. Such boundaries differ in terms of their complexity. B.B. Rodoman [5] identifies the following types of boundaries which can be found within cities: • • • • •
simple, which cannot be divided; compound, which consist of boundaries of different types; overlapping, when boundaries of different types overlap along the given area; absorbed by boundaries of a higher rank from the same zone; displaced by geographical features on which such boundaries are not marked (for example, rivers).
It is worth noting that in Russian and foreign research the term “boundary” was long used in a different meaning. In the past, when the political map of the world was being made, states were separated by regions but not lines. Such regions were called borders and were aimed at preventing a direct contact between neighbouring states. Foreign studies identify the following types of boundaries [6]: • preceding boundaries, i.e. natural barriers such as water bodies, mountain ranges and forests; • subsequent boundaries, i.e. the ones that developed together with the evolution of the main elements of the so called cultural landscape. As a rule such boundaries exist between different religions, castes, languages and they correspond to ethnic and cultural divisions of landscape; • imposed boundaries, which do not correspond to ethnic and cultural divisions of landscape. Such boundaries are imposed by communities, external forces or the authorities. Such boundaries also include political borders established according to peace agreements; • relict boundaries, i.e. the border regions which have lost their political function but are still seen in cultural landscape. Such border zones appear when a smaller state becomes part of a bigger one or when interstate borders are moved to a different place. Designing urban development protocols involves dividing the city into zones. As a rule, it precedes functional zoning and, according to E.N. Pertsik [7], it involves defining the historical nucleus, the central zone (or the big centre with the historical nucleus) and
394
T. Subbotina et al.
the external zone. The task of developing clear benchmarks for defining these zones seems to us vitally important. Wrong zoning of an urban area makes its development difficult and leads to the creation of problem sites.
3 Results The study aims to define the boundaries of the big centre of the city of Perm in order to understand the limits of the urban area where an even distribution of central functions is very important. Such boundaries can also help to define the part of the city characterized by inevitable but useful polarization which contributes to the diversity of the urban environment. The boundary was established by expert means [8] taking into account the following features: • • • •
the residential area gives way to the industrial one; the presence of a major railway or a belt highway within the city; the presence of natural borders, particularly rivers; the intensification of city centre functions in the city periphery.
The boundaries of current administrative districts were also taken into consideration. However, for the reasons given above, this benchmark was of secondary importance. The next step of the study was to classify the city boundaries according to their functions by using the approaches suggested by E.G. Animitsa and M.D. Sharygin [2, 3]. For that reason we have divided the given boundary into segments of the following types (Fig. 1, Table 1): • • • •
Separating segments (they were drawn along major communication lines); Contact segments (they are most often streets between neighbouring city blocks); Restrictive segments (drawn along natural boundaries); Problematic segments (when no feature mentioned above is clearly seen).
Modern Russian cities with the population of one million people and over do their best to improve their facilities in order to become more attractive for their residents and tourists. As a result it is important for such cities to reveal their identity through welldeveloped public spaces which help demonstrate urban brands. When developing city brands it is important to build relations between their users, developers, local authorities and the state [9]. A big city centre is like a city within a city. Therefore, its boundaries have to concentrate identity markers which make the urban environment more attractive. Russian studies suggest that such markers can appear near boundaries of all types; they are revealed through the functions of the city centre which are intense in the areas adjacent to the boundaries. Mamaev Kurgan in Volgograd is a classic example of urban identity markers. As for the city of Perm, an identity marker has recently been created in the boundary zone of the contact type which is not typical of other big Russian cities. The marker is the
Delimiting the Big Centre of a Millionaire City
395
Fig. 1. Boundaries of the big city centre of Perm
Table 1. Boundary segments of the big city centre of Perm by types Boundary type
Length, km
Proportion, %
Separating
7.58
31.49
Contact
3.95
16.41
Restrictive
9.02
37.47
Problematic
3.52
14.62
so called “Scial Town” in the city district “Workers’ Town” between Uralskaya Street, Tsyolkovsky Street, Lebedev Street and Industrialization Street. The boundary of the contacting type goes along Tsyolkovsky Street. Well-preserved historical and cultural environment is one of the key indicators of high living standards in a city [10]. From this point of view, the restored district “Workers’ Town” will be one of the most vivid examples of successful integration of the historic past and the dynamic present. This is a small district packed with semi-functional 3–5-storey houses and with well-maintained streets. “Workers’ Town” has good transport accessibility, large park spaces and modern entertainment centres. Furthermore, its houses are rare monuments to constructivism; public spaces of absolutely new quality can be organized there. All these factors give the district an opportunity to become one of architectural and public treasures. Its residents take an active part in getting the houses refurbished. Local people have gained a right to
396
T. Subbotina et al.
have a special form of administration which allows them to manage the refurbishment activities. Vivid examples of boundaries of the restrictive type which express city identity include pedestrian areas on the terraces of the Volga River valley in Volgograd, the historical and cultural complex “Omsk Fortress” on the Irtysh River and a new public area called “Strelka” at the junction of the Oka River and the Volga River in Nizhny Novgorod. It is worth noting, that ecological trails in Perm are unique city identity markers at boundaries of the restrictive type. Such trails cross natural features and whole ecosystems and have special infrastructure: information boards, well-equipped recreation areas and containers for waste. Developing green public spaces with a network of ecological trails will allow Perm to create recreation sites accessible for all the city residents. Moreover, such green spaces can teach city dwellers to love their home place and take care of it. Nowadays there are about 25 ecological trails in Perm. They can be found in all the city districts mainly in the woods, small river valleys and wildlife sanctuaries [11, 12]. The trails are popular with city dwellers because they offer guided trips around green recreational spaces (parks and embankments), reduce pressure on wildlife sanctuaries and in general meet people’s need to relax outside. The ecological trail in the Uinka River valley is a good example. Local community led by N. Bagley has managed to develop the public space “Nightingales’ Garden” which includes a trail. While walking along the trail, people get information about the wildlife around them. Nightingales’ Garden protects plants and trees of the whole residential district. The trail serves as the restrictive boundary in the eastern part of the city (Fig. 1). A completely different situation is observed in Malkov Street which is at the boundary of the restrictive type. This area is losing its attractiveness as the so called “green infrastructure” [13, 14]. The city block limited by 5 streets (Malkov Street, Cosmonauts’ Motorway, Podlesnaya Street, Gatchinskaya Street and Engels Street) is being built up although scientists and the public do not support that. As a result the area is losing its ecological and recreational functions [15–18]. The ecological function can be primary in that place and it can be of great importance to the whole city due to Chernyaevsky Forest with its ecological trails “Way home”, “Healthy trail” and “Andronovskiye mountains”. The ski resort in Chernyaevsky Forest makes the trails accessible even in winter. As for boundaries of the separating type, the highest potential to create city identity markers can be found at transport hubs near the main railway stations. However, the potential is not always achieved because incorporating transport hubs into the city environment is a difficult task. Perm has a number of facilities which could contribute to the creation of an identity marker near Perm-2 Railway Station. They include Perm State University, the oldest in the Ural Region, and the garden named after the 250th anniversary of Perm which has the ecological trail “Perm Krai Alley: we are together” with 48 trees and 23 kinds of bushes symbolizing municipal bodies of the Perm Krai. The entrances to the footpaths are equipped with information boards and one can see information boards next to each plant containing information about the plant name and the emblem of the municipal body where the plant is common. The University has a botanical garden with an ecological trail which includes several open air collections. However,
Delimiting the Big Centre of a Millionaire City
397
the city blocks around the given area are underdeveloped and need reconstructing which hinders the creation of an attractive city identity marker in that place. Boundaries of the problematic type deserve special attention. Such boundaries are blurred revealing the functional and spatial marginalization of the areas they cross. Functional marginalization happens due to the fact that the area functions are blurred, the transition from one functional structure to another is slow and the functions are badly combined. Spatial marginalization means it is not clear if local functions are characteristic of central or external zones. A vivid example of a problematic boundary in the big city centre of Perm which is characterized by both functional and spatial marginalization is Danshchin Street. This area is considered to be problematic although it has important city attractions such as Perm State University with a botanical garden and Perm-2 Railway Station. There are all the necessary conditions to change that part of the boundary into the boundary of the contact type. However it does not happen for some reasons. First, the project aimed to build a multimode transport hub in this district is problematic. Besides, the transformation of industrial areas in riverside zones is not systematic and not supported by strategic laws and regulations concerning the areas. Urban areas adjacent to the big city centre have enormous potential to become attractive places for local people and tourists. At the same time they can become places concentrating negative processes, for example due to the construction of motorways within the city which separate part of an area adjacent to the big city centre from the rest of the district. The external border of the area already belongs to the separating type and has the form of a motorway or railway. An example of a city planning mistake in Perm can be seen in the western part of the big city centre where it is planned to build a road connecting Stolbovaya Street and Cosmonauts’ Motorway. If the road is constructed, it will cut a huge area from the big city centre and make it a kind of island surrounded by motorways. Judging by the world urban planning experience, it can worsen the living conditions in that area and lead to its marginalization. Nowadays city centre delimitation is of great importance. More and more researchers studying the urban environment focus their attention on the smallest geographical units in the spatial hierarchy which M.D. Sharygin referred to areas the elementary level or nano-level [2]. The authors face a wide range of questions connected with developing new approaches to the delimitation of big city centres. The answers to the questions can be found in further studies of the given process.
4 Conclusion Effective development of cities depends on their correct zoning and the identification of the most important functions of the zones. In order to achieve this, it is necessary to define types of boundaries. They can be clear or blurred, simple or complex, mobile or stable. Delimitating the big centre of a city goes through several stages. The first stage involves establishing boundaries according to certain features. The second stage involves dividing the boundary of the big city centre into segments of the following types: Separating segments, Contact segments, Restrictive segments, Problematic segments.
398
T. Subbotina et al.
Boundaries of the problematic type deserve special attention as they reveal the marginalization of the areas they separate. Spatial marginalization means that it is impossible to understand if the functions in the given place are typical of central or peripheral zones. Thirdly, it is necessary to search for identity markers which will make the urban environment more attractive. Well-developed public spaces help demonstrate city brands and make the area more recognizable. City identity markers can be clearly seen in all boundary types of the big city centre of Perm and create opportunities for the city development by uniting the present and the past of the city. Perm is a unique Russian city because the public takes an active part in creating the city identity markers. Such public initiatives have to be better supported by the city authorities. Areas adjacent to the big city centre have enormous potential for creating attractive places for local residents and tourists. However, it is important to bear in mind that they can be sites of negative processes revealing city development mistakes. To summarise, developing clear benchmarks of boundary delimitation as well selecting the most effective methods of creating identity markers at city centre boundaries are tasks of great importance. Wrong city zoning leads to problems and contradictions which can hinder successful city development for many decades as well as create new problem areas.
References 1. Geographical Encyclopedic Dictionary, Concepts and Terms. A.F. Treshnikov, Moscow, Russia (1988) 2. Sharygin, M.D.: Socio-economic regions: problems of cognition and organization. Selected Works, pp. 276–280. Publishing House of Perm State University, Perm, Russia (2010) 3. Animitsa, E.G., Sharygin, M.D.: The phenomenon of the territorial border. Geogr. Bull. 1–2, 5–10 (2007) 4. Shuvalov, V.E.: To the concept of geographical border. Materials of the III All-Union Seminar on theoretical issues of geography. Kyiv (1977) 5. Rodoman, B.B.: Territorial Reales and Networks. Smolensk, Russia (1999) 6. Rodrigue, J.-P.: The Geography of Transport Systems, 5th edn. Routledge, New York (2020) 7. Pertsik, E.N.: Geography of Cities (Geourbanistics). Moskow, Russia (1991) 8. Merkushev, S.A.: Passenger railway communication and attractively of outer zones of Russian millionaire cities. Bull. Udmurt Univ. Ser. Biol. Earth Sci. 31(1), 97–110 (2021). https://doi. org/10.35634/2412-9518-2021-31-1-97-110 9. Kovalevskiy, A.V., Ivanova, A.P.: Policy of urban renovations as a factor of decreasing the level of territorial identity of cities in Russia: new ideas of new century. In: Materials of the International Scientific Conference FA and DPNU, vol. 2, pp. 129–135 (2019) 10. The Project of the Revival of the Socialist Town – Workers’ Town – Garden City (2022). http://rabochiposelok.ru/935-2/ 11. Patrusheva, E.N., Fedoseeva, T.Yu.: Ecological trails of the city of Perm. Ecological safety in the conditions of anthropogenic transformation of the environment: a collection of materials of the All-Russian school-seminar held in memory of N.F. Reimers and F.R. Shtilmark, 22–23 April 2021. Perm State University, pp. 72–75. Perm, Russia (2021)
Delimiting the Big Centre of a Millionaire City
399
12. Subbotina, T., Merckushev, S., Stolbov, V., Kochetkova, L.: Green spaces as an element of the urban environment: their functioning and transformation. In: Rocha, A., Isaeva, E. (eds.) Perm Forum 2021. LNNS, vol. 342, pp. 123–133. Springer, Cham (2022). https://doi.org/10. 1007/978-3-030-89477-1_12 13. Werquin, A.C., Duhem, B., Lindholm, G., Oppermann, B., Pauleit, S., Tjallingoo, S. (eds.): Green structure and urban planning. Final report, COST Action C11, European Commission, Brussels (2005). http://www.greenstructureplanning.eu/COSTC11-book/pdfs/a-Intro.pdf 14. Matashova, M.A.: Metropolitan open spaces regeneration as key green infrastructure components (case study of Llobregat river, Barcelona). Modern public spaces as a tool for development of urban environment. In: Scientific Conference Proceedings, 29–30 November 2018, pp. 152–158. State University of Architecture and Civil Engineering, St. Petersburg, Russia (2018) 15. Boyko, T.A., Maltseva, A.P., Zueva, I.I.: The state of public green spaces in Perm. Ecol. Urban. Territ. 2, 85–92 (2019) 16. Yeltyshev, A.A.: Green plantings of the Dzerzhinsky district of Perm. Anthropogenic Transform. Nat. Environ. 4, 110–115 (2018) 17. Ekoligiya-Sbornik-2020 (2022): http://www.gorodperm.ru 18. Bykova, S.: Right to build houses contested. Commerce (Perm) No. 55 from 30.03.2013
Hydrogeochemical Assessment of Groundwater Conditions and Delineation of the Influence Zone of a Waste Disposal Facility in the Kirovo-Chepetskiy Industrial Area Oksana V. Kletskina1 , Pavel A. Krasilnikov2
, and Olga Yu. Meshcheriakova2(B)
1 UralNII “Ecology”, Perm, Russian Federation 2 Perm State University, Perm, Russian Federation
[email protected]
Abstract. The data was analyzed to identify the influence zone of the waste disposal facility and to reveal the current level of pollution. Element-by-element maps of pollutant distribution were built on the basis of groundwater chemical analysis. Strontium, ammonium nitrogen, nitrate nitrogen were selected as marking elements to identify the influence zone of the waste disposal facility. Analysis of the pollution dynamics was carried out on the basis of multi-temporal maps comparison. Cartographic analysis revealed that over a five-year period the boundary of nitrogen pollution moved the Vyatka River to 200 m. The impact of the tailing dump on ground waters was determined by the occurrence of ammonium nitrogen, nitrate nitrogen, strontium ion. To determine the influence zone, we used the method of spatial comparison of contamination halos with individual components. Geostatistical calculations were carried out by the method of interpolation of “natural vicinity” for each element. As a result, it was revealed that the areole of strontium distribution in groundwater was slightly less than that of other pollutants, despite the fact that the migration capacity of all the studied elements was approximately equal. Thus, the influence zone of the studied object is 4.7 km2 and is limited by isolines of minimum concentrations of strontium-ions. Keywords: Waste Disposal Facilities · Hydrogeochemical Assessment · Groundwater
1 Introduction The absence of a unified terminological base in state documents regarding the “zone of influence of negative impact” was the reason that the authors consider various options to determine and calculate the influence zone, including the use of modern hydrodynamic modeling software [5–9].
© The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 E. Isaeva and Á. Rocha (Eds.): Perm Forum 2022, LNNS 622, pp. 400–408, 2023. https://doi.org/10.1007/978-3-031-28086-3_33
Hydrogeochemical Assessment of Groundwater Conditions
401
Under the influence zone of the waste disposal facility on the environment, the authors understand the spatial area within which changes in the state of the components of the natural environment induced by the pollution source are observed. The object of research is the territory of the Kirovo-Chepetskiy industrial hub. We studied the groundwater and its geochemical characteristics. Special attention is given to the task of identifying the influence zone of the waste disposal facility on groundwater.
2 Region of Interest Region of interest is a technogenically loaded area situated to the west of the KirovoChepetsk, 20 km from the Kirov city (Russia). It is a large industrial center of the Kirov region where a large number of technogenic objects is concentrated (see Fig. 1).
Fig. 1. Overview map-scheme of the studied area.
Nitrogen compounds are the main chemical pollutants in the studied area. Due to the high concentration of technogenic objects on the territory and the specifics of objects activities, nitrogen compounds enter the environment in various ways: into groundwater through infiltration, into surface water with water outlets and various uncontrolled drains, into the atmospheric air with emissions, into the soil with polluted waters surface runoff and with precipitation from the atmosphere, vegetation and wildlife perceive pollution indirectly through the other components of the environment. Therefore, a special attention is given to nitrogen pollution in the article, and on its basis, the influence zone is determined [1–3]. The allocation of the influence zone of the waste disposal facility on the environment is complicated by the fact that the waste disposal facility is located at the site
402
O. V. Kletskina et al.
of the Kirovo-Chepetskiy industrial hub, where the sources of environmental pollution characterized by the release of pollutants similar to those characterized studied object [2, 3]. To determine the changes induced by the waste disposal facility, the authors considered it is appropriate to take the background values of pollutants, the deviation of them makes it possible to quantify the impact of the facility on the environment. Background values should be considered not only those that existed before the construction of the facility, but also those that are currently observed outside the influence zone of the facility. Therefore, identifying of the boundaries of the influence zone is the most important task.
3 Objects of Negative Impact Within the study area, surface and groundwater are affected by production facilities located on the catchment area of the Elkhovka and Vyatka Rivers. Analysis of the location of production facilities in the Kirovo-Chepetsk town and some adjacent settlements was carried out using Internet available information. At the catchment area of the Elkhovka River, there are at least 32 objects that have an impact on the natural environment. At a distance of 7.8–8.5 km from the mouth, the effect of the oil depot and runoff from the territory of the oil depot with a flow rate of 0.5 l/s are noted. At a distance of 7.3 km, the river flows 680 m through the territory of the industrial site, below which the river receives water from the territory of the furniture enterprise. Further, at a distance of 6.4 km from the mouth, there is a wastewater outlet from the oil refinery. Among the contaminants, it should be noted radioactive ones in the Elkhovka riverbed – plutonium, strontium, cesium, and chemical ones – sulfate (SO4 2− ), chloride (Cl− ), sodium (Na+ ), calcium (Ca2+ ), strontium (Sr2+ ). There are large wastewater treatment plants that discharge wastewater into the Vyatka River and its tributaries. In addition, there are warehouses of pesticides and mineral fertilizers on the studied area. It has been established that 50% of objects and waste disposal sites are unauthorized in the Kirov region. Improper storage and disposal of waste products from livestock farms and poultry farms causes nitrate pollution of the soil and groundwater.
4 Hydrogeological Conditions The study area is located in the northern part of the Volga-Kama artesian basin [4]. Groundwater of the research area is confined to the Volga-Kama artesian basin [4]. The thickness of the sedimentary complex of rocks is 2500 m. The Permian gypsumanhydrite deposits and Carboniferous limestones are the regional aquiclude. Three hydrodynamic zones are distinguished in the section of the sedimentary cover: active water exchange, hindered water exchange and very hindered one (see Table 1). According to the groundwater conditions of formation and circulation, common hydrogeological conditions and stratigraphic affiliation in the studied area, the seven aquifers are distinguished:
Hydrogeochemical Assessment of Groundwater Conditions
403
Table 1. Characteristics of the hydrodynamic zones of the study area Hydrodynamic zone
Bottom boundary
Hydrochemical parameters
Active water exchange
Roof of the Kazanian stage, depth 200 m below surface
Fresh water (up to 1 g/dm3 ) and brackish water (1–10 g/dm3 )
Hindered water exchange
Roof of halide-carbonate deposits of the Sakmarian stage of the Permian system, depth 450–500 m below surface
Salty water (10–15 g/dm3 )
Very hindered water exchange
Bottom of the sedimentary rocks
Brain water (50–200 g/dm3 and above)
1) 2) 3) 4) 5) 6) 7)
Quaternary aquifer (aQII-IV); Tatarskiy aquifer (P2 t); Kazanian aquifer (P2 kz); Assel-Kashirskiy aquifer (P1 a-C3 g-C2 mc-ks); Serpukhov-Oka aquifer (C1 s-ok); Famennian-Franzian aquifer (D3 fm-f2-3); Pashian-Givetskiy aquifer (D3 f-D2 zv).
The first from the surface and the most susceptible to pollution is the Quaternary aquifer, which is distributed throughout the study area. In the area of the KirovoChepetskiy industrial hub, it is associated with alluvial sand-gravel (15 m in thickness) and marsh peat (0.5 m) deposits. The aquifer is predominantly non-pressured, in some places in the upper part of the stratum it has a local pressure of up to 1.5 m. The groundwater level lies at a depth of 1.0–2.5 m. The thickness of watered rocks in this aquifer reaches 10 m. Upper Permian clays (56 m) with a filtration coefficient of 6.7*10–6 m/day serve as an aquiclude for the groundwater horizon [4]. The mineralization of groundwater of natural chemical composition in the adjacent north and northwest areas the varies from 0.08 to 0.34 g/l. There is a layer of gravelly and coarse-grained sands in the lower part of the Quaternary aquifer, which is considered as the main filtration route to the Vyatka River due to its filtration coefficient of 10–25 m/day. The ubiquitous distribution of the Quaternary aquifer, the peculiarities of its supply, the layered occurrence of water-bearing rocks and their lithology determine the direct influence of pollution sources on aquifer. At the same time, the significant thickness of the aquifer and its low filtration coefficients to assume that there is no negative impact on the underlying aquifers. However, there is a risk of pollution of surface water bodies, mainly the Vyatka River.
404
O. V. Kletskina et al.
5 Hydrogeochemical Characteristics In 1978, it was revealed that the areola of chemical contamination of groundwater spread downstream by 1000 m and completely covered the site of the studied waste disposal facility. To the north-west of the chain of oxbow lakes, the mineralization of groundwater was 0.2–0.3 g/dm3 , the waters were predominantly hydrocarbonatecalcium-magnesium. To the south and south-east of the chain of oxbow lakes, water salinity varied from 0.2 to 14.8 g/dm3 . Thus, it can be said that at the end of the 1970s, the groundwater in the study area was affected by a number of industrial waste disposal sites, including waste from the production of electrical and thermal energy. According to archival data, in the groundwater of the study area the concentration of ammonium ion for the period of designing the studied waste disposal facility was not significant. The content of the ammonium ion in groundwater at a depth of 0.9–1.2 m during this period reached 25 mg/dm3 . In 1978, two types of chemical pollution were identified in the study area: Type 1 – groundwater pollution by production wastes from existing waste disposal sites. According to the composition of water, there was mainly chloride-sodium-potassiumcalcium waters (more polluted) and chloride-bicarbonate-calcium-sodium-potassium ones (less polluted); Type 2 – groundwater pollution due to leakages from the drainage systems of an enterprise for the production of electrical and thermal energy. The composition of the water was predominantly sulfate-chloride-calcium magnesium one (more polluted) and chloride-hydrocarbonate-calcium-magnesium one (less polluted). Thus, there were areolas of chemical pollution predominantly of the chloride and sulfate types in the studied area, and there were ammonium ions in concentrations up to 25 mg/dm3 among the pollutants [9]. At present, the “spectrum” of the main pollution components has expanded due to the inflow of ammonium nitrate and strontium ions from the studied waste disposal facility. There is sulfate, chloride, ammonium, nitrate, sodium pollution on the territory. Additionally, radioactive elements are observed in the groundwater of the study area: strontium, uranium, cesium, plutonium, and thorium [9].
