Baldauf/Friederich (Hrsg.)
Bamberger Zentralasienstudien

ISLAMKUNDLICHE UNTERSUCHUNGEN • BAND 185

begründet

von
Klaus Schwarz

herausgegeben

von
Gerd Winkelhane

KLAUS SCHWARZ VERLAG • BERLIN

ISLAMKUNDLICHE UNTERSUCHUNGEN • BAND 185

Ingeborg Baldauf
Michael Friederich
(Hrsg.)

Bamberger
Zentralasienstudien
Konferenzakten ESCAS IV
Bamberg 8.-12. Oktober 1991

K
S

KLAUS SCHWARZ VERLAG • BERLIN • 1994

Die Deutsche Bibliothek - CIP-Einheitsaufnahme
Bamberger Zentralasienstudien: Konferenzakten / E S C A S IV,
Bamberg 8 . - 1 2 . Oktober 1991 / Ingeborg Baldauf; Michael
Friederich (Hrsg.). - Berlin : Schwarz, 1994
(Islamkundliche Untersuchungen ; Bd. 185)
ISBN 3 - 8 7 9 9 7 - 2 3 5 - 4
NE: Baldauf, Ingeborg [Hrsg.]; E S C A S <4, 1991, B a m b e r g s GT

Alle Rechte vorbehalten.
Ohne ausdrückliche Genehmigung des Verlages
ist es nicht gestattet, das Werk oder einzelne Teile daraus
nachzudrucken oder zu vervielfältigen.
© Gerd Winkelhane, Berlin 1994.
Klaus Schwarz Verlag G m b H , Postfach 41 02 40, D-12112 Berlin
ISBN 3 - 8 7 9 9 7 - 2 3 5 - 4
Druck: Offsetdruckerei Gerhard Weinert G m b H , D-12099 Berlin

Vorwort

Dieser Tagungsband reiht sich ein in die lockere Abfolge von Veröffentlichungen der Materialien von bisher vier stattgehabten Konferenzen des 1985
in Utrecht gegründeten European Seminar on Central Asian Studies (ESCAS).1
Die Tagung an der Universität Bamberg (8.-12. Oktober 1991) unterschied
sich von den Vorgängerkonferenzen vor allem durch eine Besonderheit: zum
ersten Mal standen keine von politischer Seite vorgegebenen Hinderungsgründe
dagegen, Zentralasienforscherinnen aus Ost-, Mittel- und Westeuropa zu
Begegnung und Meinungsaustausch zusammenzuführen. Die Organisatoren der
Konferenz wollten diese Chance nützen — auch wenn dies auf Kosten der
thematischen wie qualitativen Homogenität, die manches Mitglied des Seminars
eventuell bevorzugt hätte, gegangen sein mag.
Dieser Band reflektiert einigermaßen getreulich, welche Themen in den
Referaten aufgegriffen wurden, wenn auch nicht alle Referenten ihre Beiträge
hier veröffentlicht wissen wollten. Das Spektrum reicht von Ethnologie über
Sprache, Folklore und Literatur, Musik und Kunst bis Geschichte und Religion;
einige Aufsätze sind quellenkundlicher Natur. Zwar liegt ein deutliches
Schwergewicht bei den Studien, deren Gegenstand in Zentral- oder überhaupt
Mittelasien zu verorten ist, doch wurden dessen "Randräume" bewußt etwas
großzügiger bemessen.
Wie es dem Charakter eines Seminars als offenes Diskussionsforum eher
denn hermetischer Zirkel entspricht, haben auch Beiträge in die Tagung und
damit in dieses Buch Eingang gefunden, deren Inhalte und/oder Tenor der
Aussage möglicherweise Widerspruch hervorrufen werden. Die Herausgeber
sehen sich nicht gerufen, das Verständnis anderer von dem, was zu veröffentlichen die Aufgabe eines Wissenschaftlers sei, oder auch davon, wo die Grenze

1

ESCAS I (Utrecht 1985): Utrecht Papers on Central Asia, ed. Mark van Damme, Hendrik
Boeschoten. Utrecht 1987 (Utrecht Turkological Series no. 2); ESCAS II (London 1987): Cultural
Change and Continuity in Central Asia, ed. Shirin Akiner. London & New York 1991; ESCAS III
(Paris 1989): L'Asie Centrale et ses voisins. Influences réciproques, ed. Rémy Dor. Paris (INALCO)
1990 und En Asie Centrale soviétique. Ethnies, Nations, États (Cahiers du Monde russe et soviétique
XXXn(l)1991.

iv

der Freiheit zur Äußerung einer Meinung gezogen werden müsse, zu zensurieren und damit die Wissenschaftsgeschichte in einer ihnen persönlich genehmen
Richtung zu verfälschen.
Es ist uns ein Bedürfnis, an dieser Stelle den vielen Mitarbeiterinnen und
Gönnern zu danken, die durch ihre großzügige Gastfreundschaft und Spendefreudigkeit oder durch ihre tätige Mithilfe zum Gelingen der Tagung und zur
Veröffentlichung dieses Bandes beigetragen haben.

Ingeborg Baldauf

Michael Friederich

V

Inhaltsverzeichnis

Vorwort

iii

Inhaltsverzeichnis

v

Marek GAWECKI: Polen und Deutsche in Kasachstan. Ein Entwurf
der ethnologischen Forschungsproblematik

1

Gabriele RASULY-PALECZEK: Kinship and politics among the Uzbeks
of Northeastern Afghanistan

11

Klära AGYAGÄSI: Weitere Beiträge zur Aufdeckung eines internationalen
Wanderwortes (Das Wort "Buch" im Wolgagebiet)
29
Agnes BIRTALAN: Further remarks on the Mongolian loanwords
in Nogai

37

Zsuzsanna GULÄCSI: The Turkish loanword kecse in the middle age
Hungarian felt culture

45

Henryk JANKOWSKI: Mongolian loanwords in the Crimean
toponomy

61

V!

Firdaus G.XLSAMLTDLNOVA: HpaHCKHe 3JIEMEHTTI B 6aiiiKnpcKOM

H3biKe

75

Edhem R. TENISEV: Die kirgisische Literatursprache und ihre
Beziehungen mit dem Tatarischen

81

Hendrik BOESCHOTEN & Mark VANDAMME: Rabghuzi's syntax
revisited

87

Manfred LORENZ: Zur Wiedergabe deutscher Nebensätze
im Tägikischen

99

Irina A. MURAVYOVA: Non-marked noun forms in Turkic and
Mongolian languages (A comparative study)

105

Vladimir M. ALPATOV: Mahmud Kashgari and the Japanese
linguistic tradition

117

Edward TRYJARSKI: Languages along the Silk Road. A few
critical remarks on the knotty problem

123

Charles F. CARLSON: Language reform movements in Central
Asia

133

Kenesbai M. MUSAEV: ,II,EMORPA4>HHECKNE npoueccw H ^ y m c u n o HHPOBAHHE H3LIKOB B Ka3axcTaHe

153

Bubiyna O. ORUZBAEVA: Die kirgizische Sprache als Staatssprache
unter neuen Voraussetzungen

165

vii

Xalyk

G . KOROGLY:

"Keporjiw" B IJeHTpajitHofi

A3HH

171

X6nia CELNAROVÄ: The role of folklore in creating the interliterary
community of Turkic nations

179

Hamid ISMAILOV: National Consciousness and Uzbek
Poetry (1920-80)

185

Sigrid KLEINMICHEL: cAlßIr Nawä°i über das Lachen

205

Roza SULTANOVA: Rhythms of Central Asian traditional music
through the prism of aruz poetic meters

217

Tadeusz MAJDA: Ceramic tiles from Central Asia in the
National Museum in Warsaw

223

Iris COLDITZ: Shäd-Ohrmezd and the early history of the Manichaean
DTnäwariya-community

229

Istvän ZIMONYI: Volgar Bulghars and Islam
Ely or KARIMOV: Sufi brotherhoods in 15 th century Central Asia

235
...

241

Rozija G. MUKMINOVA: Die Rolle der beiden Hauptrichtungen
des Islam in der Politik der Kriege Sajbäni-Häns
und Sah IsmäUs

249

Audrey BURTON: Who were the Almän?

257

viii

Turaj

ATABAKI:

study in the history of Bukharan modernism. The

A

journey of Ahmad Danish to St. Petersburg
Dov B.

YAROSHEVSKI:

Gasym

M . KERIMOV: HcjiaMCKHe 3B0Jii0ijH0HHbie
CoBeTCKOH IJ,eHTpajIBHOH A3HH

Jakob

TAUBE:

263

Bukharan students in Germany, 1922-1925 . . .
npoijeccu

B

291
The yaril sacrifice to the ancestors in the cult of

CHIODO:

Cinggis Qayan
Klaus

SAGASTER:

301

Stone and bird. A motif of

Mongolian symbolism
Käthe
Oleg

URAY-KÖHALML:

F . AKIMUSKIN:

Ildikö

XVI Bexa

BELLER-HANN:

Zbigniew

279

Märchen und Brauchtum als religionshistorische

Quellen
Elisabetta

271

JASIEWICZ:

311

Vom Sippenkult bis zum Staatskult

EHÖJIHOTEICA IILHßAHHFLOB B

Byxape

The Scotsman of the Gobi

317

325
343

Leon Barszczewski'S collection of photographs

from Russian Turkestan and the Bukharan Emirate as a
historical and ethnographical source

361

ix

Kinga MACIUSZAK: Soviet publications on Afghanistan for the last
fifteen years

365

Tatiana A. PANG: Manchu shaman materials in A. V. GrebenScikov's
archives

375

X

Polen und Deutsche in Kasachstan.
Ein Entwurf der ethnologischen Forschungsproblematik

Marek

GAWECKI,

Poznan

Die Bemerkungen, die ich hier darlegen möchte, machen sich nicht anheischig, als Resultat eines gezielten, vorgefaßten Forschungsplans gelten zu
wollen. Es war sozusagen ein Schlag en passant während meiner Forschungsarbeit zur Kultur und dem ethnischen Bewußtsein der seit 1936 aus dem Gebiet
der Westukraine nach Kasachstan deportierten Polen. Ich möchte meine Darstellung nur als eine vorbereitende Ausgangsbasis für künftige Studien an Ort
und Stelle verstanden wissen. Unser Forschungsplan ist in diesem Zusammenhang für einige Jahre befristet. Im Rahmen der Studien ist vorgesehen, die verschiedenen interethnischen Relationen, darunter auch die zwischen Polen und
Deutschen,1 zu identifizieren und zu interpretieren.
Es hat sich schon an einer der ersten Stationen des Forschungsunternehmens, in Oziorne in der Oblast Kokcektaw deutlich erwiesen, daß sowohl Polen
als auch Deutsche in dieser Ortschaft zahlreich vertreten sind. Dabei stellte sich
heraus, daß die Oblast Kokcetaw, von den Oblast Karaganda und Celinograd
(früher Akmolinskaja oblast') abgesehen, das Hauptansiedlungsgebiet der von
uns zu erforschenden ethnischen Gruppen in Kasachstan ist. Die Problematik
der wechselweisen Relationen zwischen den beiden Gruppen unter so extremen
Bedingungen scheint uns einer spezifischen Aufmerksamkeit und vertieften
Analyse würdig zu sein.
Kasachstan ist ein Vielvölkerstaat, in dem mehr als 100 Ethnien repräsentiert sind. Zu den größten Populationen gehören die Kasachen, Russen, Deutschen, Ukrainer, Usbeken, Tataren, Uiguren, Belorussen, Koreaner, Aseri,
Polen, Cecen, Türken und Griechen. Nach der letzten Volkszählung (Dezember

1
Das interdisziplinäre Forschungsprojekt "Polen in Kasachstan. Kultur und ethnisches Bewußtsein" wird im Institut fur Ethnologie der AMU zu Poznan durch eine Forschungsgruppe von acht
Mitarbeitern unter der Leitung des Autors seit 1990 realisiert. Die Vorbereitungsstudien in Kasachstan sind für die Jahre 1990-1994 vorgesehen.

2

Marek Gawecki

1989) leben in Kasachstan 975 518 Deutsche und 61 445 Polen. Im Jahre 1970
betrugen die beiden Werte 858 077 bzw. 59 445.
In den letzten zwei Dezennien läßt sich ein deutlicher Anstieg der deutschen
Gruppe und gleichzeitig ein Rückgang der polnischen Bevölkerung beobachten,
und dies ungeachtet der in den letzten Jahren ansteigenden Welle von Emigration in die Bundesrepublik Deutschland. Die tatsächliche Zahl der Polen in
Kasachstan ist viel höher anzusetzen, als die Volkszählung ausweist. Nach
manchen Schätzungen leben in diesem Land mehr als 300 000 Polen; die Differenz ergibt sich daraus, daß die Betroffenen früher ihre Nationalität angesichts potentieller Repressalien unterschlagen haben oder infolge arbiträrer
Aktionen in der Administration als Ukrainer oder gar auch Russen in die
Register geraten sind. Kommt es zu keinem massiven Exodus der Polen aus der
UdSSR, so darf man wohl mit Recht vermuten, daß die Statistiken, was man
dann als Konsequenz einer freizügigen Entfaltung des Nationalitätsbewußtseins
ansehen dürfte, künftig eine größere Zahl an Polen erfassen werden. Nach
sowjetischer Gesetzgebung ist jede volljährige Person berechtigt, eine andere
als die bei Geburt erworbene Nationalität anzugeben. Die Populationsstärke der
Deutschen in Kasachstan wird ohne Zweifel weiterhin infolge der andauernden
Emigration, übrigens wohlgemerkt nicht nur in die Bundesrepublik Deutschland, sondern gegebenenfalls auch in eine ins Leben gerufene Autonome Oblast
an der Wolga, gewaltig nachlassen. In Erwägung gezogen wird auch ein
Projekt zur Ansiedlung der Sowjetdeutschen in der Oblast Kaliningrad.2
Zwar gab es in Kasachstan Anfang des 20. Jahrhunderts eine gewisse Anzahl von deutschen Ansiedlern, die hierher im Rahmen der sogenannten
Stolypin-Reform gekommen waren, und eine relativ große Gruppe von Polen,
Nachfahren verbannter Aufständischer aus dem 19. Jahrhundert, aber die
Hauptwelle der Zwangsumsiedlungen setzte bei den Polen 1936, bei den
Deutschen 1941 ein. Nach Kasachstan sind auch Polen aus den von der Sowjetunion infolge des Ribbentrop-Molotow-Paktes annektierten Gebieten Polens deportiert worden. Die meisten der Überlebenden dieser Deportiertengruppe
kehrte im Rahmen der Repatriierung nach Polen zurück oder verließ Kasachstan noch im Krieg mit der polnischen Armee des General Anders über Iran
und den Nahen Osten.

2

VORMSBECHER, Gugo: Kak my predstavljaem sebe vosstanovlenie nemeckoj ASSR. In: SE 1989,
Nr. 6, S. 33.

Polen und Deutsche in Kasachstan

3

Die beiden Gruppen der Polen und Deutschen bestehen hauptsächlich aus
Landbevölkerung. Den Grund für die Deportation der Polen bildete einerseits
der Mißerfolg des sowjetischen politischen Experiments, der polnischstämmigen Bevölkerung "beschränktes Selbstverwaltungsrecht" zu verleihen, und der
Widerstand der polnischen Bevölkerung gegen die Kollektivierung der Landwirtschaft in den Autonomen Polnischen Regionen, d. h. in der Marchlewskiund der Dzierzynski-Region. Auf der anderen Seite resultierten die Deportationen aus einer konkreten Politik der Verdrängung der "klassenfeindlichen und
ethnisch abweichenden Elemente" aus dem Grenzgebiet.3 Den Grund für die
Massendeportation der Deutschen bildete die Angst der sowjetischen Behörden
vor der Möglichkeit einer Kollaboration der Sowjetdeutschen mit dem Dritten
Reich. Dieselben Gründe betreffen die Deportationen der Inguschen und Krimtataren. Einige hunderttausend Koreaner aus Ostsibirien wurden als potentielle
Gefahr für die Interessen der Sowjetunion in ihren Beziehungen mit Japan
ebenfalls zwangsweise nach Kasachstan verbracht.
Es dürfen jedoch auch rein ökonomische Gründe für die Deportationen
gerade nach Kasachstan nicht außer Acht gelassen werden. Die grausamen
Maßnahmen in der Agrar- und Bevölkerungspolitik der sowjetischen Behörden
verursachten in dieser traditionellen Hirtenkultur und in dem relativ reichen
Land verheerende Depopulationsprozesse. In den Jahren 1926-1939 sank die
Anzahl der Bevölkerung dieser Sowjetrepublik um 37%. Selbst die Population
der Kasachen notierte 49% Verluste infolge von Hungersnot und Epidemien.4
Es war nötig, neue Arbeitskräfte zu beschaffen, insbesondere nachdem die
Nazistreitkräfte die Sowjetarmee aus der Ukraine, der Kornkammer der Sowjetunion, verdrängt hatten, die nota bene bis zu dem Zeitpunkt nicht mehr imstande gewesen war, nach der großen Hungersnot ihr landwirtschaftliches
Potential wieder aufzubauen.
Infolge der bereits oben geschilderten Verkettung von obwaltenden tragischen Umständen kamen zahlreiche Gruppen der hier zur Debatte stehenden
Ethnien nach Kasachstan, wo sie jahrzehntelang mit allen aus dem sowjetischen
System resultierenden Konsequenzen als "Feinde des Sowjetvolkes" betrachtet
wurden. Sie wurden zwangsweise in bereits bestehende Kolchosen und Aule

3

IWANOW, M.: Polacy w Zwiozku Radzieckim w latach 1921-1939, Wroclaw 1990.

4

ABYLCHO2IN,Z.B., KOZYBAEV.M.K., TATIMOV.M.B.: K a z a c h s t a n s k a j a t r a g e d i j a . In:

Istorii, 1989, Nr. 7, S. 66-67.

Voprosy

4

Marek Gawecki

verbracht oder gar in der Steppe abgesetzt, wo alles von Anfang an aufgebaut
werden mußte. Als "Volksfeinde" waren sie der Haftordnung unterzogen. Sie
durften strikt ihren Wohnort nicht verlassen, und die Bürgerrechte blieben
ihnen ebenso wie ihre persönlichen Dokumente entzogen. Sie litten ständig
Hungersnot. Die Situation besserte sich nach dem Tod Stalins einigermaßen,
doch der Haß der sowjetischen Behörden gegenüber den Polen und Deutschen
blieb bestehen. Er stand im krassen Widerspruch zum Verhältnis der Kasachen
zu den beiden Gruppen, der Kasachen, die, selbst vom sowjetischen System
tragisch heimgesucht, eher Verständnis für das Schicksal der Zwangsumsiedler
aufbrachten.
Der Forschungsstand über die Deportationen und den weit aufgefaßten Kulturwandel in der deutschen und polnischen Population in Kasachstan ist dürftig.
Viele Jahre hindurch galt Forschungsverbot, und die Kontakte der genannten
Gruppen mit der Außenwelt wurden praktisch auf Null reduziert.
Im Laufe der Zeit wurde die Situation der deutschen Gruppe allmählich verbessert; auf sie, als die drittstärkste Bevölkerungsgruppe, mußte man Rücksicht
nehmen. In bedeutend kleinerem Ausmaß hat sich auch das Schicksal der Polen
gebessert. Die Population war viel kleiner und die kulturellen Unterschiede gegenüber den ukrainisch-belorussischen Nachbarn, neben denen sie schon vor
der Deportation gelebt hatten und denen sie in den meisten Fällen in Kasachstan ebenfalls begegneten, waren im Vergleich zu den Problemen der Deutschen weniger markant. Die sowjetischen Behörden zogen prinzipiell mit allen
zur Verfügung stehenden Mitteln die Russifizierung der polnischen Population
vor.
Nicht ohne Bedeutung für das Schicksal des Polen- und des Deutschtums in
Kasachstan war die Außenpolitik der Bundesrepublik Deutschland und der VR
Polen. Während die BRD (und zu einem gewissen Grad auch die DDR) weitgehendes Interesse für das Schicksal der Kasachstan-Deutschen bewies, tat die
VR Polen, um den östlichen Nachbarn nicht aufzuregen, so, als hätte sie das
Problem nicht gesehen. Die Folgen dieser Politik waren verhängnisvoll. Zentren der polnischen Emigration und die Oppositionellen in Polen unter der kommunistischen Herrschaft hatten das Problem jedoch wahrgenommen und ihm im
polnischen Gruppenbewußtsein einen entsprechenden Rang verliehen. Direkt
konnte dies jedoch das Schicksal der Polen in Kasachstan nicht beeinflussen.
Das Bewußtsein der Deutschen und der Polen um die Zugehörigkeit zu
ihren Stammethnien ist sehr stark und nimmt ungeachtet aller Assimilations-

Polen und Deutsche in Kasachstan

5

prozesse zu. Gleichzeitig sind sie sich der Unterschiede zwischen sich selbst
und den Polen aus Polen bzw. den Deutschen aus Deutschland bewußt. Auf die
Frage nach ihrer ethnischen Zugehörigkeit antworten die Kasachstan-Deutschen, daß sie Schwaben, Wolgadeutsche oder Mennoniten seien.5 Es gibt in
Kasachstan eine Gruppe von Polen, die sich als Masuren identifiziert.6 Dies
zeugt vom bestehenden Bewußtsein um den ursprünglichen Abstammungsort
oder die konfessionellen Zugehörigkeit. Eine ziemlich große Gruppe unter den
besprochenen Ethnien der Polen und Deutschen aus den westlichen Gebieten
der Sowjetunion bilden die Nachfahren von Kolonisten, die dort erst im 18.
oder 19. Jahrhundert angesiedelt worden waren. Im Laufe der Zeit hatten sie
sich eingebürgert und waren zu Autochthonen geworden. Aus verständlichen
Gründen trifft das mehr für die Polen zu als für die Deutschen.
Von der Integrationsstufe der Gruppen zeugt ihr Homogenitätsgrad und die
Erhaltung der Muttersprache. Über das sprachliche Verhalten liefert die letzte
Volkszählung interessantes Material. In der deutschen Gruppe deklarierten
1989 54,4% der Respondenten, daß ihre Muttersprache Deutsch sei.7 In bezug
auf die polnische Gruppe (Muttersprache Polnisch) beträgt dieser Wert nur
12,2%.8 Dieser letztere Wert liegt allerdings bemerkenswerterweise um das
Zweifache höher als in den polnischen Regionen um Zhitomir (Ukraine), woher
die meisten heute in Kasachstan ansässigen Polen stammen. Man kann also behaupten, daß die Deportation offenbar mehr zur Erhaltung des Polentums
beigetragen hat als das Verbleiben am Ort der alten Ansiedlung unter konstanter Bedrohung.9 Auch dieser Schluß soll als Anregung zu weiteren, vertieften Studien verstanden werden.
Man hätte vermuten können, daß in dem Maße als die eigene Muttersprache
verloren geht, die Sprachkompetenz im Russischen besser würde. Ohne Zweifel
gilt das so für die mittlere und jüngere Generation. Doch 1989 gaben 19,8%

5

NAUMOVA, O. B.: Nacional'no-smeäannye sem'i u nemcev Kazachstana. In: SE 1987, Nr. 6,
S. 92.
6
"M6j ojciec urodzil sie na Sybirze ...". Z Janem Plater-Gajewskim rozmawia K. Renik. In:
Przeglad Powszecfuiy, 1990, Nr. 6, S. 348.
7

1979: 64,5%; 1970: 36,3%.

'

1979: 14,8%; 1970: 17,7%.

•

IWANOW, M.: Polacy w Zwiazku Radzieckim. In: Kurier Wilenski, 18. 9. 1990.

Marek Gawecki

6

der Polen10 und 50,6% der Deutschen11 geläufige Sprachkenntnisse in Russisch an. Das will nicht besagen, daß die jeweilige Muttersprache zugunsten
des Kasachischen oder einer der anderen auf dem Gebiet Kasachstans geläufigen Sprachen verloren ging. Die Sprachkenntnisse in Kasachisch sind sehr
gering und umfassen lediglich 0,6% bei den Deutschen und 0,4% bei den
Polen. In alltäglichen Kontakten verkehren die Polen und die Deutschen jeweils
untereinander in Dialekten, oder im Grunde genommen eher in Mischsprachen,
die situationsgebunden je nach ethno-sprachlichem Milieu der gegebenen
Gegend, der Spracherhaltungsstufe und der Qualität der Lehrveranstaltungen in
der gegebenen Sprache verschieden sind. Es läßt sich eine starke Interferenz
des Russischen im Bereich der Lexik und in der Syntax beobachten. Bis jetzt
gibt es keine Sprachstudien zur Problematik des Polentums in Kasachstan.
Soweit ich unterrichtet bin, gilt das wohl auch für die Situation der Deutschen
in Kasachstan. Hier besteht ein dringender Nachholbedarf.
Die meisten Polen und Deutschen in Kasachstan leben in Dörfern und
bilden dort Minoritäten. Nur in 91 Dörfern bilden die Deutschen mehr als 50%
der gesamten Einwohnerschaft. Sogar in Dörfern wie Telman, Telmanovka und
Peterfelde, aus deren Namen man schließen darf, daß sie von Deutschen
gegründet wurden, ist der Anteil anderer Nationalitäten an der Gesamtbevölkerung beträchtlich. In ganz Kasachstan gibt es nur zehn Dörfer, in denen die
polnische Bevölkerung mehr als 50% der Einwohnerschaft ausmacht. In 36
Dörfern stellt die polnischstämmige Bevölkerung mehr als 20%.
Eine solche Situation trägt zur Assimilierung und Desintegration der Volksgruppen bei. Das zeigt sich z. B. im Anstieg der Zahl der Mischehen. Die zugänglichen statistischen Daten in bezug darauf liefern interessantes Basismaterial für eine quantitative Bewertung und eine vertiefte Interpretation des Phänomens. Bis jetzt hat man das Phänomen der polnischen Mischehen in Kasachstan
nicht wissenschaftlich untersucht. In bezug auf die Mischehen in der deutschen
Population gibt es eine sowjetische Studie aus dem Jahre 1986.12 Aus den
Daten dieses Berichts geht hervor, daß bereits 1970 etwa 50% der in der
Bevölkerung deutscher Abstammung geschlossenen Ehen ethnisch inhomogen
waren. Der Prozentsatz war in den Städten höher und lag bei 57,4%; unter der
10

1979: 24,3%; 1970: 36,3%.

"

1979: 58,3%; 1970: 66,9%.

12

NAUMOVA, O . B . , o p . c i t .

Polen und Deutsche in Kasachstan

7

ländlichen Bevölkerung betrug er 43,9%. In den meisten Fällen sind es Ehen
mit einem Vertreter einer der osteuropäischen Ethnien. Sie bilden über 90%
der Ehen in dieser Kategorie. Aus dem Material geht nicht klar hervor, ob es
Frauen oder Männer sind, die eine Person nichtdeutscher Abstammung geheiratet haben. Den Kindern aus solchen Ehen wird meistens in die Geburtsurkunde
nur die Nationalität des Vaters eingetragen. Relativ oft lassen die Eltern in
solchen Fällen die Nationalität des Kindes in die Taufbücher nicht eintragen. Es
wird dabei belassen, dem Kind die Möglichkeit zu geben, nach Erreichung der
Volljährigkeit selbst darüber zu entscheiden. Nur sehr selten sind es deutschkasachische Ehen, und das nur in der Variante "Mann — Kasache, Ehefrau —
Deutsche".13
Auf Grund meiner Beobachtungen im Herbst 1990 in Dörfern in Nordkasachstan kann mit großer Wahrscheinlichkeit angenommen werden, daß der
Anteil der polnisch-"europäischen" Ehen größer ist als bei den Deutschen. Der
Prozentsatz der polnisch-kasachischen oder auch der polnisch-"asiatischen"
Ehen könnte mit dem entsprechenden Wert in der deutschen Population vergleichbar sein. Weiterer Studien bedarf das Problem der ethnischen Distanz
und ihr Einfluß auf den Kulturtransfer in den Mischehen.
Für den Stand der deutschen Kultur in Kasachstan ist eine relativ gut entwickelte Infrastruktur der Kultur- und Volksbildungsanstalten förderlich. Sie ist
viel besser und vielseitiger als die polnische. Deutschunterricht gibt es in 280
Schulen. Lehrkräfte für diese Schulen werden an sieben pädagogischen Instituten in der UdSSR ausgebildet. Zwei von diesen sind in Kasachstan (Kokcetaw, Sawan). Die Auflagenzahlen von Fibeln erreichen 20 Tausend, die von
anderen Lehrbüchern 6-10 Tausend Exemplare. Es gibt auch deutsche Kindergärten und eine deutschsprachige Zeitung (in der UdSSR insgesamt sind es
drei). Deutschsprachige Rundfunksendungen werden aus Alma-Ata ausgestrahlt.
Empfangen werden auch Programme aus Omsk, Franse und Barnaul. Deutschsprachige Informationssendungen bringen auch die Fernsehsender in Alma-Ata
und Karaganda. In der Hauptstadt der Republik gibt es ein deutsches Theater
mit einer speziell für diese Zwecke in einer Theaterschule ausgebildeten Schauspielertruppe. Es gibt etwa 100 deutsch schreibende Schriftsteller, die ihre
Bücher in Kasachstan und in anderen Republiken veröffentlichen. Von der
Aktivität der Deutschen zeugt z. B. die Tatsache, daß fünf Deutsche zum

13

Ibid., s. 94.

8

Marek Gawecki

Obersten Sowjet gewählt wurden, zehn in den Organen und Behörden der
Republik tätig sind und zwölf Deutsche Delegierte zum 27. Parteikongreß
waren. Leiter der Abteilung des ZK KP Kasachstans für Nationalitätenangelegenheiten ist ebenfalls ein Deutscher.14
Die polnische Volksbildung in Kasachstan ist unterentwickelt und begann
praktisch erst Anfang 1990. In 17 Schulen gibt es Polnischunterricht, an dem
1250 Kinder und Jugendliche teilnehmen. An den Schulen sind 15 Lehrer aus
Polen tätig. Der Bedarf ist jedoch viel größer. Allmählich sollen Polonisten, die
bereits in Kasachstan für ein Studium an polnischen Universitäten aufgenommen worden sind, diesen Bedarf wenigstens zum Teil decken. Die Erhaltung
des polnischen sprachlichen Elements in Kasachstan ist enorm vernachlässigt
worden.
Dasselbe gilt für die Seelsorge. Letztes Jahr wurde zum ersten Mal möglich, vier Priester aus Polen nach Kasachstan zu delegieren. Die Gesamtzahl
der katholischen Priester in Kasachstan ist nicht bekannt, auf jeden Fall aber
sind es nicht mehr als 15. Viele von ihnen sind ehemalige Verschickte. Sie sind
sehr alt, und viele von ihnen sind nicht mehr polnischsprachig. Von den
Problemen der Seelsorge sind auch deutsche Populationen, sowohl Katholiken
als auch Protestanten, betroffen. Zu den Besonderheiten der Situation in Kasachstan gehört die Tatsache, daß man in den 60er Jahren einem katholischen
Priester litauischer Abstammung mit Deutschkenntnissen die Erlaubnis für seine
Tätigkeit erteilt hat. Diese Maßnahme sollte die Auswanderung der Deutschen
in andere Regionen der UdSSR verhindern, wo der Kirchgang erleichtert war.
Heutzutage werden in Kasachstan einige Kirchen gebaut. Diese Vorhaben
integrieren die katholischen Vielvölkernachbarschaften. Es fehlt auch manchmal
nicht an Konflikten, wenn alte Vorurteile und Stereotype zutage treten.
Die spezifischen Gegebenheiten in Kasachstan erschließen ein Forschungsfeld für die Untersuchung von ethnischen Stereotypen in der deutsch-polnischen
Nachbarschaft. Man darf wohl mit Recht schließen, daß sie anders sein könnten
als in der europäischen Nachbarschaftssituation.
Für die nähere Zukunft beabsichtigen wir, eine detaillierte historische und
zeitgenössische Studie der bestehenden polnisch-deutschen Beziehungen in
14

MASLOWSKI, M.: Sprawozdanie z wyjazdu shizbowego do Kazachstanu, 23-28. 10. 1989; Manuskript, 2. 12. 1989.

Polen und Deutsche in Kasachstan

9

Kasachstan durchzuführen. Es gibt nur sehr wenige Ortschaften, wo uns interessierende Gruppen gleichzeitig die Mehrheit der Bevölkerung bilden. Zu
diesen gehören ohne Zweifel Oziorne in der Oblast Kokcetaw (Polen 64%,
Deutsche 29%) und Kamjanka in der Oblast Celinograd (25% Polen, 55%
Deutsche). Wie bereits angedeutet, geht die Zahl der deutschen Landbevölkerung schnell zurück, und man muß auch mit einer größeren Emigration der
Polen aus Kasachstan rechnen.

10

Kinship and Politics Among the Uzbeks of Northeastern
Afghanistan

Gabriele RASULY-PALECZEK, Wien
In societies with only rudimentary centralized state structures, kinship forms
an integral constituent of the political system. I intend to reveal this interconnectedness of kinship and politics among the Uzbeks of northeastern
Afghanistan.1 I shall concentrate on one group, the Chechka-Uzbeks, who as
part of the so-called Qataghan-Uzbeks emigrated into the region in the
sixteenth and seventeenth centuries and inhabited the ancient territory of
Tokharistan (the country east of Balkh and west of Badakhshan), later also
called Qataghan.2
The Chechka are divided into a number of subgroups (uzbek. urugh).3
They long ago gave up their nomadic lifestyle and now make their living from
agriculture and animal husbandry.4 Their main settlement areas in Afghanistan

1

The following statements must be considered as preliminary results of my recent field researches
(winter/spring 1991 in Pakistan and September 1991 in Turkey), which are not yet concluded. Due
to the ongoing war in Afghanistan it was not possible to conduct research inside the country, thus I
had to rely on information gathered among Uzbeks and other refugees now living in Pakistan and
Turkey. The researches were made possible by grants from the Austrian Ministry of Science and
Research and the "Austrian Fund for the Advancement of Science," for which I would like hereby
to express my gratitude.
2

C f . ADAMEC ( 1 9 7 2 : 9 5 u n d 1979: 5 8 4 - 9 0 ) , CENTLIVRES ( 1 9 7 5 ) , JARRING ( 1 9 3 9 : 1 3 - 3 4 , 5 2 - 5 7
a n d 6 3 s q . ) , WOOD ( 1 8 7 2 : 1 9 1 ) , KOSHAKI ( 1 9 7 9 : 8) a n d HOLZWARTH ( 1 9 8 0 : 1 8 9 ) . A c c o r d i n g t o o r a l

tradition, the original home country of the Chechka was Samarkand. For further details, see my
contribution to the "Festschrift" for Professor Karl R. Wernhardt, "Ethnohistorie und Ethnizität am
Beispiel der Usbeken Nordost-Afghanistans" (in the press).
3

Sometimes the villages bear the name of the subgroup, e.g., Khoshkeldi, Wurazbacha, etc.; cf.

map in ADAMEC (1972).
4

Cf. CENTLIVRES (1975:35 and 1976:263 sq. and 259), CENTLIVRES-DEMONT (1976:273) and

GRÖTZBACH (1972:126-37).

Gabriele

12

Rasuly-Paleczek

are in the district of Khwojaghar (province of Takhar) and in Dasht-i-Archi and
Imam Sahib (province of Kunduz).5
Like many other regions of Afghanistan the provinces of Kunduz and
Takhar are the settlement areas of several ethnic groups, mainly of Tadzhik or
Turkic origin. Thus we find a number of Tadzhik, Qarluq, Qongrad, Arab,
Moghul, Laqay, Mamai, Hazara, Qauchin, and Timaz settlements.6 Due to the
integration of Afghan Turkestan, Qataghan and Badakhshan into the Afghan
central state this multiethnic mosaic was enriched by the influx of other groups,
primarily Pashtun tribes that since the middle of the nineteenth century were
settled in the region. Among these Pashtun newcomers there were mainly tribal
groups from southern and southeastern Afghanistan like the Shinwari, Hotak,
Kakar, Sulaymankhel, Akakhel and Kharuti.7 Besides the Pashtun immigration
the region also witnessed an influx of Turkic and Tadzhik refugees from
Central Asia, especially after the so called "Basmachi" rebellion against the
Soviets broke down and Stalin started his collectivization campaign.8
The increased market orientation of the agricultural production in the
region9—mainly cotton—after the Second World War finally led to a growing
migration, either permanent or seasonal, of Tadzhiks from Badakhshan, who
were working as sharecroppers or farm labourers (e.g. in cotton picking).

5

Cf. ADAMEC (1972:95), KOSHAKI (1979:67), CENTLIVRES (1975:29 and 35). Besides there are
also some Chechka settlements on the left bank of the Kokcha River, e.g., in the district of Dasht-iQala (province of Takhar). The main Chechka settlements on the northern bank of the Amu Darya
are in Saray Kamar and in Alifberdi, formerly Emirat of Bukhara, presently situated in Tadzhikistan.
6

CENTLIVRES ( 1 9 7 5 : 2 8 - 3 7 ) , ADAMEC ( 1 9 7 2 : 9 4 - 9 6 , 6 s q . a n d 8 , T a b . I I ) , JARRING ( 1 9 3 9 : 1 3 - 3 5 ) ,

KOSHAKI ( 1 9 7 9 ) , GROTZBACH ( 1 9 7 2 : 8 5 - 9 8 ) , ORYWAL ( 1 9 8 6 : 1 8 - 7 3 ) a n d t h e m a p e d i t e d b y ORYWAL
(1983).
7

Cf. ADAMEC (1972:6 sqq., 9 and 96), GROTZBACH (1972:55 sq., 65, 67 sq., 93-96, 82),

CENTLIVRES-DEMONT (1976:272 sq.).
8

CENTLIVRES ( 1 9 7 5 : 3 2 ) ,

CENLIVRES u n d CENTLIVRES-DEMONT

(1983:83-115),

GROTZBACH

(1972:56, 67, 81 sq., 92) and SHALINSKY (1986:290-303). Many of these former muhagirin had to

flee again after 1978, e.g. to Pakistan. Some of them who had followed the invitation of the Turkish
government to settle down in Turkey are now living in Antakya and Ceylanpinar (southeastern
Turkey) (information gained during my field research in September 1991).
9

GROTZBACH (1972:64-69).

13

Kinship and Politics Among the Uzbeks of Northeastern Afghanistan

Compared with the former autonomy or at least quasi independence of the
mirs of Kunduz,10 the final incorporation into the Afghan state under Amir
Abdurrahman Khan in 1888 put the local tribal elite (begs, moysaftds) in an
inferior position versus the Pashtun governors that since then ruled the district
centers. Their political influence was restricted to the local level,11 whereas
their economic position was not challenged by the Afghan state and was even
enhanced during the last decades, which in turn led to a growing stratification
within the tribe. 12 The tribal elite turned more and more into an exploitative
stratum, thereby monopolizing bazar trade and credit operations. But contrary
to strict exploitative relationships the tribal elite is still obliged to support their
clientele and co-tribesmen and to redistribute some of their accumulated
wealth.13
Facing this increasing integration into the Afghan central state, the political
system of the Uzbeks had to change in order to adapt itself to the new conditions; this meant primarily to maintain as much autonomy on the local level as
possible under the given circumstances. This adaption led to a double role of
the local tribal elite (e.g. the beg lineage of the Chechka). These tribal leaders
had to play the role of middlemen, a role ascribed to them by the Afghan
government which could not or was not willing to establish direct contacts
between the local population and the central government.14 At the same time
they were still supposed to be brokers and defenders of tribal and local interests

10

ADAMEC ( 1 9 7 2 : 9 s q . a n d 9 4 s q . ; 1 9 7 9 : 1 8 - 3 6 ; 1 9 7 5 a n d 1 9 8 7 ) , WOOD ( 1 8 7 2 : 1 3 8 s q q . and 1 5 5 ) ,

KOSHAKI ( 1 9 7 9 : e s p . I V s q . , a n d 8 - 1 5 ) , GREVEMEYER ( 1 9 8 7 : 3 9 - 5 3 a n d 8 2 ) , GRÖTZBACH ( 1 9 7 2 : 5 2
s q q . , e s p . 5 4 s q . ) a n d HOLZWARTH ( 1 9 8 0 : e s p .

192-94).

11

Cf. HOLZWARTH (1980:221 sq. and 223 sq.), GREVEMEYER (1989:11-15; 1987:42, 57, 63 sq.,
65 sq. and 68, and 1980:153 sq.), CENTLIVRES and CENTLIVRES-DEMONT (1988:232 sq.). It was
only under the Communist regime that a local Uzbek became governor again.
12

Cf. GREVEMEYER (1980:153 sq. and 1987:65 and 68), HOLZWARTH (1980:223 sq.).

13

GREVEMEYER ( 1 9 8 7 : 5 9 , 7 0 , 7 6 and 1 9 8 0 : 1 4 4 , 1 5 4 , 1 5 8 - 6 2 , 1 6 7 s q . ) , HOLZWARTH ( 1 9 8 0 : 2 1 8 -

20 and 224 sq.). To describe this relationship, HOLZWARTH (1980:217) uses the expression
asymmetrical institutionalized structures of distribution ("asymmetrische institutionalisierte
Verteilungsstrukturen").
14

C f . GREVEMEYER ( 1 9 8 7 : 5 9 - 6 5 ;

1989:11

sq.

and

14 sqq.),

CENTLIVRES

and

CENTLIVRES-

DEMONT ( 1 9 8 8 : 2 3 3 ) , HOLZWARTH ( 1 9 8 0 : 2 2 3 s q . ) a n d AZOY ( 1 9 8 2 : 2 4 s q . ) . GREVEMEYER ( 1 9 8 9 : 1 2 )

calls this process "Verdörflichung der Oberschicht".

14

Gabriele Rasuly-Paleczek

and to act as mediators in conflicts, thus conforming to the traditional role of
a moysafid-e-qaum or beg.15
Before going into detail about this double role of the tribal elite I shall
briefly describe the political system on the local level where we may
distinguish a more or less secular oriented elite, strictly political in their aims
(e.g. beg, moysafid, arbab etc.) from a religious elite, who have some political
influence as well (e.g. ulama, pir etc.).
Referring to the first group, we have to differentiate two types of political
systems, namely, one which may be considered as indigenous, such as beg,
moysafid and arbab, and one which came into being as a result of the integration of the Uzbek principalities into the centralized Afghan state, such as
uluswali, wali etc.16 Thus according to GREVEMEYER we have to differentiate
15

C f . GREVEMEYER ( 1 9 8 0 : 1 6 1 s q q . ; 1982:19 s q . ; 1987:57-65, 6 8 sq. and 1989:11-21),
CENTLIVRES and CENTLIVRES-DEMONT (1988:240), AZOY (1982:35), HOLZWARTH (1980:226).

SALZMAN (1974) e.g. mentions a similar function of the tribal leaders among the Baluch and other
groups.
16
This differentiation of the political system into an indigenous Uzbek and a governmental poses
some problems, mainly when arbab and moysafid are concerned.
It is sometimes difficult to draw a clear distinction between the terms arbab and moysafid (or
aqsaqal). In the sources the arbab is mentioned as being the head of a village (chef de village,
Dorfvorsteher), who is elected by the village population as a representative of the community. His
election is confirmed through a document (wasiqa-i shar'i) by the provincial governor. Cf.

HOLZWARTH ( 1 9 8 0 : 2 2 7 ) , CENTLIVRES and CENTLIVRES-DEMONT ( 1 9 8 8 : 2 4 2 , 2 9 7 and 299), ADAMEC

(1972:201 and 211). The same description—as being a "village head"—is quite often also applied to
the moysafid
(aqsaqal),
cf. HOLZWARTH (1980:212 and 2 2 7 ) , ADAMEC ( 1 9 7 2 : 1 9 9 ) , CARRERE
D'ENCAUSSE ( 1 9 8 8 : 2 6 , 169 and 2 5 5 ) , WOOD (1872:178), BECKER (1968:9). S u p p l e m e n t a r y t o this

definition of moysafid, which would be identical with that of the arbab, the term is often, at times
even by the same author, used in the meaning of "white beard", "notable de quartier", "ancien de
village", "chef de famille", "elder of a community", etc., cf. AZOY (1982:27), HOLZWARTH
( 1 9 8 0 : 1 9 0 and 2 2 9 ) , CARRSRE D'ENCAUSSE ( 1 9 8 8 : 2 5 5 , 2 6 and 169), WOOD ( 1 8 7 2 : 1 7 8 ) , BECKER
(1968:9), CENTLIVRES and CENTLIVRES-DEMONT (1988:299) and ADAMEC ( 1 9 7 2 : 1 9 9 ) . HOLZWARTH

(1980:229) gives the following definition for the moysafid: "Musafed: 'Weißhaariger', 'Ältester',
angesehener und einflußreicher Mann innerhalb der Lokal-, Dorf- oder Verwandtschaftsgemeinschaft;
Gemeindeältester, auch 'musafed-e qoumi' genannt." Sometimes the term moysafid (aqsaqal) is even
used to designate a local ruler: HOLZWARTH (1980:189 and 210), or the leading figure of the district
administration, who was supported by lower ranks like arbab and mirdah. HOLZWARTH (1980:216)
mentions that the aqsaqal occupied the lowest rank within the administrative hierarchy who was
obliged to support the arbab (1980:16).
Today the moysafid may be considered as the traditional spokesman and representative of a
village or ethnic group who lacks formal acknowledgement by the governmental institutions, whereas
the arbab ist the official representative of a village or ethnic group. Although the arbab institution

Kinship and Politics Among the Uzbeks of Northeastern Afghanistan

15

between natural and elected middlemen17 or, more precisely, between two
types of middleman, namely khan (or beg) and arbäb.18 They may be characterized as follows:
Khan ist ein türkischer Begriff, der soviel wie "Herrscher" oder "Herr"
über einen Clan oder Stamm bedeutet. Heute entspricht seine Stellung in
etwa dem eines "Big Man" (ANDERSON 1978:169). Seine soziale Stellung
drückt sich ökonomisch in Grundbesitz und der Verfügung über bäuerlichen
Surplus aus, das teilweise in den Bazar investiert wird und damit über den
Handel Vermögen und Einfluß vergrößert. Der Zugewinn sozialen Einflusses aufgrund ökonomischer Macht steht im Zentrum der Interessen des
Khans. Aufgrund seines Ansehens ist er Mittler nach innen und nach außen.
Die Vermittlung bezieht sich auf die Schlichtung von Rechtsstreitigkeiten
innerhalb der Gemeinschaft, über die er gebietet, und auf die Regelung
staatlicher Forderungen an die Klientel (Entrichtung von Steuern, Einberufung zum Militärdienst).... Arbab bezeichnet einen anerkannten
Vertreter einer Residenzgruppe bei der seßhaften Bevölkerung. Jedes
Residenzviertel, das aus mehreren Kernfamilien besteht, wählt einen
Vertreter als Arbab. Wie der Khan ist er Mittler zwischen den Interessen

existed in former times and encompassed various obligations it seems as if during the reign of Amir
Amanullah Khan the function of an arbab was finally institutionalized as being that of a direct
middleman between the local population and the central state. Cf. AZOY (1982:28), GREVEMEYER
(1987:61 sqq. and 1 9 8 9 : 1 4 s q . ) , CENTLIVRES and CENTLIVRES-DEMONT (1988:242) and HOLZWARTH

(1980:223). Whereas the arbab is officially acknowledged and linked to the state bureaucracy, the
moysafid is completely restricted to carrying out unofficial tasks and is not directly affiliated to the
local governmental system.
Contrary to the moysafid-e-qeshlaq the moysafid-e-qaum, who is the traditional political leader
of a local group, due to his influence is inofficially affiliated with the local administration and plays
the role of a mediator between society and state. His social standing may be considered as identical
with that of a beg of former times.
17

GREVEMEYER ( 1 9 8 7 : 6 2 ) .

18

GREVEMEYER (1980:163). In general the terms beg and khan are used similarily to designate
political leaders, cf. e.g. CENTLIVRES and CENTLIVRES-DEMONT (1988:279 sq.). Among the Uzbeks
the governors of provinces or of subdivisions of the khanates and the aristocracy of the nomadic
tribes were traditionally called beg, cf. CARR£RE D'ENCAUSSE (1988:10) and BECKER (1968:8). An

expression often used for this type of middlemen is the term moysafid-e-qaum. As the traditional begsystem came to an end due to the submission of northern Afghanistan into the Afghan state the term
beg was subsequently replaced by moysafid-e-qaum. Whereas the activities of the moysafid-e-qeshlaq
are restricted to his own village or clientele the moysafie-e-qaum is the acknowledged political leader
of a specific ethnic or regional group who, even if excluded from official state politics, plays a
prominent role in local politics, though often in the back rank.

Gabriele Rasuly-Paleczek

16

des Staates und seinen eigenen Anhängern sowie Schlichter in Streitfällen.
Im Unterschied zum Khan jedoch wird er als offizieller Repräsentant der
Residenzeinheit bei der Verwaltung geführt. Seine Stellung verdankt er
sowohl seinen Fähigkeiten (Alter, Wisen) als auch seiner ökonomischen
Vorrangstellung. Die Position ist nicht erblich.19
Besides the khan (beg or moysafid-e-qaum), the indigenous political system
also includes the moysafid (in Uzbek: aqsaqal) or more precisely moysafid-eqeshlaq20 who acts as mediator in conflicts, as adviser and witness in a large
number of social activities like weddings, circumcisions etc. But contrary to the
begs or moysafid-e-qaums, the moysafid-e-qeshlaqs are restricted in their field
of activities to their own local community or ethnic group (e.g. in multi-ethnic
villages).21 In order to solve conflicts (e.g. disputes over land and water) and
to organize social and other activities (e.g. irrigation work, wedding or burial
ceremonies, buzkashi etc.) the moysafid-e-qeshlaq or -qaum will call for a
maslahat (uzbek. kengash).22 The rank of the participants in a maslahat and
its composition depend on the level of conflict or the scale of the problem. In
supraregional maslahats the respective arbabs are invited along with the
moysafids. Sometimes, if a person (ordinary villager) calls for the participation
of the arbab, this person is also invited to participate in the maslahat. But
normally the moysafids solve problems without the presence of the arbabs.
The position of a moysafid-e-qeshlaq is permanently disputed. The moysafid
has to show his ability by continuously being able to solve conflicts and other
problems. If he fails to do so, he loses the support of his fellowmen. The same
is true for the misuse of power and influence, especially in his contacts with
the government. And finally, descent from a renowned family does not help
him if he does not possess the expected qualifications.

19

and

GREVEMEYER ( 1 9 8 0 : 1 6 3

moysafid-e-qaum cf.

sq.); for details concerning the functions and obligations of the arbab
sqq., 6 1 sq. and 1 9 8 0 : 1 6 1 - 6 6 ) , CENTLIVRES and

GREVEMEYER ( 1 9 8 7 : 5 7

CENTLIVRES-DEMONT ( 1 9 8 8 : 2 3 3 , 2 3 8 a n d 2 4 0 - 4 4 ) , AZOY ( 1 9 8 2 : 2 8 , 3 0 s q . , 3 3 - 3 7 ) , GROTZBACH
(1972:97).
20

The Chechka Uzbeks, whose language is largely influenced by farsi, use the farsi expression
the Uzbeki aqsaqal; this holds also true for other terms, e.g. maslahat in the

moysafid instead of
place of kengash.
21

The following informations were obtained from several

22

C f . HOLZWARTH ( 1 9 8 0 : 2 1 0 ) a n d AZOY ( 1 9 8 2 : 2 7 s q . ) .

moysafid-e-qeshlaq.

Kinship and Politics Among the Uzbeks of Northeastern Afghanistan

17

Thus there is permanent rivalry within society over the moysafid position.
The situation is sometimes aggravated by a conflict over power and influence
between the moysafid and the arbabP The latter is trying to gain influence at
the cost of the moysafid. However, at least until 1978 the Afghan government
was not in a position to ignore the moysafid and had to integrate them into their
decision making processes. Under the communist regime the moysafids were
exposed to severe suppression by the government.24
Besides the already mentioned political elite {moysafid-e-qeshlaq and
moysafid-e-qaum, arbab and nowadays mujahidin commanders) we also have
to deal briefly with the religious establishment which includes mullahs, ulama
(e.g. maulawi, qazi etc.), pirs (spiritual leaders of tariqats; here mainly of the
Naqshbandi-branch), sadat, khoja, and ishan. The do not only fulfill religious
tasks but also played and still play a vital role in politics. This accounts
primarily for the pirs and sayyids, who often emerge as political leaders as
well.25 Some of them combine several positions in one hand, e.g. being a
sayyid and pir at the same time and acting as moysafid.16 Thus the political
elite tries to control and influence the religious elite, and vice versa. 27
A preferred strategy to control the contrahendants are marriage relations or
endowments by the political elite to the religious establishment. By constructing
and financing madrasas they do not only undertake pious deeds, but are at the
same time keeping an eye on the ulama.2*
23

HOLZWARTH

24

Cf.

(1980:215) and

GREVEMEYER

(1987:65),

AZOY

(1982: esp. 35, 26 sq., and 30).

CENTLIVRES

and

CENTLIVRES-DEMONT

(1988:244).

25

Cf. CENTLIVRES and CENTLIVRES-DEMONT ( 1 9 8 8 : 2 3 9 sqq.), AZOY ( 1 9 8 2 : 2 9 ) , HOLZWARTH
( 1 9 8 0 : 1 8 9 sq.), ADAMEC ( 1 9 7 9 : 2 1 ; 1 9 7 5 : 1 7 5 sq. and 161 sq.; 1 9 8 7 : 1 2 2 sq. and 6 1 sq.). A list of
the notability of Qataghan in KOSHAKI ( 1 9 7 9 ) . Naqshbandi sufis were involved in the rebellion of
Ishaq Khan against Amir Abdurrahman Khan, the revolt against Amir Amanulla Khan, and the
Basmachi movement, cf. FLETCHER ( 1 9 8 6 : 2 2 ) . For further details cf. my contibution "Saints and
Society in Northeastern Afghanistan", in "Les saints en Islam: manaqib et pratiques populaires",
papers of the "A.F.E.M.A.M." Meeting in Tours, 4-6 july 1991; Paris (forthcoming). — In the
present resistance movement, sayyids and pin also hold a prominent position, for example
Sibgatullah Mujaddidi and Pir Sayyid Ahmad Ghilani.
24

Cf.

CENTLIVRES

and

CENTLIVRES-DEMONT

(1988:241).

27

Some pirs try to integrate the local political elite in their pir-murid system; e.g. Pir-i-Asfakhar
was the spiritual leader of Sahib Nazar Ishaghabashi.
28

Cf. AZOY (1982:29 and 35). Sahib Nazar Ishaghabashi and Haji Abdul Rasul, for example,
constructed and financed not only mosques but also madrasas. Sahib Nazar Ishaghabashi gave two
of his daughters to members of the ulama, one of them was married to a sayyid and the other one

Gabriele Rasuly-Paleczek

18

After having given a brief description of the local political system I will
now try to shed some light onto the above mentioned double role of the tribal
elite and the strategies that are employed in order to gain and keep influence
and power. The political activities of the power elite include two main aspects:
1) Versus the central government:
Vis-a-vis the central government and its local representatives the tribal elite has
to act as a mediator of tribal interests, aiming to keep state influence as low as
possible. At the same time the central government, by keeping these people in
a privileged position, tries to use them as agents in the relations between state
and tribe (e.g. on a local level by hearing the opinion of the moysafid-e-qaum
in provincial affairs). Their activities as representatives and defenders of tribal
and/or local concerns include lobbying in the provincial center and in Kabul for
tribal interests, building up friendship with the ruling governmental elite,
housing the local representatives of the Kabuli government, giving gifts, and so
on.29 In the 1960s, when general parliamentary elections were held in
Afghanistan and the political and administrative bureaucracy expanded, it also
meant to send someone into the National Assembly (Shura) and to put family
members into local political and administrative positions.30
2) Versus society:
Here the political elite (former begs) would act in the way of a traditional
moysafid-e-qaum, that means as mediators within the tribe, but also between
the various ethnic groups residing in the region. This latter aspect became
particularly important with the increase of Pashtun settlements in the area.
Analogously to the above mentioned rivalry among the tribal elite and the
moysafid-e-qeshlaq there is a constant fight over power and influence within
the tribal elite as well. Thus positions like that of a moysafid-e-qaum or beg are
constantly disputed.31 The tribal elites thus apply mainly three strategies to
keep their position:

was engaged to the son of the Pir-i-Asfakhar, a pir very famous in the region.
29

Cf. CENTLIVRES and CENTLIVRES-DEMONT ( 1 9 8 8 : 2 3 8 and 240), AZOY (1982:33), GREVEMEYER

(1987:69 and 1982:8). Sahib Nazar Ishaghabashi, for example, was on very friendly terms with Shah
Mahmud and Nadir Khan.
30

Cf. CENTLIVRES and CENTLIVRES-DEMONT (1988:240) and GREVEMEYER ( 1 9 8 7 : 6 4 sq.).

31

C f . A z o v ( 1 9 8 2 : 3 5 , 2 6 s q . , 3 0 and 38) and HOLZWARTH ( 1 9 8 0 : 2 1 5 ) .

Kinship and Politics Among the Uzbeks of Northeastern Afghanistan

19

1) Occupying political functions:
This implies not only the eagerness to obtain the position of a beg or a
moysafid-e-qaum but includes the willingness to occupy other functions within
the indigenous or the governmental political system. Thus politically ambitious
people may try to become moysafid-e-qaum themselves. Simultaneously, they
will undertake all kinds of efforts to put members of their own family (e.g.
sons, brothers or nephews) into various political and administrative positions
ranging from the traditional local level (moysafid-e-qeshlaq) to the provincial
and national level (e.g. uluswali, wali, kasanadar and wakil).32 But begs do
not only try to enhance their influence by occupying political functions. They
will also attempt to play an indirect role by influencing people's discussions in
the maslahat33 or by manipulating the election of an arbab.34
2) Marriage policies:35
In order to find allies or to renew old alliances daughters are married off to
other important families, e.g. beg families, or members of sayyid and maulawi
families.36 Likewise daughters of these families are asked for as kelin
(daughters-in-law).37 These marriage arrangements are often conveyed in the
form of "qarch quda", that means, exchange of women between two families
are frequently continued over several generations.38 Another strategy being
followed is to take wives from one's own family, e.g. the daughter of one's
paternal uncle (FaBrDa) or from related subtribes or other ethnic groups, and
32

C f . GREVEMEYER ( 1 9 8 0 : 1 6 1 sq.).

33

Usually each of the moysafids present in the maslahat explains his opinion on the topic. This is
followed by a general discussion which may last for days and is then terminated by a poll. According
to the ideal, each member of a maslahat should represent his own opinion, but quite often "..., the
most influential speaker may, in fact, operate as a front man for some powerful and utterly silent
khan." — Azov (1982:37).
34

Cf. CENTUVRES and CENTLIVRES-DEMONT (1988:240).

35

For details see my contribution "Verwandtschaft und Heirat als Mittel zur Festigung von Macht
und Einfluß. Ein Fallbeispiel aus Nordost-Afghanistan" (forthcoming).
36

Cf. CENTLIVRES (1975:35), HOLZWARTH (1980:210) and AZOY (1982:27). T h e beg family of

the Chechka established marriage alliances with the family of Sultan Murad Beg and the beg family
of the Qarluq.
37

Sayyid families form an exception here, since they do not mary off their daughters to nonsayyids.
38

This is the case e.g. between the Ishaghabashi family and Sultan Murad Beg and Naib Nabi
Khan.

Gabriele Rasuly-Paleczek

20

thus binding part of one's own patrilineage, tribe, etc. more closely.39 A
further possibility to expand political alliances via affinal relations are
polygamous marriages.40
3) Patron-client relationships:
Patron-client relationships are another important means to gain and retain
influence. Thus economic resources and reputation are invested to create a
clientele for the beg.*1 Clients are either directly bound to the patron by
economic dependency through tenancy arrangements, indebtedness and bazar
trade,42 or indirectly through the successful conduct of moysafid functions
(e.g. mediator in conflict, defender of tribal and local interests vis-a-vis the
central government) and through generosity, which besides almsgiving and
khayrat also includes the arrangement of elaborate festivities (e.g. buzkashi).43
Thus next to economic dependency of the small peasants and sharecroppers
—mostly co-tribesmen—generosity is an important factor in constituting not
only a clientele but also a reputation and this again draws more people to the
khan. "Thus a man with a name is a man with a qaum."44
From all this comes clear that not just everyone can achieve the position of
a moysafid or beg. A certain economic standing is necessary for playing the
role of a moysafid-e-qaum.45 The moysafids have to keep an open house which

39

E.g. BARTH (1954:168 sq. and 171) and BOURDIEU (1979:121 and 129) have pointed out that the
marriage with the FaBrDa strengthens the relationship between a man and his nephew and thus
creates close alliance. According to BARTH this type of nuptial arrangements counteracts the constant
danger of segmentation and fission in lineage systems.
40

Cf. HOLZWARTH (1980:210),

AZOY (1982:27) and CENTLIVRES (1975:35).

Sahib

Nazar

Ishaghabashi and his sons all married several wives from different families from their own tribe as
well as from other tribes and ethnic groups.
41

Cf. GREVEMEYER (1987:58, 69 sq. and 72 sq.; 1980:152, 158 sq. and 164; 1982:8), CENLIVRES

and CENTLIVRES-DEMONT (1988:240), AZOY (1982:30).
42

Cf. GREVEMEYER (1982:8, 1980:152, 160 sq. and 162; 1987:59, 69, 70-75; 1989:15 sq.),

HOLZWARTH (1980:225), CENTLIVRES and CENTLIVRES-DEMONT (1988:249) and AZOY (1982:33

sq.).
43

Cf. AZOY (1982:35 sq.), GREVEMEYER (1980:160 and 158 sq.), HOLZWARTH ( 1 9 8 0 : 2 1 9 and

226); cf. note 13.
44

AZOY (1982:42).

45

AZOY (1982:33 sq.), CENTLIVRES and CENTLIVRES-DEMONT (1988:239).

Kinship and Politics Among the Uzbeks of Northeastern

Afghanistan

21

means they have to provide those seeking their advice with food and shelter.46
Therefore a person intending to establish himself as moysqfid is among other
things obliged to organize his household and its activities accordingly.47
Finally it should be mentioned that in spite of the permanent struggle for
power the position of a moysafid and mediator is chiefly handed down within
the same family. The main prerequisite is charismatic leadership, combined
with financial means and the necessary family background. 48
The Ishaghabashi family and their political strategies
In the following case study of the Ishaghabashi family I shall briefly
illustrate the above mentioned double role of the tribal elite and the interconnectedness of kinship and politics.49 Since the nineteenth century the begs,
and other representatives of the Chechka-Uzbeks emerged from this family.
Not much is known about the ancestors of Sahib Nazar Ishaghabashi who
resided in Taluqan and Iman Khan. Together with his brother, Shah Mardanqul
Beg, and the former Emir of Kunduz, Sultan Murad Beg (1865-1888) he took
refuge in the Emirate of Bukhara after the rebellion of Ishaq Khan was defeated
by Amir Abdurrahman Khan (1888).50 Shortly afterwards he was assigned to
a number of positions (e.g. toqsaba, qaraulbegi, mirakhur and ishaghabashi)

46

The begs of the Chechka had a special staff to prepare meals, since every day at least 20 to 30
people had to be entertained.

47

E.g. he must possess a large mehmankhana (guesthouse), cf. AZOY (1982:38 sqq.); the Chechka
begs kept a special flock of sheep next to their qala in order to entertain their guests.
48

C f . CENTLIVRES a n d CENTLIVRES-DEMONT ( 1 9 8 8 : 2 3 9 ) a n d AZOY ( 1 9 8 2 : 3 1 - 3 7 ) . D u e t o t h e w a r

in Afghanistan the prerequisites for leadership have changed. Wealth, prestige and familial
background have become less essential whereas logistic and other qualifications gained importance,
c f . GREVEMEYER ( 1 9 8 9 : 2 7 s q q . , 3 0 a n d 4 1 ) .
49

For details cf. my paper "Verwandtschaft und Heirat...". The following informations are the
result of talks with several members of the Ishaghabashi family. I shall concentrate on the two
leading members of this family, Sahib Nazar Ishaghabashi and Haji Abdul Rasul Chechka. The whole
family encompasses more than seven hundred members who reside in several villages in the districts
of Khwojaghar, Dasht-i-Archi and Dasht-i-Qala.
50

At that time many Uzbeks fled together with Sultan Murad Beg and Ishaq Khan across the Amu

D a r y a . C f . CENTLIVRES ( 1 9 7 6 : 2 6 5 ) , BECKER ( 1 9 6 8 : 1 3 6 ) a n d ADAMEC ( 1 9 7 9 : 3 5 ) .

Gabriele Rasufy-Paleczek

22

in Saray Kamar by the Bukharan Emir. 51 After the October Revolution he returned to Afghanistan and struggled to regain his family possessions and to
establish himself as a prominent figure by creating a large network of amities
with other renowned personalities, such as moysafid-e-qaums of other ethnic
groups, representatives of the Kabuli government and the royal family52 and
patron-client relationships with co-tribesmen and other people. Thus he and his
family were able to consolidate their position and to acquire large influence and
authority.53 Although he remained beg and moysafid-e-qaum of the Chechka,
he assigned some of his obligations to his numerous sons, who had settled
down in several villages in the districts of Khwojaghar, Dasht-i-Archi and
Dasht-i-Qala and occupied important traditional political and religious
positions. After his death, Haji Abdul Rasul, one of his eleven sons, acquired
the position of beg and moysafid-e-qaum of the Chechka. Both, Sahib Nazar
Ishaghabashi and Haji Abdul Rasul Chechka, used the above mentioned
strategies to enhance their influence and played the described double role of the
tribal elite. Among other means they skilfully employed marriage policies to
create alliance either by marrying their daughters off to other important
personalities belonging to the tribal elite or to the religious establishment as in
the case of Sahib Nazar Ishaghabashi.54 At the same time he took kelins
(daughters-in-law) from moysafid, bay and ulama families as well as from
middle class peasant families who either belonged to his own tribe or to other
ethnic groups (e.g. Tadzhik, Qarluq, Uzbek and Mohagerin). All these
marriages were mainly undertaken in order to create alliances and the thus built
relationships were maintained and strengthened through further marriages in
later generations. Contrary to his father, Haji Abdul Rasul Chechka relied
primarily on close consanguinual ties for his political purposes. Thus he not

31

Toqsaba etc. were ranks in the military-bureaucratic hierarchy of Bukhara, cf. CARR£RE

D'ENCAUSSE ( 1 9 8 8 : 2 5 6 s q q ) .
52

E.g. Sahib Nazar Ishaghabashi was on friendly terms with Nadir Khan who at the time of his
return to Afghanistan held the position of a ra'is-e-tanzimat in Qataghan and Badakhshan, and with
Hashim Khan and Shah Mahmud.
33
According to Mohammad Tahir Chechka, Sahib Nazar Ishaghabashi participated in the Loya
Jirga that was assembled in 1924 by Amir Amanullah Khan.
51

For details cf. my paper Verwandtschaft und Heirat...". Sahib Nazar Ishaghabashi who had four
daughters married one of them to the grandson of Sultan Murad Beg, another one to a son of Naib
Nabi Khan, the beg of the neighbouring Qarluq, one to a sayyid who was talib in his madrasa, and
one to the son of the Pir-i-Asfakhar.