6 Determination of the Influence Zone The authors analyzed the data to identify the influence zone of the waste disposal facility and identify the current level of pollution. Element-by-element maps of the distribution of pollutants were constructed based on the chemical analysis of water. To identify the influence zone of the object of study, the following marking elements were selected: strontium, ammonium nitrogen, and nitrate nitrogen (see Fig. 2, 3, 4 and 5). During constructing of isoconcentrations based on the summary annual data, it was revealed that the contours of the areolas of pollution with ammonium nitrogen have a pollution tongue distributed upstream from the waste disposal facility (see Fig. 5). The
Hydrogeochemical Assessment of Groundwater Conditions
405
area of the tongue decreases and increases periodically. Presumably, there are several other sources of nitrogen pollution located above the studied object. This assumption is also confirmed by the observation of ammonium nitrogen in a number of observation wells (see Fig. 3). According to the results of water chemical analysis, a significant amount of ammonium ions is present here, while nitrates are practically absent. Thus, the area of distribution of pollution with ammonium and nitrate nitrogen was formed due to the merger of at least two pollutant areolas. The northern part of the study area is subject to pollution from the studied object. The southern part of nitrogen pollution is confined to the floodplain of the Elkhovka River and has been formed since the middle of the 20th century, when the first waste disposal facilities in the study area were put into operation. Analysis of the dynamics of pollution development was carried out on the basis of a comparison of multi-temporal maps of summary data. Thus, the areola area of nitrogen pollution has changed insignificantly over the five-year period, namely from 4.9 km2 to 5.1 km2 .
Fig. 2. Cartogram of strontium content in groundwater.
Fig. 3. Cartogram of ammonium nitrogen content in groundwater.
406
O. V. Kletskina et al.
Fig. 4. Cartogram of nitrate nitrogen content in groundwater.
Fig. 5. Cartogram of the distribution halo of nitrogen pollution in groundwater.
Cartographic analysis revealed that over a five-year period, the border of nitrogen pollution moved the Vyatka River to 200 m and is currently located at a distance of 600 m of the river’s edge.
7 Conclusion The impact of the waste disposal facility on groundwater is determined by the presence of ammonium nitrogen, nitrate nitrogen, and strontium ion in them. Of all the listed elements, the strontium ion is characteristic only for this object and is not originated from other technogenic sources located in the study area. The presence of strontium ion in groundwater can be considered as an identifier of groundwater pollution formed under the influence of the studied object. To determine the influence zone, the method of spatial comparison of pollution halos of individual components was used. Geostatistical calculations were carried out
Hydrogeochemical Assessment of Groundwater Conditions
407
using the “natural neighborhood” interpolation method for each element. As a result of comparison of spatial areas, it was revealed that the areola of strontium distribution in groundwater is slightly smaller than that of other pollutants, despite the fact that the migration ability of all studied elements is approximately equal [10]. Thus, the influence zone of the object is limited by the isolines of the minimum concentrations of strontium ion as shown in Fig. 6.
Fig. 6. The influence zone of the object under study on groundwater.
The area of the influence zone is 4.7 km2 . The thickness of the influence zone on groundwater corresponds to the difference between the absolute marks of the groundwater level and the top of the Upper Permian clays and is 10 m on average. Taking into account the porosity of water-bearing soils, the volume of groundwater affected by the object is 14,1 million m3 .
References 1. Arkhipov, B.V., Rychkov, S.L., Timonov, A.S., Shatrov, A.V.: The modelling of a spring-time flood streams on the Vyatka river to the forecast extreme situations. IOP Conf. Ser. Earth Environ. Sci. 321(1), 012014 (2019). https://doi.org/10.1088/1755-1315/321/1/012014 2. Adamovich, T.A., Skugoreva, S.G., Tovstik, E.V., Ashikhmina, T.Ya.: Study of the chemical composition of water bodies protected area for use as a regional background. Theor. Appl. Ecol. 1, 89–96 (2020). https://doi.org/10.25750/1995-4301-2020-1-089-096 3. Dabakh, E.V.: Rare earth elements in soils and plants of meadow biocenoses. Theor. Appl. Ecol. 4, 104–111 (2021). https://doi.org/10.25750/1995-4301-2021-4-104-111 4. Kletskina, O.V.: Analysis of the hydrogeological conditions of the natural and technical system in connection with the problem of chemical pollution of the alluvial aquifer. In: Geology and Mineral Resources of the Western Urals, pp. 112–114 (2013). (in Russian)
408
O. V. Kletskina et al.
5. Kletskina, O.V., Krasilnikov, P.A.: A brief review of the directions of rehabilitation of the territory contaminated with nitrogen compounds. Geol. Miner. Resour. W. Urals 4(41), 275– 279 (2021). (in Russian) 6. Kletskina, O.V., Oshhepkova, A.Z.: Methodological approach to substantiation of criteria for the permissible impact of a waste disposal facility on groundwater using hydrogeological modeling. Geol. Miner. Resour. W. Urals 2(39), 337–342 (2019). (in Russian) 7. Konoplev, A.V., Krasilnikov, P.A., Krasilnikova, S.A., Kletskina, O.V.: Kartosemiotic geoinformation model as a basis for creating a hydrodynamic model. Polythematic Netw. Electron. Sci. J. Kuban State Agrarian Univ. 84, 247–256 (2012). (in Russian) 8. Krasilnikova, S.A., Krasilnikov, P.A., Konoplev, A.V.: Geoinformation support for hydrodynamic modeling of the efficiency assessment of the designed drainage system of the Usolsky microdistrict, Berezniki, Perm Territory. Geoecol. Eng. Geol. Hydrogeol. Geocryol. 1, 80–85 (2014). (in Russian) 9. Kutyavina, T.I., Ashikhmina, T.Ya., Kondakova, L.V.: Application of ground-based research methods for the diagnostics of pollution and eutrophication of water reservoirs of the Kirov region. Theor. Appl. Ecol. 2, 44–52 (2019). https://doi.org/10.25750/1995-4301-2019-2044-052 10. Samarina, V.S. Hydrogeochemistry. Leningrad (1977) (in Russian)
Changes in Terrestrial Organic Matter Input to the Western Kolchumskaya Anticlinal, During the Jurassic Pavel Popov(B) and Ivan Khopta Perm State University, Perm 614068, Russia [email protected]
Abstract. Integrated terrestrial and marine records of Western Siberia vegetation are needed to provide long high resolution records of environmental variability with established links to specific terrestrial environments. We analyzed higher plant biomarkers in jurassic sediments. Molecular abundance distributions indicate that long chain n-alkanoic acids in marine sediments are the most reliable proxy for terrestrial vegetation (Carbon Preference Index, CPI = 1.66). Variations in the concentrations of long-chain n-alkanes and indicate a higher contribution of terrestrial OM (OM of higher plants). The ACL values of n-alkanes for the studied interval 28.03 (27.65–28.59) indicate a warm (tropical) region of the source of OM formation. The narrow range of Paq values suggests that the amount of water seeping through the swamp was fairly stable over most of the time interval under consideration. The water level in the peat bog was elevated during most of the period under review. Keywords: West Kulchum anticline · Jurassic deposits · organic matter · bitumoids · alkanes
1 Introduction Geochemical methods are one of the complex methods for searching for oil and gas. The ultimate goal of geochemical studies is to identify sedimentary strata in the section of the study area, in which there were favorable conditions for oil and gas formation, and to assess the prospects for the oil and gas potential of the region. The amount and composition of organic matter (OM), the environment of its diagenetic transformation and catagenesis determine the ability of sedimentary strata to generate hydrocarbons. It is believed that more possible sources of oil are marine sediments with clarke or high content of organic carbon in rocks with most of the water (sapropel) type of OM, formed under reducing or weakly reducing conditions during diagenesis, found themselves at the stage of catagenesis, corresponding to the leading zone of oil formation. (Vassoevich, 1958, 1967; Trofimuk and Kontorovich, 1965; Kontorovich et al., 1967; Neruchev, 1969; Vassoevich et al., 1976, 1981; Kontorovich, 1976). However, only changes in the initial OM, which appear as a result of the emigration of hydrocarbons from source rocks, as well as the uniformity of the composition of the confused OM and oils in sediments, © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 E. Isaeva and Á. Rocha (Eds.): Perm Forum 2022, LNNS 622, pp. 409–416, 2023. https://doi.org/10.1007/978-3-031-28086-3_34
410
P. Popov and I. Khopta
can serve as a sufficient condition for diagnosing oil-producing deposits (Trofimuk, Kontorovich, 1965; Neruchev, 1969; Vassoevich et al., 1981; Tissot, Welte, 1981a). The purpose of this work is to elucidate the regularities in the distribution of organic carbon, bitumoids, as well as biomarker hydrocarbons. For the successful implementation of further oil and gas prospecting in the region, it is important to identify patterns of changes in the characteristics of the Jurassic source rock in area and in the section. Since the conditions of sedimentation affect the type, amount, and retention of organic matter in the sediment, i.e. on the generation potential of the source rock, a comprehensive analysis of the geochemical parameters of the Jurassic deposits was carried out.
2 Site and Sample Selection The area of the projected works is of rather high interest, which is mainly due to its confinement to the junction zone of the two largest tectonic elements of the earth’s crust - the West Siberian plate and the Siberian platform. In recent decades, problems of replenishing the resource base of Western Siberia led to regional studies of the Yenisei Territory, which made it possible to obtain data to substantiate the oil and gas content. Two structural-tectonic levels are distinguished here. The lower level is represented by the Upper Proterozoic-Paleozoic strata, which are a kind of continuation of the Siberian platform deep into the West Siberian plate. The upper structural stage is of MesozoicCenozoic age. Jurassic deposits are distributed over most of the territory of the Cis-Yenisei zone, lie with a deep stratigraphic unconformity on disintegrated Paleozoic formations and are represented by the Urman, Togur (analogous to the Ilan), Peshkovskaya, Tyumenskaya, Tyazhinskaya (analogous to the Naunakskaya) and Maryanovskaya formations. It has been established that the formation of Jurassic deposits occurred mainly in continental conditions. Signs of short-term transgressions are present in the Upper Urman (Upper Pliensbach), Ilan (Lower Toarcian), Peshkov (Upper Toarcian) formations, and Upper Tyumen (Bajocian) Subformation. In the upper part of the Naunak Formation (Oxford), a change of continental facies by coastal-continental and coastal-marine facies was recorded. The Maryanovka Formation was formed under normal marine shallow and moderate deep water conditions (Vakulenko et al., 2010). Studies were carried out on a representative sample of geochemical data on the core of the Jurassic deposits of the area. The study of dispersed OM made it possible to determine its type, the conditions of transformation in diagenesis and catagenesis.
3 Analytical Methods 40 samples of Jurassic source rock were studied from wells drilled in the Western Kolchumskaya anticlinal. Analytical study of dispersed organic matter of rocks includes determining the concentrations of organic carbon in the rock (TOC), the yield of chloroform extracts of OM from rocks (bitumoids) and their group composition. The fractional composition of bitumoids was determined using thin-layer chromatography on glass plates coated with a layer of specially treated silica gel. The individual hydrocarbon composition of paraffin-naphthenic fractions of bitumen (C12 –C33 ) was studied on a gas chromatograph “Khromatek-Kristall 5000.1”.
Changes in Terrestrial Organic Matter Input
411
4 Results and Discussion The average content of organic carbon in the well section is about 2%, which indicates moderately dispersed organic matter. The value of organic carbon in almost the entire wellbore is kept from 0.1 to 0.6%, locally increasing to 2–8% in greywackes and mudstones, and to values of more than 10% in coalified mudstones (moderately concentrated organic matter). High indications of organic carbon (more than 50%) are associated with coals. Over the entire interval of the well, the average of chloroform bitumen value remains practically unchanged and amounts to 0.02%. The maximum readings in the coals of the Tyumen suite are 2.5%. The bituminous coefficient varies depending on the lithological composition of the rocks. The average values are 1.7%. The maximum is seen in the Urman Formation - 8.3%, the minimum in the limestones of the Maksimoyarskaya Formation with values up to 1%. The value of β is less than 20%, which indicates that bitumoids are autochthonous. The value of the neutrality coefficient in the studied deposits above 1 is typical mainly for coals and carbonaceous mudstones. The average value of the neutrality coefficient in the oxidizing environment of hydrocarbon formation is 0.32, and indicates the biodegradation and/or migration of hydrocarbons. 4.1 Biomarker Abundance Typical molecular distributions of n-alkanes in the sediments of the core were shown in Fig. 1. The hydrocarbon composition of bitumoids showed that in all samples, n-alkanes are represented by a number of relatively common components in the range from C12 to C34 . Short chain n-alkanes are concentrated in the range from C12 to C25 with a maximum at C16 or C22 . Even-to-odd carbon preference index (CPI) values for C12 –C25 homologues (Bray and Evans, 1961) ranged from 0.6 to 1.87 with a mean value of 1.21, indicating a significant odd-to-even predominance. In contrast, long chain n-alkanes ranged from C25 to C34 , with a maximum at C26 , with some groups showing peaks at C22 and C27 . CPI values for C25 –C34 homologues (Bray and Evans, 1961) ranged from 0.77 to 3.25, with a mean of 1.32, showing a strong predominance of odd over even variants. All samples showed characteristic n-alkane profiles consisting of a bimodal distribution centered on C16 –C22 and C25 –C27 , indicating that organic matter in the core is in most cases of mixed origin (marine and terrestrial). 4.2 Distributions of n-alkane The content of pristane (Pr) averages 45.5%. It reaches its maximum (75%) at a depth of 518 m, and its complete absence at a depth of 1779 m. The content of phytane (Ph) averages 46.2%. It reaches its maximum (100%) at a depth of 1779 m. It reaches its minimum (17.6%) at a depth of 518 m. The pristane/phytane ratio can be used to determine the origin of OM. Sapropelic OM is characterized by a value of 1.1–1.5, for humus not oxidized in diagenesis - 0.5–0.7, and sub-oxidized - more than 3. In the rocks of the Togur Formation, the average value of the pristane/phytane coefficient is 0.48; OM was formed in moderately reducing coastal conditions. OM is immature, humic type.
412
P. Popov and I. Khopta
Fig. 1. Relative n-alkanes distribution in samples.
In the rocks of the Peshkovskaya suite, the average value of the coefficient is 0.36; OM was formed in moderately oxidative coastal conditions. OM is immature, humic type. In the rocks of the Peshkovskaya Formation, OM was first formed under reducing deltaic conditions, then there was a change in sedimentation to a prodeltaic type with a moderately reducing setting. OM is immature, humic type (Fig. 2). At the beginning of the Tyumen time, rocks continue to form in coastal conditions, then they change to lagoonal ones, and at the end they form in shallow marine conditions. The environment of OM formation is initially reducing, and by the end of time it is strongly reducing. OM is immature, with a predominance of the humus type. The average value of the pristane/phytane ratio is 0.68. In the rocks of the Maksimoyarskaya and Tyazhinskaya formations, the average value of the index is 0.5; OM was formed in highly reducing shallow water-sea conditions. OM is immature, of humus-sapropel type, where seaweeds were sapropel. The average index of the coefficient n-(C13 –C15 )/n-(C23 –C25 ) for all suites is 0.01–0.04, the average index n-(C15 –C17 )/2 · (n-C16 ) is 0, 4–0.7, which indicates the continental type of hydrocarbons.
Changes in Terrestrial Organic Matter Input
413
Fig. 2. Molecular distribution of normal alkanes: 1 - o/e; 2 - n-C15–18 /-C19–22 ; 3 - nC17–23 /n-C24–30 ; 4 -i-C19 /i-C20 ; 5 - i-C19 /n-C17 ; 6 - i-C20 /n-C18
The ACL (average chain length) parameter of “higher plant” n-alkanes describes the average number of carbon atoms per molecule based on the content of C27 , C29 , C31 and C33 n-alkanes (Poynter et al., 1989). In warmer climates, terrestrial plants biosynthesize longer chain, higher melting point compounds for their waxy coating, while in cooler temperate regions, somewhat shorter chain compounds are formed (Gagosian et al., 1986). Therefore, the ACL values of n-alkanes from plants growing in warm paleoclimates will be higher than those from plants from colder conditions. The ACL values of n-alkanes for the studied interval 28.03 (27.65–28.59) indicate a warm (tropical) region of the source of OM formation. However, temperature may not be the only climatic factor taken into account in the ACL values of n-alkanes. Therefore, the ACL of n-alkanes may
414
P. Popov and I. Khopta
reflect effective precipitation, which is a combination of both regional precipitation and temperature-driven evaporation in percolation swamps. Most of the values are around 28.04, indicating that changes in the combination of temperature and humidity offset the potential impact on the composition of n-alkanes that climate fluctuations during this period had on peat-forming vegetation (Schroeder). et al., 2007). Since the distribution of n-alkanes in submerged and floating macrophytes differs from that of subaerial vascular plants, changes in the relative proportions of these biomarker compounds are useful for reconstructing the history of wetland moisture availability (e.g., Zhou et al., 2005; Nichols et al., 2005). al., 2006; Zheng et al., 2007;
Fig. 3. Changing the main indices by the depth of the section.
Changes in Terrestrial Organic Matter Input
415
Nichols et al., 2009; Vonk and Gustafsson, 2009). The obtained Paq (aquatic macrophyte proxy) values range from 0.40 to 0.89 (Fig. 3), which is typical for aquatic systems dominated by surface macrophytes (Ficken et al., 2000). The narrow range of Paq values suggests that the amount of water seeping through the swamp was fairly stable over most of the time interval under consideration. This downward change in the parameter indicates that there were short periods of decrease in effective precipitation at this time. Conversely, Paq values typically exceed the 0.4 threshold set by Ficken et al. (2000) interpret the predominant contribution of n-alkanes to submerged and floating macrophytes (Fig. 3). These higher values indicate that the water level in the peat bog was elevated during most of the period under review. The high value of the litic index indicates the transfer of already formed carbonaceous detritus by river flows. With a decrease in age, the predominance of the influence of higher vegetation over the transferred detritus was noticed.
5 Conclusions – The coefficient of neutrality indicates the predominance of the oxidizing environment for the formation of liquid hydrocarbons with an average value of 0.32 characteristic of biodegradation and/or migration processes. Values above 1 are typical mainly for coals and carbonaceous mudstones. – Predominance of syngenetic bitumoids. – Organic matter is represented mainly by humus, but in a number of groups one can notice peaks of the second and third order of short-chain alkanes. Which indicates the presence of sapropelic OM or active biodegradation. – The concentration maxima of lytic n-alkanes obtained by OM may correspond to the events of the removal of eroded bedrock material, including higher plant soil OM. – Variations in the concentrations of long-chain n-alkanes and indicate a higher contribution of terrestrial OM (OM of higher plants). – In the rocks of the Togur Formation, OM was formed in moderately reducing coastal conditions. Further, in the Peshkov Formation, OM was first formed under reducing deltaic conditions, then there was a change in sedimentation to a prodeltaic type with a moderately reducing setting. At the beginning of the Tyumen time, rocks continue to form in coastal conditions, then they change to lagoonal ones, and at the end they form in shallow marine conditions. By the end of time, in the Maksimoyarskaya and Tyazhinskaya formations, OM was formed under highly reducing shallow water-sea conditions. – The resulting Paq values indicate aquatic systems dominated by aquatic macrophytes. The amount of water seeping through the swamp was fairly stable over most of the time interval under consideration. There were short periods of decrease in effective rainfall during this time. – The ACL values of n-alkanes for the studied interval indicate a warm (tropical) region of the source of OM formation. Most of the values indicate that changes in the combination of temperature and humidity compensated for the potential impact on the composition of n-alkanes, climate fluctuations during this period had an effect on peat-forming vegetation.
416
P. Popov and I. Khopta
References Bazhenova, O.K., et al.: Geology and geochemistry of oil and gas. Textbook, pp. 80–86 (2012) Fuloria, R.C.: Source rocks and criteria for their recognition. AAPG Bull. 51(6), 842–848 (1967) Kozhanov, D.D., et al.: Geological and geochemical conditions for the formation of the oil and gas potential of the Riphean-Vendian deposits of the northern part of the Volga-Ural oil and gas basin. Georesources 23(2), 73–86 (2021) Liu, F., et al.: n-Alkanes as indicators of climate and vegetation variations since the last glacial period recorded in a sediment core from the North Eastern South China Sea (SCS). J. Asian Earth Sci. 171, 134–143 (2019) Neruchev, Y.A., Bolotnikov, M.F., Zotov, V.V.: Investigation of ultrasonic velocity in organic liquids on the saturation curve. High Temp. 43(2), 266–309 (2005) Rudkevich, M.Y., et al.: Oil and gas bearing complexes of the West Siberian basin, pp. 88–106 (1988) Shintani, T., Yamamoto, M., Chen, M.T.: Paleoenvironmental changes in the northern South China Sea over the past 28,000 years: a study of TEX86-derived sea surface temperatures and terrestrial biomarkers. J. Asian Earth Sci. 40(6), 1221–1229 (2011) Trofimuk, A.A., Kontorovich, A.E.: Some problems of the theory of the organic origin of oil and the identification of oil-producing strata. Geol. Geofiz. 12, 3–14 (1965) Welte, D.H., Yukler, M.A.: Petroleum origin and accumulation in basin evolution—a quantitative model. AAPG Bull. 65(8), 1387–1396 (1981a) Yamamoto, M., Polyak, L.: Changes in terrestrial organic matter input to the Mendeleev ridge, western arctic ocean, during the late quaternary. Glob. Planet. Change 68(1–2), 30–37 (2009) Yamamoto, M., Okino, T., Sugisaki, S., Sakamoto, T.: Late Pleistocene changes in terrestrial biomarkers in sediments from the central Arctic Ocean. Org. Geochem. 39(6), 754–763 (2008)
Intraday Dynamics of the Urban Population in Studies of Natural and Man-Made Risks (Case Study of Moscow, Russia) Roman Babkin1
, Svetlana Badina1,2,3
, and Alexander Mikhaylov1(B)
1 Plekhanov Russian University of Economics, Stremyanny Lane, 36, 117997 Moscow, Russia
[email protected] 2 Faculty of Geography, Lomonosov Moscow State University, GSP-1, Leninskie Gory, 1,
119991 Moscow, Russia 3 Bernardo O’Higgins University, Avenida Viel, 1497, 8320000 Santiago, Región
Metropolitana, Chile
Abstract. The assessment of the vulnerability of urban population to potential natural and man-made hazards is hampered by the high intensity of intracity movements of residents and the uneven daily distribution of the population across the urbanized territory. This factor of uncertainty creates a problem with the allocation of funds and resources needed to mitigate risks. Different urban areas have different daily profile of changes in their population. This paper presents an original methodological approach to the dynamic assessment of the population of urban areas based on the fragmentation of the day into temporary elements of “social time” - pacemakers: determining the functional affiliation of “day” and “night”, and the nature of intraday dynamics - “morning start” and “evening finish”. Reliance on a highly detailed array of anonymized data from mobile operators on the localization of subscribers and an analysis of the urban space of Moscow through the prism of social time made it possible to improve the accuracy of estimates of the actual population of intracity territories, linking them to objectively existing time intervals. The authors identify 14 types of municipalities and formulate recommendations to reduce the population’s vulnerability to emergency situations. Keywords: data of mobile operators · population vulnerability · urban mobility · municipalities · Moscow · natural and man-made hazards · population dynamics · “social time” · pacemakers · typology of urban territories
1 Introduction Large cities in the settlement system are characterized by maximum vulnerability to natural and man-made hazards, primarily due to high population density and dynamics [1, 2]. Analyzing the dynamics of emergencies that occurred in Moscow in 2000–2020 (according to the State reports on the state of protection of the population and territories of the Russian Federation from natural and man-made emergencies), it was found that © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 E. Isaeva and Á. Rocha (Eds.): Perm Forum 2022, LNNS 622, pp. 417–427, 2023. https://doi.org/10.1007/978-3-031-28086-3_35
418
R. Babkin et al.
man-made and biosocial emergencies are the key danger for Moscow residents. At the same time, if potential natural disasters (for example, dangerous meteorological phenomena) usually affect the whole territory of the city, man-made threats are territorially tied to particular enterprises. The study [3] has shown that about 12% of the nighttime population of Moscow is situated in close proximity (within a radius of 1 km) to potentially dangerous objects (explosive, chemical and fire hazardous, etc.), and during the day this figure increases about twice. A unified settlement system with a common labor and consumption market, which is typical for the Moscow metropolitan region, creates the preconditions for significant fluctuations in the population within its borders during the day. In this regard, within the framework of risk management tasks, there is a need for a reliable assessment of the real population at different time intervals in different parts of the city. For example, in the event of a major emergency in the zone of its impact, there may be significantly more people than expected, based on official statistics. This can significantly complicate the conduct of evacuation and rescue activities, thereby increasing the potential number of victims. The use of data from official statistical sources (data from population censuses and current statistical records) does not always accurately reflect the real picture of the distribution of the population across the territory, and also does not allow taking into account the intraday mobility of urban residents [4]. Overcoming the existing “methodological barrier” is possible through the use of tools and methods for estimating the real population that have been actively developed in recent years based on the use of data from mobile operators. At the same time, the question of interpreting and applying data of this type in the context of significant daily population fluctuations is still open. In article [5] it was proposed to use the median values of this indicator. The significant gradients that exist in many municipalities of the city show the practical value of such an approach (the median population of such municipalities as Arbat or Dorogomilovo would be far from both the minimum and maximum values). The way out of this situation can be an appeal to the conceptual category of chronogeography - “social time”1 , which provides for the division of the day into time intervals with special properties - pacemakers [7]. Two relatively inert time plateaus - “night” and “day” - can become such time periods, when people, for the most part, are in their places of residence and work, respectively; and two intervals of dynamic decline/rise of population values - “morning start” and “evening finish” - when residents actively move between these life-forming locations spacemakers2 (Table 1). In this context, the determination of the time boundaries of different periods of the day, which, on the one hand, will be characterized by a certain structural stability at the chosen time interval, and, on the other hand, will differ in different areas of the city, is the most important methodological challenge [10], the solution of which will allow not only to give an effective a tool for assessing the real population in a specific time period, 1 “Social time” is the time for the implementation of public functions, different from the standard
astronomical time [6]. 2 Similarly to pacemakers (key time intervals), spacemakers are points or areas on which life
activity is going in the dimension of space [8].
Intraday Dynamics of the Urban Population in Studies of Natural
419
Table 1. The correspondence between social time and standard time. Source: authors. №
Social time element (pacemaker)3
Average standard time intervals
Spacemaker
Explication
1
Morning start
06:00–10:00
Transfer from place of residence to workplace
The start of the mass movement of commuters from places of residence towards workplaces
2
Day
10:00–17:00
Workplace
Time of maximum concentration of the people at the workplaces
3
Night
23:00–06:00
Place of residence
Time of maximum concentration of people in their homes
4
Evening finish
17:00–23:00
Transfer from workplace to place of residence
The start of the mass movement of commuters from workplaces towards places of residence
3 Some of the terms used in the research were introduced by [9].
but will also open up wide opportunities for typology of urban areas according to the vulnerability of their population to possible emergencies. Thus, the aim of the work is to develop a typology of urban areas based on the concept of social time by the nature of the daily population dynamics, as well as to use the resulting typology to assess the vulnerability of urban residents. The study is based on statistical, cartographic and comparative geographic methods. The polygon for empirical analysis in the work is the city of Moscow in the context of municipal districts.
2 Empirical Methodology The resource and statistical base of the work is data on the localization of cellular subscribers for 2019, provided by the Department of Information Technologies of Moscow. The data used was anonymized and pre-processed (including by deleting data on devices with multiple SIM cards, etc.) by the Department’s specialists, after which they were aggregated by Moscow municipalities in the context of half-hour intervals. To study the trends in the daily dynamics of the population residing in the territory of each municipality of Moscow, we have calculated its average numbers for all intervals during the year, covering a similar period of time within a day. Thus, it will be possible to obtain an average indicator value for the selected intraday period. To do this, we use the following formula (1). P_av = (1) (P_i)/j
420
R. Babkin et al.
where: • P_av – average population number in municipality during the particular intraday period; • P_i – population number during any time interval of a chosen intraday period during a year; • j – quantity of time intervals in a year. The calculations carried out make it possible to assess the trends specific to each of the municipalities of Moscow separately, but do not allow them to be correctly compared with each other, since the municipalities of the city differ significantly in the values obtained. To solve this problem, the indicator was transformed to a relative form. As a solution, it was proposed to calculate the deviations of the population value during each intraday period from the median of the average values for all time periods in a day - thus, in the next steps, it will be more correct to graphically reflect the dynamics of population change between time intervals and rely less on possible fluctuations. The calculations were conducted according to the following formula (2): P_dif = P_i/(Me(P_av)) ∗ 100
(2)
where: • P_dif – difference between intraday median population numbers and numbers in particular intraday period; • P_i – population number in particular intraday period; • P_av – set of average population numbers during all intraday periods; • Me – median. By the results of these calculations, we have obtained for plotting intraday population changes in Moscow municipalities and comparing them with each other. According to previous studies, population movement in cities and urban agglomerations is cyclical [11]. The most important of these cycles is the cycle of pendulum labor migration: places of residence and employment, as a rule, are distributed unevenly across the territory of cities, and therefore residents make a pendulum trip to their place of work or study and back. The result of this was the formation of a functional division among different urban areas: there are municipalities with a predominance of residential, administrative and business, etc. functions. An important contribution to the system of cycles of intracity mobility is made by the location in the city of so-called “third places”, which also have a specificity of spatial localization. In the context of the topic, the most important task is to determine the boundaries of various periods of the day. A possible solution could be to determine the points of trend reversal, similar to the so-called “scree” criterion [12]: a change of periods occurs at the moment of a trend change, its acceleration or deceleration. At first glance, this approach is quite logical. However, from an analytical point of view, it also contains some contradictions. For the vast majority of municipalities, it is quite easy to determine the average number of the night population. During the night period, this indicator in the vast majority
Intraday Dynamics of the Urban Population in Studies of Natural
421
of municipalities changes slightly, and with some generalization can be generalized in the form of a mode of values for a given period of time. Estimating the number of daily population is a more difficult task: in the daytime, the dynamics of population change has a peculiar parabolic shape. The “scree” criterion in this case should be applied with extreme caution: it is quite possible that the greatest relative change in trend in a particular area may be observed not at the beginning of the evening or late morning, but at some other moment. For an average estimation of the number of daily population in this case, we can propose the method of “moving average”, when the absolute values of the dynamic series change to arithmetic averages at certain intervals. For the morning and evening periods of the day, the estimate of the average value of the population would not be entirely correct. During these periods of time, an active redistribution of the actual population takes place in the city: the areas of concentration of workplaces begin to lose it, while the residential areas increase it. Despite the different directions of the ongoing changes, in most municipalities of these groups, the changes have the character of a strict progressive trend, and using the average score for the selected period will not be entirely representative: in fact, the average value will be representative only at this point in time. If a particular research problem requires population estimates at the beginning or end of the evening, it seems more accurate to use data for some intraday period required for solving a specific problem. As the primary analysis of the data showed, a special situation is observed in municipalities, for which it is impossible to identify the prevailing trend in the change of the studied indicator. For them, in the morning and evening periods, other trends may be characteristic - local maxima or minima, or, on the contrary, at short time intervals, the number of the actually present population may stabilize. It seems that for them it is possible to use the method of “moving average” in the indicated periods, or, on the contrary, a more fractional division of the evening and day intervals is possible.
3 Typology of Moscow Municipalities According to Temporal Characteristics of Daily Population Dynamics The results of the constructions made it possible to typologize municipalities in accordance with the specifics of intraday trends in population changes. The typology was based on two factors that determined the nature of these trends. The first factor is the general nature of the change in the number of population in the area during the day (i.e., during which periods of the day the area experiences an inflow and outflow of the actual population). On this basis, the municipalities were divided into three types: • “Areas of attraction” - the number of daytime population exceeds the number of night; • “Sleeping areas” - the number of night population exceeds the number of day; • “Intermediate type areas” - it is not possible to distinguish the prevailing trend. The second factor was the temporal trends in the actual population. The analysis of the initial data, as well as other research works [13], allow us to state the presence of
422
R. Babkin et al.
temporal shifts in the key trends in the change in the indicator in different municipalities, which can also be explained by the specifics of their position in the intracity mobility system (in particular, pendulum labor migration system). Therefore, municipalities can be structured into five groups: • “Smooth morning start and evening finish” – with uniform inflow or outflow trends in the morning and evening; • “Dynamic morning start” - with a sharper trend towards the inflow or outflow of the population in the morning; • “Dynamic evening finish” - with a sharper trend towards the inflow or outflow of population in the evening; • “Dynamic morning start and evening finish” - with maximum inflow or outflow in both these periods with some change in trend in the middle of the day; • “Unexpressed morning start and evening finish” – those areas where the key trend is weakly expressed (based on the analysis of a sample of Moscow municipalities, it was decided to classify areas of intraday population influx to the fifth type, where its value does not exceed 10% of the average daily median and areas of intraday outflow, where the value of the latter does not exceed 5% of the same indicator). A comparison of the results of the distribution of municipalities by the two factors and groups presented above makes it possible to distinguish the following types of them, according to the typology scheme (see Fig. 1):
Fig. 1. Scheme of typology of Moscow municipalities according to their specifics of daily changes in the actual population. Source: authors.
Intraday Dynamics of the Urban Population in Studies of Natural
423
The final distribution of Moscow municipalities in regard of their types is shown in the following map (Fig. 2).
Fig. 2. Types of Moscow municipalities by types of dynamics of intraday changes in the actual population. Source: authors.
56 municipalities were classified as “areas of attraction”. Approximately half of them is distinguished by a relatively even distribution of the processes of inflow and outflow of the population in the morning and evening periods. Even in a noticeable number of municipalities of this type, the peak of the actual population is shifted to later evening hours (dynamic evening finish), which can be explained by the concentration of various types of “third places” on their territory - i.e., in all other places visited during the day by the inhabitants of the city, in addition to home and work [14]. Many municipalities from this group are situated in the so-called “business core” of the city. In 8 municipalities assigned to subtype 1b (many of which are located on the territory of so-called New Moscow, situated to the southwest of the Moscow Circle Road), the trend is reversed - the largest population growth peak is shifted to the morning (dynamic morning start), which can be explained by aspects of the labor market (for example, these include Kapotnya, where the Moscow Oil Refinery is located) and a lower level of development of the service sector. In 13 municipalities assigned to subtype 1e (light areas with unexpressed morning start and evening finish), there is a similar general trend towards an influx of population during the daytime; at the same time, it is rather weakly expressed. This group includes a number of urban sub-centers with the so-called “flushing” regime of commuting labor migration [15]: Ramenki, Timiryazevsky, Konkovo, Filyovsky Park and some others. 75 municipalities were assigned to the second type, which is characterized by a daily outflow of the population – so-called “sleeping areas”. In most cases, the outflow is less pronounced as a percentage of the median of the average daily values of the indicator.
424
R. Babkin et al.
Approximately one third of the municipalities are characterized by an outflow pattern; another third is characterized by rapid population growth in the evening. It appears that this category also includes municipalities with a high level of diversity of “third places” serving large areas of residential development. Most of these areas are located on the periphery and semi-periphery of the city. 15 municipalities were assigned to an intermediate type. For them it is impossible to single out the prevailing trend of population change during the day. In some cases, this is due to the specifics of the infrastructure facilities located there (for example, for the Vnukovo and Molzhaninovsky municipalities, on the territory or in the neighborhood of which there are large airports). In other cases, with the presence of transport hubs or other nodes of the transport infrastructure, due to which the municipality occupies a special position in the system of commuting labor migrations. As a rule, many of them are distinguished by low differences in the number of daytime and nighttime population, characterized by the presence of a large number of both places of residence and places of employment (Prospect Vernadskogo, Troparyovo-Nikulino, Golovinsky, Chertanovo Tsentralnoye and some others). Taking into account the dynamic specifics of each specific area will improve the accuracy of estimates of the population residing on their territory at different times of the day. Similar principles can be used to perform calculations for other large cities and urban agglomerations. At the same time, assigning a district to one or another type provides grounds for developing recommendations for assessing the vulnerability of citizens to natural and man-made risks.
4 Results and Discussion The results of the presented typology can be integrated with studies in the field of natural and man-made hazards (for example, [16, 17]), and thus areas of maximum risk in Moscow can be identified. If we abstract from specific types of hazards, then, according to the concept of resilience common in studies of population vulnerability [18], when it is difficult to identify any key threat to citizens, preparation for specific types of situations separately seems to be ineffective. In addition, due to the high complexity of intracity connections, the risk of negative impact associated with the so-called “spillover effects” increases [19, 20]. According to the analysis, special attention should be paid to the territory of the municipalities that are part of the “business core” of the city (mainly areas classified as types 1a and 1c). They experience the greatest relative change in population during the day, and the observed trends are significantly underestimated by official statistics. In addition, due to the peculiarities of the monocentric territorial organization of the city, these areas are characterized by the most intense manifestation of “secondary effects” of emergency situations [21]. Additionally, special attention is required to transit areas (such as in types 3a, 3b, 3c and 3d), since a sharp episodic population growth is recorded on their territory in the morning and evening, when the transport system of the Moscow agglomeration is mostly overloaded. It seems that the municipalities of New Moscow, which are relatively weakly involved in the system of intracity mobility, are the most relatively resilient in the context under
Intraday Dynamics of the Urban Population in Studies of Natural
425
consideration. On their territory (a similar trend is also characteristic of the municipalities of the Zelenograd Administrative Okrug), their own system of local labor markets has developed, to a lesser extent connected with the territory of Moscow within the Moscow Circle Road and its immediate environs. However, despite the reduced vulnerability of the population due to lower density and mobility, the area can be expected to increase the risks caused by its weaker internal transport connectivity (for example, longer travel time for emergency services to the site of a potential emergency, difficulty in accessing citywide prevention infrastructure similar situations). This must also be taken into account in the spatial organization of the activities of urban emergency services.
5 Findings Different areas of a large city can vary significantly in terms of trends in the actual population residing in their territory during different periods of the day. In the case of Moscow, such differences are particularly pronounced: municipalities occupying different positions in the territorial system of intracity commuting labor migration are characterized by multidirectional trends in this process. In some areas of the center of Moscow, the daytime population exceeds the nighttime population by almost 3 times; in a number of residential areas on the outskirts of the city, the population at night is 1.5 times greater than the population during the day. The nighttime population of the majority of municipalities does not change significantly; in the daytime, in most of them, the indicator under consideration is characterized by a parabolic trend. The proposed typology made it possible to categorize the municipalities of Moscow depending on the patterns indicated above. The typology is based on two principles the general nature of the key trend in population change (namely, its inflow or outflow during the day/night) and the presence of temporary shifts in this trend (for example, the acceleration of inflow or outflow in the morning/evening). Special attention was paid to municipalities for which it was not possible to establish the prevailing trend in the indicator, and therefore they were assigned to a special type. The results of the typology can be applied in the context of assessing the vulnerability of the population of Moscow to emergency situations. Particularly, it can be used to correct the most important elements of protecting the population from potential dangers, which are currently based on official statistics. We are talking about optimizing the volumes and locations of material and human resources necessary to mitigate such situations, adapting the actions of emergency services, taking into account intraday trends in the population of various territories of the city. For example, the formation and deployment of the necessary reserves to eliminate the consequences of emergency situations must be carried out taking into account the largest recorded values of the intraday population. Also, in some of municipalities it would be necessary to further increase the amount of resources used, laying in them a certain limit (for example, 5– 10% of the fixed values) for a possible episodic increase in the influx of the population (which may be caused by holding mass events or organizing other places where a large number of people gather). The presented typology can also be used to solve a wide range of other problems that require an assessment of the actual population of urbanized territories in a given
426
R. Babkin et al.
time period (in the field of traffic flow regulation, planning the placement of new places of employment and social facilities, housing construction, etc.). Acknowledgements. The research was funded by Russian Foundation for Basic Research and Moscow city Government according to the project 21–35-70004.
References 1. Revision of World Population Prospects. https://population.un.org/wpp 2. Baburin, V.L., Badina, S.V.: Assessment of the socio-economic potential of the territory subject to adverse and dangerous natural phenomena. Vestnik Moskovskogo Universiteta, Seria Geographia. 5, 9–16 (2015). [in Russian] 3. Badina, S.V., Babkin, R.A.: Assessment of the vulnerability of the actual population of Moscow to natural and man-made hazards. InterCarto InterGIS 27, 184–201 (2021). [in Russian] 4. Babkin, R.A.: Estimation of the population of municipalities in the Moscow metropolitan region according to the data of mobile operators. Vestnik Moskovskogo Universiteta Seria Geographia 4, 116–121 (2020) 5. Badina, S., Babkin, R., Mikhaylov, A.: Approaches to assessing the vulnerability of large city population to natural and man-made hazards using mobile operators data (Case Study of Moscow, Russia). In: Wohlgemuth, V., Naumann, S., Behrens, G., Arndt, H.-K. (eds.) ENVIROINFO 2021. PI, pp. 171–186. Springer, Cham (2022). https://doi.org/10.1007/9783-030-88063-7_11 6. Sorokin, P.A., Merton, R.K.: Social time: a methodological and functional analysis. Am. J. Sociol. 42, 615–629 (1937) 7. Hägerstrand, T.: The domain of human geography. In: Chorley R.J. (ed.) Directions in Geography, pp. 67–87. Methuen, London (1973) 8. Petrov, N.V.: Spatio-temporal analysis in social geography: Main achievements and research directions of the Swedish school (T. Hagerstrand). VINITI, Moscow (1996). [in Russian] 9. Ahas, R., et al.: Everyday space-time geographies: using mobile phone-based sensor data to monitor urban activity in Harbin, Paris, and Tallinn. Int. J. Geogr. Inf. Sci. 29, 2017–2039 (2015). https://doi.org/10.1080/13658816.2015.1063151 10. Ahas, R., Silm, S., Järv, O., Saluveer, E., Tiru, M.: Using mobile positioning data to model locations meaningful to users of mobile phones. J. Urban Technol. 17, 3–27 (2010). https:// doi.org/10.1080/10630731003597306 11. Makhrova, A.G., Babkin, R.A., Kazakov, E.E.: Dynamics of daytime and nighttime population as an indicator of structural and functional changes in the territory of the city in the zone of influence of the Moscow Central Ring using data from mobile operators. Kontury globalnykh transformatsiy: politika ekonomika pravo 13, 159–179 (2020). [in Russian] 12. Loiko, V.I., Romanov, D.A., Shaposhnikov, V.L., Kushnir, N.V., Kushnir, A.V.: The scree method as a basis for solving metrological problems in the social and humanitarian fields of knowledge (on the example of problems in economics, pedagogy and sociology). Politematicheskiy setevoy elektronny nauchny zhurnal Kubanskogo Gosudarstvennogo Agrarnogo Universiteta 129, 1382–1406 (2017). [in Russian] 13. Çolak, S., Alexander, L.P., Alvim, B.G., Mehndiratta, S.R., González, M.C.: Analyzing cell phone location data for urban travel: current methods, limitations, and opportunities. Transp. Res. Rec. 2526, 126–135 (2015). https://doi.org/10.3141/2526-14
Intraday Dynamics of the Urban Population in Studies of Natural
427
14. Soja, E.W.: Thirdspace: toward a new consciousness of space and spatiality. In: Communicating in the third space, pp. 63–75. Routledge (2008) 15. Makhrova, A.G., Bochkarev, A.N.: Analysis of local labor markets through labor pendulum migrations of the population (on the example of Moscow municipalities). Vestnik SaintPetersburg Univ. Earth Sci. 63, 56–68 (2018). [in Russian] 16. Kislov, A.V., Alekseeva, L.I., Varentsov, M.I., Konstantinov, P.I.: Climate change and extreme weather events in the Moscow agglomeration. Meteorol. Gidrol. 7, 64–76 (2020). [in Russian] 17. Mironova, V., Shartova, N., Beljaev, A., Varentsov, M., Grishchenko, M.: Effects of climate change and heterogeneity of local climates on the development of malaria parasite (plasmodium vivax) in Moscow megacity region. Int. J. Environ. Res. Public Health 16, 694–695 (2019). https://doi.org/10.3390/ijerph16050694 18. Bergstrand, K., Mayer, B., Brumback, B., Zhang, Y.: Assessing the relationship between social vulnerability and community resilience to hazards. Soc. Indic. Res. 122(2), 391–409 (2014). https://doi.org/10.1007/s11205-014-0698-3 19. Cutter, S.L., Finch, C.: Temporal and spatial changes in social vulnerability to natural hazards. Proc. Natl. Acad. Sci. 105, 2301–2306 (2008). https://doi.org/10.1073/pnas.071037510 20. Ward, P.S., Shively, G.E.: Disaster risk, social vulnerability, and economic development. Disasters 41, 324–351 (2017). https://doi.org/10.1111/disa.12199 21. Gill, D., Ritchie, L.: Considering cumulative social effects of technological hazards and disasters. Am. Behav. Sci. 64, 1145–1161 (2020). https://doi.org/10.1177/0002764220938112
Territory and Space in Modern Geographical Reality T. A. Balina(B)
, R. S. Nikolaev , K. S. Osorgin , M. A. Pospishenko, V. A. Stolbov , and L. Yu. Chekmeneva Perm State University, Perm 614990, Russia [email protected]
Abstract. The article reveals the essence of the transformation of the key categories of geographical science «territory» and «space» in the context of modern processes of socio-economic development of society; geographical matter is considered as a philosophical foundation for theoretical and methodological studies of territorial development. The article analyzes the features of the development of the tertiary sector of the economy as a «branch» of the territory and space in the conditions of innovative development, digitalization of modern society and its spheres of life. It is shown that the spatio-temporal development of society raises new questions for socio-economic geography, requires a rethinking of the traditional interpretation of basic scientific categories. At the present stage of social development, space becomes multidimensional, very dynamic and more and more complicated. The information and virtual space are acquiring the features of a new reality that needs to be studied and widely used in practice, in particular for the development of the service sector. On the example of a virtual tourist and recreational space and trade via the Internet, the complication of geographical space is shown. It is emphasized that in the context of digitalization, territorial communities of people are reaching a new level of self-organization, creating communities in social networks, where they solve vital issues. Keywords: territory · space · geographic space · virtual space · information space · service sector · population self-organization
1 Introduction The complication of forms of geographical matter, the diversity of conditions and directions of life of a modern person, the expansion of the technical capabilities of geographical research leads to significant changes in the content of the categories “territory” and “space”. In the recent past, territory and space could, with a certain degree of conventionality, be regarded as synonyms (although professional geographers have always separated them, filling them with different content), but in the new reality they are increasingly different. The space began to expand rapidly, new layers, forms and spheres appeared – informational, economic, strategic, virtual, cultural, political and other spaces. Social © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 E. Isaeva and Á. Rocha (Eds.): Perm Forum 2022, LNNS 622, pp. 428–434, 2023. https://doi.org/10.1007/978-3-031-28086-3_36
Territory and Space in Modern Geographical Reality
429
networks have become so firmly established in our lives that it is time to talk about the privacy and security of the Internet space. Therefore, geographers need to revise traditional categories and definitions. The introduction of new technologies and the digitalization of many spheres of the life of society opens up great opportunities for science. It requires updating approaches to the study of basic geographical categories in a changing world.
2 Materials and Methods The philosophical basis of theoretical research on the transformation of the definitions of «territory» and «space» is the scientific category “geographical matter”, which is presented as an obligatory and necessary prerequisite for human life in all its forms and manifestations. As the basic postulate of materialistic philosophy says, being determines consciousness. Although territory and space are still often perceived as synonyms, the territory is more connected with this “being”, that is, the material basis for the development of society, and “consciousness” and all its social essence stems mainly from space. The space goes far beyond the territory of the country or region, expanding the boundaries of the habitat of the society, expanding the scope of its interests. The territory and the territorial community of people formed within it acquire new tools of spatial distribution: investment attractiveness, image, symbolic capital, reputation, etc. [1]. The geographical space is outlined by the space of people’s life activity. Its scale extends from individual (personal) space to the boundaries of hypothetical knowledge (noosphere), far beyond the geographic envelope. Being filled with new content the geographical space allows a modern person to realize his needs for information, communication, self-realization, business, etc. For geographical science in general and domestic geography, in particular, the categories “territory” and “space” are basic, deeply studied and worked out in detail [2–5], etc. Nevertheless, further study of the fundamental categories of geography has not lost its relevance: “geographical space”, “geographical time”, “geographical patterns and laws”, “district”, “region”, etc. These categories are attributes of a special geographical form of matter, without the existence of which they lose any meaning. According to the prominent economic geographer Yu.G. Saushkin, the solution of these theoretical issues lies in the field of metageography. It is this section of geographical knowledge that is intended to justify the place and role of geography in the philosophical system of categories, to reveal its ontological and epistemological functions [6, p. 11–20]. Considering geographical space as an integral attribute of geographical matter, it is necessary to rely on the vast experience of philosophical thought. In the middle of the twentieth century, academician B.M. Kedrov expanded the classification of the forms of existence of matter by F. Engels. In addition to the five main ones, he identified a number of so-called “complex” forms, which included the geological form of matter, which plays the role of conditions and prerequisites for the progressive development of nature, providing the necessary conditions for the emergence and existence of all living things [7, p. 281]. The Permian philosopher V.V. Orlov proposed to supplement basic forms of matter with a number of complex ones: “astronomical”, “geological” and, most importantly,
430
T. A. Balina et al.
“geographical”. As the scientist emphasized, geographical matter acts as a necessary condition for the emergence and development of the main social form of matter and a prerequisite for the emergence of its “social body” – a part of the natural environment known and transformed by man [8].