Kinship and Politics Among the Uzbeks of Northeastern Afghanistan

23

only arranged a large number of marriages for his sons and daughters with the
children of his brothers and other relatives55, but also used a large amount of
his resources and his reputation to put his sons, nephews and sons-in-law into
political positions like arbab and wakil.56 When in 1964 elections to the
National Assembly were held for the first time, Haji Abdul Rasul Chechka
persuaded his nephew, who at the same time was his son-in-law, to run for
parliament and supported his campaign. Thus by using kinship ties and by
creating alliances through marriage the Ishaghabashi family consolidated their
position and established themselves as a leading and influential family who
until the coup d'etat by the communist party in 1978 played a double role as
middlemen vis-a-vis the Afghan central government and as defenders of tribal
and local interests, e.g. by fulfilling the traditional role of a
moysafid-e-qaum.
This twofold role of the Ishaghabashi family is also visible in architecture. Haji
Abdul Rasul did not only possess a traditional Uzbek
mehmankhana
(guesthouse) to entertain his traditional guests (local elite and villagers), but
also a guest house furnished in European style to welcome the governmental
elite.
The example of the Chechka Uzbeks illustrates that the local population, or
more specifically, their ruling group applies several strategies in order to
maintain their own power and at the same time to keep state influence down
and defend local and ethnic interests in the regional and national context.
Among these strategies the use of kinship ties and of blood and affinal
relationship plays a major role.
However, we have to state that the political relations as described above
have come to an end since the coup d'etat in Afghanistan and the Soviet
invasion of that country.57

55

Out of sixteen cases, fourteen marriages were conducted with relatives. In eight cases the
children of his brothers were selected as spouses for his sons and daughters.
56

Three of his nephews and one son became arbabs; for further details, cf. my article quoted in
not. 54.
57

C f . GREVEMEYER ( 1 9 8 9 : 1 9 - 4 0 ) .

24

Gabriele Rasuty-Paleczek

Bibliography
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1972

Historical and Political Gazetteer of Afghanistan, vol. 1,
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1975

Historical and Political Who's Who of Afghanistan. Graz

1979

Historical and Political Gazetteer of Afghanistan, vol. 4,
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1987

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1982

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BARTH, F r e d e r i c k

1954

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BECKER, S e y m o u r

1968

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1979

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CARRÈRE D'ENCAUSSE, H é l è n e

1988

Islam and the Russian Empire. Reform and Revolution in
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CENTLIVRES, P i e r r e

1975

Les Uzbeks du Qattaghan, in: Afghanistan Journal, 2. Jg.,
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1976

L'Histoire Récente de l'Afghanistan et la Configuration
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Kinship and Politics Among the Uzbeks of Northeastern Afghanistan

25

CENTLIVRES-DEMONT, Micheline

1976

Types d'occupation et relations interethniques dans le nordest de l'Afghanistan, in: Studia Iranica, vol. 5/2; p. 269-277.

CENTLIVRES, Pierre et CENTLIVRES-DEMONT, Micheline
1988

La politique au village, in: Centlivres, P. and CentlivresDemont, M. (Ed.): Et si on parlait de l'Afghanistan.
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FLETCHER, Joseph
1986

Les "voies" (turuq) soufies en Chine, in: Popovic, A. and
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GREVEMEYER, Jan-Heeren
1980

Afghanistan: Das "neue Modell einer Revolution" und der
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1982

Traditionale Gesellschaft und Wandel der politischen Kultur
in Afghanistan 1919-1979, in: Peripherie, 3. Jg., Nr. 9,
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1987

Afghanistan. Sozialer Wandel und Staat im 20. Jahrhundert.
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1989

Afghanistan nach über zehn Jahren Krieg. Perspektiven
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GRÖTZBACH, Erwin
1972

Kulturgeographischer Wandel in Nordost-Afghanistan seit
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HOLZWARTH, Wolfgang
1980

Segmentation und Staatsbildung in Afghanistan: Traditionelle
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26

Geschichte und Gesellschaft des Mittleren Orients.
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JARRING, G .

1939

On the Distribution of Turk Tribes in Afghanistan. An
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1979

Qataghan et Badakhshân. Description du pays d'après
l'inspection d'un ministre afghan en 1922, (übersetzt von
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1983

Verbreitungskarte der ethnischen Gruppen Afghanistans.
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Die ethnischen Gruppen: Kurzcharakterisierung und
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forthcoming

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Wernhart. Wien

forthcoming

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SALZMAN,

27

Philip Carl

1974

Tribal chiefs as middlemen: the politics of encapsulation, in:
Anthropological Quarterly, vol. 47; p. 203-10.

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1986

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1872)

28

Weitere Beiträge zur Aufdeckung eines internationalen
Wanderwortes
(Das Wort "Buch" im Wolgagebiet)
Klära

AGYAGÄSI,

Debrecen

Die Geschichte des tschuwaschischen Wortes keneke 'Buch; Schrift; Dokument; Gebet' hatte ich in einem früheren Artikel untersucht (1991). Das Hauptziel dieser Arbeit war, das Verhältnis von tschuw. keneke zu altrussisch kbniga
und mittelruss. kniga zu klären. Gleichzeitig mußte ich zu den vorhandenen
Hypothesen Stellung nehmen, nach denen das urslavische * kbniga, das ungarische könyv, das mordwinische kon'ov und das ossetische kinug und kinugae
entweder
a) Entlehnungen aus den chinesischen Wörtern küen, küjen 'Papierrolle' mit
bulgaro-türkischer Vermittlung oder aber
b) Entlehnungen aus dem assyrischen Wort kuniku 'Tafel, Urkunde' mit
armenischer Vermittlung waren.
Für mich waren beide Hypothesen umstritten. Die erste habe ich mit lautgeschichtlicher Argumentation ausgeschlossen, die zweite mußte ich wegen des
unklaren Charakters der Details der Vermittlung abweisen.
Zwei Jahre später halte ich es für notwendig, das Problem nochmals
anzuschneiden, um einige Ergänzungen zu vorzunehmen. Erstens wird in einer
von einem ungarischen Assyrologen vor vielen Jahren verfaßten Arbeit, die uns
erst jetzt zugänglich wurde, die assyrische Etymologie — allerdings aus
anderen Gründen — widerlegt. Zweitens ist vor einem Jahr eine neue
Hypothese zu einer anderen Etymologie von tschuwaschisch keneke aufgestellt
worden. Und schließlich — weil es noch keine Lösung gibt, die alle
zusammengehörenden Daten einwandfrei erklärt hätte — gebe ich, in
chronologischer Ordnung aufgeführt, die einschlägige bisher veröffentlichte
turkologische, finno-ugristische und slavistische Literatur über das Wort 'Buch'
an.
1. Über die Herkunft von ung. könyv 'Buch', wozu in TESz ein assyrische
Etymologie veröffentlicht worden war, hat G. Komoröczy 1976 seine Gegenmeinung publiziert. Komoröczy zitierte das Wörterbuch "The Assyrian

30

Klára Agyagási

Dictionary" (Vol. 8. K. Chicago, 1971), nach dem das akkadische Wort kunukku
(das als das Etymon für das ungarische Wort könyv angenommen wird) nicht
die Bedeutung 'Tafel; Urkunde' -* 'Buch' hatte. Es wird vielmehr von dem
Verb kanaku- 'siegeln, besiegeln' abgeleitet, hat die Bedeutung 'Siegel' und
kann nicht in Zusammenhang mit dem ungarischen Wort könyv gebracht
werden. Das heißt, daß man die Frage einer orientalischen Herkunft der
ungarischen, mordwinischen, ossetischen und urslavischen Wörter mit der
Bedeutung 'Buch' für weitere Forschungen offen lassen muß.
2. Zu den in meiner Arbeit von 1991 enthaltenen Behauptungen hat sich
I. G. Dobrodomov in einem Privatbrief vom 22. Februar 1992 geäußert. Seiner
Meinung nach könnte es aus lautgeschichtliche Gründen plausibler sein, daß
das Wort keneke ins Tschuwaschische unmittelbar aus dem Kasantatarischen
entnommen ist. (Das kasantatarische Wort kenägä ist allerdings auch ein
Lehnwort aus dem Russischen: russ. kniga Tat. *kenigä > kenägä -* Cuv.
keneke.)
Die Tatsache, daß das russische Wort kniga als ein Lehnwort "aus Zeiten
vor der Revolution" in allen türkischen und finno-ugrischen Sprachen des
Wolgagebiets vorhanden ist, ist seit 25 Jahren in der Fachliteratur bekannt.
(Über sein Äquivalent im Baschkirischen s. Teregulova 1957; im Tatarischen
s. Achunzjanov 1968; im Tscheremissischen s. Savatkova 1969; im Wotjakischen s. Csúcs 1970. Über die russischen Lehnwörter der mordwinischen
Sprachen gibt es keine gründliche Untersuchung, aber man kann das Wort
kniga nach mokscha-russischen und ersä-russischen Wörterbüchern auch als
Entlehnung aus dem Russischen zitieren.) Die frühere Literatur hat das
Verhältnis zwischen den türkischen und finno-ugrischen Äquivalenten des
russischen Wortes kniga nicht untersucht. Dobrodomov selbst bringt in seinem
Brief auch keine Argumente für seine Hypothese. Richtigkeit oder
Unrichtigkeit dieser Hypothese kann nur mit einer lautgeschichtlichen
Untersuchung bestätigt werden.
Dabei stellen sich zwei Fragen: Wann und aus welcher Sprache ist das tatarische Wort kenägä 'Buch' entlehnt worden, und gibt es Argumente, die
einen tatarischen Ursprung des tschuwaschischen Wortes keneke beweisen
können?
Das Wort für 'Buch' steht in allen wolga-kiptschakischen Sprachen mit
offenem ä in der zweiten und dritten Silbe.

Das Wort "Buch" im Wolgagebiet

31

Tat. lit.: kenägä 'kniga, knizka (kontorskaja)' (Tatarsko-russkij slovar'
1966, weiter TRS)\ Tat. Zentraldialekt kenägä 'kniga'; Mischärisch kenägä
'kniga; rubec u zvacnych zivotnych' (Tatar telenetj dialektologik siizlege, Kazan
1969, weiter TTDS).
Baschk. lit.: kenägä 'kniga, knizka (kontorskaja)' (Baschkirsko-russkij
slovar', Moskva 1958, weiter BRS).
Wenn wir voraussetzen, daß diese Wörter in allen kiptschakischen
Sprachen unmittelbar angekommen sind, dann kann die obere Grenze für die
Entlehnung nur das 14. Jahrhundert sein. Zu dieser Zeit gelangten
kiptschakische Stämme massenhaft in das Wolgagebiet. Der Zeitraum vom 14.
bis zum 17. Jahrhundert ist die mitteltürkische Periode der Geschichte der
kiptschakischen Sprachen. In der mitteltürkischen Periode im Kiptschakischen
(auch im Bulgarisch-Türkischen) war die strukturelle Norm die Eliminierung
der auslautenden Konsonantenhäufung.
Für die Auflösung der
Konsonantenhäufung in anderen alt- und mittelrussischen Lehnwörtern gibt es
vier Möglichkeiten:
a) Prothese wie z.B. in
MR sboina 'Ölkuchen'
MTat izboy

> Tat izbuy 'id.' (TTDS)

MR skird 'Schober'
MCuv iskirt

> A eskert 'id.' (CRS)

-» MBaSk iskirt

> Bask. edkert 'id,\BRS)

b) Epenthese wie z.B. in
MR brevno 'Balken'
MCuv biirene
->MTat böränä

> A perene 'id.' (CRS)
> Tat büränä 'id.'

MBaäk böränä

(TRS)

> Ba5k büränä 'id.' (BRS)

MR grib 'Pilz*
MTat girip

> Tat gerep 'id.' (TTDS)

c) Metathese wie z.B. in
MR truba 'Schornstein'

Klàra Agyagäsi

32

-» MCuv turpa > A tàrpa, V törpa 'id.' (A§m.)
-* MTat turba > Tat torba 'id.'(TRS)
-* MBaSk turba > Baäk torba 'id.' (BRS)
d) Elidierung wie z.B. in
MR pcolnik 'Bienenhaus'
MTat cölnik > Tat ciinnék 'id.* (TRS)
In der Entlehnung von russ. kniga hat in allen kiptschakischen Dialekten
eine Epenthese stattgefunden. Epenthese (und ebenfalls die oben präsentierte
Variante der Prothese) bewirkt eine Zunahme der Silbenzahl, und dies führt zu
einer strukturellen Umgestaltung des Wortes. Der ursprüngliche Erstsilbenvokal
erhält eine Inlautposition. Diese strukturelle Umgestaltung kann zweierlei
Konsequenzen mit sich bringen:
a) Der ursprünglich erstsilbige Vokal in der zweiten Silbe bewahrt seinen
"privilegierten" Charakter und entwickelt sich nach den Gesetzmäßigkeiten
eines Vokals der ersten Silbe.
b) Der ursprünglich erstsilbige Vokal, nunmehr in der Mitte des Wortes,
folgt den Tendenzen, wie sie für nichterstsilbige Vokale gelten.
In den wolgatürkischen Sprachen gibt es Beispiele für beide Varianten, vgl.
die türkischen Äquivalente der russischen Wörter sboina, brevno und grib.
Infolge der Epenthese ist der früher erstsilbige »'-Laut von dem Wort kniga in
die Mitte gerückt.
Auf der anderen Seite zeigt die Entwicklung der i- und ¿'-Phoneme in den
kiptschakischen Dialekten in der mitteltürkischen Periode keinen Unterschied
zwischen der ersten und der nichtersten Silbe: i und i werden in allen
phonetischen Positionen reduziert, z.B.:
Alttürk, qi'z 'girl, unmarried woman' (Clauson 679)
> MTat qiz > Tat qiz 'id.' (TRS)
> MBaäk qiz > BaSk qid 'id.' (BRS)
Alttürk, sipir- 'to sweep' (Clauson 791)
> MTat sipir- > Tat sépér- 'id.' (TTDS)

Das Wort "Buch" im V/olgagebiet

33

> MTat sibir- > Tat seber- 'id.' (TTDS)
> MMi§ sibir- > Mil seber- 'id.' (TTDS)
> MBaSk sipir- > Baäk hipir- 'id.' (BRS)
Alttürk, yimirtya 'egg' (Clauson 938)
> MTatfimirtqa > Tatßmirtqa 'id.' (TTDS)
Wenn das Wort kenägä im Tatarischen, im Mischärischen und im
Baschkirischen unmittelbar aus dem Russischen entnommen worden wäre, wäre
sein regelmäßiges Äquivalent in diesen Sprachen eine Form kenegä. Eine
regressive Assimilation des auslautenden ä kann ausgeschlossen werden, weil
in den ursprünglichen Wörtern, genau wie in dreisilbigen russischen Lehnwörtern mit der Vokalstruktur "geschlossene-geschlossene-offene Silbe" /i-i-ä; i'-'i-a;
u-i'-a/, keine regressive Assimilation stattfindet — vgl. das Beispiel oben,
alttürk. yi'rmrtYa, und ferner:
AltR/MR trubica 'Haspel'
-» MTat turbica > Tat törbica 'id.' (TRS)
töripca 'id.' (TTDS)
tirbica 'id.' (Bälint 115)
MBaäk turbica > Ba§k tirpisa 'id.' (BRS)
Das offene ä in der Mitte des Wortes kenägä ist ein Kriterium für die
nicht-direkte Entlehnung der kiptschakischen Formen aus dem Russischen. Das
Wort kenägä kann seinen Ursprung nur in einer Sprache oder einem Dialekt
haben, in der/dem das ä (oder e) in der zweiten Silbe phonetisch regelmäßig
sein kann. Die Entwicklung i > e war charakteristisch für eine bulgarischtürkische Mundart, die gleichzeitig mit dem Mitteltschuwaschischen und mit
der Sprache der wolgabulgarischen Grabinschriften existiert hat (s. Agyagäsi
1991, S. 46-47). Die Entwicklung i > e trennt diese Mundart vom
Tschuwaschischen, und die Spirantisierung des c trennt sie von der Sprache der
Grabinschriften. Das Wort für 'Buch' ist unmittelbar aus dem Mittelrussischen
in diese mittelbulgarische Mundart entlehnt worden, die ihrerseits das Wort an
die anderen türkischen Dialekte des Wolgagebiets weitergegeben hat. Das

34

Klara Agyagdsi

mittelbulgarische e ( < i) der zweiten Silbe in den kiptschakischen Mundarten
konnte regelmäßig als ein offenes ä realisiert werden.
Unter den finnisch-ugrischen Sprachen des Wolgagebiets haben die tscheremissischen Sprachen sichere phonetische Kriterien für die Determinierung des
Ursprung des Wortes mit der Bedeutung 'Buch'. Das a der ersten Silbe des
wiesentscheremissischen Wortes knagä kann nur eine Substitution von ä sein,
und das belegt den unmittelbaren kasantatarischen Ursprung des Wortes. Das
bergtscheremissische Wort ken 'igä ist wegen des i in der zweiten Silbe als ein
unmittelbar aus dem Mittelrussischen entnommenes Lehnwort zu verstehen. In
diesem Wort hat sich Vokalharmonie als Resultat eines tschuwaschischen
Einflusses sekundär entwickelt (die tscheremissischen Daten s. Savatkova 1969).
Mordwinisch kniga und wotjakisch kin'iga und kn'iga sind auch direkte
Entlehnungen aus dem Russischen, aber die genaue Chronologie ist unklar (für
die wotjakischen Daten s. Csücs 1970).
Die Wanderschaft des Wortes für 'Buch' kann man graphisch so darstellen:
? * kiin'ig > kün'iv
- - ~

/

" -

I
Urslav.
KbHlBbl
>

Altruss. Kwiza

Osset. kinug, kunugae
>

\
Mordw. koti'ov

Mittelruss. kniga

\

>

Ungar, könyv

Russ. kniga

- / ^^

Mittelbulg.

Bergtscheremiss.

Mordw.

kinike > keneGe

kin'iga

kniga

> ken'igä

Wotjak.
kin'iga, kn'iga

Wiesentscheremiss.
kinägä

> knagä

Das Wort "Buch" im Wolgagebiet

35

3. Chronologischer Überblick über die bisherige Literatur
MlKKOLA J.J. (1901): Das Verhältnis des slavischen Wortes kbtijiga zum
ungarischen könyv 'Buch' und dem mordwinischen kon'ov 'Papier'. In:
FUF 1. S. 112-115.

MlKKOLA J.J. (1902): Nochmals kbtijiga, könyv und kon'ov. In: FUF 2. S.
77-78.

H. (1908): Csuvas szöjegyzek (Chuvash Word List). Budapest,
repr. in Studio Uralo-Altaica 4. Szeged, 1974. (Eingeleitet von A.
Röna-Tas)

PAASONEN

M. (1939-40): Nochmals über ung. könyv 'Buch' und mord. kon'ov
'Papier*. In: FUF 26. S. 76-79.

RÄSÄNEN

TEREGULOVA R . N . ( 1 9 5 7 ) :

Russkie zaimstvovanija v baSkirskom jazyke. Ufa,

S. 38.
BENZING

J. (1959): Das Tschuwaschische. PhTF I. Wiesbaden, S. 714.

L'vov A.S. (1960): Staroslavjanskoe kbnigi-boukbvi. In: Kratkie soobScenija
(Institut Slavjanovedenija AN SSSR). Moskva, vyp. 23: Slavjanskoe
jazykoznanie. S. 61-63.
A.E. (1963): Rol' russkogo jazyka v razvitii i obogaScenii cuvaiskoj
leksiki. Ceboksary, S. 61-62.

GORSKOV

JEGOROV V.G. (1964): Etimologiceskij slovar' cuvaSskogo jazyka. Ceboksary,
S.105.
TESz (1967-76): A magyar nyelv törteneti etimolögiai szötära I-III. (A
Historico-Etymological Dictionary of the Hungarian Language). Edited by
Loränd Benko. Budapest.
ACHUNZJANOV E . M .

(1968):

Russkie zaimstvovanija

tatarskom

jazyke.

v marijskom

jazyke.

v

Kazan'.
A.A. (1969): Russkie zaimstvovanija
Joäkar-Ola, S. 99.

SAVATKOVA

CSÜCS S. (1970): A votjäk nyelv orosz jövevenyszavai. In: NyK 72. S.
323-362.
DOBRODOMOV I.G. (1971): Kniga. In: Russkaja rec' 1971, No. 5. S. 83-91.

Klara Agyagàsi

36

L'vov A.S. (1971): Etimologija
jezikoznanie. Sofija, S. 21-23.

staroslavjanskogo kbtiigi. In:

Balk,

MOÓR E. (1972): A betu-töl a könyv-ig. In: Magyar Nyelv 68, S. 150-160;
275-285.
L'vov A.S. (1973): Inojazycnye vlijanija v leksike pamjatnikov
staroslavjanskoj pis'mennosti (tjurkizmy). In: Slavjanskoe jazykoznanie (VII
mezdunarodnyj s"ezd slavistov). Moskva, S. 211-224.
KOMORÓCZY

G. (1976): A sumér-magyar nyelvrokonitäs. In: NyKlS. S. 3-38.

(1986): A magyar nyelv török kapcsolatai a honfoglaläs elött és az
Àrpad-korban. Budapest, S. 49.

L i g e t i L.

O.N. (1987): Ètimologiceskij slovar' slavjanskichjazykov. Vyp.
Moskva, S. 203.

Trubacev

14.

K. (1991): An Old Cultural Term in Chuvash — kéneke —
Borrowed from the Middle Russian. In: Slavica XXV. S. 43-50.

AGYAGÀSI

Further Remarks on the Mongolian Loanwords in Nogai
Agnes BIRTALAN, Budapest
This article is the second part of a study on the Mongolian loanwords in the
Nogai language, based mostly on dictionary material.1 On the basis of Baskakov's Nogai-Russian dictionary and the word list published in L. Sh. Arslanov's article, it can be stated that more than one hundred clearly Mongolian
borrowings exist in Nogai dialects (without mentioning the common heritage
from an earlier period).2 I have tried to distinguish the separate levels of
borrowing. Phonetic criteria of the loanwords allow the supposition that there
are two different stages of borrowing and the two different periods are connected with at least two different languages.
The earlier stage is connected with the Middle Mongolian period. The
phonetic criteria are:
l.a.

Middle Mongolian/and c are preserved in the Nogai word:

baja 'brother-in-law', MMo. baja, Oirat baza, Kalmyk baz.
boljal 'term, time limit', MMo. boljal, boljuy-a, Oirat bolzoon, Kalmyk bolzaan 'agreement, term'.
bujir 'pock-marked', MMo. bujar, Oirat buzar, buzaar, Kalmyk buzr 'dirt;
dirty'.
kdnja 'younger, late-born', MMo. kenje, Oirat kenze, Kalmyk kenz 'late-born,
late-grown'.
qunafin 'three-year-old heifer', MMo. yunafin, Oirat yunji, yunjin, Kalmyk
yunjin 'three-year-old female cow'.

1
BIRTALAN, Agnes, "On some Mongolian loanwords in Nogai" (forthcoming in the proceedings
of the 33th Meeting of the Permanent International Altaistic Conference, Budapest 1990).

N. A. BASKAKOV, Nogajsko-russkij slovar'. Moskva 1963; L. S. ARSLANOV, "O kalmyckix
zaimstvovanijax v jazyke alabugatskix tatar Kaspijskogo rajona Kalmyckoj ASSR", ST 1979.6.9-13.

2

Agnes Birtalan

38

1.b.

Middle Mongolian c > Nogai S:

qarSiya 'hawk, falcon', MMo. qarciyai, Oirat xarcayai, xarcaya,
xarcax.

Kalmyk

Sal 'white-haired', MMo. cal, Oirat cal, Kalmyk cal.
Sana 'ski', MMo. carta, Oirat can, Kalmyk can.
Ma- 'to have patience', MMo. cida-, Oirat cida-, Kalmyk cid- 'to be able'.
2. The Middle Mongolian diphthong -ai (in my examples at the end of the
words) is preserved:
qapsayay 'narrow passage', MMo. qabciyai, qabcayai, qabcil, Oirat xabcil,
Kalmyk xabcil.
qarayay 'larch-tree', MMo. qaryai, Oirat Jtaryai, xarya, Kalmyk xaryaa.
qudayay 'female in-laws', MMo. qudayai, quduyui, Oirat xudxui.
manglay 'forehead', MMo. manglai, mangyai, Oirat mangnai, Kalmyk mangnaa.
solaqay 'left-handed', MMo. soloyai, solyai, Oirat solyoi, Kalmyk solyaa,
solyaa.
3. A special case is the preservation of Middle Mongolian initial n- (when
Oirat, Kalmyk have initial /-) in a single Nogai word:
noSayan 'Carduus; burdock (russ. repej)', MMo. nociquna, nocoyan-a 'Xanthium strumarium', Oirat loSiyo, losiyoo 'burdock; rape-plant', Kalmyk loSx
'Carduus; rape-plant'.
The later stage probably began in the eighteen century when the Kalmyks
reached their present territory. The phonetic criteria of this period are:
1. Nogai words have Kalmyk z instead of M M o . / :
zaya 'pain', MMo. Jayaan, Oirat zayaan, zaya, Kalmyk zayaan 'fate'.
zurmi'n (Nogai A) 'a kind of ground-squirrel', Mmo. juram-a, jurum, Oirat
zurman, zurmun, Kalmyk zurmn 'Citellus citillus'
2. Nogai words have long vowel like Kalmyk instead of MMo. dissyllable or
diphthong:

Further Remarks on the Mongolian Loanwords in Nogai

39

ora- 'to roll', MMo. oriya-, oru(y)a-, Oirat oraa-, Kalmyk oraa-.
xorxa 'insect, worm', MMo. qoroqai, Oirat xoroxai, xoroxoi, Kalmykxorxaa.
The Mongolian dissyllables with an intervocalic spirant -y-l-g- or -y- were
retained in the Classical Mongolian written monuments. In the preclassical
period of the Mongolian language the intervocalic spirants were already dropped, and these dissyllables were reduced to a diphthong and became long
vowels in the spoken Mongolian languages. The dissyllables in the Mongolian
loanwords of Nogai survive in two ways: (1) They become a vowel; (2) they
are preserved at the end of the word as vowel + w.
The first case represents borrowings from a spoken Mongolian language,
especially from Kalmyk, as the vowels in front and after the dropped spirants
are two different sounds and in an earlier stage they must have been a diphthong (for WMo. -oya-, MMo. -o'a-, -oa-, etc.
oba 'stone heap', MMo. obo'a, Oirat oboo, Kalmyk owaa; compare also Tatar
oba, Bashkir uba.
som 'span', MM. *so'em, soom, Oirat som, soom, Kalmyk som; Tatar soy em,
Bashkir hoyem, Karakalpak siiyem. — The Nogai som is clearly a later
borrowing, as it contains a vowel opposition to the Volga-Kypchak and
Karakalpak form. In Volga-Kypchak and Karakalpak the intervocalic -gwas retained as an intervocalic -y-.
ora- 'to roll', MMo. oriya-, oru'a-, Oirat oraa-, Kalmyk oraa-.
MMo. -a'a(n), -aa(n), -u'u(n), -uu(n), -a'u, -au in final position become
-aw, which is a characteristic inner development of the same dissyllable in
Nogai and some other Turkic languages:
bilaw 'grindstone', M.Tu. bilagii, Azeri bulOw, Chagatai bilav; cf. Oirotpiliiu,
Teleut puliiu, Sagai, Koibal, Kacha puloo, Karachai, Balkar bileii, Yakut
bilaa, etc.3
omi'raw 'breastbone, sternum', MMo. omuruu(n), Oirat omoruun, omoroo,
Kalmyk omrun.

3

M. RÄSÄNEN, Materialien zur Lautgeschichte der Türkischen Sprachen: Studia Orientalia XV.
Helsinki 1949, p. 123. Furthermore, cf. bilev in CC (p. 335), and Tu. bilegü (p. 341).

40

Agnes

Birtalan

s'iltaw 'reason, cause', MMo. siltaan, siltaya, siltan, Oirat siltaan, Siltaq,
Kalmyk saltan, saltay; Tatar si'ltau, Bashkir hiltau.
yadaw 'weak, poor', MMo. yadau, Oirat yadou, yaduu, Kalmyk yaduu.
Words retaining the intervocalic spirant in Mongolian (both in Middle
Mongolian and spoken dialects, also in Kalmyk) can be found in the same form
in Nogai, preserving the intervocalic spirant in the same way:
bayana 'column, pillar', MMo. bayana, Oirat baxana, Kalmyk baxn; Tatar
bayana, Bashkir bayana.
botaga 'crop [of a bird]', MMo. botege, Kalmyk betk; Tatar butaka, Bashkir
biitaga.
qapSayay 'narrow passage', MMo. qabciyai, Oirat xabcil, Kalmyk xabcil.
togerek 'ring', MMo. togorig, Oirat togoroq, Kalmyk togrg.
In this article I have tried to point out some characteristic phonetic criteria
of loanwords borrowed from the Middle Mongolian and Kalmyk (Oirat?) in
Nogai. In some cases, however, it is virtually impossible to tell whether a
given word is a borrowing from Middle Mongolian or Kalmyk (Oirat?) or is
the result of an inner development.
Appendix: A list of Mongolian loanwords in Nogai based on Baskakov's
dictionary-material.
ab'is'in 'daughter-in-law', MMo. abisun, Kalmyk awsn\ Tatar abi'sin, Bashkir
aphin.
alqim 'step', MMo. alqum, Oirat alxum, Kalmyk alxm.
all's 'distant', MMo. alus, Oirat alus, Kalmyk als; Tatar all's, Bashkir all's.
arsi- 'to clean', MMo. arci-, Oirat arci-, Kalmyk arci--, Tatar arce-, Bashkir
arse-.
bayana 'column, pillar', MMo. bayana, Oirat baxana, Kalmyk baxn\ Tatar
bayana, Bashkir bayana.
baja 'brother-in-law', MMo. baja, Oirat baza, Kalmyk baz\ Tatar baja,
Bashkir baza.

Further Remarks on the Mongolian Loanwords in Nogai

41

boljal 'term', MMo. boljal, Oirat bolzoon, Kalmyk bolzaan; Tatar bulcal,
Bashkir bulyal, Chuvash palcal.
bosaya 'threshold', MMo. bosoya, Oirat bosoyo, Kalmyk bosxa\ Tatar busaya,
Bashkir busaya, Chuvash pusaxa.
bora 'male camel', MMo. buura, Oirat buura, Kalmyk buur; cf. Tu. buyra.
botaga 'crop [of a bird]', MMo. botege, Kalmyk betk\ Tatar biitaka, Bashkir
biitaga.
bufir 'pock-marked', MMo. bujar, Oirat buzur, Kalmyk buzr 'dirt; dirty'.
dem 'suggestion; aid', MMo. dem, Oirat dem, Kalmyk dem\ Tatar dim, Bashkir dim, Chuvash tim.
donen 'a four-year-old male animal', MMo. donen, Oirat donon, Kalmyk
donn; Bashkir diinan.
ep 'peace', MMo. eb, Oirat eb, Kalmyk ew.
eple- 'to fit', MMo. eble-, Oirat eble-, Kalmyk ewl-.
irge 'base of yurt wall', MMo. irge, Oirat irge, Kalmyk irg.
qabirya 'rib', MMo. qabirya, qabisun, Oiratxabirxa, xabisun, Kalmykxawsn;
Tatar qabirya, Bashkir qabirya, CC qaburqa.
qapSayay 'narrow passage', MMo. qabciyai, Oirat xabcil, Kalmyk xabcil.
qarayai 'larch-tree', MMo. qarayai, Oirat xarya,
qarayay, Bashkir qarayay.

Kalmyk xaryaa;

Tatar

qaraS 'sight', MMo. qaraca, Oirat xaraca, Kalmyk xarc.
qarSiya 'hawk, falcon', MMo. qarcayai, Oirat xarcayai, xarcaya,
xarcyaa\ Tatar qarciya, Bashkir qarsiya, Chuvash xurcaka.

Kalmyk

kanatdn 'suddenly', MMo. genetken, Oirat genedken, Kalmyk gentkn, CC
kenete.
kanja 'late-born', MMo. kenje, Oirat kence, Kalmyk kenz.
quda 'in-laws', MMo. quda, Oirat xuda, Kalmyk xud\ Tatar qoda, Bashkir
qoda, Chuvash xata.
qudayay 'female in-laws', MMo. qudayai, Oirat xudxui.
qunan 'three-year-old male animal', MMo. yunan, Oirat yunan, Kalmyk yunn;
Bashkir qonan.

42

Agnes Birtakm

qunafin 'three-year-old female animal', MMo. yunajin, Oirat yunjin, Kalmyk
yunjn; Tatar qonafin, Bashkir qonazin.
qunar 'dress', MMo. qunar, Oirat JCunar, Kalmyk xunr.
qurama 'collected, assembled', cf. MMo. qura- 'to assemble', Oirat xura-,
Kalmyk xur-.
mayta- 'to praise', MMo. mayta-, Oirat maqta-, Kalmyk mayt-; Tatar maqta-,
Bashkir maqta-, CC maxta-.
mana 'topmost', MMo. mangnai, Oirat mangnai, Kalmyk mangnda; Tatar
mangy ay, Bashkir mangnay, CC manglay.
maral 'maral-deer', MMo. moral, Oirat moral, Kalmyk marl.
masin 'monkey', MMo. becin, Oirat mecin, Kalmyk mecin, micin.
nayaS 'maternal relatives', MMo. nayacu, Oirat nayaca, nayc\ Bashkir nayas.
noqta 'halter', MMo. noytu, Oirat noyto, Kalmyk noyt; Tatar nuqta, Bashkir
nuqta, CC noqta, Chuvash naxta.
nosayan 'rape-plant, Carduus', MMo. nociquna, nocoyan-a, Oirat losiyo,
loSiyoo, Kalmyk loSx.
oba 'stone heap', MMo. obo(y)a, Oirat oboo, Kalmyk owaa\ Tatar uba,
Bashkir uba, CC oba.
olja 'booty', MMo. olja, Oirat olzo, Kalmyk olz\ Tatar ulja, Bashkir olza,
CC olca.
omiraw 'breastbone', MMo. omoru(y)u, Oirat omruun, Kalmyk omrun.
ora- 'to roll', MMo. oriya-, oru(y)a-, Oirat oraa-, Kalmyk oraa-.
soqir 'blind', MMo. soqor, Oirat soxor, Kalmyk soxr, Tatar suqir, Bashkir
huqir, CC soqur.
solaqay 'left-handed', MMo. soloyai, Oirat solyoi, Kalmyk solyaa\ Tatar
sulayay, Bashkir hulaqay, CC solayay.
som 'span', MMo. soem, soom, WMo. sogem, Oirat som, Kalmyk som\ Tatar
soyem, Bashkir hoyem.
Siltaw 'reason, cause', MMo. Silta(y)an, Siltaya, Oirat Siltaq, Kalmyk Saltay,
Tatar s'iltau, Bashkir hiltau, Chuvash Saltak.
Sal 'white-haired', MMo. cal, Oirat cal, Kalmyk cal.

43

Further Remarks on the Mongolian Loanwords in Nogai

Sana 'ski', MMo. cam, Oirat can, Kalmyk can., cf. Tatar* cana 'sledge',
Bashkir* sana 'id.'.
SeSen 'wise', MMo. cecen, Oirat cecen, Kalmyk cecn.
S'ida- 'to have patience', MMo. cida-, Oirat cida-, Kalmyk cid- 'to be able';
Tatar cida-, Bashkir s'ida-.
Siray 'face', MMo. cirai, Oirat dree, Kalmyk ciree \ Tatar ciray, Bashkir
siray.
taralyan 'field', MMo. tariyalang, Oirat taraalang, Kalmyk taraalyan.
tarbayan 'marmot', MMo. tarbayan, Oirat tarbayan, Kalmyk tarwy.
tarqa- 'to disperse', MMo. tarqa-, Oirat taraxa-, Kalmyk tarx-.
toqta- 'to retain', MMo. toqta-, Oirat toqto-, Kalmyk toyt-; Tatar tuqta-,
Bashkir tuqta-.
tógàràk 'ring', MMo. tògerig, Oirat tògóróq, Kalmyk tògrg.
tòle- 'to pay', MMo. tòld-, Oirat tòlò-, Kalmyk told-; Tatar tula-, Bashkir
tula-.
tórkin 'wife's relatives', MMo. tòrkòm, Oirat tòrkòn, Kalmyk tòrkn.
tuqim 'saddlepad', MMo. toqom, Oirat toxom, Kalmyk toxm; Tatar tuqi'm,
Bashkir tuqim.
turimtay 'a kind of bird of prey', MMo. turumtai, Kalmyk turmtee.
yadaw 'weak, poor', MMo. yadayu, Oiratyadou, Kalmykyaduu; Tataryadau.
zaya 'pain', MMo. jay ayan, Oirat zayaan, Kalmyk zayaan.

List of references
Note: Unless otherwise stated, Nogai words in the text are quoted from BASNogajsko-russkij slovar'.

KAKOV,

Bashkir

Èva CsÀKI, Middle-Mongolian
Languages (not published).

Loanwords

Bashkir*

Bashkirsko-russkij slovar', Moskva 1958.

in

Volga-Kypchak

Agnes Birtalan

44

cc

N. POPPE, "Die mongolischen Lehnwörter im Komanischen",
Nemeth Armagani, Ankara 1962, p. 331-340.

Chuvash

A. RÖNA-TAS, "The Altaic theory and the history of Middle Mongolian loanwords in Chuvash", Researches in Altaic Languages,
Budapest 1975, p. 201-211.

Kalmyk

G.
D.

Kalmückisches Wörterbuch, Helsinki 1935;
Kalmycko-russkij slovar', Moskva 1977.

J . RAMSTEDT,
MUNIEV,

B.

MMo.

Cf. M. WEIERS, Untersuchungen zu einer historischen Grammatik
des präklassischen Schriftmongolisch, Asiatische Forschungen 28,
Wiesbaden 1969.

M.Tu.

M . RÄSÄNÄN,

Nogai

N. A.

Nogai A

L . S . ARSLANOV, " O kalmyckix zaimstvovanijax v jazyke alabugatskix tatar Kaspijskogo rajona Kalmyckoj A S S R " , ST 1979.6,
p. 9-13.

Oirat

J . R . KRUEGER,

Tatar

v.s. "Bashkir".

Tatar*

Tatarsko-russkij slovar', Moskva 1966.

Tu

Sir G. CLAUSON, An Etymological Dictionary of Pre-thirteenthcentury Turkish, Oxford 1972.

WMo.

O.

Materialien zur Lautgeschichte der Türkischen Sprachen, Studia Orientalia XV, Helsinki 1949.
BASKAKOV,

Nogajsko-russkij slovar', Moskva 1963.

Materials for an Oirat-Mongolian to English
Citation Dictionary. I, Bloomington 1978; //-///, Bloomington
1984.

KOWALEWSKI, Mongolsko-russko-francuzskij
slovar', I-III,
Kazan' 1844-1849; F. LESSING, Mongolian-English Dictionary,
Bloomington 1982.

The Turkish Loanword kecse in the Middle Age
Hungarian Felt Culture
Zsuzsanna GULÀCSI, Hungary

Introduction to the Problem and History of the Research
The word kecse (Hung) is unknown in the contemporary Hungarian
language. According to the Hungarian Historical Etymological Dictionary the
first documented written occurrence of it is 1603 (TESz. 11:419). This datum
is preceded only by a couple of decades, as it is recorded in the Székely
people's Cartulary from 1581 (Szék.Okl. IV:76). Beginning in the 16th-17th
centuries, the word appeared with great frequency in a variety of documents.
It was used in the language of historical and literary works, and was often
listed among the items of deeds of inheritance and inventories. Later, during
the second part of the 19th century, in the first explanatory dictionaries the
word is marked as an archaic, old or unused element of the Hungarian
language. Currently, kecse is not cited at all in either explanatory or dialect
dictionaries of Hungarian. It has disappeared from the language. The meaning
of the word which was widely used in the 16th—18th centuries is not clear at
all. In the lexicons of the last century, kecse is listed as a noun with multiple
meanings. Since it could be used as the name of a textile and of associated
techniques, its exact meaning is difficult to specify. In these lexicons kecse is
defined as 'woven textile made of camel hair' (Takàts 1907:357); 'a kind of
blanket' (TESz. 11:417); 'name of material' (NySz. 11:143); 'a cloak-like item
of the military uniform (the material of which is not discussed)' as well as
'army cloak and kacagàny (Hung) which is a leopard's skin thrown loosely
over one shoulder' (Ball. 11:6) (Balassa 1887:20); 'the cloak of the Hajdu
people or an army cloak' (NySz. 11:143); 'a certain type of cloak, gown,
overcoat' (CzF. 111:454).
Relying on these Hungarian explanatory dictionaries, we may postulate two
basic meanings of the word: (1) "a kind of material" and (2) "a cloak".
Historical ethnographic research has not clarified the first meaning, nor have

46

Zsuzsanna Guldcsi

studies of the second meaning of kecse been produced in the otherwise well
developed field of garment history. First we will review the historical
ethnographic literature for its treatment of kecse as "a kind of material".
Data concerning kecse begins to appear in linguistic journals in the early
1900's mainly because of its linguistic uniqueness (Takits 1907:375). These
articles cited the word kecse without giving any explanation of its meaning or
history. In 1956, A.T. Szabo first dealt with the word extensively. This
researcher from Kolozsv&r had noticed that in his sources the word kecse was
often used—beside szekely festekes 'Sz6kely painted rug', szekely szdnyeg
'Szekely carpet'—together with the word kilim as "another optional name of
festekes (Szekely painted rug)" (Szab6 1956:106). The sources led him to the
following conclusion: "The relevant data leave me in a state of complete
ambivalence in terms of understanding the nature of kecse, kecseske 'little
kecse'. The available charter data show kecse as a type of colorful church
decorative rug. After all it had the same colors and functioned as the woven
textiles like the festekes or (the knotted) kilim did. (...) But finding kecse never
in the company of kilim, at least in the hitherto recovered sources, I tend to
think—regardless of the origin of the two words—that kecse apparently used to
be the Transsylvanian Sz6kely equivalent, or possibly the common
Transsylvanian Hungarian name or variant name of kilim." (Szab6 1956:106).
Continuing his research, in 1962 Szab6 published freshly discovered data and
made a further step in understanding the meaning of the word. He cites the
following datum which refers to kecse as a foreign rug: "...[a very big, double
velence which was named kecse, was sold for two Forints] - Referring to it as
venice shows the rug's foreign origin. I still have not been able to decide what
kind of foreign origin it referred to." (Szab6 1962:148). Szab6 knew that kecse
was not of native origin, but he steadfastly refused to consider the origin of the
word. Nevertheless it was often listed together with kilim which is a well
known Turkish rug name in Hungary.
K.K. Csill6ry, in her research on the origin of the textile culture of the
Hungarian house touched upon the topic of kecse while dealing with the Szekely
festekes (Szekely painted rug). She determined that kecse was used in Hungary
as a garment material, a horse cover, a bed- or wall-cover, a preacher chair
decoration and also as a floor decoration in churches. She grouped kecse
together with kilim as another Turkish origin textile, which was used first of all
as a rug and effected the Szekely festekes. She based her opinion on the
research of A.T. Szab6, as well as other archive sources. Although K.K.
Csillery did not focus on the nature of the material of kecse, she clearly
suspected that, as its etymology suggests, kecse means felt (Csill6ry 1982:62).

The Turkish Loanword kecse in the Middle Age Hungarian Felt Culture

47

The second basic meaning of kecse as "a cloak" has never been the object
of study. A. (Mborjan, in her fundamental 1985 study dealing with the Medieval
Hungarian grey-cloaks, touched upon this subject without mentioning kecse.
Among her illustrations are some drawings of Hajdu people of the early 17th
century. According to A. Giborjin, the cloaks worn by the people in these
pictures were made of high quality material and decorated with circular or
semicircular designs. In her typology, she classifies these design types among
the "paenula cloaks" (GaborjSn 1985:243).
Reviewing the etymology of the word provides an indispensable basis to our
survey.
In her study of the Ottoman Turkish loan words of the Hungarian language,
Zs. Kakuk deals with kecse. There is no doubt of its Ottoman-Turkish origin
which is supported by the sound structure of the form as well as its later
Turkish equivalent. It could also be anticipated from the data's derivation
(Kakuk 1954:118).
The Turkish word kege 'felt' is widely used among the people who speak
one of the Oguz branch of the Turkic languages. Thus, the word is known
among South-Western Turkic peoples such as the Azeri (Russko-Azerb. 1:161),
Turkmen (Turkm-Russk. 396), Gagauz (Gag-Russk-Mold. 267) and Anatolian
Turks. The first documented use of the word is in the 11th century dictionary
of Mahmud al-Kashgari who defines kece with the Arabic al-libd 'felt'
(Clauson 1972:694) (Dankoff 1984 11:263). Referring to a later usage, the
Osmanli Tarih Deyimleri ve Terimleri Sozlugii clearly identifies the meaning
of kege 'felt', as "a material made of wool by the process of beating, whose
usage is similar to the woven textiles" (1971 11:233). The dictionary explains
its usage with the example of felt overcoats of the shepherds, felt tents, and
rugs. Separately entered in the dictionary, kege kiilah is defined as 'the typical
felt headgear of the Janissaries' (1971.11:233). In other dictionaries of the
Ottoman Turkish period, kege means 1.) 'felt'; 2.) 'felt mat, rug, tents and
other simple shelters made of felt'; 3.) 'typical headgear of the Janissaries'
(Redhouse 1912:1529).
The contemporary Turkish explanatory dictionary identifies kege also with
the above mentioned meanings (Tiirkfe Sozliik 1983 11:676).
All the above-mentioned dictionaries list, besides the basic noun kege,
several terms and verbs derived from it. Their meaning is closely related to the
word's basic meaning of 'felt'.
Kege was also borrowed by South-Eastern European languages. These
languages all know the word with its Ottoman-Turkish meaning, 'felt', or 'a
kind of felt object'. Rumanian chycea, Bulgarian kece, Macedonian kece all

48

Zsuzsanna

Guldcsi

mean 'rug or blanket made of wool, felt' (Kakuk 1954:181). Serbian ceca,
keca beside 'felt' also means the white felt skull cap of the Albanian men
(Rjecnik IV:931). Polish kiecza, keca also refers to "felt rug or felt blanket"
(Kakuk 1954:181).
As shown above, the word kege in the Oguz branch of the Turkic
languages, which includes Ottoman Turkish, designs 'felt' or 'a kind of felt
product'. When it entered the Southeastern-European languages as an Ottoman
Turkish loan word, kege was adopted with identical or slightly different
meanings. It survives today in the areas of Europe which were most closely
connected to the Ottoman Empire.
The Hungarian Meanings of the Word and Usages of the Products
Hungarian historical sources refer to kecse from the end of the 16th century
until the early 18th century. The sources consist of inheritance deeds, church
visitation reports, price standardization, noble family archives and shopping
lists from trips to Turkey, and private correspondence of noble families. These
sources reveal much about the circumstances of purchase and use of kecse.
First of all we will have to determine the material which the word kecse
refers to.
1. It is important to notice that, according to these references, kecse
originated from the East, often from the Turkish capital:
1627: "Sell one big good double velence, which is called kecse, for two
Forints."1 (M.Tort.T. XVIII:216)
1628: "...with beautiful divan rugs - with Aczyem kecses."2 (MonTME. IV:62)
1665: "I want them to buy a camel hair kecse with those three Tallers
which are at the kapikika."3 (Szabo 1962:148)
2. The place where the kecses were bought is also hinted at in one of the
sources referring to an Istanbul "kecses ember" (Hung) 'felt maker, felt
merchant, felt-man' (Beke-Barabas 1888:552).

1
velence (Hung) 'Venice' from Venice, meaning foreign origin. Here 'rug bought in a foreign
country' (Szab6 1962:148).
2

Though the word aczyem (Hung) is frequently used during the discussed period, it stands without
dictionary reference in the Hungarian dictionaries. Acemi, acami (Turkish) 'Persian' (Redhouse
1912:1287).
3

kapikika (Hung) 'personal delegate at the Turkish court' (Bir6 1921:79).

The Turkish Loanword kecse in the Middle Age Hungarian Felt Culture

49

3. Kecse is accompanied by adjectives referring to its basic material, the
animal hair (here camel hair):
1633: "... There is a camel-hair bed-covering kecse." (Radv.Udvart.
1.1888:295)
1646: "...poor J6zsef is molested because of the camel hair kecse and because
of the Janissaries." (Beke-BaraMs 1888:11)
4. One source also refers to the preparation of felt. The important parts of
this process are the beating and hitting:
1623:"A kecse beaten from camel hair." (Radv.Udvart.I. 1888:257)
The adjectives, indications of the place of origin, the basic material, and the
method of preparation enable us to understand felt products behind the kecses.
The nearest metropolis, Constantinople, was a primary commercial center
for Transsylvania. Besides his political duties, the permanent Transsylvanian
delegate of the Porte always had to make certain purchases. The travelling
delegate also often had this task, or others would be sent to Turkey for this
purpose (Bir6 1921:79). On the lists of these Porte shopping tours there are
several kecses mentioned. One such shopping list was itemized by Mnos Rimay
during his legates of 1608 and 1620/1621 (Tort.T. 1878:153-164). There is a
similar list which has survived in the Kopcseny Archive of Earl J6zsef
Batthylnyi (Tort.T. 1878:359-360). Also, in 1641 the legacy of Gyorgy
R£k6czy ordered a report on the subject of the items he wished to have
purchased. The letter, which is dated the 6th of August in 1641, tells how the
kecses were bought.
1641: "We had bought the ten color kecses; they are nice, good. In terms of
size, to tell the truth, some of them are longer, as some of them happened
to be wider also, with a half or even with a whole sing (1 sing = 0.62m).
The ten kecses, as they were measured with sing at the Transsylvanian
house4, totaled four hundred and ninety-five sing. According to the price
standardization, we paid for each sing sixty-five Oszporas. The whole
amount, if we did not make a mistake in the computations, come to exactly
four hundred and two Tall6rs and 15 Oszporas. As always in terms of
measuring them, in the case of these Zelenek type kecses—as I asked
people and as I myself went after the matter of measuring in order that our
legs may not be pulled, but the price of them is the same everywhere—, the
process of measuring goes as always before, as Your Majesty could be
informed by Sir Maurer if he bought any of them. If we had bought
'
Transsylvanian house used to refer to the home of the Transsylvanian delegates at the Turkish
court (Bir6 1921:79).

Zsuzsanna Gulâcsi

50

Drinapol type kecses, the narrow ones, those would have been measured on
their length only. But not even two of them together would have been as
wide as 4 sing on their widths. On the other hand, they are also of inferior
quality. Your Majesty, when writing about colorful kecses, did not specify
from where and of what type kecses you wanted us to buy. We judge these
to be better and finer although the price goes a bit far. If Your Majesty
likes them and does not hold them to be too expensive, write so that we can
buy the double amount of the very same ones if they are needed.
.. .4. dei Augusti measuring the ten color kecse by sing both in their length
and width in the old Transsylvanian house,
1. kecse came to = nro 48 sing.
2. kecse came to = nro 46 sing.
3. kecse came to = nro 47 sing.
4. kecse came to = nro 49 sing.
5. kecse came to = nro 49 sing.
6. kecse came to = nro 50 sing.
7. kecse came to = nro 52 sing.
nro 55 sing.
8. kecse came to
9. kecse came to = nro 52 sing.
10. kecse came to = nro 47 sing.
As we computed them after measuring, they totaled 495 which is four
hundred and ninety-five sing. The sing price, corresponding with the price
standardization, was 65 Oszporas, idest (Lat.) sixty-five Oszporas. After
computing all these, we found that the amount reached 400 two Tall6rs 72
Oszporas. This Your Majesty can compute. If there were any
miscalculations in it Your Majesty, please write to us, because they were
bought from a man who supposedly would not want to cause us a loss. (...)
...The incomplete 10 golds were also given in the purchase of the kecses."
(Beke-Barabcis 1888:552)
In terms of their appearance, from this description we realize:
1. the kecses were ready made articles. These particular ones were sold in
large pieces, which were measured in front of the buyer. The price of the
pieces depended on their size. But not much is known about the method of
measuring. Area measurements require basic geometrical knowledge, which
was not a common method in that time especially in terms of textile. This is
basically because their width was determined by the width of the loom on
-

The Turkish Loanword kecse in the Middle Age Hungarian Felt Culture

51

which they were woven. For measuring the length rof (Hung) and sing (Hung)
were used,5 besides local measurements of the country. In the source above an
unusual textile is measured, which may be the reason why they wrote about it
in detail: "...measuring them on both their widths and lengths..." (BekeBarabds 1888:552). "Measurements" of both sides resulted in large totals,
though it is not clear what they meant by measurement. We know that these
rugs are large as is demonstrated by the results of the above measurements.
Large felt rugs are not unusual among felt using peoples (Burkett 1979: ill.
44). It is clear from the source that these rugs were not measured only by their
length, but, as is normal in the case of area measurements, both dimensions
were quantified. The metric units remain unchanged, in sing. The metric does
not indicate an area total. However, the author of the letter specified several
times that they used both sides of the textiles while measuring. If we interpret
the data given by the sources as area measurements based on the directions
which were indicated, and analyze the given numbers as the result of area
calculations, we find that the average total for the 10 examples listed above is
49 sing. If its sides had been multiplied and the product totaled 49 sing, then
each side of it must be 7 sing. Counting 62 cm for each sing, the area of the
given datum would be approximately 4m x 4m. This is a reasonable size.
2. The kecses are often indicated as having a large size through an adjective
like "large", "big":
1673: " A new large kecse, which was brought by Juda."6 (Szab6 1962:148)
1683: "A large colorful kecse for the divan" (Tort.T.1889:17)
1700: " A large colorful kecse" (Szab6 1962:148)
3. Besides the above viewed characteristic features the sources indicate they
were patterned:
17th cent.: "A large colorful kecse. (Tort.T. 1878:359)
1620/21: "A long flower patterned kecse" (Tort.T.1878:162)
The historical sources also contain information on the various uses to which the
kecses were put.

5

Röf is an old length measurement of Hungary with German origin. It was used for textile
measurement. 1 röf is approximately 0.78m (TESz. 111:454). Sing also has German origin and it was
used for the same purpose. 1 sing is approximately 0.62m (TESz. 111:542).
6

Here, as well as in all the other sources the adjective öreg (Hung) 'old' was used in its archaic
meaning 'large, big etc.' which is still well known and used in several Hungarian dialects (Ball.
11:116) (CzF. IV: 1195).

52

Zsuzsarma Guldcsi

1. The previously mentioned datum from 1683 ("big kecse for a divan")
shows immediately that these large mats were used as covers for different types
of beds.
1633: "There is a camel-hair kecse for bed covering" (Radv.Udv. 1:295)
1630: "Your excellence, an orphan, widower, lonely lad does not wish to sleep
in a counterpaned bed, but rather as is due the Hungarian (?) lad, on a bed
which is covered with a thin layer of kecse." (MNy. 12:89)
1628: "These night places were not made for lords, but they were made as
befits the emperor. There were six or seven houses laid with beautiful divan
covers, with Acz6n kecses and with golden pillows."7 (MonTME. IV:62)
2. Other sources cite the use of kecse as a floor cover.
Among the items on the list of MiMly Teleki, which noted objects he carried
during the war, there are: "Two little kecse-, two camel hair kecse" (Gergely
1906 11:187). In a letter to his wife, Teleki listed his valuable objects in order:
horse tools, these four kecses and then a counterpane-sheet and other beddings.
The arrangement of this list suggests that the kecses may have been part of the
beddings as bed- or floor-covers.
1673:"In front of the altar there are two rugs called kecse, mentioned." (Takats
1907:375)
3. Supposedly the chair cover kecses were much smaller.
Between 1643 and 1700: "There is a colorful kecse on the chair of the
preacher." (Szab6 1956:104)
1749: "Mrs. Mihaly Soltyos conferred a used kecse to the Master's chair in the
church." (Szab6 1956:104)
4. kecses could also serve as wall covers:
1646: "10-12 purple blue kecse for the wall." (Radv.Csal.III:249)
5. From the evidence above we can see that the kecses were used as
different sized rugs. The following data enlighten yet another of their possible
functions. Kecses were also used as saddle rugs and horse covers.
1642: "A kecse for horses" (Szab6 1962:148)
17th cent.: "kecse and caparison" (NySz.II:143)
1685: "One bad, ragged < b u t > colorful kecse ... and one camel hair kecse
also for the saddle." (Monlr6k.24:707)
1680: "Camel hair kecse for the saddle; two < items > " (Monfr6k.24:685)
7

See fta. no. 2.

The TUrkish Loanword kecse in the Middle Age Hungarian Felt Culture

53

In summary, the basic meaning of the kecse is "felt-products". This flat felt
work could been used in various ways as rugs and mats of different sizes.
Besides the felt-rugs called kecse, which are patterned and expensive,
cheaper and simpler felt objects are also listed. The cost depends on the quality
of the material, its size and pattern, and of course on the bargaining process.
Examining my sources, I noticed that kecse refers to a Turkish rug made of
felt, as well as to other ready made felt products. The overlooked Hungarian
sources being the part of the Hungarian language usage of the discussed period
do not use kecse referring merely to the material it was made of, namely, felt.
In Turkish the primary meaning of kege is 'felt', that is the material, while in
Hungarian, during the period it had been known, kecse signified a felt rug
bought in Turkey, a product made of felt. These sources use Hungarian nemez
'felt* when referring to the material as such:
1661: "A Turkish saddle with felt < nemez (Hung)>" (Gergely 1906 11:187)
17th cent.: "An ordinary piece of felt <nemez (Hung)>" (Tort.T. 1878:359)
1622: "I bought a piece of felt <nemez (Hung)> for inner cover to these <1
paid> asp. 900; for the work of it <1 paid> asp. 100; in toto 1000."
(Radv.Udvart.1.1888:52)
This use of the word can be seen in the following two references. In the
Istanbul shopping list of Gyorgy R£k6czy, the maker of the kecse is the kecses
ember (Hung) 'kecse-man', while the man who makes felt tents is referred to
as sdtorcsindld (Hung) 'tent-maker' or sdtorcsindld ember (Hung) 'tent-maker
man' (Beke-Barabas 1888:552). According to the price standardization issued
in 1627 in the territory of Transsylvania, the felt pieces which were used as
saddle rugs or others used in sandals as well as the outer cover of footwear
were produced by the nemezcsindldk 'felt-makers' (M.Tort.T.XVIII:228). That
document, which pertained to the whole territory of Transsylvania and Partium,
suggests that the term nemez (Hung) 'felt', and the felt products were wellknown and widely used.
From the Western parts of Hungary we have only eleven kecse data which
connote another felt object, felt cloaks. Besides these references kecse is never
used for flat felt, while the Transsylvanian documents do not know its meaning
as 'cloak'.
1. The first datum is from the early 17th century and concerns the cloak of
the Hajdu people.
early 17th c.: "The Hajdus also throw kecses or blankets around their neck
< which is called in Hungarian > Hajdukecze; <and in German >
Haiduchenmantel." (NySz. 11:143)

54

Zsuzsanna Gulacsi

When searching for historical evidence on garments in the extensive literature
on this type I did not succeed in finding information about the hajdu-kecse
'kecse of the Hajdu people'. These historical studies contain only some
drawings of the cloaks of the Hajdus (Szendrei 1905:79). Loosely falling cloaks
were depicted in these drawings. Although they look less rigid than any of the
modern felt coats or cloaks in Iran or Turkey (Burkett 1979), I consider it
possible that these Hajdu cloaks are felt products. It is possible that the figures
in the drawings are dressed in thin layered felt cloaks. Even if we consider
these drawings as depictions of the Hajdu people's kecses, and we accept that
Hajdu kecses were made of felt, there are still several unclear spots when it
comes to understanding our data.
The Hajdu people are known to be cattle herders (hajtdk 'drivers',
'drovers') living in the territory of Alfold and Partium. Besides this, they are
considered to be Balkan refugees who fought against the Turks and served as
soldiers in Hungary. Coming from the Balkan region which had been under
Turkish rule in the previous two centuries, it is reasonable to believe that they
brought with them a typical felt cloak which had already assumed a standard
Turkish name in their Slavic language. This explanation is conjectural since the
word kecse in the meaning 'felt cloak' can not be documented, through
dictionaries, in the languages of the Balkan region, nor are felt cloaks known
there under other names.
Contained within the previously cited data is still another fascinating
detail—the blanket which is thrown around the neck. In the early European
garment usage it was a common practice to wear uncut, oblong textiles,
blankets or table cloths as a covering over the head or shoulders. This practice
which is widely documented in historical and recent ethnographic works
(Gaborjan 1985:235) allows us to suppose that once thin felt rugs could have
had that usage as well.
2. In another group of our sources kecse is an element of the army garment:
1653:"Shields in their hands, kecses are brilliant on their shoulder." (NySz.
11:143)
In the epic of Miklos Zrinyi, who fought against the Turks in the mid-16th
century, the writer in the enumeration of the epic depicts soldiers wearing
kecses:
1656: "Two hundred soldiers follow them
Each of them leading next to himself his captive.
There is a kecse on each of them. Courage in their eyes.
You would suspect no feet were touching the earth."

The Turkish Loanword kecse in the Middle Age Hungarian Felt Culture

55

(Zrinyi, Szigeti veszedelem IV, 23rd verse)
The cited strophe is about the Turkish army, but in the description of the
Hungarian warriors a noble lord also wears kecse:
1656: "M<Lt6 Szechodi is coming with weapons and covered with a large
colorful kecse and armour." (Zrinyi, Szigeti veszedelem V, 47. verse)
3. Some other data from the 17th/18th century mention kecses as unusually
colored garments of the high society:
1748: "He hung a red scarlet kecse over his shoulder" (NySz. 11:143)
There are also red scarlet kecses mentioned in one of the sources from the
MarosvSslrhely Earl Teleki's Archive. The recorder, writing about the Vienna
parade of the bride of Lipot the first, gave a detailed picture of the fancy
clothing of the saluting Hungarian nobles. The noble lords marching in the
banderium of Earl P£1 Eszterh&zy wore red scarlet kecses:
1666: "After that, Earl P£1 Eszterhizy's four armies are next, Sir Simon
Despot, riding before the captain of the above named lord; after him there
are three noble lads with three very nice pikes, their kecses fringed like
silverish golden fire-flames; (...) after them Gyorgy Bincza wearing red
scarlet kecse which was covered with silver and golden stars; (...) the above
named four lords were in red scarlet kecses, taking care of the order of the
marching." (Szadeczky 1884:143-144)
The above-quoted event was preserved on a copperplate etching. In this
drawing every mounted Hungarian lord is wearing an indeterminable cloak.
Since these cloaks are so similar to each other it is impossible to identify
details of the garments (Szendrey 1905: 4. board).
Written sources mention several vert koponyeg (Hung) 'beaten cloaks'
among the items of the Istanbul shopping lists of the nobility:
1608-1621: "Pink colored beaten cloak for 450 Oszpora, F1.6 Den.75."
(Tort.T. 1878:153)
1631: "...two beaten cloaks of camel-hair, they are red" (Radv.Udvart.
1.1888:254)
Kecse and vert koponyeg 'beaten cloak' are evidently synonyms. In this way
the usage of word kecse emphasized the foreign origin of the garment. In the
sources kecse, as a rug, was made by the kecse-mzn or kecse-maker. The
beaten cloaks also were (and still are) made by felt-makers in Turkey. In this
way it is possible that the older Hungarian use of the word to indicate the
object's elegant foreign origin for the felt cloaks, which were bought in
Turkey, reflected the Turkish use of the word kecse.