3 Results Thanks to the close and fruitful cooperation of scientific schools, Permian geographers creatively accepted the ideas of philosophers. As a result, the theory of the geographical form of matter received an interesting new interpretation, according to which the geographical form of matter is considered as complex, serving as a prerequisite for the emergence and further development of the highest form of matter - social. The development of the social form of matter has many directions, among which are the transformation of the natural environment, the development of activities, the complication of the conditions of its existence, the creation of territorial “cells” of society. For various reasons, the latter are transformed into special forms of the territorial organization of society - various kinds of socio-economic regions, territorial socio-economic systems (TSES), territorial social systems (TPS), which serve as an object of study of socio-economic and social geography. In the works of M.D. Sharygin repeatedly emphasized that geographic matter has various spatio-temporal forms, the earthly projection of which is the territory, which serves as the basis for the life of the population and a multi-purpose resource. The territory not only performs the functions of consolidation, uniting all spatial components, phenomena and processes, but also plays the role of the basis of social development aimed at improving the well-being of people. The territory is endowed with potential, which is realized in the conditions, level, quality and lifestyle of the population living here. In modern geography, this thesis is especially important, since the territory has become not just a “bridgehead” for the location of production, the environment for people’s lives, but also a “home”, where natural resource, climatic, economic, social, environmental, political and other conditions affect life, mood, state of health, well-being, well-being, formation of symbolic capital. The combination of various forms of capital (along with symbolic ones - natural, social, economic) within various places forms a reputation, image (brand), which work to recognize the region (territory), lay the foundation for potential benefits. In other words, the task of the local community is the conversion of symbolic capital into socioeconomic capital. In this case, the territory receives an incentive for its development, a prospect, reinforced by the desire of representatives of the local community to permanently reside in this territory. Of course, this is possible only if the efforts of members of local communities united by a common idea are consolidated [9]. For the Perm geographical school, the most significant theoretical and methodological achievement in the study of territory and geographical space is the doctrine of the “territorial social system” (TPS), which is a conceptual model of the region and allows us to consider both abstract, metageographic phenomena and processes of interaction between nature and society, and specific features of territorial social development. The core of TOS is the “territorial community of people” (TOL), which is a relatively independent cell of the territorial structure of society. It is a society that has historically
Territory and Space in Modern Geographical Reality
431
formed within the boundaries of the living space with its natural resources, production and social sphere, etc. TOL is distinguished by relative spatial isolation, qualitative and quantitative characteristics of the population, mentality, a system of moral norms, interests, values, behavioral stereotypes, etc. In modern geographical science, the need to study the information space (cyberspace, cyber environment, infosphere) is especially emphasized. The information space is closely connected with the formation of the information post-industrial society, disclosed in the works of I. Masuda, D. Bell, M. Castells, E. Toffler, V.L. Inozemtseva and others, with the introduction of basic innovations and innovative communication technologies into the life of society. Basic (epoch-making) innovations became the technical basis for the emergence of a new information society. The advent of microprocessors and personal computers has allowed new information and communication technologies to become the locomotive of globalization. Information in space existed before, but it did not have a network character. The intensive introduction and interweaving of modern computer technologies and communication services, penetrating into all spheres of public life, the rapid spread of local and global networks create a fundamentally new quality of information exchange. Entering the post-industrial stage, society faced a change in the place, role, content of information in it. In the information society, a new type of personality began to form, a new culture based on awareness, science, education, and morality. Modern electronic technology has opened up wide possibilities for modeling the life and thinking of people [10]. Creative creation, the creation of a new infrastructure based on microprocessors, made it possible to transfer the activities of modern man to a new spatial level, from three-dimensional space to metaspace, including information space and virtual space. At the turn of the millennia, at least two types began to be distinguished in the structure of human activity: spatial (creation, transmission, receipt, processing and transmission of information) and territorial. They can manifest themselves in one process simultaneously, or sequentially, continuously flowing one into another, or be discrete. With the advent of virtual space, human activity goes beyond the geographic space. In space, services are concentrated, primarily informational, “which is understood as information activities to bring information products to the user, carried out in a certain form” [10, p. 308], as well as financial, trade, tourism, educational, etc., as well as labor relations (remote work). Material production remains less and less “attached” to the territory. It goes into the water area, aerotoria, geotoria (underground space) and space. It is necessary to note the communicative role of the information space. Through the information and communication space, for example, the connection between material production and consumption is carried out. It is important to emphasize that, while remaining in the physical body and in a specific territory, a person produces and consumes real products, he goes more and more to other layers of space, transferring to them not only communication and receiving information, but also various services. The territory “enters” us, becoming an internal component of human existence. Leaving the territory, a representative of the local community in any case retains a certain part of it, which is reflected in behavior, worldview and relationships with the
432
T. A. Balina et al.
external environment and representatives of other communities. In the conditions of the modern digital world, a person who has not managed to become a member of the local community often looks for an alternative - goes into the virtual space. In social networks, groups of people are formed who organize themselves not according to their place of residence, but according to their place in the information field. They may never meet “live”, but spend time, financial and emotional resources on intellectual interaction [11, 12]. Self-organization of people these days is moving from face-to-face meetings to chats, from meetings on the street to meetings on Zoom or Skype. The media activity of representatives of local communities in the virtual space sometimes makes it possible to more effectively and quickly resolve everyday issues: organizing cleaning of the territory, approving budgets for major repairs, coordinating the time of silence in the entrances, etc. Other spheres of the life of society are also actively developing in the virtual space, for example, formation of a comfortable urban environment [13]. Thus, information and virtual spaces influence the formation of new qualities both in individual components of territorial social systems (production, social, managerial, cultural, etc.), including in territorial communities of people, and in TOS as a whole. Information and virtual spaces, projected onto the territory, are refracted in the territorial community of people. At the same time, the territory also acquires new virtual qualities, which is manifested, for example, in the processes of self-organization of society.
4 Discussion The transformation of the content and the relationship between the concepts of “territory” and “space” is especially vivid when studying tourism as a particularly dynamic and multifaceted sphere of the world economy. In the modern information society, along with the real tourist and recreational territory, which was often identified with the tourist and recreational space, new “layers” of space are rapidly forming and developing, allowing you to travel and get impressions without leaving your computer. Under these conditions, tourist and recreational activities can be considered as a “branch” of the territory and space. A virtual tourist and recreational space is an illusion that is created with the help of computers and the latest software. The need for virtual tourism products and excursion services increases significantly in the context of limited mobility of the population due to various constraining (social, economic, political, etc.) factors. At the same time, the digital technologies used make it possible to create impressions for tourists at a very high level. So, in a pandemic, the impossibility of being physically present in the desired place has largely translated travel into a digital reality. These processes were especially activated during the so-called covid period. The pandemic has significantly affected many areas of public life, significantly strengthening the already existing trends in the “leaving” of a number of activities in the information space. This is especially evident in the area of trade. The example of the two largest companies (Wildberries and Ozon) can illustrate this process. Wildberries, presenting the results of activities for 2021, named the development of an online platform for entrepreneurs, the digitalization of business processes and
Territory and Space in Modern Geographical Reality
433
the improvement of services to enter new markets as the main areas of its work. The turnover from sales of goods and services in 2021 increased by 93% and amounted to 844 billion rubles, and the number of orders increased by 146% and reached 808.6 million. Customers purchased over 1 billion goods through Wildberries, which is 81% more than in 2020 the most demanded goods were clothes, shoes and accessories, goods for home and garden, cosmetics and perfumes. At the end of 2021, the Wildberries consumer audience amounted to 113 million users. This year, over 410,000 new entrepreneurs came to the online platform, which is more than in the entire 17-year history of the company. During the pandemic, Wildberries entered the markets of 11 new countries - the USA, Great Britain, Germany, France, Italy, Spain, Moldova, Lithuania, Latvia, Turkey and Estonia. Currently, Wildberries is actively building up its IT team, working on in-house projects, automating tax reporting, etc. [14]. Ozon is a leading player in the market and one of the most valuable Russian Internet companies according to Forbes. The company provides customers with the widest range of products and delivers them “to the door” throughout Russia. In 2021, the turnover from sales of Ozon goods and services increased by 125%. To date, Ozon has about 80 million product names, more than 90 thousand sellers on the marketplace, 1 million m2 total area of fulfillment factories along with sorting centers, and the growth in orders over the year has amounted to more than 200%. In 2021, Ozon began active expansion into Belarus and Kazakhstan. Here the company intends to develop its own logistics infrastructure and a trading platform for local entrepreneurs. The staff of Ozon’s own IT laboratory has expanded to 800 employees. Ozon helped provide Russian residents with everything they needed during the period of self-isolation due to the pandemic and achieved record growth rates in a year [15]. In a pandemic, the delivery of medicines, food, and so on has intensified in society. Through the Internet. Even Sberbank penetrated into this new niche of economic activity. But no matter how virtual the process of ordering, paying and monitoring the delivery of goods, the production itself is tied to the territory where it is produced. Thus, using the example of two retail chains, one can observe the development of the information space, which significantly affects the territorial organization of the life of society.
5 Findings As a conclusion, we note that considering the transformation of the concepts of “territory” and “space” in the new geographical reality and stating the change in their content, it must be emphasized that very interesting and important theoretical and methodological directions are being formed for modern geographical science. The expansion of space, the development of information, virtual and other forms of it, requires a qualitative renewal from the territory, puts forward new requirements for the qualitative characteristics of the territory. The very territory in which a person lives must have a new infrastructural quality, which implies the presence of an information infrastructure, Internet access, and computer literacy of the population. The requirements for equipping the territory with
434
T. A. Balina et al.
transport and logistics systems (for the delivery of goods), special educational programs (for distance learning), etc. are increasing. The information space affects not only the service sector and many types of activities (tourism, trade, education, etc.), but also changes the stereotypes of the population’s behavior, the state of TCP, and brings the population to new levels of self-organization. In the modern world and our geographical reality, the territory as a scientific category has been studied comprehensively and deeply, which does not prevent its theoretical consideration from new positions. The geographic space in this aspect acquires even more complex new layers and forms, which is determined by the rapid progress and development of information capabilities.
References 1. Balina, T.A., Stolbov, V.A., Chekmeneva, L.Yu., Melnikov, E.R.: Territory image: issues of conceptual and terminological systematization and formation. Bull. Udmurt Univ. Ser. Biol. Earth Sci. 30(4), 473–483 (2020). https://doi.org/10.35634/2412-9518-2020-30-4-473-483 2. Alaev, E.B.: Socio-economic geography: actual problems of scientific development (USSR). Izvestiya Akademii Nauk SSSR, Seriya Geograficheskaya. 4, 89–94 (1980) 3. Gorkin, A.P.: Space and territory. Sots-econom geography. Concepts and terms. Dictionary reference. Oikumena, Smolensk (2013) 4. Sharygin, M.D., Stolbov, V.A.: Geographical thought: new facets of the phenomenon. Izvestiya Vsesoyuznogo Geograficheskogo Obshchestva 123(3), 239–246 (1991) 5. Ovchinnikov, V.N., Ketova, N.P., Druzhinin, A.G.: Structural change in regional economy and local markets development. Terra Economicus 17(2), 77–95 (2019). https://doi.org/10. 23683/2073-6606-2019-17-2-77-95 6. Saushkin, Yu.G.: From metageography to theoretical geography. Geography in the system of sciences. Nauka, Leningrad (1987) 7. Kedrov, B.M.: The Subject and Relationship of Natural Sciences. Nauka, Moscow (1967) 8. Orlov, V.V.: Matter, Development, Man. Perm State University, Perm (1974) 9. Stolbov, V.A., Sharygin, M.D.: Regional potential and regional capital: “possible” – “real” – “necessary.” Econ. Region 12(4), 1014–1027 (2016). https://doi.org/10.17059/2016-4-4 10. Smirnov, A.I.: Information Globalization and Russia: Challenges and Opportunities. Parade Publishing House, Moscow (2005) 11. Osorgin, K.S.: The concepts of “place” and “local community”: approaches to interpretation. Geogr. Bull. 1(44), 83–89 (2018). https://doi.org/10.17072/2079-7877-2018-1-83-89 12. Shuper, V.A.: Self-organization at the turn of the trajectory of socio-economic development: challenges for Russia. Izvestiya Rossiiskoi Akademii Nauk. Geogr. Ser. 1, 147–155 (2020). https://doi.org/10.1134/S2079970520030120 13. Subbotina, T., Merckushev, S., Stolbov, V., Kochetkova, L.: Green spaces as an element of the urban environment: their functioning and transformation. In: Rocha, A., Isaeva, E. (eds.) Perm Forum 2021. LNNS, vol. 342, pp. 123–133. Springer, Cham (2022). https://doi.org/10. 1007/978-3-030-89477-1_12 14. Wildberries. Basic indicators. Electronic resource. https://www.wildberries.ru/presscenter/art icles/oborot-wildberries-vyros-na-93-do-844-mlrd-rub-v-2021-g. Accessed 21 Apr 2022 15. About Ozone. Official site. Electronic resource. https://corp.ozon.ru/#!/tab/315144579-1. Accessed 21 Apr 2022
Innovations and Technologies in Interdisciplinary Applications in Biosciences
Memory CD4+ T-cells in HIV-Infected Immunological Nonresponders are Prone to Apoptosis When Cycling Evgeniya Saidakova1,2(B)
, Larisa Korolevskaya1
, and Konstantin Shmagel1
1 Institute of Ecology and Genetics of Microorganisms, Ural Branch of the Russian Academy of
Sciences, Perm, Russia [email protected] 2 Perm State University, Perm, Russia
Abstract. Immunological nonresponders (INRs) are HIV-infected patients that poorly restore CD4+ T-cell counts despite the efficient viral suppression upon highly active antiretroviral therapy. In INRs blood, the frequency of T-helper cells entering the cell division cycle is increased. Nevertheless, no efficient CD4+ Tlymphocyte gain is observed. The aim of the present study was to investigate the viability of cycling CD4+ T-cells received from INRs. Fifty seven subjects were studied: INRs (n = 16), immunological responders (IRs; n = 21); healthy controls (n = 20). Cycling (CD71+ ) and resting (CD71– ) naive and memory CD4+ T-cells were analyzed by flow cytometry. Their apoptotic gene profile was studied with the microarray technique. It was shown that in INRs, the majority of cells involved in lymphopenia-induced proliferation are memory CD4+ T-lymphocytes. These cells exhibit a pro-apoptotic gene expression profile. And their apoptosis indices are negatively correlated with the peripheral CD4+ T-cell counts in HIV-positive subjects. Thus in INRs, homeostatic proliferation of memory CD4+ T-lymphocytes is initiated as a mechanism to restore the T-helper pool size. But unlike IRs, INRs do not overcome the immunodeficiency due to the extensive apoptosis of memory CD4+ T-cells that enter the cell division cycle. Keywords: HIV-Infection · Immunological Nonresponders · CD4+ T-cells · Cycling · Apoptosis
1 Introduction HIV-infection is characterized by the progressive CD4+ T-cell lymphopenia development. Highly active antiretroviral therapy (HAART) inhibits viral replication resulting in a CD4+ T-lymphocyte count increase. However, as much as 20% of patients do not experience CD4+ T-cell regeneration despite HAART-induced viral load suppression [11]. These patients are referred to as “immunological nonresponders” (INRs) and their intrinsic response to HAART is termed as “discordant”. INRs are characterized by an increased risk for AIDS-associated diseases, non-AIDS-associated illnesses, and death than do HIV-positive subjects who restore their CD4+ T-cell counts upon treatment © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 E. Isaeva and Á. Rocha (Eds.): Perm Forum 2022, LNNS 622, pp. 437–443, 2023. https://doi.org/10.1007/978-3-031-28086-3_37
438
E. Saidakova et al.
[4, 10]. Thus, discordant response to HAART is a challenging issue in a fight against HIV-infection. In INRs, a large portion of CD4+ T-lymphocytes appear to be prone to apoptosis [6]. Substantial cell death is generally accepted as one of the major reasons for poor CD4+ Tcell regeneration in these patients [2]. Still the triggers for CD4+ T-cell apoptosis remain elusive. As a rule, CD4+ T-lymphopenia induces homeostatic proliferation: T-cells activate and divide in response to signals from cytokines (IL-7 and IL-15) and self-antigens presented by molecules of the major histocompatibility complex [1]. Indeed, the frequency of proliferating CD4+ T-cells was shown to be increased in INRs compared with those who gave a standard response to HAART [5, 7]. However, unlike the latter, INRs do not gain CD4+ T-cells despite their intensive cycling. It is fair to assume that in INRs, CD4+ T-lymphocytes die while attempting to divide. The aim of the present study was to investigate the viability of cycling CD4+ T-cells received from HIV-infected immunological nonresponders to highly active antiretroviral therapy.
2 Materials and Methods 2.1 Patients The study was approved by the Institutional Review Board (IRB00008964). All participants provided written informed consent. Three groups were examined: 1. HIV-infected immunological nonresponders to HAART (INR; CD4+ T-cells below 350/ul; n = 16); 2. HIV-infected immunological responders to HAART (IR; CD4+ T-cells above 350/ul; n = 21); 3. Healthy controls (HC; n = 20). All HIV-infected subjects had been receiving HAART for more than two years. Treatment regimens were similar between the groups and typically included two nucleoside reverse transcriptase inhibitors in combination with ritonavir-boosted protease inhibitor or non-nucleoside reverse transcriptase inhibitor. No prolonged HIV viral blips were detected. 2.2 Plasma Samples for HIV Viral Load Testing Plasma levels of HIV RNA were assessed with PCR-based technique using Versant HIV1 RNA 3.0 assay b kit (Siemens, Germany) according to manufacturers’ instructions. 2.3 Blood Samples for T-cell Phenotyping Approximately 30 ml of blood were taken from each participant into EDTA-treated tubes. Peripheral blood mononuclear cells (PBMC) were isolated using Diacoll-1077 (Dia-M, Russia) density sedimentation. PBMC were cryopreserved in heat-inactivated fetal calf serum (Biowest, Columbia) and dimethyl sulfoxide (AppliChem, Germany) and stored in liquid nitrogen until use.
Memory CD4+ T-cells in HIV-Infected Immunological Nonresponders
439
2.4 Monoclonal Antibodies and Fluorescent Dyes The list of monoclonal antibodies used for cell phenotyping included: anti-CD71-BV421, anti-CD3-AF700 (BD Biosciences, USA), anti-CD45RA-BV650, anti-CCR7-PE-Cy7 (Biolegend, USA), anti-CD4-Qdot605 (Invitrogen, USA). Cell viability was assessed with the LIVE/DEAD Fixable Aqua Dead Cell Stain Kit (Invitrogen, USA). 2.5 Flow Cytometry PBMC were thawed and analyzed with BD LSR Fortessa flow cytometer (BD Biosciences, USA). Helper T-cells (CD3+ CD4+ ) were clustered into CD45RA+ and CD45RA– subsets corresponding to naïve and memory cells. Memory CD4+ T-cells positive for CCR7 were considered to be central memory; negative for CCR7 – effector memory. Cycling lymphocytes were identified as cells positive for surface transferrin 1 receptor (CD71) that is known to show a strong correlation with the Ki-67 expression. Cell subsets were gated using FMO (Fluorescence Minus One) controls. 2.6 Microarray Twenty thousand CD3+ CD4+ CD45RA– CD71+ and CD3+ CD4+ CD45RA– CD71– cells were sorted out of the cryopreserved PBMC received from INRs (n = 6), IRs (n = 6) and HCs (n = 6). Total RNA was isolated (Qiagen Kit, USA), stepwise converted to complementary DNA and biotinylated complementary RNA, and hybridized with the Illumina HT-12V4 expression bead chips (Illumina, USA), which were quantified using Illumina GenomeStudio software (Illumina, USA). 2.7 Statistical Analysis Medians and interquartile ranges (25–75 percentiles) are reported. Groups were compared by means of Mann-Whitney U-test. Correlation analysis was performed using the Spearman’s rank correlation method. Analysis of the microarray data was fulfilled with the Bioconductor R software. Transcriptional profiling was executed as described elsewhere [12].
3 Results and Discussion 3.1 Clinical Groups Subjects from 3 clinical groups were of comparable age (Table 1). Women were overrepresented in each group. The known duration of HIV-infection and HAART were similar between INRs and IRs. Nadir CD4+ T-cells were lower in INRs than in IRs, as were the CD4+ T-lymphocyte counts during the study. None of HIV-positive subjects had CD4+ T-cell counts being restored to the level of HCs.
440
E. Saidakova et al.
Table 1. Clinical characteristics of HIV-infected immunological nonresponders and immunological responders to highly active antiretroviral therapy Parameters
Immunological Nonresponders
Immunological Responders
Healthy Controls
1
2
3
Examined patients, n
16
21
20
Age, years
35 (32–40)
34 (31–42)
31 (26–35)
Women, %
75
81
60
Infection duration, years 8 (5–9)
8 (7–11)
–
Nadir CD4+ T-cells, cells/µl
150 (53–165) P1–2 < 0.02
170 (140–180)
–
Therapy duration, years
3 (3–4)
4 (3–5)
–
HIV viral load, copies/ml
Everyone understood that he would decisively and firmly lead the troops and people to fight against the external force of the Bolsheviks and the internal Bolshevism and lead us to victory”[Perm, February 22]. Although the two prominent figures of Perm Operation were E. Urbankovsky and General Pepelyaev, the newspapers stressed the valour of the Siberian Army and Kolchak’s leadership rather than those officers’ successful command: “The Supreme Chief of the Russian Army and the Russian Fleet visits the liberated city - the first big city taken by his victorious young troops” [Perm, February 18]; “Near Perm, the Siberians once again let the Bolsheviks feel the strength and power of the Siberian Rifleman” [The Capture of Perm]. In contrast, the enemy received an extremely negative assessment both in terms of military leadership, army morale, and the management of occupied territories. The Bolsheviks are given expressive epithets: “Bolshevik Ringleaders” [Telegrams, April 1, 1919], “yoke” [Izhevsk-Votkinskaya epic, March 13, 1919], “gangs” [Military review, April 20, 1919], “vermine”, from which the territory must be “cleared” [Military Review, April 13, 1919; Military review, April 20, 1919]. The most common phrase to characterize the enemy’s actions was “Bolsheviks’ atrocities”. The newspapers accuse the Bolsheviks of both marauding and murders: “Citizens’ property, even beds, was taken away by the Bolsheviks. They took away all food bag and baggage. < . . . > The atrocities of the Bolsheviks in the city have reached terrible proportions. Over a thousand local people were shot” [Telegrams, March 18, 1919]. No. 57 dated March 26, 1919 repeats the same phrases without changes in the article “In Liberated Ufa”. The Reds also were reported to be commit crimes outside the Russian borders: “…the Bolshevik atrocities in Estonia. < . . . > Eyewitnesses of this massacre, who managed to escape, spoke about the terrible scenes during the execution of innocent victims. < . . . > In Narva, 80 women were killed, all of them were thrown into the river with stones around their necks” [Telegrams, March 12, 1919]. Another fairly common description of the Bolsheviks concerned the use of terror as the primary instrument of bending people into submission: “the Bolsheviks – who are organized and armed amid general disorganization - keep the people in obedience
626
L. Obukhov et al.
with terror” [National Center…]. Terror could be referred to as “Red” and “Bolshevik”: “…a call for the construction of a new free Russia, which will be equally far from many years of black oppression on the right and from the nightmarish red terror on the left” [Telegrams, January 17, 1919]; “The public has experienced all the horrors of the red terror” [Telegrams, April 1, 1919], “are running away from Moscow, fleeing the terror of the “state of emergency” [In Moscow]. The newspapers also stress that Western politicians had the same opinion about the Bolshevik government: “We are negotiating with the power of terror, based on the anarchist proletariat in the capitals” [Telegrams, February 1, 1918].
4 Conclusion The public residing in Perm had had a rumour-based positive image of the Siberian Army even before the latter took Perm. This manifested itself when the troops entered the town. This positive image contributed to the higher number of volunteers joining the Army, although this form of recruitment was clearly insufficient and was followed by forced mobilization [9]. When the Siberian Army was prevailing, entire units of the Reds defected to its. The Army’s failures led to the opposite situation: mass defections from Whites to the Reds (like two regiments near Kosoturikha (Solikams and Dobryanka uyezds), and a sharp increase in the number of deserters. In 1920 local Bolsheviks had persuaded the SRs and Mensheviks to co-operate with them and put Kolchak on trial [10, p. 124]. The positive image was inevitably destroyed despite all the campaigning and propaganda efforts and the issuance of strict orders. Having compared the Whites and the Reds, the public chose what they thought to be the lesser evil. It can be noted that the “white” periodicals had difficulty with distribution, which could not but affect the result of the campaign. In addition, the leaders of the antiBolshevik governments recognised the need for outreach and propaganda activities much later than the Bolsheviks, who had created a powerful propaganda machine in late 1917 and early 1918. Unlike the Whites, the Bolsheviks actively used oral outreach, which proved a more effective way of political campaigning in a country where the majority of population was illiterate. The verbal images constructed by Svobodnaya Perm, Sovremennaya Perm and Otechestvo were repeated from issue to issue, thus becoming stereotypical. The newspapers used a limited range of set phrases, tropes and clichés to depict them. The most frequently evoked images belonged to the military sphere: the soldiers of the Siberian Army were presented as valiant liberators, successful in their actions and rarely failing. The allied and Czechoslovak troops were also characterized positively as supporters of the revival of the great Russia in its struggle against the “Red vermine”. The image of the Supreme Ruler was constructed around his personal qualities, a description of the successes of his army, and his stance in opposition to the policies and goals of the Bolsheviks. Acknowledgments. The article was written with the financial support of the Russian Foundation for Basic Research, project No. 20-09-00443 “Ideological, Political and Propaganda Discourses of the Whites and the Reds in the Media War on the Eastern Front of the Civil War (based on newspapers of 1918-1922)”.
The Image of the Siberian Army in the Press
627
Sources 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17. 18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34. 35. 36. 37. 38. 39. 40.
At the Reds’ // Svobodnaya Perm. 1919. No. 34. 26 Feb. p. 2. Bolshevik Offensive in Amur Region // Svobodnaya Perm. March 12, 1919. P. 2. Bolshevik radio // Svobodnaya Perm. March 27, 1919. No. 58. P. 2. Ceremonial // Svobodnaya Perm. 1919. No. 29. Feb 18 p. 2. Details of the Capture of the Votkinsk Plant // Sovremennaya Perm. 1919. No. 73. April 15. P. 2. Finally // Svobodnaya Perm. 1919. No. 23. Feb 9. P. 2. From the front // Sovremennaya Perm. 1919. No. 70. April 11. p. 2. From the front // Sovremennaya Perm. 1919. No. 88. May 9. p. 3. From the History of the Liberation of Perm Uyezd from the Bolsheviks // Svobodnaya Perm. 1919.04 Apr. P. 3. From the Weekly Reconnaissance Report of the Headquarters of the Siberian Army // Sovremennaya Perm. 1919. No. 97. May 21. P. 1. In Moscow // Svobodnaya Perm. 1919. No. 30, February 19. P. 1. In the Belogorsky Monastery // Sovremennaya Perm. 1919. No. 91. May 14. P. 1. In the Liberated Ufa //Svobodnaya Perm. 1919. No. 57. March 26. P. 3. In the North // Sovremennaya Perm. 1919. No. 111. June 11. S.1–2. In the Past Hour // Sovremennaya Perm. 1919. No. 106, April 4. P. 3. In the South of Russia // Svobodnaya Perm. 1919. No. 47. March 14. P. 2. Izhevsk Plant Taken // Sovremennaya Perm. 1919. No. 73. April 15. P. 2. Izhevsk-Votkinsk Epic // Svobodnaya Perm. 1919. No. 46. March 13. pp. 2–3. Izhevsk-Votkinsk Epic // Svobodnaya Perm. 1919. No. 48. March 15. P. 3. Latest military telegrams // Sovremennaya Perm. 1919. No. 62. April 1. P. 2. Life in Petrograd // Svobodnaya Perm. 1919. No. 15. Jan 17 P. 2. Military News // Sovremennaya Perm. 1919. No. 72. March 13. P. 2. Military News // Sovremennaya Perm. 1919. No. 86. May 7. P. 2. Military Operations //Svobodnaya Perm. 1919. No. 13. Jan 14 P. 2. Military review // Sovremennaya Perm. 1919. No. 68. 09 Apr. P. 2. Military review // Sovremennaya Perm. 1919. No. 71. April 12. P. 2. Military review // Sovremennaya Perm. 1919. No. 72. April 13. P. 2. Military review // Sovremennaya Perm. 1919. No. 75. April 17. P. 2. Military review // Sovremennaya Perm. 1919. No. 76. April 20. P. 2. Military review // Svobodnaya Perm. 1919. No. 11. Jan 11 pp. 1–2. Military review // Svobodnaya Perm. 1919. No. 21. Feb 7. P. 2. Military review//Sovremennaya Perm. 1919. No. 89. May 11. P. 2. National Center and Tasks for the Volunteer Army // Svobodnaya Perm. 1919. No. 41. 07 March. P. 2. News from Out There //Svobodnaya Perm. 1919. No. 56. March 25. P. 3. News from the Front // Sovremennaya Perm. 1919. No. 65. April 3. P. 3. Notice // Sovremennaya Perm. 1919. No. 92. May 15. P. 1. Obituary // Sovremennaya Perm. 1919. No. 112. June 12. P. 1. Obituary // Sovremennaya Perm. 1919. No. 97. 27 Apr. P. 1. Obituary //Svobodnaya Perm.1919. No. 33. 22 Feb. P. 1. Offensive in the North // Sovremennaya Perm. 1919. No. 82. May 1. P. 2.
628
L. Obukhov et al.
41. On Military Operations // Svobodnaya Perm. 1919. No. 51. March 19. P. 1. 42. On Military Operations // Svobodnaya Perm. 1919. No. 61. March 31. P. 2. 43. Our troops took Ufa // Svobodnaya Perm. 1919. No. 49. March 16. P. 2. Obituary // Sovremennaya Perm. 1919. 05/09/1919, No. 88, p. one 44. Perm Operation // Svobodnaya Perm. 1919. No. 38. 11 Jan. P. 3. 45. Perm, February 22 // Svobodnaya Perm. 1919. No. 33. Feb 22 P. 1. 46. Perm, January 21 // Svobodnaya Perm. 1919. No. 18. 21 Jan. P. 1. 47. Perm, June 25 // Otechestvo. 1919. No. 8. June 25. P. 1. 48. Perm, March 19 // Svobodnaya Perm. 1919. No. 51. March 19 P. 1. 49. Perm, March 19 // Svobodnaya Perm. 1919. No. 51. March 19 P. 1. 50. Perm, March 23 // Svobodnaya Perm. 1919. No. 55. March 23. P. 1. 51. Press Reviews on the Victory on the Perm Front // Svobodnaya Perm. 1919. No. 46. March 13. P. 2. 52. Provocation //Svobodnaya Perm.1919. No. 53. March 21. pp. 2–3. 53. Statements by General Romanovsky // Sovremennaya Perm. 1919. No. 93. May 16. P. 2. 54. Supreme Ruler Admiral A. V. Kolchak //Svobodnaya Perm. 1919. No. 28. Feb 15. P. 2. 55. Telegrams // Modern Perm. 1919. No. 62. April 1. p. 2. 56. Telegrams // Svobodnaya Perm. 1919. No. 13. 14 Jan. p. 2. 57. Telegrams // Svobodnaya Perm. 1919. No. 45. March 12th. p. 2. 58. Telegrams // Svobodnaya Perm. 1919. No. 50. March 18. C. 2. 59. Telegrams // Svobodnaya Perm. 1919. No. 6. Feb 1 p. 2. 60. Telegrams across Russia // Svobodnaya Perm. 1919. No. 30. Feb 19 C. 2. 61. The Capture of Glazov // Sovremennaya Perm. 1919. No. 106. June 4. P. 2. 62. The Capture of Perm // Svobodnaya Perm. 1919. No. 24. Feb 11. P. 2–3. 63. The future of urban self-government // Svobodnaya Perm. 1919. No. 10. Jan 08 S. 1–2. 64. The Headquarters of the Siberian Army Announces a Competition // Sovremennaya Perm. 1919. April 6, No. 106. P. 1. 65. The programme of the new government // Svobodnaya Perm. 1919. No. 10. Jan 8 P. 1. 66. The Task of Gen. Denikin’ Army //Svobodnaya Perm. 1919. No. 34. Feb. 26. P. 2. 67. To Baikal // Svobodnaya Perm. 1919. No. 44. March 11. pp. 2–3. 68. To the population of the Perm province. To the front line of the Northern Group of Forces of the Sib. Army // Otechestvo. 1919. No. 7 June 24. P. 2. 69. To the population of the Town of Perm // Sovremennaya Perm. 1919. No. 110. June 08. P. 2. 70. Unshakable Faith - Invincible Will (To the rear) / / Otechestvo. 1919. No. 6. June 22. S. 2–3. 71. War // Sovremennaya Perm. 1919. No. 106. April 4. P. 1.
References 1. Stone, D.R.: The Russian Civil War, 1917–1921. In: Higham, R., Kagan, F.W. (eds.), The Military History of the Soviet Union, p. 328. Palgrave Macmillan, New York (2002)
The Image of the Siberian Army in the Press
629
2. Mitchell, N.J.: Agents of Atrocity. Leaders, Followers, and the Violation of Human Rights in Civil War, p. 228. Palgrave Macmillan, New York (2004) 3. Sheshunova, S.: The image of Admiral Kolchak in Fiction. Posev 9, p. 28–31; 11, pp. 45–48 (2004) 4. Marsh, R.: History and Literature in Contemporary Russia, p. 289. Palgrave Macmillan, London (1995) 5. Zhuravlev, V.V.: Symbol of salvation: representation of the counter-revolutionary dictatorship in the essays by S.A. Auslander about A.V. Kolchak (I). Istoricheskii Kurier 5(7), 113–137 (2019) 6. Kanishchev, V.V., Baranova, E.V., Ivanov, D.P., Posadskij, A.V.: Possibilities for spatial mapping of the peasant movement during the Civil War by means of GIS technologies]. In: Goldin, V.I. (ed.), Almanac of the Association of Researchers of the Civil War in Russia, Issue 2: The Civil War in Russia in the Context of International Relations of the First Quarter of the 20th Century, pp. 155–163. Arkhangel’sk: Lomonosov North Federal University (2015) 7. Shchekotilov, V.G., Shalaeva, M.V., Shchekotilova, S.V.: The use of geographic information systems and databases in research on establishing the place of service and the death of missing soldiers. Hist. Inform. 3, 123–145 (2018) 8. Moffat, I.C.D.: The Allied Intervention in Russia, 1918–1920. The Diplomacy of Chaos, p. 317. Palgrave Macmillan, London (2015) 9. Obukhov, L.A., Ekhlakova, A.R.: Periodical press as a source of information on the history of informational confrontation between the reds and whites in the civil war in the East of Russia (1917–1920). Vlast’ 28(6), 232–240 (2020) 10. Butt, V.P., Swain, G.R. Murphy, A.B., Myshov, N.A. (eds.): The Russian Civil War. Documents from the Soviet Archives, p. 217. Palgrave Macmillan, London (1996)
Women’s Agenda in Political Protests: A Cross-National Analysis Darya Vershinina
and Olga Timofeeva(B)
Perm State University, Perm, Russia [email protected]
Abstract. The article is devoted to the analysis of the database of protest actions devotes to women’s issues in six countries of North America, Western and Eastern Europe. The authors present an overview of protest issues, compare the circumstances of the development of women’s political protests based on the political situation in selected countries, and analyze the connections of women’s street protests with political parties and non-governmental organizations. The conclusion is made about women’s activism as a variant of a network non-hierarchical structure which tends to be international in its nature. Keywords: protest · women’s rights · gender equality · database · political mobilization
1 Introduction In the early 21st century, women have turned into a significant social and political force, both in terms of electoral success, which largely depends on the ability of a politician or political party to attract women to their side, and in terms of throwing the issues significant for the female part of the population into the public agenda. The history of the women’s movement and women’s struggle for their rights has turned them from passive objects of politics into subjects with multiple political activities. Women’s agenda may be articulated both by feminizing the agenda and images of political parties and by women’s activism (festivals, workshops, discussions, rallies/pickets/women’s marches, as well as creating online platforms). The last decade, or rather the last few years, have aggravated the women’s agenda in Europe and the world as much as possible. The women’s issue is present in the party programs, is taken out as a question for a referendum, gets on the front pages of the media, masses go to the streets with it. Women continue to experience the impact of various forms of discrimination, while facing new challenges of our time. As S. Nazneen and A. Okech note, “the rise of conservative populist forces that have co-opted feminist agendas and brought together a diverse set of actors to dismantle gender equality gains” [1] is the main challenge of the time. The solution of the women’s agenda in the Western world has moved far enough (the referendum on the legalization of abortion in Ireland), but this did not happen simultaneously, under the influence of various historical circumstances. In this context, it is important to turn to the mechanisms of interaction between women’s © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 E. Isaeva and Á. Rocha (Eds.): Perm Forum 2022, LNNS 622, pp. 630–637, 2023. https://doi.org/10.1007/978-3-031-28086-3_58
Women’s Agenda in Political Protests
631
communities and the world of politics and to identify, using specific examples, the factors that determine how women’s political mobilization takes place, as well as how effective it is in the world of grassroots activism. The development of women’s activism is a variant of a network non-hierarchical structure that opposes hierarchically built political institutions, so women’s communities and protests can be the most important tool for empowerment (gaining strength), which is impossible in a traditional political space which is often hierarchically built. At the same time, activism is becoming a phenomenon of mass politics, which is characterized by an increase in the number of independent political actors seeking to transform the political process. Studies of women’s activities in the world of politics can be of particular value with a cross-national sample, which makes it possible to compare women’s social and political activity in countries with different starting conditions for analysis. The choice of countries for a comparative study is explained by the desire to identify the influence of various factors and draw a conclusion about their significance for the political mobilization of women activists. Comparison of the Russian, Irish, British, German, American and Polish variants of women’s political activism allows us to compare the countries with different ethno-confessional composition (for example, in Germany, Catholics and Protestants are represented on equal, Poland and Ireland are Catholic countries, while the United Kingdom and the United States are predominantly Protestant; in Russia, Ireland and Poland, to a lesser extent than in the United States, Germany and Britain, the problem of immigration is discussed), various political forces in power (America split over the results of D. Trump’s presidency and Britain, which is experiencing a crisis of party politics in the context of erosion of ideologies; Poland and Russia, in which the anti-Western rhetoric of the authorities is strong; Germany, in which the popularity of right-wing radical movements is growing), different historical experiences of involving women in the political process (Poland with its long socialist experience in solving the women’s issue; Ireland, with the long existence of patriarchal values that limited women in their public activity; the United States and Britain, which are the founders of the women’s movement and vivid examples of liberal gender policies). Despite different social, cultural, geographic and religious conditions, women face similar challenges when engaging in political life, so it is no coincidence that the creation of supranational women’s organizations and networks that use the Internet space to exchange experiences. In the 21st century (and the focus of the study was the protests of 2017–2021), it is worth recognizing that the women’s movement is characterized by its international nature, since, due to network mobilization, protests can be devoted not only to the national, but also to the global agenda. Although in 2015 Thomas Carothers and Richard Youngs [2] noted the prevalence of regional themes during the protests, the election of Donald Trump as President of the United States contributed to the formation of a new wave of international women’s movement, which was called the fourth wave of feminism.
632
D. Vershinina and O. Timofeeva
2 Public Protests: Theoretical Foundations and Empirical Methods of the Study Interest in social protests and the protest moods of the masses is a product of the sociological science of the middle of the 20th century, which looked at the protest moods of the masses as a destructive phenomenon. Studies of protest actions were intertwined with understanding the phenomenon of youth revolution and youth counterculture, in which protest behavior was perceived as a desire to create an alternative world in the context of the development of so-called social movements, and then new social movements. In other words, the political component of social movements and specific political protests have been less frequently the focus of researchers compared to broader social processes and initiatives. One of the approaches to the analysis of the factors of political mobilization of the population is the theory of collective action, developed by political scientists, sociologists, and economists. The central concept here is mobilization, which was discussed by the American sociologist Charles Tilly who noted that it is the process of moving a group from a passive gathering of individuals to active participation in public life. Mobilization is directly related to the process of distribution of resources in society and the state. That is why, in the 1970s, a theory of resource mobilization appeared, which suggested looking at such a factor in protest actions as certain opportunities of the group to organize a protest, and the protests themselves were analyzed from the point of view of the actions of their leaders to mobilize a wide variety of resources. Theoretical approaches to the study of protests also raised the question of how to collect a sufficient empirical base that would allow the researchers drawing theoretical conclusions. At the center of reflections on the tools for collecting empirical information about protest events was event analysis, which appeared in the framework of the theory of new social movements and proposed to compile catalogs of protest events. As Andrey Semenov notes, the event analysis of protests made it possible to introduce into political science such concepts as “the structure of political opportunities”, “cycles of political protest”, “repertoire of collective actions”, as well as to move on to comparative studies [3]. That is why, by comparing women’s protests in different countries, it is possible to conclude on how women’s rights and women’s fight are developing in different societies. As part of the study, a database [4] was compiled on women-related protests in six countries selected for comparative analysis: the UK, the USA, Ireland, Germany, Poland and Russia. Such characteristics of protests on women’s issues were selected as time, place of protest, number of participants, political and social affiliations of the participants, slogans, legality/non-legality of the event, the reaction of the power, the motive for the protest, its leaders (if possible to identify), and the consequences of the event. The database contains information about 60 protest actions that took place in the selected countries from 2017 to 2021. The information about the protests was found on open web resources, mostly mass media news on actions of female participants. That is why, the database consists of the information about the most prominent protest actions that took place in 2017–2021 and the problem of selectivity mentioned by many protests’ researchers is worth mentioning in relation to the protests in the selected countries.
Women’s Agenda in Political Protests
633
3 Protest Actions on Women’s Issues in 2017–2021: The Database Analysis In the database, we analyzed 10 actions in the USA, 14 protests which took place in Poland, 10 actions in Ireland, 6 protests in Germany, 14 actions in Russia, and 6 actions in the UK (Fig. 1).
16 14 12 10 8 6 4 2 0 USA
Poland
Ireland
Germany
Russia
United Kingdom
Amount of protest acons
Fig. 1. Protest actions on women’s issues, 2017–2021
It is worth mentioning that at least 18 protests were not concentrated in one city but were widespread on the territory of the whole country or region. It means that, in fact, the real number of protests is more than 60 actions. It also demonstrates the network structure of many women’s issues related protests, in which the Internet played (and continues to play) the main role. Moreover, many of the analyzed protests in Germany, Poland, Britain and Ireland were connected to American women’s agenda, for example Trump’s attitude on women’s issues or on Texas’s ban on abortion. Some of the protests connected with the events abroad were influenced by the positive examples of gender policies: in Poland, in February of 2021, women gathered on the streets of Warsaw after the news that Argentina had legalized abortion. The only exception in this international network of women’s activities is Russia where women’s protests are connected with the internal problems of the Russian female population. It may be also explained by the political regime of Russia which makes it more difficult for women to go to streets and organize massive protests in the analyzed period especially since the pandemic began in 2020. Also, women’s issues, although widely discussed online, are not the subject of a serious political discussion among Russian institualized political forces; therefore, Russian actions lack plurality of participants: among the analyzed 14 actions, at least two of them were single manifestations, and two more were series of single manifestations. The most numerous event in Russia with around 1000 participants took place in August, 2019, in St. Petersburg as a reaction to the case of the Khachaturyan sisters who killed their father as a result of constant abuse and rape.
634
D. Vershinina and O. Timofeeva
Irish protests on women’s issues were not massive with few hundreds or few thousands participants. The most massive protest with approximately 30 thousand participants connected with the Repeal the 8th movement took place in Dublin in September, 2017. It was organized shortly after the Leo Varadkar government announced that the referendum on the 8th amendment (which banned abortion in Ireland by acknowledging the equal value of a mother’s and a baby’s life since 1983) would take place in May of June of the next year. For a country with the population of less than 5 million people, an action with 30 thousand protesters seems to be massive enough demonstrating the importance of the issue on the legalization of abortion not only for feminists but for the whole society. On the contrary, the US protests were the most massive among the analyzed countries, especially after Trump became President: in January, 2017, protesting against his inauguration, approximately 4 million people went to the streets during the so-called Women’s March. The reasons for such a huge reaction are seen in the political polarization of the Democratic and Republican parties and their supporters which was clearly demonstrated by the 2016 elections (and, moreover, by the 2020 elections), in which the American population was divided between two parties with contrasting agenda, including women’s issues. The confrontation between Trump and Hillary Clinton, who could become the first female President of the US, strengthened the negative reaction to the results of the election from the female part of the population, accompanied by Trump’s sexist speeches and deeds. In a year, 900 thousand people took part in another Women’s March in many American cities, of which 200 thousand marched on the streets in New York (Fig. 2).
Amount of parcipants in the most massive acon, thousands 5000
4200
4000 3000 2000 1000
110
30
100
1
100
Poland
Ireland
Germany
Russia
United Kingdom
0 USA
Fig. 2. Protest actions by participants
The US protests, as a result, became the most clearly connected with a specific party affiliation: the participants of Women’s Marches not only demonstrated their sympathies to the Democratic Party, but listened to the speeches of the Democrats, for example Kamala Harris in 2017 and Nancy Pelosi in 2018 who later became the Vice-President of the US (in 2020) and the Speaker of the House of Representatives (in 2019) respectively.
Women’s Agenda in Political Protests
635
In other countries, it is difficult to find a clear correlation between party politics and mass protests, although in Ireland, for example, female politicians from the Socialist Party and Anti-Austerity Alliance–People Before Profit organized some events during the Repeal the 8th Campaign and on rape and consent issues (Ruth Coppinger). Many other politicians (active and former) took part in the Repeal the 8th marches, for example Minister for Children Katherine Zappone. In Britain, even the Duchess of Cambridge went to the memorial organized in memory of 33-year-old Sarah Everard by a police officer in March 2021. In Poland, all women’s issues related protests are organized by the All-Poland Women’s Strike which is a non-governmental organization created in 2016 from the Black protest of Polish women. The organizers of the 2016 protest are connected now with the Nowa Lewica Party (Agnieszka Dziemianowicz-B˛ak) and Inicjatywa Polska (Barbara Nowacka) and are parliamentarians since 2019 both being in opposition to the governing Prawo i Sprawiedliwo´sc´ Party. Current leaders of the protests, Agnieszka Czerederecka i Marta Lempart, are not connected with any political party, which is typical for all selected countries. Interestingly, in Poland, organizers of some protests intentionally avoid party affiliation of the participants because of the ideological split among the population. Women’s marches tend to be above these splits to unify women of different party affiliations. The event with the request from the organizers not to demonstrate party affiliation eventually gathered approximately 100 thousand people around the country in November 2021 after the death of the pregnant Izabela in the Pszczyna hospital (Fig. 3).