56

Zsuzsanna Guldcsi

By now we know that kecse used to have a separate, distinctive sense in the
Western parts of Hungary. The term referred to cloak, the material of which
is suspected to be felt for two reasons: the etymology of the word which was
parallel to the primary meaning of kecse, and the reference to a vert koponyeg
(Hung) 'beaten cloak' which was bought in Turkey.
The kecses were elements of clothing used at the two fringes of society. On
one hand, they were used by high ranking noble lords for pomp, sometimes as
a part of their battle garments. In the same period they are documented as the
everyday, typical cloak of Hajdu herders who definitely did not have high
social status and did not get their clothing from shopping in Turkey. In their
case kecses could also be interpreted as a thin felt rug or blanket which was
thrown around the neck of the wearer.
Conclusion
The Oguz Turkic word kece appeared as an Ottoman Turkish loan word in
Hungary during the 16-18th centuries due to the vital political and economical
interactions between Transsylvania and the Ottoman Empire. The Hungarian
meaning of the loan word is slightly different from the original Turkish
meaning. In Ottoman Turkish, as well as in all the Oguz languages, kecse
primarily designates the material name: felt. The second meaning of it can be
various kinds of felted objects, such as rugs, caps etc. The original first
meaning, the material name, is missing among the Hungarian connotations. The
16- 18th century Hungarians realized kecse primarily as a Turkish purchased
felt product, flat felt work in various sizes. This specific connotation is well
documented in terms of their material, appearance and usage in the territory of
Transsylvania. Meanwhile the western parts of Hungary knew kecse as a felt
cloak of Turkish origin. It seems that both of these meanings existed only in
the language of the high society who had access to luxury items such as objects
purchased from the Ottomans. The Hajdu&ecjes do not fit this picture.
Although their name is of Turkish inception, one can not claim that they have
been purchased from there. The shortage of the available data allows us merely
to suppose that the Turkish origin word kege, while referring to the cloak of
the Hajdu people, might have made its way to Hungary through Balkan
intermediaries.
During the 16th-18th centuries, when the kecses were known in Hungary,
various traditional felt products such as head- and footgear, horse covers,
saddle mats, and felt balls were still in everyday use by different classes of the
society. The disappearance of the kecses was due to the decline of the vital

The Tltrkish Loanword kecse in the Middle Age Hungarian Felt Culture

57

relationships with the Ottoman Empire and not to the cessation of the felt
objects themselves.
Abbreviations
Ball. = Ballagi, Mór: A magyar nyelv teljes szótára. I-II. Budapest, 1873
Balassa = A magyar nyelv szótára. I-II. Ed.: Balassa József. Budapest, 1940
CzF. = Czuczor, G. and Fogarasi, J.: A magyar nyelv szótára. I-IV. Pest,
1862-1874
ErdM.Szót.T. = Erdélyi Magyar Szótórténeti Tár. I-IV-. Ed.: Szabó, T.A.
Kolozsvár, 1975-1984Gag-Russk-Mold. = Gagauzsko-Russko-Moldavskij Slovar'. Ed.: Gaidarzhi,
G.A. Moscow, 1973
Kazinczy Lvt. = Kazinczy Levéltár. Sárospatak. Here Used: Sárospatak
Gazdasági Iratok
M.Ny. = Magyar Nyelv
M.Tort.T. = Magyar Torténelmi Tát.I-XXVIII. Pest-Budapest, 1855-1934
Monírók. = Monumenta Hungariae Histórica. II. Osztály.írók. I-XXXVIII.
Pest-Budapest, 1857-1906
MonTME. = Torok-magyarkori Torténelmi Emlékek. I-IX./I.-VII. Ed.:
Szilady, Á.-Szilágyi, S. Pest, 1863-1872
MTSz. = Szinnyei, J.: Magyar tájszótár. MI. Budapest,1893-1901
NySz. = Magyar nyelv tórténeti szótár legrégibb nyelvemlékektól a legújabb
korig. I-III. Ed.: Szarvas, G.-Simonyi, Z. Budapest, 1890-1893
Radv.Csal. = Radvánszky, B.: Családélet és háztartás a XVI.-XVII.
században. I-III. Budapest, 1879-1896
Radv.Udvart. = Radvánszky, B.: Ubvartartás és számadáskónyvek. I. Bethlen
Gábor...udvartartása. Budapest, 1888
Russk-Azerb. = Russko-azerbaidzhanskii Slovar'. I-III. Akademia Nauk
Azerbaidzhanskoi SSR. Instituí Literaturyi i Jazyka. Baku, 1971
Szék.Okl. = Székely Oklevéltár. I-VII. Ed.: Szádeczky, L. Koloszvár, 18721898
TESz. = A magyar nyelv tóténeti - etimológiai szótára. I-IV. Ed.: Benkó, L.
Budapest, 1967
Tort.T. = Torténelmi Tár. 1-34. Budapest, 1878-1911

Zsuzsanna Gulâcsi

58

Turkm-Russk. = Turkmensko-RusskiiSlovar'.Ed.:Baskakov-Karriev-Hamzaev.
Moscow, 1968
ÛjMTSz. = Ûj Magyar Tâjszôtâr. I-II- Ed.: B. Lôrincz, É. Budapest, 1979Bibliography
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Class 36. Vol. Ed.: Szâdeczky Lajos. Budapest.
— 1987 Metamorphosis Transylvaniae. Budapest.
BEKE, Andrâs - BARABÂS, Sândor 1888: I. Râkôczi Gyôrgy és a porta.
Budapest.
BÎRÔ, Vencel 1921: Erdély kôvetei a portân. Kolozsvâr.
— 1947 Erdélyre gyakorolt kôzmiivelôdési hatâsok a XVII. szàzad mâsodik
felében. Az ingôsâgôsszeirâsok tukrében. Kolozsvâr.
BURKETT, E. Mary 1979: The Art of the Feltmaker. Kendal.
CLAUSON, Gerard 1972: An Ethhymological Dictionary of Pre-Thirteenth
Century Turkish. Oxford.
DANKOFF, Robert 1984: Mahmud al-Kashgari. Compendium of the Turkic
Dialects. (Diwan Lygat at Tiirk) I-III. Harvard.
GÂBORJÂN, Alice 1985: Kôzépkôri magyar szurkeruhâk. Etnogrâfia. 96. Vol.
212-251.

Gagauzsko-Russko-Moldavskij Slovar'. Ed.: Gaidarzhi, G.A. Moscow, 1973
GERGELY, Sândor 1906: Teleki Mihâly levelei. I-II. Budapest.
GERVERS MOLNÂR, Veronika 1974: A nemezkészités néhâny kérdése.
Tôrôkorszâgban és Irânban. In: Hofer, T.-Kisbân, E.-Kaposvâri, Gy. (éd.):
Mezôvârosi Miiveltség a 18-20. szâzadban. II. 141-161.
HERNER, Jânos 1987: Erdély és a Részek térképe és helységnévtâra. Készult
Lipszky Jânos 1806-ban megjelent mûve alapjân. Szeged.
IPOLYI, Arnold 1878: Rimai Jânos portai vâsârlâsai. Tôrténelmi Târ. 1878.
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KAKUK, Zsuzsa 1954: Fejezetek oszmân-tôrtôk jôvevényszavaink tôrténetébôl.
Kandidâtusi Értekezés. Kézirat. Magyar Tudomanyos Akadémia Kézirattâr.
Budapest.

The Turkish Loanword kecse in the Middle Age Hungarian Felt Culture

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— 1973 Recherches sur l'histoire de La Langue Osmanlie des XVIe et XVIIe
Siècles. Budapest.
LIGETI, Lajos 1986: A magyar nyelv török kapcsolatai a honfoglalás elött és
az Árpád-korban. Budapest.
A magyar nyelv szótára. I-IV. Ed.: Czuczor, Gergely-Fogarasi, János. Pest,
1872-74
A magyar nyelv szótára. I-II. Ed.: Balassa, József. Budapest, 1940
A magyar nyelv teljes szótára. I-II. Ed.: Ballagi, Mór. Budapest, 1873
A magyar nyelv torténeti-etimológiai szótára. I-IV. Ed.: Benkö, Loránd.
Budapest, 1967
Magyar nyelv tôrténeti szótára legrégibb nyelvemlékektôl a legújabb korig. IIII. Ed.: Szarvas, Gábor-Simonyi, Zoltán. Budapest, 1890-93
Monumenta Hungariae Histórica I. osztály: Okmánytárak. I-XLII. PestBudapest. 1857-1948. Il.osztály: írók. I-XXXVIII. Pest-Budapest. 18571906.
NAGY, István 1871: Árucikkek szabályzata 1627 és 1706 évekbôl. Magyar
Tôrténelmi Tár. Vol. XVIII. 1 9 9 - 2 7 3
NÉMETH, Gyula 1945: Kecse. Magyar Nyelv. Vol. 49.
Osmanli Tarih Deyimleri ve Terimleri Sözlügü. I-III. Ed.:Mehmet Zeki
Pakalin Istanbul. 1971
RADVÁNSZKI, Béla 1879-18%, (1986): Családélet és háztartás a XVI-XVII.
században. I-III. Budapest.
— 1888 Udvartartás és számadáskonyvek. Vol.I. Bethlen Gábor (...)
udvartartásá. Budapest.
Mariti 1969-1971: Versuch eines etymologischen Wörterbuchs der
Türksprachen. I-II. Helsinki.

RÄSÄNEN,

Recnik Srpskohrovatskoga Knjiienoga Jezika. Vol. IV. Novi Sad-ZagrebLjubljana, 1967-1982.
Recnik na makedonskiot jazik so sprskochrovatski tolkuvanja. I-II. Skopje,
1961-1966.
REDHOUSE, W. James 1922: A Turkish and English Lexikon. Constantinople.
Russko-AzerbaidzhanskiiSlovar'. I-III. Akademia nauk Azerbaidzhanskoi SSR.
Institut Literatury i Jazyka. Baku, 1971
SAINEANU, L. 1900: Influenta orientala asupra limbei si culturei romane. I-III.
Bucuresti.
SZABÓ, T. Attila 1956: A festékes és társai. Ethnographia. Vol. 67. 99-109

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— 1962 Még néhâny szô a festékes és târsai erdélyi életéhez. Ethnographia.
Vol. 73. 147-149
Szâdeczky, Lajos 1884: I. Lipôt mâtkâjânak bevonulasa Bécsbe. Szâzadok.
1884. 142-149
SZENDREI, Jânos 1905: A magyar viselt tôrténeti fejlôdése. Budapest.
SzÉKELY Oklevéltâr. I-IV. Ed.: Szâdeczky Lajos. Kolozsvâr, 1872-1898.
SziLÂGYl, Sândor 1878: A magyar ârak tôrténetéhez. Tôrténelmi Târ. 1878.
359-360
TAKÂTS, Sândor 1907: Kecse. Adatok nyelvunk tôrténetéhez. Magyar Nyelv.
Vol. 11. 375
Tôrôk-magyarkori tôrténelmi emlékek. I-IX. / I-VII. Ed.: Szilâdy, A. and
Szilâgyi, S. Pest, 1863-1872
Tiirkçe Sôzliik. I-II. Ankara, 1983.
Turkmensko-Russkii Slovar. Ed.: Baskakov-Karriev-Hamzaev. Moscow, 1968
Ûj Magyar Tâjszôtâr. I-II- Ed.: B. Lôrincz, Éva. Budapest, 1979
ÛJLAKI, Istvân 1894: Muvelôdéstôrténeti Adatok. Egy XVI. szâzadi limitatiô.
Tôrténelmi Târ. 1884. 148
Zrinyi Miklôs Ôsszes Muvei. I-II. Szigeti Veszedelem. Budapest, 1958

Mongolian Loanwords in the Crimean Toponymy
Henryk JANKOWSKI, Poznan
The aim of the present paper is to analyze the Crimean place names of
Mongolian origin. Due to the limits of the paper, only a part of the whole
toponymic material collected on the basis of MuxiN's map and compared with
other sources available, arranged in the Cyrillic alphabetical order from A to
K, that is about two thirds of all entries, has been examined. Therefore, a final
conclusion will be drawn after the completion of the work.
1. Introduction
Mongolian rule over the Crimea and the supremacy of Batu's successors
lasted about two centuries following the invasion. Between 1420 and 1446, the
local governors made their first successive attempts at breaking off the
dependency relations with the Golden Horde and gaining sovereignty (FISHER
1978: 1-4).
Although the process of Turkicization of the thin Mongolian dignitary layer
began very soon, a good deal of Mongolian loanwords was absorbed by the
Western Kipchak languages spoken on the territory of the Golden Horde,
which were in contact with Mongolian. These words are clearly of Middle
Mongolian origin and should be separated from the Old Mongolian words
which must correspond to Old (or Common) Kipchak and also be separated
from the Ancient Mongolian borrowings which should be related to Ancient
Turkic.
Many Middle Mongolian words revealed by POPPE (1962: 334-40) in
Kuman may be found in the modern Kipchak languages and, therefore, in
Crimean Tatar, for example asar- (in CT asra-) 'to feed', ceber 'neat, tidy' (in
CT 'clever'), ciray 'complexion', erkele(n)- 'to be coquettish', maxta- 'to
praise', marjlay 'forehead', noqta 'halter', oba 'hill(ock), heap', qarany'i
'darkness' (in the Northern dialect of CT 'dark'), solayay 'left-handed', tole'to pay', etc.
Further Middle Mongolian words that were borrowed by the Chuvash but
also have correspondences in other Turkic languages are evidenced by R6NATAS (1975: 202-5). Of these, the following may be found in the Modern
Crimean Tatar vocabulary: bosaya 'threshold', bodene (in CT bodene) 'quail',
cida- 'to endure', delbeg(e) (in CT telbew) 'reins', narad 'conifer' (in CT

Henryk Jankowski

62

narat has different meanings in the dialects: 1. 'pine' or 2. 'sprucetree', see
MEMETOV 1 9 8 8 : 14, a n d ASANOV et al. 1 9 8 8 : 9 4 ) , quda ' i n - l a w r e l a t i o n o r

relatives' (in CT 'matchmaker').
Obviously, there are still other Mongolian loanwords which can be pointed
out in the contemporary Crimean Tatar language as well as in the related
Kipchak languages. Examples are CT qunan '2-3 year old foal', cf. below in
the list; qunangi'n 'heifer', Singen 'fluid, liquid', toqta- 'to stop', etc.
It should be noted that very little work has been done so far in CT
lexicology. 1 We can only express our belief that future research will bring
more light into this obscure area.
Mongolian loanwords can also be traced in the administrative and political
terms of the Golden Horde, once extensively used in the Crimea and attested
by historical documents, such as biikewiil 'toll official', daruya 'high administrative official', qarawul (Turko-Mong. qara- 'to see, to supervise' + -Ul in
Mongolian or -wUl in Kipchak) 'guard, supervisor', tamya and
tamyaciMong.
tamayu(n)
'brand, stamp, seal', toqtawul 'policeman', etc. (see KURAT 1940:
174-76, VASARY 1987).
A very important group of loanwords inherited from the Mongolian rulers
is attested in the Middle Mongolian superstratum in the Crimean toponymy.
2. Crimean Toponymy
Our knowledge on the ancient Crimean toponyms is very poor. Research
began in the 1920s, with a paper by MARKEVIC (1928). However, even his
notes on the Crimean place names of Old Greek origin must be read with
reservations. The work was interrupted after 1944, when nearly all Turkic
place names (including some Greek ones) were converted into Russian. Thus
the first works started virtually in the 1980s, cf. BUSAKOV (1985, 1989),
ISXAKOVA (1988), and LEZINA (1988). This fact is very significant if we
compare the Crimean toponymic research to the rapid growth in works on
Turkic toponymy in Turkey as well as in the USSR and in Europe. Among
these, two typological studies have substantially contributed to clarifying many
particular questions, namely, SCHEINHARDT (1979) and MOLCANOVA (1990).
Although the former has made some use of Turkic toponyms of the Crimea
(e.g. p. I l l , 162), only a future detailed study of the Crimean geographical
names may verify the typological statements exposed there. As for the latter,
The recent Soviet studies were outlined in JANKOWSKI 1990.

Mongolian Loanwords in the Crimean Toponymy

63

we must be aware of the fact that the author merely worked on the Altai
material and then projected her findings onto the overall Turkic toponymic
map. However, some of MOLCANOVA'S generalizations comply with
SCHEINHARDT'S results, for example the statement saying that there is only a
small number of suffixes used in Turkic toponyms (p. 13 and 147,
respectively). This is true for the Crimea as well.
The Turkic toponymy of the Crimea is very heterogeneous itself. There are
three dialectal (linguistic) strata: Western or Early Middle Kipchak, Southern
or Oghuz (chronologically complex), and the late Noghai-type Kipchak. The
only comparative study on toponymic Kipchak-Oghuz correspondences is that
by ISXAKOVA ( 1 9 8 8 ) . As for the ethnotoponymy, a paper by LEZINA ( 1 9 8 8 ) ,
although it does not include any place names, should be consulted.
2.1 Mongolian Traces in the Crimean Toponymy
To my knowledge, apart from MARKEVIC'S observations on the Mongolian
tribes and their relics, no study has raised the question of Mongolian
geographical names in the Crimea yet. Some doubtful etymologies of
supposedly Mongolian place names in the Ossetian part of the Caucasus were
established by GURIEV ( 1 9 7 4 ) . These localities in the Caucasus are the
westernmost for which Mongolian etymologies have been suggested.
In the following, Mongolian tribe and clan names as well as some other
words will be examined with chronological restriction to the 13-14th
centuries.2 At this point it is to note that some Old Mongolian words may have
appeared in the Crimea prior to this period, as brought by the Turkic tribes that
penetrated the peninsula. However, this question must be left aside until the
problem of the hypothetic Old Turkic elements in the toponymy of the Crimea
is solved.
MARKEVIC, presenting his remarks, did not make any clear distinction
between Mongolian and Turkic tribes. Although he correctly pointed out many
place names that show Mongolian tribal names, for instance Naiman, Qi'tay,
and Q'iyat (p. 26-7), he wrongly related to Mongols such tribes as the Q'ipcaq,
TaSl'i, Kiilec, and others (p. 26).
LEZINA sought to identify several Crimean toponyms with Mongolian ethnic
elements. One is a mountain range near Sudak, quoted by LEZINA as Karacin
and related to the Mongolian tribal name Xaracin (LEZINA 1 9 8 8 : 152).

1

The investigation is based on linguistic material. We have no direct, extensive, historical sources
from that period. Some, especially north Crimean place names came along with later nomads who
brought their tribal names of Mongolian origin to the Crimea.

Henryk Jankowski

64

However, MUXIN (1817) writes this word in the form Karacun, so it must be
corroborated by further data. Another Mongolian affiliation is assumed in the
name of a hill called Xaraci-Deresin-Sirt, but because of the lack of the final
-n, this is also doubtful and may be regarded in the sense of a TurcoMongolian correlation only. The third supposed Mongolian word is the name
of a tributory of Belbek, Naya (p. 157). The author was apparently thinking of
the Mongolian tribe Nayakin. In that case, where is the suffix -kin! As will be
seen below, Mongolian tribe names usually entered the Turkic soil in the
suffixed forms. LEZINA'S next, the most likely supposition is the name of the
river Elcigen < Mong. eljigen 'donkey'. LEZINA'S last etymology concerns
the name of a brook and a river, Alacuk. It is related to an alleged Mongolian
ethnic name alakcut. Unfortunately, I have not been able to find any evidence
for such a tribal name in works like HAMBIS ( 1 9 4 5 ) , BAZIN ( 1 9 5 0 ) , POPPE
(1977), o r SHASTINA (1975).

Below, the place names of Mongolian origin will be enlisted according to
the Cyrillic alphabetical order. They are quoted from two maps, namely,
MUXIN (1817), HANDTKE (undated) and from a statistical register ( 1 9 2 7 ) . The
basic source is MuxiN, the others are only reference works. The list contains
the letters from A to K, about two thirds of the whole material.
The bulk of the supposed Mongolian loanwords goes back to ethnonymic
terms, which is also characteristic of the Turkic toponymy. Only some of them
probably originate from personal names, but none of these is certain. For that
reason and due to the limits of the present paper, this group will be disregarded. Since the remaining words are semantically heterogeneous, the
entries will be subdivided into two groups.
The toponyms are transliterated, transcription is provided only when
necessary. Small letters after each entry refer to the layout of MUXIN's map.
2.2.
1)

2)

Place Names Reflecting Mongolian Clan and Tribe Names
Margin, n\ the Mongolian clan whose ancestor was Adarkidai is
mentioned in S H 46, cf. POPPE (1977: 162) < *adar and SHASTINA (1975: 242) — Adarkin\ as PRITSAK (1952: 80) assumes, -gin
is a common Mong. collective suffix.
Alcin [alcin], g, I, q, u; on H's map there is a lake called AtallAltschinn; as a personal name occurs in S H 202; SHASTINA (1975:
242) points out a Tatar tribal name Alci, presumably related to
Trk. alci 'crafty', see also POPPE who additionally shows a Mong.
personal name Alcidai, as derived from the former; among Trk.
peoples, — occurs as the Kazakh clan name Alsin (VAMBERY 1885:

Mongolian Loanwords in the Crimean Toponymy

65

345), in the form Alci as a clan name in Turkey (cf. SEVINC 1983:
84).

?3)

Argin, g, q; see also Argincik, n\ a proper name well attested in
Trk. languages and probably of Trk. origin, to be found as a
countryside name in KaSgarl's dictionary (cf. BROCKELMANN
1928: 240). In the Crimea, Argins under the leadership of Shirins
were one of the four most powerful tribes along with Bar ins,
Kipchaks and Mangyts (cf. iNALClK 1983: 77); as a clan name —
exists in Kazakh (VAMBERY 1885 : 345); compare the Bashkir
personal name Arginbaj (KUSIMOVA 1982: 31), Mameluk Kipchak
Aryu (SAUVAGET 1950: 35), but also as the name of a river in
Mongolia (Argun)-, furthermore, Argun was the name of a son of
Abaqa, who was the son of Hiilagii (HAMBIS 1945: 91).

?4)

Bajdar, n,y; the name of two villages and a valley, referred to as
—ava or —ova; there is a Noghai subtribe Baydar (cf. BASKAKOV
1963: 490); as a personal name — occurs in Tatar (SATTAROV
1981: 41), perhaps of Trk. origin, but also attested in a Mongolian
genealogy; notably, ~ was the name of the 6th son of Cagatai
(HAMBIS 1 9 4 5 : 5 8 ) .

5)

Bajat, o, Bijuk— and Kucuk—; occurs in SH 239 as a clan
name, see also SHASTINA (1975: 242), who regards the Baya'ud as
a genuine Mong. tribe, and POPPE (1977: 165), who relates the
clan name Bayid to Oirats. At the same time, - is well-known as
an Oghuz clan, cf. Tur. village names Bayat in Anatolia; AKCOKRAKLI (1983: 170) gives evidence for some Oghuz tamgas
pertaining to Bayats in the Crimea.

6)

Baryn, h\ on H's map also in n; a powerful Tatar tribe in the
Crimea (cf. the note on Argin). According to a genealogy of the
Shirins from 1820, there was the following range of tribal groups
during the conquest of the Crimea: Sirin, Mansur, Barin, and
Sitiut (cf. LASKOV 1895: 124). Tribal name of Mongolian origin,
attested in SH (cf. SHASTINA 1975 : 242); in KOTWICZ'S opinion

(1949: 167), the Barins < Ba'arin are descendants of the clan
ancestor Ba'aridai.
7)

Dzelair, f , Selair, n, IDzajlar, m; Mongolian tribe name, see SH
120 and SHASTINA (1975: 243); descendants of this clan were
settled in Lithuania (cf. DZIADULEWICZ 1929: 10; 357).

8)

Dturci (H Dshurdshu) g, Kokoi-Dzurce, g, Dzjurcu-Bocala (H
Dshurdshu-Botschala), g, Oja-Diurci, m\ the etymology of this

66

Henryk Jankowski

ethnonym is uncertain, because it may reflect two quite different
ethnic groups. If we approve the k > c change before -i, arguing
that this Mongolian tribal name originates from Jiirki (which
corresponds to Mandju Jurcen, plural Juried, cf. PRITSAK 1952:
53; and to Yiirgin ~ Yiirgr, Jiirkin ~ Jiirki, cf. HAMBIS 1945:
17), we must also accept the change g- > g- in the Trk. name of
the Georgians, Giirgii > Giirgii. However, without further data,
this question must remain open.
9)

Kalmuk Kara (LASKOV 1896: 99, idem), m; Kalmukara (1927: 64,
Kalmu-Kara) (two villages); although this word is likely to be of
Trk. origin, it designates Western Oirats (cf. RAMSTEDT 1976: V).

10)

Kara-Kitaj, b; a famous tribe of Mong. origin, attested in many
Oriental and European sources; in SH 151; 198 etc. in the plural
form Qara-Qitad < Qara-Qitan ~ Qara-Qitaj.

11)

Karamerket (1927: 66 Kara Merkit), / , Ak Sakal Merket, /;
apparently a subdivision of the Merkits, a well-known Mongolian
tribe, cf. SH 62; 110 etc.; see also SHASTINA (1975: 243).

12)

Karanajman, / ; a subdivision of the Naiman. There are many
place names reflecting the latter name in the Crimea. The tribe
Naiman is mentioned in SH many times (e.g. 198); it also occurs
among Trk. peoples, for instance, as a clan name among the
Kirghiz, as a subtribe of the Noghais (cf. ABRAMZON 1962: 200;
BASKAKOV 1963: 491). The original Mong. meaning is 'eight', cf.
Kotwicz's notes on the Mong. tribe names derived from numerals;
however, Kotwicz says that we know nothing about the origin of
the Naimans (KOTWICZ 1949: 174).

13)

Keneges,/, h, k, I, m, p, q; - Cakmak, m, etc.; one of the most
frequent ethnotoponyms in the Crimea. As denomination of a
tribe, it occurs among many Trk. peoples, for example among the
Karakalpaks (V AMBER Y 1885 : 453), as a clan of the Uzbeks (W.
ZAJACZKOWSKI 1955 : 235), as a subtribe of the Nogais
(BASKAKOV 1963: 490); - was originally a Mong. tribe (SH 47);
mentioned in the form Geniges (cf. SHASTINA 1975 : 243).

14)

Kere, o, Kerej, g, Kerejit,/, - Bozuli [Boz uli], I; a tribe name of
Mong. origin, occurring in SH 57; 62 in the form Kereyit (cf.
SHASTINA 1975: 243); entered then many Trk. languages, compare
the Bashkir and Tatar personal name Keraj (KUSIMOVA 1982: 51;
SATTAROV 1981: 107). KOTWICZ (1949: 169) relates it to Mong.
keriye 'crow' whereas BESE (1981: 107) relates it to Trk. kere(j)

Mongolian Loanwords in the Crimean Toponymy

?15)

67

'razor', comparing such tool and weapon names as Balta 'axe',
Qili'c 'sword' etc.; ~ became later the name of the principal
Crimean Tatar dynasty.
Kerleut, e, p, Kirlevut, e, Kirleut, g, h, n; etymology and
correlation uncertain: -t seems to be a Mong. plural suffix. The
word might have emerged from Qarla'ut, a well-known Asian,
Turkicized tribe, mentioned in S H (see also SHASTINA 1975: 2 4 2 ) .
The palatalization of place names was typical of the Turkish area;
we have also evidences for this phonetic change in the Crimea.
However, due to the uncertainty of these transliterated data, we
cannot rely on them. For the palatalization of Turkish toponyms,
s e e SCHEINHARDT (1979: 104).

16)

Kitaj, / , h, m, q\ the name of the famous tribe living in the north
of China. Occurs in SH in the plural form Qitad; mentioned in the
Orkhon inscriptions, largely used by Trk. peoples such as the
Kazakhs, Kirghiz, Kumans, and Noghais (cf. VAMBERY 1885: 3 4 6 7; ABRAMZON 1962: 200; RASONYI 1966-1969: 113; BASKAKOV
1963 : 491); KOTWICZ (1949: 166) suspected a Mong. possessive

suffix -tay and the root *qi-.
17)

18)

Kijat, p, b, g, e, h, j, m, et al.; - Aktaci, t, - Saraj, t, - Syrce,
t; one of the most spread ethnotoponyms in the Crimea, going
back to a Mong. origin. Occurs in SH 63 as a clan name (in the
singular Kijan, SH 5 0 ; cf. SHASTINA 1975: 2 4 3 ) . As a clan name,
it is largely used by Trk. peoples. — Mamay was a commandant of
Toqtami'S khan, defeated and killed in 1381 by a Shirin leader,
Oreng Timur.
Kongrat, m, Konrat, h, k, o, n, - Pust. ('deserted'), / , g, o, —
Kirgiz, q; one of the most frequent ethnotoponyms in the Crimea.
Qoqyrat/Qongirat is a well-known Mong. tribe name (HAMBIS
1945: 3 6 ) .

2.3
1)

Place Names Reflecting Common Words of Mongolian Origin
Baragan, n, u, Buragan, H Boragan, / ; comes from Mong.
baru'an, written also barayan 'dark (colour horse)'. BAZIN (1950:
271-2) reconstructs a T'o-pa tribal name from a Chinese chronicle
as baru'an < p'uä-link-ym; this toponym exists also outside the

68

2)

3)

4)

5)

Henryk Jankowski

Crimea, e.g. in the Altai, in the form bara.n (MOLCANOVA 1 9 9 0 :
16).
Beki Jeli, m (rendering the Common Trk. initial e- as je- may be
bound to two reasons: 1. mistransliteration of Cyrillic e instead of
e, 2. diphthongization of e- to ie-\ this change has been confirmed
in some Trk. languages, for example in Kazakh, by means of experimental measurements, cf. DZUNISBEKOV 1984: 39-43.); we
know well a common Turco-Mongolian word bek ~ beki-,
KOTWICZ (1953: 358-9) provides an extensive material of many
phonetic varieties of bek(i). Attention is paid to the fact that in
many correspondences the Mong. final vowel has its parallel 0 in
Trk. languages, for example bark ~ berke. The Mong. word may
be evidenced from SH 109, where a Merkit leader was called
Toqto'a-beki, and from SH 239, where it occurred in the name of
an Oirat leader, Quduqa-beki. In both Mongolian and Turkic, ~ is
a wide-spread dignitary title, preserved until recently in many Trk.
languages; exists also in Kalmyk (RAMSTEDT 1976: 41) as beka
'strong'. Moreover, in Noghai, in the form Boki, it functions as a
clan name (BASKAKOV 1963: 490).
Bulav in Be.f —, f; occurs in the Codex Cumanicus in the form
bulov 'a kind of weapon' (GR0NBECH 1942: 68); POPPE (1962:
334) suggested Mong. origin, namely, bilayu~bulayu 'ball'. It is
difficult to say how it functioned in the Crimean toponomy. In any
case, tool and weapon names are encountered in Trk. personal
names such as Balta, Qilic, Qalqan—see also Baltacoqraq in the
Crimean toponymy (see also Kere). However, it is also possible
that ~ has been preserved in a corrupt form, say < buzav 'ox'.
1927 (p. 60) notes a place name BeS-Pilav, which I cannot identify
with anything else.
Bogatyr, t\ from Mong. ba'atur 'brave, courageous; hero', used
as a title in personal names such as Taqa-ba'atur (SH 151); occurs
in many Trk. languages, widely used in personal and place
names—compare the name of the khan Bahadur (ZAJACZKOWSKI
1966: 69) and eight inhabited places in Turkey named — (TMY
115).
Bodana, u; this is a Middle Mong. loanword in many Kipchak
languages (cf. R 6 N A - T A S 1975 : 202); to be found in C T as well
(bodene), Kalmyk bodrf (RAMSTEDT 1976: 54; v.s. notes in the
Introduction). Although I have no information about — and its

Mongolian Loanwords in the Crimean Toponymy

16)

71)

?8)

9)

69

possible relation to ethnic names, it should be observed that bird
names also occur otherwise in the CT toponymy—compare Tavuq
'hen'.
Bjulek (H Bulekk), /; this word goes back to either Trk. bolek
'piece, part' < bol- 'divide' or to Mong. beleg, occurring in
various forms in Trk. languages, cf. RASANEN (1969: 69) s. v.
balak-bolek. Exists as a personal name—compare Bashkir, Tatar
Biilak (SUPERANSKAJA 1979: 70; 131), the Polish-Lithuanian Tatar
name Bielek-Bilek (16-17th century; cf. DZIADULEWICZ 1929:
65; 189); see also the Tatar village name Biilek.
Dallicar, e\ H Ull-Dshaff-Dallitscharr, 1927: 62 renders Dauldshar ? < Mong. dalfigar, compare Kalmyk daldzug?r etc. (RAMSTEDT 1976: 14), Khalkha daljgar etc. (LUVSANDENDEV 1957:
143) 'crooked, lop-sided'; identification uncertain.
Keledte (H Keledshi), o, g, k, KeleSe (H Keletschi), o (to be
related to Kemencil); the origin of these names is quite obscure.
Possible etymologies are: 1. < *ketnen + -ci which can be found
at the Hungarian Kumans (1290), cf. RASONYI (1966-69: 112); in
Turkey it occurs in the forms Kemen, Kemenler, which should be
separated from Kemenceci (TMY 666) as well as from Rasonyi's
'violin'. The original meaning of Trk. kemen—kemin is supposed
to be 'trap'; 2. Trk. keligi 'one who comes'; 3. Mong. kele- 'to
say, to speak' > Uigh. kalamaci 'translator', compare Pecheneg
raAfiar.
Kunan, j (LASKOV 1 8 9 6 : 1 4 6 provides Kunak\ H and 1 9 2 7 : 7 0 ,
Kunan); if not a mistake instead of Kuman, this word is of Mong.
descent, 'two-to-three year old foal'; occurs in CT until recently
in the form qunan.

3. Conclusion
The largest group of Mongolian words in the toponymy of the Crimea
comprises clan and tribe names. Of eighteen words, fourteen are qualified as
certain. The remaining items are of uncertain or highly hypothetic origin.
The second group consists of nine words that are semantically heterogeneous. Among them, there are honorific titles, epithets (Beki Jeli, Bogatyr,
Wallicar), one colour term (Boragan), two animal names (Bodana, Kunan),

Henryk Jankowski

70

one weapon name (Bulav), and two uncertainly identified nouns (IBiilek,
IKelege).
A third group contains personal names and consists of three items, but it
has been left out of this survey.
The analysis given above includes about two thirds of the whole corpus
which was collected on the basis of MuxiN's map.
As far as the structure of the loanwords is concerned, a peculiarity is that
those words already suffixed in Mongolian preserve the suffixes in the Turkic
languages, for example -gin, -(u)t. If the identification of the word kelege is
correct, it might contain the only Turkic suffix in this corpus. In Kalm.uk Kara,
Kara-Kitaj, Karamerket, and Kara Najman the constituent Kara, although in
the Turkic form, is a common Turco-Mongolian adjective 'black; north'.
To conclude with, it must be repeated that any final conclusion can be
drawn only on completion of this study.

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73

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74

HpaHCKHe

3JieMeHTbi

B 6amKHpcKOM

x 3 U K e

F i r d a u s G . XISAMITDINOVA, Ö f ö

C r j i y Ô O K O H flpeBHOCTH E a i U K H p H f l 6 m i a 30H0H KOHTaKTOB pa3JIHMHbIX
n j i e M e H H Hap0,n,0B, HTO H e M o r j i o H e O T p a 3 H T b c a Ha H3buce
XHTejieñ BauiKopTOCTaHa —
a3biKe H e r o

flnajieKTax,

KopeHHbix

ó a n u c n p . HMCHHO n o s T O M y B ô a n i K H p c K O M

Hapa^y

c s j i e M e H T a M H p a 3 j i H H H b i x TIOPKCKHX

Ä3MKOB, 4)HKCHpyiOTCH H p a H C K H e , (J)HHHO-yrOpCKHe H FLAXE CaMOflHHCKHe
sjieMeHTbi.1
B flaHHOH C T a T b e p e n b n o i i f l e T TOJibKo 0 6 n p a H C K H X 9 j i e M e H T a x , n p H M e M
TOJIbKO

B OFLHOH H3 TeMaTHHeCKHX

rpynn

ÖaiUKHpCKOH

JieKCHKH

—

fleMOHOJIOrHMeCKOH.
B

6aiuKHpoBe,neHHH ^aHHaa

PY^eHKO
BaTejieö,2

H pafla
ocraeTca

jipyrnx,

TeMa,

e a r n H e CHHTaTb 3 a M e T O K

B OCHOBHOM

HeHCCJieflOBaHHOH.

flopeBOjnoijHOHHbix,
Meatfly

TeM

HMCHHO

C. H.

nccjieflo¿jeMOHO-

j i o r H H e c K a a j i e x c n i c a , H B j i a a c b pe3yjn>TaTOM M H o r o B e x o B b i x H a c j i o e H H H ,
M O X C T nOMOHb B p e i l i e H H H BOnpOCOB HCTOpHHeCKOH JieKCHKOJIOrHH, KOHTaKTOJIOrHH,
flpyrnx

HCTOpHH,

HCTOpHH K y j I b T y p b l HE TOJIbKO Ô a i I I K H p ,

K T e p M H H a M ÔaïUKHpCKOH

fleMOHOJIOrHH,

K O T O p b i e HMeiOT H p a H C K O e

n p O H C x o x f l e H H e , OTHOCATCH c j i e f l y r o m n e HA3BAHH»: aoxdaha,
en,

HO H

HapoflOB Y p a j i o - I l o B O j i x c b a .

ôanaïc,

deùey,

nspeü.

AIKßAHA

' f l p a K O H ' . TepMHH ancdaha

ô a u i K H p c K H X A H a j i e K T a x : axcdaha

übiaan,

HMeeT pa3jiHHHbie BapnaHTbi B
aada,

aotcda,

a3Òaha,

a3ÒaùbiaaH,

Kneic6aeB, JK.F.: Xsqepee ßaiuxopm mejienaj Aaccwcahbi hsM $po3eoAoeusihbi, Y<J>a 1966, 114116; TapHnoBa, H.fl., TapHnoB, T. M.: "3aMeTKH 06 HpaHCKHx aneMeHTax B TOITOHHMHK6
BamKHpHH". — TonoHUMwa Bocmaca: Hoeueucc/iedoeanux, MocKBa 1964, 185-189; Rásonyi, L.:
"Ba§kort ve macar yurtlarindaki ortak geografik adiar üzerine", X. Türk Dil Kurultayinda Okunan
Bilimsel Bildiriler, Ankara 1964, 105-112; HeMer, K>.<1>.: "BeHrepcxiie njieMeHHbie HasBamui y
óauncnp". —ApxeoAoeux u snwoepatfust Batumpuu [ABB], Y4>a 1971, T. 4, 249-262; HiuöyjiaTOB,
H. X.: "JleKCHiecKHe CB«3H ßaiUKHpcKOro »3biKa H ero .nnajieicTOB c (J)HHHO-yropcKHMH
JÍ3HIKAMN". — Bonpocbi (ßuHHö-yzopacott jubacamamix, Bun. IV, HxeBCK 1967; BacmibeB, B.M.,
IÜHTOBa, C. H. : "Earnicupo -caMoji H HCK He B3AHMOCB»3H ". — Bonpoai smumeacou ucmopuu KOKHOÍO
Ypajta, y<i>a 1982, 18-40; XncaMHTHHHOBa, <L>.R.: "YropcKaa cyÖcrpaTHaa TOITOHHMHJI Ha -ui/-c
B BauiKHpHH. — IIpoÓ/ieMbi dpesHux yaopoe Ha KXXCHOM Ypane, Y4>A 1988, 102-111.
1

PyAeHKO, C.H.: Eaiwatpbi. HcmopuKO-amHoepafinecKue otepw, MocKBa 1955,314-127; lOjiyeB,
BT.: "AxAaha — 3Meñ B paccicaaax ßauncHp". — dttinoepaifwecKoe oómpenue, CII6, N® 2, 246.

2

76

Firdaus G. Xisamitdinova

accòste,
3Mcdm>uiaH? I l o npeflCTaBJiemiJïM 6 a i i i K n p , axcdaha
—
3T0 MH(J)HH6CKHH HCnOJIHHCKHH 3MeÜ, 3KHByiII,HH B 0 3 e p a X , rOpHblX paCmejiHHax. AMcdaha MOXCT npHHHMaTb O6JIHK ô t i x a , c o ö a i o i . EaniKHpbi
ROBOPHT: "Aofcdaha mepne
cypamio
icepa, agam/iamm
mep/iSHha,
6onom
¡cymspen aAbin Kuma". ( A a c ^ a h a npHHHMaeT pa3Hbie OÔJIHKH. H , K o r ^ a
a x f l a h a H a n i m a e T nopTHTbC« h MeHHTb CBOH OÔJIHK, TyMH y H o c a T e r o . )
P a 3 p y m n T e j i L H b i e y p a r a H b i , 6 y p n d a m K H p b i O6t>JICHJIIOT HMCHHO STHM h

Ha3biBaiOT Hx axcdaha

Kymspeny

'no^HHTHe a a m a x H ' .

AjKdaha
innpoKO B o m e j i
B pa3jiHHHbie acaHpbi
öaniKHpcKoro
(JjojibKjiopa. B CKa3Kax, a n o c a x BCTpenaiOTca T p e x r j i a B b i e , m e c r a r j i a B b i e ,
jieBaTHrjiaBbie, ^ a x e T b i c a n e r j i a B b i e aotcdaha.
0 6 p a 3 H TEPMHH aMcdaha

BCTPENAIOTCA B FLCMOHOJIORIM MHOI-HX HAPO^OB

Y p a j i o - I I o B O j i x b a , C p e ^ H e ñ A3HH H K a 3 a x c r a H a . 4 I I p o H c x o x n e H n e TepMHHa aMcdaha, n o BH^HMOMy, CBioaHo c iipaHCKHM 3Mcdaha 'flpaKOH',
KOTOpblH, B CBOK) OHepeflb, BOCXOflHT K HMÊHH aBCCTHHCKOrO fleMOHa A x H J J a x a i c a . 5 C j i e ^ y e T ^oöaBHTb TOjibKO TO, HTO B AMcu-JJaxaica n e p B a a HacTb
Ü3KU B 0 3 M 0 X H 0 C B i m H a c HpaHCKHM adgar ' y x a c , CTpax, 6 e f l a ' , a B T o p o ö
3JIEMEHT daxatca

HMEET OTHOMEHNE K CAHCKPHTCKOMY daqa

'AEMOHHNECKOE

cymecTBo'.6
B A I I A T C — 3 T 0 MH(J)HMecK06 c y m e c T B o , KOTopwM nyTaioT ^ e T e f i .
BflHajieKTax 3a(J>HKCnpoBaHa (J)opMa óanaù.1 CHHOHHM3MH TepMHHa 6anaic
aBjiaiOTca 7canax, Ta>m-TO>m, 6cnam, xoxc, ceüeyq, Msmyea,
ówuMbiübrK.
I l o npeflCTaBJieHHJiM ô a u i K H p , Óanaic — STO CTpamHjinm;e c ö o j i b i n u M
pTOM. OH JIK>6HT HOMBIO 3arji«flbiBaTb B oKHa H B OTcyrcTBue B3pocjibix
yHOCHTb fleTen. ¿ J o CHX n o p B 6aiuKHpcKHX jjepeBHJix n y r a i o T ¿JETEN STHM
cyin,ecTBOM. B IOJKHOM « n a j i e K T e S a u i K H p c K o r o »3biKa CJIOBOM óanax Ha3MB3IOT Bee c T p a i u H o e , HeicpacHBoe, 6 e 3 o 6 p a 3 H o e , flaace HeH3BecrHbix

Eauncopm hewiauimspeHeH, hyyieie [Bhh] B 3X TT., T. I, y<I>a 1967, 15; T. 2, y<I>a 1970, 19,
320; T. 3, 16.

3

CHecapeB, I\IL: Pejuixmbi doMycy/ibMmcKux eepoeanuü u oôpstdoe y ysóacoe XopesMa, Mocraa
1969, 30-32; AXMCTMHOB, P. T.: Oôiupst naccwca dyxoenoü Ky/u¡mypbi uapodoe Cpedneio Tloeo/iMOist,

4

MocKBa 1981, 14.

CHecapeB, R . I L : " K HcropHH HeKOTopwx x a T e r o p a ñ TCOHHMOB y Hapo^OB Cpe^Heñ A3HH H
Ka3axcTaHa". — OnoMacmuna Cpedueü Asm, <I>pyH3e 1980, 275-276.
5

A6aeB, B. H.: McmopuKo-smuMOAoeuHeaam CAoeapb ocenumcicoio sabtKa, MocxBa-JleHHHrpafl
1958, 96;flpeeHemtopKCKUÜCAoeapb, Jlemuirpaa 1969, 158.

6

7

BhhT. 3, 32.

MpaHCKue 3jieMeHmbi e 6awmpCK0M sabace

HaceKOMiix.8

Sananmay

C J I O B O M 6anarK

Co

Sanaic

'nyraTb',

6 a n a x \ 6anaic

KUAS ' H ^ C T

BCTPENAIOTCA

Keyex

6anax'

'CJIOBHO
H

77

CJIEFLYJOMNE

6anax',

BBIPAXEHH«:

tianaic

aiuau

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T.^.

B c j i O B a p a x TJOPKCKHX JKMKOB TepMHH 6anatc

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l O f l a x H H a O T M e n a e T c a n a p H o e C J I O B O 6anatc-canaK
B a n i K H p c K o e HaHMCHOBaHHe 6anaic

B

3HaneHHH 'rpji3HbiH'.9

n o CBoeMy 4 > 0 H e T H H e c K 0 M y

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H T . JJ. B

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Taxoro

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cp.:

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FLNAJIEXTAX
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suiMaybiq.
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o6paacaeTca

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( c r p a n i H O r p o M a f l H b i i i , OTBpaTHTejifcHbiH 3Bepi>).

I I I e p c T b y flHBa pbix.au, y u i H
MajieHbXHe r j i a 3 a .

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fljmHHbie,

M e a m y y i u a M — e j i e 3aMeTHbie

H e 6 e p e T HH C T p e j i a , HH T o n o p .

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flHBa

HaxoflHTCH H a c r o n e , n o a T O M y y 6 H T b e r o MOXHO T o j i b x o nonaB B 3TO
y«3BHMoe M e c r o . B a n o c e " Y p a j i - 6 a T b i p " y deuey

e c T b J I H H H O C H M S d3pdK9.

d3p9K9 o n a j i a e T 3 e M J i i o o r a e M , 3 a j i H B a e T BOJIOH, n o a c H p a e T jno,neH. Y p a j i 6aTbip y0HBaeT A 3 p a x y , H Tejio e r o craHOBHTca B b i c o x o i i r o p o i i :

d3p3K9 ihHheq
uM3nec gyp

'

ubiebiaeaH
toy&he

hbiygbi ypmanau

6ynzm

xaAbncKa

uepepzs

Menen

Bhh T. 2, 39.

9

KupancKO-pycaaw c/ioeapb, K.K. lO^axHH, MocxBa 1965, 107.

10

CHecapeB, yxa3. COM., 277.

11

Bhh T. 2, 499, 195; T. 3, 37, 48.

12

Bamxopm xtuibnc uoKadbi [EXH]. 9noc, 2-ce

KHTan,

Y4>a 1973, 68.

Firdaus G. Xisamitdinova

78
Ú3üp3n XdJi übwbipea
qyp 6ep

HMÜH

may

6yneaHn

T o p y ^ M a H T a y ( h , o c j i . : n p o x a a , 3 j i a a , c r p a u m a j i r o p a ) , c o r j i a r a o JiereHfle B 0 3 H H K i i i y i 0 H3 T e j í a flHBa A 3 p a K H , 6 a u i K H p b i RO c h x n o p c r a p a i O T c a
060ÍÍTH CTOpOHOÍÍ.
T e p M H H deüey,

T a x x e K a x h A 3 p a x a , Ha óaiiiKHpcKOM h 3 l i k o b o m MaTe-

pHajie He o 6 t a c H » e T C « .
l i o M H e m n o r . I l CHecapeBa, a h b w npoHCxojyrr o t ruieMeHHbix 6 o x e c r B e m e
HHflo-HpaHCKoñ o S i u h o c t h , a TepMHH due/dee
daiva

' 6 o r ' . 1 4 O f l H a K O , ecjiH y i e c r b ,

hto

C B í m H c HHfloeBponeñcKHM
b KbinnaKCKHx s3biKax

ecn>
foyldaeldeelmayldee
b 3HaMeHHíix ' ó o j i t m o ü ' , 'BejiHKaH', ' r p o M a ^ H b l H ' , B03M02KH0 HHOe 0 6 t a C H e H H e npOHCXOXfleHHfl SaiHKHpCKOrO CJIOBa
deüey.
T e M S o j i e e , h t o b " C j i o b c o n o j i K y H r o p e B e " a h b BbiCTynaeT
BpaxfleÓHOH pyccKOMy Hapojjy B e m e ñ i m m e ñ , x o T o p a a n p e f l y n p e x f l a e T
nojioBi^eB-KbinHaKOB o n o x o ^ e H r o p a : " . . . J J h b 3 a 6 n j i c j i , H a B e p u i H H e
flepeBa
k j i h h c t — b c j i h t n o c j i y m a T b 3eMjie He3HaeMoíí, B o j i r e , h I I o M o p b i o , h C y p o a c y , h K o p c y H i o , h T e 6 e TMyTapaKaHCKHH H f l o j m m e . " 1 5
cjiobo

EH

'axhh'.

3TO 3bjioá

nejioBeKy. B óauiKHpcKHX

flyx,

icoTopbiH npw B c r p e n e B c e r ^ a

flHajieKTax

' c y M a c n i e ^ i i i H H ' , üeHHeü ' B c n b i J i b H H B b m ' , úenHaney
' n a p a j i H 3 0 B a T b ' , üendmey

hyabiMdH

' c x o f l H T b c y M a ' , úen hyicmn

'npHKOCHyjica j x h h ' ,

BpeflHT

3 a $ H K C H p O B a H b i (fcopMbi: MCUH,

úen íceyac

suiAdú

' Ó p e f l H T b ' , úen

umne
hysbiy

' y f l a p H j i a x h h ' , úen

'pa6oTaeT SbiCTpo, n p o -

b o p h o ' H T . f l . 1 6 l i o npeflCTaBjieHHHM 6 a n i K n p , en O6WHHO B c r p e n a e T c a B
MejiOBenecKOM o S j i H i c e B ó e j i o M o,n;ejiHHH. O H m o x c t npHHHTb b h ^ x o p o r n o
3H3KOMOrO H e j I O B e K a , XHBOTHblX, HaCTO KOIUKH, r a f l l O K H . n p o BCTpeHH en
MOJIHHT H 6bICTpO npOXOflHT. IlOCJie BCTpeHH C HHM HejIOBeK OÓbIHHO 3 a 6ojieBaeT.

Ocoóem«)

en o n a c e H BO B p e M » 3 a x o f l a c o j i H u a , H a

3axaTe.

O n a c e H en ^ j i a M J i a ^ e H u e B B B 0 3 p a c r e j j o 4 0 « H e ñ , H6O OH n o f l M e H J i e T HX.
CJIOBO eti, b h j j h m o , CBH3aHO C n e p c K f l C K H M CJIOBOM ú3h ' f l y u i a ' .

13

EaiuKupciam napodubú snoc, Mocraa 1977, 132.

"

CHecapeB, yxa3. c o i . , 276.

15

Oioeo o no/ucy Hiopeee, MocKBa 1967, 39.

16

EMIT. 1, 66, 86; t . 2, 89; T. 3, 71.

79

MpaHCKue 3/ieMmmbi e ßaiuKupcicoM sobvce

I I 9 P E H ' n e p n ' . B 6auiKnpcKnx roBopax BCTpenaiOTca BapnaHTbi 6upe,
6spe, MOC6AMQH napeue, 6apeû.xl I l o npeflcraBJieHHiiM ôaniKHp, napeû — STO
cymecTBO x e H C K o r o nojia. B c T p e n a a c t
c HHM

KOHTaxr: noMoraeT

B

HJIH

JJETH OÔBIHHO y H H X H C K P A C H B B I ,

Ha HejiOBenecKHx

fleTeö.

C

nejiOBeKOM, napeü

BpeflHT eMy.

Y

OÖHHHO

BXO^HT

napeû ecT ceMba, fleTH.

NOSTOMY OHH H CTAPAIOTCA

NOMEHATB

BOJILHOTO, c j i a ö o y M H o r o peöeHKa

Ha3biBaiOT aAMauimbipbineaH 6ana 'peöeHOK, KOToporo

HX

öaiiiKHpbi

ÜOMCHHJIH',

CHHTAA

ero peöeHKOM n e p a .
B (fcojibKJiope c n e p n CB»3biBaeTca n p o H C x o x f l e H H e OTflejibHbix 6amKHpCKHX pOflOB. CorjiaCHO npe^aHHHM, npeflKH OTßejILHblX ÖaiHKHpCKHX
pOflOB B3SJIH B X e H b l nepH, nOSTOMy HX Ha3bIBHK>T ßupe 3ambl 'nOTOMKH
nepa'

HJIH

'H3

pofla n e p n ' . 1 8

TaKHM 06pa30M, nspeü y ôaniKHp HMeeT flBOHCTBeHHbiñ o6pa3. Kaie y x e
OTMenajiocb, OH He TOJibKO BpeflHT, HO H n o M o r a e T nejiOBeicy,
BCTynaeT

C

3JIO6HMH

aBecTHHCKHH

HHM

B

öpaHHtie

OTHOUICHH».

FLEMOH

pajrika

B

CBH3H

HBHJICH

C

STHM,

flaxe

BH^HMO,

HE

npao6pa30M ö a m K H p c K o r o

napeü, a TaflXHKO-nepcHflCKHH jieTaiomHH j i y x x e H C K o r o n o j i a —

pari.19

EauiKHpbi ceßepHbix paHOHOB coxpaHHjiH jiHHHbie HMeHa nepn. 3TO —
K e T M e p , M9KC3JIMHH9, B a p H y m , JJeôepHYiii, K a n m a T a H T y i n , HeMjiHxa. 20
Kaie

H

caM TepMHH napeú,

BbiiiienepeHHCJieHHbie Ha3BaHH«

TiopKCKoe n p o H c x o x A C H H e .
TO

KeTMep, HsMjiHxa

H

AP-

ECJIH

HMCIOT

He

TepMHH napeü CB«3aH c HpaHCKHM parí,

HMCIOT

apaöcKoe npoHcxoatfleHHe. 2 1

HTaK, paCCMOTpeHHe HpaHCKHX 3JieMeHTOB B fleMOHOJIOTHH ôaniKHp
n03B0JiaeT c^ejiaTb cjieflyromne
B

C

BLIBO^H

:

aeMOHOJIOrHH ÖaiHKHp ÓOJIblUOe MeCTO 33HHMaiOT o6pa3bI

FLEMOHHHECKHMH

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A3HH

OÔMNE

H KA3AXCTAHA H

BOC-

x o f l a m n e K o6pa3aM npaHCKoro naHfleMOHHyMa;
TepMHHOJIOrHÄ, CBJI3aHHafl C flaHHbIMH o6pa3aMH, B OCHOBHOM HMeeT
HpaHCKoe n p o H c x o x f l e H H e ;
— oflHaKO, B OT^ejibHbix perHOHax EauiKHpHH, H a p a j j y c npaHCKHMH
n o

NPOHCXOXFLEHHK)

TEPMHHAMH,

BCTPENAETCA

17

Ehh T. 1, 59; T. 2, 49, 63, 195; T. 3, 37, 48.

18

EXM. Puyabmnvp, nezeudanap, Y<J)a 1980, 81-82.

B

NPOH3BEFLEHH«X

"
CHecapeB, yKa3. coi., 272-278; CyxapeBa, O.A.: "IlepexHTXH «eMOHOjioraH h inainaHCTBa
y paBHHHHbixTaAXRKOB".—JjoMycyjibMdHCKue eepoeanun u oßpxdbi Cpedneü A3uu, Mocxßa 1975,45.
20

nojieBhie 3anHCH aBTopa 1988 r. B KapatmentcKOM paöoHe EauiKopTocraHa.

21

KycHMOBa, T.X.: HceMdsp demuhbrnda. B Mupe UMen, Y(i>a 1991, 123.

80

Firdaus G.

Xisamitdinova

öauiKupcKoro TpaflHu,HOHHoro (frojibiuiopa, coBceM He OTMenaeTca B
coBpeMeHHOM (JjojibKJiope. OMeBHflHO, OH npoHHK K ôaniKHpaM Hepe3
BOCTOHHbie CK33KH, jiereHflbi, T. e. «BJiaeTCH pe3yjibTaTOM KyjibTypHoro
B3aHMOBJIHflHH£ ;

— ocTajibHbie BbimepaccMOTpeHHwe o6pa3bi H TepMHHbi xopomo
r p y n n öaiiiKHp, HTO
CBH^eTejibCTByeT o HajiHHHH B 3THoreHe3e öauiKup npeBHeHiimx iipaHCKHx,

y c B o e H b i H npoHHO y i c o p e H H j r a c b ô y K B a j i b H O y B c e x
TOHHee BOCTOHHO-HpaHCKHX 3JICMCHTOB.

Die kirgisische Literatursprache und ihre Beziehungen mit
dem Tatarischen
Edhem R.

TENISEV,

Moskva

Hier soll nicht von der gegenwärtigen Literatursprache der Kirgisen die
Rede sein, sondern von ihrer nicht zu fernen Vergangenheit. Gelegentlich wird
ja die Meinung vertreten, daß die Kirgisen in der Vergangenheit weder eine
Literatursprache noch eine Schriftsprache hatten, oder mit anderen Worten, daß
die kirgisische Literatursprache keine Geschichte hätte. Demgegenüber erkennt
eine kleine Anzahl von Spezialisten für das Kirgisische die Existenz eines
älteren kirgisischen Schrifttums an, erbringt allerdings nicht genügend Beweise
für diese Annahme, sodaß die These über ein kirgisisches Schrifttum und eine
Literatursprache in der Luft schweben bleibt.
Nun sind im zentralen Tienäan, in der Issyk-Kul-Region und in Fergana
eine große Anzahl alter Drucke sowie Handschriften aus dem 15./16.-17.
Jahrhundert und aus dem 19./20. Jahrhundert in arabischer und persischer und
in türkischen Sprachen gefunden worden. Diese Funde sprechen dafür, daß es
in Kirgisien eine alte Handschrifttradition gab, die durch die bei den Kirgisen
an der Wende vom 19. auf das 20. Jahrhundert Aufschwung nehmende Schulbildung unterstützt und weiterentwickelt wurde. Auch die Kirgisen haben also
die Notwendigkeit einer eigenen Literatursprache schon vor einer längeren Zeit
erkannt.
Von der Mitte des 18. bis zum Ende des 19. Jahrhunderts sind handgeschriebene Werke (von Moldo Nijaz und Belek Soltonojev) sowie Dokumente
und Briefe von Kirgisen erhalten. Zu Anfang des 20. Jahrhunderts wurden in
Kasan und Ufa die Bücher der kirgisischen Autoren Moldo Kylyc, Samirkanov
und Osmanali Sydykov herausgegeben. Alle diese Ausgaben sind für Sprachund Literaturwissenschaftler ebenso wie für Historiker von großer Bedeutung.
Die Sprache dieser kirgisischen Werke gehört zu den Sprachen des literarischen Typs. Wie es den charakteristischen Zügen solcher Sprachen entspricht,
ist sie in hohem Maße bearbeitet (verfügt über bildliche Mittel ...), supradialektal (kombiniert die Züge verschiedener Sprachen bzw. Dialekte) und verfügt
als schriftsprachliche Tradition über ein gewisses Prestige. Gleichzeitig fehlt in
diesem Stadium eine als einzige verbindliche Literaturnorm; dies ist typisch für
Literatursprachen der vornationalen Periode. Man kann in diesem Zusammenhang eine Reihe von Regionalvarianten der frühen kirgisischen Literatursprache
unterscheiden: 1) auf der Basis der cagataischen Sprache; 2) auf der Basis der

82

EdhemR. TeniSev

altkasachischen Literatursprache und 3) auf der Basis der alttatarischen Literatursprache.
Die Quellen zur altkirgisischen Sprache sind bis jetzt nur wenig bekannt.
Darum richten wir unsere Aufmerksamkeit auf eine Gruppe von Werken, die
auf der Basis der alttatarischen Literatursprache gebildet wurden. Die Rede ist
von zwei in Ufa herausgegebenen Werken von Osmanali Sydykov: Muxtasar
tarixi kirgizija (Kurze Geschichte der Kirgisen), 1913, und Tarix Kirgiz
Sabdanija (Die kirgisische Geschichte von Sabdan), 1914 (1915?).
Ein paar Worte über den Autor. Die ausführlichsten Angaben bekommen
wir von Arslan Kojciev.1 Osmanali Sydykov wurde im Jahre 1875 im Abajildagebiet im Tal Kockor in einer angesehenen Familie aus dem Stamm der Sarbagyä geboren. Zuerst lernte er bei örtlichen Mullas, später in Uc-Turfan. Er
begann sich für die Geschichte der Kirgisen zu interessieren, hatte aber keine
spezielle Literatur auf diesem Gebiet zur Verfügung. Darum beschloß er, sich
selbst an die Arbeit zu machen. Als Quellen zog Osmanali Genealogien der
Kirgisen heran. Um solche zu finden, bereiste er das Gebiet Ala Too und
verbrachte im Jahre 1901 acht Monate im KaSgarischen Gebiet. Ein Erforscher
des Schaffens von Osmanali Sydykov, Anvar Bajtur, glaubt, daß Osmanali sein
erstes Buch 1901 zu schreiben begann und das zweite Buch 1914 in Ufa vollendete. Nach dem kirgisischen Aufstand von 1916 verliert sich die Spur von
Osmanali vorübergehend. Im Jahre 1916 wurde er zusammen mit einem der
Führer des Aufstandes, Karipbaj Karaxan uulu, zum Tode verurteilt; nichtsdestoweniger ist er 1917 als Lehrer der tatarischen Sprache in Piäpek tätig. Im
Jahre 1919 arbeitet er in der 2. türkischen Schule des Verbandes "KoScu", im
Jahre 1925 an der Schule No. 6. — Im Jahre 1930 floh Osmanali vor der
Verfolgung nach China, wo er 1940 verstarb.
Bezüglich der Sprache von Osmanali Sydykovs Werken gibt es verschiedene
Auffassungen: es ist die Meinung vertreten worden, daß sie cagataisch2, kasachisch3, kirgisisch4 (in der cagataisch-kirgisischen Schriftsprache) oder auch
rein kirgisisch (nukura) s geschrieben seien. Osmanali Sydykov selbst behauptet, daß er in rein (nagyz) 6 kirgisischer Sprache schreibe.
1

Arslan Kojciev, "Osmanali Sydyk uulu", Kirgizstan Madanijaty no. 5 (1255), 14.02.1991, 5.

2

A. Altmyäbaev, Oktjabr' i razvitie obScestvennogo soznanija kirgizskogo naroda, Frunze, 1980,
63-66.
3

A. Karimullin, Knigi i ljudi, Kazan, 1985, 190-196; lstorija Ufy, 1985, 193-196.

4

A. Bajtur, Osmanali Sydyk, Muxtasar tarixi kirgizija, Ürümöü, 1986, 17b.

5

K. Karasaev, "Muxtasar tarixi kirgizja jana anyij tüzüücüsü", Ala Too (Frunze) no. 3, 1989.

6

A. Kojiiev, op. cit., 5.

Die kirgisische Literatursprache und ihre Beziehungen mit dem Tatarischen

83

A. Kojciev erinnert daran, daß man den Einfluß der nationalen Sprache des
Erscheinungsortes und eventuelle Forderungen der Leitung der Druckerei in
Betracht ziehen muß. 7 Zu unterstreichen ist ferner, daß Osmanali Sydykov
einförmige syntaktische Konstruktionen zu gebrauchen pflegte und damit einen
monotonen Rhythmus der Erzählung schuf; die Auswahl an morphologischen
Mitteln ist somit gering und bietet für den Erforscher wenig Anhaltspunkte.
Die Sprache von Osmanali Sydykovs zweitem Buch, "Die kirgisische Geschichte von Sabdan", ist, als eine typische Literatursprache, überregional und
traditionell. Das betrifft die Morphologie und teilweise auch Schreibweise und
Phonetik.
Die Elemente aus dem Cagataischen sind leicht zu sehen: das nasale t] wird
als ng geschrieben: tärih bilmegen song (324) 'wegen Unkenntnis der Geschichte'; cong bayiS derler (212) 'man nennt [...] Cot] bayiS'; balalaringiz
(329.10)
'eure Kinder'; zämämngiz
(3210) 'eure Zeit'; ming (3337) 'tausend'; atalarmng
ismi (3016) 'die Namen der Väter'.
An dem Text zeigt sich die Tradition, Affixe vom Stamm und untereinander
getrennt zu schreiben:8 halq-la.r-d.in hä-ller-in bilür qa-jsi (212) 'wer kennt die
Lage der Völker?'; tcfrih-ning fä°ide-si (2010) 'der Nutzen [von Kenntnissen in]
der Geschichte'; bätir-lik-lar-i
(441S) 'ihr (pl.) Heldenmut';
mehnet-ler-ni
müjünya ähp (2010) 'die Mühseligkeiten auf sich genommen'; iqbäl
davlet-lerin acsün (20^) '[Allah] öffne ihnen [die Pforte zur] Wohlfahrt'. Die Anfänge
dieses Phänomens der türkischen Orthographie lassen sich bis auf die karachanidisch-ujgurische und die altujgurische Literatursprache zurückverfolgen.
Weitere auf das Cagataische verweisende Merkmale finden sich im Bereich
der Phonetik. Am Wortanfang gibt es j: jir jüzinde (22i2) 'auf [dem Gesicht]
der Erde'; jalyuz bu ädemdir (3910) 'dieser Mann allein'. — y in der Mitte des
Wortes (intervokalisch oder auch in Umgebung von anderen Konsonanten) ist
erhalten: jäfet öyü-llar-i (24^ 'die Kinder Japhets'; äyiz-lar-ina
(295^) 'ihren
Mündern'; öyrü qärmäp (202O) 'einen Dieb gefangen'; bäS äyrüsi(3214) 'Kopfschmerzen'. Auch am Ende des Stammes bzw. Wortes ist y möglich: tiänSan
tä-ylar—inda
(2012) 'in den Bergen des Tienschan'; ülüy öyh (257.8) 'sein
älterer Sohn'; ön ürüy (30,) 'zehn Familien'. Es gibt aber auch ein Beispiel für
den Übergang y > w.säwiq jaj bolsa (297) 'wenn es eine kalte Stelle gibt'.
Nun einige Beispiele aus der Morphologie. Eine der verwendeten Arten von
c
Ablativ wird mit dem Affix -dinl-din gebildet: bu ädemdin nehv-sarf
ilim
öqüla bäMädi(4714.15)
'man begann, sich von diesem Mann mit der Grammatik
7

Idem, 5.

*

Die Segmentierung des Schriftbildes ist hier mit - wiedergegeben.

84

Edhem R. TeniSev

vertraut machen [zu lassen]'; kice kündiiz atdin tUSmej (4014) 'Tag und Nacht,
ohne vom Pferd abzusitzen'; ändin özätqänlar (415) 'die [•••] von dort weggeleiteten'; mündin ewel (46,) 'früher als das'.
Relative Adjektive haben das Affix -lü/-lü: bahtlü ödem (772) 'der glückliche Mann'.
Es gibt zwei Formen des Aorist im Indikativ:
a) für die andauernde Handlung: üqücilarya macr-ifet hä-sil qilädur (206.7) 'er
bringt den Schülern etwas bei'; toq-maq-din Semäl tarqfnän ötedür (3312) '[...]
passiert Tokmak nördlich'.
b) für die übliche oder sich wiederholende Handlung: dästän qilip bejän qilür
(226) '[...] erzählt [...] als dästän'; tär-ih öqüyän bilür (223) 'wer die Geschichte studiert, weiß'.
Der Imperativ wird in der dritten Person mit dem Affix -sün gebildet:
Alläh-i Tcfälä töyrü jölini körsetip iqbäl dawlet-ler-in
acsün (205) 'Allah —
erhaben ist Er — möge ihm den rechten Weg zeigen und [ihm] die [Pforte zur]
Wohlfahrt eröffnen'; söngeyu jädeger qälsün (204) 'es sei das letzte Andenken'.
Der Optativ wird auf -ajin (1. sg.) bzw. -ajiq (1. pl.) gebildet: aning nisiin
(2219.2O) 'was davon habe ich zu sagen?'; qä-lmä-jiq (22M) 'wir wollen
nicht bleiben'.
äjtäjin

Das Adverbialpartizip wird in der Form auf -Up gebraucht: hizmet itüp (393)
'den Dienst versehend'.
An lexikalischen Phänomenen, die unsere Aufmerksamkeit verdienen, sind
die Postposition üzre und das Verb ol- 'sein, werden' zu erwähnen.
Man kann in Osmanali Sydykovs erwähntem Werk auch einige rein tatarische Elemente und Erscheinungen ausfindig machen.
c

Im Anlaut von aus dem Arabischen entlehnten Wörtern erscheint y (anstatt
körüp (4118.19) 'Ehre und Achtung erfahrend'.

ajn): yizzet-hürmet

Im Anlaut einer Reihe von Wörtern finden wir j, wie es für das Tatarische
üblich ist: bu kitäbni jäzdiq (206) 'wir schrieben dieses Buch'; ön biS jil (20s)
'fünfzehn Jahre'; sunung jäninda (406) 'am Wasser'; jäziysiz (427) 'sündenlos';
qiztt jäwliq (8115) 'ein rotes Tuch'. — Dasselbe kann man auch in Fällen von
Anlaut /sagen: jöyältip jiberdim (2816) 'ich verlor [...]'.
Im Auslaut finden wir den Sonor w: täw tübänen ketken (326) 'vom Fuß des
Berges weggegangen'; ödem äldäw (326) 'der Betrug an Menschen'; biSew
(36 n ) 'alle f ü n f .