3%
Aboron
8%
Violence 8%
2%
33%
Sexual harrassment Trump's policy
6%
LGBT rights Police brutality
9% Women rights (in general) 9%
Sexual educaon in school 22%
Polical repressions
Fig. 3. Protest issues in selected countries, 2017–2021
Along with the issues of American policy and the ban of abortion on demand of the woman, many of the protests in the selected countries were devoted to the problem for violence and crimes against women. In Ireland, after May, 2018, when the referendum
636
D. Vershinina and O. Timofeeva
successfully legalized abortion on woman’s demand, Irish protests became more widely oriented, and the issue of gender-based violence became the central for the actions. Their participants discussed the problems of domestic violence and demanded for the changes in court system in relation to rape. In Russia, domestic violence became the most serious problem since 2017 when the law decriminalized such type of violence. In Britain, domestic violence and other types of violence against women were in the center of the protests in 2021, especially after the murder of Sarah Everard. Also, the British protests were devoted to the confidentiality of women who make abortions in family planning clinics. Most protest actions under analysis were not interrupted by the power and police, although in Russia most actions were illegal under the current Russian laws on mass demonstrations and some of them ended with the detention of activists. One of the reasons for that was the pandemic and restrictions on mass protests during it. In other countries, such as Britain, USA, Ireland, and Poland, pandemic restrictions were used by the government as a reaction to the protest. Police used force against the activists not only in Russia, but also in Germany and Poland. Nevertheless, as K. Makarenko and L. Pankratova state, women’s protests in general tend to be more peaceful than men’s actions, and women’s participation in protest actions usually lead to a less harmful attitude of the police and the state [5]. The analyzed protest actions demonstrate that a protest action does not always have a formal leadership. We can only find this in some cases: LGBTQIA Advisory Board Council was an organizer of the action on June 14, 2020 in Los Angeles as part of the BLM; in Ireland on March 8, 2017, the protest was organized and coordinated by the Strike for Repeal social media group, which, however, can hardly be called a formal structure; on March 16, 2021, in Ireland, the event under the slogan “Reclaim the streets” is associated with the feminist-socialist group ROSA. Poland is an exception in this matter: although all analyzed actions are coordinated by the All-Poland Women’s Strike, during the development of the protest agenda at the end of 2020, a Coordinating Council was created in analogy with the protests in neighboring Belarus. However, the organization of the protests remains primarily associated with the All-Poland Women’s Strike. Thus, the actions did not need and therefore did not create special formal governing bodies; their role was played by informal leaders, and the organization was made with the help of social networks. In most of the studied protests, it is not possible to record the results explicitly. The clear exceptions would be the grassroots #MeToo movement, which resulted in the trial of Harvey Weinstein and a number of other well-known public figures in the US, and the protests in Ireland on September 30, 2017, which resulted in the announcement of the referendum dates. In the overwhelming majority of cases, in all the countries under study, the result of protest actions can be called drawing attention to the problem being voiced, and a demonstration of solidarity if the issue of the protest was of an international nature.
4 Conclusions The analysis of 60 protest actions that took place from 2017 to 2021 in Russia, Poland, Germany, the UK, Ireland and the USA presented in the database make it clear that
Women’s Agenda in Political Protests
637
women’s protests tend to be international and universal in their organization and main demands. Although there are specific features of the protests, three main issues are in the middle of women’s issues related protests in the analyzed period: reproductive laws, domestic violence, and crimes against women. But the organizers of the protests where issues of women’s rights are discussed do not limit them to these questions and expand the agenda to many other problems corresponding with the so-called identity politics (LGBT rights, for example) or the situation with police brutality, etc. This correlates with the characteristic of the fourth wave of women’s movement which is mostly characterized as one of the movements which “have incorporated radical intersectionality as a core principle of their practice and membership” [6]. The wider approach to how the feminist event might look like influence the issues of leadership, as in most cases, it is difficult to name the only one or a few leaders, and protests tend to be democratic and nonhierarchical in their nature. Acknowledgments. The reported study was funded by RFBR and EISR, project number 21-01131794.
References 1. Nazneen, S., Okech, A.: Introduction: feminist protests and politics in a world in crisis. Gend. Dev. 29(2–3), 231–252 (2021) 2. Carothers, T., Youngs, R.: The complexities of global protests. https://carnegieendowment.org/ files/CP_257_Youngs-Carothers-Global_Protests_final.pdf 3. Semenov, A.: Event analysis of protests as a tool for studying political mobilization. Russ. Sociol. Rev. 17(2), 317–341 (2018) 4. Cross-national Analysis of Factors and Vectors of Female Participation in Politics. http://cro ssnationalanalysis2021.tilda.ws/page1 5. Makarenko, K.M., Pankratova, L.S. Contemporary state and prospects of female protest development: from deprivation eo mobilization. Vest. VolGU Ser. 4 Hist. Regional Stud. Int. Relat. 3, 182–190 (2021) 6. Molyneux, M., Dey, A., Gatto, M.A.C., Rowden, H.: New feminist activism, waves and generations (2021). https://www.unwomen.org/sites/default/files/Headquarters/Attachments/ Sections/Library/Publications/2021/Discussion-paper-New-feminist-activism-waves-and-gen erations-en.pdf
Social Portrait of Female Parliamentarians: A Cross-National Analysis Darya Vershinina(B)
and Ekaterina Burmistrova
Perm State University, Perm, Russia [email protected]
Abstract. The analysis of the database on female politicians of the upper and lower chambers of the representative bodies of the USA, Great Britain, Ireland, Germany, Poland and Russia (2017–2021) presented in the paper allows the authors to compile the social portrait of a woman parliamentarian, to discuss how women become the deputies of national parliaments, and to conclude about the correlation between the specificity of political, economical and cultural factors in the selected countries and women’s participation in national politics. Keywords: women’s representation in politics · female parliamentarians · party spectrum · gender quota · database · correlation analysis
1 Introduction The representation of women in politics is one of the most actively discussed topics when it comes to gender equality. In the Gender Inequality Index, issues of political representation of the sexes are one of four criteria that determine how close a country is to the ideal of gender parity. The research shows that women’s political participation correlates with the issue of human development: “… Countries with higher levels of human development are likely to have low levels of women political participation” [1]. The quantitative and qualitative composition of the national parliament often determines the focus of state policy on solving women’s problems, such as reproductive policy, fighting domestic violence, and providing measures to reduce the gender pay gap. To present a portrait of a woman participating in representative bodies of power in the 21st century, a database on the inclusion of women in political parties and national parliaments (top and lower houses) was conducted. The database included data on women politicians who were leaders and deputies from political parties in six different countries: the UK, Ireland, Germany, Poland, the USA and Russia from 2017 to 2021. The database contains 1,014 entries. For 2020, the distribution of countries by the share of women parliamentarians in the selected countries is as follows: UK (34%), Germany (31%), Poland (29%), USA (27%), Ireland (23%) and Russian Federation (16%).
© The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 E. Isaeva and Á. Rocha (Eds.): Perm Forum 2022, LNNS 622, pp. 638–643, 2023. https://doi.org/10.1007/978-3-031-28086-3_59
Social Portrait of Female Parliamentarians
639
2 Framing the Portrait of a Female Deputy 2.1 Age, Family Status and Religious Beliefs For a general description of women in representative bodies of power, the database contains such indicators as age, marital status, number of children, and religious affiliation. In recent years, there has been a downward trend in the average age of politicians around the world. The scholars demonstrate that, since the 1980s, the average age of European leaders has been declining steadily and is now well below the global average [2]. Women’s political representation is also fully in line with these trends. The average age of a female politician in the countries under review is 53, with the highest number of female MPs being between 53 and 56. Looking at the median age, the youngest women politicians are in the UK and Ireland (50), slightly higher in Russia and Germany (53 and 54, respectively), and the oldest women MPs are in Poland and the US (57 and 60, respectively). The marked trend towards rejuvenation of party leaders also applies to women’s leadership: the median age of female party leaders is 51, and more than a third of them are under 50 years old. As a result of the median age of female representatives, we can see that their own gender socialization took place in a more patriarchal society than the one which exists now. Therefore, the traditional perception of a woman as a wife and mother leaves a certain imprint on the marital status of women politicians elected to national parliaments in 2017–2021. Of the nearly 74% of women-parliamentarians who do not hide their marital status, 81% are married, only 11% are unmarried, and 7% of women are divorced. Of 748 women in the database with the known marital status, only six openly declare that they are in a same-sex relationship. 59% of women have children, and 71% of them have two or more children. As a result of their marital and parental status, female politicians often place a special emphasis on the fact that they are mothers and they appeal to their maternal experience (which is more typical for conservative politicians when they speak out on gender issues and equality). At the same time, the share of married women MPs is generally the same throughout Europe: 65% in UK, 56% in Germany, 60% in Russia, 62% in Ireland, 47% in Poland (such a low indicator is probably due to the reluctance of the Poles to openly advertise the details of their private life in public). In the US, the proportion of married female MPs is higher, at 73% (and in the case of the conservative Republican Party, the percentage is even higher - 84% of Republican MPs are married, while only 5% of Republican MPs have never been married). The predominance of various Christian denominations (Orthodoxy in Russia, Protestantism in Great Britain and the USA, Catholicism in Poland and Ireland, Catholicism and Protestantism in Germany) and significant differences in the level of religiosity of the countries under consideration were taken into account studying female representation in politics, for example the index of religiosity proposed by the Pew Research Center. Depending on this, the countries were ranked as follows: the lowest level of religiosity is typical for Great Britain and Germany (11% and 12% respectively), the average level is typical for Russia (17%) and Ireland (24%), the highest level is for the USA and Poland (37% and 40%) [3]. The study revealed a high negative correlation between the indicator
640
D. Vershinina and E. Burmistrova
of religiosity in the country and the level of representation of women in election lists (Pearson’s r-0.628): the higher the level of religiosity of the country, the fewer women were nominated by the parties during the election campaigns. At the same time, religion is no longer seen as a key part of the image to present a politician in the electoral process: only 32% of female politicians, speaking about themselves in interviews, on their official pages and social media accounts, openly declare their belonging to one or another confession. The largest number of women who talk about their religious affiliation are Americans (93%) and Germans (58%), which are at opposite ends of the religiosity spectrum. The attention of American women to their own confession can be easily explained by the fact that in the United States, traditionally, most of the attention in the framework of the election race is paid to the religiosity of the candidate. In Germany, this may be due to the fact that, in the political arena, one of the dominant players is a party that adheres to the ideology of Christian democracy (the CDU), which makes the issues of religious affiliation relevant for the voters. As a result of the study, Catholic women prevail among politicians under research. In the USA, there are more Protestants than Catholics, and the number of Catholics and Protestants is the same in Germany, but with female parliamentarians, the opposite is true: in Germany, there are more Catholics among them, and in the USA, Catholics and representatives of Protestant denominations are approximately the same. However, it is impossible to draw conclusions about the prevalence among female deputies of one or another confession, given the large percentage of parliamentarians who do not advertise their religious views. 2.2 Educational and Professional Trajectory of a Female Deputy Almond and Verba note that “educational attainment appears to have the most important demographic effect on political attitudes” [4], so the choice of the level of education as one of the indicators can confirm this assumption. In addition, the database takes into account the woman’s professional experience outside of politics. Despite numerous studies of the relationship between education and political activity, we still know relatively little about the “relationship between education, competence, and leadership” [5]. An analysis of the level of education of women in representative bodies of power confirms the assumption that among the active participants in the political process, women with a high level of education will prevail. Among the analyzed parliamentarians, 95% of women have higher education. Among them, 27% are holders of master’s qualifications and 12% hold academic degrees. Only 4% of women in the national parliaments of the selected countries have secondary vocational education, and only 1% of female deputies have no special education at all. The highest percentage of women MPs without a higher education is in the UK (8%), roughly the same percentage in Germany and Poland (4.5% and 4% respectively), the lowest percentage in the US and Russia (0.7% and 0.8%), while in Ireland, there are no MPs without a higher education at all. The largest number of women with academic degrees sit in the parliaments of Germany and Russia. Such a high percentage of women with academic degrees suggests more demands of voters towards female representatives, since the higher level of education of women-politicians for the electorate may indicate that they are competent enough
Social Portrait of Female Parliamentarians
641
to make decisions in the political sphere. On the other hand, these data may also indicate the target groups that political parties use to recruit their supporters and expand their representation in national representative bodies. Reflecting on the importance of professional experience in politics, Beach and Jones note that while “Candidates frequently argue that their backgrounds in business … will impact how they govern, voters … seem convinced that professional experience (and business experience in particular) will improve outcomes. Yet, there is little existing evidence to support this view” [6]. Professional experience outside politics is also present among the majority of female parliamentarians: 88% of women under research have work experience. The prevailing areas in which they have worked are law, business, and education, as the work in these areas contributes to the acquisition of skills and knowledge useful for political activity. However, using the Pearson method, no significant correlation was found between the presence of certain professional experience and the entry of women into politics. 2.3 Female Deputies in Party Hierarchy and Party Politics The party affiliation of women deputies in the study is considered in several dimensions. Firstly, this is the position of women in the party hierarchy: from working in representative bodies on behalf of the party to leadership positions. Secondly, the presence of gender quotas, which can affect the number and position of women in the party. Thirdly, this is a gender profile of the party ideology: does the party have a gender agenda and what is its nature? Empirical evidence demonstrates the wide representation of women at different levels in the party hierarchy. In all the countries under consideration, women are not only nominated as candidates in elections and receive deputy mandates, but also occupy a significant share in the presidiums of parties. In 17 of the 45 parties included in the database, women hold leadership positions. The cases of women’s political leadership are found in four of the countries studied: the UK, Ireland, the USA and Germany (it is significant that, in all these countries, the index of democracy is above 0.76). On the example of Germany, we note the widespread inclusion of women in the political process: for example, five out of six German parties that are members of the Bundestag are led by women. At the same time, although in Germany there is no institution of gender quotas at the state level, most of the major players in the political arena introduce them on their own. However, the absence of gender quotas does not affect the underrepresentation of women in leadership positions: the “Alternative for Germany”, which rejects the institution of quotas, has been led by women for almost its entire history, which is probably more related to with the utilitarian approach of right-wing radicals to the problems of women’s representation. Cross-national analysis shows that there is no correlation between the development of women’s civic engagement and the number of women in parliament [7]. The representation of women in the presidiums of parties is to some extent influenced by the institution of quotas (for example, on average, for parties using quotas, the level of representation of women in the presidium will be at the level of 39%, and for those that do not use them - at the level of 29%), but no stable correlation between these indicators was found although it is assumed that “the only way to boost women’s representation
642
D. Vershinina and E. Burmistrova
in the short run is by massive adoption of quota laws, especially in countries where the number of female deputies is low” [8]. At the same time, a strong positive correlation was established between the number of women in the party’s management apparatus and the proportion of women in the electoral lists and parliamentary factions. Against this background, left-wing parties stand out in particular, as the percentage of women’s involvement in active political activity in such parties reaches the highest rates, which is especially typical for the parties with an environmental agenda and fits into the trend of merging the women’s agenda with “green” ideologies. The main political capital of women is a party career and social activism. To identify the main mechanism for involving women in participation in representative bodies of power, two parameters are taken into account: the participation of a woman in party structures before taking office (for example, in youth or regional party organizations) and the political non-partisan activism of a woman politician before taking office. A comparison of these parameters will help to identify whether women enter politics based on their own political interests or whether their political positions are associated exclusively with party activities. The proportion of women involved in party organizations before taking office as a deputy of a national representative body is significantly higher than the proportion of those who were involved in activism (90% versus 22%, respectively). Moreover, out of 222 parliamentarians with an activist background, only 53 women were not associated with political parties before being nominated by them for parliament. Thus, there is a tendency for women to be recruited by political parties, regardless of the woman’s activism, and participation in the party process remains the main channel for women to get into politics. Several researchers have shown that feminist mobilizations on the electoral scene both in parties and civil society – mobilizations that are without doubt a component of empirical democracy – are influential strategies in increasing the number of female legislators [9]. Based on the assumption that female politicians will protect women’s interests and raise issues relevant for women (“descriptive representation” and “common interests of voters and their representatives”), we analyzed whether female politicians used gender agenda in their activities [10]. Surprisingly, only 58% of representatives use women’s issues in their political agenda. Although it seems logical to assume that young women will be more interested in talking about gender issues and ways to solve them, for young politicians under 35 the figure remains at 61%. Regional factors influence the gender agenda among women deputies. The United States with the highest percentage of women MPs who have clear positions on gender issues clearly illustrate this influence. The agenda of 95% of American representatives is related to their attitude to the right to abortion, which is explained by the unquenchable discussion in the United States on this issue. High rates of the gender agenda involved can also be observed in Ireland, where the issue of legalizing abortion has led to the popularity of the women’s agenda as such. Significantly lower figures in Russia and Germany can be explained by not very pronounced public discussions about the status of women, while in Poland, this is due to the influence of the Catholic Church on the public agenda and the long-term power of the conservative party “Law and Justice” not welcoming the debate on the women’s issue.
Social Portrait of Female Parliamentarians
643
3 Conclusions As a result, the analysis of the database on female politicians of the upper and lower chambers of the representative bodies of the USA, Great Britain, Ireland, Germany, Poland and Russia (2017–2021) allows us to compile the following social portrait of a woman parliamentarian: she is a married woman a little over 50 years old with two children, with a higher education, who worked in the field of law, economics, education or had her own business, connected with her party through youth or regional organizations long before she got into the national parliament. Acknowledgments. The reported study was funded by RFBR and EISR, project number 21– 011-31794.
References 1. Mlambo, C., Kapingura, F.: Factors influencing women political participation: the case of the SADC region. Cogent Soc. Sci. 5(1), 1681048 (2019) 2. Bershidsky, L. Europe’s millennial leaders are bucking politics as usual. https://www.blo omberg.com/opinion/articles/2019-12-11/europe-s-millennial-leaders-are-bucking-politicsas-usual?srnd=opinion-politics-and-policy. Accessed 05 May 2021 3. Pew Research Center. How religious is your country. https://www.pewresearch.org/interacti ves/how-religious-is-your-country/. Accessed 05 May 2021 4. Verba, S., Almond, G.: The Civic culture. Political Attitudes and Democracy in Five Nations. Princeton University Press, Princeton (1963) 5. Carnes, N., Lupu, N.: What good is a college degree? education and leader quality reconsidered. J. Polit. 78(1), 35–49 (2016) 6. Beach, B., Jones, D.B.: Business as usual: Politicians with business experience, government finances, and policy outcomes. J. Econ. Behav. Organ. 131, 292–307 (2016) 7. Kenworthy, L., Malami, M.: Gender inequality in political representation: a worldwide comparative analysis. Soc. Forces 78(1), 235–268 (1999) 8. Stockemer, D.: Why are there differences in the political representation of women in the 27 countries of the European union? Perspect. Eur. Polit. Soc. 8(4), 476–493 (2007) 9. Tremblay, M.: Democracy, representation, and women: a comparative analysis. Democratization 14(4), 533–553 (2007) 10. Mansbridge, J.: Should blacks represent blacks and women represent women? A contingent “yes.” J. Polit. 61(3), 628–657 (1999)
Personality Features and Destructive Behavior of Students with Various Cyberbullying Experiences Aleksander Vikhman(B) and Andrey Skorinin Perm State Humanitarian Pedagogical University, Perm, Russia [email protected]
Abstract. The paper analyzes students’ psychological differences determined by their cyberbullying experience and their roles in cyber harassment. The sample includes 216 students (with the average age of 18.3) from the faculties of humanities, mainly females (72%). Cyberbullying and Online Aggression Survey by S. Hinduja, J.W. Patchin was applied to measure students’ cybervictimity, cyberaggression, and their combination. Big Five Inventory (BFI), K.V. Zlokazov’s Test of social behavior strategies and Buss-Perry Aggression Questionnaire (BPAQ-24) were used to diagnose personality features and destructive behavior. The results of the research show that 71.8% of the students were exposed to cyberbullying. Two categories were identified among students with some background of harassment on the Internet – bully-victim (23.6%) and victim (48.2%). It has been found that there are significant differences in behavior destructiveness and manifestation of some personality features (a low level of honesty and friendliness, being open to new experience, anger) among the surveyed grouped by their cyberbullying exposure and their role. It should be noted that the students in the category “bullyvictim” (aggressive victim) reveal the most serious personality problems and the highest figures for the destructive behavior. The obtained results could be helpful in developing new strategies and methods aimed at preventing cyberbullying and preserving psychological wellbeing of the students with regard to a typical role in cyberbullying. Keywords: cyberbullying · cyberaggression · cybervictimity · destructive behavior · personality · psychological wellbeing · students
1 Introduction Modern information technologies are increasingly attached to more importance these days. The ongoing COVID-19 pandemic contributed to this trend. The information environment or digital space turns out to be a powerful factor which affects the personality, its development, and psychological wellbeing. Scientists and psychologists-practitioners Funding: this work was supported by state assignment No. 07-00080-21-02 of 08/18/2021. registry entry number 730000F.99.1 © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 E. Isaeva and Á. Rocha (Eds.): Perm Forum 2022, LNNS 622, pp. 644–652, 2023. https://doi.org/10.1007/978-3-031-28086-3_60
Personality Features and Destructive Behavior of Students
645
focus more on the impact of the information technologies on the psychic and personal development of the youngsters. On the one hand, active online behavior of kids and teenagers significantly expands their social experience and scope, while, on the other hand, it is associated with certain risks. Exposure to cyberbullying is considered to be one of the most frequent Internet risks. Practices show that this damages psychological wellbeing the most and is one of the key reasons for psychological help among teenagers. Indeed, the Internet and modern electronic devices have transformed the traditional forms of communication, developed new ways and possibilities to socialize, while they gave birth to new types of negative interaction between people, including cyberbullying as a type of psychological abuse via the Internet technologies. C. Rey Yudes defines cyberbullying as hostile and intentional behavior associated with interpersonal violence repeated over time and manifested by communication technologies (chat or instant messaging, websites, online games, etc.) against peers who are unable to defend themselves [10]. In fact, cyberbullying is a psychological aggression mediated with information communication technologies. Cyberbullying methods could vary: sending insulting messages, public mailout of derogatory information (rumors, lies, intimate photos), hacking a victim’s profile on a social network, intentional virus contamination of a victim’s computer via software, etc. Cyberbullying cases are numerous. Different empirical data show that these cases occupy from 10.8% [4] to 69% [9] in teenagers’ samples. Unlike the other types of bullying, cyberbullying has its features which destructively damage personalities: unsteadiness and unexpectedness, unpredictability of the impact, a likelihood of full anonymity, counterinhibition effect, distance between an abuser and a victim, 24/7 negative exposure, a lot of bystanders [8]. We are particularly interested in the description of roles in cyberbullying. In theory, a cyberbullying role structure is likely to be similar to the traditional physical or psychological bullying. However, the results of empirical studies show that this is not the case. S. Guo, J. Liu, J. Wang [7] identified and described 4 roles: noninvolved; cyberbully; cyber victim; cyberbully victim. American, European, and Australian studies of kids and teenagers have revealed that the median estimates of cases are about 6% for the aggressive victims, about 9% for the bullies, and 15% for the passive victims [5]. However, these numbers for roles are mainly typical for traditional bullying. The results of some studies illustrate that the situation is different in cyberbullying structure. There is data that the role of an aggressive victim is the most popular one among all cyberbullying roles among university students [1]. Unlike passive victims, bullies, uninvolved, aggressive victims usually manifest the least destructive behavior in cyberbullying [5]. A larger share of the above-mentioned data was obtained from studies conducted in secondary schools. Therefore, children and teenagers were sampled to carefully examine the role structure of bullying and cyberbullying, as well as the psychological features of those involved in it [2]. The studies show that bullying and cyberbullying are not a rare phenomenon among students, although there are fewer cases than in schools. The results of modern studies let us conclude that cyberbullying remains to be a burning issue for the student environment as well [3].
646
A. Vikhman and A. Skorinin
Generally speaking, it should be noted that the majority of the studies are focused on bullying and cyberbullying in schools, while fewer papers analyze bullying at universities. What is more, personality features of cyberbullying participants are underexamined. The data about the percentage shares of passive and aggressive victims, bullies, and cyberbullying bystanders is also controversial. With the above-mentioned results of studies in mind, we can put forward the following hypothesis: 1) Survey participants involved and uninvolved in cyberbullying are likely to significantly differ in their personalities and patterns of behavior. The surveyed involved in cyberbullying are likely to be more inclined to be aggressive and destructive than those who lack this experience. 2) The roles are likely to be distributed as follows among the students involved in cyberbullying: a cyberbully, a passive victim, an aggressive victim. At the same time, the role determines the destructive behavior manifestation degree: cyberbullies and aggressive victims are likely to show more aggressive and destructive behavior. We assume that personality features of the cyberbullying participants will significantly differ.
2 Objects and Methods 216 students from two state universities located in Perm City (majors: philology, foreign language, psychology, social pedagogy, journalism, pedagogy) were sampled. It should be noted that genders are not equally represented in the sample (157, including 43 men, 16 did not specify their gender). The average age is 18.3 (SD = 0.90). The survey was conducted in groups in classrooms at the universities. To diagnose cybervictimity (a scale of victims) and cyberaggression (a scale of bullies), we used a Russian version of Cyberbullying and Online Aggression Survey by S. Hinduja and J. W. Patchin, comprising 38 questions aimed at revealing the exposure of the surveyed to the cyberbullying cases as bystanders, a victim, and a bully. We applied a Russian version of Big Five Inventory (translated and adapted by Shchebetenko S.A., Kalugin A.Iu., and Mishkevich A.M.) to diagnose personality features (average Cronbach alpha = 0,71). K.V. Zlokazov’s methodology was applied to diagnose the behavior strategy of a person. This methodology defines the manifestation degree of four strategies of social behavior: destructive (cronbach alpha (α) = 0,71), constructive (α = 0,73), reconstructive (α = 0,72), and avoiding (α = 0,74). Buss-Perry Aggression Questionnaire, BPAQ-24 (Cronbach alpha = 0,74–0,85), was used to diagnose aggression.