Die kirgisische Literatursprache und ihre Beziehungen mit dem Tatarischen

85

Der Akkusativ wird mit dem A f f i x -nil-ni gebildet: fäni dunjä-ni täSläp
(18) 'die vergängliche Welt hinwerfend'; baSqa hahq-nibilü kerek (22,.^ 'man
muß das andere Volk kennen'. Im Falle des Possessivaffixes der dritten Person
allerdings ergibt sich im Akkusativ -in/-in: biSew tohän-lar-in tämp aldi
(849_10) 'er hat seine fünf Verwandten gefunden'.
Das Verbalnomen der Vergangenheit wird mit dem A f f i x -qän/-ken, das
Verbalnomen der Zukunft mit dem A f f i x -a/-e + turyan gebildet: ötken halqlar (2O2) 'die Völker, die in der Vergangenheit gelebt hatten'; bü dä ätäsibärä
turyan jirde qadem qöjdi (2515.16) 'und dieser setzte den Schritt dahin, wo sein
Vater zu gehen pflegte'.
Es ist auch möglich, eine Reihe von typischen Elementen der kirgisischen
Sprache in dem Text auszumachen.
Für das Kirgisische ist die stimmhafte Affrikata j im Anlaut charakteristisch: häziryu jürt bä-Shqlar-ina-ce

tärtip jetkür-dim

(20 1 5 ) ' i c h b r a c h t e [ . . . ]

bis an die jetzigen Führer des Landes heran'; äülijä dip jalbärip (73j) 'bittend:
0 Heiliger!'; ätä-bäbä-lar-in ßrüS-tü-rüp (22 7 ) 'ihre Väter und Großväter
zwingend, einander zu besuchen'; filqi bäqü küni tüni (43 12 . 13 ) 'Tag und Nacht
die Pferde weiden'.
An für das Kirgisische charakteristischen Lautübergängen beobachten wir
des w e i t e r e n a) £ < s (Sajla-

<

*sajla-):

Sajlangiz-lar

dip haliqqa

habär

qildi

(40^2) '[...] gab dem Volk die Nachricht: seid gewählt!' sowie b) -Sd- < -Sl(taSda-

<

*taSla-)\

taStäp ketti Qaräbäj

(681) ' Q a r a b a j v e r l i e ß [alles] u n d g i n g

weg'. Die für das moderne Kirgisische charakteristische Prothese der Vokale
1 und « erscheint an Beispielen wie ilajiq (40 3j ,) ( < arab. läjiq) 'passend';
Urustam (95 18 ) ( < pers. Rustam, n. pr.).
Der Genitiv wird (nach stimmhaften und sonoren Konsonanten) mit dem
A f f i x -dinl-din

g e b i l d e t : bätir Säbdän-din

iki türli süretin hem özimiz-din

resmi-

miz-ni qojip (20u_12) 'zwei verschiedene Porträts des Helden Sabdan und
unsere Zeichnung [...] gelegt'; Söl iki ädemdin bälälar-idür (91 5 ) 'die Kinder
jener zwei Menschen'.
Der Dativ wird mit dem A f f i x -ya/-ge gebildet: qiz ajtubdi äsän mirza-ya
(9115.15) 'das Mädchen antwortete dem Mirza Asan'; äni bizge ajtalar (89 13 . 14 )
'das sagt man uns'.
Der Akkusativ nach stimmhaften und sonoren Konsonanten wird auf -dil-di
gebildet: tärih öqümäyän kimdi bilür (2013) 'wen kennt derjenige, der nicht
Geschichte gelernt hat?'; Ormän-händikörmek-ke (41 2 . 3 ) 'um Orman-Khan zu
sehen'.

86

EdhemR. TeniSev

Der Ablativ wird mit dem Affix -dan/-den gebildet: qiziqdän qmq (4417)
'sehr interessant'; künden kün (4519.2o) 'von Tag zu Tag'.
Nach dem Possessivaffix der dritten Person tritt bei Affigierung des Lokativs noch ein -n- dazwischen (-ndal-nde): isiq köldin kün ciqiSjänübinda (92,,)
'im Osten des Issyk-Kul'; närindin icinde (435) 'innerhalb des Naryn'.
Unmöglichkeit der Handlung wird durch die Kombination des Adverbs auf
-a/-e und des Verbs al- 'nehmen' ausgedrückt: jirge fitelmez qolberlen (295)
'mit der Hand, die nicht bis zur Erde reicht'.
Im Text erscheinen zwei Arten von Perfekt: a) auf -yän/-gen: üSbü M
zätdän tärälyändür (2221.22) '[sie] stammten [alle] von diesen zwei Geschöpfen
ab' und b) auf -ibdi/-ibdi: köp yizzet-hürmet körüp qajttbtt (4119) 'er kehrte mit
viel Ehre und Achtung bedacht zurück'.
Aus dem lexikalischen Bereich seien noch die für das Kirgisische charakteristischen Wörter necen 'wievier(20g), qajtala- 'wiederholen' (20g) und die
Postposition Sekildi 'wie ..., ebenso wie ...' (2110) erwähnt.
Aus den angeführten Beispielen ist gut zu verstehen, wie die Kombination
von Elementen der cagataischen und der tatarischen Sprache in einem Text das
Grundgewebe einer wolgatatarischen Variante des Türki bildet. In dieses
Gewebe werden nun Elemente der kirgisischen Sprache meisterhaft eingeflochten. Auf solche Weise entsteht eine neue Einheit — eine der Regionalvarianten der altkirgisischen Literatursprache. Sie wurde entweder von Osmanali
Sydykov selbst geschaffen, oder er hatte ein Beispiel in solcher Sprache vor
sich und ahmte es nach.
Zum Schluß bleibt anzumerken, daß es dringend nötig ist, eine möglichst
vollständige Liste aller verfügbaren Werke in altkirgisischer Literatursprache
zusammenzustellen und diese Werke zu beschreiben. Erst auf der Basis solcher
Vorarbeiten wird man daran gehen können, eine im höchsten Grade interessante sprachwissenschaftlich-kulturelle "Geschichte der kirgisischen Literatursprache" zu schreiben.

Rabghuzi's Syntax Revisited
Hendrik

BOESCHOTEN

(Tilburg) & Mark

VANDAMME

(Utrecht)

A large popularizing prose-text like Rabghuzi's Qisasu 1-anbiya, written in
1310 A.D., can be expected to yield important insights into a crucial stage of
the syntactic development of Middle Eastern Turkic. Schinkewitsch's important
work (1926/7) has laid the foundation for its linguistic analysis. However, even
a superficial look at the work makes it clear that a number of so-called
"analytic" types of complex sentences cannot be marginalised. But in
Schinkewitsch's morphosyntactic approach they were left aside.
Note that we use the term "complex sentence" here in a loose fashion. In
general it cannot be claimed that modification on the semantic level is
parallelled with subordination on the syntactic level (cf., e.g., Johanson 1975).
The nature of the linkage between the clauses under consideration is what has
to be established. The fact that we feel compelled to translate many of the
examples we quote into syntactically complex English sentences is not meant
to confuse the central issue, namely, the question if in any of these cases one
predication really has constituent status in another one, or not.1
Asyndesis and the conjunction kim
In the first place, we find a fair amount of asyndetic modification of the
kind exemplified in [l]-[3]:
[1]

1

Bu ne xwurluq turur [biz korar-mizj, bu ne emgak turur [biz tartarmizj.
'What misery is this we are experiencing, what trouble is this we are
suffering.'

This contribution is not the place for a principled discussion of what should be termed
"subordination" and what not. In turkology the issue is often confused by fruitless discussions about
the question if the non-finite predications with participles, converbs, etc., in Turkic languages might
be termed subordinate clauses at all. Of course they might. The present paper has no bearing on this
issue.

Hendrik Boeschoten & Mark Vandamme

88

[2]

Uvtanmadin

mu, ['tahn-man'

tedin]?

'Aren't you ashamed to have claimed "I am God"?'
[3]

Xabar tMti kim Malik Ducr bir qui oglan keltiirmiS [kimersa
kork kormiSi yoq].

andag

'News got around that Malik Dhu°r had brought a slave boy, nobody had
ever seen such beauty.'
The linguistic problem posed by this type of structure is an awkward one.
In general it cannot be denied that there are no obvious syntactic arguments to
claim that they are instances of subordination, and the semantics involved
cannot make up for that (Johanson 1975). On the other hand, it is a mistake to
assume that the linking of the propositions like the ones given is basically an
anaphoric one. In [1] the connection between the two paired propositions,
viewed as serialised, would be anaphoric (with "zero-anaphora", i.e., there is
no overt pronoun). But if we are dealing here with true serialisation (e.g., a
chain in which the propositions are just linked by textual deixis over the
sentence boundary), then structures with overt pronoun coindexed with the
supposed head of the relative clause (i.e., xwurluq... [biz ani korar-mizj),
should be equally possible. We have not found cases like that (i.e., for which
we intuitively assumed we were dealing with some sort of relativisation),
while, judged on the basis of the data, it should have been perfectly in order to
have ...[kim biz ani kdrar-miz] (see below), where kim so to speak serves as a
stepping stone for the pronoun. Note that this is not a formal argument, but a
good test for the consistency of our own intuitions. The form andag in [3], by
the way, is not anaphoric, but deictic.
As for the examples [4]-[6] a case could be made for assuming subordination on the formal grounds that the conditional should be classified, at
least in the brand of Turkish under consideration, as a non-finite form. 2

2

There is some discussion about the possible classification of the "conditional" as a finite
(optative) verb-form especially in Old-Turkic (cf. Hanser 1982). Schinkewitsch (1926/7, 78) offers
just two examples which could lend support to this position: (a) Bir är bu butga xädimliq qilsa. "If
only a man would look after this idol as a servant.'; (b) Yänä aydi: "Mäni uStmahga kivürsän nfmatlarin körsäm. " 'Then he said: "Lead me into Paradise so that I may see its bounties".' Interesting is
the version of (b) in "ms.C" (see fh.4 on the manuscripts quoted): Yänä aydi: "Käräk kim uStmahga
kivürsän nfmatlarin körsäm.where kivürsäft was first written kivürgil, after which -gil was crossed
out and replaced by -sari. An analysis of the full range of syntactic use made by Rabghuzi of this
form will not be given here (cf. Schinkewitsch 1926/27, 75 f f ) . It should be noted, however, that
even the "verallgemeinerte Relativsätze" described by Brockelmann (1954, 393 ff.) often appear in
a reduced form, for example:
ms.A: Sen qayanga barur ersän, bargi'l.
ms.B: San qanöa käräk bargil.

Rabghuzi's Syntax Revisited

89

Nevertheless, these structures are connected with those with serialised finite
forms in the sense of a distributional opposition as to modality.
[4]

Dastiir bar mu

[kirsamiz]?

'It it alright for us to enter?'
[5]

Bizga ten tiiS aranlar karak

[sanciSsanuz].

'We want socially equal men to fight with.'
[6]

Er ol bolur [saqalin bagir qarii birla

bazasa].

'He is a man who adorns his beard with the blood of [his] liver.'
[7]

Man eiitdim
ermiS].

¡Xadiga

Sam wilayat'iga

sati'g iiciin arqiS

yibara

'I have heard that Khadija is about to send a caravan to Syria for trading.'
In one special case there is a tendency for another mood to emerge as a
signaller of a dependency relationship, i.e., -MIS following verbs of perception,
as in [7],
In a few cases the qualifying postposition is interpolated in the proposition
containing the element qualified, as in [8] (cf. also [15b]).
[8]

Mawla (tacala) cIsaga mucgizalar
boldilar], oliig tirgiizmak tag.

berdi,

[qamug

otaci

c

agiz

"The Lord (He is exalted) granted Jesus (the power to work) wonders, of
which all doctors were incapable, like reviving the dead.'
This gives us a powerful syntactic argument for considering at least some
of the asyndetic pairings as subordination. Even if we were to treat the phrase
...dlug tirgiizmak tag as a case of extraposition, it is remarkable that it should
appear after the second proposition. Arguing against the syntacticality of the
structures discussed here, one might be tempted to claim informally that in this
case, like in the others, it is just the "loose connection" between the interposed
clause and the rest of the sentence which is in evidence. However, this kind of
argument has no more value than the semantic intuitions we started out from on
a formal, i.e., syntactical level of reasoning.

ms.C: SSn qanca kSrBk anda bargtt.

'Go wherever you wish.'

Hendrik Boeschoten & Mark Vandamme

90

Now, as far as we can see, all types of asyndetic structures discussed so far
also occur with the conjunction kim at the head of the second proposition
(alternatively, of course, the end of the first proposition).3
[9a]
Taq'i Ádamnuñ tilaki ol turur: [bu yer xallfaliqin Hábilga barsa],
'And this is Adam's wish: that [God] may give the vicarship on this Earth
to Abel.'
[9b]
Adam Mawladin tiladi [kim yer manim árkimdá bolsa],
'Adam asked the Lord for the Earth to be in his power.'
[10a] ms. A: Idiyá, mani yarliqagil, maña mülki bergil [kim mandin dzga
kimarságá bermiS bolmagay-sen],
[10b] ms. B: Idiyá, mani yarliqagil, maña mülki bergil [mandin dzga
kimarságá bermiS bolmagay-sen].
'My Lord forgive me, and give me dominion over it (i.e., the Earth), as
you will have given to no one but me.'
[10c] Arabic: Rabbi gfur ti wa-hab li mulkm lá yanbagi li- 'ahadn min bacdi.
This fact stands out after comparison of different places in one manuscript,
e.g. [9a-b]. But, interestingly enough, there are plenty of parallel passages in
the three oldest manuscripts of the Qisas-i Rabghuzi investigated by us so far4,
which confirms that the distribution of the construction with kim and asyndetic
conjunction occur generally in parallel distribution (i.e., [10a-b]). The high
degree of optionality of kim also occasionally leads to doubly marked cases of
subordination, like the object clause in [11] and theteZ?-clausein [12], in which
kim is used alongside non-finite verb-forms.
[11]

Tañrí ázáldá hükm qilmiS erdi [kim mu'minlárniñ tánini málini
satgi'n alíb ucmah bárgüsini],
'God has ordained in all eternity that he would trade Paradise to buy body
and soul of the true believers.'

3

We don't imply a diachronic development asyndesis -* kim. Relative clauses headed by kim are
already attested in Old Uighur; cf., e.g., Schönig (forthc.).

4

I.e., the ms. Cod. Mus. Brit. Add. 7851 (=ms.A; this manuscript was used by Schinkewitsch;
all examples quoted by us are taken from it unless stated differently); St. Petersburg, Publicnaja
biblioteka, ms. THC 71 (=ms.B); St. Petersburg, Inst, orientalistiinyj, ms. C 245. Cf. Boeschoten
(1991).

91

Rabghuzi's Syntax Revisited

[12]

Törtinci kelib min altun aldi [bu niyyät birlä kim satig
Mawla
(tacäla) fä'ida
bersä, tört min altunni Luqmänga
teb].

qilayin,
beräyin

'He came for a fourth time to borrow 1000 gold-pieces, with the intention
to trade and, if the Lord (He is exalted) were to grant profit, to pay
Loqman the 4000 pieces.'
Characteristically, it seems that kim can be missed least in those cases in
which the conjoined propositions are really sentence-external additions, like the
typically "non-restrictive" relative clause in [13], and [14]. On the other hand,
there is no evidence that subordination with kim or asyndesis is actually
avoided in "restictive" usage (like ki in modern Turkish, cf. Johanson 1975).
[13]

Yüsufnin
unutqani

burunqi
iiciin

aytqan

sözin

[kim

"

"

tegänini]

'... because he had forgotten what Joseph had said before, i.e., that he had
said "
[14]

Qalgan yüz atni Äsaf bin Barxiyä bin Samciyä
xds wäzlri erdi, häm xälasi ogli erdi] kizlämiS

[kim
erdi.

Sulaymännin

'The remaining one hundred horses had been hidden by Asaf b. B. b. S. —
who was Salomo's grand wazir and also his cousin.'
Brockelmann (1954, 392) has drawn attention to the asyndetic type when he
states: "Vereinzelt finden sich in der alten Sprache schon Satzgruppen in denen
das 2. Glied das erste näher erläutert, und in denen ein Demonstrativ darauf
zurückweist, sodass es sich schon der Art eines Relativsatzes nähert (...)"
Quite apart from the fact that Brockelmann overstates the importance of
resumptive strategies5, he does not establish an explicit link with the relative
clauses headed by kim which are categorically explained as a caique from
Persian: "Nach dem Vorbild persischer Relativsätze (...)" (o.e., 393)6. Here
we are confronted with a prejudice which is deeply rooted in turkology.

5

I.e., the linking of the (supposed) relative clause to its head in the main clause by means of a
pronoun (normally ol/an-). To take one example offered by Brockelmann (o.e., 393) in which a
pronoun certainly occurs, without, however, referring to the head of the supposed relative clause:
kilidiyoq anih aiiki acqay 'he had no key to open its door'; (Brockelmann: "er hatte keinen Schlüssel
um seine Tür zu öffnen"; some of the other translations offered by Brockelmann look dubious, too).
6

Cf. also op.cit., 391: "Ansätze zur Bildung von Satzgefügen finden sich schon auf dem Boden
reintürk. Ausdruckweise" (i.e., with participles and/or the baft bozuk-type; note the abbreviation of
'reintürkischer' by the author).

92

Hendrik Boeschoten & Mark Vandamme

Johanson (1975) takes a different view where he terms the use of subordinating conjunctions "some kind of replica hypotaxis on the Indo-European model
in languages like Uighur, Chaghatai and Ottoman Turkish". The originals
copied from the Indo-Iranian languages into Turkic are "foreign bodies,
inadmissible to the basic structure" (i.e., of the Turkic languages). Thus, the
structures surfacing in Turkic are neither genuine subordinating structures by
Indo-European standards, nor "basically Turkic". No doubt, the conjunction
kim is a connective element of a very general sort as it seems that any
constituent of the preceding (or enclosing) proposition can be qualified by a
fa'm-clause or, alternatively, by a proposition asyndetically conjoined (the same
can be said about ki in modern languages, cf. Johanson 1975). However, it
would seem to us that the scope of both the fa'm-clauses and the asyndetic type
is much wider in Rabghuzi's language as compared with, e.g., the situation we
find in any brand of Ottoman Turkish.
In any case, it is clear that in a distributional sense kim should be equated
with the subordinate structures involving the use of non-finite verb-forms. If
we compare [15a] and [15b], pragmatic considerations come to the foreground.
[15] a . [San sozlagan]

soz birla

qamugi'nin

baSi

sen-sen.

'According to what you say, you are the leader of all of them.'
[15] b . Bu fahiSa

[kim siz qilur-siz]

sizdin

burunqilar

c

alam

icida

qilmiSi

yoq.

'The fornication you commit has nowhere in the world been committed by
those before you.'
a ' , bu soz [kim san

soylddin]...

a " . Isoz [kim san
b ' . [san qilgan]

soyladifi]...
fahiSa...

b " . V.bu [san qilgan]

fahiSa...!

l[san

qilgan]

bu

fahiSa...

If we begin to speculate on the mirror alternatives, [a'] and [b'] naturally
look perfectly alright. On the other hand, [a"] and [b"] look dubious. In other
words, the work presently discussed, and others, will have to be scrutinised for
this type of alternative, involving possible combinability with elements like the
demonstrative in [15], and word order variation in a pragmatic perspective, a
task we have not yet undertaken. We may at least assume one thing: as a
qualifying proposition gets longer, it will be more difficult to handle in the
form of a non-finite predication. It is no accident that the examples presented
so far are rather lengthy.

Rabghuzi's Syntax Revisited

93

Finally, it should not be overlooked that, after all, kim is originally an
interrogative pronoun and if it comes to be used as the head of a subordinate
clause, this is certainly not surprising from a typological perspective. Of
course, the interrogative pronoun ne/na likewise might occur in this capacity,
although in this case its use is essentially restricted to object clauses, e.g.,
[16].7
[16]
Ibrahim qabul qildi [Sarah ne qoldij.
'Abraham agreed to what Sarah asked for.'
Subordination with teb (teyii)
In all Turkic languages subordinate clauses occur which are connected with
some converbial form of the verb te = (starting with teyin in Old Turkic); in
the Qisas-i Rabghuzi we mostly encounter teb, occasionally teyii. The
importance of these forms for Turkic syntax has been sytematically underrated
in descriptions of Turkic syntax, as has been shown by Hanser (1975). The
clauses expressing reason and intention, formed with teb, are very frequent and
are an important element of the syntax in Rabghuzi's Qisas, and are
characteristic of his narrative style (see below). But they have been discussed
neither by Schinkewitsch (1926/27), nor by Brockelmann (1954). Two typical
examples are presented in [17] and [18].
[17]

[Muhammad carigi bizga busug urub turur teb] qactilar.

'They ran away, saying/thinking/because Muhammad's army was lying in
ambush for them.'
[18]

Tafiridin ummidim bar ardi [mani bu qadgudin qutgargay teb].
Ammd [mdnim uciin ayat idgay teb] ummidim yoq ardi.
'I was hoping that God might deliver me from this sorrow.

But I did not expect that He was to send a Coranic verse about me.'
In contrast to the asyndetic type and the fa'm-clauses discussed before, the
^¿-clauses are clear instances of subordination; as we have seen, they can for
example be placed before, after and inside the main clause. There is, however,
Ms.C has: Ibrahim: "Qabul qlìdSm", tedi. 'Abraham said: "I accept." ' (!). — An assessment
of the functions of na/ne and other interrogative pronouns, e.g. *qan-, as possible heads of
subordinate clauses have to be included in a more systematic investigation.

7

94

Hendrik Boeschoten & Mark Vandamme

one serious problem with them. In a distributional sense one would like to
classify teb as a conjunction. This seems, however, impossible on semantic
grounds: There remains a connection with the content value of the verb te= in
the sense of 'to think/intend'. Again, though for a different reason, it seems
impossible to make a clear separation between purely syntactic and semantic
criteria.
Interestingly enough, the /¿¿-clauses expressing intention are also distributionally connected with cases of asyndesis in which the conjunction is
expressed by the selection of mood, as is clear from [19].
[19] ms.A: [Xala'iq bilmasun qayda ekanin] iistiga aSliq ektiirdi.
'In order that the people shouldn't know where [the pit] was, he had cereals
sown on top of it.'
ms.B: [Belgiirmasun teb] uzasiM afliq tariq ektiirdi.
'In order that [the pit] might not show, he had grains and cereals sown over
it.'
Subordination of the affect-effect-type
In this type of constructions the head of the subordinated clause is marked
with the accusative, and there is no agreement between it and the subordinated
verb (e.g., qorqar in [21] is not marked for 1st person plural).
[20]
Naliik bularni temadih kafir boldilar?
'Why didn't you say that they are unbelievers?'
[21]
ms.A: Bizni bu sozdin qorqar mu teyiir-sen?
ms.B: Bizni bu sozdin qorqar mu sanar-sen?
ms.C: Bizni bu sozdin qorqar mu sanur-sen?
'Do you think we are scared by these words?'
[22]
Mani ham olturayin teyiir.
'He intends to kill me, too.'
The same type is known from modern Turkish with verbs of thinking and
perceiving as main verbs; examples like: ben seni oldii biliyordum 'I was
thinking you were dead' are classified as 'asyndetic' by Lewis (1967, 274).
This will not do, considering the lack of subject-verb-agreement in the

Rabghuzi's Syntax Revisited

95

subordinate clause. It seems also remarkable that the nominal counterpart, e.g.,
seni arkadas saniyordum 'I used to consider you a friend', should be analysed
as a sentence 'having two objects'. Kononov (1956, 515), more cautiously,
terms this sentence type 'lexical subordination', enumerating a number of verbs
that allow this construction.
In the Qisasu 1-anbiya the verb te= features prominently, with its full range
of meanings (i.e., 'to say/think/intend'). The construction occurs also with
other verbs, like san=, but they are far less frequent. Although, as we have
seen, the range of possible asyndetic subordination is much wider as compared
with, for example, modern Turkish, the relationship of this type with asyndesis
has to be clarified.
Interestingly enough, this type, too, occasionally occurs in combination with
the general conjunction kim, again highlighting the optional nature of the use
of that element (cf. [23]).
[23]
Yüsufiii kördilär kim tüSgä tcfbir aytur.
'They saw that Joseph could interpret dreams.'
[24]
Bargil, mäni keldi teb elgä xabar bergil.
'Go, inform the [people of] the city that I have arrived.'
[25]
Mäni barsun teb yarlig bar mu?
'Is there a command for me to go?'
Finally, not only can verba dicendi form the construction by the employment of teb (cf. [24]), but the main clause can even take the form of an
existential one (as in [25]; cf. also [18]).
Discussion
The situation encountered in Rabghuzi's Qisasu 1-anbiya, or, to be more
exact, in its 15th century or later copies casts considerable doubt on an
assumption generally accepted by turcologists, namely, that the subordinate (or
coordinate, or whatever) clauses in Turkic languages signaled by kim, later on
by ki, arose out of contact with Indo-Iranian languages. The thesis "daß die
Struktur der Türksprachen zwei Formen des verbum finitum vermeidet",
appears to be not just erroneous "in this wording" (Johanson 1975, fn.16). The
fact that kim/ki appears as a very general signaller of subordination fits in well
with the assumption that in the course of the evolution of the Turkic languages
there might have been a close connection with asyndetic conjunction.

96

Hendrik Boeschoten & Mark Vandamme

This does not entail that the emergence of the conjunction ki(m) and its
particular phonetic shapes could not have been connected somehow with
language contact. It is wrong, however, to be formalistic and to consider the
conjunction per se as sufficient evidence for the claim of "influence of Persian". To illustrate this point in a reverse situation, let us look at the functions
the so-called reflexive pronoun kandii has with Rabghuzi ([26]-[29]).
[26]
Icdi kandu xissasin.
'He drank his own share.'
[27]
Man kandu kartiiniib turur-man.
'I personally have faith.'
[28]
Tavdni kandu oltiirdumiz; Salihni ma olturalin.
'As for the camel, we have killed it; let's kill Saleh, too.'
[29]
Yd dustga bergay erdi duSmanga yoq; yd duSmanga bergay erdi
dustga yoq; yd kandu ikkisinga bergay.
'Either He were to grant it the friend, not the fiend; or He were to grant it
the fiend, not the friend; or, on the other hand, He were to grant it both of
them.'
Kandii does not occur very frequently in the work: about 30 times. Out of
these, the form functions as a(n attributive) reflexive just once (in a poem,
[26]). In all the other cases, it has either the specific function of putting a topic
in focus8 ([27]-[28]), or it occurs in combination with yd ([29]). Obviously, in
both cases the functions of kandii overlap with Persian xwod. It seems that for
reasons of form this specialisation of kandii, and its probable nature as a
contact phenomenon, has been overlooked so far (for example, by Brockelmann
1954). But, naturally, one conclusion must be that the history of Persian xwod
should also be considered from the angle of language contact. The same can be
said about Persian ^'-clauses.
It should not be forgotten, by the way, that the overall picture of the
conjunctive patterns in Rabghuzi's Qisas might well have been influenced by
Arabic syntax (most notably: as far as asyndesis and resumptive strategies are
concern»!), as the text contains many translations of passages from the Coran
and from the Hadith (cf. [10]).
In conclusion it can be said that the text offers a picture of distinct types of
modification strategies in competition. The fact that the types employing non'

C. Schonig suggested the term "re-topicalisation" to us.

Rabghuzi's Syntax Revisited

97

finite verb-forms have won out in the standard languages does not prove at all
that the types employing finite verb-forms in the modifying clauses are "nonTurkic", etc., quite apart from the fact that the latter types are descriptively
neglected by normative grammarians. We fully agree with Hanser (1973-74,
205) that both the asyndetic/fa'm-type, and the /eft-clauses can even today be
assumed to be characteristic of a certain oral narrative style. It is certainly no
accident that these structures feature prominently in a work which subsequently
has proven to be so immensely popular as Rabghuzi's Qisas.
In this contribution we have confined ourselves to sketching the phenomena
encountered. Their syntactic analysis will be a complex task. No doubt the
potential of these types of complex sentences has to be taken fully into account
in historical Turkic syntax.

References
H. (1991). The Leningrad manuscripts of Rabghuzi's Qisas.
Türk Dilleri Ara§tirmalari 1, 47-79.
BROCKELMANN, C . (1954). Osttürkische Grammatik der islamischenLitteratursprachen Mittelasiens. Leiden: Brill.
HANSER, O . ( 1 9 7 3 - 7 4 ) . Türkischer Satzbau. Die Nebensatzgrammatik des
Türkischen, untersucht an ausgewählten Beispielen. Wiener Zeitschrift für
die Kunde des Morgenlandes 65-66, 155-218.
HANSER, O . ( 1 9 7 5 ) . Türkische Nebensätze in der Form direkter Rede. Turcica
BOESCHOTEN,

7, 2 0 - 3 1 .

Der Streit um den türkischen Nebensatz unter besonderer
Berücksichtigung der Sowjetturkologie. Zeitschrift der Deutschen
Morgenländischen Gesellschaft 132, 3 0 8 - 3 3 5 .

HANSER, O . ( 1 9 8 2 ) .

JOHANSON, L. (1975). Some remarks on Turkic "hypotaxis".

Ural-Altaische

Jahrbücher 47, 104-118.
KONONOV, A.N. (1956). Grammatika sovremennogo tureckogo jazyka. M . - L . :
Izd. Ak. Nauk SSSR.
LEWIS, G . ( 1 9 6 7 ) . Turkish Grammar. Oxford: Clarendon Press.
SCHINKEWITSCH, J. (1926-27). Rabyuzi's Syntax. Mitteilungen des Seminars
fiir orientalische Sprachen zu Berlin, 29-30, zweite Abteilung.

98

SCHÖNIG, C .

Sprachen.

(forthc.) Pronominal eingeleitete Relativsätze in den altaischen

Zur Wiedergabe deutscher Nebensätze im Tägikischen
Manfred

LORENZ,

Berlin

Es ist inzwischen allgemein anerkannt, daß das Tägikische ebenso wie das
Dari in Afghanistan eine Variante des Persischen ist, die in Mittelasien — geschrieben in einem modifizierten kyrillischen Alphabet — als Norm- oder auch
Literatursprache verwendet wird. G. Lazard bestätigt in seinem Beitrag über das
Persische im Compendium Linguarum Iranicarum (1989, S. 298 ff., "Les
variétés modernes"), was auch ich in verschiedenen Arbeiten feststellen konnte,
daß eine wesentliche Besonderheit in der turksprachigen Beeinflussung besteht,
die vor allem in den nördlichen und zentralen Landesteilen auf den weit verbreiteten Bilingualismus zurückzuführen ist. Während die häufig genannte
russische Beeinflussung vorwiegend die Lexik betrifft, findet man die
Besonderheiten des Tägikischen gegenüber dem klassischen sowie dem
modernen in Iran als Normsprache verwendeten Persisch vor allem in der
Syntax. Bei der überwiegenden Mehrzahl von Unterschieden stellt man
Parallelen zum Satzbau der Turksprachen fest.
Um unsere Ausgangsposition noch einmal zu definieren: Das TägikT stimmt
im Satzbau, ebenso wie das afghanische Dari, mit dem Persischen überein. Zusätzlich findet sich aber eine Reihe syntaktischer Merkmale, die auf strukturelle
Parallelen in den Turksprachen hinweisen. Diese "Turkismen" oder "Usbekismen" sind zwar häufiger in den nördlichen Dialekten, sie gehören aber zur
Norm der modernen tägikischen Schriftsprache.
Es ist eine der strukturellen Eigenschaften der Turksprachen,
konjunktioneile Nebensätze zu vermeiden. In seiner "Osmanisch-Türkischen
Grammatik" (Wiesbaden 1960) schreibt Hans Joachim Kissling: "Das Türkische
kennt an sich keine Konjunktionen, da es in der Lage ist, alle Sätze, die in
dieser Weise im Deutschen gebildet werden, durch eigene Formen usw.
auszudrücken. Daher sind die meisten Konjunktionen ... fremden Ursprungs."
(§ 508, p. 218).
Hinsichtlich der tägikischen Nebensätze kann man also sagen, daß zunächst
einmal alle im Neupersischen vorkommenden Satzkonstruktionen möglich sind.
Die Nebensätze einleitende Partikel ke/ki und damit gebildete "Pseudokonjunktionen" werden im Tägikischen ebenso verwendet wie im Persischen, desgleichen die Konjunktionen cun, zirä, tä, agar u. a.

100

Manfred Lorenz

Im folgenden möchte ich einige Beispiele bringen, wie neben den üblichen
Konstruktionen noch Varianten im Tägikischen vorkommen, die dem turksprachigen Prinzip entsprechend Nebensätze vermeiden und sie als Teile in den
Hauptsatz einbauen:
1. Attributive Nebensätze (Relativsätze),
die allgemein mit ke und dem vorausgehenden "hinweisenden -/" konstruiert
werden, können im Tägikischen durch eine besondere Izäfet-Wendung umschrieben werden. D. T. Tagijew nennt sie ein "Attribut, ausgedrückt durch eine
Wendung des Typs caSmaS sijoh". Das heißt, an ein Determinatum (Substantiv)
wird mit der Izäfet ein mit dem enklitischen Pronomen der 3. Person
versehenes Substantiv angefügt, dem ein Adjektiv oder Partizip folgt: bacai
casmaS sijoh — das Kind, dessen Augen schwarz sind. Die Izäfet fungiert hier
noch als relatives Anschlußmittel, was sie ihrer Herkunft nach (aus einem
Relativpronomen, ap. hya-, tya-) auch ist.
Beispiele:
ü ajnaki jak caSm-as kafida-ro ... pojontar farowarda ... (R. G. h. 197: er
schob die Brille, deren eines Glas/Auge/ zersprungen war, weiter nach
unten ...);
... az cojniki coj-aS sardSuda ba H. coj kaSida medod (A. gh. 325: ... aus dem
Teekessel, dessen Inhalt kalt geworden war, reichte er dem H. Tee);
Ajni... miqdori zijodi fe'lhoi tarkib-aS az zäboni zinda giriftaSuda tadrigan ba
zaboni adabi darowardaast (Ma'sumi, Oc. 205: Aini hat eine große Anzahl
von Verben, die /wörtl./ ihren Bau aus der lebenden Sprache genommen
haben, schrittweise in die Literatursprache eingeführt).
2. Objektsätze
mit Verben des Sagens und Denkens sowie der Sinneswahrnehmung werden
persisch mit ke, tägikisch ki, eingeleitet.
Als Variante des Tägikischen findet man Wendungen mit gufia, güjon, die
wie Adverbialbestimmungen in den Hauptsatz eingebettet sind:
... ba jak duxtar "qadaS munori Wobkand barin daroz" gufta ajb monda boSad
... ba sejjürm "zotaSpast..." güjon erodhoi rang ba rang megirift (DehotT,
a. m. 147: bei dem einen Mädchen stellte sie als Fehler fest, daß sie lang

Zur Wiedergabe deutscher Nebensätze im Tägikischen

101

wie das Minarett von Wobkand sei,... bei der dritten bekrittelte sie, daß sie
niedriger Herkunft sei);
Man to hol imrüz koramo naghz meSudagist, fardo naghz meSudagist gufta
urned karda gaSta budam. (Aini, gh. 99: Ich hatte immer gehofft, daß heute
oder morgen unsere Sache besser gehen würde.)
Man sieht, daß es sich hier um den Einschub direkter Rede in einen Satz
handelt. Nur selten wird der Einschub — wie bei Dehotl — mit einem
Anführungszeichen kenntlich gemacht. A. Tietze hat in einem Artikel "Die
Eingliederung der wörtlichen Rede im Türkischen" (WZKM 55/1959) das
gleiche für das Türkische festgestellt.
Die direkte Rede mit abschließendem gufta, güjon verwendet man neben mit
baroi in-ki, cun-ki, ziro-ki, az gihati on-ki u. a. eingeleiteten Nebensätzen zur
Wiedergabe deutscher
3. Kausaler Nebensätze.
Dawlat guft ki maktabdor darsatro jod nakardi gufta ba boloi pucakaS muSti
saxte zada onro kafond (RG, s. 64: Dawlat erzählte, daß ihn der Schulmeister, weil er — angeblich — seine Lektion nicht gelernt hatte, mit der Faust
so heftig auf sein Geschwür geschlagen hatte, daß es aufging);
Aknun tu mulla Sudam, dono Sudam gufta az xüroki mo hazar mekuni-mi? (Ul.
s. g. 300: Magst du nun unser Essen nicht mehr, weil du ein Mulla, ein
Gelehrter geworden bist?).
Selbstverständlich wäre im letzten Beispiel auch eine wörtliche Übersetzung
möglich: "Nun sagst du: 'Ich bin Mulla, Gelehrter geworden' und ...".
4. Finalsätze,
die ansonsten mit tä (ki), baroi in-ki eingeleitet werden, können ebenfalls mit
Hilfe der direkten Rede + gufta/güjon in den Hauptsatz eingefügt werden:
... turo jak binam gufta ba hawlijat omada budam (Aini, gh. 221: Ich war auf
deinen Hof gekommen, um dich mal zu sehen);
Mabodo caSmi bad narasad gufta az jak duoxoni zur ... jak bozuband girifta
omadam (Dehoti, A. m. 148: Damit /dich/ der böse Blick nicht trifft, habe
ich von einem erfolgreichen Wundertäter ein Amulett besorgt).

102

Manfred Lorenz

In der usbekischen Grammatik von Kononow (Taschkent 1948) findet man
für die oben genannten Fälle (2-4) mit dem entsprechenden deb folgende
Beispiele:
Objekt-Satz: Men sizni Su qopda sighadi deb isonmajman (Ich glaube nicht, daß
ihr in diesem Sack Platz haben werdet);
Kausal-Satz: Koncert büladi deb kutib ütirdik (Wir warteten weiter, weil ein
Konzert stattfinden sollte);
Final-Satz: Sizlarni baxtsiz bülib qolmanglar deb üqitdim (Ich habe euch
unterrichtet, damit ihr nicht unglücklich zurückbleibt).
Die Übereinstimmung der Struktur ist offensichtlich!
5. Konzessive Nebensätze
in einer tägikischen Variante sind zwar als Nebensätze zu erkennen, unterscheiden sich aber von der üblichen persischen Satzbauweise durch nachgestelltes ham und weisen offensichtliche Parallelität zum Usbekischen auf, z. B.
Inguna kor muSkil boSad ham, baroi 'ghozijoni' mo oson bud (Aini, gh. 40:
Wenn solche Arbeit auch schwer war, für unsere 'Helden' war sie leicht).
Satzeinleitende Konjunktionen wie agar ci, harcand, harci u. a. können
vorangehen:
Harci bosad ham, maxluq ast (RG. s. 15: Wie es auch sei, es ist ein Geschöpf
/Gottes/).
Als eingebetteter Nebensatz:
Pas az on man, garcande ser boSam ham, xürdan giriftam (Ul. s. g. 301:
Darauf fing ich, obwohl ich satt war, zu essen an).
Das Verb steht in einer beliebigen Form des Konjunktivs. Ein Beispiel mit dem
Konjunktiv präteriti:
Agar odam namefiristod ham, ... ba digarsaroj namefuromadem (Aini, gh. 47:
Auch wenn er niemanden geschickt hätte, wären wir doch nicht an einem
anderen Rasthaus abgestiegen).
Diese im Persischen unübliche Konstruktion ist normal im Usbekischen, hier
mit dem Konditional-Formans -sa. Ein Beispiel aus Kononow (Gram. Uzbek.
Jaz., 1948, S. 269):
Jormatni sewmasa ham, hozir uni Su wazijatda kürib acindi: Obwohl er J. nicht
liebte, tat er ihm jetzt leid, als er ihn in dieser Lage sah.

Zur Wiedergabe deutscher Nebensätze im Tägikischen

103

6. Konditionale Nebensätze
haben im Persischen wie im Tägikischen die gleiche Konstruktion mit einleitendem agar, har gäh, dar surati ke / dar surate ki usw., oder man drückt die
Abhängigkeit nur durch den Konjunktiv aus:
Quwwat wa ghajrat boSad, baroi mard dunjo tangí namekunad (Aini, gh. 14:
Falls Kraft und Mut vorhanden sind, ist die Welt für den Mann nicht zu
eng).
In den stark usbekisch beeinflußten Mundarten des Nordens kommt eine
zurückgezogene Konjunktion agar vor:
In kitobi arabi xonad agar, majnai kuSoda meSat (Rastog. III, 182: Wenn sie
dieses arabische Buch liest, wird sie klüger).
7. Subjekt-Sätze,
nach Wendungen wie läzem ast, momken ast u. a., werden persisch wie
tägikisch mit ke/ki eingeleitet. Der Tendenz nach Vermeidung von Nebensätzen
folgend, bevorzugt das Tägikische statt dessen Infinitivwendungen:
T. guftan-aS lozim ast — statt P. läzem ast ke begujad
T. omadan-al mumkin ast — statt P. momken ast ke bijäjad.
Zusammenfassung
Neben den im Persischen wie im Tägikischen üblichen syntaktischen
Konstruktionen von Nebensätzen findet man im Tägiki zusätzliche Varianten,
auch in der modernen Literatursprache, die eindeutig auf eine turksprachige
Beeinflussung hinweisen. Es ist mir bekannt, daß in neuester Zeit, in der man
laut "Gesetz über die Sprache" vom Juli 1989 die "zaboni togiki" in Klammern
auch wieder "forsV nennt, Tendenzen bestehen, diese oder jene Variante aus
der Norm herauszunehmen. Doch ich glaube, daß solche Sprachreinigungsbestrebungen in nächster Zeit kaum Erfolg haben werden. Der usbekische Einfluß
ist in weiten Kreisen der Bevölkerung, vor allem des Nordens, so tief
verwurzelt, die tägikischen sprachlichen Besonderheiten bei so vielen anerkannten Schriftstellern, nicht nur der älteren, sondern auch der jüngeren Generation
so weit verbreitet, daß eine rigorose Reinigung sicher wenig Verständnis fände.

104

Manfred Lorenz

Wenn sich die Schriftsprache nicht zu sehr von den Menschen entfernen soll,
werden die Eigenheiten des Tägikischen auch weiterhin erhalten bleiben.

Non-marked Noun Forms in Turkic and Mongolian
Languages
(A Comparative Study)
Irina A. MURAVYOVA, Moskva

The present paper deals with morphological and syntactic properties of bare
nouns in two big families of Altaic languages — Turkic and Mongolian. The
problem of bare nouns is one of the most interesting in the descriptive grammar
of the Altaic languages. Although most of the facts on this subject are well
known to those who study these languages, still there are some aspects that are
to be discussed more thoroughly. Here we will point out the main questions
that should be cleared up both for the descriptive grammar and for the
theoretical and typological approach to this problem.
First we will analyze the properties of bare nouns in two Turkic languages
— Turkish and Tuvinian, and then compare the situation with the
corresponding data provided by Mongolian languages — Khalkha-Mongolian
and some others.
1. Non-marked noun forms in Turkic languages
1.1 Bare nouns in Turkic languages
One of the characteristic features of the Turkic noun is that a noun form
having no obviously expressed case marker and thus identical to the stem (and
that is why it is called "bare noun", or "non-marked noun") can be used both
in the position of subject — in other words, in the position of the nominative
case, and in the position of various oblique cases — mostly accusative and
genitive, but sometimes also dative and ablative (for the latter see examples in
Kononov 1956; Kononov, Barulin 1987). From the point of view of morphological structure such noun forms can be also treated as having a zero ending,
so they are sometimes called "zero noun forms".
When a zero noun form is observed in the position of an oblique case, it is
usually used tightly bound to the dominant word — a verb or noun, and as a
rule cannot be separated from it by other words (with the exception of some
particles). In such situations the syntactic connection between the dominant and
the subordinate word can be treated as parataxis (Kononov 1956), and the nonmarked noun form is called "paratactical noun". The paratactical non-marked

Irina A. Muravyova

106

noun form is usually opposed in meaning to the marked one (see examples
below). When the speaker wants to separate the paratactical noun from the
dominant word for some reason, he marks it in the usual way (see Kononov
1956:400). The paratactical noun may be also used as a part of an idiomatic
unit. Such units are ready-made expressions which belong to the lexicon. They
are not considered in the present paper.
The semantic contrast between the marked and the non-marked noun form
is clearly seen with the accusative case, a fact being well-known to turkologists. See Turkish examples from Nilsson 1984:
1.(a)
(b)

Ali hali-yi aliyor
'Ali buys a (certain) carpet / the carpet (acc.).'
Ali hall aliyor
'Ali is engaged in buying a carpet (non-mark.).'

Similar examples are found in other Turkic languages, for example, in
Tuvinian:
2.(a)
(b)

Bajir inek-ti oorlaan
'Bajir stole a (certain) cow / the cow (acc.).'
Bajir inek oorlaan
'Bajir stole a cow (non-mark.).'

Another contrastive position is found with the attributive constructions.
According to Majzel' 1953, there are three types of the izafet (attributive)
constructions in Turkish. The first two types demonstrate the izafet proper,
they are characterized by the izafet marker -(s)I on the modified noun (the item
being identical to the possessive suffix of the 3rd person singular). The
difference between these two types consists only in marking/non-marking the
genitive case on the modifier (cf. 2a and 2b). The third type, called
'descriptive izafet', has several subtypes without any izafet marker, so, in our
opinion, it should be treated as another kind of attributive construction. This
type is often represented by words denoting qualities, which may be used both
as nouns and attributes — see 2c. Compare examples from Majzel' 1953:

Non-marked Noun Forms in Turkic and Mongolian Languages

3.(a)

107

kadin-in §apka-si
'a hat (iz.) of a (certain) woman / the woman (gen.)'

(b)

kadin §apka-si
'a woman's (non-mark.) hat (iz.)'

(c)

fdtr sapka
'a felt hat'

See also examples from Tuvinian:
4.(a)
(b)

xooraj-nin sad-i
'a garden (iz.) of a (certain) town (gen.)'
xooraj sad-i
'a town (non-mark.) garden (iz.)'

The difference in meaning is also observed in the position of the subject
between the autonomous and paratactical nominative, although in this case the
difference in meaning is not accompanied by difference in form (see Johanson
1977 and examples below). This semantic opposition is usually treated as
definite / indefinite nominative.
The contrast in meaning between the autonomous and paratactical noun
form is often interpreted as definiteness / indefiniteness (see, for example,
Dmitrijev 1939 and many others). More thorough semantic investigations (in
the first place Johanson 1977, Nilsson 1985 and others) show that the usage of
the non-marked form is connected primarily with the referential status of a
noun phrase, the thematic/rhematic structure of sentence and the structure of
text, factors that often predetermine the meaning of the category "definiteness
/ indefiniteness". The semantic opposition between the autonomous and
paratactical noun may be approximately characterized as "referential / nonreferential" (or "referential / categorial"), and the paratactical noun may be
qualified as non-referential, lacking thematic (or rhematic) prominence and
belonging to the background information (see also Nilsson 1985). Due to this,
the paratactical noun, as a rule, cannot be the target of anaphoric nomination
and relativization.
This fact is treated differently in various grammars of Turkish and other
Turkic languages. Most scholars (for example, Dmitrijev 1939, Ivanov 1975,
partly Kononov 1956) consider all the usages of zero noun forms as one and

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Irina A. Muravyova

the same grammatical form, which in the Russian turkological tradition is
called "indefinite", "non-marked", or "principle" case. Some scholars (for
example, Golubeva 1979) prefer to use the terms "non-marked accusative",
"non-marked genitive", which refer to the primary syntactic function of zero
noun forms and thus distinguish them. A completely different interpretation
was suggested in Barulin 1984, and also in Kononov, Barulin 1987. The idea
is based on the fact that the specific semantic functions of zero noun forms are
connected with their paratactical usage, so paratactical zero noun forms are
opposed grammatically to non-paratactical nominative case noun forms and
should be treated as non-case forms. Here we will not give all the arguments
for this or that theory. The subject we are interested in now is the syntactic
status of paratactical zero noun forms versus autonomous noun forms.
Examples from different Turkic languages show that the paratactical nonmarked noun loses to some extent its independent syntactical status and thus
influences the valency of the verb. This phenomenon, called by G. Lazard
"coalescence", can be found in many languages (see Lazard 1978; 1982).
Below we will consider the syntactic features of paratactical nouns in Turkic
languages with respect to the following syntactic positions: 1) subject; 2)
direct/oblique object; 3) attribute.
1.2

Position of the subject

In the position of subject the autonomous and paratactical nouns produce
different affects when used in embedded relative sentences (see Underhill 1972,
Hankamer, Knecht 1976 and others). T w o types of participles can be used here
in Turkish: the so-called subject participle and object participle. In case the
verb of the embedded sentence is transitive and the target of relativization is
subject, a subject participle is used, but when the target is object, an object
participle is used. In case the verb of the embedded sentence is intransitive and
the target of relativization is subject, then, naturally, a subject participle is
used. But in some cases a locational noun phrase (i.e. directional dative,
locative or ablative) may become the target of relativization and the head noun
of the relative construction. In such situations the type of the participle depends
on the autonomous / paratactical status of a zero noun form. In case the zero
noun form is autonomous (definite), the subject noun is transformed into
genitive and the object participle is used (marked with the izafet item), as if the
locational noun form were the verb's second actant — see 5a*. In case the zero
noun form is paratactical (indefinite), the subject noun is not transformed into
any case form, it remains non-marked (and paratactical), and the subject
participle is used (without any izafet marker), as if originally the verb were

Non-marked Noun Forms in Turkic and Mongolian

Languages

109

impersonal and now acquired a new subject — the head noun of the relative
constrction — see 5b'. Compare the examples from Underhill 1972:
5.(a)

Su kapi-nin altindan ak-iyor
"The water (aut. nom.) is flowing from under the door.'

(a')

Altindan su-yun ak-tig-i kapi
'the door from under which the water (gen.) is flowing (ob. part.,
iz.)'

(b)

Kapi-nin altindan su ak-iyor
'Some water (prt. nom.) is flowing from under the door.'

(b')

Altindan su ak-an kapi
'the door from under which some water (non-mark.) is flowing
(sub. part.)'

Thus, the paratactical subject noun decreases the valency of the dominant
verb so that it becomes practically impersonal; the verb in such constructions
is opposed in form and actant marking to the verb with the autonomous subject
noun.

1.3

Position of the object
In the position of object the autonomous and paratactical nouns may have
different reflexes in the causative construction. One might expect that the
paratactical object noun detransitivizes the dominant verb to a certain extent.
The typologically standard situation with the causative constructions for
languages having case marking is the following (see Comrie 1976): when an
intransitive verb is made causative, the cause is usually in the accusative,
whereas the causee of a transitive verb is usually in the dative.
In Turkish the cause of any transitive verb, irrespective whether the object
noun is autonomous or paratactical, is expressed by the dative case noun form,
so the paratactical noun does not decrease the actancy of the transitive verb, cf.
6a and 6b (partly transformed examples from Nilsson 1984). For example:
6.(a)

Ali-ye hali-yi aldirdim
'[I] had Ali (dat.) buy a (certain) carpet / the carpet (acc.).'

110

I rim A. Muravyova

(b)

Ali-ye hah aldirdim
'[I] had Ali (dat.) buy a carpet / carpets (non-mark.).'

But in Tuvinian the situation is different (Kulikov 1986). Here the causee
of a transitive verb with a paratactical object noun is used in the accusative
case, so the paratactical noun does decrease the valency of the transitive verb:
7.(a)

(b)

1.4.

ASak Bajir-ga inek-ti oorlatkan
'The old man made Bajir (dat.) steal a (certain) cow / the cow
(acc.).'
ASak Bajir-ni inek oorlatkan
'The old man made Bajir (acc.) steal a cow (non-mark.).'
Position of attribute

No obvious loss of actant is registered in the attributive construction when
the modified component is a noun (see 3a and 3b, 4a and 4b). But examples
like 5a' and 5b' show that the izafet marker on the participle is deleted when
the modifier is a non-marked noun form.

2. Unmarked Noun Form in Mongolian Languages
The problem of bare nouns in Mongolian languages is to some extent
similar to what we observe in Turkic languages. Zero noun forms identical (in
most cases) to the stem are used here not only in the position of the nominative
case, but also in the position of practically all oblique cases. In KhalkhaMongolian a zero noun form can be used instead of any oblique case form,
while in Buryat it can be used in the position of all oblique cases except the
ablative and directional cases (see Bertagajev 1969). Thus, the terms "nonmarked (zero) accusative", "non-marked (zero) genitive", "non-marked (zero)
dative", etc. are widely used in mongolistics to denote a non-marked noun
form used instead of an ordinary (marked) case form.
Like in Turkic languages, the semantic opposition, observed for the marked
and the non-marked noun forms in Mongolian languages, may be
approximately qualified as "referential/non-referential" (see Bertagajev 1969),

Non-marked Noun Forms in Turkic and Mongolian Languages

111

although some zero forms acquired idiomatic meaning. The marked case form
is usually used when the referent is in the focus of the utterance, see examples:
8.(a)
(b)

Bi nom-ig avav
'I took a/the book (acc.)' [and not some other object].
Bi nom avav
'I took a book (non-mark.).'

The morphological and syntactic properties of zero forms, however, are
different.
The most peculiar morphological feature of Mongolian bare nouns is that
some nouns — those with the so-called "unsteady" nasal final consonant —
may distinguish between the zero form with a nasal element and the zero form
without a nasal element, whereas all other nouns have one and the same zero
form in all position. Since this opposition is observed only for a limited group
of nominal stems, they may be treated as belonging to a certain type of
declension — the nasal, or thematic, declension (see Krylov 1987). According
to S. Krylov, there are about 500 such stems in Khalkha-Mongolian.
The situation in Khalkha-Mongolian may be described in the following way.
In the position of the nominative case, that means in the position of subject,
such nouns have a zero ending and no nasal segment. In all marked oblique
cases the nasal segment is used, e.g. mori(nom.) — morin-u (gen.) 'horse'.
The difference between the zero forms is observed in Khalkha-Mongolian
in the attributive construction. There are no izafet constructions in Mongolian
languages, but there are two types of attributive constructions, one with the
genitive marked on the modifier, the other with the non-marked form. The
second type is often represented by words denoting qualities, which may be
used both as nouns and attributes, cf.:
10.(a)
(b)

Bi tomor olov
'I found the iron (non-mark.).'
tomor zam
'iron (non-mark.) way [= railway]'

Ordinary nouns may be expressed in the attributive constructions either by
the genitive case form or by the zero form. Being used attributively, the zero

Irina A. Muravyova

112

noun forms derived from the nouns with a nasal element always have the nasal
element in this position and are thus opposed to the form used in the
nominative case. For this reason, the non-marked genitive may be treated (for
all nouns, including those lacking the nasal segment) as a separate case form —
the attributive case (Krylov 1987). The attributive case form — with a zero
ending, but with a nasal segment for some nominal stems — is opposed both
to the genitive case form and to the nominative case form, e.g.:
11. (a)
(b)
(c)

morin-u tereg
'a/the horse's (gen.) harness'
morin tereg
'horse's (attr.) harness'
mori tereg
'horse (nom.) and harness'

A similar situation, but for different case forms, is oberved in Ojrat. We
find here examples where the nasal segment is not lost in the position of
subject (the nominative case), while in the non-marked accusative form it is
deleted, so there is a morphological opposition between the nominative proper
and the non-marked accusative. In such situation the nominative case may be
called "subjective case". See examples from Sanzejev 1953:
12. (a)
(b)

Morn juvna
'The horse (nom.) is coming.'
Mor barv
'[They] caught a horse (non-mark.acc.).'

The corresponding zero noun forms in Khalkha-Mongolian are identical
because they have no nasal segment: morijavna 'the horse (nom.) is coming'
— moribariv '[they] caught a horse (non-mark.)'.
Thus, some Mongolian nouns may distinguish between different zero forms
(with or without a nasal element), which are used in different syntactic
positions. These forms should be treated as different cases.
As for the syntactic properties of bare nouns, in Mongolian languages the
parataxis of the non-marked form is in general less strict than in Turkic
languages. The non-marked form may be separated from the dominant word for

Non-marked Noun Forms in Turkic and Mongolian Languages

113

the reasons of the actual division of the utterance, but in this situation, unlike
Turkish (see above), it does not acquire the case marker. See examples from
Orlovskaya 1984:
13.(a)
(b)

Bi ceceg tarilaa
'I planted flowers (non-mark.).'
Ceceg bi tarilaa
'As for flowers (non-mark.), I planted them.'

Thus, the degree of coalescence of the non-marked form with the dominant
word in Mongolian is less than in Turkish.
No obvious decrease of valency is observed in Mongolian languages.

Abbreviations
acc. — accusative
attr. — attributive
aut. — autonomous
dat. — dative
gen. — genitive
iz. — izafet

nom. — nominative
non-mark. — non-marked
ob.part. — object participle
prt. — paratactical
sub.part. — subject participle

References
Morfologiceskaja struktura slova v mongol'skix
jazykax [Morphological structure of the word in Mongolian languages],
Moscow: Nauka.

BERTAGAJEV, T . A . 1 9 6 9 .

Teoreticeskije problemy opisanija tureckoj imennoj
slovoformy [Theoretical problems of describing the Turkish noun form]. Ph.
Cand. Diss. Moscow: Institute of Oriental Studies.

BARULIN, A . N . 1 9 8 4 .

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B. 1976. "The Syntax of Causative Constructions. Cross-language
similarities and divergences." — Syntax and Semantics, v. 6. The Grammar
of Causative Constructions. N.Y.: Academic Press.
DMITRUEV, N. K . 1939. Stroj tureckogo jazyka [The System of the Turkish
Language]. Leningrad.
GOLUBEVA, N . P . 1 9 7 9 . "Objektivnye otnoSenija, prjamoe dopolnenie i formy
ego vyrazenija v tureckom jazyke" [Object relations, the direct object, and
the ways of expressing it in Turkish]. — Sovetskaja tjurkologija no. 1, 75-

COMRIE,

85.

"The role of the subject / non-subject
distinction in determining the choice of relative clause participle in
Turkish". — North-EasternLinguistic Society. Regional meeting 6. Papers.
Montreal, 1 2 3 - 1 3 5 .
IVANOV, S. N. 1975. Kurs tureckoj grammatiki [A Course of Turkish
Grammar], pt. 1. Leningrad: Izdatel'stvo Leningradskogo Universiteta.
JOHANSON, L. 1977. "Bestimmtheit und Mitteilungsperspektive im türkischen
Satz". — ZDMG Supplement III/2, 1186-1203.
KONONOV, A. N. 1956. Grammatika sovremennogo tureckogo literaturnogo
jazyka [A Grammar of Modern Literary Turkish], Moskva-Leningrad:
Akademija Nauk SSSR.
KONONOV, A . N . & A . N . BARULIN 1 9 8 7 . "Teoreticeskie problemy tureckoj
grammatiki" [Theoretical problems of Turkish grammar], — Novoe v zarubeznoj lingvistike v. XIX. Moskva: Progress.
KRYLOV, S. A. 1987 "O tematiceskom (nosovom) sklonenii v sovremennom
xalxa-mongol'skom jazyke" [On the thematic (nasal) declension in KhalkhaMongolian]. — Tezisy konferencii aspirantov i molodyx naucnyx
sotrudnikov (Institut Vostokovedenija AN SSSR). Moskva: Nauka.
KULIKOV, L.I. 1986. Causative Constructions in Tuvinian (unpublished paper).
LAZARD, G. 1978. "Eléments d'une typologie des structures d'actance:
structures ergatives, accusatives et autres". — Bulletin de la Société
Linguistique de Paris. L X X I I I , 49-84.
LAZARD, G. 1982. "Le morphème rä en persan et les relations actancielles".
— Bulletin de la Société Linguistique de Paris. L X X V I I , 177-207.
MAJZEL', S. S. 1957. "Izafet v tureckom jazyke" [Izafet constructions in
Turkish]. Moskva-Leningrad: "Akademija Nauk SSSR".
NILSSON, B. 1984. "Object incorporation in Turkish". — Proceedings of the
Turkish Linguistics Conference, Aug. 9.-10. 1984, Istanbul, 113-128.
HANKAMER, J . & L . KNECHT 1 9 7 6 .

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B. 1985. Case Marking Semantics in Turkish. Stockholm: University
of Stockholm.
ORLOVSKAJA, M . N. 1984. "Nabor porjadkov slov v prostom povestvovatel'nom predlozenii i nekotorye sposoby aktualizacii clenov predlozenija v
sovremennom mongol'skom jazyke" [Word order in simple narrative
sentences and the ways of actualizing members of the sentence in the
modern Mongolian language]. — Grammaticeskoe i aktual'noe clenenie
predlozenija [Grammatical and Actual Division of the Sentence]. Moskva:
Nauka, 9 1 - 1 0 6 .
SANZEJEV, G. D. 1953. Sravnitel'naja grammatika mongol'skix jazykov [A
Comparative Grammar of the Mongolian Languages], v. 1. Moskva:
Akademija Nauk S S S R .
UNDERHILL, R . 1972. "Turkish participles". —Linguistic Inquiry, v. 3, no. 1,
87-99.
NLLSSON,

116

Mahmud Kashgari and the Japanese Linguistic Tradition
Vladimir M. ALPATOV, Moskva
Most of the existing descriptions of the Altaic languages have been made
within the framework of various conceptions and theories from the European
linguistic tradition, which has Greek and Roman roots. However, it is interesting to look at the Altaic languages from the point of view of the native
speakers; in that way one can avoid distortions inspired by the European
patterns and can distinguish the features common to these languages from
features specific to European languages. The most important descriptions of
Altaic languages made from outside of the European tradition are the eleventhcentury Turkic dictionary by Mahmud Kashgari and the works of eighteenthand nineteenth-century Japanese grammarians from the Kokugakusha school.
(.Kokugakusha means "national scholars".)
The Altaic origin of Japanese seems very probable since the publication of
S. A. Starostin's book "The Altaic problem and the origin of Japanese" (Moscow, 1991). Of major importance to us is the typological similarity of the
Altaic languages and the Japanese language. Though that similarity is considerable in grammar and partly in semantics, it does not extend to phonetics and
accentuation. Japanese changed the Altaic phonetical and accent features under
the influence of the Austronesian substratum.
Mahmud Kashgari wrote his dictionary seven centuries before the first
Kokugakusha. His work was unique and he had no pupils or followers, while
the Kokugakusha were a school and created their own tradition that lasted for
a century. The most important difference between Kashgari and the Japanese
scholars lies in the differing approaches to languages, each approach formed by
a different culture area and a different linguistic tradition: Arabic for Mahmud
Kashgari and Chinese for the Kokugakusha. The degree of dependence on
tradition was much less for the Kokugakusha. We can speak about the formation of a particular Japanese national tradition, but Mahmud Kashgari and other
Turkic scholars did not form a Turkic tradition. The reasons for that are both
cultural and linguistic. The Turkic peoples after accepting Islam were in effect
confined by the limits of Moslem culture. While it might be permissible to
glorify one's native language, it was not permissible to think of valuing it more
highly than the language of the Koran. The Kokugakusha, on the other hand,
were in opposition to Chinese culture, Buddhism, and Confucianism and
defended Shinto and the thousand-year-old national Japanese culture. They,

118

Vladimir M. Alpatov

especially Motoori Norinaga, declared not that Japanese, Chinese, and Sanskrit
were equal but that Japanese was superior. Some of their reasons were purely
linguistic. Chinese linguistics did not form grammar as a special part of linguistics: Chinese has a very poor morphology, which can be described within
the framework of the dictionaries established in China before Europeanization.
But that approach is not suitable for Japanese with its rich morphology, and the
Kokugakusha formed grammar independently. Contrary to the Chinese tradition, the Arabic one possessed a developed grammar, though applying in to the
Turkic languages with their different structure was rather difficult.
The approaches of Mahmud Kashgari and Kokugakusha had many features
in common. Most of them are also common to all other linguistic traditions or
to the majority of them. For instance, all traditions are synchronic except the
European one of a rather late stage. Various traditions considered language as
something given and complete, presented to people by a supreme power (Allah,
the Shinto gods, the Olympic gods, etc.); men can only spoil that gift: by
forgetting a word, by forgetting the meaning of a word (the ancient etymologies are attempts to reconstruct original, veritable meanings), by adopting
words from other languages. Both Mahmud Kashgari and the Kokugakusha
considered that the best language is language without borrowings (from Persian, Tibetan, etc., for Mahmud Kashgari; from Chinese for the Kokugakusha).
Descriptions are analytical: The initial object of study is a set of written or oral
texts, which is analyzed in this or that way; the task of establishing the rules of
composing a correct text has never been set. This approach is typical of the
majority of linguistic traditions, including the European one. The only exception is the Indian tradition, for instance, the grammar by Panini. Another
widely common feature is a deliberate conception of a standard, "correct" and
"incorrect" speech; however, the standardization of language was especially
important for the Kokugakusha.
A more particular similarity of Mahmud Kashgari and Kokugakusha is the
system of parts of speech. Both Mahmud Kashgari and the majority of the
Kokugakusha singled out three main parts of speech, namely, noun, verb, and
particle; only Tojo Gimon did not single out particles. Mahmud Kashgari
adopted that system from the Arabic scholars, but it was not inconvenient for
the Turkic language. The Kokugakusha formed the notions of noun and verb
independently (the notion of particle existed from the time of adoption of the
Chinese characters: particles did not have any Chinese equivalents). But there
are several differences. Mahmud Kashgari came to nothing more than three
parts of speech. The majority of the Kokugakusha, on the other hand, divided
one or two classes into subclasses; only nouns constituted an indivisible class.
Usually the Kokugakusha divided verbs into two subclasses, namely, verbs

Mahmud Kashgari and the Japanese Linguistic Tradition

119

propre and so-called predicative adjectives. The two subclasses have different
conjugations and different meanings (Kokugakusha Suzuki Akira defined them
as "words of action" and "words of state"). "Predicative adjectives" correspond
to adjectives semantically but coincide with verbs syntactically and have the
category of tense. Such words are peculiar to Japanese and are absent in the
Turkic languages, where adjectives are like nouns and not verbs. Particles are
divided into subclasses, too, but the classifications of the Kokugakusha were
rather different.
Descriptions in the different traditions also displayed differences. Some of
them are caused by cultural reasons, others by purely linguistic ones.
For instance, in the Japanese tradition the grammar and the dictionary were
strictly delimited. The principles of dictionary construction were borrowed
from China and remained generally intact up to the Europeanization of the
Japanese science. The majority of dictionaries were compiled by scholars of the
Chinese tradition. The Kokugakusha dealt with grammatical, phonetic, and
etymological problems but not with lexicographical ones. The work of Mahmud
Kashgari, on the other hand, combines the dictionary with phonetic and
grammatical descriptions. This approach was natural in a scholar who had no
predecessors in the study of the Turkic dialects.
Another difference between the Kokugakusha and Mahmud Kashgari has to
do with comparison of languages. It is well known what role was attributed to
the comparative aspect in the works of Mahmud Kashgari. Sometimes he is
even regarded as the first representative of comparative linguistics in the world.
— The Kokugakusha almost excluded the comparative aspect from their
studies. Sometimes they compared the "correct" language of the most ancient
manuscripts with the "spoiled" language of the later texts, but they very seldom
compared Japanese with Chinese and Sanskrit and did not compare written
Japanese with dialects at all.
One of the reasons for that is an inability of the Kokugakusha to reject all
the conceptions of the Chinese tradition, expecially the conception of the
particular role of the written language. The famous modern Japanese linguist
Shibata Takeshi writes that for the majority of peoples language is mainly the
oral language but for the Japanese people it is mainly the written one. Besides,
there were numerous written texts in Japanese since the eighth century. Therefore, the Kokugakusha did not study Japanese dialects. It should be noted that
the difference between the Japanese dialects is not less than the difference
between Turkic languages or dialects in the time of Mahmud Kashgari.
However, in Japan there was an accepted standard language, namely, the
written one.

120

Vladimir M. Alpatov

Unlike the Chinese and Japanese traditions, the Arabic tradition studied not
only the written language but the oral language too, since one of the practical
stimuli of its development was the need to teach the correct pronunciation of
the Koran to the non-Arabic population of the caliphate. Furthermore, the
Turkic written texts were not so numerous as the Japanese ones and the Turkic
peoples had no common standard language yet. Therefore, the study of the
dialects was important and interesting to Mahmud Kashgari. Comparison as in
the work of Mahmud Kashgari was not unpreceded in the linguistic traditions.
Kashgari considered the Turkic languages to be different variants of the
language of their people; that is why he interpreted their differences on the
same level as the differences between Greek or Arabic dialects had been interpreted before. The idea of such comparison was adopted by Mahmud Kashgari
from Arabic works.
There was yet another comparison in Mahmud Kashgari's work: the comparison of the Turkic and Arabic languages. The Turkic material was described
in terms of Arabic linguistics with the establishment of some differences especially in the field of phonetics. But that was not unique either. Every non-basic
language of every linguistic tradition is described in terms of the original basic
language: Latin and Old Church Slavonic in terms of Greek; Pali in terms of
Sanskrit; and so on. Once the national tradition is fully developed, the
description of the native language becomes independent from the basic
language. That had been the case in Rome since the first century B.C. and in
Japan since the time of the Kokugakusha, and would have been the case in
Turkic countries if Mahmud Kashgari had had followers. The Kokugakusha
knew Chinese and correctly understood its differences from Japanese including
the lack of morphology, but it was not necessary for them to compare the
languages.
The differences we find in the concrete descriptions of Mahmud Kashgari
and the Kokugakusha are significant. The maximal differences are found in the
field of phonetics. The only feature the phonetical descriptions share is the
confusion of sounds and letters. Mahmud Kashgari used the Arabic script,
which was not convenient for the Turkic languages, while the Kokugakusha
used the national Japanese syllabical script, kana. Thus, the Kokugakusha were
more independent of the Chinese tradition than Mahmud Kashgari was of the
Arabic one.
In the field of grammar we consider one significant question: What are the
basic grammatical units? Following the Arabic tradition, Mahmud Kashgari
singled out two such units, root and word, pointing out that unlike the Arabic
root, the Turkic root is invariable (at least the alterations of the structure of the
root do not have any grammatical meaning). A word can be equal to a root,

Mahmud Kashgari and the Japanese Linguistic Tradition

121

but it can also be formed by a combination of a root and a harf (or several
harp,). The term harf is poly semantical: It can mean "letter," "particle," and
"part of the word." In that way the basic unit is the root or the main form of
the word (the notions are equivalent). The other forms of words are constructed
from parts, as are derivated words. This conception is not unlike that of some
schools of linguistics of the twentieth century (for instance, descriptive linguistics) but it differs from the traditional European (for instance, Greek and
Roman) approach to morphology as the alteration of the whole word (hence the
terms "conjugation," "declination").
The approach of the Kokugakusha was different. They did not distinguish
roots and words and singled out only one unit. This unit is analogous to the
word since it is a unit of nomination. As a matter of fact, practically none of
the European specialists on Japanese divides Japanese texts into words in the
manner accepted in the Japanese tradition after the Kokugakusha. According to
Japanese understanding, nouns are invariable, they can add particles, but such
combinations are not words but phrases. Verbs, on the other hand, are variable. For instance, the verb shinu 'to die' has the following forms: shinu (finite), shini (adverbial), shinuru (participle), shine (imperative), and shina,
shinure, which are not used independently—for example they are used as parts
of shinazu (negative) and shinureba (conditional). Verbs are not constructed;
they are formed by the alteration of all the word (only Suzuki Akira proposed
considering -nu, -ni, -nuru, -na, etc., as separate words, but his approach was
not widely used). In this aspect the Japanese tradition unexpectedly approaches
the European one, but unlike it, it did not single out the basic form of verbs
(compare with the role of the infinitive in the European tradition).
Utterances such as negative -zu and conditional -ba are affixes from the
European point of view, but they are particles for the Kokugakusha. Many verb
forms in ¿he European sense are phrases for the Kokugakusha. The explicit
notion of phrase is absent in the works of the Kokugakusha; it was defined by
their followers after the Europeanization of Japanese linguistics. If the Turkic
languages were described in such terms, many agglutinative affixes would be
considered as particles. However, Japanese does not have that feature so
important in Turkic: vowel harmony.

122

Languages along the Silk Road. A Few Critical Remarks
on the Knotty Problem
Edward TRYJARSKI, Warszawa
Discussing linguistic problems in reference to the Silk Road is a
troublesome task, especially in Germany where so much has been done to both
examine all aspects of this famous highway and to learn the languages which
during long centuries were used in its proximity. However, the task is hard
owing mainly to the very complexity and to a special range of the phenomenon
appearing during nearly two thousand years, involving on the one hand
enormous distances and areas of our globe from Eastern China and Turkistan
up to India, Central Asia, Syria, Greece, Byzantium and Rome, on the other
hand tens of various nations and races speaking and writing their own and
loaned languages and dialects. Quite striking here is something like the
incompatibility of two different elements treated on the same plane: trade
routes, opened and explored mainly for economic purposes, and human speech,
subjected to physiological and sociological rules of its own and researched by
means of special methods. The danger of a mechanical or superficial treating
of these two elements, so discrepant, is quite real. This being the case, my
purpose here is to draw your attention to some ambiguous terms used in
discussion, to some gaps in our knowledge and some other circumstances
which inevitably make me ask a provocative question: "What are we really
talking about?" It goes without saying that both elements put in the title hide a
lot of great and minor problems which should be once again specified and
cleared up.
Despite incontestable progress made in last decades in analysing the
problem, we still seem not to be able to dispose of the history of the Silk Road
in the traditional sense of the term, and even the possibility of such a study
seem to be questionable. This sounds like a paradox in view of a series of very
valuable studies which have been published so far and, in particular, of the
recent remarkable achievements of books and articles by H. G. Franz, A. v.
Gabain, K. Gratzl, A. Janata, R. Kostka, H.-J. Klimkeit1, H.-W. Haussig2
1

In the volume Kunst und Kultur der Seidenstrqße. Herausgegeben von H. G. Franz, 2.
verbesserte Auflage. Akademische Druck- u. Verlagsanstalt. Graz 1987.
2

H. W. Haussig, Die Geschichte Zentralasiens und der Seidenstrqße in vorislamischer Zeit,
Damrstadt 1983. Wissenschaftliche Buchgesellschaft, Grundzüge Band 49. The same, Die Geschichte
Zentralasiens und der Seidenstrqße in islamischer Zeit, Darmstadt 1988. Wissenschaftliche

124

Edward

Tryjarski

and P. Hopkirk3. It appears clear that guilty here is the very term "Silk Road"
which, inseparably attached to the long history of the Eurasian continent, has
become too broad, inexact and, as a bit metaphorical, unpractical and unserviceable for scholarly purposes. In fact, it seems to be nowadays nothing
else but a popular catchword which in historical and linguistic texts absolutely
demands additional specification and accurate definition.
The main difficulty is connected with the simple geographical fact that all
trade routes presented from time immemorial a more or less compact net of
parallel roads and numerous branches. The number of the latter is in the case
of the Silk Road a considerable one, and even is increasing as our knowledge
of the problem becomes deeper. This turns a historical presentation of the Silk
Road inevitably into a more or less fragmentary political, economic and
cultural history of the countries across which the Silk Road ran and of all
peoples which made use of it, guarded it or wanted to take possession of it.
Such a formulation of the problem, put in the frame-work of the long history
of the Eurasion continent, terrifies with its vastness.
It should be observed in this connection that there still exist among
specialists diverse opinions concerning the geographical shape of the Silk Road.
There is a general doubt concerning the proper use of this term: "Silk Road"
or "Silk Roads", "branch", "stretch", "trail", "route", "highway", also
"Seidenstraße" und "Seidenstraßen", "Hauptstraßen", "Verkehrswege", "Verkehrslinien", "Abzweigung", "Zweig der Seidenroute" etc. Doubtful is also the
number of smaller road stations and their localisation, the existence and
direction of local feeder roads. Suffice it to compare a few outlines or maps
showing what is called the "Silk Road" to detect more or less essential
divergencies. Thus, for instance, a confrontation of the two outlines (one
published by P. Hopkirk4 and the other published by H.-J. Klimkeit5) shows
a number of differences concerning the stretch between An-Hsi — Hami (Klimkeit), the curved stretch between Tunhuang — Miran over Lou-Lan (Klimkeit),
Yarkand — Balkh, passing by Kashgar (Hopkirk), Yarkand — Leh — Srinagar
towards India (Hopkirk). Still another picture is visible on a simplified version
of the map drawn up by A. H. Dani and B. K.Thapar, recently published in the

Buchgesellschaft, Grundzüge, Band 73.
3

P. Hopkirk, Foreign Devils on the Silk Road. The Search for the Lost Cities and Treasures of
Chinese Central Asia, John Murray, London 1980.

'

Hopkirk, op. cit., after 12.

5

Kunst und Kultur...,

ut supra, 93.

Languages Along the Silk Road

125

"Unesco Sources" 6 . Similar inaccuracies can be observed even in one and the
same publication as evidenced by the monography newly prepard by H. G.
Franz7: some of the stations indicated by A. v. Gabain in her paper8 are not to
be found in the outline drawn by H.-J. Klimkeit9.
The experts traditionally are in hot water if inquired about the starting point
and termination of the Silk Road. It is general knowledge that first F. von
Richthofen used the term "Seidenstrassen" just to denote those Central Asian
routes which between 114 B.C. and 127 A.D. served China in its trade with the
western countries situated on the Oxus and Yaxartes, and with India. Only in
1910 did A. Herrmann propose to extend the term in question as far as Syria.
Basing his studies on the interpretation of the Han Annals by A. Wylie, he
declared that the "Silk Road" began in Yii-men kuan and in Yang kuan, the
two gates of the Great Wall, and ended not in Antiochia but in Tyros. He
stated also on that occasion that "... unsere Kenntnisse noch an bedeutenden
Liicken leiden"10. The later researchers, relying mainly on Chavannes'
studies, indicated Ch'ang-an or Tunhuang as the starting point of the "Road".
A few years ago, some inadequacies contained in the phrase "Silk Road" were
criticized by P. Hopkirk, who in his widely read book wrote the following:
"As a description, moreover, it is somewhat misleading. For not only
did this great caravan route across China, Central Asia and the Middle
East consist of a number of roads but it also carries a good deal more
that just silk."11
There is no doubt, therefore, that this phrase, irrespective of its singular or
plural forms, gives rise to all sorts of misapprehensions and mistakes.
All of this shows that today there exists a twofold comprehension of the
term "Silk Road", viz. sensu stricto and sensu largo with all its consequences.
In the first case, the Silk Road is conceived as a rather uniform trade route
running from Kansu up, let us say, to the mouth of the Don, embracing two
main land routes, splitting in Central Asia and meeting again. The sea route,
or a combined land-sea route, is regarded as an invention of subsequent epochs

6

"Unesco Sources", No. 18, September 1990, 6-7.

7

See note 1.

8

In Kunst und Kultur...,

'

Ibid., 68-69.

ut supra, 93.

10

A. Herrmann, Die alten Seidenstraßen zwischen
Geographie Asiens von ..., Berlin 1910, 10, 17, 787.
11

Foreign Devils..ut

supra, 17.

China und Syrien.

Beiträge

zur

alten

126

Edward Tryjarski

and has a second place position. In the second case, the conception of the Silk
Road is extremely extended. Ch'ang-an is judged as its eastern starting point,
but eastwards the Road is eagerly lengthened to Corea, if not to Japan. In the
West, the Silk Road is considered not to end in Mesopotamia, but to reach the
Caucasus and the Mediterranean area along with Egypt, also Eastern and
Middle Europe. This broad comprehension of the Silk Road is plainly conditioned, on the one hand, by its numerous branches and, on the other hand, by
a lot of seemingly independent trade routes which, however, in several points
crossed it and created additional possibilities for transporting various goods,
silk included.
Generally acknowledged are two main routes of the Silk Road: the Northern
Route and the Southern Route which are supplemented by the Middle Route,
the Sea Route (Canton—Bangkok—Madras—Goa—Karachi—Muscat—Alexandria)
and by combined half-land, half-sea routes12. It is general knowledge that a
land trade route connecting Eastern Europe and China had already existed in
prehistoric times. According to the description given by Herodotus in about
430 B.C., the Northern Route started at the mouth of the Don, the region
belonging to the Sarmatians, then crossed the Volga (War), continued to the
Ural river, next to the Aral Sea and the mouth of the Syr-daria, next to the
regions inhabited by the Sauromates, Budin people and the Serers-Issedons, and
finally reached Kan-su.13 As far as the Southern Route is concerned, its
numerous stretches and stations demand scholarly reconstruction since its
description both in Chinese sources and in a manuscript in the Saka language
(the Stael-Holstein roll from the eleventh century) are incomplete. It embraces
a stretch from Khotan up to the Uighur State in Kan-su. At its European
extremity it led from Mesopotamia across Ekbatana up to Sogdiana, next to the
Silis river or Yaxartes.14 Sensational archaeological discoveries made by the
end of the last century in East Turkistan provided additional knowledge of all
main road stations and routes of the Silk Road along with its Chinese terminal.

12
"... der Weg nördlich, bzw. südlich des Tien-Schan" [...] "Seit der Entdeckung des Seewegs
nach Ostasien haben aber die Seidenstraßen an Bedeutung verloren", A. v. Gabain, "Sprachen udn
Völker im Tarim-Becken entlang der Seidenstraße", in Kunst und Kultur..., ut supra, 93. "... hierfür
die Erkenntnisse der Frühgeschichte nicht genügend und der Bezug ihrer Nachrichten auf die drei
verschiedenen Routen der Seidenstraße überhaupt nicht beachtet wurde" Haussig, Die Geschichte [...]
in vorislamischer Zeit, 11. Many details concerning all three routes were discussed by A. Herrmann
op. cit., passim.
13

Haussig, Die ältesten Nachrichten der griechischen und lateinischen Quellen über die Routen der
Seidenstrasse nach Zentral- und Ostasien, Acta Antiqua Academiae Scientiarum Hungaricae,
XXVIII. 1-4, 1983, 9-24. The same, Die Geschichte [...] in vorislamischer Zeit, 14-15.
14

Haussig, Die Geschichte [...] in vorislamischer Zeit, 20f¥., 260.

Languages Along the Silk Road

127

Since it would be impossible to present here all branches of the Silk Road
and those crossing routes, which not rarely were renowned as tracks
specialized in the transport of goods, I shall enumerate only some of them,
based on the data established recently by H. W. Haussig. Thus important
Asiatic branches of the Silk Road northwards and southwards were: 1) the
route North-East connecting Turfan and Corea across southern China and
Manchuria; 2) the route across the passes of Karakorum to the Indus valley.15
Three East European branches of the Northern Route were: 1) the Volga route
used by the eastern Iranian peoples and the Varangians; 2) the route
Dnieper—Danube mainly used by the Slavs and the Varangians, 3) the route
Sarkel—Mayaki—Kiev —Przemysl—Cracow—Prague—Regensburg—Mainz, mainly
used by the Jews and reputed for its slave trade.16 There were also some
branches of the Northern Route southwards such as the route along the Kuban
river across the Caucasus to Georgia and the Byzantine Empire or the route
along the Black Sea shore from Tamatarkha to Trapezunt. Among the Asian
trade routes which in this or another way were connected with the Silk Road
but "formally" did not belong to it, one may cite the route from Qoco across
the Gobi desert to the Ongin and the Orkhon rivers, the route from Qoco to
Kan-Chou and the Transsiberian Fur Route from Tobolsk to Tomsk,
Krasnodar, Irkutsk next across the Gobi desert as far as North China, and
many others.17
It goes without saying that the acceptance of the idea of the Silk Road sensu
largo automatically enlarges the area which should be submitted to linguistic
analysis to such a degree that, practically speaking, no reasonable work would
be possible.
Nevertheless, a lot of serious problems arise if we want to combine the
geographical and economic reality of the vast Asian and European areas with
linguistic matters. The fundamental question here concerns the real object of
our research. Roughly speaking, we are confronted with three linguistic spheres
which on the historical plane may be objects of our scrutiny, viz. 1) common
languages, dialects or slangs (rarely existing till the present day, like the
Uighur) which in a given epoch were used by merchants, pilgrims,
missionaries, envoys or the military and were intended to facilitate the human
contacts on the routes, generally or figuratively called the "Silk Road";
2) languages or local dialects, spoken, in rare cases also written, by the

15

Haussig, Die Geschichte [...] in islamischer Zeit, 24.

16

Ibid.

17

Ibid., 32.

128

Edward Tryjarski

population (in many cases seriously mixed) settled in the oases, towns and
villages across which a given stretch of the Silk Road passed; 3) languages
recorded by multiple texts of various kinds, mainly of religious character,
which had been found on the spot in ancient buildings, caves, stupas, towers
etc., languages which in most cases were dead, or of limited use, when the Silk
Road was exploited. It should be observed that speaking about languages in
regard to the Sea Route looks like nonsense.
It might b useful to be reminded here of those languages and scripts which
have been richly evidenced by manuscripts from Eastern Turkistan. Beginning
with India we notice the Sanscrit and some Pracrits (especially one of a northwestern type and the Gandhari), then the Tokharian A and Tokharian B, the
Scythian (used for instance by the Issedones-Serers), the Middle Iranian group
with the Khorezmian, Khotanian (Khotan-Sakian), Hephthalitian, Parthian,
Sakian, Sogdian, Middle Perisan; next the Altaic languages with the little
known language of the Hsiung-nu, the Mongolian, the Manchu, and the Turkic
languages represented by the Old Turkic in shape of a little known dialect, the
Uighur, and the Karakhanid; next Chinese, Tibetan, Tangut, maybe also the
Hsi-Hsia; next the Semitic family with Syrian and probably also Hebrew. As
far as the earlier period and the western stretches of the Silk Road are concerned, the list should be supplemented with at least the following languages:
Aramaic, Arabic, Greek, New Persian and maybe also Latin and some Slavic
dialect.18
Equally rich is the list of the systems of writing, chiefly alphabets, in which
the above languages were recorded. In alphabetical order: Aramaic, Arabic,
Baktrian, Brahml, Chinese, Estrangelo, Greek, Hebraic, Hephthalite, Kidan,
KhrosthT, Latin, Manikhean, Phags-pa, runes of Turkic type and of at least
two variants, Sogdian, Tibetan. The intersection of the above two lists gives
the philological and linguistic reality with which each researcher of the
Turkistan collection is confronted. 19

18
From a long list of fundamental studies belonging to the Ancient Turkistan philology we adduce
only: A. v. Gabain, Alttürkische Grammatik von ..., 2. verbesserte Auflage, Leipzig 1950; the same,
Das Alttürkische in PhTF I, Wiesbaden 1959, 21-45; the same, Alttürkische Schreibkultur und
Druckerei, in PhTF II, Wiesbaden 1964, 171-191; Die alttürkische Literatur, ibid., 211-243; the
same, Einflihrung in die Zentralasienkunde, Darmstadt 1979. Very valuable are studies collected in
a volume Sprachen des Buddhismus in Zentralasien. Vorträge des Hamburger Symposions vom 2.
Juli bis 5. Juli 1981, herausgegeben von K. Röhrborn und W. Veenker, Wiesbaden 1983
(Veröffentlichungen der Societas Uralo-Altaica, Band 16).

"

Cfr. the studies indicated in note 18 and both cited books by H.W. Haussig.

Languages Along the Silk Road

129

Besides, the above list of languages may be regarded as incomplete since
many texts have not yet been read and studied. On the other hand, we should
remember a keen remark made by A. v. Gabain:
"Es ist problematisch, Kultureinflüsse nomadischer Völker auf der
Seidenstraße festzustellen, etwa von den Hiung-nu, den Chienbi, den
tungusischen Dschurtschen, den Rouran oder den Türken aus ihrer Frühzeit, denn Gräberfunde aus deren Bereich könnten Importgut sein. In
chinesischen Texten umschriebene Wörter ihrer Sprachen sind schwer zu
interpretieren, wenn nicht zugleich ihre Bedeutung angegeben ist. Daher
soll bei der Frage nach der Besiedlung der Länder entlang der Seidenstraßen zumal auf literarisch bezeugte Völker Bezug genommen werden.
Damit ist also auch das Altertum ausgeschaltet, das ja für die Wirkenzeit
der Seidenstraßen kaum von Bedeutung ist."20
The need for clearing up the real character of the languages subjected to
examination was lately expressed by A. v. Gabain in the following passage:
"In Anbetracht der Vielzahl von Sprachen, die uns in den gefundenen
Manuskripten entgegentreten, ist zu fragen, welche von ihnen waren
Umgangs-, welche waren etwa Kanzleisprachen und welche waren sakrale Sprachen, die also speziell dem Lehrgut des Buddhismus,
Manichäismus oder des nestorianishen Christentums für ihre heiligen
Texte und Liturgien vorbehalten waren, ohne eine Besiedlung
vorauszusetzen."21
It is worth observing that the eminent expert on the problem does not
discuss this time such substantial questions as the inner dialectological
differentiation of these groups of languages, the multilingualism of both local
population and circulation traders and caravansmen, their most probable use of
professional slangs of even something like a koiné in a given epoch and in the
given area. Meanwhile in a situation in which the scholars have got access to
excessively rich collections of manuscripts the question of varieties and shapes
of spoken languages should by no means be neglected.
Quite perplexing is the problem of interpreters, their qualifications and
places in which they were mostly engaged. Notwithstanding the fact that, on
the one hand, the Oriental peoples have been reputed for having linguistic
talents and, on the other hand, that groups of bilingual or multilingual character
existed, it would be difficult to assume that the traffic on those roads could
20

v. Gabain, Sprachen

21

Ibid., 95.

..95-96.

130

Edward

Tryjarski

exist and prosper without interpreters, amateurs or, as a rule, professionals. It
is evident that their role must have been important in creating new terms and
popularizing the trade slang. Their number throughout the ages must have been
considerable, but they have remained anonymous. In this context, the information related to the ancient period of the Silk Route is intersting. As lately
announced by H. W. Haussig, according to Herodotus, the Greek merchants on
their way to Central Asia were obliged to change their interpreters as often as
seven times.22 We learn on another occasion that the Varangians used to have
Greek interpreters at their disposal.23
Quite different was the position of the translators of written texts, chiefly of
religious content. We know well the results of their marvellous activity; very
seldom, however, do we know also their names.24 An open question is often
the place in which their translations were made. It is reasonable to suppose that
some of them were prepared not at the stations of the Silk Road, but in distant
localities where they were imported from. We know, however, that their major
part was made in Buddhist, Christian and Manichean cloisters in which special
translation offices (Germ. Schreibstuben) intensively worked.25 Some translators worked for the benefit of various religions.26 In Turfan the texts in
Sanscrit, Syrian, Parthian and Middle Persian were translated into Sogdian,
Tokharian and Uighur. If the translators into Uighur had no Buddhist Sanscrit
texts at their disposal, they made use of Sogdian and Tokharian translations.27
Relativley little has been known about bilingualism or multilingualism in
everyday usage. It seems evident that the users of the trade routes, both
religious and merchants, starting for long distance expeditions either made use
of interpreters or possessed themselves a knowledge of foreign languages
greater than that of other members of their tribe or community. Such a
knowledge was of course indispensable while acquiring information, at the
frontier customs duty, control stations, in engaging the caravansmen, etc.
According to Ibn Khordadbih, the Jewish tradesmen from Mesopotamia,
called radanniya, were reputed for having a knowledge of Arabic, Greek,

22

Haussig, Die Geschichte [...] in vorislamischer Zeit, 17.

23

Haussig, Die Geschichte [.. .] in islamischer Zeit, 181.

24

"One of the translators into Middle Persian was Doctor Burzoe, living in the sixth century",
Haussig, Die Geschichte f...] in vorislamischer Zeit, 215.

25

Haussig, Die Geschichte [...J in vorislamischer Zeit, 208-209.

26

v. Gabain, Sprachen ...,

27

Haussig, Die Geschichte [...] in vorislamischer Zeit, 209.

101.

Languages Along the Silk Road

131

Persian, also Spanish, French, German and a "Slavonic language".28 A group
of Jews living in Sogdiana used in their commercial correspondence New
Persian mixed with Sogdian and Arabic words as a lingua franca.19
We should probably distinguish between a language being a medium of
public communication of the users of the Silk Road and having, at various
epochs, a mixed character, and a professional slang of the tradesmen.
Bilingualism and multilingualism must have lead directly to the creation of
mixed languages. An example of a mixed language is Khotan-Saka, the language of the Saka people, closely related to the ancient inhabitants of Khotan
(ancient Kustana).30
As far as the problem of the lingua franca on the routes of the Silk Road is
concerned, it is difficult to go beyond mere conjectures. In Herodotus' times,
in all countries situated in the proximity of the western part of the Northern
Route leading to Central Asia, Greek was understood. The same part on the
Southern Route was played by Aramaic.31 In regard to the situation on the
Asian stretches of both routes there is no general agreement among the
scholars. According to H. W. Haussig, there existed no lingua franca at all32,
while A. v.Gabain maintains that on the Southern Route primarily Khotan-Saka
and then Sogdian were used in this character.33 The next period belonged to
the Turks as observed by Sir Aurel Stein:
"... the fact that throughout the Tarim basin, Eastern Turkish is now,
and has been for centuries, the only language spoken."34
The hypothesis about the existence of a merchant professional slang on the
Silk Road across the ages, a slang based on heterogeneous languages and dialects, continuing its phonological and morphological features and being, at the
same time, saturated with special meanings and all kinds of loan words, seems
28

Haussig, Die Geschichte [...] in islamischer Zeit, 156.

29

Ibid., 208.

30

Haussig, Die Geschichte f...] in vorislamischer Zeit, 76, 203.

31

Ibid., 90.

32

"Im Gegensatz zu diesem westlichen Teil gab es auf den von Mittelasien weiter nach Osten
führenden Abschnitten der Routen der Seidenstraße keine Lingua Franca, wie das Griechische und
das Aramäische waren", ibid.

33

"Die lingua france auf dem Südweg dürfte in früher Zeit das Chotan-Sakische, später das
Soghdische gewesen sein", v. Gabain, Sprachen ..., 98.

34
Sir Aurel Stein, On Ancient Central-Asian Tracks. Brief Narrative of Three Expeditions in
Innermos Asia and Northwestern China by..., With an Introduction by J. Mirsky. Chicago and
London (The Universiy of Chicago Press), 31.

Edward Tryjarski

132

not to be too bold; it should, however, be confirmed by the internal analysis of
the texts, no easy task. Some fragmentary information says that till the capture
of Khotan by the Karakhanids Sakian was used as a trade language (Germ.
Handelssprache, Geschâftssprache). 35 The same function in a later period had
on the Northern Route the Coman language.36
Recently H. W. Haussig suggested the existence of a quite unknown trade
language which might be evidenced by some short, not yet deciphered Runic
texts. Those runes, which no doubt are earlier than the Turkic runes, might
have belonged to the Serers. 37 This fascinating hypothesis lacks as yet
linguistic arguments.

35

Haussig, Die Geschichte f...] in islamischer Zeit, 93.

36

Ibid., 168.

37

Haussig, Die Geschichte [...] in vorislamischer Zeit, 63, 90-91; the same, Die Geschichte [...]
in islamischer Zeit, 71-72.

Language Reform Movements in Central Asia
Charles F.

CARLSON,

Munchen

0. Introduction
Although there is debate among ethnographers as to whether the national
language of a given people or area can be a criterion for determining nationhood directly, there is no denial that language is paramount to group membership and asserting national awareness.
When legislation is passed elevating the national language to the status of a
state or administrative language, no matter how small the number of its actual
users or how recent the literary language is, it becomes an even more important element of national cohesion and international relations. For example, the
Iranized, unharmonized Tashkent Uzbek dialect, which for political reasons
became the official language base and now the state language of Uzbekistan,
has been important for the current concept of Uzbekistan, even though the
harmonized traditional Kipchak-Uzbek dialects of southern Uzbekistan had
contributed more to the historical identity of the Uzbeks.1
Even though the Central Asian national languages coexist with Russian and
bilingualism is widespread, those native to the region now identify themselves
with the eponymous language; but before the Revolution, when Russian was
the official language for almost the whole of the Russian Empire, the linguistic
allegiance of the indigenous population of the republics was more towards
Russian. Non-Russian languages in that period had few rights and were consequently neglected if not actually forbidden.
The Leninist policy towards the languages of the Soviet Union following the
October Revolution was radically different at least in theory. First, there was
to be no state language; secondly, everyone was to have the right to use his
own language; and thirdly, everyone was to have the right to education in his
own language.2 However, there were practical difficulties connected with
implementing this policy, and the goal was partially abandoned. This, coupled
with natural linguistic processes and the superior status of Russians and Russian-speakers, placed the non-Russian languages of the smaller nationalities at a
disadvantage. During the Soviet period, particularly in the 1980s, discussions
1

Allworth, 237-238.

2

Comrie, 22.

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134

and complaints over the deplorable state of the national languages were prevalent in the republican press, as it was considered one of the few politically
acceptable expressions of national self-identity.
The declaration of state languages by the republics is an important factor in
their moves towards sovereignty and finally independence from the center. In
the short space of one year, from July 1989 to May 1990, all five Central
Asian republics passed legislation making the national languages state languages
and Russian the language of inter-ethnic communication.
In Central Asia issues of the preservation of national languages and their
elevation to state languages are closely associated with questions concerning
alphabets and terminology. One of the priorities in the early Soviet period was
the creation of a writing system for those languages that did not have written
forms, or for those which had written forms controlled by a small minority of
those speaking the language. 3 This was the case with the Arabic, and then the
Latin script, used earlier to represent the Turkic and Tajik languages of the
Soviet Union. Today, recognizing that in many instances their Cyrillic-based
alphabets are inadequate in representing all the phonemes of their languages, a
number of Central Asian intellectuals are recommending that their traditional
alphabets be returned, or at least that the people be given the opportunity to
learn these alphabets.
Questions centering on terminology include the elimination of Russian and
"international" terms in favor of terms found in the native languages, when
these terms exist. When the terms do not exist either in earlier stages of the
languages or in the contemporary forms, preference has been shown to select
comparable terms from other Turkic languages (in the case of Tajik, Iranian
Persian terms) and introduce these into the languages. Others feel that too
many Russian and "international" terms are simply being translated in an
arbitrary way and would be better off left in their original forms.
In the following, I will give a survey of the language laws as they have
been adopted by the Central Asian republics, refer to discussions and debates
that have preceded and followed the adoption of the laws, and make comparisons.
1. Tajikistan
On 22 July 1989, Tajikistan became the first of the Central Asian republics
to proclaim the national language of the republic the official language, with

3

Ibid., 22.

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Russian as the language of international relations. This was preceded by a call
Tajik writer Muhammadjon Shukurov made in December 1988 for Tajik to be
promoted to the status of the state language of Tajikistan.4 Then on 18 January
1989, the Presidium of the Tajik SSR Supreme Soviet established a commission
to study proposals made on the status of the Tajik language and on ways of
developing languages in the Tajik SSR. The commission subsequently came out
in favor of Tajik being declared the state language with alternative proposals
that both Tajik and Russian; or Tajik, Russian, and Uzbek (23 percent of the
population of Tajikistan is Uzbek) be declared state languages.5 The commission acknowledged that the use of Tajik was at the time "confined mainly to the
home and the street." However, fears were expressed by the commission that
the adoption of a law making Tajik the state language would result in an
outflow of the Russian population from the republic.
On 23 February 1989, TASS reported that the debate over whether to make
Tajik the state language of the republic was gaining momentum. While some
wanted Tajik to be the compulsory working language throughout Tajikistan,
others objected that this would handicap the republic's many non-Tajik ethnic
groups. (About 60% of the local population are Tajiks, the remaining 40%
being Russians, Ukrainians, Uzbeks, Tatars, Kazakhs and Turkmens). But
TASS further reported that the law, expected to be adopted that summer, would
stimulate development of the Tajik language as well, for "many Tajik university professors were compelled to hold their lectures in Russian because the
scientific vocabulary of the Tajik language had not yet been worked out."
Articles of the law proclaiming Tajik (Farsi) the state language and Russian
the language of international relations went into effect on 1 January 1990 in
accordance with a decree of the Tajik SSR Supreme Soviet.6 The same date
was set for enacting articles calling for: the "free" development, use and
preservation of the Pamir languages in the Gorno-Badakhshan Autonomous
Oblast and the "independence" this oblast was to have in deciding its own
language issues; the enactment of articles defining the legal status of the use of
Tajik, Russian, Uzbek, Kirgiz, Turkmen and other languages in the republic
and guaranteeing citizens the right to choose their own language in communicating with organs of state power and administration, enterprises and institutions;
holding officials at enterprises, institutions and organizations responsible for

4

Adabiyot va son "at, 29 December 1988.

5

Kommunist Tadzhikistana, 25 February, 1989.

6

Ibid., 30 July 1989.

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136

communicating with citizens in the state language, the Russian language, or in
both; demanding that administrative matters be carried out in Tajik, or in the
language of the majority of the populace in a given locality; skill-enhancement
training in the state language, Russian or Uzbek; for titles given to ministries,
state organizations and departments and enterprises to be in the state language
with Russian translations; guaranteeing the preservation of Tajik toponyms and
other names; and granting citizens of the Tajik SSR the right to name in
accordance with their national traditions.
This means that, unlike the language laws of other Central Asian republics,
Tajikistan enacted essentially all the articles of its language law immediately
following its passage. Even though concessions were made to the development
and teaching of Russian, Uzbek and other languages of the republic, this haste
in enacting the Tajik language law was met with indignation by the non-Tajik
language speakers in the republic who demanded that the obligatory use of
Tajik be introduced gradually.
It is also not clear just why the Tajik SSR Supreme Soviet was so hasty in
setting the language law into motion and possibly precipitating an even greater
outflow when so many Russians and non-indigenous nationalities had been
leaving the republic even before the adoption of the law.7 In an interview with
the then CP First Secretary of Tajikistan Kakhar Makhamov in December,
19908, he reported that out-migration in the first three quarters of 1990 exceeded 65,000 (including 35,000 Russians). (The Dushanbe violence of February
1990 undoubtedly contributed to this outflow.) The outflow of skilled workers
has raised fears over an unfavorable shift in the labor force of the republic. But
the Tajiks still contend that the enactment of the language law was not the main
cause of the out-migration.
With reference to the special concessions made by the Tajik language law
to developing and teaching the Uzbek language in the republic, it is possible
that this resulted from fears that the differences with Uzbekistan over the
treatment of Uzbeks in Tajikistan would escalate.
There has been only minimal discussion of the Tajik language law in the
republican press since its passage; but soon after a special commission was
created to investigate terminology being used and recommend Tajik equivalents
for Russian and other "international" terms. Members of the commission are of
the view that Iranian Persian could serve as a source of terms needed in Soviet
Tajik for Russian and other foreign scientific, political, and economic terms for

7

Komsomolets Tadzhikistana, 25 February, 1989.

8

Moscow News, 30 December 1990.

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which Tajik has no equivalents. However, there are those who believe this
would lead to an Iranian Persian contamination of Soviet Tajik. Certain members of the commission also insist on the return of the Arabic script; others say
this would create too many difficulties and that Latin should come first. There
is, however, a general consensus that training in the Arabic script should be an
integral part of the school curriculum.
2. Kazakhstan
On 22 September 1989, the Supreme Soviet of Kazakhstan adopted a law
making Kazakh the state language of the republic and giving Russian the
special status as the language of interethnic communication.9 This followed the
publication of a draft language law on 22 August 1989.10 The Kazakh language law subsequently went into effect on 1 July 1990 (following the declaration
of sovereignty on 7 June 1990) in compliance with a 22 September resolution
of the Kazakh SSR Supreme Soviet, with deadlines set for the gradual introduction of certain provisions of the law "in all spheres of public life".
Article 19, which calls for the inclusion of Kazakh and Russian as required
subjects in the curriculum of secondary and vocational schools of the republic
and institutions of higher learning and for instruction to take place in these
languages, will enter into force within 10 years. The same period was given for
Article 20, which states that school examinations will take place in the language of instruction. Five years after the enactment of the law, Article 16 will go
into effect. This requires employees of state and social offices and organizations and educational institutions, as well as personnel in communications and
the media, to "greet citizens and speak with them in the language in which they
are addressed" and to "master the Kazakh and Russian languages"; and in
locations where other national groups live, "to reach a necessary level to
execute their tasks in the languages of those people living in these areas."
The Kazakh language law not only grants official state status to Kazakh and
equal importance to Russian, but it also gives local official language status to
languages of other national groups living within the territory of the republic.
This includes the right of all citizens of the republic to choose his or her
language of social communication or official correspondence. Official documents of the republican state government and administration are to be approved
in Kazakh and Russian, while documents on a local government and administrative level may also be approved in the local official languages, depending
9

Kazakhstanskaya pravda, 28 September 1989.

10

Sotsialistik Qazaqstan, 22 August 1989.

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Charles F. Carlson

on the language customarily used in legal proceedings in the region. Court
proceedings shall take place in Kazakh or Russian, or in the language spoken
by the majority in a given locality.
The law states that traditional toponyms shall be maintained in Kazakh, and
other languages according to rule. However, the naming of institutions, industries, organizations and their departments shall be in Kazakh with Russian
translations, and in other national languages according to the situation. The
national literary languages shall be used when writing the names of individuals,
the names of parents, families, and ethnonyms. Official seals and stamps of
industries, institutions and organizations are to be written in both Kazakh and
Russian; while texts of signs, announcements, official posters, catalogues, and
price indicators are to be rendered in Kazakh and Russian, and in the native
languages of other national groups.
The final version of the Kazakh language law differs from the draft in the
obvious concessions the former makes to the Russian language. The role of
Russian is elevated from functioning merely as the language of interethnic
communication "together with the state language" in the draft law to "guaranteeing" its free usage "on the same level as the state language" in the final
version. Instead of charging the Kazakh SSR with what the draft law describes
as the "multi-faceted development of bilingualism and multi-lingualism" in the
republic, the final version of the law provides for the development of nationalRussian and Russian-national bilingualism, giving more prominence to the role
of Russian.
By emphasizing the role of Russian in the language law, the Kazakhs may
be trying to make concessions to the large Russian population of the republic
(37.8 percent of the population) and to prevent as much negative reaction from
them as possible. While data from the 1989 census show that the Kazakhs are
now the most numerous nationality in Kazakhstan (39.7 percent of the republic's population), they still make up less than half the population with Russians comprising 37.8 percent. Census data further indicate that 98.6 percent of
Kazakhs living in Kazakhstan consider Kazakh to be their native language,
While 62.8% of the Kazakhs indicated a knowledge of Russian in 1989, only
56,000 Russian inhabitants of the republic claimed Kazakh as a second language. It may be due to the enactment of the language law imposing mandatory
knowledge of Kazakh that is precipitating the present outmigration of Russians
from the republic.
On 1 July 1990, the date the Kazakh language law went into effect, the
Kazakhstan Supreme Soviet and Council of Ministers published in the press the
outline of a project for the development of Kazakh and other languages of the

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republic by the year 2000." The Kazakh language development project is
divided into seven sections: I. Use of the Kazakh Language, II. Educational
Role of the Kazakh Language, III. Kazakh Language in Culture and Mass
Media, IV. Kazakh Language and Science, V. Importance of Studying Russian,
VI. The Need to Develop Languages of Other Peoples of Kazakhstan, VII.
Financial Support.
The Kazakh language law and the project for the development of Kazakh
and other languages of the republic by the year 2000 were not only enacted to
support state sovereignty, but in response to alarm raised over the state of the
Kazakh language in the republic and sensitivities over the numerical weakness
of Kazakhs. In an article accompanying the project, 12 Mirzatay Joldasbekov,
a member of the Kazakh SSR Presidential Council, observed that "among the
intelligentsia of the republic, the Kazakh language is not used as a mother
tongue." If this trend continues, he warns, "the Kazakh language will eventually die."
Subsequent discussion of the Kazakh language law ranges from support to
criticism over mandatory Kazakh language acquisition. In the above cited
article, Joldasbekov has attributed the enactment of the language law to the
precarious situation of the Kazakh language in the republic. "Around 40% of
the population of Kazakhstan cannot speak their mother tongue well", he observed. These people cannot be blamed for their lack of expertise in Kazakh;
"they were the victims of false principles and ideas that without Russian it is
impossible to make a career in the Soviet Union."
An inhabitant of the North Kazakhstan oblast has warned that the language
law has the potential to foment interethnic conflict.13 He pointed out that
although Kazakhs make up only 18% of the oblast's population, the law stipulates that official business must be conducted in Kazakh—a language that half
of the young Kazakhs in the oblast do not know.
Dos Koshimov, Head of the Kazakh Language Society, called the Kazakh
language law "the most unstable, unprecise of all the laws so far approved." 14
He criticized the stipulation in the law that Russian be given equal status with
the state language in so many official functions by also insisting on Russian
translations of documents.

11

Ibid., 1 July 1990.

12

JOLDASBEKOV, Mirzatay, "On Language", ibid.

13

Izvestia, 19 March 1991.

14

Aray, 5 May 1991.

Charles F. Carlson

140

Koshimov observed a lack of consistency between the language situation in
the republic prior to the law and now. Before, when bilingualism was in force,
only Russian was spoken in industries, offices and educational institutions; and
all official documents and posters were written in Russian. Now, at the time
when Kazakh is recognized as the state language, there is a shift to bilingualism—that is, equal recognition of the Russian language.
In October 1989, just after the Kazakh Supreme Soviet adopted the language law, the Kazakh Language Association was founded. The orientation of the
Association is to help facilitate the enactment of the language law, particularly
in respect to the Kazakh language by "preserving and refining" its use, increasing the teaching of Kazakh in the republic's schools, and broadening the
use of Kazakh in books and the media.15 The officially recognized Kazakh
Language Association is one of the most popular societies in Kazakhstan with
a membership of nearly one million. The Association publishes its own weekly
called Ana tili.
On 6 May 1991 a further step was taken in Kazakhstan to consolidate the
language law by the drafting of a law requiring citizens to uphold the sovereignty of the republic, accept its present borders, and actively participate in the
use of its state language in public life.16
Possibly in compliance with the state language law, efforts are now being
made in Kazakhstan to introduce terms, especially political terms, that are not
based on equivalent Russian terms, but other Turkic languages. For example,
rather than borrowing the Russian word soverenitet to indicate this concept, the
Kazakhs chose the term egemendik—a possible borrowing from Anatolian Turkish egemenlik, the dictionary meaning of which is 'sovereignty'. Efforts by
the Terminological Committee attached to the Kazakh Council of Ministers to
substitute native Kazakh terms for international and Russian words before the
language law and since have resulted in Kazakh names of the months instead
of "international" month names and a number of native Kazakh political and
administrative terms, not all of which have been successfully integrated into the
language (e.g., jarlyq instead of ukaz, otbasy instead of sem'ya).
Dissatisfaction with the present Cyrillic-based alphabet has not been expressed in the Kazakh press to the extent this subject is discussed in the press
of other Central Asian republics. Linguists in Kazakhstan may feel that the
individual graphemes of their present alphabet represent the phonemes in the
Kazakh literary language sufficiently well, and a further revision of the present
15

Ana tili. No. 1, 22.

16

Izvestia, 6 May 1991.

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alphabet or introduction of an adapted Arabic script is not really warranted.
However, the republican Kazakh Language Association daily is publishing on
a regular basis lessons in the Arabic script and even lessons in the old Turkic
Runic alphabet in an effort to provide readers with tools needed to acquaint
themselves with earlier literature and Kazakh cultural traditions.
3. Kirgizstan
On 23 September 1989, just a week before the adoption of the Kazakh state
language law, the Kirgiz SSR passed a law proclaiming Kirgiz the state language of Kirgizstan and "a symbol of independence of the Kirgiz SSR", and
likewise Russian the language of interethnic communication. 17 The law was
implemented as a result of the "harm the Kirgiz language suffered from the
Leninist policies throughout the years" and the necessity of both preserving the
language and increasing its role in public life. It is emphasized in the preamble
to the law that the situation of the Russian language in the republic will not be
harmed through the implementation of the law, "nor will it harm either the
Kirgiz nor those who do not speak Kirgiz. "
Accompanying the law was a resolution on the implementation of the Kirgiz
language law, according to which Articles 8, 9, 11, 17, 19 and 30 of the law
would go into effect as follows beginning 1 October 1989: Between 1989 and
1998, proceedings of the Kirgiz SSR government power, enterprises, institutions and organizations will be conducted in the state language; but as the
transition to the state language is being made, Russian and other languages are
to be used as well (Articles 11, 17 and 19). The Kirgiz Council of Ministers
shall take the necessary steps to teach the state language to leaders and all other
personnel who deal with citizens of the republic in organs of state and government power, educational institutions, health, culture, communications,
transportation, courts and marketing (Article 8). Between 1990 and 1995,
forms, blanks, and instructions used in offices are to be in the state language.
Beginning 1 November 1989, citizens were to be issued personal identification
documents with their names and family names written in a way to "preserve
their national traditions"; from 1 July 1990, citizens would be able to change
their names on personal documents if they so desired (Article 30). By 1990,
peoples' deputies of local soviets are to have completed place-name changes
into Kirgiz in accordance with the language law.
In addition to increasing the role of Kirgiz, the law emphasizes that the
situation of other languages of other nations living in Kirgizstan "will be
11

Sovettik Kyrgyzstan, 29 September 1989.

142

Charles F. Carlson

improved." Schools that earlier taught only in Russian will henceforward be
required to teach in Kirgiz as well. In areas where other nationalities live
(Uzbeks, Tajiks, Germans, Dungans, Uighurs) more schools that teach in these
languages will be established. Scientists working in the republic can choose
either Kirgiz or Russian in carrying out research.
Unlike the Kazakh language law, the Kirgiz law includes a paragraph
calling on schools and other educational institutions to provide instruction in
the earlier Kirgiz alphabets that were based on the Latin and Arabic scripts, in
an obvious effort to help students learn more about Kirgiz history and traditions
by being able to read earlier documents.
While the Kirgiz language law stipulates that the use of Russian in official
transactions will be phased out by 1999 in favor of the state language, the
Kazakh law places Kazakh and Russian almost on the same level with no
reference to a schedule for Russian. Unlike Kazakhstan, Kirgizstan which also
has a large Slav population (30% of the population) does not seem to consider
it necessary to make concessions to the Russians.
In contrast to the situation of the language law in Kazakhstan, where articles
complaining about and in support of the language law have been only sporadic,
the Kirgiz press has abounded with articles discussing their language law, both
before and after its passage. Weeks before the law was passed, but nevertheless
after the draft was prepared, the Kirgiz press published interviews on the
language law with L. Levitin, Responsible Head for Raising Qualifications in
the Kirgiz Council of Ministers, and M. Rudov, Member of the Commission
of the CC CP of Kirgizstan.18 In the view of both Levitin and Rudov, since
Russian has for so long been used in office work and has served as a means of
communication between peoples of the republic who have no command of
Kirgiz, Russian should not be phased out but should be placed on the same
level as Kirgiz. Before Kirgiz can become a state language, "conflicts between
the Kirgiz and Russians and Kirgiz and Uzbeks must first be solved," Rudov
recommends. Levitin admits that Kirgiz is being neglected in the republic and
should be developed. He believes that it is redundant to proclaim Kirgiz a state
language when the language or languages of the republic are obvious.
Nevertheless, Levitin believes that Kirgiz should be recognized in the
constitution of the republic, but that sovereignty should first be established
before Kirgiz becomes the state language. Rudov believes it is especially
important to raise the level of Kirgiz-language acquisition in Bishkek to that of
Russian, which is widely spoken there even by the Kirgiz.

18

Sovetskaya Kirgiziya, 1 September 1989 and 23 August 1989.

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Following the passage of the language law on December 21-22, 1989, a
conference was sponsored by the Language and Literature Institute of the
Kirgiz Academy of Sciences on issues connected with the Kirgiz language, the
state language law and the enactment of the law. 19 In her report to the conference the head of the Terminological Committee of the Institute, T. D. Diiyshonalieva, advocated that international words now being introduced in the
Kirgiz language should be rendered into Kirgiz by resurrecting older words in
the Kirgiz language that were lost during the Soviet period. Special scientific,
political and economic terms are needed in Kirgiz instead of the "mixture" of
Kirgiz and Russian words used in schools, she added.
At the conference, C.J.Musaev, the Head of the Institute, spoke about problems connected with the alphabet and orthography of the present Kirgiz
literary language. Musaev contended that the present Cyrillic-based Kirgiz
alphabet is not suitable for the Kirgiz literary language because not all the
phonemes in the language are represented by letters. Musaev reported that the
Institute is presently working on a new alphabet consisting of 30 letters, which
they believe will be more suitable for the Kirgiz language. However, in the
view of another speaker, T. Choroev, Head of the Historical Section of the
Kirgiz State University, the Arabic alphabet would be the most suitable vehicle
for rendering the Kirgiz language, particularly because of the success the
alphabet has had among the Kirgiz of China.
On 5 May 1990, just seven months after the enactment of the language law,
Kirgiz TV carried a special program devoted to issues connected with the law,
with prominent specialists on the Kirgiz language and students. 20
Professor B. Umetalieva reported in the program that Kirgizstan is becoming
"mixed" with Russian to the extent that Kirgiz even living in the villages use
"five words in Kirgiz and five in Russian as they speak." Regarding the question of terminology, Kirgiz linguist and educator T. Akmatov recommended the
establishment of a terminology committee that could produce a dictionary of
new terms—terms that could then be introduced by newspapers for incorporation into the Kirgiz language. This would be instituted to avoid the trend that
is now taking place of translating everything into Kirgiz by bringing back
words from earlier stages of the language, including words from Arabic. "As
long as modern Kirgiz has suitable terms, not necessarily from the older stages
of the Kirgiz language, these terms should be retained," Akmatov advised. In
this case Russian words would not be needed, he concluded. After the language

19

Mugalim gazetasi, 29 December 1989.

20

Leninchil josh, 5 May 1990.

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Charles F. Carlson

law went into effect, the older word insan 'human being, man, mankind' (from
Arabic) was substituted for the Kirgiz word kishi. "Why should a more philosophical term like insan be used when we have a perfectly suitable word in
modern Kirgiz?," it was asked. But new Russian words, like kommunist,
komsomol, komitet, that do not have suitable equivalents in Kirgiz, should
remain in their original form. It is simply not necessary to "translate everything
into Kirgiz," the program concluded.
In July 1990, nine months after the language law was passed, the Kirgiz
Council of Ministers sent a special commission to the city of Tokmok to learn
what progress had taken place in connection with the law.21 It was found that
although a commission had been established in Tokmok to implement the law
and a conference had taken place on 15 March 1990 devoted to the law, all that
had changed in the city were names of local shops that had been translated into
Kirgiz. For example, when commission members entered complexes, they
found announcements and posters still in Russian. The Russian-speaking
directors of schools, factories and other organizations seemed to have "cast
aside" the law "leaving everything in Russian," the committee found.
A commission reporting on the situation in the capital Bishkek reported in
May 199022 that several districts in the city had opened Kirgiz-language
schools, and special classes for Kirgiz-language instruction had been introduced
in other schools. This has provided opportunities for 21,000 Kirgiz children to
learn their mother language. In addition, Russian schools in the city have
started Kirgiz courses. The commission reported that as a result 11,000 Russian
children are now learning Kirgiz.
However, there are still problems in the city of Bishkek. There are not
enough Kirgiz language teachers, one reason being that teachers with the
desired qualifications cannot live in the capital because of the housing shortage.
The commission estimated that if sufficient housing could be provided, then
"50% of the problems connected with the language law in Bishkek would be
solved." Lack of housing is also responsible for the inability of Kirgiz-language
speakers to move from the villages to Bishkek and replace Russian-speakers in
factories, shops, transportation, and health services, where the majority of
employees are Russian-speakers.
On 21 September 1991, the second anniversary of the passage of the Kirgiz
language law, the Kirgiz press published a report devoted to progress made so

21

Sovettik Kyrgyzstan, 7 June 1990.

22

Ibid., 6 May 1990.

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far. 23 According to the report, official documents have now started to be
written in Kirgiz, and in the next one or two years, steps will be taken in all
other rayons, cities, oblasts, and institutes to conduct official business in this
language.
4. Uzbekistan
In Uzbekistan the passage of the language law was preceded by controversy
and intense discussions on a scale exceeding debates surrounding language laws
in other Central Asian republics. Concerned over the declining state of the
Uzbek language, around 600 students of Tashkent State University held an
unofficial Uzbek language festival on 3 December 1988 resulting in the drafting
of a petition to the Uzbekistan CP Central Committee demanding that Uzbek be
proclaimed the state language of the Uzbek SSR.24 On 20 March 1989 several
thousand people demonstrated in Tashkent to press demands that Uzbek be
made the republic's official language.25 The demonstrators were addressed by
Mirzaolim Ibragimov, then Chairman of the Uzbek SSR Supreme Soviet
Presidium, who announced that measures were being taken to enhance the
status of the Uzbek language. In April of that same year the Uzbek popular
front Birlik organized a demonstration in Tashkent calling for official recognition of the Uzbek language.26
On 16 April 1989 Pravda published a lengthy article by E. Yusupov,
Leader of the Uzbek CP CC Ideological Commission Working Group for the
Study of Language Problems, admonishing people to refrain from demonstrations and rallies and, instead, "examine objectively the condition of national
languages and their interaction." In his article, Yusupov announced the formation of a special working group under the Uzbek CP CC Ideological Commission to study the language situation in the republic and public opinion on this
question, to work out prospects for developing the Uzbek language, to promote
national-Russian and other forms of bilingualism, and to resolve problems in
developing the languages of other peoples living in the republic. After taking
into account the tens of thousands of qualified Uzbek-language specialists and
teachers, school technical facilities, textbooks and manuals all needed to instruct people in Uzbek, the working group submitted its recommendations to

23

Kyrgyz tuusu, 21 September 1991.

24

Yash leninchi, 13 Januar 1989.

25

Reuter, 20 March 1989.

24

Telephone report to Uzbek Service, Radio Liberty, 13 April 1989.

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Charles F. Carlson

the Uzbek CP CC Ideological Commission on granting Uzbek the status of
state language and developing bilingualism and the languages of the peoples
living in the republic.
The Uzbek draft language law was published in the Uzbek press on 18 June
198927; a revised version was published on 11 October 198928; and on 21
October the Supreme Soviet of the republic passed the law making Uzbek the
state language and "ensuring free and equal use of the Russian language as a
language of inter-ethnic communication. "29 The law was passed several weeks
after comparable laws were passed in Kazakhstan, Kirgizia and Tajikistan
possibly because the controversy surrounding the Uzbek law was much greater
than in the other Central Asian republics. In fact, sources in Tashkent reported
that 50,000 opponents of the law, including members of Birlik, demonstrated
just before the passage of the law and demanded that Uzbek be made not just
the state language but the language of inter-ethnic communication as well.
While Russian is proclaimed the language of inter-ethnic communication by
all versions of the Uzbek language law, the final version does not place Russian on the same level as that of the state language (as, for example, in Kazakhstan) nor does it call for the development of Russian-language teaching in
schools. (The final version of the law mentions Russian far less than the first
draft.) This may have been due to pressure from the Uzbek Writers' Union
which met on 12 July in Tashkent, a few weeks after the first draft was published, and rejected the "bilingualism" of the bill as incompatible with their
insistence that the dominant language must be Uzbek.
Since there is a relatively smaller number of Russians (roughly 10% of the
population) living in Uzbekistan in comparison with figures like 37.8 percent
of the population in Kazakhstan, the need for developing the teaching of this
language in Uzbekistan would seem to be much less. It would also be superfluous to provide for the development of Russian given the fact that as many as
49.3 percent of the population already claimed Russian as a second language in
the 1979 census.
While the Uzbek language law proclaims Uzbek to be the state language
within the territory of the Uzbek SSR, the Karakalpak ASSR is understandably
exempted from this condition and is given the right to determine its own
language policies. Except for Tajikistan, this differs from the language laws of
the other Central Asian republics which do not give their autonomous oblasts
27

Pravda vostoka, 18 June 1989.

28

Ibid., 11 October 1989.

M

Ibid., 24 October 1989.

Language Reform Movements in Central Asia

147

the right to determine their language policies in favor of the predominant
nationality living in these regions (e.g., the Uzbek-speakers in the Osh Oblast
of Kirgizstan). Concessions are made in the Uzbek language law to the development of other languages of the republic, in addition to Uzbek, Russian and
Karakalpak (Tajik, Kazakh, Kirgiz, Turkmen) in offices and schools. There is
also a guarantee that Uzbeks living outside the Uzbek SSR will be provided
with the necessary tools to maintain the Uzbek language.
As with the other Central Asian language laws, the Uzbek Supreme Soviet
set a schedule for enacting the various articles of the Uzbek language law.
Articles 4, 7 and 8 were to go into force eight years following the passage of
the law. (Article 4 requires officials in state organs and administration to
acquire a knowledge of the state language sufficient enough to be able to
discharge their responsibilities in that language. Article 7 requires that office
work in organizations and enterprises be conducted in the state language; but
in offices where the majority do not know Uzbek, office work may be conducted in Russian or other languages. Article 8 requires that financial-statistical
documents in enterprises, institutions and organizations be written in the state
language and translated into Russian.) Articles 5 and 24 were to go into effect
in three years. (Article 5 states that conferences, plenums, and other official
gatherings shall be conducted in the state language with synchronic translations
if necessary. In organizations and offices in which representatives of individual
nationalities constitute a majority, the meetings are to be held in the state
language, as well as in the language confirmed by the participants of the
meeting. International conferences, symposia, and other meetings in the Uzbek
SSR may be held in the state language, as well as any language chosen by the
participants. Article 24 states that names of cities, villages, squares, streets and
other geographical entities, as well as offices and organizations, are to be
named according to national traditions and are to be given in the state language
as well.) In 1991-92, Article 16 was to go into effect. Article 16 states that in
Uzbek-language schools and groups and in secondary, specialized and higher
educational establishments where the language of instruction is also Uzbek, the
teaching of Uzbek writing in the Arabic script is to be carried out. In the
Uzbek SSR conditions are being created for those who want to study this
alphabet as a tool for reading the Uzbek classics. Article 22, which goes into
effect from 1991, states that texts of official documents, stamps, and headed
note paper for state and social organizations are to be prepared in the state
language and duplicated in Russian. Signs and posters are to be in both Uzbek
and Russian, as well as labels and instructions of manufactured articles.
On 24 October 1989, the same day it published the final version of the
Uzbek law on language, the Presidium of the Uzbek Supreme Soviet passed a

Charles F. Carlson

148

decree which amended the Constitution of the Uzbek SSR with a paragraph
proclaiming Uzbek to be the state language of the republic (with no special
mention of the Karakalpak ASSR), Russian to be the language of inter-ethnic
communication, and the freedom of choice to choose either of the above two
or any other language spoken in Uzbekistan.30 So far, Uzbekistan is the only
Central Asian republic to have amended its constitution with a clause on the
state language. But Uzbekistan is the republic where the greatest amount of
controversy occurred over the language law. Incorporating the language law
into the Uzbek Constitution may have been simply an effort to make concessions to those demonstrating on behalf of the Uzbek language prior to the law
and appease the concern of speakers of other languages. It may have also been
a move to hasten and ensure national and state sovereignty, which was subsequently declared on 20 June 1990.
The dearth of discussions and criticisms in the Uzbek press following the
passage of the Uzbek language law may be indicative of general satisfaction
with the law, particularly among members of Birlik and the Uzbekistan Writers' Union, who consider the passage of the law an important step in the
development of the Uzbek language. An effort to implement the law was made
with the founding of the Association of Uzbekistan Linguists, the "rules and
regulations" of which were published in January 1990 in the Uzbek pedagogical
newspaper.31 The main tasks of the Association, which was founded with the
support of the Historical, Linguistic and Literary sections of the Uzbekistan
Academy of Sciences, are to make broad recommendations to organizations to
study the ideas of Uzbek language specialists and to take the necessary measures; to provide the necessary help in studying issues of the present-day Uzbek
language, the dialects and the history of the Uzbek language, bilingualism and
multi-lingualism, and relations between Uzbek, Russian and other languages of
the republic; and to study the languages of the peoples living in the territory of
the Uzbek SSR.
Subsequent discussions in the Uzbek press have therefore focused on
specific issues connected with the Uzbek language, including the alphabet and
terminology.
5. Turkmenistan
On 24 May 1990, Turkmenistan became the last Central Asian republic to
pass a language law making Turkmen the state language but the only Central
30

ibid.

31

Oqituvchilar gazetasi, 17 January 1990.

Language Reform Movements in Central Asia

149

Asian republic to make the national language the language of international
relations in addition to Russian.32 Like other language laws with the exception
of the one of Tajikistan, the Turkmen language law includes a schedule providing dates for the enactment of the various articles: the obligatory use of the
state language in organs of state power and administration, public organizations
and enterprises by 1998 and its inclusion in the spheres of education, science
and culture by 1996.
The decision by Turkmenistan to declare its language law followed a rather
heated debate between Turkmen intellectuals and government officials over the
draft language law that had been published by a state-appointed commission on
1 February 1990.33 Fearing that passage of the law might create a backlash
among the republic's nonindigenous population (e.g., the Russians who accounted for 9.5 percent of the republic's population, according to the 1989 census),
government officials changed the draft law making it much weaker. Intellectuals, including members of the Turkmen popular front Agzybirlik, were most
likely concerned over the impoverished state of the Turkmen language, the fact
that many Turkmens do not have an adequate command of their native language, and that Turkmen language instruction is below standard. A conflict of
opinion thus arose between government officials and intellectuals who demanded a passage of the language law in its original draft form. To the surprise of
everyone, the version of the law passed by the Supreme Soviet in May 1990
was identical with the draft law that had been published in February of that
year, suggesting that government officials had decided it was best to yield to
the arguments of the intelligentsia.
If it had not been for public pressure from intellectuals to pass a language
law and the model provided previously by other republics on their road towards
sovereignty, Turkmenistan may not have had a language law at all. It was on
1 February 1990 that Turkmenskaya iskra published an elaborate state program
for the "development and expansion of the sphere of functioning of the Turkmen language, and the improvement of the teaching of Russian and other
languages". The program duplicated the language law in every respect and, in
addition, provided a detailed timetable for the introduction of the various
articles. The program even called for a further improvement and development
of not only Russian, but Uzbek and Kazakh as well.

32

Turkmenskaya iskra, 27 May 1990.

33

Ibid., 1 February 1990.

ISO

Charles F. Carlson

Conclusions
All five Central Asian republics have passed legislation making the national
languages state languages and Russian the language of inter-ethnic relations. In
the case of Turkmenistan, in addition to becoming the state language, Turkmen
became the language of inter-ethnic relations along with Russian. The laws, in
general, have also provided for the free use and development of languages
spoken by other nationalities of the republics, and in the case of Tajikistan and
Uzbekistan, have given specific regions jurisdiction over language matters.
With the exception of the Tajik law, the Central Asian language laws were all
accompanied with a timetable giving specific dates between 1990 and 1999 by
which time the various articles of the laws should be implemented. The Tajik
law specified 1 January 1990 for the implementation of the full law.
So far, Uzbekistan is the only Central Asian republic with constitutional
provisions enforcing the language law. While intellectuals and informal groups
of other republics have pushed for the inclusion of the language law into their
constitutions, there have been no moves made so far in this direction.
While the language laws generally ensure the right of minority groups to
use and develop their native languages freely, there is fear that since speakers
of these languages may come to feel themselves second class citizens, such
legislation may not be enforced and the situation of their languages will deteriorate even further. Karakalpaks, for example, may fear that since a constitutional provision was made only for the state language of the Uzbek SSR,
the Karakalpak language may lose out in favor of Uzbek.
In most cases the complaints, demonstrations and discussions, as well as the
pressure from intellectuals and informal groups, that were in evidence between
the publication of the draft language laws and the passage of the final versions
influenced the drafters of the laws to reduce the number of times Russian was
mentioned in the drafts and lessen its importance. However, the final version
of the Turkmen law was identical with the draft; and since the Russian population of Kazakhstan is greater than that of the other Central Asian republics, the
final version of the Kazakh language law places more emphasis on Russian than
the draft. With declarations of sovereignty and independence from the center
and the large outflow of Russians that is taking place from the republics, partly
as a result of the passage of language laws requiring national language acquisition by all citizens of the republics, it is expected that the role of Russian will
become even less. With independence, there may even be an interest in treating
Russian in the same way the provincial government of French-speaking Quebec, Canada responded to the linguistic expansion of English—in effect,
banning its use in many areas of public life.

Language Reform Movements in Central Asia

151

But until this happens, even though Russian is the language most understood
between the republics, elevating it to the status of the language of inter-ethnic
relations tends to further bilingualism and places Russian on the same level as
the state language. In the words of Uzbek poet and spokesman for Uzbek
national causes, Muhammad Salih, "this in reality makes Russian the state
language and gives it legal standing."34 Because of language contamination,
language questions may no longer be restricted to "mono-," "bi-," or even
"multi-lingualism." Enhancing the status of Russian may add even more to the
tendency already in existence, where long periods of co-existence have produced speakers who mix Russian with terms in their own native languages,
resulting in "semilingualism" or unorthodox linguistic hybrids, or "pidgin"
languages. The final results are speakers who cannot speak either language
correctly. In other words, rather than enhancing the status of the national
languages, the language laws declaring state languages may doom these languages to further attrition.
At this time when the Central Asian republics have declared state and
national sovereignty and democratic movements are developing, any effort to
place restrictions that affect people as intimately as language may be considered
by some as running counter to democratic principles. It has even been argued
that imposing laws proclaiming state languages is unnecessary in republics that
are relatively ethnically homogenous. But all this will become an issue only if
the laws are enforced; and to enforce the laws, the numerous complex practical
issues that remain (finding adequate financial support, human resources to train
language teachers, pay for additional tuition and textbooks, preventing mass
exodus of non-native speakers from the republics, and ratifying measures to
ensure that the laws are enforced) must first be resolved. In any case, it may
take several generations before a full transition to a state language can be
realized, especially given the situation that there are many people native to the
areas who do not know the languages in question.