3 Results and Discussion At the first stage, the cluster analysis of the principal component analysis (K-Means Clustering) differentiated the sample into three groups: cybervictim – cyberbully, cybervictim and a group with the minimum experience of cybervictim and cyberaggression (Fig. 1). A group of cybervictimized school students with no cyberaggressive inclination
Personality Features and Destructive Behavior of Students
647
occupies the most share: more than 48,2%. The groups of bully – victim and uninvolved have nearly the same shares (23.6% and 28.2% respectively). It should be noted that no “pure” cyberbully with no victim experience was identified. Clusters are stable and differ significantly from each other.
Fig. 1. Clusters of respondents
The study also involved the methods of descriptive statistics and verification methods of distribution normality for the two main cyberbullying scales. The data distribution normality in the cyberbullying scales was analyzed with the Shapiro-Wilk test, and it was found out that both scales in the groups under examination have a highly significant index W (p < 0.01), which means the lack of the normal distribution in case of cybervictimity and cyberaggression (Table 1). Due to the lack of distribution normality, further mathematical statistical processing of the survey’s results was conducted with a non-parametric method of Mann - Whitney U-criterion. The results obtained for each surveyed group were compared in pairs: victims – bullies-victims; bullies-victims – uninvolved; victims - uninvolved. Table 2 shows the results of the comparative analysis. Comparison of the results for bully-victim and victim groups revealed that cyberbullies with the experience of a victim are less honest and more physically aggressive, angry, and hostile. Bullies-victims tend to be more inclined to destructive behavior, unlike the victim group. Unlike bullies-victims group, passive victims of cyberbullying revealed higher indicators of reconstructive behavior. Thus, this confirms the hypothesis that cyberbullies with the experience of a victim are more likely to manifest destructive
648
A. Vikhman and A. Skorinin
Table 1. Correlation between the cyberaggressioin and cybervictimity indicators in the examined groups: descriptive statistics Descriptive statistics Mean
Median
Shapiro-Wilk test SD
W
p
Cyberbully – cybervictim group (n = 51; 23.6% in the sample) Cyberaggression
6.1
5
3.11
0.89
rppred
6
13.33%
rppred (both) > rphist
12
26.67%
rppred (any) > rphist
14
31.11%
rppred (ARFIMA) > rppred (ARIMA)
4
8.89%
rppred (ARIMA) > rppred (ARFIMA)
3
6.67%
Risk minimizing σ phist < σ ppred
16
35.56%
σ ppred (both) < σ phist
8
17.78%
σ ppred (any) < σ phist
13
28.89%
σ ppred (ARFIMA) < σ ppred (ARIMA)
12
26.67%
σ ppred (ARIMA) < σ ppred (ARFIMA)
15
33.33%
Comparison of Long and Short Memory Models
881
When maximizing the portfolio return, the percentage of cases of unconditional advantage of optimization by the historical indicator was 13.33%, the percentage of cases of advantage of both “forecast” optimizations over “historical” optimization was twice more (26.67%), and the percentage of cases of advantage of optimization by at least one “forecast” model (31.11%). Obviously, this is due to the higher reliability of the forecast data compared to the simple mathematical expectation. If we compare the two predictive models, optimization by ARFIMA prediction led to the higher rate of return in 8.89% of cases, optimization by ARIMA in 6.67% of cases. The longmemory model showed a slightly better result. When minimizing risk, the “historical” optimization was more successful 35.56% of the time, both models produced lower risk 17.78% of the time, and at least one model produced 28.89% of the time. Standard deviation is predicted worse by the models, which is expected, given the tendency of their predictions to average value of the index (see Fig. 1, 2), they predict the trend, not the volatility (jumps). Interestingly, the percentage of ARFIMA advantage cases was 6.67% lower than ARIMA. The following conclusions can be drawn from the results of the study. 1. The hypothesis that portfolio optimization by forecasted returns improves their characteristics is not rejected. The conducted computational experiment has shown that portfolio parameters, at least, do not deteriorate in comparison with optimization by historical data, and in some cases, they turn out to be better. The reason for this is that the value of predicted returns is often closer to the actual returns than the usual mathematical expectation, which allows the optimizer to “guess” the most profitable asset more often. 2. The hypothesis of the advantage of fractal models (using ARFIMA long memory model as an example) over similar non-fractal models (using ARIMA short memory model as an example) is also not rejected. In a few cases, the fractal model has shown better results due to its ability to give a lower average error when forecasting returns due to the use of fractal properties of the simulated series. 3. Formation of portfolios with the optimization criterion “maximum return” is better for models with long memory than for the criterion “minimal risk” because autoregressive models predict the trend of the index development rather than its volatility, while ARFIMA has a smaller average prediction error. In general, we can say that the results of the conducted study, according to which the use of forecasted returns with long memory models improves the portfolio characteristics, are consistent with the results described in papers [2, 9].
6 Conclusion According to the results of the study, we can say that the models with long memory have demonstrated advantages in comparison with the classical ARIMA-models, because in some conditions, presumably related to the fractal features of the simulated series, they allowed to form more investment attractive portfolios, while the cases of portfolio performance deterioration relative to the models with short memory are rarer. In our
882
R. Garafutdinov
opinion, the applied method can be discussed as a possible application of the fractal approach to forecasting of financial series. At the same time, the methodology of this study has several limitations. For example, the long memory ARFIMA models were used for forecasting the returns, but the preprediction analysis of the fractal properties of asset price series, confirming the presence of the long memory in them, was not performed. Another disadvantage was that no additional constraints were imposed on the structure of the portfolio in terms of returns and risk.
References 1. Markowitz, H.: Portfolio Selection: Efficient Diversification of Investments. Wiley, New York (1991) 2. Garafutdinov, R.: Application of the long memory models for returns forecasting in the formation of investment portfolios. Appl. Math. Control Sci. 2, 163–183 (2021). https://doi. org/10.15593/2499-9873/2021.2.10 3. Simonov, P., Garafutdinov, R.: Modeling and forecasting of financial instruments dynamics using econometrics models and fractal analysis. Perm Univ. Herald. Economy 14(2), 268–288 (2019). https://doi.org/10.17072/1994-9960-2019-2-268-288 4. Gubanova, E., Sokolova, I., Solovyova, S.: Use of financial instruments when forming the effective portfolio of securities. Bull. NGIEI 9(64), 123–137 (2016) 5. Aouni, B., Doumpos, M., Pérez-Gladish, B., Steuer, R.: On the increasing importance of multiple criteria decision aid methods for portfolio selection. J. Oper. Res. Soc. 69, 1525–1542 (2018). https://doi.org/10.1080/01605682.2018.1475118 6. Davnis, V., Dobrina, M., Chekmarev, A.: The use of Bayesian methods to increase the accuracy of forecasting portfolio returns. In: Proceedings of the XVI All-Russian Scientific and Practical Conference Electronic Business: Problems, Development and Prospects, pp. 44–47 (2018) 7. Trifonova, N., Karasev, V.: Prediction of the yield of securities in the Black-Litterman portfolio based on the CAPM, ARIMA-GARCH and Holt models. In: Proceedings of the XIII All-Russian with International Participation School-Symposium Analysis, Modeling, Management, Development of Socio-Economic Systems (AMUR-2019), pp. 390–393 (2019) 8. Bronshtejn, E., Janchushka, Z.: Fractal approach to securities portfolio formation. Financ. Credit 12(252), 26–29 (2007) 9. Garafutdinov, R.: Formation of investment portfolios of two assets based on forecast returns using the ARFIMA-GARCH model. J. Volgograd State Univ. Econ. 23(2), 130–136 (2021). https://doi.org/10.15688/ek.jvolsu.2021.2.11 10. Balagula, Y.: Forecasting daily spot prices in the Russian electricity market with the ARFIMA model. Appl. Econometrics 57, 89–101 (2020) 11. Caporale, G., Škare, M.: Long memory in UK real GDP, 1851–2013: an ARFIMA-FIGARCH analysis. DIW Berlin Discussion Paper, vol. 1395 (2014). https://doi.org/10.2139/ssrn.245 9806 12. Zhelyazkova, S.: ARFIMA-FIGARCH, HYGARCH and FIAPARCH Models of Exchange Rates. Izvestia J. Union Sci. – Varna. Econ. Sci. Ser. 7(2), 142–153 (2018) 13. Kulish, V., Horák, V.: Forecasting the behavior of fractal time series: Hurst exponent as a measure of predictability. Rev. Air Force Acad. 32(2), 61–68 (2016). https://doi.org/10. 19062/1842-9238.2016.14.2.8
System and Agglomeration Approach to Industrial Cluster and Region Interplay Dmitry Koshcheev1,2(B)
and Tatyana Miroliubova2
1 HSE University, Perm 614060, Russia
[email protected] 2 Perm State University, Perm 614068, Russia
Abstract. Despite a vast strand of academic publications on industrial clustering, the mechanism of region and cluster interplay is still unclear. As a result, cluster policy in regions is often ineffective. The present paper proposes an analytical framework to model and to investigate an industrial cluster and a region mutual influence. Based on “system and criteria” model of conceptual analysis, we described six approaches to clusters. The analysis showed that all the approaches mentioned do not show the full picture of an industrial cluster and a region interplay. Drawing from the synthesis of agglomeration and system concepts, we form a new “System and agglomeration approach” that considers two key sides of the cluster. It forms a sufficient theoretical, conceptual and methodological basis for further investigation of industrial cluster and region mutual influence. Keywords: Cluster · Industrial cluster · System and agglomeration approach
1 Introduction The concept of the industrial cluster has been popular among policy makers in many countries since the early 1990s. The main reasons for it have been formed by the international mass media which highly publicized some successful cluster initiatives [1]. As a result, in many countries, cluster approach has become a one-size-fits all tool for developing regional competitiveness, innovation potential, economic sustainability and growth [2]. However, despite a vast strand of academic literature, considering the different sides of industrial clustering, the cluster effect on region performance is still ambiguous [3]. In this respect, policy makers and practitioners have insufficient ability to forecast the impact of cluster support measures on the system mentioned. As a consequence, in many cases, cluster policy tends to be ineffective. One of the key reasons for the present conditions is ongoing cluster model diffusion. This process, supported by growing amounts of theoretical literature and best-practice cases, has resulted in a range of contradictions between the methods of cluster identification and existing interpretations of the industrial cluster. Thus, more empirical and theoretical investigation is needed, to form a complex vision of the cluster effect on region performance and region influence on cluster performance. © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 E. Isaeva and Á. Rocha (Eds.): Perm Forum 2022, LNNS 622, pp. 883–898, 2023. https://doi.org/10.1007/978-3-031-28086-3_79
884
D. Koshcheev and T. Miroliubova
Within the scope of the present study, we consider region and cluster interplay through the lens of historical development of cluster theory. This conceptual approach to investigation focuses both on actual models of industrial cluster and region interinfluence and also the way in which these models change through time. In terms of theoretical analysis, this binary focus shapes the frameworks of two conceptual fields. The first field illustrates the background of modern cluster theory presented by investigations, published before the year 1990. The second describes modern cluster theory presented in investigations, published after the year 1990. To understand better the mechanism of industrial cluster and region interinfluence, this paper considers the two theoretical fields in complex. The general methodology of the present investigation is based on the authors’ “System and criterion approach” to theoretical analysis, inspired by Webster and Watson’s [4]; Miles et al.’s [5] theorisations of qualitative research. This investigation strategy develops the ability to cope with the problem of cluster model diffusion and to describe modern approaches to region and cluster interplay investigation. Applying the “System and criterion approach” for comparative analysis of the approaches mentioned, the paper demonstrates the key conceptual factors that limit the capacity of modern cluster theory to describe the mechanism of region and cluster interinfluence. In view of this, we introduce a new “System and agglomeration approach” to the industrial cluster which provides a good theoretical background for creating a conceptual mechanism of region and cluster interplay and further investigations.
2 Materials and Methods Within the scope of the present investigation, we use our own three-phase “system and criterion” approach to theoretical analysis (Fig. 1). The first (preparatory) phase of methodology consists of a scoping study and subsequently establishing selection criteria. Within this phase, we form two groups of criteria: “Formal” and “Contextual”. “Formal criteria” illustrate internal attributes of the research paper. This group includes: 1) Quality criterion identifies research papers, which could be considered as reliable ones. Within this paper, we use “Scopus” and “Web of science” indexation for English articles and VAK indexation for Russian papers as quality criteria. 2) Chronological frameworks describe the term when the considering phenomenon was presented in academic discourse. For the case of cluster theory, this is the term from 1990 to 2022 (the year of the present research). 3) Thematic relevance is a key criterion which illustrates the subject area formed by academic literature on a particular topic. In the present investigation, we use scoping study as a method for subject area identification. The scoping study creates two lists of keywords: Russian and English ones, illustrating the subject of an investigation. These keywords were used for research paper selection within three bibliographic systems: “Scopus”, “Web of Science” (international ones) and “Elibrary” (Russian bibliographic system). In terms of the present paper, the two following lists of terms were formed. Russian: “indyctpialny klactep”; “klactep”; “ppoizvodctvenny klactep”; “ppomyxlenny klactep”. English: “entrepreneurial cluster”; “industrial cluster”; “manufacturing cluster”; “production cluster”.
System and Agglomeration Approach to Industrial Cluster and Region Interplay
885
Fig. 1. Algorithm of authors’ “System and criterion” approach to theoretical analysis
Contextual criteria describe the internal features of research papers, which are important for deep conceptual analysis of the investigated subject. Table 1 illustrates some conceptual elements of a research paper that we consider as conceptual criteria. If all these elements are presented in the article and the paper satisfies the formal criteria, we include it in the sample of literature for the purpose of theoretical analysis. Applying the criteria of the two groups in complex, we form the master sample of academic literature on industrial clustering. Meanwhile, the master sample doesn’t illustrate the background of cluster theory. To analyse the background mentioned, we use the classical “step-back” method to form an “additional sample”. Following the logic of the method mentioned, we anlyse the lists of literature of each paper, previously included in the master sample. If a particular paper from those lists, published before the year 1990, seems to be close to the topic of investigation, we include it in the “additional sample”.
886
D. Koshcheev and T. Miroliubova Table 1. Contextual criteria of research paper sampling.
Element
Interpretation of the element
Interpretation of the term “industrial cluster”
A short fragment of a research paper that includes the definition of industrial cluster
Cluster foundation
General basis which unites all the elements of a cluster in one integral structure
List of key elements
List of types of organisation, that often form the industrial cluster
List of binder elements
List of elements that provide particular connections between key elements
Genesis of industrial cluster
A short fragment of a research paper, that illustrates the way of industrial cluster formation. There are three main ways: natural, artificial and mixed
Methods of research and investigation
List of modes that are used for the identification and investigation of industrial clusters
Cluster effects
The list of potential effects that an industrial cluster has on a region
Region effects
The list of potential effects that a region has on an industrial cluster
The second (analytical) phase consists of two types of conceptual analysis of the formed samples. The first type of analysis is bent on modern approaches identification and describing their essential features. The second analysis considers the historical development of each identified approach. The two types of analysis in complex describe the main trends of modern industrial cluster theory and its general features. Considering these features, we describe the strengths and weaknesses of each identified approach. Within the third (conceptualising phase), drawing from results of strengths and weaknesses analysis, we propose a new theoretical approach to industrial clusters, which provides a correct illustration of region and industrial cluster interplay.
3 Results Applying a system and criterion approach to theoretical analysis, we formed a master sample (863 research papers) and an additional sample (150 publications). As a result, six new approaches to the industrial cluster were identified (Table 2). Classical approach refers to M.E. Porter ideas, considering industrial clusters as geographically localised groups of interconnected and interdependent organisations in a particular field. These organisations cooperate in some aspects of their business activity, and, at the same time, compete at others. Considering cluster genesis, the researchers who work within this approach, have not formed any common view on the process of industrial cluster formation. As a result, in their papers, all three ways of clustering are
System and Agglomeration Approach to Industrial Cluster and Region Interplay
887
Table 2. General features of modern approaches to industrial cluster. Referent criterion
The origin time
School(s) that formed theoretical background of approach
Genesis of industrial cluster
Examples of papers
Network
Early 1990s
Institutional
Natural, mixed
Sengün, ¸ 2015; Molina-Morales, Expósito-Langa, 2013
Agglomeration
Early 1990s
Social and geographical
Classical
1990
Mathematical and statistical
Natural, mixed, artificial
Harrison, 1994; Rasel, Kalfadellis, 2021
Administrative
1947
Soviet
Artificial, mixed
Gao et al. 2012; Younes, 2012
System
Early 2000s
Classical
Natural, mixed
Lis, 2020; Mikhaylov., Mikhaylova, 2018
Institutional
Early 1990s
Institutional
Approach
Bingham,1992; Kim, 2000
Lupova-Henry et al., 2021; Kourtit et al., 2017
presented: natural, artificial and mixed. From the conceptual side, the classical approach mainly focuses on the external aspects of industrial clusters, including their geographical boundaries, external constructive features and outgoing effects. Thus, analysing cluster effects on a region, this approach does not consider any internal mechanisms, connected with their genesis. Classical approach considers regional influence on industrial clusters as an indirect and moderate one, connected with supporting programs. System approach has been formed on the basis of classical approach, in the early 2000s. Following this approach, industrial clusters are geographically localised complex systems that form special milieu within the mechanism of emergence. System approach views on regional influence are close to the classical approach. Administrative approach has its intellectual roots in the Soviet academic school. It considers the cluster as a special form of economic activity arrangement, localised in a geographic area of a particular administrative division [10]. Clusters of this form are seen as an artificial (in some cases mixed) structure, created by local or regional authorities (this practice is very widespread in Russia and other countries of the former Eastern bloc). Thus, the regional influence on a cluster, within this approach, is high and direct.
888
D. Koshcheev and T. Miroliubova
Regional and local authorities create an industrial cluster, develop it and determine its economic policy. Agglomeration approach refers to social and geographical school. In accordance with its genesis, this approach focuses on the geographical aspects of the industrial cluster, interpreting it as a special form of interconnected firm agglomeration [15]. As a consequence, region influence is considered as indirect, moderate and associated with infrastructure development and business navigation programs. The theoretical foundations of Network approach are narrowly tied with the institutional school. This approach describes the cluster as a geographically-localised network of maverick firms, united by a value-added chain [17]. Network approach focuses on formal, interfirm connections and pays less attention to the material basis of clusters. As a result, it has not formed appropriate methods of cluster boundaries description. The approach follows a “laissez-faire” principle to minimise the influence of a region on industrial clusters. Hence, the key task of cluster policies is to form a supportive environment for clustering. Institutional approach directly elaborates the ideas of institutional school. It considers industrial clusters as sustainable forms of territorial and industrial partnership, based on institutional ties. However, focusing on institutional milieu, this approach doesn’t analyse the geographical aspects of the cluster. As a consequence, its physical boundaries were not described. In a similar vein to network approach, the institutional approach follows a “laissez-faire” principle in the aspect of regional influence. Thereby, theoretical analysis showed the six approaches presenting different views on cluster foundations, cluster genesis and influence of a region on an industrial cluster. Drawing from these aspects, we realised strength and weaknesses analysis (Table 3), which showed that the six approaches identified may be divided into two groups. The first group focuses on the territorial and geographical side of an industrial cluster (classical, agglomeration and administrative approaches), elaborating views on the formal cluster structure and its geographical frontiers. However, these approaches give insufficient attention to social and economical relations which determine cluster activities. The second group emphasizes the social and economic side of clusters (network, system and institutional approaches), providing a deep analysis of social and economic relations within the cluster. Meanwhile, the group mentioned gives insufficient attention to the geographical and material side of an industrial cluster. Apart from that, traditional views on industrial clusters consider them to be territorial and economic constructs. Within this framework, all the existing approaches that focus on a particular side of an industrial cluster (geographical or social and economical), don’t provide a relevant general picture of it. Industrial cluster, correctly represented, needs a new approach, focused on both cluster sides. In our view, this approach may be created, drawing on system and agglomeration approaches synthesis. The approaches mentioned present two opposite cluster sides, which inter-neutralise each-other’s weaknesses and maximise each other’s strengths. Besides, they develop close views on cluster foundations and genesis, which make them conceptually compatible. Within this framework, the combination of the approaches mentioned looks sufficient. It indirectly encapsulates institutional, administrative and network sides of a cluster. That is, an industrial system, within the scope of spatial agglomeration, integrates institutional milieu, and the value chain of a particular cluster. Industrial agglomeration,
System and Agglomeration Approach to Industrial Cluster and Region Interplay
889
Table 3. Strength and weaknesses analysis of modern approaches to industrial cluster. Title of the approach Strength
Weaknesses
Network
1) Extensive use of quantification methods 2) Deep analysis of production and economics relations between organizations 3) High level of formalization
1) Poor analysis of industrial cluster geographical aspects 2) The approach exaggerates the role value chain in the process of clustering 3) Poor analysis of industrial cluster material basis
Agglomeration
1) Deep analysis of geographical aspects of a cluster 2) General vision of cluster milieu 3) Deep analysis of social and cultural
1) Poor analysis of industrial cluster effects mechanism 2) Poor structuring of internal milieu of an industrial cluster 3) Insufficient attention to economic and production relations
Classical
1) High level of theorization 2) Deep analysis of geographical side of industrial cluster 3) High level of conceptualizing industrial cluster structure
1) Narrow interpretation of industrial cluster concept 2) Poor analysis of industrial cluster internal mechanism 3) Poor analysis of milieu of industrial cluster
Administrative
1) Deep analysis of geographical side of industrial cluster 2) High level of formalization 3) High attention to the factor of authorities
1) Subjective and artificial character of clustering, setting cluster boundaries and analysis of cluster efficiency 2) The approach exaggerates factor of authorities
System
1) Deep analysis of system effect 2) Deep analysis of internal aspect of industrial cluster 3) Good conceptual basis for interinfluence investigation
1) Poor analysis of industrial cluster geographical aspects 2) Poor analysis of industrial cluster social and cultural milieu 3) Insufficient attention to material basis of an industrial cluster
Institutional
1) Deep analysis of institutional factors 2) Deep analysis of informational system of an industrial factor and it’s innovation activities 3) The concept of institutional milieu is described
1) The approach exaggerates the role of social institutions 2) Poor analysis of industrial cluster geographical aspects 3) Insufficient attention to internal environment of an industrial cluster (except institutional milieu)
considered as a geographic area within the boundaries of one or some administrative divisions, illustrates a factor of local and regional authorities and the factor of legal framework.