34

Ozbekistan adabiyati va san'ati, 21 July 1989.

Charles F. Carlson

152

Bibliography
ALLWORTH, Edward A., The Modern Uzbeks, Hoover Institution Press, 1990.
Bess, "Kazakhs Now Largest National Group in Kazakhstan", Report
on the USSR, Vol. 2, Number 18, 4 May 1990.

BROWN,

CARLSON, Charles F., "Turkmenistan: Inching towards Democratization",
Report on the USSR, Vol. 3, 4 January 1991.
COMRIE, Bernard, The Languages of the Soviet Union, Cambridge University
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James, "Uzbek Language Bill Sets Tongues Loose", Report on
the USSR, Vol. 1, Number 38, 22 September 1989.

CRITCHLOW,

DAILEY, Erika, "Report on the Status of Non-Russian Languages in the
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Press, 1990.

HOBSBAWM, E.

SHEEHY, Ann, "Exodus of Nonindigenous Population from Novyi Uzen' and
Fergana Valley", Report on the USSR, Vol. 1, Number 36, 8 September
1989.

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30,1 %

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163

164

Die kirgizische Sprache als Staatssprache unter neuen
Voraussetzungen
Bubiyna O.

ORUZBAEVA,

BiSkek

Seit 1936 gehörte das heutige Kirgizstan als Unionsrepublik zur UdSSR.
Auf der Grundlage des Unionsvertrages von 1922, in dem Rechte bis hin zur
Absonderung als selbständiger Staat vorgesehen waren, genoß es de iure
Souveränität. De facto allerdings sollte in der fünfzigjährigen Geschichte der
Unionsrepublik eine große Diskrepanz zwischen der proklamierten Unabhängigkeit und den realen Zuständen aufrecht bleiben. — Mit der Deklaration vom
März 1990 wurde die staatliche Unabhängigkeit der Republik Kirgizstan
verkündet; ihr zufolge ist Kirgizstan ein "multinationaler souveräner Staat"; der
Souveränitätsträger "ist das Volk Kirgizstans", "ihr Territorium ist unverletzbar" (S. 1, 2, 7). Die Republik "bestimmt selbständig ihren Namen und
begründet ihre Staatssymbolik: das Wappen, die Fahne, die Hymne und die
Sprache" (S. 9).
In der Deklaration werden auch andere Bestimmungen niedergelegt, die mit
solchen aus der Konstitution der UdSSR und der Kirgizischen SSR übereinstimmen. Ende August 1991 ist nun allerdings die Unabhängigkeit der Republik
proklamiert, und der Oberste Sowjet der Republik hat seine Zustimmung zum
Beitritt zur Gemeinschaft Unabhängiger Staaten auf konföderativer Basis
gegeben; dies ist ein weiterer ernsthafter Schritt auf dem Weg zu einer
funktionierenden Souveränität.
In diesem Zusammenhang wird dem Status der Nationalsprache, des
Kirgizischen, besondere Bedeutung beigemessen. Sprache der ursprünglichen
Bevölkerung und der Mehrzahl der Staatsbürger Kirgizstans ist das Kirgizische,
eine der ältesten Türksprachen, und in dieser Sprache waren wichtige
Kulturwerte geschaffen worden. Gleichwohl ist es angesichts der Situation, die
sich in den vergangenen 70 Jahren eingestellt hatte, in denen diese Sprache
schrittweise ihre grundlegenden Funktionen verlor, notwendig geworden, "auf
gesetzgeberischer Grundlage mit Hilfe der legislativen Institutionen Sondermaßnahmen im Sinne von Schutz und Entwicklung" des Kirgizischen zu ergreifen
(S. 19). Am 23. September 1989 wurde ein Gesetz verabschiedet, das der
kirgizischen Sprache den Status der Staatssprache (gosudarstvennyj jazyk)
verliehen hat.
Daß die kirgizische Sprache zur Staatssprache erklärt wurde, hängt ganz
grundlegend, wie bereits gesagt, mit dem Begriff der Eigenstaatlichkeit

166

Bubiyna O. Oruzbaeva

zusammen; die Sprache gilt, analog zu Hymne, Fahne und Wappen, als
Attribut der Republik. Als Funktionsbereich sind ihr "... alle Bereiche
staatlichen und öffentlichen Wirkens auf dem Gebiet von Wirtschaft,
Wissenschaft und Technik, Volksbildung und Kultur, Kommunikation der
Staatsbürger" zugewiesen (S. 2). Gleichzeitig "garantiert [das Gesetz] die
umfassende Entwicklung der Staatssprache" und garantiert die Finanzierung
eines staatlichen Programms mit diesem Ziel (S. 3). In Würdigung der realen
Gegebenheiten sind zugleich Verordnungen wie die über die Zuerkennung der
Funktion als Mittel der "zwischennationalen Kommunikation der Völker der
UdSSR" an das Russische und über die Verpflichtung zur Gewährleistung der
"freien Entwicklung der Sprachen anderer in der Republik lebenden
Nationalitäten" ergangen (S. 4). Parallel dazu reglementiert das Gesetz den
Sprachgebrauch in den Streitkräften, Grenz- und innerstaatlichen Truppen
sowie in den Eisenbahntruppen auf dem Territorium der Kirgizischen SSR" (S.
5); und schließlich wird jedem Staatsbürger "das Recht auf freie Wahl der
Umgangssprache" zugesprochen (S. 6).
Das Gesetz sieht also die Einfuhrung der Muttersprache (rodnoj jazyk) als
Staatssprache und ihren zwingenden Gebrauch in den staatlichen Regierungsund Verwaltungsorganen vor; es regelt ihre Verwendung in Betrieben und
Ämtern, im Bildungswesen, in Wissenschaft und Kultur, in der Justiz, im
Notar-, Standesamts- und Informationswesen sowie im Bereich der Namensgebung. Zu alledem sorgt das Gesetz für Schutz und Wahrung der
Staatssprache als solcher.
Vor Ort allerdings ergaben sich in Zusammenhang mit der Anerkennung der
Gültigkeit dieses Gesetzes so manche juristische Einwände. Sie gründen auf so
unbestreitbaren Tatsachen wie der multinationalen Zusammensetzung der
Bevölkerung der Region, wo neben 53% Kirgizen immerhin 29% Russischsprecher, eine halbe Million Uzbeken, 37.000 Kazaken, 15.000 Azerbajdschaner und noch Angehörige einer Vielzahl von weiteren Nationalitäten leben.
Insgesamt setzt sich die Bevölkerung aus Angehörigen von mehr als 80
ethnischen Gruppen zusammen. Deshalb ist die Staatssprache für viele
Staatsbürger nicht zugleich Muttersprache; eine Reihe von anderen wohl
vertretenen Sprachen folgt nicht einmal dem gleichen grammatischen System,
was heftige Meinungsverschiedenheiten darüber hervorgerufen hat, ob es
berechtigt war, der Sprache der Urbevölkerung den Status einer Staatssprache
beizumessen.
Wenn die These vertreten wird, es handle sich dabei um eine diskriminatorische Maßnahme, so kann man sich dem nicht unbedingt anschließen, und
zwar aus folgenden Gründen:

Die kirgizische Sprache als

Staatssprache

167

1. Die Kirgizen sind historisch besehen eines der ältesten Türkvölker; sie
bewahren das Bewußtsein über ethnische Eigenständigkeit, ein reiches kulturellhistorisches Erbe und altererbte eigenständige Lebens- und Wirtschaftsformen.
2. Die Kirgizen sind eine selbständige ethnische Gruppe; nach ihnen ist die
Republik benannt; sie leben auf ihrem ureigenen Territorium und sind von dem
Prozeß der Migration kaum betroffen.
3. Der administrativ-territoriale Status wurde schon Mitte der 30er Jahre in
der Konstitution der UdSSR und der Kirgizischen SSR bestimmt und ist durch
die jüngst angenommene Deklaration der Souveränität bestätigt worden; das
Territorium wurde in seinen Grenzen in den 20er Jahren in der nationalen
Delimitation Mittelasiens festgelegt und ist unveräußerliches Gut des Staatsvolks der Republik.
4. Die Kirgizen leben bis jetzt in ihrer überwiegenden Mehrheit (zu 80%)
in einem kompakten monoethnischen Verbund. Sie betreiben immer noch ihre
traditionelle Wirtschaftsform (Landwirtschaft und Viehzucht). Die Infrastruktur
(Schulen, medizinische Einrichtungen, Verwaltungsorgane, wirtschaftliche
Vereinigungen usw.) ist dem angemessen, und in ihr dient die Muttersprache
als grundlegendes Mittel der Verständigung.
5. Für die größten anderssprachigen ethnischen Gruppen wurden Schulen in
ihrer eigenen Sprache eröffnet (so etwa für die Russen, Uzbeken, Tadschiken
und Dunganen); sie sind hinlänglich gut mit finanziellen und technischen
Mitteln ausgestattet und haben ihre Lehrerkader.
6. Für die meisten anderssprachigen ethnischen Gruppen existieren in ihren
angestammten Gebieten, sei es auf dem Boden der UdSSR oder außerhalb,
eigene administrativ-territoriale Einheiten, die großteils auf dem ethnizistischen
Prinzip begründet sind. Dementsprechend sind sie in gesetzgeberischer Hinsicht
durch in der Konstitution begründete Reglementierungen abgesichert.
Meines Erachtens ermöglichen alle diese Punkte eine Beurteilung der
Situation, die in Sachen Sprachfrage entstanden ist, in einem etwas anderen
Licht und geben Hoffnung zu der Annahme, daß diese zur Normalität werden
und sich ein umfassendes gegenseitiges Verständnis einstellen wird; vielleicht
wird es sogar des Gesetzes selber dann nicht mehr bedürfen.
Kehren wir jetzt zu der Sachlage zurück, die bis zur Annahme des
"Gesetzes über die Staatssprache" (23. September 1989) gegeben war und die
dieses letztlich hat aktuell werden lassen.
In den Jahren der Sowjetmacht entstand in Kirgizstan eine beachtliche
schöne Literatur; fast alle Genres waren vertreten. Meister der Wortkunst, der
Bühne und des Kinos wuchsen heran, Spezialisten auf vielerlei Gebieten der
Wissenschaft, Ärzte, Ingenieure. Pressewesen und Buchdruck (originelle Werke

168

Bubiyna O. Oruzbaeva

und Übersetzungen) nahmen gewaltigen Aufschwung. Man könnte meinen,
nichts hätte einer umfassenden Verwendung der Muttersprache im Wege gestanden. Gleichwohl war es speziell der Umstand, daß man ihr im täglichen
geschäftlichen und amtlichen Schrifttum sowie bei der Heranbildung von
Fachleuten aller Art keine Funktion zugestand, der allmählich dahingehend
wirkte, daß die Sprache im öffentlichen Schriftverkehr auszusterben begann. So
entstanden die Voraussetzungen dafür, daß man den Übergang auf eine andere
Sprache, nämlich die russische, als "unumgänglich" empfand, was ja auch
durch die Machtstruktur im Staat gefördert wurde.
Mit anderen Worten: Die Diskrepanz zwischen der Realität und den
ausgegebenen Losungen war beträchtlich. Der real existierenden nationalen
Sprache, die sich bereits zur Literatursprache voll ausgebildet hatte, war der
Status einer Sprache mit umfassendem Funktionsbereich zugesprochen;
dessenungeachtet war sie in der Praxis zum stufenweisen Verlust eben dieser
ihrer Funktionen verurteilt.
Zwar war die Nationalsprache als Sprache der Bildung proklamiert, doch
stellte sich gerade im Bildungsbereich eine völlig paradoxe Situation ein: auf
der einen Seite wurde viel getan, das Netz von allgemeinbildenden Schulen und
spezialisierten, gerade auch berufsbildend-technischen Mittelschulen zu
erweitern, auf der anderen Seite aber nahm der Anteil der höheren Schulen, in
dem die Muttersprache als Mittel in der Ausbildung verwendet wurde, stetig
ab. Nennen wir ein paar Zahlen: von 1640 allgemeinbildenden Mittelschulen
verwenden 1000 Kirgizisch; in mehr als 20 verschiedenen Fächern wird Unterricht in Kirgizisch gehalten. Gleichzeitig wurden schon seit langem die
zukünftigen Lehrer dieser Unterrichtsfächer (außer kirgizischer Sprachlehre)
auf den höheren Lehranstalten ausschließlich auf Russisch ausgebildet. Mit
anderen Worten bekamen die zukünftigen Lehrer für Physik, Chemie,
Mathematik, Geschichte, Biologie usw. nicht die Möglichkeit, sich die
Literatursprache, also das Arbeitsinstrument für ihre zukünftige Tätigkeit,
hinreichend anzueignen. Auf die vollwertige Qualifikation der Spezialisten
mußte sich das negativ auswirken — und ebenso auf die Kenntnisse ihrer
Schüler. Unter dem Strich schuf diese Situation die Voraussetzungen dafür, daß
allmählich sogar Kirgizen selbst das Interesse an ihrer Muttersprache verloren
und Bedeutung und Wert von Muttersprache, nationaler Kultur und nationalem
Selbstbewußtsein negierten.
Wenn wir hier die negativen Aspekte des beschriebenen Prozesses betonen,
so soll uns doch der Gedanke einer völligen Negativbewertung der Rolle, die
die russische Sprache für die Bildung der Menschen in den nationalen Gebieten
spielte, fern sein. Wichtige Gründe und natürliche Gegebenheiten haben das
Russische für die Bevölkerung aller Länder zur Sprache der zwischennationalen

Die kirgizische Sprache als Staatssprache

169

Verständigung werden lassen. Dies ist in einer Reihe Republiken, so auch in
Kirgizstan, in gesetzgeberischen Akten gewürdigt worden. Dennoch — wenn
man die soziolinguistische Rolle des Russischen bewertet, geht es nicht an,
seine Funktion als Mittel der zwischennationalen Verständigung auch in der
türksprachigen Welt kategorisch zu postulieren, wo sowieso als
Verständigungsmittel die eigene Sprache eines jeden türksprachigen
Individuums, das in die Kommunikation eintritt, fungieren kann und der Bedarf
nach dem Russischen entfällt, auch wenn es Unterschiede verschiedenen Grades
zwischen den verwendeten Sprachen gibt, je nachdem, wer mit wem
kommuniziert. Das Problem einer sprachlichen Barriere zwischen Kazaken,
Kirgizen, Tataren, Uzbeken, BaSkiren und Karacajern fehlt im allgemeinen
völlig. Genauso verhält es sich zwischen Türken, Azerbajganern und
Turkmenen oder auch zwischen Xakasen und Tuvinern. Was andererseits die
gegenseitige Verständlichkeit zwischen, sagen wir, einem Kirgizen und einem
Turkmenen oder Türken oder etwa zwischen einem Kazaken und einem
Tuviner, Jakuten oder CuvaSen betrifft, so ist sie schon erschwert. Da ist dann
die russische Sprache hilfreich.
Die beschriebene Situation illustriert, daß die oben genannten Funktionen
der russischen Sprache als Mittel der zwischennationalen Kommunikation
natürlich, aber nicht absolutzusetzen sind.
Die Kenntnis einer zweiten Sprache ist zweifellos immer nützlich. Sie zu
festigen, dafür werden im gesamtstaatlichen Maßstab geeignete Maßnahmen
getroffen: Pflichtunterricht in Russisch auf allen Stufen des Pflicht- und
Hochschulwesens; regelmäßige Herausgabe von zahlreichen Druckwerken in
dieser Sprache auch außerhalb des Zentrums bei zunehmender Förderung;
reguläres Radio- und Fernsehprogramm; Gebrauch im öffentlichen und
amtlichen Schriftverkehr sowie in Versammlungen und Konferenzen. Gerade
letzteres hat aber zu einer schrittweisen Verdrängung der Muttersprache aus
ebendiesen Funktionen gefuhrt, und dies sogar in Gebieten, wo Kirgizen
monoethnisch kompakt leben; die Muttersprache wurde so im wesentlichen zu
einem Mittel der Alltagskommunikation in der Familie, im engsten Kreis,
umfunktioniert.
Unter solchen Voraussetzungen wurden die Bedingungen für den allmählichen Verlust der Muttersprache sogar in kirgizischen Familien geschaffen,
in Familien nämlich, welche in Städten in gemischtethnischer Umgebung leben,
und in Arbeitskollektiven von polyethnischer Zusammensetzung. Die Jugend
verlor zunehmend das Interesse an ihren nationalen historischen Wurzeln, am
kulturellen Erbe und sogar an den eigenen zeitgenössischen künstlerischen
Werten.

170

Bubiyna O. Oruzbaeva

Die Zahl der nationalen Schulen verringerte sich in den Städten allmählich.
Dadurch wurde der kirgizischen Jugend, die ihre Muttersprache nicht
beherrschte, die Möglichkeit genommen, mit der nationalen Kultur in
Berührung zu kommen und so ihr nationales Bewußtsein zu bewahren.
In den nationalen Gebieten führte die Herabwertung der Muttersprache auf
das Niveau bloß eines Verständigungsmittels für den Alltag dazu, daß die
Sprache in der Praxis einer Reihe ihrer gesetzesgemäß zugebilligten Funktionen
verlustig ging, die mit dem Recht des Individuums zusammenhängen:
juristische und gerichtliche Verfahren in der Muttersprache geführt zu
bekommen, was in den Codices der Republiken eigentlich vorgesehen war.
Deshalb sind dieser Funktion in dem jetzt angenommenen Gesetz über den
Status des Kirgizischen als Staatssprache spezielle Paragraphen gewidmet (Kap.
VI, §§ 26-27-28; Kap. VII, § 30). Insgesamt versetzt das Gesetz die nationale
Sprache in die Lage, ihren Anwendungsbereich zu erweitern, oder mit anderen
Worten schafft es die Voraussetzungen für eine umfassendere Verwendung des
Kirgizischen im Prozeß der Erneuerung der Gesellschaft und erlaubt die
fortgesetzte Suche nach optimalen Wegen der Bewahrung und Belebung eines
so bedeutenden Mediums des nationalen Bewußtseins, wie es die Sprache ist —
die Sprache, die das kulturelle Erbe trägt und die fürderhin eingesetzt werden
wird zur Wiedergeburt der Nation.

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.H,Hpo 3ana,n,Hwx Bepcnii anoca CKJia^tiBajiocb npn 2CH3HH r e p o a (BTopaa
NOJIOBHHA X V I B.) HJIH BCKope n o c j i e e r o KOHHHHM. B .najibHeiimeM npoHCXOflHJia 4>OJIbKJIOpH3ai;HH Bcex COÓbITHH, CBH3aHHbIX C e r o

HMeHeM.

EHJIO co3flaHo o r p o M H o e HHCJIO BepcHH H BapHaHTOB y pa3jiHHHtix n o
KyjibType

H

3THoreHe3y

HCTOPNHEOKHX

Hapo^oB.

JIHII,-6erjien,OB

CjioaceHHe

(zanate)

B

BOKpyr

anoca

A3EP6AIIFLXAHE

—

HMCHH
HBJIEHNE

H e p e j j K o e . T a x BO3HHKJIH HCTopHHecKHe necHH H MHOXCCTBO jiereHfl,
CB«3aHHbix c HMeHeM e m e o ^ H o r o Hapo^Horo repoit-MCTHTejia X I X B. —
Tanaxa

HaÓH H e r o
H

KaBKa3e

no

HCTopHHecKHe
OCHOBHMX

npeflaHHoìi n o M o m H H i i u

cefi

fleHt

necHH

BepcHÌi

nponcxoxfleHHK)

o

MOXHO

3HaMeHHTbix

anoca,
(Képorjibi

aceHbi X a ^ a c a p .
jiereHflbi,

6erjieuax-a6peKax.

nocBJimeHHoro
H3

—

ycjibimaTb

njieMeHH

Kèporjibi
Texe).

—
3TO

Ha

npe^aHH«,
Tepoii

Bcex

TypKMeH

no

ncTopnMecKK

O6T>HCHHMO. TypKMeHbi-ory3bi, nocejiHBniHecx B A3ep6aìifl3caHe B X I - X I I
BB., BNOCJIEACTBHH HrpajiH ó o j i b i n y i o pojib B 3THoreHe3e a 3 e p 6 a i i A x a H u e B .
CB«3H

repoHMecKHx

CXA3AHHÌI

TypKMeH-0RY30B

A3EP6AÈFLXAHA

c

paHHeìi HX pojiHHOH omymaioTCH SyKBajitHO B K a x ^ O M 3NN30FLE H MOTHBC
anoca H O6T>HCH«IOTCH TCM, HTO ory3bi-TypKMeHbi, nocejiHBniHecii Ha
sanale,

B nacTHOcTH,

CPEFLHEÓ A3HeH,

B A3ep6aiiflacaHe,

npoflojixajiH

oómaTbca

co

R^E ocraBajioch HeMajioe HHCJIO HX conjieMeHHHKOB

(TypKMeH). 3 n n M e c K n e npoH3BefleHHfl TypKMeH, co3fl,aHHbie B X V I - X V I I
BB., T a K x e BO M H o r o M nepeKjiHKaioTC^ co CKa3aHH»Mn a3epóaH,ipKaHijeB.
TaKOBO, HanpHMep,

repoHHecKoe

CKa3aHHe TypKMeH

Tèporjihi"

HJIH

172

Xatyk G.

Korogly

HE^aBHO oÖHapyiKeHHaa Bcpcmi "Këponibi", ycjioBHo Ha3BaHHaa HHMH
"TÖHJiHCCKan pyKonHCb". TeaTp ÄCHCTBHH pa3BepTtmaeTCíi B Tex MecTax,
RFLE oÖHTajiH ory3CKHe njieMeHa — OT TypKMeHHH FLO Majioñ A3HH,
BKJiiOHaa A3ep6aHflxaH H npHMbncaiomyio K HeMy ceBepo-3ana^Hyio
TcppHTopmo HpaHa.
A3ep6añflJKaHCKHH anoc, a nepe3 Hero H ,npyrne 3anajjHbie BepcHH
CKa3aHHH o HapoflHOM MCTHTejie Këporjibi, coxpaHHJiH ôojiee flocTOBepHyio
HCTOpHHeCKyiO OCHOBy no CpaBHeHHK) C BOCTOHHblMH BepCHHMH. 3 t h M
MOXCHO OÔ-bacHHTb H oTcyTCTBHe B 3anaflHbix BepcHHX K3KHX-JIH6O MH<J)0JIOTHHeCKHX JIHHHÍÍ. B HHX OCHOBHOH repOH COXpaHHJI CBOK) TJiaBHyiO
(JjyHKiíHio MCTHTejia. JíeñcTBHH, coBepiuaeMbie hm H ero flpyacHHHHKaMH,
OTJIHHaiOTCfl OT HCTOpHHÊCKHX COÖblTHH, CBM33HHbIX C HapOflHblMH
ABHxeHHÄMH B cpeflHHe Bexa, jiHiiib B fleTajiHx H BCJieflCTBHe ananecKOH
rnnep6ojiH3auHH.
ÜHyio KapTHHy npefleraBjiaiOT BocTOHHbie BepcHH : y3ÖeKCKaa, Ka3axCKa«, TA^XCHKCKAA. B STHX B e p c a x "HCTOPHHCCKHH" C I O X E T H 3 M E H E H B

KOpHe B COOTBeTCTBHH C peaJTbHOH fleÈCTBHTejIbHOCTblO Kaacfloro H3
nepeHHCJieHHbix Hapo^oB, HO H TypicMeHCKHH T ë p o r j i b i " , np« Bceii ero
ÖJIH30CTH c a3ep6aiiflacaHCKHM "Këporjibi", HMeeT CBOH oTjiHHHTejibHbie
nepTbi. Cyii;ecTBeHHaa pa3HHu,a B HHX oÖHapyacHBaeTca öyKBajibHO BO
BceM,

HaHHHaa

C reHe3Hca

anoca,

ero

HCTopHnecKoii

OCHOBM.

ECJIH

a3ep6aHA2KaHCKaa Bepcna anoca, KaK oTMeneHO Bbime, jierxo oÔHapyjKHBaeT B HCTopHnecKoii CBoew ocHOBe aHTH^eo^ajibHoe flBHxeHHe flacajiajiHflOB, TO B TypKMeHCKOM anoce ôoeBbie fleiicTBHH HanoMHHaiOT ôobiue
MexnjieMeHHbie CTWHKH (ajiaMaHCTBo), KOTOPMMH H3o6HJioBajia Bea
flOpeBOJIIOIÍHOHHa« HCTOpHH TypKMeH.
AjiaMaHCTBO — OJJHH H3 ffpeBHeöuiHX MOTHBOB TypKMeHCKoro (H BOoôme TiopKCKoro) reponnecKoro anoca. OHO 3aHHMaeT oneHb ôojibmoe
MecTO, HanpHMep, B ane 0ry30B " K u n r n Moero fle^a KopKyTa"
(ajiâMaHCTBO B 3TOÍÍ KHHre, KaK y KnprH30B H Ka3axoB, Ha3biBaeTca amm).
B
Hap0flH0-n03TH«iecK0M
TBopnecTBe
(anoc,
öbiTOBbie
CKa3Kn,
HCTOPUNECKHE necHH H T. n.) Haöern rana ajiaMaHCTBa (HJIH ajama)
jiorHHecKH 060CH0BAHBI KaK jiHHHaa MecTb (HanpHMep, B 'Tëporjibi") HJIH
KaK OTBeTHaa peaKi^HH Ha arpeccnio coce^en (MHorne CKa3aHHa "KHHrn
Moero flena KopKyTa"). Cjie^OBaTejibHO, npoH3Be,neHHH, nocBameHHbie
repOHHecKHM no^BHraM npn coBepiueHHH ajiaMaHCTBa, He MoryT 6biTb
npeflCTaBJieHbi KaK aHTHHapo^Hbie.
TypKMeHCKHH anoc 'Tëporjibi", B OTJIHHHC OT a3ep6añ,n»taHCKoro
" Këporjibi ", coflepxHT MHoro apxaHnecKHx ajieMeHTOB, CBH3aHHbix c poflonjieMeHHbiM crpoeM. TypKMeHbi «BJIAJIHCB KoneBHHKaMH, oÔHTajin B

"Kepoe/ibi" e Il,eHmpaAbHoü Asuu

173

CTeriKX, HX xHjiHmaMH 6WJIH najiaTKH (KHSHTKH). ApxaHHHa ótuia H
CHCTeMa NPABJIEHHH TYPKMEHCKHM OÓMECTBOM: B b i ó o p b i x a H a H 6CKOB,

peuieHHe ,ne;i pona HJIH ruieMeHH npoHcxojiHjiH Ha cxo^Kax. Ha T3KOH
cxoflKe Téporjibi 6MJI n3ÓpaH xaHOM njieMeHH Teice. IIo-pa3HOMy B pa3Hhix
BepCHax npeflCTaBJieHO BOÍÍCKO repo». B asepóañflxaHCKOM anoce
ApyacHHa
repoa
HanoMHHaeT BoeHHyio opraHH3aijHK>
CHjibHoro
^eoflajibHoro rocynapcTBa. repoíí caM, no COÓCTBCHHOH HHHi;NATHBE,
TiuaTejibHO noflónpaeT ce6e copaTHHKOB — .moflen OTBaacHbix h cMejibix,
co3,n,aeT peryjiapHoe BOÍÍCKO. BO rjiaBe K a x n o r o oTpafla OH craBHT
Han6ojiee onbiTHbix BOHHOB.
B TypKMeHCKOM anoce Bonpoc o .npyacHHe Téporjibi pernaeT Hapofl.
"XaHy HyxHO BOÍÍCKO," roBopjrr Ha cxoflice. Téporjibi — JiHHib HOMHHajibHbiíí

BOXJIL

njieMeHH.

OH

He

HMEET BO3MOXHOCTH

JAXE

coflepacaTb

BOÍÍCKO. H T O 6 W n p O K O p M H T b CBOH OTp5Tfl, T é p o r j l b l B b I H y X f l e H

HHOrfla

6paTb B .nojir H ^AXE rpaÓHTb cBoero SoraToro fljmio. B COOTBCTCTBHH C
y c T O H M H p o , n , O B o r o C T p o ü K a j K f l t i H H3 c o p a T H H K O B r é p o r j i b i p a 3 r o B a p n B a e T

co CBOHM npeABOflHTejieM KAK c paBHbiM. flpyjKHHa xaHa xBajiHT ero,
Kor^a OH yflanHO pemaeT Bonpoc, ocyxflaeT, Kor^a OH flonycKaeT OUIHÓKH
HJIH nocTynaeT 0np0MeTHHB0.
OCHOBHOÍÍ MOTHB TypKMeHCKoro anoca, KaK H a3ep6aiífl2caHCKoro —
MecTb. OflHaKO B Téporjibi" repoíí MCTHT He TOjibKO 3a ocjienjieHHoro
OTi;a, HO H 3a nopyraHHyio necTb ceMbH, 3a yÓHToro A^AK), 3a CBoe njieMH,
KOTopoe nocTpajjajio OT ApaópeííxaHa. CoijHajibHbiíí MOTHB MCCTH B TypKMeHCKOM anoce óojiee pejibec^eH, neM B asepóaíífljKaHCKOM, TeM óojiee
T Y P E U K O M , R^E BHHMAHHE KOMJEHTPHPYETCA, RJIABHBIM 0 6 P A 3 0 M , HA JIHHHOÍÍ OÓH,N;e r e p o a .

EME oflHa ocoóeHHoeTb BOCTOHHBIX BepcHH B oTJiHHHe OT 3anaflHbix. B
a3ep6aH,n,xaHCKOM anoce OCHOBHOÍÍ KOCTÍIK copaTHHKOB repoa cocTaBJiaK)T
SERJIEUBI-RA^AKH, B TypKMeHCKOM — nojxy^eoAajibHaa flpyatHHa: réporjibi
npHHHMaeT xaHCTBO, H BOKpyr Hero coónpaeTca pacnaBiuaaca nocjie
CMEPTH B O X A A A P Y X H H A e r o OTI;A.
'Téporjibi"

HACBIMEH

TAXXE

SbiTOBbiMH

AETAJIHMH,

CBEFLEHHAMH

TPAFLHUHHX, o 6 p a . u a x TYPKMEH HA p a H H e í í c r a f l H H HX PA3BHTHA.

o

HTOÓM

OTOMCTHTb CBoeMy Bpary ApanpenxaHy 3a nopyraHHyio necTb ceMbH,
repoíí, NPH cofleíícTBHH CBoeíí TCTH, yóe,n,eHHOií KORJIA-TO ApanpeííxaHOM
B njieH, NOXHMAET e r o flOHb, K0T0pyro BW^AET 3AMYAC 3A CBoero n p e C T a p e j i o r o A^FLIO. 3 T O BOECO3FLAET 6 M T

flajieKoíí

TYPKMEHCKOÍÍ

FLEÍÍCTBHTE^b-

HOCTH. KOJIOPHTHO n e p e f l a H b i B a n o c e cijeHbi H a p o f l H b i x COCNI3AHHÍÍ, B
KOTOpbix NOÓEXFLAET Féporjibi. 3 f l e c t N BBICTYNJIEHHA ó a x u m , H KOHHMÍÍ

174

Xatyk G. Korogty

n p o ö e r H 6 o p b 6 a . C K a 3 H T e j i b H e BOCXBAJIAET C B o e r o r e p o j i , HE 4 > e T H U i n p y e T
e r o CHJibi. B o T j i n M n e OT K ë p o r j i b i 3 a n a , m i b i x B e p c H i i , T y p K M e H C K o r o r e p o a
xapaKTepH3yeT

CKPOMHOCTB.

OH

He

HMKOR^A

CTpeMHTca

K

BHEUIHEMY

S ^ e K T y , y Hero H e T HH ö a x B a j i b C T B a , HH n y B C T B a n p e B O c x o ^ C T B a . B c e , MTO
flejiaeT,

OH

B b i r j i H ^ H T c o B e p i i i e H H O e c r e c T B e H H O H B TO x e

BpeM»

npe3-

B b i n a H H o B b i p a 3 H T e j i b H O . C K p o M H o c T b r e p o a B e r o OTHOIIICHHÄX C c o p a T H H K a M H n p H B J i e K a e T B H H M a H H e . O H r o B O p H T c HHMH CIIOKOHHO, c y ß a a c e a CKopee o ô p a m a a c b

HHeM, He n p H K a 3 b i B a a ,
B3HTbc» 3a ö o j i b i u o e

flejio,

npoTHBonojioxHocTb
coBepiuaeT

c npocböoü. npeac^e

neM

T e p o r j i b i , K a K n p a ß n j i o , c o B e T y e T c a c HHMH. B

a3ep6añflxaHCKOMy

CBOH n o ^ B H r H

anocy,

HeoösyMaHHO,

no

r^e

noflnac

repoñ

npnxoTH,

COÖCTBCHHOH

TypKMeHCKOM a n o c e K a x f l b i ñ 3 n « 3 0 f l j i o r H n e c K H o ö o c H O B a H .

B

HanpHMep,

ycbiHOBHB O ß e 3 a , T e p o r j i b i , e c r e c T B e H H O , 3a,n,yMbiBaeTca o e r o

öy^ymeM.

K a K 3 a 6 o T j i H B b i i í O T e u - T y p K M e H OH j j o j i a c e H co3,n,aTb e M y c e M b i o . Y 3 H a B o
KpacaBHij,e

Tyjibpyx,

flonepH

npHBeji

6bi

aeByuiKy,

rpy3HHCKoro

uapa

JleKe,

OH n o c b i J i a e T K

H a B e p H O , H a n a j i 6 b i H a B j i a ^ e H H X JleKe H CHJIOH

HEMY CB3TOB ( K ë p o r j i b i ,

Be^b

HMCHHO T a x

OH n o c r y n a e T

HeojjHOKpaTHO,

B b i Ö H p a « a c e H AJIA CBOHX c o p a T H H K O B ) . O f l H a K O M H p o j n o Ö H B b i H m a r
H e npHHOCHT y c n e x a . J l e K e O T K a 3 a j i c B a T a M ,
nocTynoK

rpy3HHCKoro

pacnpaBHTbCH
oflHH

c

ijapii

flecnoTOM.

oTnpaBjiaeTCH

Ilo

3a

a3ep6aííflacaHCKOM a n o c e

He

Bbi3biBaeT

repos

B b i n o p o j i HX. H a 3TOT
y

Tëporjibi

xejiaHH«

C T a p n H H O M y T y p K M e H C K O M y o ö b i M a i o OH

HeBecTon

repon

flaace

H

noxnmaeT

^eByuiKy.

B

H e r o c o p a T H H K H X H B y T B IIOCTOHHHOH

T p e B o r e , T o r ^ a KaK B ' T ë p o r j i b i " H 3 o 6 p a s c e H a 6e3MHTeacHaa acH3Hb xaHa
H ero

^pyxHHbi.

TypKMeHCKHH 3 n o c He orpaHHMHBaeTca
BB.,

B HEM

(ory3CKHx)

HauiJia

OTPAACEHHE

njieMeH.

KpoMe

fleHCTBHTejibHOCTbio

H ßOHCJIAMCKA»

Toro,

ecjiH

npHHHTb

HCTOPH»

XVI-XVII

TYPKMEHCKHX

BO B H H M a H H e ,

MTO B

" K H H r e M o e r o FLE^a K o p K y T a " H B a n o c e ' T ë p o r j i b i " o n e H b MHOTO c x o ^ H b i x
3 n H 3 0 f l 0 B H HTO o 6 p a 3 r e p o « 3 n o c a IIOHTH CJIHBAETCA C 0 6 p a 3 0 M

rjiaBHoro

r e p o n CK33AHHH " K H H r H M o e r o FLEJJA K o p K y T a " C a j i o p K a 3 a H a , TO C T a H e T
HCHbiM, MTO B c j i o x e H H H

Tëporjibi"

orpoMHyro pojib cbirpaji

ory3CKHH

repoHHecKHH s n o c B u,ejroM. TaKHM 0 6 p a 3 0 M , ecjiH a3ep6añflJKaHCKHH 3 n o c
B OCHOBHOM 6 a 3 n p y e T c a

H a HCTOPHMECKOM M a T e p n a j i e o

flxajiajiHflax

HanoMHHaeT ö o j i b i u e CKa3aHH« o ÔJiaropo^HOM pa30oÜHHKe c

J I H p H K O - p O M a H T H H e C K H M H a C J I O e H H e M , TO T y p K M e H C K a » B e p C H « —
flaJIbHO-pOflOBOH
flajieKHH
necKOMy

3nOC

CO

CKa30HH0-(J)aHTaCTHHeCKHMH

OT C B O e i i HCTOpHHeCKOH OCHOBbl.
cJ)OHy

snoca

"Këporjibi"

B

BepcHH

NOCTABJIAETCH C K a 3 0 M H b i ü MOTHB O c r p a H e c o u n a j i b H o ß

<fceo-

3JieMeHT3MH

AHTHCjjeOflajIbHOMy

TypKMeHCKoö

H

óojibiiiHM

HCTOpHnpoTHBO-

CNPABE,HJIHBOCTN

"Këpoutu" e UmmpanbHoU Asuu

175

HaHrjmÔHjib BO rjiaBe C ryMaHHbiM npaBHTejieM Teporjibi. COOTBCTCTBCHHO
H cioaceT T ë p o r j i b i " o 6 p o c CKA30HH0-NPHKJH0HEHHECKHMH a n n c o ^ A M H ,
MOTHBaMH H CHTyaiJHHMH.
B BOCTOHHbix BepcHJix npeo6jia,naiOT sjieMeHTbi BOJiiueôcTBa, $aHTa3HH
H MH(J)a, MTO CBfl3aHO CO BpeMCHeM CJIOXeHHH Hai^HOHajIbHblX BepCHH.
Y3ÔeKCKaa, Ka3axcKaa ( ' T o p o r j i b i " ) , T a f l X H K C x a a ( T y p y n r a " ) BepCHH
a n o c a cjioxHjiHCb, o h c b h ^ h o , He paHee X V I I Beica H B coBepmeHHO
OTJIHHHblX OT a3ep6aíífl»CaHO-TypKMeHCKHX HCTOpHHeCKHX yCJIOBHÄX. Ü 3 MeHHjiacb H o 6 m a » K0Mn03ni;na a n o c a . T o , MTO y A3EP6AÑ,N:>KAHIJEB H
TypKMeH CJIYXHJIO B Hanane a n o c a 3Kcno3Hu,HEÑ, OÖIACHAIOMEH
NPO3BHME r e p o a , B Y36EKCKOFÍ, TaflXHKCKOÜ H Ka3axcKoïï n p e B p a r a j i o c b
B CTpoHHoe CKa3aHHe, B repoHHecKyio ÖHorpacJjHio ÖY^YMERO r e p o a c
ryCTbIM HaCJIOCHHCM BOJIIIie6HO-4)aHTaCTHHeCKHX CKa30HHbIX 3JieMeHTOB:
TypKMeHbi-ëMyTbi (BO Bcex BOCTOHHMX B e p c a a x r e p o ñ — TypKMeH)
BbiônpaiOT T o p o r j i b i CBOHM xaHOM, XOTH Ha xaHCKHH npecTOJi npeTeHflOBaji
e r o usina A x M e f l ô e K . Ha STO H noHBe B03HHKai0T p a c n p n M e x a y flHfleö H
nJieMHHHHKOM, KOTOpbie MaCTO COCTaBJIHIOT OCHOBy KOH<J)JIHKTa B flacraHax
s n o c a . T o p o r j i b i BOCTOHHMX BepcHÈ (ocoôeHHO y36eKCKOÏi H TajpKHKCKoii)
HeoöbiHHbiH r e p o í í . O H o6jiaji,aeT MHOFHMH cBepxT>ecTecTBeHHbiMH KanecTBaMH, nojiyneHHbiMH OT CBATMX. T o p o r j i b i xeHHTCJi Ha n e p n n o
HaymeHHio CBÂTMX, HO TE X E CBHTBIE HE nocbijiaioT EMY FLETEÑ. BOT
noHeMy CBATbie Hâ3HâMaiOT Toporjibi jjByx npHeMHbix CWHOBCH. B
flajibHeömeM 3TH npneMHbie CbiHOBba CTaHOBHTCH rjiaBHbiMH ôoraTbipuMH
xaHa (y Ta^xHKOB — n a j j m u a x a ) T o p o r j i b i , 3aTeM HacjieflHHKaMH e r o
npecTojia. IIpoHcxoflHT unKjiH3ai;HJi s n o c a (nero HeT B 3ana,nHOM s n o c e ) ,
B03HHK3I0T HOBbie flaCTaHbl O nOflBHraX CblHOBeÈt H BHyKOB T o p o r j i b i .
3CeHHTb6a Toporjibi Ha n e p n , K a x H flBa n p e ^ b i f l y m n x pa3^ejia
( p o x ^ e H H e H MOjioflocTb r e p o a ) , cocTaBjiaiOT c i o x e T caMocToaTejibHoro
flacTaHa, r^e Bce COÖMTHJI npoHCxofljiT B flyxe CK33KH .
3 T H TpH ^acTaHa 3aBepmaiOT s n a n e c K y i o önorpac^mo r e p o a . O H
CTaHOBHTca "KopoHOBaHHOH" jiHHHOCTK). IlbiniHOCTb e r o flBopa, e r o
flBopijoBoe OKpyaceHHe cpncoBaHbi c peajibHoö O6CT3HOBKH 4)eo,n,ajia. O H ,
KaK BEJIHKHE npaBHTejiH, HMeeT BaccajiOB, KOTopbix noóejjHji B 6010 H
noflHHHHJi CBoeñ BjiacTH, KaK HanpHMep, Xaji^apxaH — KPMMCKHH xaH,
noKopeHHK) KOToporo nocBHmeH oflHOHMeHHbiii flacTaH 3HaMHTejibHoro
oöieMa.
Ho KapTHHbi ^eoflajTbHoro 6biTa He 3acjiOHaiOT s m i n e c K o r o Hanajia
s n o c a . H a o ô o p o T , OHH npn^aiOT KaK 6bi nbiniHOCTb 3 n o c y . H a p a ^ y c
npHflBopHbiMH, y Toporjibi ecTb 40 BepHbix eMy flxnrHTOB, ôoeBon KOHb

176

Xalyk G. Korogty

h ocTpbiH Men — aTpn6yTbi snHnecKoro repoa. Ero apyxcHHy cocTaBJiaiOT
TypKMeHbi, y36eKH, KapaxajinaKH, Ta^acHKH h up. 3nnnecKHe

nepTbi

npHcyiuH BceM copaTHHKaM Toporjibi.
3aHMCTBOBaB

jiHuib

snoca

o

Hap0flH0-n03THMecK0H Tpa^HUHeíí. HanpHMep, y36eKCKH¿i Toporjibi

—

Këporjibi, y3ÓeKn

h

HMeHa

repoeB

Ka3axn co3,najiH

ocHOBHoro

hoblih

snoc

cioxeTa

b cootbctctbhh co CBoeÈ

naflHuiax, a Ka3axcKHH — xaH. B o6enx BepCHHX o h naccHBeH, pe^KO caM
Be^eT 6oh. Y Hero ecTb BepHbie n0jiK0B0,n,u,bi — ero npneMHbie cbiHOBb».
Ilpouecc

flerepoH3ai;HH

ocHOBHoro

o6pa3a

h

npeBpanjeHHe

ero

b

HHepTHoro npaBHTejia-maxa e m e ôojibirte yrjiyôwjiCH b TaflXKCKoiï BepcHH.
B TaflXHKHCTaHe 3anHcaHO

ot CKa3HTejieñ

(rypyrjiHcapo)

b pa3JiHHHbix

paöoHax cTpaHbi 6ojiee 6 0 .nacraHOB Ha pa3jiHMHbie cioxeTbi oô-beMOM flo

5000 CTHXOB, t . e. KaacflbiH BapnaHT nojiHoro Teiccra snoca T y p y n m "
co CTO ht H3 70-80 h ôojiee tmcjih cthxob. KaK bh^ho, t s ^ x h k ck h h snoc
npeBocxo^HT tckct ocHOBHoro (a3ep6añflacaHCKoro) cioaceTa b HecKOJibKO
pa3.

KpoMe Toro,

cjie^ya

CBoeö simnecKOH Tpa^HUHH,

Tajinehkckhíí

CKa3HTejib c j i o x H j i HOByK) snoneio b HapoflHO-CHjijiaÓHnecKHx cTHxax,
Torna KaK a3ep6aiiflacaHCKaa, TypKMeHCKaa h y3ÔeKCKaa BepcHH cjioxeHbi

tkjpkckhx Hapo^OB (cthxh-mohojioph , HHKopnopnpob npo3aHHecKHH tckct). Ho He TOjibKO 3thm OTjiHHaeTca
T3JJ5KHKCKHH 3IIOC 'TypyrjIH" OT OflHOHMCHHblX TK)pKOÄ3bIHHbIX, HO H
no HopMaM snoca

BaHHbie

pa3BHTHCM OCHOBHOrO CIOJKeTa. TaflJKHKH — flpeBHewpaHCKHH Hapofl c
KOjioccajibHoií Hap0flH0-n03THHecK0íí TpaflHi^Heñ, nacTb KOTopoñ e m e b X

BeKe

6bijia

riHCbMeHHO

3a<f>HKCHpoBaHa

bcjihkhm

Onp^oycH

b

ero

3HaMeHHTOH s n o n e e "IIIaxHaMe".

B Ta^xHKCKOM ' T y p y r j i n " OTOÔpaxeH cJjeoflajibHbiH 6wt, 4>eoAajibHbiñ
flBop co BceMH e r o aTpnôyTaMH. JIioôonbiTHO cpaBHHTb onncaHHe xh3hh,
HanpHMep, npn ABope PeüxaHapana b TypKMeHCKOM snoce h b
TaflJKHKCKOH BepcHH. B nepBOM «Bop ApanpeñxaHa — sto t o t ace jom
6a«, r^e Tpy^HTCH ^OMaiiiHue — ot rocnojja flo npHCJiyrH. Teporjibi
HaxoflHT CBOK) TeTK), aceHy xaHa PañxaHapana 3a cthpkoh öcjibx. OHa
xajiyeTC« Ha ropbicyio ,ijojik>. He pa3rw6aH cnHHhi, OHa Be^eT xo3»hctbo
He KaK rocnoaca b äomc, a KaK npocraa fl0M0X03«HKa. Hh&si oôcraHOBKa
bo flBopue PeñxaH Apaöa b TaflJKHKCKOM snoce. I l p n flBopije HMeeTca
no,no6aiomHH eMy napöar (¡{BopuoBbiH napK), r^e cpe^H i^bctob h nbiiiiHOH
3ejieHH npoBOflHT ahh, cjiOHHírcb 6e3 flejia, flB0pu,0BaH nejiaflb h t c t a
TypyrjiH, yBe3eHHaa PeöxaH ApaôoM. HepapxunecKyio CHCTeMy BeHnaeT
rypyrjiH-iuax, ynpaBjiaiomwH CBoeö CTpaHOH HaMÔyjm MacTOH (HaMÖyji
OTBaxHbix), CHflfl Ha TpoHe. O h He aKTHBHbiß repoií. Y

Hero, KaK y

jnoôoro ma xa, HMeiOTC« BepHbie eMy nojiKOBOßUbi: Aßa3xoH, XacaHXOH,

"Këpoe/ibi" e IfeumpaAbnoú

HX

cbiHOBbfl.

HanacTb

Ha

Kor.ua
hhx,

pacnopHxeHHe
npeacfle

neM

iiiaxy

oh

(b

yrpaxaiOT

Bbi3biBaeT

TypKMeHCKOM,

coBepiiiHTb

Ami

cocean

cbohx

hjih

oh

nojiKOBOflueB

y3ÖeKCK0M,

Kaicyio-jiHÔo

177

caM
h

k333xckom

onepaii,Hio,

peuuaeTca

oT^aeT

jmiub

anoce

coBeTyeTca

repoíí,

co

CBoeß

flpyxHHoñ).
¿{Bop T y p y r j i H - i u a x a

b ero

ropo^e

HaMÖyjiH MacTOH,

KaK

h

o6pa3bi

r e p o e B , CKonnpoBaHbi c "IIIaxHaMe". B o 6 p a 3 e r y p y r j i H - u i a x a BomiOTHjiHCb
oTflejibHbie

nepTbi

3aHHMaa

flOjixHOCTb

onyTaBuiHx

flBop

flBope

h

no3flHHx

cpe^Hea3HaTCKHx

npaBHTejia,
cTpaHy

cbohmh

oh

npaBHTejiefi.

Sohtca

HHTpnraMH.

cbohx
Te

ace

Hanpmviep,
npn^BopHbix,

hhtphth

h

K e ö K a B y c a b "IIIaxHaMe ", h o TaM c a M n p a B H T e j i b y c T p a H B a e T

npn

ko3hh

npoTHB rjiaBHoro r e p o a a n o c a PycTaMa, K o r ^ a ô o j i b i u e o h He H y x j j a e T C î i
b noMoiHH nocjieflHero. TypyrjiH-iuax x e
—

nojiKOBojma ABa3a.

H e r O CO C T O p O H b l c b o h x
Aßa3

—

jikdôht cBoero npneMHoro

EMy nacTo npHxo^HTca

OTpaxaTb

cbiHa

Hana^eHne

Ha

iipothbhhkob.

Bonjiom,eHne

öjiaropoflCTBa

h

repoH3Ma

h

bo

mhotom

Ha-

noMHHaeT jnoÖHMija H a p o j j a P y c T a M a . O h He 3HaeT n o p a x e H H H , nyTOK
OTHOxueHHK) K y r H e T e H H b i M , B e p e H c B o e M y ,n;ojiry, c n p a B e f l j i H B h
O f l H H M CJIOBOM, A ß a 3 —

3 T 0 Hapo,n,HbiH H ß e a j i r e p o K . K a K h b

b HOBOM a n o c e T a j j x H K O B
XOflaiHHX K HpaHCKOÍÍ
KOTopbix Mor

"IIIaxHaMe",

' T y p y r j i H 1 ' M H o a c e c T B O mhcJjob h j i e r e H f l ,

flpeBHOCTH.

3flecb

BbiCTynHTb TOjibKO P y c T a M ,

H 3HaMeHHTbie
a

b

Typyrjra"

flHBbl,
—

boc-

npOTHB

Aßa3

(6oh

ABa3a c CapaHAHÔ-flHBOM), h cKa30HHhie CTpaHbi, TaKHe K a x C a p a H ^ H Ô ,
n p e K p a c H b i e n e p n (aceHbi T y p y r j i H ) , h o6pa3bi h3
HanpHMep,
flOHecjiH

npeKpacHaa

flo

Hac

BOHTejibHHija

flpeBHerpenecKHe

3apHHrap), h MHoroe

flpyroe,

3apHHa,

hctophkh

(b

flpeBHenpaHCKoro
CBeßeHHa
'TypyrjiH"

B 0 3 p 0 ^ H J I H CB0H
y

MHOTHX

HHflHHueB),

flpeBHHH

flpeBHHX

KOTOpoñ

3apHHa

6a3e bo

HapOflOB, OÔjiaflaBUIHX nHCbMeHHOCTbK)
name

JiHTepaTypHOH

oôpaôoTKH,

MHoroM

3HMHbie B e n e p a b o ö m e i i KOMHaTe b

h j i h B Ka4>eHH»x r o p o f l a nmraji t o t x e

(nepCOB,

Hapo^HbiH

a n o c noTepsfJi y c T H o e x o x f l e H H e , TaK K a K C K a 3 H T e j i a 3aMeHHJi
flojirne

—

t s s x h k h ,

3II0C.

nocjie 3anncH,

(HTeu,), K O T o p b i H b

h

anoca,

o

CBHfleTejibCTByiomee o t o m , h t o

3aHMCTB0BaB c i o a c e T y TK)pKox3biMHbix c o c e f l e i i , Ha e r o

no

npaBßHB.

a n o c B e r o , TaK CKa3aTb,

KbiccaxaH
flepeBHe
KaHOHH-

3Hp0BaHH0H (fcopMe. H a n p o T H B , Hapoflbi-KoneBHHKH npoflOji^cajiH yflOBJieT B O p a T b CBOH 3 C T e T H H e C K H e 3 a n p O C b I y C T H b I M H a p O f l H b I M T B O p M e C T B O M , B
t o m HHCJie

anocoM.

178

The Role of Folklore
in Creating the Interliterary Community of Turkic
Nations
Xenia

CELNAROVA,

Bratislava

Literary scholarship has not succeeded so far in presenting any sufficiently
precise definition of the concept "World Literature". An attempt at reducing
the tension between the universal and the particular, two poles represented by
world literature on the one hand and national literature on the other, is being
made by the Slovak comparativist Dionyz Durisin, who in collaboration with
his team has proposed and elaborated the concept of the interliterary community.1 In my present paper I intend to outline the possibility of using that concept
to investigate interliterary relations and processes within Turkic literature.2
A national literature is more readily integrated into the worldwide system
when it belongs to an interliterary community. The community represents a
flexible and open system that arises, develops, and eventually also disappears.
This process is closely connected with the general historical development and
the literary development as one of its immanent elements. The principles,
factors, and criteria involved in the origin and existence of a specific interliterary community are not given once and for all, but are subject to evolutional
changes. The specific interliterary community of Turkic nations should be
looked upon from this point of view. During the course of history, Turkic
literatures mutually altered their forms under the action of various inner (genetic) as well as external (contactual) bonds.
During the early and the classical period of Turkic literatures, Islam acted
as the primary integrating factor. Muslim religious doctrine represented a
constitutive and unifying element in a great part of the known world and
ideologically influenced the mode of thinking as well as the attitudes and acts

1
DuriSin's international project plans to publish six volumes on the interliterary communities of
all the continents. Five volumes have appeared thus far: DURISIN, D. et al.: Osobitne mdeziliterarne
spolocenstva [Specific Interliterary Communities]. Bratislava, Veda; vol. 1—1987, vol. 2—1991,
vol. 3—1991, vol 4—1992, vol. 5—1993.
2

I elaborate this possibility in more detail in my studies "Interliterary Community of Turkic
Nations Within the Context of Islamic Culture" and "Interliterary Community of Turkic Nations
Within the Context of European Culture", which are to appear in the periodical Asian and African
Studies, vol. 28. Their Slovak version has appeared in DURISIN, D. et al.: Osobitne medziliterarne
spolocenstvd, vols. 3 and 4.

180

Xenia Celnarovä

of individuals and entire social groups. Muslims found "their basic identity in
the religious community; that is to say, in an entity defined by Islam rather
than by ethnic origin, language, or country of habitation." 3
However, in the medieval period, it was common ethnic origin and language kinship that played the chief integrative role in the origin and development of an interliterary community of Turkic literatures, one that represented
a specific type with certain particular features in relation to the "larger,"
universal community of literatures of the Islamic world.
The origin of medieval Turkic literatures is related to the formation of states
under the hegemony of Muslim rulers of Turkic provenience in Central Asia,
Iran, Asia Minor, Transcaucasia, and the Volga basin. At the courts of these
rulers there arose a literature characterized by a high degree of interaction with
Arabic-Persian culture and an intensive convergent relation to it.
However, outside the political and cultural centres, there flourished a
literary art of folkloric genres that followed the tradition of a cultural substratum formed back in the primal region of the Turkic tribes. In fact, an analogical way of life and thinking of members of these tribes created within the
framework of kindred ethnics the preconditions for an analogy of poetic
schemes and epic motifs, or even entire plot construction. The epos Alpamysh
is a case in point. This earliest preserved Turkic heroic topic shows a very
important concordance in its numerous versions spreading from the Altai to
Asia Minor, namely in the Uzbek, the Karakalpak, and the Kazakh versions.4
Oral culture was an expression of identity of Turkic tribes and tribal
alliances at the time of their migration to new localities inhabited by different
ethnics. It is precisely folklore that represented the primary means of cultural
self-realization for wide strata of the population, folklore that prevented a
complete assimilation of their culture, folklore that preserved the literature of
these tribes (and later nationalities) from disappearing into the universal Muslim culture.
The close relatedness of folkloric genres of the various Turkic nationalities
over the centuries permitted them intensively to complement one another. And
naturally, Turkic folklore could not remain immune to impulses from outside,
either. In folkloric genres, however, the tendency to converge with ArabicPersian literary patterns was never so highly developed as it was in high

3

LEWIS, B.: The Political Language of Islam. Chicago and London, The University of Chicago
Press, 1988, p. 4.
1

ZIRMUNSKIJ, V. M.: Tjurkskij geroiceskij epos [Turkic Heroic Epic]. Leningrad, Nauka, 1974,
p. 142.

Creating the Interliterary Community of Turkic Nations

181

literature, which intentionally, in a programmed manner, inclined itself to an
ideational and artistic unity with the cultural model of the Muslim world.
Several generations of anonymous authors and interpreters, Sufis as well as
folk poets, promoted various forms and genres of Turkic oral culture, thanks
to which it continued to develop at a time when Ottoman, Chaghatay, and
Azerbaïdjan court literatures were tributary to Arabic and particularly Persian
literary patterns. Thus preserved, the oral culture proved to be a great resource
when, roughly from the beginning of the seventeenth century, the three court
literatures began to show signs of divergence from the Arabic-Persian literary
tradition.
In the sixteenth century, hence, at the climax of classicism in Islamic
culture, the degree of interaction and complementarity between Ottoman,
Chaghatay, and Azerbaïdjan literatures, which had achieved the artistic and
aesthetic level of the highly differentiated Persian literature, was very high. On
the contrary, Persian literature, as a result of Shiite orientation, gradually
found itself in isolation.5 If we add to this the persisting stagnation of Arabic
literature, then the increasing interaction of Turkic literatures and their orientation to original traditions was a natural phenomenon.
Divergence from the Arabic-Persian literary tradition is the first sign of
awakening national consciousness. A significant role in this process was played
by middle urban strata from the seventeenth century onwards, as they became
more and more important recipients of literary production. This created room
for an interaction between literature and folklore. And thus, even as court
poetry was beginning to stagnate concomitantly with the growing crisis of the
military feudal system and the related global decline of Muslim states, even as
the formalism of court poetry went on deepening, folklore, which was
addressed to nonaristocratic consumers, went on developing, with new genres
and artistic methods coming into being.
Azerbaïdjan, Turkish, Uzbek, and, from the eighteenth century on, Turkmen literatures give ample evidence of their interactions with folkloric genres.
Folk poets (Azerbaïdjan and Turkish ashiks, Uzbek and Turkmen shairs)
contributed to this in significant measure. Many of them, especially those living
and creating in an urban environment, represented a specific synthesis of court
and folk poetry. Like mystical poetry, which had by that time passed its zenith,

5

See RYPKA, J.: "Dejiny novoperske literatury az do zacatku XX. stoleti" [History of Modern
Persian Literature up to the Beginning of the Twentieth Century], Dejiny perske a tadzicke literatury
[History of Persian and Tajik Literature], Prague, Nakladatelstvi CSAV, 1963, p. 246.

182

Xenia Celnarova

the work of folk poets mediated between classical literature and folklore and
contributed to the activation of their complementary function.
Probably as far back as the fifteenth century, written records from the
domain of folklore began to appear. Manuscript collections from the eighteenth
and nineteenth centuries document the works of folk poets in a broad range.
Many of them can be spoken of as "dual-domicile" or "multi-domicile," to use
Durisin's terms6, because their original works as well as their adaptations of
works by others formed an organic part of more than one literary system. This
is undoubtedly related to the fact that these were for the most part migrating
authors, and the sphere of their activity was often considerable in extent. In
addition, the measure of their dual- or multi-domicile existence depended also
on the structure of their repertory—indisputably epic topics were the most
versatile items in a repertory, in the great majority of cases, since each topic
figured in several literary systems.
The years around 1600 witnessed the full flowering of a specific epic genre
represented by romantic stories of couples in love (hikaye). This genre was
moulded by whole generations of folk poets both on the substratum of oral
traditions and on the basis of Arabic and Persian literary topics the roots of
which reached back to the earliest mythological conceptions of mankind.7
Variability of the most diverse literary and folkloric motifs and of entire topical
schemes is extremely abundant in this genre. 8
Just as continuity of the development of folkloric genres contributed to a
strengthening of divergent trends in the various Turkic literatures in relation to
the Arabic-Persian literary tradition, so also the continuity of linguistic development led to efforts at a democratization of the literary languages which were
sensibly affected by Arabic and Persian. Although endeavours to bridge the gap
between the literary language and the spoken one date from the orienting of
Turkic literatures to urban strata spoken of above, this was successfully accomplished only by the new national literary languages, which were based on the

6

The terms "dual-domicile" and "multi-domicile" occur in the theoretical and comparative studies
by D. Durisin and his colleagues. They express the reception and incorporation of an author or a
work (whether by a known or an anonymous author) in two or more literary systems.
7

ZIRMUNSKIJ,

Epic], Moscow,
8

V. M.,
OGIZ,

ZARIFOV,

1977,

p.

X. T.: Uzbekskij narodnyjgeroiceskij epos [Uzbek Folk Heroic

301.

A great variability of one topic even within the same literary system is characteristic of the epics
of Turkic nations. However, it is held that the topic of a heroic epic, thanks to an extraordinary
connection with ethnogenetic processes, is more resistant to complementarity outside a related ethnic
than are later romantic episodes.

Creating the Interliterary Community of Turkic Nations

183

languages in which the achievements of folk spirit had for centuries been orally
handed down and later also recorded in writing.
In the second half of the nineteenth century, owing to an intensification of
the impact of European nationalistic ideas, there was a weakening of the
integrative function of Islam, and the term millet ceased to designate a community defined by religious appartenance and came to be a concept with the
meaning of "nation." As Turkic nations were formed, modern national literatures were also bom.
Far-reaching socioeconomic changes and ideological ferment provoked in
the various nascent modern Turkic literatures a whole series of analogous
phenomena that served as integrative factors. Besides the intensifying orientation to European literature and culture and the resulting translation activities,
there was a deepening interest in folk literature, a serious approach to it as a
starting point and source—which is a phenomenon also typical of the period of
national awakening and revival in European literatures.
It is paradigmatic that, for instance, the ethnographer and folklorist Shokan
Valikhanov (1837-1885) had a considerable role in the Kazakh Enlightenment
and at the same time also left his mark on the history of Kirghiz literature by
being the first to publish various episodes of the epos Manas. The first Turkish
comedy, ¡¡airin Evlenmesi (The Poet's Wedding, 1859, by ibrahim §inasi),
found its resources in the tradition of the Turkish folk drama. Similarly, the
newly formed prose genres in Turkic literatures, namely the short stories,
succeeded in integrating components of folk epic with the artistic principles of
the European short story, thanks to which this genre has achieved remarkable
results within a relatively short time. In poetry, the syllabic metre is coming
into prominence; originally it represented the most striking element of preIslamic heritage.
The accelerated development of Turkic literatures during the course of the
twentieth century, accompanied with their integration into the European cultural
context, did by no means dispense with the interplay of folkloric traditions.
The role of folklore is particularly striking in those literatures that could not
find support in their own traditions of classical literature. At the same time,
thanks precisely to the abundant folkloric heritage, some representatives of
these literatures have succeeded in obtaining remarkable results despite the
negative effect of ideological factors that forced upon talented writers the
pattern of the so-called socialist realism. One name in particular will stand for
all: Djingiz Aytmatov.

184

National Consciousness and Uzbek Poetry (1920-1980)
Hamid ISMAILOV, Moskva
If the earth breaks, the crack lies in the heart of a Poet. (Heinrich Heine)

The method of this research is rather simple. Basing my reflections on the
words of Heinrich Heine I have selected poems by famous Uzbek poets, taking
up examples from periods of approximately one decade each, and have
analyzed them. Each poem bears the title "My Heart" or something similar.
Poetry may be considered most indicative of the "national mentality".
Examining changes in the poetry of subsequent periods, we can better
understand the development of Uzbek national consciousness in the Soviet era.
The individuals whose poems I will examine were among the most popular
poets of their day and their thought reflects the thought of their society fully
and authentically. Their poetry can thus stand for public opinion, and more
specifically for some features of national consciousness at a given period of
time.
The methodological basis of this work is Roman Yakobson's scheme of
communication and the functions of language:
context
(referential function)
speaker

message

listener

(expressive)

(poetic)

(appelative)

contact
(phatic)
code
(metalinguistic)
Why have I chosen this scheme?—Because it is universal. For example, the
ancient paradigm of Uzbek poetry, the ghazal, depicts the same structure:

Hamid Ismailov

186

love
I
message, ghazal

lover

beloved

separation
I
ambiguity (beloved = God)
So, taking into account that this scheme, just like any other, is quite
abstract, let us begin our analysis.

Cholpan (1920s): "Kongul"
Cholpan (1897-1938) was one of the reformers of Uzbek poetry who renounced the ancient classic forms of Uzbek poetry. Therefore it is interesting
to compare his poem "Kongul" with the paradigm of the Uzbek ghazal.
Instead of addressing "You" or "the beloved", Cholpan appeals to his own
heart. The context of his poem shifts from "love" to "liberty". The separation
between "Me" and "You" is not the classic separation of lovers any more, but
the depravation of liberty. Cholpan's heart is separated from "Me", and liberty
is separated from the heart.
If we examine the formal elements of this poem we may notice that its
rhythm is aruz, the rhythm of the classic ghazal, but Cholpan divides each
classic line into two lines and thus creates a poem of new style. Other than the
classic ghazal, the rhymes of Cholpan's poem are not monotonous and do not
have a definite order. Cholpan makes ample use of one specific device,
namely, rhyming affixes:
dost-lash-di-ng

ket-ma-s-mu

sust-lash-di-ng bit-ma-s-mu
Alliteration is very important in this poem. Abundantly used gluing "ng"s
and morosely crying "u"s express the poet's sufferings and his aspirations for
the freedom of the opened "a" which, in its turn, is placed only in additional
affixes. And the last morosely crying "hur"—"free" takes its solution and
strenght in the negative, but wide-open "egma!"—"Don't bow!"
Each element of Cholpan's poem is semantically complete. For example,
the question "kishanlar parchalanmasmu?" has the syllabic structure 3 + 5 ,

National Consciousness and Uzbek Poetry (1920-1980)

187

which expresses the essential idea of closed chains. The syllabic structure of
the last line, "Id sen ham hur tuyulgansen", is 1 + 1 + 1 + 1 + 4 , where even the
chain of words has been broken for the sake of liberty.
The lexical level of the poem is caracterized by the "high style" of nouns
and interrogative or negative forms of verbs. There are almost no adjectives in
this poem. The existing ones are "alive" and "free".
The syntax of the first two stanzas is as regular as the reality affirmed in
them. On the other hand, the syntax of the last verse, where the poet tells that
changes are necessary, is inversional. Another idiostylistic feature of Cholpan's
poem is the incongruity of phrase and line. The way the poet connects words
is also rather untraditional.
Having in mind the above quoted scheme of linguistic communication, we
may analyze the scheme of this poem as follows:
liberty
me

I
message

a heart

I
separation
I
ambiguity
(you are a free man, You are Me)
Does the message of this poem enable us to draw any conclusions concerning Uzbek national consciousness of the epoch under consideration?
Cholpan's poetic consciousness does not break with tradition, but the forms
have been changed. It is closer to a personal pole and far from the universalism
that prevailed in classical times. This consciousness is separated from "freedom" while revealing a passionate love of freedom. It cannot give precise
answers, but suffers from doubts and questions. When it cries out, it appeals
first of all to itself. It wants to break an existing order, but just as the thorax
is defender and prison of the heart at the same time, form exerts an ambiguous
influence on Cholpan's consciousness.