890
D. Koshcheev and T. Miroliubova
Drawing from synthesis of system and agglomeration approaches, we propose a new “system and agglomeration approach”. Table 4 Illustrates its key features. Table 4. System and agglomeration approach. Parameters
Description
Interpretation of the term “industrial cluster” Geographically localised territorial and economic system, that combines features of an industrial agglomeration and social and economic system. This system is based on multidimensional territorial and geographical space with its unique milieu, formed by a number of interactions between key elements of an industrial cluster Cluster foundation
Territory within the boundaries of an industrial agglomeration, that is, considering a multifactor space, where all the interactions between clustered organisation take place
List of key elements
1) Organisations of related industries (suppliers of core production units and side-line production); 2) Organisation of supporting industries (companies which are indirectly connected with core production, providing conditions of it); 3) Governing bodies (municipal and regional authorities, special bodies of cluster coordination); 4) Core production; 5) Science, projecting and educational organisations 6) Local community and non-profit organisations
List of binder elements
1) Information and innovation relationships; 2) Resource relationships 3) Spatial and logistic relationships 4) Economic and managerial relationship 5) Social and cultural relationship 6) Technological and production relationship
Genesis of cluster
Mixed
Research methods
Correlation analysis, regression analysis, shift-share analysis, factor analysis, input-output matrix method, method of expert assessment, analysis of performance targets, method of localisation quotients (continued)
System and Agglomeration Approach to Industrial Cluster and Region Interplay
891
Table 4. (continued) Parameters
Description
Cluster effects
Positive effects: development of regional competitive ability, increase in economic sustainability, increase in the amount of investment in a region, unemployment reduction, multidimensional development of a region Negative effects: snap effect, overspecialisation which leads to lock-in, decrease in ability to adapt to external conditions, raise of specialised labour cost and real-estate cost; top-down tendency in the number of survived start-ups, risk of industrial development stagnation and subsequent socio-economic decline
Potential region influence
Moderated, connecting with creating better conditions for clustering
Drawing from two traditional approaches, our concept uses agglomeration ideas to describe the material and geographical sides of an industrial cluster. At the same time, the new approach applies system ideas for cluster, social and economic features representation. As a result, “system and agglomeration approach” provides a complex view on an industrial cluster and forms a theoretical basis for cluster modeling. However, focusing on the structural aspects of the cluster internal environment, modern approaches do not consider the structure of its external environment. This theoretical gap, emanating from academic research, limits the ability of potential cluster models to represent interplay between industrial clusters and the region where they are situated. Meanwhile, some authors propose theoretical concepts that can potentially solve the problem presented. In this respect, R. Hassink and D. Fornahl argue that clusters are embedded in the so-called “ecosystem” of linkages, actors rules etc. [18]. Within this “ecosystem”, an industrial cluster interacts with organisations, governments and other clusters. Drawing on the same ideas, A. Isaksen shows that a cluster, being embedded in the social and economic system of a region, acts in the same way as an organisation of the same field [19]. This implies that an industrial cluster shares its external environment with non clustered organisations which are its direct competitors. The external environment of organisations is deeply investigated. One of the most famous concepts of its structure was proposed by R. L. Daft. Drawing from ideas of external environment, shared by organisations and clusters, working in the same field, we have formed a complex model of an industrial cluster external environment (Fig. 2). The Fig. 2 is structured in a certain way; the white space illustrates the industrial cluster, grey space – its external environment. The external environment, following R. L. Daft’s concept, includes two layers: general (large rectangular) and task (small rectangular). The task layer reflects sectors that have direct influence on a cluster. In
892
D. Koshcheev and T. Miroliubova
Fig. 2. Conceptual model of an industrial cluster external environment.
classical R. L. Daft’s concept, the organisation task layer consists of four elements: labour market, suppliers, competitors and consumers [20]. Conversely, clusters are spatial and economic structures, that are situated at the frontiers of a particular geographical area. Drawing from these ideas, we have broadened the constellation of task layer elements with the infrastructure of the region where a cluster is situated. The general layer encompasses five dimensions that have indirect influence on an industrial cluster. Acting in complex, they form ongoing conditions of a cluster’s development and its daily activity. Based on the above model, we formed the conceptual mechanism, that illustrates the interplay between an industrial cluster and the region, where the cluster is situated (Fig. 3). The bottom part of the model illustrates the influence of an industrial cluster on a region, its top part reflects the action of a region on an industrial cluster. The region influence on an industrial cluster is associated with its external environment. The general layer incorporates 5 factors that form the ongoing conditions of daily cluster activity and its interplay with its close stakeholders (task layer). The social and cultural factor represents the social and demographic parameters of region population. The demographic parameters determine the structure and core features of the local labour market. The cultural parameters form an entrepreneurial culture of a particular region, which affects the business behaviour of actors within the task layer. The technological factor illustrates the technological and scientific advances in the field where the cluster works and the level of these advances available in a particular
System and Agglomeration Approach to Industrial Cluster and Region Interplay
893
region. The final effect of this factor depends on the owner of new technologies. For example, new technologies in HR are able to decrease recruitment costs. New technologies, that suppliers own, can reduce prices on some resources.
Fig. 3. Mechanism of industrial cluster and region inter influence
894
D. Koshcheev and T. Miroliubova
New infrastructure technologies foster a decrease of logistics costs. The technological and scientific advances that competitors and consumers use, often make an industrial cluster invest extra money in its technological development, targeting the protection of its market position. International factor represents changes in supranational field, that may affect the social and economic milieu of a particular region. Economic factor describes the current economic climate of the region. This climate affects business strategies of clustered organisations, their competitors, suppliers and consumers. It also determines the conjecture of the regional labour market and has a direct influence on the quality of a region’s infrastructure. Legal and political factor illustrates the regulatory frameworks and political climate in particular region. To summarise, factors of the general layer determine the conditions of an industrial cluster and elements of task layer activity and their interplay. The task layer incorporates five actors that have a direct influence on the daily activity of an industrial cluster. Consumers are organisations and people that create demand on industrial cluster production. The demand mentioned determines the demand of a clustered organisation on the workforce. In some cases, the consumer can influence the price of industrial cluster production. Furthermore, structural changes in consumers’ demand stimulate clustered organisations to invest in their technological renewal. Suppliers are organisations that provide clustered firms with raw materials. Their final impact on an industrial cluster depends on these organisations’ ability to control prices. If this ability is high, suppliers often get extra value added within the value added chain. As a consequence, in the medium term, this factor decreases the profit of clustered organisations and stimulates them to displace their personnel. Labour market illustrates the whole amount of people who could be hired to work for clustered firms. If the labour market of a particular region is not able to satisfy the qualitative and quantitative needs of clustered firms in the workforce, the cluster is faced with extra recruitment costs connected with hiring specialists from other regions and abroad. Transport infrastructure provides the circulation of material flows between clustered firms and the logistics of final products. This implies that the quality and density of a region’s transport infrastructure determine the transport cost of a particular industrial cluster. In this respect, the developing transport infrastructure of a region increases the added value that clustered firms produce. Competitors are organisations that work in the same field as an industrial cluster, and provide goods to the same consumers. The final effect of the present factor depends on competition policy in the region. If this policy is effective, competitive pressure stimulates industrial cluster renewal and development. Drawing on the aforementioned ideas, the general layer forms a business climate in the region, that affects the business behaviour of an industrial cluster and its stakeholders. The task layer affects the amount of value added that a cluster produces, and the speed of value circulation within the structure of an industrial cluster. Accordingly, measuring the final impact of a region on an industrial cluster needs a new statistical signature that will show the amount of value added which an industrial cluster produces. As a system
System and Agglomeration Approach to Industrial Cluster and Region Interplay
895
and agglomeration approach considers the industrial cluster as an economic and spatial system that occupies a particular territory, we can calculate, for the present territory, an analogue of Per Capita Gross Regional Product (GRP). The new signature could be called Per capita “Gross Cluster Product” (Per capita GCP). Within this framework, an increase in Per capita GCP encourages closer cooperation among co-allocated firms working in the same field. Cooperating, these firms form industrial cluster milieus. Structurally, the present milieu incorporates six key binder elements that provide industrial cluster influence on a particular region. Information and innovation factor illustrates a common information field that clustered firms share. This field results from intentional and unintentional knowledge spillovers between clustered organisations, knowledge trade–offs and reciprocal learning. The mentioned field forms a sufficient base for innovation making and implementing. Innovations attract investments that lead to an employment multiplier effect. As a result, the regional level of employment tends to increase. They also stimulate growth of Per capita GRP. In reverse, intensive development on the common information field may result in the aspiration of clustered firms to limit access to their common information field for new members (including start ups). As a result, the number of surviving start ups in the economic system of a particular region decreases [21]. Indeed, the mentioned situation leads to a “self-sufficiency effect” among clustering firms. As a result, their innovation potential decreases [22]. In general, the effect mentioned leads to a downward tendency in region innovation potential, its investment attractiveness and, as a consequence, it leads to a decrease of GRP [21]. Technological and production factor describes the common technological space of an industrial cluster, which is connected with the technological cooperation of clustered firms. The cooperation mentioned decreases the uncertainty level of the external environment for each clustered firm. As a consequence, the speed of material flow circulation within the structure of an industrial cluster rises. Besides, shared technologies often follow to narrow the focus of a particular technological process within an industrial cluster value chain. In some cases, it results in higher quality of the final product of a cluster. As a consequence, this may lead to a higher demand on industrial cluster production and a higher level of employment in a region. Meanwhile, this high specialisation may result in higher vulnerability of an industrial cluster to exogenous shocks. As a result, clustered firms often lose their resilience and cannot effectively adapt to ongoing changes, which leads to extra costs [22]. In some cases, a loss in resilience may cause economic slowdown in a particular region. Economic and managerial factor depicts the managerial coordination of clustered firms within the scope of strategic decision making. The coordination mentioned increases the level of credibility among clustered firms, which improves their transaction cost efficiency and makes the industrial cluster more sustainable. Furthermore, strategic managerial coordination allows clustered firms to realise together, an ambitious project, that often attracts investments in the region and tends to decrease the regional level of unemployment. However, the high level of coordination mentioned often results in crowding out effects, that arise when clustered firms try to capture all the public
896
D. Koshcheev and T. Miroliubova
resources [23]. These effects, in the medium term, often lead to a decrease in GRP and possible rise in the level of unemployment. Resource factor captures the special resource bases that a cluster needs for its daily activity. In this respect, the clustering process in a region stimulates the emergence of new suppliers and intermediaries. This process improves the employment level and attracts investments to the region. On the negative side, a high dependence of a cluster, on local suppliers, follows a higher vulnerability of the region’s industrial system to external shocks [22]. Spatial and logistic factor represents the shared infrastructure and logistic schemas of clustered firms. In this respect, clustered firms may initiate private-public projects on regional transport infrastructure improvement to reduce their logistics costs. Cluster investments in regional infrastructure result in some multiplication effects that boost the regional employment level and per capita GRP. However, intensive development of transport infrastructure, in a particular geographical area, in the medium term, may lead to a hyper concentration of companies in the area mentioned. As a result, economic inequality between different territories of a region arises. Besides, a high concentration of companies in a limited geographical area determines the high competition among small and medium size firms and leads to a relatively poor survival rate of start-ups [24]. As a result, innovation capacity and GRP tend to decrease. Social and cultural factor illustrates a common corporate culture that clustered firms share. Common culture norms facilitate the negotiating process, which forces a higher speed of value added circulation in the structure of an industrial cluster. This process has a positive effect on GRP. Besides, some clustered firms use their corporate culture for self-marketing and attracting investments and a skilled workforce. Meanwhile, a sustainable and highly developed corporate culture of an industrial cluster stimulates clustered organisations to interact mainly among each other. As a result, anchoring effects and self-sufficiency syndromes arise. As a consequence, in some cases extreme forms of these effects may become a triggering factor of economic stagnation in the region. To summarise, the collaborative action of the 6 factors mentioned (except their extreme forms), favours a rise in value added that a region produces. This increase in business activity attracts investments and stimulates a number of multiplier effects in employment. This process determines regional budget revenue growth. As a result, regional authorities can invest extra money in the social and economic development of their region. All the effects mentioned lead to a rise in life quality, in employment, and in tax revenues to the treasury of a particular region. It also determines the rise of per capita GRP and improvement of regional infrastructure.
4 Conclusion To sum up, within this paper, we explored how industrial clusters and the region, where the cluster is situated, affect each other. Drawing from our author’s “system and criterion” approach to theoretical analysis, we structured modern cluster theory and its background. Within the present theoretical field, we have identified six modern theoretical approaches to industrial clusters. Each approach was considered from the perspective of its ability
System and Agglomeration Approach to Industrial Cluster and Region Interplay
897
to illustrate region and cluster interplay. Conceptual analysis showed that not one of the approaches identified represents a broad picture of industrial clusters as a phenomenon. In this respect, each approach focuses on the geographical or social and economic dimension of an industrial cluster, but not both. As a consequence, modern approaches do not provide a precise view on an industrial cluster and region interplay. Therefore, their interinfluence is still unclear. Since correct representation needs an equivalent focus on both sides of the industrial cluster (geographical and socio-economic), we proposed a new “system and agglomeration approach” to industrial clusters, based on combining two existing concepts: system and agglomeration ones. Within the scope of the new approach, we have created a conceptual model of an industrial cluster, that illustrates its internal structure and the structure of its external environment. Drawing on this model, we proposed a conceptual mechanism of industrial cluster and region interinfluence. Hence, the negative and positive effects of region and cluster interplay were described. Our investigation showed that these two groups of effects depend on the same factors. Extreme action of each factor results in negative effects, moderate action – in positive ones. In general, the approach proposed and the mechanism of interinfluence, in particular, forms the theoretical and methodological basis for empirical investigation in the region and industrial cluster interplay. In the future, these investigations will improve the efficiency of industrial cluster policy.
References 1. Enright, M.J.: Regional clusters: what we know and what we should know. Innov. Clust. Interregional Compet. 1, 99–129 (2003) 2. Asheim, B., Cook, P., Martin, R.: The rise of the cluster concept. Clust. Regional Dev. Crit. Reflect. Explor. 1, 1–29 (2006) 3. Uyarra, E., Ramlogan, R.: Cluster policy in an evolutionary world? Rationales, instruments and policy learning. Lifecycle Clust. 1, 35–53 (2017) 4. Webster, J., Watson, R.T.: Analyzing the past to prepare for the future: writing a literature review. MIS Q. 1, xiii–xxiii (2002) 5. Miles, M.B., Huberman, A.M., Saldana, J.: Qualitative Data Analysis: A Methods Sourcebook, 3rd edn. SAGE Publications, Cheltenham (2014) 6. Lupova-Henry, E., Blili, S., Dal Zotto, C.: Clusters as institutional entrepreneurs: lessons from Russia. J. Innov. Entrep. 10(1), 1–27 (2021). https://doi.org/10.1186/s13731-021-001 49-5 7. Kourtit, K., Nijkamp, P., Suzuki, S.: Effective clusters as territorial performance engines in a regional development strategy-a triple-layer DEA assessment of the aviation valley in Poland. Region J. ERSA 4(3), 39–63 (2017) 8. Lis, A.: Development of proximity in cluster organizations. Entrep. Sustain. Issues 8, 116–132 (2020) 9. Mikhaylov, A.S., Mikhaylova, A.A.: Equivocality in delineating the borders of a cluster: the Baltic’s case. Baltic Region 2(10), 65–75 (2018) 10. Gao, H.Z., Liu, J., Jin, H.: Study on the development strategy of industry cluster of Hengshui In: Dou, R. (ed.) International Conference on Information Management, Innovation Management and Industrial Engineering 2012, vol. 1, pp. 274–277. Springer, Heidelberg (2012) 11. Younes, D.: Choosing the industry of an industrial cluster in a globalizing city. J. Chang. Manag. 12(3), 339–353 (2012)
898
D. Koshcheev and T. Miroliubova
12. Rasel, S., Kalfadellis, P.: Global and non-global city locations: the effect of clusters on the performance of foreign firms. Reg. Stud. 8(1), 88–108 (2021) 13. Harrison, B.: Italian industrial districts and the crisis of the cooperative form: part I. Eur. Plan. Stud. 2(1), 3–22 (1994) 14. Kim, S.B.: New challenges for industrial policy in a knowledge-based economy: toward a regional innovation system. Int. J. Urban Sci. 4(1), 107–117 (2000) 15. Bingham, S.: Changing clusters of US industries: 1979 to 1986. J. Plan. Educ. Res. 11(2), 117–129 (1992) 16. Molina-Morales, F.X., Expósito-Langa, M.: Overcoming undesirable knowledge redundancy in territorial clusters. Ind. Innov. 20(8), 739–758 (2013) 17. Sengün, ¸ A.E.: Does informal knowledge sharing breed innovation in industrial clusters? J. Rev. Soc. Econ. Adm. Stud. 29(1), 53–79 (2015) 18. Fornahl, D., Hassink, R.: The Life Cycle of Clusters: A Policy Perspective. Edward Elgar Publishing, Cheltenham (2017) 19. Isaksen, A.: Regional clusters and competitiveness: the Norwegian case. Eur. Plan. Stud. 5(1), 65–76 (1997) 20. Daft, R.L.: The Organization Theory and Design, 15th edn. Cengage Learning, Boston (2015) 21. Slaper, T.F., Harmon, K.M., Rubin, B.M.: Industry clusters and regional economic performance: a study across us metropolitan statistical areas. Econ. Dev. Q. 32(1), 44–59 (2019) 22. Stojcic, N., Ani´c, I.D., Aralica, Z.: Do firms in clusters perform better? Lessons from woodprocessing industries in new EU member states. For. Policy Econ. 109, 1–10 (2019) 23. Delgado, M., Porter, M.E., Stern, S.: Clusters and entrepreneurship. J. Econ. Geogr. 10, 495–518 (2010) 24. De Silva, D.G., McComb, R.P.: Geographic concentration and high tech firm survival. Regional Sci. Urban Econ. 42, 691–701 (2012)
Author Index
A Adrakhovskaya, Lyudmila 809 Afanasevskaya, Elizaveta V. 556 Ahremenko, Eugenia 486, 499 Akay, Oksana 177 Alexandrova, Tatyana 809 Alimpieva, M. A. 362, 370 Al-Jarf, Reima 56 Alyabeva, Alexandra 109 Anashkina, Irina A. 29 Andreev, Alexander 486, 499 Antineskul, Ekaterina 708, 734, 748 Appelgants, Anastasia 835 Apushkin, Danila 486, 493 B Babkin, Roman 417 Bachurin, Boris A. 507 Badina, Svetlana 417 Baiburova, Olga 3 Balina, T. A. 428 Baranova, Elena V. 591 Basieva, L. V. 683 Bazhenova, Elena 86, 98 Bochkova, M. S. 469 Bochkova, Mariya 539 Borshchevskaya, Elena 809 Bukatov, Andrey A. 237 Bulgakova, Irina 809 Burmistrova, Ekaterina 638 C Chazova, I. Yu. 696 Chekmeneva, L. Yu. 428 Chernousova, Anastasiia 86 Chingayeva, Elena 249 Chuchulina, E. V. 817 E Ekhlakova, A.
616
F Fedyuchenko, Larisa 122 Firstova, Maria 205 G Garafutdinov, Robert 873 Gein, Sergey V. 444 Glazunov, Vladimir V. 237 Gogolev, I. M. 696 Goldyrev, Vitaliy 378 Gorbunova, O. L. 460 Gorodilov, Mikhail A. 849 Grichin, Sergei 135 Gulyaeva, N. I. 566 I Isaeva, Ekaterina 3 Ites, Ekaterina 109 Ivshina, Irina B. 444 K Kalinin, Vitaly 249 Karabatov, Vlad 391 Karpova, Tatiana 86 Kerzina, Evgeniia 748 Ketova, Tatyana V. 849 Khalilov, D. G. 293 Khaova, Elena A. 521 Khaziahmatova, O. G. 579 Khlusov, I. A. 579 Khopta, Ivan 409 Khosiev, B. N. 683 Kletskina, Oksana V. 400 Klochko, Konstantin 76 Kochetkova, Ludmila 391 Kokorina, Yuliya 122 Kolesnikova, Nataliya 227 Kolesova, Yulia A. 334 Komarov, Sergey 653 Kondratiev, D. V. 683, 696 Konkova, Inna I. 29
© The Editor(s) (if applicable) and The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 E. Isaeva and Á. Rocha (Eds.): Perm Forum 2022, LNNS 622, pp. 899–901, 2023. https://doi.org/10.1007/978-3-031-28086-3
900
Konyshev, Evgeny V. 334 Korolevskaya, Larisa 437 Korsakova, Ekaterina S. 507 Koshcheev, Dmitry 883 Kosmovskaya, Anna 604 Kostarev, Gleb 302 Kostarev, Sergey 302 Kostitsyn, V. I. 293 Kovalev, Viktor 708 Kovyrzina, Ulyana 378 Krasilnikov, Pavel A. 400 Kropaneva, M. D. 450 Kudelko, Tatiana 144 Kuyukina, Maria S. 444 Kuznetsova, Elvira 725 Kuznetsova, Marina V. 556 Kovalenko, Ilya 493, 499 Kyrkunova, Larisa 98 L Lane, Joseph 76 Laptev, A. P. 293 Lebedeva, Nadezhda 835 Lekomtseva, Alexandra 734 Litvinova, L. S. 579 Lobova, Elena 835 Loginova, N. P. 548, 566 Loginova, O. A. 460, 548 Losavio, Michael M. 669 Losavio, Michael 68 Lyadova, Anisya 347 M Magasumov, Anir 708 Malashchenko, V. V. 579 Manerko, Larissa 188 Manzhula, Oksana 3, 205 Markelova, Ekaterina I. 476 Martyanova, Elizaveta 144 Maslennikova, I. L. 460 Maslennikova, Irina L. 556 Maslov, Vitaly N. 591 Mazanova, Svetlana E. 591 Medvedev, Vladimir 161 Merckushev, Sergey 391 Meshcheriakova, Olga Yu. 400 Mikhaylov, Alexander 417 Miroliubova, Tatyana 883 Mishlanova, Svetlana 68
Author Index
Mitrofanov, Alexander 835 Mkhitaryan, Alina 725 Mkhitaryan, Ludmila 725 Modorskaya, Galina G. 802 Modorskaya, Galina 809 Morozova, S. V. 362, 370 Mukhina, I. A. 696 Muzyka, Nadezda G. 530 N Naumov, Vladimir 378 Nekrasov, Aleksandr 318 Nekrasova, I. V. 460 Nekrasova, Irina V. 573 Nelubin, Anatoli 76 Neschislyaev, Valeriy A. 556 Nesterova, Larisa Yu. 556 Nikolaev, R. S. 428 Norkin, I. K. 579 O Obukhov, L. 616 Oktyabrsky, Oleg N. 530 Orlova, E. G. 460, 548 Osorgin, K. S. 428 Osovetsky, Boris 269 Ostaev, G. Ya. 683, 696 P Panchenko, Vadim V. 237 Pashchenko, Tatiana V. 849 Pashchenko, Tatiana 835 Patrusheva, Lada 748 Petkova, Ekaterina 98 Plotnikova, Elena G. 507 Polyakova, Svetlana 68, 76 Polyanskaya, E. A. 362, 370 Popov, Pavel 409 Pospishenko, M. A. 428 Prokashev, A. M. 281 Proskurnin, Boris 205 Pupysheva, S. A. 281 Pyankova, Anna A. 507 R Rayev, M. B. 566 Remneva, Mariya 734 Renev, D. 616 Ridnaya, Yuliya 227
Author Index
Rozhkova, Diana A. 849 Rusakov, Sergey 249 Rychkov, Vladislav 788, 861 S Safarian, Azat A. 334 Saidakova, Evgeniya 437 Samoilova, Irina 98 Samoilova, Zoya Y. 530 Savich, A. D. 293 Shakirova, Nelly N. 849 Sharapkova, Anastasia 188, 213 Sharapov, Yuriy 42 Shardina, K. Yu. 469 Shardina, Kseniya 539 Shatov, Vladimir 302 Shaydulina, Adeliya 249 Shchelkanova, Marina A. 802 Sheshukova, Tatiana 828 Shirinkina, Maria 86 Shirshev, S. V. 460, 548 Shirobokova, Sofia 486, 499 Shirshev, Sergei V. 573 Shmagel, Konstantin 437 Shpengler, Anna V. 334 Shumilov, A. V. 293 Sidorov, Roman Yu. 476 Skorinin, Andrey 644 Smetanina, Alyona I. 334 Smirnova, Galina V. 530 Snegova, Svetlana 76 Sokerina, Anastasiia 774 Sokerina, Svetlana 774 Solovyova, Natalya 86 Starˇciˇc Erjavec, Marjanca 556 Stolbov, V. A. 428 Subbotina, Tatiana 391 Sysoeva, Ksenia 486, 493 T Tabanakova, Vera 122 Tegetaeva, O. R. 683 Teymurova, Aliya 828
901
Tikhomirova, Larisa 98 Timganova, V. P. 469 Timganova, Valeriya 539 Timofeeva, Olga 630 Tkachenko, Alexander G. 476, 521 Todosenko, N. M. 579 Torsunova, Y. P. 548 Tregubova, Irina 42 Trofimova, Nella 177 Troynich, Ya. N. 566 Tyulenev, Aleksey V. 530 U Ulyanova, Olga 135 Usanina, D. I. 469 Ushakova, Anastasia 493, 499 Uzhviyuk, S. V. 469 Uzhviyuk, Sofya 539 V Vakhoneev, Viktor V. 237 Vakorin, Anton 259 Veprikova, Alevtina A. 334 Vereschagin, Vyacheslav 591 Vershinina, Darya 630, 638 Vikhman, Aleksander 644 Vnutskikh, Alexander 653 Y Yakovlev, Andrey 302 Yakovlev, Maksim 302 Yakovlev, Yuriy 302 Yakovleva, Elena 68 Yurova, K. A. 579 Yuzhaninova, Julia D. 444 Z Zamorina, S. A. 469, 566 Zherebyatjev, Denis I. 591 Zhukovskaya, Svetlana 835 Zimushkina, N. A. 548 Zlobina, O. O. 696