188

Hamid Ismailov

Usman Nasir (1930s): "Yurak"
Undoubtedly this poem is a nazira or an answer to Cholpan's poem. Its
meter and structure are the same and the poem represents an appeal to the
heart. But while the "heart" of Cholpan has "made friends with the chains" and
is intended to be free, the "heart" of Usman (1911-1952) is "a saz" (musical
instrument similar to a lyre), its changing melody. Here are the meanings of
the heart in this poem: my lyre-my lover-a source of joy-a playful beloved-a
lightning, or in other words: a perfomer and a listener, a lover and a beloved,
water and fire at the same time.
context
(changing)
me
(changing)

I
message
(changing)

heart

I
contact
(changing)
I
code
(changing)
This scheme shows us that among the changing elements the message itself
becomes the main part of the communication act. As we have stated above, this
is tantamount to the pure poetic function of the message. So this poem expresses the pure poetic function as well. In simple words, this poem identifies
the heart with a lyre (in other words, the heart is an instrument, a means),
whose reunion with man is possible only by a fiery death. For clarifying the
logic of this poem it is interesting to compare its last stanza with the last verse
of Cholpan's poem. Where Cholpan says, "Don't bow!", Usman Nasir echoes,
"Obey!"; when Cholpan puts to shame: "You are a man, a human being!", Usman warns: "If the motherland doesn't agree with You..."; and if Cholpan begins: "You were born free", Usman finishes by saying, "Let me die forever!"
But it is necessary to be cautious here and look at the poem very closely.
Along with the regular sentences of Usman's poem there is an inversional one
as well: Agar sendan Vatan razi etnas bolsa (instead of Agar Vatan sendan razi

National Consciousness and Uzbek Poetry

(1920-1980)

189

bolmasa). Is this not a hint to de facto non-obedience? Just like Cholpan's
poem with its broken chains, here the heart complies with being broken. The
free-born heart has to die free.
Alliteration in this poem is rich and bears evident semantic implications.
For example, the chain of words which contain syllables like ti-to-ta-to-to-to
etc., like the rhythm of a playful heart, comes to an end in the word tamam,
meaning "end". The rhymes of Usman are rather complicated, too: qiryaqdanqilmaqdan, bolsa-olsam.
As for the lexical level of this poem, the kind of words most frequently
used are nouns. Verbs are not interrogative or negative, as is the case in
Cholpan's poem, but exclamations accumulate. Their tense is regular: from
past through present to future, where death is lurking. The phrases of this
poem almost correspond to its lines; the number of idioms or phraseologic
expressions increases, too. The main rhethorical figure used is the metaphor,
or, meaning something by saying something else.
Hamid Alimdjan (1930s): "Har yurakning..."
Hamid Alimdjan (1911-1944), just like Usman Nasir, was a most popular
poet of his day. However, other than Usman and Cholpan, who fell victim of
the Stalinist repression, he was a "komsomol poet" and later on became First
Secretary of the Uzbek Writers' Union.
But let us examine his poem. If the poetic movement of the poems treated
above was from the heart to the outside, here the world comes into the heart as
a guest. In simple words, this poem states that "there is some kind of love in
every heart, but its obscurity is strange to us." This logic is a poetic one, since
from a universal logical point of view there is no causal connection between
existence, the flourishing of love in every heart, and the strangeness of "the
black day that falls on the head of Leyla."
Another feature in regard of which Hamid Alimdjan's poem differs from
the first two poems is the generalization of the "Me" and "You" poles. Instead
of "Me", the poet uses "We" and in the place of "the individual heart" he puts
"every heart." Symptomatic is the author's appealing to the authority of the
poet Hadi Taktash in his epigraph, as well as his identification of himself with
symbolic heroines such as Shirin and Leyla.
The meter of this poem is a folkloric one (barmaq), namely, the 9-syllabic
meter. At the beginning it is rich in variation, while in the second part it is
very regular, namely, 2 + 2 + 2 with 1 syllable inserted some place. Alliteration

190

Hamid Ismailov

is rich, too. It is created by tambour sounds like bat-bir-bar-bol-beg... which
end up with biz—"we". The rhymes are rather traditional.
The lexic of this poem is characterized by the decrease of verbs and an
increase of adjectives. The better part of the phrases are affirmative ones. The
syntax is inversional: first of all the poet presents his main thesis and then he
renders an explanation for it — "It is strange for us, that black night which has
ruined the happiness of Shirin".
alogical symbols of love
we

I
message

we

I
every heart
I
heart is for happiness
(the new code)
Let us now try to understand what changes have occured in the Uzbek
poetic, i.e., public consciousness in the course of the 1930s, relying on our
poetic analysis. Uzbek poetry finds itself in the situation of the hero of a fairytale at the road fork: "to the right there is death, to the left there is life". To
the "right", mind is eager for changes like a drunken man who looks into fire
and realizes wine. On the other side, the aspiration toward rules and regulations increases. There, instead of doubts and questions, mind goes for affirmation and information; individual thought is pushed out from the consciousness
by society and personal responsability yields to reference to the authorities. The
world which used to be colorful becomes black-and-white and then only bright.
At the same time, some qualities of this world increase, while action in the
world decreases. The form of the poem becomes more and more perfect, while
sense becomes less and less deep. The mind is relatively close to tradition, but
open for discussion with it. It begins to recodify the world on the lexical level.
Ghafur Ghulam (1940s): "Aql va qalam"
Ghafiir Ghulam (1904-1966) was undoubtedly the most popular poet of his
day. Unfortunately I have not been able to find a poem of his entitled "The
Heart". However, the text I quote here is close enough to our string of poems.

National Consciousness and Uzbek Poetry (1920-1980)

191

If I were inclined to preconception, I would just say that Ghafur Ghulam
lost, or has been deprived of his heart, and that is all. Actually, in this poem
qalb—"heart" changes into qalam ("pen"), then qarib-churib ("becoming old
and rotten"), to end up in qabr ("the grave")! However, our interest is deeper
and we will thus examine all nuances of the development of mind. Here is the
scheme of this poem:
indefinite
me, you, us

I
message

soul, mind, you, me

I
pen, heart, law, grave etc.
I
slogan
Actually, it is very difficult to understand what this poem is about, but we
can as much as notice that the main element of the poem is the contact between
an indefinite speaker and the indefinite listener. The "message" exists only in
order to establish contact. Ghafur Ghulam creates a new kind of poetry without
any conceivable sense, but by maintaining the traditional bonds between poet
and reader. It is symptomatic that an instrument like the pen (the translator of
the mind by the heart) should become the main hero of this poem. While there
was freedom in Cholpan's heart and a lightning in the heart of Usman, and
even Hamid Alimdjan let a garden flourish in "every heart", from the graveheart of Ghafur Ghulam a pen grows up like a "flagstaff".
When I said that Ghafur Ghulam created a new kind of poetry, I meant that
the pen of the poet is clever indeed. It knows many Arabic and Persian words,
its alliterations are very skillful: aql-mutlaq-qalam-qalb-arqali-aql-qalamkamal-aql-qil-cholaq-Gerakl etc. The rhymes are not bad, either: tardjiman ey djan, Gerakl - aql, bashar - yashar, payvasta - dastal Almost every noun
has its own lovely chosen attribute: the hokim is "mutlaq", asr is "saodat asri",
qalam is necessarily "hurriyat qalami", qanun — "uluy qanun" etc. The main
poetic figure in Ghafur Ghulam's poem is the hyperbole.
However, in this poem there is one verse, hidden among slogans, which is
like a poem in the poem:
If You can't be of any avail to the people,
If You can't identify Yourself with the happiness of the
motherland,

Hamid Ismailov

192

It is better for your translator, the tongue, to grow dumb —
If You can't understand the sense of freedom.
The situation of national consciousness at that epoch is quite clear, once we
have understood this poem. I have said that in the 1930s there were two
possible ways for Uzbek poetry to choose: to death or to life. Ghafur Ghulam,
as the leading Uzbek poet and as an ideological guide, was the only one to
follow both ways: On the road to death he put his heart to grave while on the
road to life he rose his pencil like a flag in order to step forward. The heart
dies, the tonge remains. The dying heart tells the living tongue, "Keep silent!",
"Grow dumb!", but the tongue does not obey, it disregards the order and continues its exercises.
Maqsud Shaykhzade (1950s):

"Yurak

qasami"

It seems that in Uzbek poetry heart and person appear again and again.
However, here the person is a youngster without name and body; the heart is
not a heart, but as a means is even inferior to the "pencil" of Ghafur Ghulam:
it is a notebook or a bunch of papers to be written on. What is written there,
then? The "truth", mysterious like a myth; a sacred land bearing the nickname
(!) "motherland"; the Party which bears the title of a father; the borders of the
USSR; a great picture of Lenin, etc. Saving this legacy for the ages is
tantamount to proving worthy of that "mother's" milk; it is an oath, a slogan
written with the blood of conscience.
Here is the scheme of the poem:
Lenin, Party, Motherland
ideology
a youngster
indefinite

I
message
|

listener
indefinite

heart—notebook
I
slogan—oath
The main difference between this poem and Ghafur Ghulam's lies in the
further development of the poem's hero into a means of slogan, an oath. The
formal elements of this poem are as eclectic as the lexical ones. Nearly 40% of

National Consciousness and Uzbek Poetry

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193

the words used here are Arabic or Persian, others are "Soviet", respectively,
communist. Another specific of this mode of writing is superfluity: meaning for
just one line is expressed by fifty lines with abundant use of all kinds of
rhymes, poetic figures, alliteration, and metric and rhythmic variation. But as
has been said: the clear parts of this poem are deprived of novelty and formally
new parts are deprived of clearness. It is not possible to understand the
culmination of the poem:
[...]

XdMMdCll

uiy MySopatc
Baman
Ilapmwza

mynpoKjdypKU

ymmz

—

naKft.6u.

oma

den

yneoH K,ywimaH

—

Ka6u.

What is this verse about? If the heart turns into a piece of paper and the
tongue is ready to create myths of this kind, what may be the destiny of such
poetry as well as of the consciousness underlying it?! To put it short, here the
human being becomes a scrap of paper bearing the seal "national by form,
socialist by sense".
Erkin Vahidov (1960s):

"Qalb

shunday

ummonki..."

changing heart
nobody

I
message

nobody

I
not an atomic war,
just only a word
I
a word = a word
Actually this poem is an ocean and Erkin Vahidov (born 1936) has thrown
a heart, which was lost between pencils and papers, into its waves, thus turning
the ocean into an earth, a planet, a world and finally into a globe. During these
earthquakes the fist-size heart rages like an ocean, reduces itself to dry land,

194

Hamid Ismailov

becomes as large as the earth, some planet, or the universe. The ancient
world's coming off its axis is not the result of an atomic war, but the
consequence of these perturbations or, of a single word. "Atom" is the only
neologism in this poem. At the same time it is the very contradiction of nature.
There is no person who says that word, so it means that the word is a
traditional one and in this aspiration Erkin Vahidov is very close to Cholpan.
It may suffice to compare the poem with Cholpan's "Otli suv" or to realize the
world's coming off its axis in his poem "Oktabr". Another proof may be that
there is the same battle between crying "u"s and open "a"s in this poem. The
heart explodes by a word confessed in the same way as Cholpan's and Usman
Nasir's: from inside to outside.
This poem is narrow by its words, but wide by its meaning. The main part
is nominative, the nouns are such as: heart—ocean—chest—wave—chains—the
earth etc
They are natural and of "high style". Nouns prevail over verbs,
adjectives and so on. The world is being renominated. Poetry comes back to
the field of words.
Abdulla Aripov (1960s): "Insan qalbi"

Abdulla Aripov (born 1941) is very close to Erkin Vahidov. In the "generation of sixties" they were twins. At the lexical level of his poem, for example,
we find the same attachment to "high style": mankind-heart-nation-languageancestor-pride-humanity-mother-Motherland-heart. However, this chain of
words is distinct from Erkin Vahidov's in that it is more abstract: If Erkin has
cleared a field of words by an explosion, Abdulla plants into this soil the plants
of a second nature: spiritual terms.
One more difference: there are more verbs in Abdulla's poem and they are
essential: don't tease [man's heart]-live-will live-don't think that.. .-don't stir
[the heart] up.
In Abdulla Oripov's poem appears a listener, namely, "You", to which the
verbs "don't tease" and "don't think that..." are attached. The pole of "You"
is in this poem undoubtedly an opposed one—two negative verbs underline
that. On the other hand, the verbs "it lives" and "don't stir it up" are attached
to the heart and if we search the words dependent on "[in] it lives", they are:
nation, language, the pride of the ancestors, humanity, the mother, motherland
—or in other words the human spirit, human values, man's essence.
Nevertheless the negation of "stir it up", warning the opposite pole
("You"), is characteristic for the national consciousness of that epoch. Erkin
Vahidov identifies his heart with the outside world, but Abdulla Aripov places

National Consciousness and Uzbek Poetry

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195

the world into his heart. While Vahidov sketches a landscape, Aripov expresses
a movement of terms. One makes explode, the other warns.
spiritual values
heart

I
message

you

I
oppositional
I
heart is man's essence
What are the guidelines along which the mind has changed in these years?
First of all we can observe the ongoing restauration of the word's value: it is
not superfluous by number any more. However, it has not yet overcome the
hyperbolic meaning by its quality. The word is not yet equal to the event. The
world is solemnly described by "high style", "Me" has not yet found its shape.
Anyway, the heart is not a pencil or a scrap of paper any more, but is revised
by sense and mind. — National consciousness returns to its national ground,
which is attached to the mothertongue, to the mother-word. It realizes the
tremendous greatness of the heart. This thought gives pride and fear at the
same time.
Another change: instead of describing the world by adjectives, the poets
renominate it. They believe that, if they change the names of the things that
correspond with life and the heart, then life and the heart will change, too. The
poets change the mode of describing the world, believing that by so doing they
change the very world.
Rauf Parfi (1970s): "Birga tuyildikku yuragim"
Here we begin right with an analysis of the formal elements of Rauf Parfi's
poem. (The poet was born in 1942.)
The rhyme scheme is a-b-c-b-c II a-d-e-d'-e. The two a-lines are identical:
"birga tuyildik-ku yuragim", the rhymes b-b of the first verse differ from one
another only by one letter: "odimlarimiz birdir bizning" - "odamlarimiz birdir
bizning". In the second verse, d-d' is a very fine rhyme ("mangulik - lek(in)"),
because all the letters of "lekin" exist in "mangulik". So, Rauf Parfi uses very
different types of rhymes.

196

Hamid Ismailov

The meter of this poem follows the same principle. It is very simple and
rich in variation. Here is the division of words in the lines by the number of
their syllables: 2-4-3 / 3-3-3 / 5-2-2 / 1-2-1-2-3 etc...
This principle of creating complex units by combining very simple elements
appears at all levels of this poem. For example, depending on how we segment
the first stanza, we can read it in the following ways: "We have been born
together, my heart, to roam the world on foot" or "For roaming the world on
foot, our steps are the same", or "Our steps are the same in this happy, in this
unhappy world", or, "In this happy, in this unhappy world our men are the
same", etc
, and in all other combinations.
Here is the scheme of this poem:
unity
me

I
message

heart

I
"We"ness
I
name-identification
It is very interesting and important that "We" appears in the first verse at
the end of the phrase, then in the second verse is divided into "You" and
"Me", which are placed at the beginning of the sentence, which means they are
placed normally, naturally. Thus the "Me" that had previously disappeared is
re-born in Uzbek poetry. Both the nouns and the verbs of this poem are
essential: world, step, man, eternity, name, to bear, to walk, to live, not
forget. Even the only two adjectives of the poem, "happy" and "unhappy",
designating two limits of a scale, are as important as black and white.
The poet creates a scintillation of meaning. At the beginning "Me" and "the
heart" form a unity, their steps are the same and so are their "people". But
when conditioned eternity is promised, they are separated. "Don't wait for
me!" says the poet, because "I am only your name". He doesn't say who it is
that will be eternal, the body or the name. Anyway he appeals: "Don't forget
your name!" Thus the name and the heart, which were separated when it came
to eternity, are re-united in the field of memory, in the true field of poetry.
The unity of the times before being born remains eternal after death, says
the poet and asigns this unity a place higher than death.

National Consciousness and Uzbek Poetry

(1920-1980)

197

What makes the main difference between this poetic mind and those
mentioned before is the accent: we do not have to change the terms of this
world, but to find unity, equality, the identification of a person and the heart,
of man and his mind, his conscience, creedence. To define an eternal inside
world in this changing and relative outside world, to identify the name with the
essence—that is the intention of this consciousness.
Muhammad Salih (1980s): "Yurak"
I have written much about the Uzbek poetry of the 1980s and particularly
about Muhammad Salih (born 1949), so ¿lis part will be the shortest. It may
suffice to show the scheme of Salih's poem so that our thoughts be understood.
heart
speaker

I
message

reader

I
poem
I
heart
We can see that this poetic message uses neither the expressive nor the
appelative functions of speech. The poet makes a poem about "poems about the
heart". There are in this poem Cholpan's aspiration towards freedom ("an
obstinate creature"), the changing heart of Usman Nasir ("the essence of one
thousand eyes"), the spring of Hamid Alimdjan's heart ("waiting under the
green cover of the spring"), etc
Using the words of Salih, we can say: it is
the fruit of Uzbek poetry.
"Who will blame him and what for?"
Returning the name "heart" to the heart, Salih reserves words for words and
actions for actions. The price of denying the "creation of a heart-myth" is
traditional poetry and Salih pays this price. As a consequence, he is one of the
last Uzbek poets in the field of Uzbek Soviet poetry and one of the first
activists in the field of a national Uzbek policy. After having performed its
role, the poetic word has gone to eternity. Meanwhile the word has left the

198

Hamid Ismailov

field of poetry as well and has moved on to the squares and tribunes as a word
of action. Salih has closed the last page of Uzbek Soviet poetry.
Of course our study is rather schematic. We have not examined all the
nuances we might have. There are probably many good or even better poets
and poems that have been left aside for the sake of keeping to our line.
However, our poets and their poems were most characteristic for the given
epochs and to understand them is tantamount to better understanding the Soviet
epoch, the crack of which lay in its poets' hearts.

National Consciousness and Uzbek Poetry

199

(1920-1980)

Appendix: Texts

HyJinoH

YCMOH

KyHryji

Hocnp

lOpaK

KyHryji, ceH MyHnajiap Hera

lOpaK,

KnmaHjiap öupjia flycTjiam^HHr?

THJIHMHH

Ha c|)apeflHHr, Ha jjoßHHr 6op,

Ky3HMra

HenyH ceH MyHMa cycTjiamjjHHr?

lOpaK,

XAK.opaT P,HJIHH orpHTMac,

CeHra Top KejijjH 6y KyxpaK,

TyöaHJiHK MaHry KeTMacMy?

CeBHHHHHr Torn^H K,nproK,j;aH.

KnmaHjiap napnajiaHMacMy?

THJIHM

K,HJIH1Jiap 3HJJH CHHMaCMy?

CeHH TapXHMa K,HJIMOK,J^aH.

TnpHKcaH, yjiMaraHcaH,

CeH, an, ceH — yHHOKH flHjiöap,

CeH-fla oflaM, ceH-fla

3a$apji;aH H3jia epHHrHH.

KmnaH

KHHMA,

HHCOHCCH,

6yÄHH

SRAA,

KH ceH x,aM x,yp TyryjiroHceH!
ToniKeHT, 1922

TYJRAÖ

CEHCAH MEHHHR CO3HM,

Hafira acyp

3T,D(HHR.

OHHH 6epKHT,N,HHR,

CEHCAH HIIIK,H6O3HM.

lapnap, axca6, rox,n

K.afiHa,

TOHIHÖ

yÖHa,

TnpHKMaH, Kyfijia 6opHHrHH.
HToaT 3T!
Arap ceHflaH
BaTaH po3H 3Mac 6yjica,
EpHji, Haic.MOK.Ka afijiaH ceH,
Epnji! Mafijra, TaMOM yjicaM!..

CAMAPK.AHFL,

1933

200

Hamid Ismailov
XaMHfl Ojihmjkoh

Myx,a66aT — yji y3H bckh Hapca,
JleKHH x.ap 6np iopaK

Ohh eHropTa... (Xoäh Toktoiü)
Xap ropaKHHHr 6np 6ax.opH 6op,

JleKHH JlaiijiH 6omnra KejiraH

Xap 6np Kaji6ra

K,opa KyHJiap ÖH3ra er öyryH;

hiiik, öyjiap

Bn3ra eTflHp IÜHpHH ßaXTHHH

Mex,MOH.

Xap ropaKfla ryjmap Myx,a66aT,
BycTOH

rioHMOJi 3TraH y K.on-K,opa TyH

3Tap y H H ß e r y M O H .

1936

FaiJjyp FyjiOM
Akji Ba K,ajiaM
Ak.ji ByacyflHHr^a x,okhmh MyTJiaK,
KajiaM Kaji6 opKajin yHra TapxHMOH.
Ak,ji, K,ajiaM KaMOjira e r a 6 ojiryHHa
CaoflaT acpH.ua aniaö oji, bh x o h !
Akji HyjiöoniHHjiHK K,HJiMaraH epjja,
HyuoK, HyMOJiHßeK o x h 3 TepaKJi.
3 h , MeHH y3HMra TaHHTa ojiraH,
JleHHH napBapHHiHH Tona ojiraH aK,ji.
XyppHHT K,ajiaMH HXTHepuHrjia,
ByHH ceHra 6epflH K,OHyHH acoc.
By K,ajiaM cao^aT TapjKHMOHHflHp,
EH3HHHr yjiyr K,OHyH oflaM3onra xoc.
XanK,HHHr MaHc^aaTHH K y 3 J i a ß ojiMacaHr,

BaTaH caoflaTHH y3Jiafi ojiMacaHr,
TapxHMOH THjiHHrHHHr jioji yjiraHH xyni —
XyppHHT MS3MyHHH aHrjiafi ojiMacaHr.

National Consciousness and Uzbek Poetry (1920-1980)

201

KoHyHH acocHHHr nopjioK, HypH,n;aH
MeH K,ajiaM sracn x,yK,yK.JiH 6amap.
To xax,oH SopHMa 6h3hhkh öyjiraH
K,OHyHH acocHHHr Ma3MyHH Hinap.
Illy yjiyr KyHjiapHHHr rpaxflaHHMaH,
Ak,ji Ba öajioraT xoHra nafißacTa.
KapH6-Mypn6 yjiran cao^aT ÖHJiaH,
KajiaMHM K.a6pHMHHHr Tyrnra flacra.
1946

Maiccyfl niafix30fla
lOpaK K.acaMH
(Bap emHHHr MOHOJiorn)
HcTaiicaHMH, ceHra OMafi —
^atJjTapHMHH

KyHrJIHMHH,

BapaK,jiaÖHH jhjihmhh?
EajiKH ceHra nafiflap-nafi
flOCTOHBOpHXJaK,HK.aTJiap
aHTMaKJIHKKa
Thjihm man!
XaK.HK.aTKH, ac^coHajiaH cex,pjiH,
A4>coHaKH, pocT HniJiapflaH
Myx,ypjra.
EnpoK. 6apna x,HKOHJiap,
MaH3yMajiap,

K,nccajiap —
Capry3aniTflaH, KOt^HH^aH
KomoHanap Ty3cajiap —
By KomoHa K.y66acH

202

Hamid Ismailov

KyprycH
X y p Ky3H

—

lOxcaK Torjiap TenacH

Y j i y r JleHHH cypaTHH.

Hjix.OMJiapHHHr namMacH,

lOpaK^arn 6y xa3HHa,

XaMMacH

—

By KOHHOT,

Uly MyöopaK TynpoK,jinpKH,

By 3HHH3T

—

MeHHHr HacjiHM x,aeTHra

BaTaH yHHHr jiaicaÖH,
riapTHara OTa flea —

Pax,HaMO,
BaTaH ÖH3ra epyr, K,yem,

YHBOH KyHHjiraH KS6H .
MeHHHr rny noK KyKparHM^a,
B e r y 6 o p loparHMfla

By MepocHH acpjiapra caKjiaMOK,

—

KHM H3JiaCa K)pT HaKHIHHH,
BaTaHHHHr xapHTacnH

<I>aH x,aBOCH — KeHr caMo.

—

OHa cyTHH OK,JiaMOK:
Bnp uiHopKH, m y HCTax-na
lOpcaM, eHrcaM, a m a c a M ! . .

T o n a p yHfla MyTTacHJi:
"Ba4>o" fleraH c o k h h h h ,

BHXgOHHMHHHr K.OHH ÖHJiaH

" K y p K M a c " jxeraH K,yproHHH,

E3HJiraHflHp m y K,acaM.

"MexHaT" fleraH iiojibohhh !
K h m H3jiaca roparoiMfla
IloKH3a KyKparHM^a

—

CCCPHHHr capx,aji;HHH:

3pKHH B0X,Hfl0B

K,aji6 myHflaH yMMOHKH...

K a j i ö niyHflaH yMMOHKH, yHHHr öarpHjja
¿JaxjuaTJiH flojirajiap CHJiCHJiacn 6op.
K,aji6 myHflafi 33mhhkh, oTarn KatpH^a
ByjiK.OHJiap OTryBHH 3HJi3HJiacn 6op.

National Consciousness and Uzbek Poetry (1920-1980)

Y 6 n p cafiepaflHp. E p ^ e x

203

mac^aicryH,

Y 6 n p ojiaMflHpKH, ÖHJiMac H H x , o a .
y H H Mex,BapHjüaH HHK,apMOK, y n y H
ATOM a c a H r n 3 M a c , 6 « p c y 3 KH<J)OH.

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HHCOH K,AJIÖH ÖHjiaH x,a3HjijianiMaHr CH3,
y H ^ a MHJUIAT a r a a p , yHjja THJI a r n a p .
y H f l a aacflOfl 4 > a x p n a n i a f i f l H cy3CH3,
y H f l a HCTHK.OMaT K.HjiaflH 6 a m a p .
HHCOH K,aji6n ÖHjiaH x,a3HjijianiMaHr CH3,
y H ^ a OHa a r n a p , a n i a f i f l H B a T a H .
y H H x y H H a p c a fle6 y f i j i a M a H r x . a p r H 3 ,
X a Ä x , O T ! K , y 3 r a j i M a c H H 6 y K,aji6 fla<J)T>aTaH!

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ropaniM,

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l O p a r H M , HCMHHrHH y H y T M a .

204

Hamid Ismailov
Myx,aMMafl COJIHX,
lOpaK

Xen Hapca KHjiMacjiHK K,aHflaö hxihh. X,en Hapca k,hjiMasnMaH, jjeß
yKCHMacjiHK K,aHflañ pox,aT. BnacflOH k,hhh3jiMaca, b h x h o h K,aepraflHp
t o h h ö öyjica, ypHHra öouiKa 6«p Hapca, yHra yxniaMaraH, smmo y m m r
macjDcjDOijD yprarHHH ypa6 ojiraH Ba my macjDcJjocJj napaa apo THKHJiaéTraH
MHHr Ky3jiH MaBÄy^OT — x,en khm ojiflHfla x,hco6 öepMaHjjHraH y x a p
MaXJiyK, BHJKflOH KaÓH TOpTHHMOK. 3MaC, aK,JI Kaßll 3X,THéTKOp 3MaC
CHiiicacH hhk.h6 KeTraH "ropaK" hcmjih 3coh3ot Typca, K.aHflaíí hxuih.
Khm yHH aiiöjiap Ba HHMä ynyH?
Y x,aMM3HHHr HHHfla éjirH3 aKJiJiH — cy3CH3 KyH Kypa ojia^HraH,
BHiKflOH K.HHHOFHCH3, aK,JI Ky3HCH3 HIIiaH OJiaflHraH TaHX.0.
y öapna MeBajiap HHHfla y 3 H H H H r eTHjiHiHHHH ca6p-TOK,aT ÖHjiaH
KyTHinra KOflnp, 6ax,opHHHr aniHJi Kypnacn oc-ra^a x,aM, capaTOH
HoiiniaÖH Tarnfla x,aM y3HHH, ejiFH3 y3HHH KyTaflH.
By Meßa y3HHH 4)aK,aT y3H ynyH acpañflH.
1982

c

Alisir Nawä3! über das Lachen
Sigrid KLEINMICHEL, Berlin

In Nawä°is Dichtung "Hajratu 'l-abrär" (Verwunderung der Frommen), der
ersten Dichtung seiner hamsa von 1483, ist an mehreren Stellen vom Lachen
(kulgu) die Rede. Daneben wird von Dingen berichtet, die Anfang des 20.
Jahrhunderts als kulgilik (Lachkunst) bezeichnet worden wären. Sie haben
offensichtlich zur Entstehung der Theaterkunst in ihren modernen Formen
beigetragen. Drei Kapitel in cAlI§Ir NawäTs Dichtung enthalten jeweils zehn bis
fünfundzwanzig gedanklich eng miteinander verknüpfte Doppelverse über das
Lachen und die Formen der Späße, die zum Lachen herausfordern. In anderen
Kapiteln gibt es einzelne Verse, die mit dieser Thematik zusammenhängen und
zusätzliche Aspekte sichtbar machen.
In dem 6. Gespräch ( ä l t i n c i maqälat), das von guter Sitte (adab), Ergebenheit ( t a w ä z t f ) und Zurückhaltung oder Diskretion (hajä) handelt, ist NawäTs
Auffassung zum Lachen am konzentriertesten dargelegt. Seine Worte sind an
einen Menschen gerichtet, der sich adab aneignet und tawäzuc erstrebt, um
zum eigentlichen Ziel {maqsad-i aslt) zu gelangen. Ihm wird noch einmal in
Erinnerung gerufen, was es mit dem Lachen auf sich hat. Die Stelle über
diesen Gegenstand beginnt mit der kategorischen Feststellung tark-i
adabdin
biri kulgudurur
('Eine Art, von der guten Sitte abzuweichen, ist das Lachen.').
In fast jedem der 24 Doppelverse kommt ein Begriff vor, der entweder
'lachen' bedeutet oder denjenigen nennt, der das Lachen der Leute bewirkt, der
die Kunst des Lachenmachens, die Lachkunst beherrscht. Ist ein solcher Begriff
nicht vorhanden, so gibt es Ersatzwörter1, oder es handelt sich um einen
zusammenfassenden Vers. Wir haben kulgu ('das Lachen'), eine Verbform von
kulmäk,
weiterhin handänliq ('das Lachen', abgeleitet von pers.
handändan),
das onomatopoetische qahqaha ('das Gelächter'), hazl ('der Scherz'); außerdem
rm&cfbid ('der Gaukler'), mashara ('die Maske', 'der Theaterspieler', der dem
modernen usbekischen masharabäz
oder qiziqci entspricht), lüli ('der Zigeuner') und Hindu ('der Inder'), muzhik ('der Spaßmacher') und schließlich einen
Mann, von dem es heißt, er sei wie ein Affe (majmün cü).

1
Als Ersatzwörter werden verwendet: bu Sewa ('diese Art', 21. bejt), munca maiallat ("soviel
Niedrigkeiten', 36. bejt), keca zulmati ('Dunkelheit/Grausamkeit der Nacht', 37. bejt).

206

Sigrid Kleinmichel

In den ersten Versen dieses Abschnitts wird das Lachen in etwas abstrakter
Form beschrieben, doch nicht ohne Bildhaftigkeit. Es wird hier aus zwei
Gründen abgelehnt. Das Lachen weist erstens immer auf eine äußerst heftige
Handlung hin, wie das Herausplatzen von qahqaha und das Hervorbrechen
eines Blitzes. Derartige heftige Handlungen treten auch als Übertreibungen auf,
wie das Außersichgeraten (uzidin ket-) des Betrunkenen. Zweitens ist das
Lachen, selbst wenn es in schöner Form erscheint, immer Ausdruck von
Vergänglichkeit. Der Untergang ist in ihm von Anfang an mit enthalten. Das
wird illustriert mit den Bildern von der schönen Knospe, die sich lachend
öffnet, aber damit auch schon dem Entblättern nahe sei; vom Blitz, der zwar
ein Licht ist, aber gleich wieder unter der Erde begraben werde (sogar zweimal: 20. und 24. bejt)\ von der Perle des Tautropfens, welche die Sonne
sogleich wegbrenne.
Auch in zwei Doppelversen, worin Nawä°i an
Redewendungen, die er als bekannt voraussetzt,
Verderben: Ein Rebhuhn gerät durch sein Lachen
Hund öffnen die Türe des Lachens, doch zeigt
Bewohner aus dem Haus.

fabelartige Geschichten oder
erinnert, führt Lachen zum
ins Unglück; und Fuchs und
sich der Löwe, fliehen die

Mitten in die Verse über das Lachen hat der Dichter auch fünf Doppelverse
eingefügt, mit denen er erklärt, um wieviel besser als das Lachen das Weinen
sei. Er knüpft damit an das dritte bejt dieses Kapitels an, worin er den um
Ergebenheit Ringenden folgendermaßen angesprochen hatte: "Du, der du die
Tränen der Enthaltsamkeit nach allen Seiten hin vergießt, / wodurch das Feuer
der Triebe und Begierden verschwindet". Das Weinen hat also eine wohltätige
Wirkung. Es löscht das Feuer der Begierden und ist der perlenausstreuenden,
d.h. der regenbringenden Wolke gleich. Es steht auch nicht für Spontaneität
wie das Lachen, sondern für Dauer und Wiederholung, wie "das Weinen der
Kerze", das die Nächte erhellt. Direkter auf den Menschen bezogen, ist es das
flehende Weinen, das zur Befreiung von den Sünden beiträgt, oder es ist das
Weinen aus Scham. 2

2

Dieses Weinen benennt der Dichter durch ein Bild: haja' abri ('Wolke der Schamhaftigkeit'),
womit das Auge gemeint ist, denn der ganze Vers 26 lautet folgendermaßen:
Kimda adab - kulguga äcmaz ägiz
lek hajä' abri emas qatrasiz
In wörtlicher Übersetzung:
Wer Anstand hat, der öffnet den Mund nicht zum Lachen;
die Wolke der Schamhaftigkeit aber ist niemals ohne Tropfen.
Das heifit:
Wer Anstand hat, der öffnet den Mund nicht zum Lachen;
sein Auge aber ist immer voller Tränen.

c

AliSir Nawä'i über das Lachen

207

Eine ganze Menge erfahren wir über die "Lachkünstler". Der hindu ist kein
Inder, sondern ein Mann spielt ihn nur, wozu er sein Gesicht dunkel einfarbt.3
Der Zigeuner führt einen Handstand vor, er begibt sich freiwillig in eine
unwürdige Lage, die Beine sind oben und der Kopf ist unten, er ist sarnigün
'umgestürzt' und 'entthront'. Der muScfbid ist ein Mann, der mit Wortspaß die
Leute erfreut, denn es heißt, daß er sich selbst die Zunge abschneidet (uz tilini
kesar, was wohl am ehesten heißt, daß er das Volk mit Zungenbrechern belustigt, nicht daß er schweigt, vgl. türk. dilini kesmek = susmak); auch an einer
anderen Stelle (2. hajrat, 11. bejt), die weiter unten angeführt wird, ist der
muücfbid ein Vielredner. Über die Künste des Theaterspielers (mashara) erfährt
man scheinbar nichts, sondern nur etwas über seine soziale Stellung und über
sein Äußeres. Er führt irgendein Repertoire vor und sammelt dafür Geld ein,
doch eher als einen Dirham bekommt er zwei Ohrfeigen. In seiner Verkleidung
ist etwas Eulenartiges, denn es heißt, die Eule sehe aus wie er. Wahrscheinlich
malt er sich die Augen groß oder benutzt eine Maske mit großen Augen, und
er steckt sich Federn an.4 Doch all das führt nur dazu, daß er verprügelt wird.
3

Der hindu gilt auch sonst als verachtete Gestalt. Ob er Inder oder ein aus Indien Kommender ist,
sei dahingestellt. Daß man ihn schon zu Nawäis Zeiten darstellte, wissen wir aus dieser Stelle.
Möglicherweise erfand man die Rolle, weil er selbst häufig als Gaukler aufgetreten war.
Zwei weitere Stellen in Hajratu 'l-abrär, die die Geringschätzung des hindu belegen, sind folgende:
— Im 12. Gespräch über ahl-i qalam wird der Gerichtsschreiber (kätib-i däru 'l-qazäJ) wegen seiner
Gier nach Geschenken und Schmiergeldern verurteilt. Für Geld sei er bereit, die Tochter des
Chalifen mit einem hindu zu verheiraten (29. bejt).
— Im 7. Gespräch tritt der hindu wiederum als Gaukler auf. Die Stelle lautet:
hindu-i Ufib bäiida tag kürani qarä pul säri muhtäg kür (11. bejt)
jetsa aräzil kafidin bäg arjakük säri tailar nimadur tag aya (12. bejt)
Sieh die Krone auf dem Haupt der indischen Maske, sieh, wie sie (die indische Maske, der
Inder, der Gaukler, der einen Inder darstellt) des Kleingelds bedarf!
Wenn er aus der Hand eines Niedrigstehenden eine kleine Summe erhält, wirft er (aus
Freude) zum Himmel, was ihm als Krone dient.
In diesem Kapitel über qanefat (Genügsamkeit) geht es um echte und unechte Könige, um echte und
unechte Kronen. Auch unter den wirklichen Königen gibt es unechte, d.h. schlechte, der Gaukler
jedoch ist auf jeden Fall ein unechter König. Sein Königsein dient dem Gelderwerb, und der
Gelderwerb in dieser Form widerspricht der Vorstellung vom rizq (Lebensunterhalt), der jedem von
Gott zugeteilt ist. Der beste von allen Königen ist dieser Gedankenfiihrung zufolge ein muhtäg
(Bedürftiger), der — so das Wortspiel — j a eine unsichtbare Krone hat (tag 'die Krone' ist im Wort
muhtäg verborgen enthalten).
* Erike Taube machte mich darauf aufmerksam, daß diese Form der Belustigung auch Eingang ins
Genre des Märchens gefunden hat: Ein Mann bringt seine Ehefrau, die ihm von einem Chaan
gestohlen wurde, dadurch zum Lachen, daß er sich Vogelfedern anklebt ("Die Tochter des Lusut
Chaans", in: Das leopardenscheckige Pferd und andere tuwinische Märchen aus der mongolischen
Volksrepublik, aufgezeichnet und nacherzählt von ERIKA TAUBE, Berlin 21979, 145-151). In diesem
Märchen hat das Federnankleben, d.h. das Verkleiden in ein Federkleid, zwei Dimensionen. Es ist
Kunstmittel wie im Volksschauspiel, wodurch die beabsichtigte Wirkung — das Lachen — erreicht

208

Sigrid Kleinmichel

Wenn man aber weiß, daß fast alle Theaterspiele (masharabäzi) noch zu Beginn
dieses Jahrhunderts mit Prügelszenen endeten, wobei es dem Basarvolk
besondere Freude bereitete, jemanden verprügelt zu sehen, der ihm die
Abgaben und Disziplinarstrafen auferlegte, dann kann man aus den Versen
auch entnehmen, daß die Prügelei wie das Ohrfeigenverteilen zum Spiel
gehörten. Denkbar ist auch, daß der muzhik ein Theaterspieler war. Er ist
betrunken oder stellt sich so und stößt unschönes Geschrei {hurüs) aus (38.
bejt). Und es ist bekannt, daß in den beliebtesten Volksschauspielszenen Unflätiges redende Betrunkene und übermäßig ängstliche Opiumsüchtige auftraten.
Ein Gaukler, der nicht näher bekannt ist, bindet sich einen langen Bart um, und
er zieht sich eine Pelzmütze (bürk) so über den Kopf, daß er wie ein Affe
aussieht.
So erhält man ein recht buntes Bild von dem, was sich auf den mittelasiatischen Märkten und Straßen an Lachfreuden abspielte. Man kann annehmen,
daß mittelasiatische Leser von NawäTs Dichtung keine Schwierigkeiten hatten,
sich die einzelnen Szenen vorzustellen. Sie kannten ja die Realität, aus der die
Bilder kamen. Aber °AlTäIr Nawä3! nennt das ganze fröhliche Treiben — gemäß
den allgemein verbreiteten Auffassungen — anstößig und unsittlich. Der zweite
Teil der Doppelverse, die von den Gauklern sprechen, ordnet diesen jeweils ein
negatives Symbol zu: schwarz (das Gesicht schwarz machen), eine abgeschnittene Zunge, die Ohrfeigen (käg) und die Prügel (urmäq), das Umgestürztsein
(sartiigün).
In diesem Kapitel ist an wirkliche Vorgänge der Volksvergnügungen gedacht. In den beiden anderen Passagen werden ganz ähnliche lebendige Bilder
nachgezeichnet, doch sind sie Metapher für die Welt und das Schicksal. Man
könnte sagen, daß hier die Welt als Welttheater vorgestellt wird.
Drei Kapitel in NawäTs Dichtung sind mit hajrat (Verwunderung, Ratlosigkeit) überschrieben. Das mittlere davon ist ein Nachtkapitel. Das Herz fliegt
aus der gegenständlichen Welt auf der Erde in die himmlische Welt zur Nachtzeit. Es begreift, daß auch diese Welt nur eine Erinnerung an den Schöpfer ist,
und vor Verwunderung verliert es sich selbst (behüdluqqa sälgari). Dieses
Kapitel entspricht in Nizämis "Mahzanu 'l-asrär" etwa dem Kapitel, das den
zwei halwat (vertrauten Gesprächen) vorausgeht und das dar tawsif-i Sab wa
sinähtan-i dil heißt. Darin gibt es im 11. Doppelvers ein Sab-bäzi, das in der
Anmerkung5 erklärt wird als lucbatbäzi (Puppenspiel), um das Herz zu erwird, und es ist Erkennungszeichen und Zeichen dafür, daß der Zeitpunkt der Rettung gekommen ist.
5

NIJÄMI, Mahzanu 'l-asrär, Teheran 1323, S. 46.

c

Aliiir NawäD[ über das Lachen

209

freuen. Weiter ausgeführt ist dieser Gedanke aber nicht. In Gämls "Tuhfatu 7ahrär" enthält das entsprechende Kapitel dar kaSf-i parda az haqiqat-i dil nichts
von Puppenspiel und dergleichen Dingen.
In Nawä^s Dichtung lauten die Verse, die hier interessieren, folgendermaßen:
Die chinesische Puppe (lucbat-i ein) verbirgt ihr Antlitz; sie löst
ihre Zöpfe/Locken ( z u l f ) und verbreitet Moschus (gemeint ist die
untergehende Sonne).6

(4)

(Es folgen zwei Verse, die dem schwarzen Moschus, der Nacht, gewidmet
sind.)
(7)
Die Steppenvögel gehen schlafen, und die Fledermäuse (Sabparak)
beginnen zu fliegen.
(8)

Die Eule fliegt zum Himmel auf und macht sich den Mond zum
Tamburin.

(9)

Auf der grünen/blauen (kük) Wiese sind Blumen aller Art, es sind
die Sterne auf dem dunkelblauen (läguward) Tamburin.

(10)

Hundert Arten von Plagen/Ermüdungen (tacb) wurden ihm (dem
Herzen) in dieser Nacht bereitet, eine merkwürdiger als die andere.
Das Himmelsrad — ein Meister der Gaukelei {muSacbid-Sicär) —
hat jeden Augenblick andere Zaubersprüche {tilism) bereit.

(11)
(12)

Der Himmel ist diesem Gaukler (muScfbid) das Zelt, die Sterne
sind ihm die Puppen mit silbernem Körper (lucbat-i siminbärt).

(13)

Die Milchstraße in ihrer langen Form ist dem Himmelsrad (und
Gaukler!) ein Wegzeichen (nämlich Licht) für seine Beobachtungen.

Das nächtliche Theater führt der Dichter also mit leuchtenden Farben vor. Im
Theater wirken eine chinesische Puppe, ein Gaukler und ein Tamburinspieler
mit. Die Requisiten sind ein Zelt und ein kunstvoll erleuchteter Weg (die
Milchstraße), ein dunkelblaues Tamburin mit Sternen darauf und ein hell
glänzendes Tamburin (der Mond). Gesprochen wird im Theater etwas dem
Alltag Fremdes, das hier mit Zaubersprüchen bezeichnet ist. Von den Wesen
der Erde sind die Eule und die Fledermaus als Nachtgetier beteiligt.
Die darauf folgenden Verse gelten dem Himmel mit seinem ajwän und
seinem Sabistän und den neun Sphären. Das Herz durchfliegt diese Sphären.
Vgl. auch lucbat-i cindek ('wie eine chinesische Puppe') im 14. Gespräch, 29. bejt.

210

Sigrid Kleinmichel

Dabei trifft es auf die einzelnen Planeten, von denen der Merkur in der zweiten
Sphäre etwas den Gauklern Verwandtes hat. Er komponiert (nawäsäz), singt
(zamzama-pardäz) und spielt Musik auf einem Saiteninstrument.7
An dieser Stelle, in der zweiten Verwunderung, werden Nacht und Nachthimmel nicht in dem Grade verurteilt wie der Himmel / das Himmelsrad in
dem weiter unten behandelten Schicksalskapitel. Im Gegenteil, die Nacht ist
dunkel, hat aber zugleich viele Farben. Nur sind diese ebenso unzuverlässig
wie die Tagfarben des paradiesischen Gartens, der in der ersten Verwunderung
beschrieben ist. Das Herz muß, um die Wahrheit zu finden, andere Wege
suchen, wovon die dritte Verwunderung handelt.8 Die gegenseitige Negierung
ist bei der Beschreibung der Tag- und Nachtwelt weniger betont. Was in der
Nachtwelt an Gaukelei und Theaterspielen erinnert, sind Bilder, mit denen ihr
eine Vielfalt bescheinigt wird, die der des Tages vergleichbar ist. Tag und
Nacht sind in ähnlicher Weise nur Theater/Welttheater.9 Theater und Vielfalt
sind nicht das, was eigentlich gesucht und erstrebt wird. Aber an verschidenen

7

Merkur wird bei Nawai auch als but bezeichnet, und Üzbek klassik adabijäti asarlari ucun
qisqaca lugat, TäSkent 1953, gibt für but die Bedeutung rtufSüqa ('Geliebte')-

8

Der Mensch findet das Höchste in sich selbst, vgl. auch HELLMUT RITTER, Das Meer der Seele,
623. Mit unserer Thematik hat das dritte hajrat insofern zu tun, als hier die fünf Sinne vorkommen.
Doch würden Ausführungen über alle Aussagen Nawä^s über die Sinneserfahrung unser Thema zu
sehr ausweiten.

9
Liest man die Stelle über das Nachttheater bei NawäT im Kontext der ganzen Dichtung, so
verwundert es nicht, daß bei einem usbekischen Gegenwartsautor — Timur Pulatov — die Fledermaus als Symbol einer Figur auftritt, die der Schriftsteller mit großer Sympathie zeichnet. Die
Fledermaus steht hier für den Künstler, der hellhörig und sensibel auf die Realität reagiert, wenn er
auch gegenüber manchen Dingen, welche anderen Leuten viel bedeuten, blind ist. Neben der
beliebten Gegenüberstellung Sonne — Fledermaus, in der 'Fledermaus' nur Negatives bezeichnet,
war die Möglichkeit, die Fledermaus aus der negativen Bewertung herauszuhalten, wie man aus
Nawä'Ts Versen sieht, in der mittelasiatischen Dichtung durchaus vorgeprägt. Noch deutlicher
ausgeführt war sie bei cAttär, wo die Fledermaus die innere Sonne der Nacht, als die wahre Sonne
Gottes, der äußeren vorzieht (im "Musibatnäma", vgl. RITTER, Meer der Seele, 203). — Selbstverständlich kommen für Pulatov daneben ganz andere Quellen in Frage; z.B. ist für ihn die europäische
Romantik mit dem ihr eigenen Verhältnis zur Hell-Dunkel-Problematik wichtig, und er hat ein feines
Gespür für Archetypen, darunter für den blinden Sänger und Dichter. Zu vergleichen wäre auch noch
Ahmet Ha§im im Vorwort zu "Piyale", wo es heißt, daß die Einbildungskraft wie die Fledermaus nur
im Halbdunkel der Dichtung fliegen kann (siehe DUDAS Übersetzung in: Die Welt des Islams 11,
1928, 216). — Die Mehrzahl der usbekischen Dichter dieses Jahrhunderts scheint dagegen die
einfache Gegenüberstellung Fledermaus : Sonne von den alten Dichtungen übernommen zu haben.
Diese Gegenüberstellung läßt sich bei Nawäi ebenfalls entdecken, z.B. im 13. Gespräch, 52. bejt.
Im 20. Jahrhundert werden dem "Paar" Fledermaus und Sonne natürlich neue Bedeutungen unterlegt,
so bei Hamza in dem Gedicht "Sundäq qälurmu?", 1917, oder bei Äjbek in seinem Nawä^-Roman
(vgl. M. KOSCANOV, Scedrost' talanta, Moskva 1980, 86).

'AliSir Nawä'i über das

211

Lachen

Stellen dieser Dichtung wird das Vielfaltige auf immer wieder andere Weise
und auf den unterschiedlichsten Ebenen dargestellt.
Einen größeren Grad von Ablehnung — etwa vergleichbar der Mißbilligung
gegenüber der Gaukelei und Theaterspielerei, wie sie im 6. Gespräch ausgesprochen wurde, kann man den Versen im 14. Gespräch entnehmen. Hier
symbolisiert das Theaterspiel das Schicksal. Es ist schon in der Überschrift
genannt, die lautet: Klage ( s i k ä j a t ) über die Gestalt des Himmels, alles an ihr
gleicht einer Schatulle ( d u r g ) und jeder Stern darin einem reinen Edelstein;
aber dieses Perlenkästchen ( h u q q a ) ist giftig (gemeint ist der Mund der Dame
Schicksal mit den Zähnen als Perlen); das Gift darin ist todbringend; und
sarkastische Bemerkungen ( k i n ä j a t ) über die Weltpuppe (gahän lucbati), die in
ihrer Gewandtheit angenehm und elegant erscheint; sie ist jedoch alt (zäl), und
ihr Tun ist List ( i m a k r ) und Zauberei (fusün)\ ihre Zauberei überschreitet alle
Grenzen; der qalam ist nicht fähig (tili läl 'seine Sprache ist stumm'), den
Schaden ihres Perlenkästchens zu beschreiben; und alles an dieser Alten ist
Verderben.
Zunächst wird aber nicht diese böse alte Hexe beschrieben, sondern die eine
und andere Gaukelei des Schicksalsrades:
(1)

Das Schicksalsrad ist ein Gaukler ( § u c b a d a s a n g ) , oh Herz, laß dich
nicht betrügen und beleidigen, oh Herz.

(2)

Seine Gaukelei ( S u c b a d a s i ) dreht mit List einen Kreis (carh ur-) so
wie der Tänzer mit Teeschalen ( t ä s b ä z ) in blauer Kutte (kük
hirqa).

(3)

Von den Nähten auf seiner Kutte geben die Sterne Auskunft, ein
paar Flicken darauf sind die Milchstraße.

(5)

Mit der Sonne als Leuchter dreht er sich, das Feuer in den Schalen verbirgt er in seiner Kutte.

(6)

Er führt das Feuer durch seine Kutte hindurch und zeigt es von
der Seite des Morgens (subh
jaqasidin).

(7)

Besser gesagt, wenn er morgens seinen Mund zum Lachen öffnet,
streut er mit List (hila) aus seinem Mund das Feuer.

(8)

So werden die Funken jenes Feuers nach allen Seiten über seine
Kutte verstreut.

(9)

Er ist listig wie ein Puppenspieler ( q ä w u r c ä q c i
zeigt in seinem Zelt tausend Bilder ( s u w a r ) .

kibi

hilagar)

und

212

Sigrid Kleinmichel

(10)
(11)

Sein Zelt hat er ohne Nägel und Stützen errichtet, als Form des
Zeltes (cädar) hat er einen Kreis (dawr) gewählt.
Die Sterne erglänzen dort, nach jeder Seite hundert Puppen mit
silbernem Körper ( l u c b a t - i
simin-badan).

(12)

Er hat so viele silberfarbige (simgün) Puppen (lucbat) hervorgezogen; sein Ziel dabei ist, das Volk ( e t ) zu betrügen (firib) und
durch Zauber zu täuschen (fusün).

(13)

Wie ein Geisterbeschwörer (parihwändek)
teilt er seinen Körper in
zwei Teile; sein Schwert und sein Blut sind wie der Neumond und
das Abendrot.

(14)

So übt er seine Geisterbeschwörung aus (pariffänlig)
und nennt
die Omen (ahtar), so haben sich hunderttausend Pari um ihn herum versammelt.

(15)

Nein, kein Geisterbeschwörer (parihwäri) ist es, sondern ein altes
Weib (zäl)', ihre Figur ( q a d d i ) ist die einer listigen Frau ( d a l l a ) ,
sie ist gebeugt wie ein Dal.

(16)

Die Sterne sind gefälscht, es sind ihre Tränen, das angebliche
Hellwerden am Morgen ist in Wirklichkeit ihr (weißes) Haupt.

(17)

Sie vergießt das Blut der Leute (et) mit allem, was sie unternimmt;
durch Betrug raubt sie den Leuten ihre Seele.

Es folgen Erörterungen darüber, wie das Schicksal in seiner weiblichen Gestalt
die guten Könige umbringt, sehr farbige Darstelungen dessen, wie die Schicksalshexe eine alte Frau als junge hübsche Braut ausgibt, und manche andere
Untaten.
Daß gerade das Schicksalskapitel besonders viele Bilder enthält, die zu
Nawä^Ts Zeit längst Klischeecharakter hatten, wie das Himmelsrad, das Zelt
ohne Nägel und Stützen10 und das alte Weib Schicksal, überrascht nicht. Dennoch scheint mir, daß auch hier der Realitätsbezug nicht völlig aufgegeben ist.
Man kann die Gauklerfiguren erkennen, über die das Volk auf den Plätzen
lacht, an deren Kunst es sich erfreut. Den mit Teeschalen Jonglierenden trifft
man heute noch in Mittelasien bei verschiedenen Vorführungen. In Nawä°is
Dichtung hat er in den Schalen auch noch Feuer. Auch der Puppenspieler mit
seinem Zelt tritt auf.
Die Figur des Geisterbeschwörers aber und die Kutte, die der Gaukler
umgehängt hat — sie kommt gleich dreimal in aufeinanderfolgenden Doppelversen vor —, weisen in eine andere Richtung. Sie verbinden alles, was mit
10

Himmel ohne Säulen, vgl. RITTER, Meer der Seele, 55.

c

AliSir Nawä'i über das

Lachen

213

Lachen zu tun hat, mit falschem Glauben. Der Geisterbeschwörer schamanisiert
hier wahrscheinlich. Den hirqapüslar ('Kuttenträgern') ist in "Hajratu 'l-abrär"
ein ganzes Kapitel gewidmet, das 4. Gespräch. Die Kuttenträger sind die
Derwische. Nawä'i stellt sie in ihrem Äußeren als abstoßend dar, und dieses
Äußere scheint teilweise dem der Gaukler zu ähneln. Lächerlich (hazl) wirken
ihre Schuhe, und auch ihr Bart ist zum Lachen (kulgu) (13. und 14. bejt). Wie
die Gaukler übertreiben sie alles.11 Bei ihrem zikr gibt es lautes Geschrei
(hurüs) (1. bejt). Hören sie von draußen eine schöne Melodie, springen sie
sofort heftig auf und fangen an mit großem Lärm (sajha) herumzustampfen wie
Elefanten (40. und 41. bejt). Alle diese Leute reden zu viel (45. bejt), sie
geraten in Verzückung und Extase (46. bejt), stürzen um und können nicht
wieder aufstehen (49. bejt). In Vergleichen bringt der Dichter sie in die Nähe
von betrunkenen Feueranbetern (mast mug) und Christen (tarsä). Sie verstellen
sich und zeigen etwas vor, was nicht wahr (ein) ist (53., 60., 64.-66. bejt). Ihr
Ziel ist es, wie das der Spaßmacher, Jongleure und frühen Theaterkünstler, die
Aufmerksamkeit der Leute in der Umgebung (ahl-i gäh) auf sich zu ziehen (50.
bejt), am besten die Aufmerksamkeit Hochgestellter, von denen sie reiche
Geschenke erwarten (55.-57. bejt). Zweimal bezeichnet Nawä 3 ! sie, bzw. ihr
Tun, mit Worten, die ihre Ähnlichkeit mit den Gauklern explizit ausdrücken.
Sie sind Rollenspieler (naqSbäz) (5. bejt), und was sie tun, ist Zauberei oder
Beschwörung (fusünsäzliq) (60. bejt).
Einer der Gründe für Nawä^is Ablehnung der hier beschriebenen Derwische
könnte der sein, daß er als Anhänger der naqSbandija den leisen zikr (zikr-i
haft) bevorzugte und den lauten zikr (zikr-i gahri) ablehnte. Der Dichter macht
deutlich, daß er diesen Derwischen und ihren Scheichs nicht glaubt. Abstoßend
findet er es auch, daß sie in ganzen Scharen (hajl, was auch 'Herde, Rotte'
bedeutet) auftreten (18., 19., 20., 51. bejt). Es handelt sich um eine der
institutionalisierten Formen religiösen Bekenntnisses, die ihm als Betrug erscheint.
c

AlISIr Nawä°I deutet an, daß für ihn Gaukler und Falschgläubige auf einer
Ebene stehen. Ihre Erscheinungsformen sind ähnlich, und seine Argumente
gegen beide Personenkreise ähneln einander. Was er ablehnt, ist ihre Freude
am Spiel, das weit von der Wahrheit entfernt ist, die ihm erstrebenswert
erscheint.
Da die Formen des mittelasiatischen Volksschauspiels im 20. Jahrhundert
ungeheuer aufgewertet wurden und als Keimformen wie als Inspirationsquelle
für die Dramatik gelten, könnte Nawä°is Haltung gegenüber allen Formen von

Zum Maßhalten bei c Attar, w o es Ftidäl genannt wird, vgl. RITTER, ebenda, 311 f.

Sigrid

214

Kleinmichel

kulgilik fast kunstfeindlich wirken. Für das spontan erscheinende naive Spiel,
das aber vielleicht auch schon in jener Zeit seine eigenen Organisationsformen
hatte, brachte er wohl wirklich kein Verständnis auf.
Andererseits zeigt seine Dichtung, daß er sich wohl selbst in einem Zwiespalt befand, der nicht nur dem ähnelte, den Ritter für °Attär beschrieben
hat12, sondern der vielleicht sogar von cAttär herkam, obwohl zwischen beiden Dichtern mehr als 250 Jahre lagen. Auf die geistige Verwandtschaft verweist vieles. An dieser Stelle erscheint Nawä°is Vorliebe für "Mantiqu 't-tajr"
relevant und der Begriff hajräni im Nachwort zu dieser Dichtung. Ritter gibt
den Begriff mit 'Ratlosigkeit' wieder. Der Begriff und die Erörterung darüber
könnte durchaus °AlT§Tr Nawä^i bewegt haben, sein Buch "Hajratu 'l-abrär" zu
nennen. Es handelt sich um den Zwiespalt, daß die Dichter die Notwendigkeit
des Schweigens vermitteln wollen, aber doch dichten müssen. Dieses Problem
beobachtet man in Nawä°is hier herangezogener Dichtung ständig. Mit Ausführlichkeit — und wie es scheint auch mit Freude — geht er auf die Vielfalt
der ihn umgebenden Welt ein. Im 19. Gespräch, wo er von Chorasan und
Herat spricht, könnte man seine Verse sogar als Beschreibung bezeichnen.
Diese Neigung zur Beschreibung macht seine Dichtung auch umfangreicher als
die seiner Vorgänger und Vorbilder Nizäml und Gämi (etwa um ein Drittel
mehr). Trotzdem ist sein Wunsch, auf Weltverzicht zu orientieren und die
Grundhaltung "schmerzlicher Trauer" zu vermitteln, die H. Ritter bei cAttär
festgestellt hat. 13
Die ablehnende Haltung gegenüber dem Volksschauspiel findet man bei den
Gebildeten in Mittelasien noch lange. Sogar Ahmad-i Dänis lehnte es im 19.
Jahrhundert noch ab. Einer seiner Gründe verbindet ihn mit Nawä°T. Ihn stößt
das Grobe und Frivole jener Spiele ab. Ein anderer Grund nähert ihn Denkauffassungen des 20. Jahrhunderts an. Das Volksschauspiel liebt es, sich über den
Fremden lustig zu machen, während Ahmad-i Däni§ durch seine Schriften
Denkschritte in eine andere Richtung förderte: Man kann den Andersgläubigen
und dem in einer anderen kulturellen Umgebung Lebenden auch offen und
aufgeschlossen begegnen.14
Für die Verknüpfung dessen, was die Volksmenge als Unterhaltung liebt,
mit der von den Gebildeten gepflegten Kunst bedarf es jeweils völlig neuer

12

Ebenda, 152.

13

Ebenda, 129.

14

Risala jä muhtasare az ta'rih-i saltanat-i hänedän-i mangiti, Stalinäbäd 1960, 122-125.

c

AliSir Nawä'i über das Lachen

215

Blickweisen. In Mittelasien entstanden diese im 20. Jahrhundert u.a. durch
Anregungen aus Europa. Sie werden in der Dramatik so unterschiedlich veranlagter Dichter wie Hamza und Cülpän sichtbar.15

15
Auch bei Timur Pulatov kommen Volkskunst und Erfahrungen der artifiziell verfeinerten
Dichtung wieder zusammen. Seine Verbundenheit mit Nawäls Stimmung wie auch mit dem Volksleben drückt sich in dem einfachen, aber beziehungsreichen Titel "Sieben Freuden und vierzig
Kümmernisse" aus {"Sem' udovol'stv i sorokpecalej", kn. 3 von Strasti Bucharskogo doma, Moskva
1985).

216

Rhythms of Central Asian Traditional Music Through the
Prism of Aruz Poetic Meters
Roza

SULTANOVA,

TaSkent

The music of Central Asia is a complex and varied phenomenon which has
evolved over several centuries, gradually acquiring its principal stable features.
To penetrate the mystique of rhythmic organisation in the traditional music of
present-day Asia, we turn to the masterpiece of the professional music of oral
tradition—Shashmaqom.
This poetic treasure of the Uzbek and Tadjik nations is a major work consisting of six maqoms and containing a total of about two hundred pieces. The
history of Shashmaqom goes back several centuries, with the greatest flourishing reached in the seventeenth century.1 Shashmaqom is still very much alive
today—there are several versions in modern music notation and a more or less
full gramophone recording on twenty discs.2
The present study is chiefly based on observing vocal samples of Shashmaqom, following the advice given by medieval Oriental scholars and philosophers, who pointed out the special value of vocal music. Al-Farabi found that
"the supreme and most perfect is a melody united with verse. This is what can
move a man and change his morals."3 It is probably no mere coincidence that
the vocal parts of Shashmaqom to this day dominate the cycle.
We can best characterize the expressive means of Shashmaqom in the short
phrase "lyric imagery." Reflecting typically Oriental world perception, that
imagery consistently came out in various arts including music. Researchers
have explained its varied content ("The unique nature of Oriental professional
music is derived from the originality of Oriental classical poetry."4), thus
stressing the inseparable link between the two. With that, the celebrated
expressive qualities of oriental poetry largely depend, it seems, on the
structural characteristics of versification—the metre being the key factor. This
acocAapusa doup, T O U I K C H T , 1 9 7 8 .
YsÓac xcuiK, MyuiKacu — Eyxopo MaKpMAapu, pe,n. H. Ajc6apoB, 3anncb lOyHyca P a x a 6 » ,
TomKeHT, 1959; UlauiMOKflM, T . I-IV, pefl. <I>. KapOMaTOB, 3anncb lOHyca Paxa6H, TouiKem-,
1

Paxa6oB

H . : MOK¡OM

2

1966-1972.
AxyMaeB A.: Bonpoai MyjbüccuibHoü xmemuiai e paSomax cpedneeocmoHma
eacoe (icaHA. AHCC.), TaiuiceHT 1981.
3

4

HIaxHa3apoBa H.: Mysbnca Bocmom u Myjoaca 3anada, MocKBa 1983.

MbicMun&neú X-XII

Roza Sultanova

218

philological digression is needed since the impact of aruz on the Turkic
languages has not been sufficiently studied by Uzbek linguists. Though the
dynamically accented nature of the Turkic languages is considered incompatible
with the aruz quantitative verse based on the length of syllables5, the age-long
practice of Turkic poetry from the eleventh to the twentieth century testifies to
their happy mating. The classical Oriental poetry based mainly on aruz has, in
fact, a special strain of "Turkic aruz" studied in their time by the great poets
Navoi and Babur. Turkic aruz had its own preferred metres: Ramal, Hazadj,
Radjaz. Research has shown that these flexible, rhythmic and musical metres
served as a transitional link easing the mutual adjustment of the two
heterogenious systems—the accented Turkic language and the length-based aruz
verse. 6
All these facts are crucial for Uzbek professional vocal music, some of
which is set to the verse of such famous Turkic poets as Atai, Sakkaki, Lutfi,
Navoi, Babur, Zebun, Nodira, and Uvaisi. Any vocal music is necessarily
related to the metre of its poetic text. The law holds true in the vocal parts of
Shashmaqom. Its principal chapters are: Sarahbor, Talkin, Nasr, Ufar, all of
them generally termed as shucba. The analysis of specific samples shows that
their poetic texts are written in the metres Muzorec, Mudjtass, Ramal, and
Hazadj. In more detail, Muzorec and Mudjtass are used in the shucba
Sarahbor, whereas Ramal is used in Talkin, and Ufar and Hazadj are used in
Nasr. Through this becomes visible that the seemingly different metres are
derived from common roots: Muzorec and Mudjtass are combined in
structurally simpler feet of Hazadj, Ramal, and Radjaz which, consequently,
are basic for the poetics of the vocal parts of Shashmaqom. That shows a kind
of "natural selection" process—only those aruz metres were used in them
which were most popular in the poetry of the Turkic Orient. Besides, Ramal
and Hazadj are quite similar to the metres of Turkic folk verse, tuyugh, which
may explain how it was generally possible for Turkic poetry to absorb aruz
metres. 7 These observations show that Shashmaqom reflected in its vocal parts
the most characteristic and regular links of aruz with Uzbek poetry.
To find such "traces" of aruz in the musical development I have suggested
registering rhythmic formulae as an optimal method for researching rhythmic

OcHoebi miopKCKoeo cmuxocAOOKeHW, AjiMa-ATa 1963.
IIcamuKa dpemeu rmopKocou Aumepamypbi u ee mpmctfopManusi e pam
K/iaccmecKOM nepuode, MocKBa 1976.

5

XaMpaes M.:

6

Cre6jieBa H. B.:

7

Ore6jieBa H. B.: "IlpoHHKHOBeHHe apa6cicnx H nepciwacHx MeTpOB B nopxcxyio nosamo",
MocKBa 1964.

npodneMbi Aumepamypbi u meopuu xmemwai e cmpanax Bocmaca,

Rhythms of Central Asian Traditional Music

219

and metric processes in the music of oral tradition. If we define a rhythmic unit
as "a comparatively short and distinct stretch... bordering on a self-contained
melody,"8 we can look on the musical rhythms of the vocal parts as a multifarious process containing stable rhythmic groupings. The link with poetry
stands out graphically in the musical and poetic lines as a rhythmic formula in
which the lengths and their sequences are analogous to the metric feet of the
poetic text. We denote it as a rthythmic formula structured on the aruz metre
(RFSAM; that ist the metre in the analysed shucba). The formula strictly
determines a certain organisation of a group of lengths.
Each of the principal shucbas in Shashmaqom has its own RFSAM, but all
the shucbas of the same name, as well as their sequence in the maqom, are
based on similar formulae. Analysis shows that the rhythms are crystallized in
the musical development into structures of such formulae that can be conveniently described as "musical-poetic lines." Thus, a shucba has a sort of rhythmic
"identification card" in its RFSAM. Samples of such formulae and their
respective metric feet are given in Table I.
To verify the incidence of RFSAM, they were not only located in the
written notation of the vocal parts of Shashmaqom, but also assessed quantitatively. As a result, we have registered a certain number of RFSAM in each
principal shifba reflecting this or that aruz metre. The average content of a
certain formula in the musical-poetic lines is 71.7%. This high incidence shows
the vital importance of the formulae for the musical idiom of Shashmaqom. We
can assert that RFSAM are the basic rhythmical structure in maqoms.
The conclusion can be made with certain reservations, though. Like any
music of oral tradition, Shashmaqom exists in many variants, some of them
regional—Uzbek and Tadjik—, also different artists' versions within one
specific type. From the rhythmic point of view, the Shashmaqom idiom also
presents a branching system of variants. The question is how this capacity for
diversion is realized in our rhythmic formulae. Research shows that parallel
pieces of different maqoms have their musical and rhythmic development based

XoJionoBa B.: Pycacan MysbacaMHaa pumMum, Mocraa 1983, p. 5.

220

Roza Sultanova

RFSAM
Sarakhbor

Talkin

Nasr

j j. u n )
j J>J. SJ
0i 0>j
0 0 0>*

m
r. }j j
nr
j
-"j i J.
>i

Ufar

a

c

J>

T H

l.fPJl

b

b

"
#fin
##I r
*J J J
Ann }
N—»

a

d
a

I

b

c
d
a
b

c
d

Table I

on RFSAM of similar type. Moreover, within the same piece RFSAM are
variant modifications of each other. For instance, the Nasrulloi shucba of the
Buzruk maqom contains 26 variants of rhythmic formulae modelled on the aruz
metre Hazadj, all of them reflecting musically the same foot of poetic metre,
though in different forms and with varied degrees of exactness in reproducing
the length as recorded in the notation. We see that rhythmic variation is a
constant characteristic of Shashmaqom's vocal parts. The fact, though, that
rhythmic formulae belong to the group of musical phenomena depending on

Rhythms of Central Asian Traditional Music

221

poetic metres does not rule out multiple forms of their expression. Therefore,
the example of relations between rhythmic formulae permits us to state that for
its musical rhythms Shashmaqom is a self-contained system in which the
rhythmic formula is a stable canonic element whereas variance of its expression
is a mobile, improvisational element.
In view of this link between the poetic metres and musical rhythms in the
vocal parts of Shashmaqom, we cannot fail to note its influence on the
expressive qualities of the principal rhythmic structures. It is not amiss to recall
here that aruz metres have always been considered by connoisseurs particularly
expressive. Ramal, for instance, meant "running"; Hazadj, "a lilting melody."
These musical qualities of poetic metres are only enhanced when transferred
into music. In the event, the original metric structures—rhythmic formulae and
musical-poetic lines—concentrate the specific features of this or that metre. The
following fact illustrates the selective nature of the musical idiom towards
poetry and particularly its metres. Out of the great number of aruz metres the
great Zahiruddin Babur found 43 most frequently used in Uzbek poetry, while
439 variants of aruz metres have been discovered throughout its history by
modern philologists.9 However, in the vocal parts of Shashmaqom we observe
only four aruz metres: the above-mentioned MuzoreMudjtass,
Ramal, and
Hazadj. Their distinctive characteristic is having four elements, all of them
consisting of four feet and four syllables. This is directly embodied in music.
The registered rhythmic formulae are formed of four syllabic notes, while four
formulae make up a musical-poetic line. This trend in the musical rhythm of
Shashmaqom is deeply symptomatic since an analogous phenomenon is
widespread in European music. Defined as "square," it means those four-beat
structures on which rests all European music from the seventeenth to the
twentieth centuries.
V. N. Kholopova suggests that the frequency of the square structure in music
of various genres and styles can be explained by its natural orderly proportions
easy for perception. As we see, the musical rhythm of Shashmaqom also rests
on four-element structures, probably also chosen as the most well-proportioned
and easily perceived. Thus, the general rule for most diverse samples of the
world musical culture is valid for Shashmaqom, this Oriental professional
music of oral tradition.
When speaking of rhythm in the vocal melody of Shashmaqom, we must
take note of the accompanying rhythm of the percussion instrument—usul, the
name for the ostinato refrain of the rhythmic formula performed most often on

'

TYÔHHEB H . :

Ystìac n033uncuda apys cucmeMOCU,

TOUIKCHT 198S.

222

Rota

Sultanova

the doira. With our previous thesis on the link between the poetic and musical
rhythms, we must ask next if the same holds true concerning the usul
accompaniment. A detailed analysis in my specially developed method has
proved that the accompaniment is organized on the rhythmic formulae of the
melody and, through them, on the aruz feet. In other words, usul also has
"aruzlike" elements.
Thus, the rhythms of the vocal parts of Shashmaqom evince a clear link of
their music with the metres of the poetic text. Its concentrated expression is
RFSAM, a rhythmic formula corresponding to the aruz metre, shaping both the
musical-poetic line and the rhythmic formula of usul. Both have a common
source: the rhythmic formula of the poetic metre in its horizontal as well as its
vertical sequences. Such rhythmic order brings to mind decorative ornaments,
expressive through their minutely organized visual sequences, their regular
rhythms of colours, lines, and motifs. Shashmaqom manifests the structural
laws common to different Oriental arts with their variations of initial structures.
The total engenders a certain expressive content which can be termed as
"meditativeness," that is, the characteristically Oriental self-absorbed
contemplation, or lyrical feeling. In music this is aided by a specific
organisation of metres and rhythms resulting in those qualities which express
the amorous and philosophical lyricism of Shashmaqom: that "lyric imagery"
which comes from the affinity between Oriental music and classical poetry, as,
in fact, their special original characteristic.
This generalisation is valid, in the first place, for the cycle of maqoms
spread on the territory of modern Central Asia, but is not exclusively confined
to it, as can be seen from the current musical practice. Modern folk singers—
hofizes and bastakors—still have in their repertoire ghazels closely related to
the classical Oriental poetry. I have written articles and papers on the work of
the Uzbek singer-poets Mamurdjon Uzakov, Sherali Djuraev, and Munodjot
Iulchieva. Many of their vocal pieces have poetic texts based on the aruz
metres Ramal and Hazadj. Moreover, outside Uzbekistan the Uzbeks of
northern Afghanistan also draw from the classical poetic sources in their
ghazels. As has been shown in a work on their folk songs, some of their songs
follow aruz metres of the same varieties—Ramal and Hazadj.10
The traditional musical art of Central Asia is a complex and richly varied
phenomenon, but we can see its basic features endure from the Middle Ages
when they first emerged clear through into our modern times.

10

Ingeborg Baldauf: "Materialien zum Volkslied der Özbeken Nordafghanistans", Emsdetten 1989.

Ceramic Tiles from Central Asia in the
National Museum in Warsaw
Tadeusz MAJDA, Warszawa
In the years 1918-1919, Helena and Konstanty Tarasiewicz and Wlodzimierz Szabrowski donated to the National Museum in Warsaw about 30 fragments of ceramic tiles which they had collected during their stay in Central
Asia and Kazakhstan. They returned to Poland on the eve of the 1917 revolution and offered their collection of various art objects to the Museum. Among
the tile fragments several are attributed to the Mausoleum of Hodja Ahmed
Yesevi and other ones to the Bibi Khanum Mosque and the Gur-i Mir Mausoleum in Samarkand. They all date back to the 14th- 15th centuries.
The tile fragments were found mainly in situ, very probably before World
War I, when most of the architectural monuments of the so called Turkestan
region (i.e. Central Asia) were already heavily damaged, so that visitors were
able to find pieces of the destroyed buildings. As is well known, the Mausoleum of Hodja Ahmed Yesevi in the 19th century was turned into a military
store and there were all sorts of constructions attached to the building. The tile
fragments in question no doubt come from the mentioned sites, although it is
sometimes difficult to attribute them to a concrete monument. For that reason
we have to rely on the donator's informations which have been recorded in the
museum inventory.
The decoration of the tiles, i.e. stylized flowers and interlaced stems,
volutes or geometric patterns, are typical for most of the ceramic revetments of
the Timurid period.
In 1990 I had the opporunity to participate in a round-table conference on
Hodja Ahmed Yesevi in Turkestan, formerly called Yesi (Yasi), and I had the
possibility to check the attribution of some of the tile fragments of the interior
revetment as being original. Some tile fragments of the Warsaw collection
might belong to the tympanum of the left pylon of the north portal. The
revetment of the Mausoleum of Hodja Ahmed Yesevi is characterized for the
monumental decorative art of Timur's time, like glazed brick and ceramic revetment, and mosaics. It has already been underlined that artists from Shiraz,
Hodja Hasan and Shams Abd al-Vahhab were involved in the decoration of the
Mausoleum. That is why the decorative repertoire of the Mausoleum has much
in common with the Persian ceramic art of the times of Timur.

Tadeusz Majda

224

The Mausoleum of Ahmed Yesevi, as well as the Mosque of Bibi Khanum,
have been the subject of various Russian and foreign studies, the most recent
and complex one published by Lisa Golombek and Donald Wilder, The Timurid
Architecture of Iran and Turan, vol. I-II, Princeton/New Jersey, 1988. Studies
on the monuments of Turkestan (Yas'i) and more generally on Central Asia
have been published by Russian and Kazakh specialists, for example A. A.
Semenov, Mechet' Khoja Akhmeda Yeseviyskogo v g. Turkestane, Tashkent,
1926; L.Yu. Man'kovskaya, K izucheniyupriemov sredneaziatskogo zodchestva
kontsa XTV v. (Mavzolei Khoja Akhmeda Yasavi), "Iskusstvo zodchikh Uzbekistana", 1, Tashkent 1962; L.Yu. Man'kovskaya, Bibi-Khanym, Tashkent, 1965;
N. B. Nurmuhammedov, Mavzolei Khoja Akhmeda Yasevi, Alma-Ata, 1980;
G. A. Pugachenkova, Pamyatniki iskusstva Sovetskogo Soyuza. Srednyaya
Aziya, Moskva, 1983; The Ahmed Yasawi Architectural Complex (text in
Kazakh, Russian and English), Almaty, 1988. Some informations on the Mausoleum of Khoja Ahmed Yesevi were given by B. Brentjes and K. Riihrdanz in
their book Mittelasien — Kunst des Islam (Leipzig, 1979).
From the beginning of the 20th century restoration work was undertaken in
the Mausoleum of Khoja Ahmed Yesevi by Russian, Soviet and Kazakh institutios, and since 1972 a special restoration workshop was set up in Turkestan
attached to the Ministry of Culture of Kazakhstan. At this workshop tiles and
brick elements are produced for the missing parts of the revetments. Thus it is
worth to consult the existing tile fragments of the Mausoleum, which are kept
in various museums.

Description of the illustrations
Mausoleum of Hodja Ahmed Yesevi in Turkestan (Kazakhstan)
1) Two fragments of a muqarnas
21,4 x 20,5 x 10 cm.
Paste: white silica; glaze: transparent, tin partly gilded; cobalt, turquoise,
manganic; decoration: stylized flowers and trifoliate leaves; technique:
cuerda seca.
2) Fragment of a great tile (Samarkand, Bibi Khanum Mosque)
45,3 x 25 x 3,4 cm.

Ceramic Tiles from Central Asia

225

Paste: white silica; glaze: dark blue, turquoise, underlined in white and
black, overpainted in gold; decoration: volute; technique: cuerda seca.
3) Fragment of a tile
24.3 x 14,3 x 2,2 cm.
Paste: white silica; glaze: transparent, tin, partly gilded, cobalt, turquoise,
manganic; decoration: two stems interlaced with flowers and trifoliate
leaves; technique: cuerda seca.
4) Fragment of a tile
17,7 x 14,2 x 3,2 cm.
Paste: white silica; glaze: white, cobalt, turquoise, overpainted in gold
(rests); decoration: rosette-like and trifoliate flowers on interlaced stems.
5) Fragment of a tile
22 x 14,3 x 3,5 cm.
Paste: white silica; glaze: transparent, tin, cobalt, turquoise, violet,
overpainted in gold; decoration: stems interlaced with trifoliate flowers;
technique: cuerda seca.
Date "1872" inscribed on the back.
6) Fragment of a tile
19.4 x 15,5 x 3,6 cm.
Paste: white silica; glaze: transparent, tin, cobalt, turquoise; decoration:
stylized flowers in a geometric order; technique: cuerda seca.

226

Tadeusz Majda

Illustration 1

Illustration 2

Ceramic Tiles from Central Asia

Illustration 4

227

228

Tadeusz Majda

Illustration

5

Illustration

6

Shäd-Ohrmezd and the Early History of the
Manichaean Dinäwarlya-Community1

Iris COLDITZ, Berlin
In his Kitáb al-Fihrist1 the great historiographer and literary historian Ibn
AbT Jacqüb b. Ishaq an-NadTm al-Warraq al-Bagdadl, called an-NadTm, tells
about a schism within the Manichaean church, which happened around A.D.
600. According to him, after the death of Mani, the church remained in unity
for a while and had its religious centre at Seleucia-Ctesiphon, Babylonia. But
later on the eastern part of the community, "behind the river of Balkh" (which
means the Oxus, nowadays the Amudarya), seceded and chose its own churchleader. As a cause of those developments one can surmise that the Eastern
Manichaeans, called DTnawarlya3 by an-Nadim, denied the authority of the
Babylonian archegos, and so they declared their religious independence. The
DTnawarlya existed in that kind of autonomy until the reign of the caliph Walld
ibn cAbdulmalik (705-715), when the DTnawarlya recognized anew the
superiority of the archegos Mihr (710-740) in Seleucia-Ctesiphon. The schism
must have officially come to an end between 710 and 715. 4
H. H. Schaeder5 connected the beginning and early development of the DTnawarTya community with the life and work of a certain Shád-Ohrmezd. Though
he is not mentioned by name in the Fihrist there is reason to regard Shad1

This paper is a shortened version of an article which is now published together with the edition
of the hymns mentioned in Altorientalische Forschungen 19.(1992).2, 322-341.
2

Cf. G. FLÜGEL, Mani, seine Lehre und seine Schriften. Aus dem Fihrist des Abu l-faradsch
Muhammad ben Ishak al Warräk, genannt Ibn Abi Ja 'küb an-Nadim. Leipzig 1962, 66 sq. and 97 sq.
3

The Arabic dtnäwariya has its origin in an Iranian noun: Middle Persian denawar, Parthian
denäwar, Sogdian denäßar, early New Persian denäwar. The term had the meaning "having a religion; religious" and was the denomination 1) of the Manichaean elects, and 2) for the whole
Manichaean community (also its abstract form denäwarift). The term itself may have existed before
the schism, and it remained in use until the eleventh century. It did not serve generally as an expression of separation from the fellow-believers in the West but as a means of distinction from other religious communities, like Buddhists, Christians, and later on also Muslims.
4

Cf. S. N. LIEU, Manichaeism in the Later Roman Empire and Medieval China. A Historical
Survey. Manchester 1985, 83.
5

"Iranica", in: Abh. Ges. der Wiss. zu Göttingen (Phil.-hist. ci), 3rd ser., No. 10, Berlin 1934,
79 sq.

Iris

230

Colditz

Ohrmezd as the first leader of the independent Eastern Manichaean church. It
is not clear if the schism was a result of his activities or if he was appointed
only after it. In any case Shad-Ohrmezd must have played an important role in
the church history of the Manichaeans beyond the Oxus. To prove that supposition, we can cite the colophon of the bilingual Middle Persian-Turkish hymnbook Mahrnamag, where the year of Shad-Ohrmezd's death marks the beginning of a secondary mode of dating,6 while the Manichaean texts normally
date back to the birth of Mani. The Mahrnamag, written between 762 and 832,
gives evidence of the great honour and reverence still shown to Shad-Ohrmezd
by the Manichaeans of Eastern Turkestan many years after the end of the
schism.
What do we really know about this man who left such a deep impression on
his community? The name Shad-Ohrmezd is formed by two elements. Though
these two parts, Sad 'happy, joyful' and ohrmezd '(the god) Ohrmezd', are
Middle Persian or, more likely, Parthian (where we mostly find the spelling
ohrmezd instead of ohrmazd with the Manichaean letter < y > for a short clear
vowel in the second syllable),7 we cannot draw any conclusions about the
ethnic identity of Shad-Ohrmezd, because he seems to bear a religious name
given to him when he joined the church as an electus. The name itself does not
occur elsewhere, but we can see its resemblance to other coinages of Iranian
personal names, such as Shad-Shabuhr8 and Tahm-Hormazd. 9
The year and place of birth of Shad-Ohrmezd is unknown, and we do not
hear anything about him until he became the Eastern Manichaean churchleader. He must have died in the year 600, as F. W. K. Miiller determined
according to information from the Mahrnamag. Some more details are given to
us in the texts of the German Turfan Collection. Beside a very small piece of
a church-history (M 624 a), edited by W. Sundermann,10 there are four fragments containing hymns to Shad-Ohrmezd in Middle Persian and Parthian (M

6

F. W.K.MÜLLER, "Ein Doppelblatt aus einem manichäischen Hymnenbuch (Mahrnamag)", APAW
1912, Berlin 1913, 15 sq.

7

Other examples for such a spelling are: 'sqydioi 'skd(cf.I.COLDITZ, "Bruchstücke manichäischparthischer Parabelsammlungen", AoF 14(1987)2, 308), 'ynj'm for 'nj'mysn or as a derivation from
hnj'm- (ibid., 309), wyz'd for wz'd (cf. W.B.HENNING, "Mitteliranische Manichaica III", SP AW
1934, 909), andfiyS'w for frS'w (M 4 4 8 / 1 . S . / l / , edited AoF 19(1992)2, 334.
8

Cf. F. J u s n , Iranisches Namenbuch, Marburg 1895, 229.

'

Ibid., 319.

10

Mitteliranische manichäische Texte kirchengeschichtlichen
Berlin 1981, 141-143, texts no. 28.1 to 28.5.

Inhalts.

Berliner Turfantexte XI,

Shäd-Ohrmezd and the Early History

231

198 a, M 315, M 448, M 1607).11 They mention his name in some variant
spellings and call him "teacher" (hammozag) and "leader" (sarar). This is equivalent to the two highest ecclesiastical offices within the Manichaean church.
The texts praise him as "Lord and God" (xwaday bag), as "loveliest son of
Lord Mani" (pus idoSista manixwadawan),
and we also find such very strong
epithets used as "saviour" (bozagar), "life-giver" (zendakkar), and "redeemer"
(murddxez,
anjiwag),
which normally belong to the attributes of Mani. Those
effusive laudations we can consider as very typically in use for the heads of the
Manichaean hierarchy, and they prove the assumption that Shad-Ohrmezd must
have had an outstanding position in it.
We have only a few traces of the activities Shad-Ohrmezd developed in his
office. However, we can observe that after the schism a revision of the traditional scriptures took place in the Eastern Manichaean community,12 and we may
assume that it was Shad-Ohrmezd who gave the instruction for it to be done.
That initiative led to the large and flourishing development of a literature
whose remains have come to light in Eastern Turkestan.
Another turning point can be marked concerning the usage of the Parthian
language. From the seventh century on, Sogdian began to take the place of
Parthian as the language of liturgy and scripts of the church. This may indicate
a Sogdian background for the DTnawariya community, and maybe it permits us
to take Shad-Ohrmezd himself for a Sogdian.
An examination of all the facts supports two possible explanations for the
late hymns to Shad-Ohrmezd, nearly two hundred years after his death. Besides
a continuous tradition of his praise, a kind of renaissance of Manichaean selfconfidence must be taken into account. The eighth century in Central Asia saw
Omayyad and later on Abbasid warlike expeditions into the region beyond the
river Oxus. Linked with the military conquest was the advance of Islam into
Transoxiana. The Manichaeans intended to face their rival—if not enemy—by
upgrading their own religion, going back to the roots of their history. They
wanted to present their religion as the equal of Islam and equally venerable. As
an example13 of this attitude, we can cite the Middle Persian fragment M 2,
11
Cf. M . BOYCE, A Catalogue of the Iranian Manuscripts in Manichaean Script in the German
Turf an Collection. Veröffentlichungen des Instituts fur Orientforschung der Deutschen Akademie der
Wissenschaften zu Berlin, No. 45, Berlin 1960, 14, 22, 29, 75.
12

W. B. Henning mentioned as an example for that development the Book of Henoch; cf. "Ein
manichäisches Henochbuch", SP AW, 1934, 33.
13
For analysis and interpretation of the text, cf. SCHAEDER, Iranica, 77 sq. and 82 sq., W.
SUNDERMANN, "Studien zur kirchengeschichtlichen Literatur der iranischen Manichäer II", AoF
13(1986)2, 271-273.

Iris Colditz

232

where the name of the DTnäwariya is explained within a missionary parable by
means of popular etymology: It interprets dinäwariya as a derivation from denäwar 'religious; bringer of religion' and reflects a view from the New Persian,
against the regularly used forms, in Middle Persian denawar and in Parthian
denäßar, with the meaning "having or possessing a religion; religious." The
aim of all these efforts of the Manichaeans was the transposition of the origin
of the Eastern Manichaean church back to the time of Mani and of Mar Ammo, who was the first Manichaean missionary in the East.
It is an unsolved problem where the official seat of the Eastern archegos
was situated during the existence of the DTnäwariya, that is to say between 600
and 715. The likely region is denoted by the term "ecclesiastical province East"
(xwaräsän päygös)u used by the Manichaeans themselves. The texts from
Eastern Turkestan understand by that term the area east of the Pamir with the
city of Qoco as its centre. Qoco was also the residence of the Manichaean
archbishop from the middle of the ninth century on. But that is probably not
where the archegos resided around 600. Let us briefly review how the Manichaean church extended itself into the eastern parts of the Sassanian empire.
In the third century the famous missionary of the East, Mär Ammö, travelled into the region north-east of the desert Kavlr and reached the cities of
Abarshahr, Merv, and Zamb, possibly also Balkh, but probably he did not
cross the river Oxus. So it is uncertain if Manichaeism could have been established in Transoxiana during Mani's lifetime, as S. N. Lieu assumed.15 But
soon after the death of Mani, the Manichaeans did cross the river in consequence of the persecutions they suffered in Sassanian Iran. According to
Henning,16 the mighty mountains of the Pamir and the Tienshan formed a
natural barrier to further Manichaean mission to the East, and Merv and
Abarshahr continued to be the main cities of Manichaean activities till the
seventh century. Political events between the fifth and the seventh centuries
constituted further barriers to the mission into Central and East Asia. In the
fifth and sixth centuries, the region of Transoxiana was occupied by the so-called White Huns (Hephtalites), and Eastern Turkestan was ruled by the Tibetans
from 670 to 684. But only a short time after they could be defeated by the
Chinese, the routes from the West to the East via Kashgar, Kutsha, and Karashahr were reopened, and in the year 694 the first Manichaean apostle

14
Cf. W.B.HENNING, "Neue Materialien zur Geschichte des Manichäismus", ZDMG 1936, 15 sq.
and no. 2.
15

LIEU, Manichaeism,

16

Neue Materialien,

178.

10 sq.

Shad-Ohrmezd and the Early History

233

reached the court of the Chinese emperor. He is called "a man from the Persian empire, named Fu-to-tan." The name is a Chinese transcription of Sogdian
aftaSan
'bishop'. 17
The Sogdians can be considered as the actual bearers of the Manichaean
mission to Central Asia and China. They traditionally carried out the trade
along the caravan routes from Transoxiana to China and established a network
of trading posts on both sides of the Pamir. If we remember an-Nadlm who
spoke of the Dlnawarlya "behind the river of Balkh," it seems that this statement refers to the area of Transoxiana including mainly Khwarezm and Sogdiana. The political and cultural centres of that region were the cities Afrasiab
(Samarqand), Panjikent, and Bukhara, which are also possible places for the
seat of the leader of the Dlnawarlya. The area along the Ferghana valley is just
as interesting, because the cities Khodshent and Kokand are the easternmost
points on the way to Kashgar crossing the Pamir. Unfortunately we still have
no material or written sources on existence and spread of Manichaeism in
Transoxiana. Wall paintings and other archaeological finds document a strong
Zoroastrian cult preserved there, as well as an older and smaller Buddhist
element. The striking lack of information on Manichaeism in Transoxiana must
be the result of the effective persecutions the Manichaeans suffered, first from
the Zoroastrian church in Sassanian time and then from Islam, both of which
tried to erase or at least to drive out the heretics and zendiqs from the sphere
of their influence. Despite that, Manichaeism must have existed in Transoxiana
at least up to the ninth century. °Amr b. Bahr al-Jahiz (d. 868/869) described
in his Kitab at-tarbf
wa t-tawdir
three groups of Manichaeans: (1) al-musaddiqiya or al-musaddaqiya,
the Manichaeans of Arabia; (2) ad-dinawariya,
the
Manichaeans of Central Asia; and (3) at-tuguzguziya,
the Manichaeans in the
Empire of Qoco. 18
Since the reasons for the Manichaean schism around 600 cannot be explained merely by dogmatical controversy within the church, we must look for
other possible causes of the Eastern Manichaean secession.
After the victory over the Hephtalites, the river Oxus and the "Iron Gate"
(the pass of Buzqala between Samarqand and Balkh) became the new frontier
between Persians and Turks. As a consequence, Sogdiana now belonged to the
Turkish empire, whose rulers seized the chance to further economic development by promoting overland trade between the Byzantine empire and China.
The Sogdians as the most important merchants made use of the newly achieved

17

Ibid., 13 sq.

18

Cf. S.H.TAQIZADEH, A. SIRAZI, Maniwa dln-e u, Tehran 1335 (1956/57).

234

Iris Colditz

freedom of movement and of action within the whole of Central Asia. Some of
them who had adopted Manichaeism as their religion began to propagate it
during their commercial travels. They must have been inclined toward the East
not only in politics and trade but also in religion, and they declared their
religious autonomy from the mother church in Babylonia, calling themselves
from now on "the Religious" (Parthian denawar,
from Sogd. dena/iar).
All
those areas where they could establish Manichaean communities in this way,
thence belonged to the "ecclesiastical province East."

Volga Bulghars and Islam

Istvan ZIMONYI, Szeged
In the tenth century three world religions originating from the
Mediterranean flourished in Eastern Europe: Christianity spread among the
Rus1; Judaism was adopted by the Khazars2, and the Volga Bulghars
embraced Islam.3 The adoption of a world religion is always a political
decision with far-reaching consequences, and conversion is usually motivated
by several factors. Both the religious centres and the newly converted
communities have common interests and benefit from it. The aim of this paper
is to consider the most significant internal and external factors that stimulated
the ruler of the Volga Bulghars to embrace Islam.4
1
On the conversion of the Rus, see G. VERNADSKY, Kievan Russia (New Haven, 1948), 49-70.
On the adoption of Christianity in Eastern Europe and the second phase of the formation of Europe,
see P. ANDERSON, Passages from Antiquity to Feudalism (London, 1974), 229-245; J. SzOcs,
Theoretical Elements in Master Simon de Keza's Gesta Hungarorum (1282-1285 A.D.), Studia
Historica Academiae Scientiarum Hungaricae % (Budapest, 1975), 5-12.
2

P. B. GOLDEN, Khazaria and Judaism, AEMAe 3 (1983), 127-156.

3

In 922 Muqtadir's embassy arrived in the country of the Volga Bulghars to give instructions on
the religion and Islamic law. Ibn Fadlan as a member of this embassy gave a detailed account of the
journey and what he saw among the Bulghars: A.Z.V. TOGAN, Ibn Fadlan's Reisebericht (Leipzig,
1939): Arabic text with German translation; K. CZEGL£DY, Zur Meshheder Handschrift von Ibn
Fadldns Reisebericht AOH 1 (1950-1951), 217-260: facsimile edition; A. P. KOVALEVSKIJ, Kniga
Axmeda ibn Fadlana o ego puteSestvii na Volgu v 921-922 gg. (Xar'kov, 1956): Russian translation.
The king of the Volga Bulghars and one of their groups had embraced Islam before the embassy
came to them. The date of the conversion can be approximately determined: a decade before 922.
The theory of Togan on the conversion in the first half of the eighth century is not convincing, see
TOGAN, op. cit., 307-308; I. ZIMONYI, The Origins of the Volga Bulghars (Studia Uralo-Altaica 32,
Szeged, 1990), 73-74, 91.
4

These factors are discussed seperately in the literature. On the importance of the conversion of
the ruling class and that of the commercial interests, see A. P. SMIRNOV, Volzskie bulgary (Moskva,
1951), 40; R. G. FAXRUTDINOV, Ocerki po istorii voltskoj bulgarii (Moskva, 1984), 81. According
to Golden, the ruler of the Volga Bulghars wanted to ease the pressure of the Khazar khaqan (op.
cit., 130, note 10). Saunders put the conversion in a larger historical perspective: "Most probably the
Bulghars were converted by merchants from the Samanid kingdom, who also brought the faith to the
Turks beyond the Jaxartes, nomads who did a brisk trade in sheep and cattle with frontier towns.
About 956 the Seljuks, destined to so glorious a future, embraced Islam, and in 960 the conversion
of a Turkish tribe of 200,000 tents is recorded: their precise identity is unspecified. Thus the tenth
century witnessed the islamization, under Samanid auspices, of a large section of the Western Turks,
an event of great significance." (J. J. SAUNDERS, A History of Medieval Islam, London, Henley and

Istvdn Zimonyi

236

I. Internal factors:
1. Conversion can start only in those societies that have a relatively developed
level of political organization including a form of state. The new religion with
its constitutional background confirmed the statehood and the political power
of the ruling elite. As for the political organization of the Volga Bulghars, Ibn
Fadlan wrote in 922 that the king of the Bulghars (malik bulgar5) had four
kings {malik) in his power. 6 The Arabic word malik denotes the ruler of the
tribal union and the chieftain of a tribe. The king of the Bulghars was the ruler
of a people consisting of five tribes and of a tribe, both called Bulgar. Two
other kings (malik) can be identified with the chieftains of the Sawar and Askal
tribes in Ibn Fadlan's work. 7 Ibn Fadlan mentioned a community (ahl bayt)
Baranjar, and the JayhanI tradition recorded three Bulghar groups: Barsula,
Askal, Bulkar,8 The missing two tribes might be the Baranjar and Barsula.9
The Islamization of the different tribes was in various stages. Ibn Fadlan
said: "We saw among them householdfs], five thousand persons from women
and men, who all had embraced Islam and they are called Baranjar. A mosque
was built for them where they worship." 10 It can be supposed that the tribe
Bulgar also embraced Islam, since the chieftain who was the ruler of the
Bulghars was a Muslim. As for the Sawar and Askal, Ibn Fadlan said: "then
(the king of the Bulghars) wanted to set out, and he sent (an envoy) to a people
called Sawar ordering them to set out with him. They refused. They were
divided into two parts. One part was with his son-in-law, who had become king

Boston, 1965, 143.)
5

Ibn Fadlan called the king of the Volga Bulghars the king of the Saqaliba and only once used the
ethnonym Bulgar-. T O G A N , op. cit., Ar. 2 2 , tr. 4 5 . On the most probable cause of this usage, see
KOVALEVSKIJ, op.

cit.,

15.

6

The four kings are mentioned twice: they were sent to receive the embassy of the Caliphate,
TOGAN, op. cit., Ar. 19, tr. 39; KOVALEVSKIJ, op. cit., 131. They took part in the banquet given by
the Bulghar king on the arrival of the embassy, TOGAN, op. cit., Ar. 21-22, tr. 43-45; KOVALEVSKIJ,
op. cit., 132.
7

T O G A N , op.

8

Z I M O N Y I , op.

®

Ibid., p. 6; on these ethnonyms see p. 35-49.

10

T O G A N , op.

cit.,
cit.,

cit.,

A r . 3 3 , 3 5 , tr. 7 5 - 7 6 , 8 0 ; KOVALEVSKIJ, op.

cit.,

139,

141.

132.

A r . 3 0 , tr. 6 7 - 6 8 ; KOVALEVSKIJ, op.

cit.,

1 3 8 ; Z I M O N Y I , op.

cit.,

130.

Volga Bulghars and Islam

237

over them, and his name was Wiyrigu. The king sent (an envoy) to them with
the following message: 'God, might and majesty be His, granted to me Islam
and the power of the commander of the Faithful (caliph). I am his slave and
this Muslim community (umma) gave me authority. If someone disobeys me,
he is put to sword.' The other part joined the king of the Askal tribe who was
under him (king of the Volga Bulghars). In spite of it, he did not embrace
Islam. When he sent them this message, they were frightened from his threat
and all of them set out with him." 12 The king of the Volga Bulghars used
Islam to legitimate his internal policy, which helped the consolidation of his
dynasty's power over the four leading chieftains of the Volga Bulghar tribal
union.
2. As is well known, the conversion of the Volga Bulghars was a hostile step
against the Khazar Khaqanate, whose dominating religion was that of the Jews.
Ibn Fadlan mentioned that the ruler of the Volgar Bulghars asked the caliph to
build a fortress in his country against the Jewish Khazars.13 The subordination
of the Volga Bulghars' king was realized in different forms: the king of the
Bulghars was to pay tax of one pelt of sable from every house in his country
to the Khazar khaqan;14 the son of the Bulghar king was a hostage in the court
of the Khazar khaqan, and his elder daughter was forced to marry the khaqan
in spite of the fact that the girl was a Muslim and the khaqan was a Jew. After
her death the Bulghar king gave his second daughter to the Askal king who was
his dependent, to avoid having to give her to the khaqan.15 The conversion
loosened the subordination of the Volga Bulghars. According to Ibn Fadlan, the
king of the Volga Bulghars was convinced that neither the caliph's army nor
the army of the Samanids (amir Khurasan) could defeat him as there were
many big countries between the Bulghars and the caliph or the Samanids.16
This information can be interpreted to the contrary: If the Bulghars need
military aid, the caliphate cannot help. In another chapter Ibn Fadlan remarked
that the embassy from the caliph had not brought the money for the building of

11
It can be identified with the well-known Turkic title buyruq, see TOGAN, op. cit., 75, note 2; G.
DOERFER, Türkische und mongolische Elemente im Neupersischen (Wiesbaden, 1965), II., 365-366;
G. CLAUSON, An Etymological Dictionary of Pre-Thirteenth Century Turkish (Oxford, 1972), 387.
12

TOGAN, op. cit.,

13

TOGAN, op. cit.,

A r . 3 , 2 3 , 3 5 , t r . 2 , 4 7 , 8 1 ; KOVALEVSKU, op. cit.,

14

TOGAN, op. cit.,

A r . 3 5 , t r . 8 0 ; KOVALEVSKU, op. cit.,

15

TOGAN, op. cit.,

A r . 3 5 , t r . 8 0 - 8 1 ; KOVALEVSKU, op. cit.,

141.

16

TOGAN, op. cit.,

A r . 2 4 , t r . 5 0 - 5 1 ; KOVALEVSKU, op. cit.,

134.

A r . 3 3 , t r . 7 4 - 7 6 ; KOVALEVSKU, op. cit.,

139.

140.

121, 133, 1 4 1 .

Istvdn Zimonyi

238

the fortress, and when Ibn Fadlan asked the king of the Volga Bulghars about
the reason for his request, he answered that he had enough gold and silver to
build a fortress, but he wanted the blessing of the caliph.17 The Volga
Bulghars could not rely on the military and financial backing of the caliphate.
So the conversion of the Volga Bulghar king meant political and ideological
support from the caliphate, which could counterbalance the unilateral
dependence of the Volga Bulghars on the Khazar khaqan, but at the same time
did not require a tight political subordination to the caliphate.
3. The commercial interest in the formation of the nomadic empires and in the
conversion of the steppe people is well-established.18 Volga Bulgharia was a
trade centre. As for the marketplace on the River Volga, Ibn Fadlan said: "The
place of market is on this river, which is busy at all times and many precious
goods are sold on it."19 On the basis of the JayhanI tradition and Ibn Fadlan,
it can be concluded that the Khazars used the lower Volga and the Rus, the
upper Volga, for merchandising their goods among the Volga Bulghars. The
Rus brought slaves and furs, and they bought silver and golden coins.20 Ibn
Fadlan gave further information: "There are many merchants among them who
travel to the land of the Turks (Oghuz) and they bring sheep to the country
which is called Wis u2> and they bring sable and black fox from there." 22 The
Volga Bulghars had two northern partners: the Rus and the people of WIsu,
who were the transporters of the furs and slaves. These goods were sold in the
country of the Volga Bulghars for Muslim dirhams. Dirhams could be
transported to the Bulghars in two ways: either the Khazars could move them
from beyond the Caucasus, or the Volga Bulghar merchants had to obtain them
in Khwarazm and in Transoxiana, which required crossing the Kazak steppe.
This second route was prosperous, since Ibn Fadlan as a member of the
caliph's embassy travelled to the Bulghars with a huge caravan on this route.23
The importance of this route was greater than that of the Khazars, for reasons
discussed later. The king of the Volga Bulghars took one tenth of the goods

17

T O G A N , op.

cit.,

18

A r . 3 5 , t r . 8 1 ; KOVALEVSKIJ, op.

O . PRITSAK,

On the Origin of Rus', vol.

19

TOGAN,

20

ZIMONYI, op.

21

V . MINORSKY,

N

T O G A N , op.

23

On the route, see

op. cit., Ar. 31, tr. 68-69;
cit.,

134-136,

1

cit.,

141.

(Cambridge, Mass.,

KOVALEVSKIJ,

1981),

op. cit., 138;

10-20.

ZIMONYI,

op. cit., 123.

145-146.

Marwazi on China, the Turks and India (London, 1942), 112-113.

cit.,

A r . 3 0 , t r . 6 7 ; KOVALEVSKIJ, op.
KOVALEVSKIJ,

op. cit.,

96-98.

cit.,

1 3 8 ; Z I M O N Y I , op.

cit.,

135.

Volga Bulghars and Islam

239

and slaves that passed through his country, which provided abundant wealth.24
The most powerful merchants of the Volga Bulghars must have been in close
contact with the Muslim merchants of the Samanids. They influenced the
conversion of the ruler, but he was also interested in intensifying trade.
II. External factors
1. In the ninth century the exportable goods of the forest belt of Eastern
Europe reached the central territories of the caliphate through the Khazar
empire, along the Volga, and through the Caucasus. The Muslim merchants
brought dirhams for these goods, which were excavated in the whole territory
of Eastern Europe. At the end of the ninth century, the Pecheneg migration
from the east of the Volga to the northern shores of the Black Sea blocked this
flourishing trade. The situation favoured the opening of another trade route. It
was started by the Samanids of Transoxiana, who on the one hand consolidated
their power in Khurasan and Transoxiana by the end of the ninth century, and
on the other hand became the most important exporters of the dirhams, since
they possessed the silver mines.25 At first the commercial route followed
Khurasan, the Caspian Sea, and the Volga, but the Samanids lost their Caspian
provinces in 914. From the end of the ninth century, the Kazak steppe was
under the single rule of the Oghuz-Turks, which provided opportunities for the
caravans to cross that steppe in safety. The merchants from Transoxiana could
reach the Volga-Kama region via Khwarazm and the land of the Oghuz. 26 In
the tenth century the muslim coins made from silver excavated in Eastern
Europe were struck in the mints of the Samanids.27 The coins struck by Volga
Bulghars were based on the Samanid samples.28 So the Samanids played a
predominant role in the conversion of the Volga Bulghars.

24

TOGAN, op. cit.,

AT. 3 5 , t r . 8 0 ; KOVALEVSKIJ, op. cit.,

1 4 1 - 1 4 2 ; ZIMONYI, op. cit.,

134, 143-

144.
25

On this problem, see TH. S. NOONAN, Why dirhams first reached Russia: the role of ArabKhazar relations in the development of the earliest islamic trade with Eastern Europe, AEMAe 4
(1984), 151-282; Khazaria as an intermediary between Islam and Eastern Europe in the second half
of the ninth century: the numismatic perspective, AEMAe 5 (1985), 179-204.
M

ZIMONYI, op. cit.,

183.

27

R.M. VALEEV, K voprosu o tovarno-deneznyh otnoSenijah rannih Bulgar (VII-X w.). Iz istorii
rannih Bulgar, ed. A. H. HALIKOV (Kazan', 1981), 83-96.

28

On Volga Bulghar numismatics, see R.R. FASMER, O monetah volzskih bolgar X veka, Izvestija
ObScestva Arheologii, Istorii i Etnografn 33 (Kazan', 1925); S.A. JANINA, Novye dannye o
monetnom cekane VolzskojBolgariiX- v., MIA 111 (1962), 179-204.

240

Istvän Zimonyi

2. The Islamization of the Volga Bulghars was only one step in the history of
Eurasia in the long run. First, the Umayyads tried to extend the power of Islam
to the lands of the Khazars. The wars between the caliphate and the Khazars
culminated in the first half of the eighth century.29 The Khazar empire was
successful in defending itself. The °Abbasids' new policy, which promoted
economy and commerce, created prosperous trade between the caliphate and
the Khazar empire in the ninth century. In spite of it, the Khazars adopted
Judaism to counterbalance the cultural and political influences of the bordering
two great empires, i.e., the caliphate and Byzantium, and the Jews played a
key role in international trade. During the disintegration of the °Abbasid
caliphate in the ninth and tenth centuries, the Samanids30 in Khurasan and
Transoxiana had a special role. "The Islamic world owed it largely to them that
the Turks were won to Islam, which in the following centuries was to become
the religion of practically all the Turkish peoples. "31 The Samanids supported
the Islamization of the Qarluqs and Oghuz, from among which the dynasties of
Qara-Khanids, Ghaznavids, and Seljuks originated.32 The conversion of the
Volga Bulghars was the first known step in this process.
In conclusion, this paper has attempted to explain why the Volga Bulghars
embraced Islam. The ruler of the Volga Bulghars converted his people in order
to consolidate his power over the four leading chieftains of the tribal union, to
counterbalance his unilateral dependence on the Khazar khaqan, and to enter
into closer commercial relation with the Samanids. As for the caliphate, the
Samanids supported the Islamizing of the Turks. The result was the predominance of Turkic dynasties in the eastern part of the caliphate. The
Islamization of the Volga Bulghars was the first step in this process, which was
provoked by the commercial interests of the Samanids.

29

D. M. DUNLOP, The History -of the Jewish Khazars (Princeton, 1954), 41-87; D. LUDWIG,
Struktur und Gesellschaft des Chasarenreiches im Licht der schriftlichen Quellen (Münster, 1982),
146-154.
30

R. N. FRYE, The Samanids, Cambridge History of Iran, vol. 4 (Cambridge, 1975), 136-161.

31

B. SPULER, The Disintegration
vol. 1 (London, 1970), 147.
32

O.

PRITSAK,

Von

den

Karluk

of the Caliphate in the East, The Cambridge History of Islam,
zu

den

Karachaniden,

ZDMG

101

(1950)

270-300;

Die

Karachaniden, Der Islam 31 (1953), 17-68; C. E. BOSWORTH, The Early Ghaznavids, The
Cambridge History of Iran, vol. 4 (Cambridge, 1975), 162-197; The Political and Dynastic History
of the Iranian World (A.D. 1000-1217), The Cambridge History of Iran, vol. 5 (Cambridge, 1968),
1-23.

Sufi Brotherhoods in 15th Century Central Asia
Ely or KARIMOV, TaSkent

The political history of the fifteenth century in Central Asia is of great
relevance to the study of Sufism in that time and place. Before consolidation of
the region under the reign of Timur (1335-1405), beginning in the 1270s, conditions in Mawara°unnahr were extremely hard. The Mongol invaders brought
many calamities to the population of Central Asia, gravely injuring the region's
economy by destroying trade and handicraft centers and the irrigation system,
on which fields and orchards depended.
The restoration of trade, agriculture, and manufacturing began with Timur
and the Timurids' coming to power. Growing political stability and economic
recovery were incentives for the activation of spiritual and religious life.
By the fifteenth century Islamic mysticism had begun to occupy key positions in the society of Central Asia. The Sufi brotherhoods (tariqat) held an
important position not only in religious, but also in political and socioeconomic
life. Such brotherhoods as NaqSbandTya and Yasawlya did not just represent
definitive dogmas but also had a significant influence on opinions and decisions
concerning ideological, moral, social, and legal matters. On the other hand,
theologians—experts in the knowledge of the Koran, fiqh, tafsir, and had.it—
could not exceed the limits of a "caste" and made but slight appeal to the minds
of the masses. This does not mean that the representatives of "official" Islam
were either powerless or quiescent. They still held certain offices, always
followed the feudal governors, tried to interfere in affairs of state, and
contended with the representatives of Sufism, always seeking to strengthen
their own influence among the people.
In the period under consideration this antagonism between the representatives of Islamic mysticism and the clergy of faqihs ultimately resulted in a
takeover of key positions in ideology by the Sufis. O. D. Cexovic wrote that the
NaqSbandTya was a "more effective and refined weapon for oppression" than
the official Islamic clergy. 1 One can suppose that this epoch needed a common
moral and ideological system to cope with the centriftigal forces which
inevitably gathered strength along with the development of the feudal relations
and the increasing socioeconomic stratification of society. As I have already
mentioned elsewhere, I consider that the activity of the NaqSbandTya and the
1
CEXOVIC, O. D.: O social'noj roll i politiceskoj dejatel'nosti Xodzi Axrara. - Bartol'dovskie
ctenija 1982. Tezisy dokladov i soobScenij. Moscow 1985; 71.

242

Sufi Brotherhoods in 15th Century Central Asia

Sufi sayhs of that period was a refined and effective form of preserving social
balance.2 By taking into account the mutual relations between the feudal rulers
and the clergy as well as those between policy and religion, we can expose
very important additional materials explaining the failures of HalTl-Sultan and
Ulugbek as well as the successes of Sahruh and Abu Sa°id, the "peace-making"
of Hwaga Ahrar, and many other facts.
"The way" (tariqat) of the great Central Asian Sufis included elements of
Persian and Turkic traditions that were amazingly interrelated. That made it
easy for local societies to adopt Islam and promoted the spread of Mohammedanism to nomad people.
In Rasahat cayn al-haydt, the anthology of Central Asian Sufi sayhs compiled by Fahr ad-DTn CA1! al-Kasifi as-Safi (d. 939/1532), 3 one can find an
interesting and illustrative story. It recounts the meeting of young Hwaga Ahrar
with a turk-i sahra'i (a steppe Turk), whom the Hwaga's father, who had some
arable land in Gulistan, had sent there with a sack of grain. The poor Turk was
struck by Hwaga's courtesy. He said that Hwaga acted according to the words
of the sayhs and prayed for him. At the end of the story, the author of Rasahat
repeated Hwaga Ahrar's words: "I had achieved many of my gains owing to
that prayer of his." 4
This story is of interest from several points of view. Of particular interest
is the relation between Hwaga Ahrar and the nomad Turk who, according to the
story, has changed his mode of life. Many of the stories in Rasahat show close
ties between Hwaga Ahrar and nomadic people and illustrate the fsan's efforts
to increase and strengthen such ties. It is stressed also that these relations
always manifest themselves in religious phenomena.
The Sufi Sayhs often appear in history as spreaders of Islam to nomadic
people and are shown making great changes in the nomads' way of life. A
special part was played by the Yasawlya brotherhood. Turkic tradition permeated this brotherhood, which came from Turkestan. 5 Its founder, Ahmad

2

Karimov, E. E.: "K xarakteristike sufijskogo bratstva naqsbandija v Srednej Azii XIV-XV
vekov", ObScestvennye nauki v Uzbekistane 8.1989.47.
1

Karimov, E. E.: '"Raäahät c ayn al-hayät' kak istocnik po izuceniju istorii Maverannaxra XV
veka", ObScestvennye nauki v Uzbekistane 1.1990.40-43.

1

Fahr ad-DTn CA1! al-KäSifi as-Safi: RaSahM cayn al-hayät, Lithograph, Lucknow 1905, 223.
Hereafter cited as RaSahät.
5

DeWeese, Devin: "Yasavian legends on the Islamization of Turkistan", Aspects of Altaic
Civilization III, Indiana University, Uralic and Altaic Series, ed. Denis Sinor, vol. 145, Bloomington
1990, 1-19.

Etyor Karimov

243

YasawT (d. 562/1166), had left his philosophical heritage in his poems in
Turki, and it played an important role in Persian-Turkic mutual influence.6
Turkic traditions entered the ritual and practice of the Yasawlya and were
reflected in the clothes of this brotherhood's followers, in a "loud" dikr, in
women's participation in rites and ceremonies, and in the ways of animal
sacrificing.
The Sufi tradition of Central Asia also reckons Baha®uddln NaqSband (d.
791/1389) among the spiritual descendants of the brotherhood Yasawlya. The
crystallization of the brotherhood NaqSbandiya is connected with his name. To
the eight main theses of cAbd al-Haliq GigduwanI (d. 575/1179), he added three
by dikr and so completed the ideology of the NaqSbandiya.
The story of NaqSband's meeting with the Turk Sufi Halll-Ata (d.
747/1347), who had been mentioned in Silsila tariqaii yasawiya and had
become in 1340 the Sultan HalU (Allah Gazan), is well known. NaqSband
served him till his downfall and then continued his spiritual career. 7
We have already seen how the manuscripts underlined the ties between the
Turk surroundings and another famous representative of the NaqSbandiya, Sayh
Naslraddln c Ubaydallah, mostly known as Hwaga Ahrar (d. 895/1490). The
famous fifteenth-century clergymen from Samarkand, Herat, and the territory
of Khorasan, who met young Hwaga Ahrar called him Sajhzode-i turkestoni
( the descendant of Turkestan Sajhs)} Not only the ideology of the
brotherhood Yasawlya but also that of the NaqSbandiya was widely spread in
the Turk surroundings. Many of the famous Sufis had played an active part in
spreading Islam to nomadic surroundings in the form of Sufi and mystical
doctrines. Fahr ad-DIn °A1I al-KaSifi as-Safl mentioned such activities of
Muhammad Plrsa 9 (d. 822/1419).
In the time of Hwaga Ahrar, this process reached its peak. He paid much
attention to the spread of Islam among the nomads. Nomadic people united
easily into large and strong militant groups which raided the rich agricultural
lands and did much plundering. Owing to his immense prestige and the great
number of his disciples (murfds) among the nomads, Hwaga Ahrar could to
some extent secure the settled territories of Mawara°unnahr from such raids.
6

Ahmad Yasaviy: Hikmatlar, ed. A. Kajumov et al., with an introduction and notes by I. Haqqulov, ToSkent 1991, 256.

7

GORDLEVSKIJ, V . A . :

1962, 369-86.
'

RaSahat, 227.

'

RaSahat, 61.

Baxautdin NaqSband Buxarskij. In: IzbrannyeSocinenijavol.

Ill, Moscow

244

Suft Brotherhoods

in 15th Century Central Asia

His relations with Yunus Han, the ruler of the western territories of Mogolistan, and from 1472 on the ruler of the whole Mogolistan state, demonstrate
his influence.
Hwaga Ahrar met Yunus Han for the first time in 1482. When the iSan
reached Margelan, all the inhabitants of the city came to meet him and, according to MIrza Muhammad Haydar, awaited his arrival with bowed heads. One
of Hwaga Ahrar's murids recognized Yunus Han in the crowd and pointed to
him. The iSan immediately dismounted, took Yunus Han's head in his hands,
and kissed him. Thus Yunus Han found a protector in the person of the leader
of the Sufi brotherhood NaqSbandiya.10 The latter was interested in converting
the Mogols to Islam. MIrza Muhammad Haydar, the author of Ta°rih-i RaSidi,
pointed out that before the reign of Yunus Han in Mogolistan all the Mogols
had been considered Muslims but they could be taken to other contries and sold
there as slaves like kafirs.u According to MIrza Muhammad Haydar, that
practice continued until Yunus Han met Hwaga Ahrar.12 The isan wrote
neighbouring Muslim rulers, saying "I have seen Yunus Han and the Moghuls.
The subjects of such a padisah are not to be carried off captives. They are
people of Islam." From then on, there were no more cases of Mogols being
bought or sold to Muslim countries.13 However, it should be stressed that
there were still cases of Muslim people being taken prisoner by Muslims. Then
the faqihs, in order to be obsequious towards their leader, would try to prove
that the people were "not Muslims".14
Another widely used example is the activity of Hwaga Ahrar during the
struggle for the Timurid throne of Abu Sa°Id, who had the iSan as his ally.15
The manuscripts do not all agree on the events they describe, but one can
distinguish the pivotal idea of the medieval authors. In studying the original
literature, it becomes obvious that by not participating in the fight between two
of the Timurids, Hwaga Ahrar however played an important role by inciting

10
The Tarikh-i-Rashidi of Mirza Muhammad Haidar Dughlat. A History of the Moghuls of Central
Asia, edited, with commentary, notes, and map by N. Elias. The translation by E. Denison Ross.
London-New York 1972, 155. Hereafter cited as "Tarilch-i-Rashidi".
11

BARTOL'D, V. V.: "Ocerk istorii Semirec'ja", in: Socinenija, vol.n, pt. 1, Moscow 1963, 88-89.

12

Tarikh-i-Rashidi,

13

Op. cit., 98.

97.

MUKMINOVA, R . G.: " O nekotoryx istocnikax po istorii Uzbekistana nacala X V I v.", in: Trudy
Instituta Vostokovedenija, vol. ILL, TaSkent 1954, 124.
14

15

ALGAR, H.: "The Naqshbandi order: a preliminary survey of its history and significance", in:
Studia Islamica, 44.1976, 137.

Elyor Karimov

245

Abu Said's army, which mainly consisted of nomadic people of Abu-l-Hayr
Han from the Dasht-i Kypchak. The image of the Sayh became a kind of
ideological banner and symbol of victory for Abu Said's allies.
I should like to pay particular attention to the ideological role of Sufism.
The political life of the period under discussion was somewhat elucidated in the
Soviet historical science, but the religious life of the period was for the most
part resolutely kept outside the frames of investigation. The peculiarities of
Soviet historiography in relation to such outstanding figures of the Middle Ages
as Hwaga Ahrar are directly related to the systematic exclusion from consideration of the ideological thought fostered by Sufism.
The ideas of Sufism had a tremendous influence upon public consciousness
in fifteenth-century Mawara°unnahr. For example, in the NaqSbandlya these
ideas were implemented in the basic principles of brotherhood, kalimat-e
qudsiya ("holy words"). These principles proposed turning aside from the
ascetic life and instead called the followers to "energetic life activity and
productive labour,"16 "utter tolerance and indulgence to people," and serving
one's neighbor;17 they decried living off other's labour.18 Maybe these
principles explain the phenomenal popularity of the brotherhood Naqsbandlya
throughout all levels of society, from the masses up to the rulers. No wonder,
that followers of this tariqa were such talented and outstanding figures of their
times as cAlT§er NavaT, °Abd ar-Rahman GamI, and Zahir ad-DTn Muhammad
Babur.
The processes that took place in Mawara°unnahr during the period under
consideration were a movement which embraced all layers of society. Hwaga
Ahrar was one of the leaders of that movement. He successfully integrated the
interests of people from different strata of the fifteenth-century Central Asian
society.
Hwaga Ahrar's outlook and his views as disseminated by the brotherhood
NaqSbandiya and preserved in manuscript sources embody the highest Sufi
moral and ethic ideals. It should be pointed out that Hwaga Ahrar wrote several
Sufi treatises.19 They testify to his erudition and knowledge of the subject

16
BOLDYREV, A. N.: "ESce raz k voprosu o Xoza Axrare", in: Duxovenstvo ipoliticeskaja zizn'
na Bliznem Vostoke vperiodfeodalizma. Bartol'dovskie ctenija 1982, Moscow 1985, 51.
17
BERTEL'S, E. E.: Izbrannye trudy. Navoi i Dzami, Moscow 1965, 113; 215.
18
RUSTAMOV, E. R . : Uzbekskajapoezija vpervojpolovine XV veka, Moscow 1963, 44.
" See collections: Faqarat-e ahrdriye. Lithograph, TaSkent 1910; Risale-i anfas-e nafise. Litho-

graph, TaSkent 1911, and others.

Sufi Brotherhoods in 15th Century Central Asia

246

theory and were very popular. As a striking example, I should like to quote a
source from that very epoch.
The famous Zahlr ad-DIn Babur, like his father °Umar-$ayh, was an admirer and follower of Hwaga Ahrar. He repeatedly mentioned and glorified the
Sayh in the Babur-nama.
For example, in his notes describing the events of
935/1528-29 Babur wrote:
"During the past two years my cravings and inclination to carouse were
infinite and boundless; sometimes the desire for wine almost drove me
to tears. In this year that languor of spirit, thanks to Allah, was absolutely assuaged; obviously it is the help of the happiness and blessing
bestowed upon me for translating poems (messages of Hwaga
Ahrar)." 20
Apropos of this, Babur wrote:
"On Tuesday, on the twenty-seventh day of Safar it occurred to me to
set to poems the 'Parents' message' of the revered Hwaga cUbayd Allah.
Setting hopes on the help of the spirit of the revered Hwaga, I decided
in my heart that if this intention would be welcomed by the revered, my
saving from fit of disease would be proof of favourable acceptance of
the poem. "21
Babur believed in the sanctity both of the labour and of the iSdn. He translated
into Uzbek Hwaga Ahrar's Sufi treatise "Risale-i WalldTye".22
The ideas Hwaga Ahrar spread, which had been formed long before him,
had by the time he wrote taken a precise and logically complete shape. What
is this Sufi way of Hwaga Ahrar to which the hagiographic sources devote so
much space? Finding the answer is complicated by the fact that the authors of
the manuscripts mingle what may be facts with downright inventions and
religious and moral sermonizing with historical everyday narration.
The first concern of the hagiographic treatises on Hwaga Ahrar was to
describe their subject as the ideal Sufi and to explain his way to the mystical
understanding of the Creator, and they also wanted to describe the philosophy,
morals, way of thinking and spirit of the man who follows the way of tariqat.
Thus they explain the deeds and strives of Sufis in various situations. As for
Hwaga Ahrar himself, the treatises facilitate our understanding of his actions

20

Zahir ad-Din Muhammad Bäbur: Bäbur-näma. Zapiski Babura. Perevod M. Sal 'e. TaSkent 1958;
fol. 361a/411. Hereafter cited as "Bäbur-näma".

21

Bäbur-näma, fol. 346a/396.

22

See:

SAMOJLOVIC,

A.: Sobraniestixotvorenij imperatora Babura, part 1. Text, Petrograd 1917.

Etyor Karimov

247

which significantly influenced the political events in late fifteenth-century
Mawara'unnahr. Maybe we should keep all that in mind with regard to some
exaggerations that occur in hagiographic sources. The authors used literary
devices in their descriptions of real and mystical events so as to intensify the
emotional effect on the medieval readers.23 After drawing this conclusion, I
found out that Jo-Ann Gross had reached a similar conclusion. She wrote:
"As hagiographies, the primary objective of these four works is to
highlight Ahrar's great spiritual abilities and illustrate his piety and
devotion to Islam and the Muslim population. These sources each focus
on two primary social images: the ideal model of behavior represented
by Khwaja Ahrar and the ideal model of behavior expected of
others."24
And further on:
"The chroniclers also perceived Ahrar as a sufi shaikh, pir and religious
leader, but unlike the biographers, he lived in a world separate from
their own. For them, Ahrar was a religious figure living at a particular
time and in a particular place. He became involved in political events
because of his abilities and socio-religious position in Timurid society." 25
Sufism is in the first place the dogma of behaviourism and all its doctrines
and texts are oriented toward the daily, practical religious life of the Sufis.26
The Sufi ideals and moral-ethic views filled the vacuum that had appeared in
normative Islam at the time. The Sufi doctrines of "purity of the heart and
cleanliness of the hands," social equity, all people's equality before the one
God, struggle with evil, and strengthening of kindness, conscientiousness, and
brotherhood among the people were in accordance with the spiritual needs of
the believers.27

23

KARIMOV, È. È.: Roi', mesto i social'nyepoziciidwcovensrva Maverannaxra vXV v., doctoral
dissertation, Akademija Nauk UzSSR, Institut Istorii, TaSkent 1990, 20-21.
24

GROSS, JO-ANN: "Multiple roles and perceptions of a Sufi shaikh: symbolic statements of
political and religious authority," in: Table ronde sur les Naqshbandis. Ecole des hautes études en
sciences sociales, Paris, May 2-4, 1985, 4.
25

Ibid., 7.

24

Suflzm v kontekste musul'manskojkul'tury,

27

Moscow 1989, 4.

AKIMUSKIN, O.F.: "Sufijskie ordeny v islame: sloznyj uzel problem", in: J. Spenser Trimingham, The Sufi orders in Islam. Per. s angl. A. A. Staviskoj, pod redakciej i s predisl. O. F. Akimuikina, Moscow 1989, 5.

248

Sufi Brotherhoods in 15th Century Central Asia

All this promoted Sufism in fifteenth-century Central Asia to a position of
preeminence, being a system for organizing the behaviour of both society and
individuals, both public and private morals. 28

28

STEPANJANC, M.T.: Filozofskie aspekty sufizma, Moscow 1987, 45.

Die Rolle der beiden Hauptrichtungen des Islam in der
Politik der Kriege Sajbäni-Häns und Sah IsmäUs
Rozija

G . MUKMINOVA,

TaSkent

An der Schwelle vom 15. zum 16. Jahrhundert entfalteten sich in Mäwarä°unnahr und Horäsän stürmische Vorgänge, die am Ende zur Ablösung der
Dynastie der Timuriden durch die Sajbäniden führten. Im Iran bestieg der
Safawide IsmäH den Thron.
Ismä°Il SafawT und der Gründer des Sajbänidenstaates, Muhammad Sajbänl
(auch als Sah Baht, Sahibek und Sajbak bekannt), führten ihre Eroberungsfeldzüge von Anfang an unter Deckung durch Ideologismen. Sünna und Schia
dienten ihnen als Flagge, unter die sie ihre politischen Unternehmungen stellten. Die Hauptstütze für die Verwirklichung ihrer politischen Ziele fanden sie
beim feudalen Militäradel; die Losung "Glaubenskrieg" aber half ihnen, die
notwendige Unterstützung durch das Volk zu bekommen. Um seine Eroberungstätigkeit zu legitimieren und zu rechtfertigen, wandte sich SajbänT-Hän an
die Einwohner der belagerten Stadt Buchara mit Worten, die seine und ihre
Einheit bezüglich des Glaubensbekenntnisses beschworen: "Ich habe in dieser
Stadt den Koran gelesen."1
Noch in den Jahren der Wanderung waren nicht nur Verwandte und die
Beks der Stämme, sondern auch Scheichs und Sajjids dem SajbänI-Hän zur
Seite, um seinen politischen Einfluß zu stärken. Diese Leute beeinflußten
Muhammad Sajbänl und seine Umgebung. Später nützte er seine Beziehungen
zu Sajjids und Scheichs dazu, die timuridischen Emire auf seine Seite zu
ziehen. Hondamlr teilt mit, daß Sajjid Gacfar Hoga, "der zu den Sajjids der
Dast-i-Qypcaq gehörte und der große Liebe und Ergebenheit gegenüber den
uzbekischen Haqanen äußerte", von SajbänI-Hän nach Balch zu Badtiizzamän
gesendet wurde. Dort habe er gesagt, er sei vor der Verfolgung durch SajbänIHän geflohen und bitte um Asyl. In Wirklichkeit aber betrieb er unter der
Bevölkerung Balchs heimlich Agitation für den uzbekischen Chan und zog so
manchen Vertrauten von BadFuzzamän auf die Seite Sajbäni-Häns. — Unter
den Menschen, die Muhammad Sajbänl derartige Dienste leisteten, war auch
Amlr DarwIS CA1I, ein Bruder von cAlIäir Nawä3!. Darwß CA1T kam nach dem
zu jener Zeit vom uzbekischen Chan belagerten Balch und schlug der Bevölkerung vor, sich zu ergeben. Dabei berief er sich darauf, daß die Macht der

Muchammad Salich. Sajbani-name (SPb., 1908), 25.

Rozija G. Mukminova

250

Timuriden bereits gefallen sei.2 Ein gewisser Mulla Muhammad TurkistänT
wiederum, welcher nach Hondamirs und ZahlruddTn Bäburs Worten "großen
Einfluß besaß" und ehemals dem SajbänI-Hän gedient hatte, gewann die Einwohner von Qunduz dafür, sich seinem Bruder Mahmüd-Sultän zu ergeben.3
Bei der Eroberung Mittelasiens hatten noch andere Geistliche SajbänT-Hän
unterstützt. Mawlänä Muhammad Hitä^i, "ein Nachkomme der großen Staatsmänner Turkestans", war ein Lehrer Sah Bahts in dessen Jugendjahren
gewesen. Des weiteren gehörte zu den Lehrern des SajbänI-Hän eine Persönlichkeit namens Sajh Mansür. — Muhammad Sälih, der den Chan gut kannte,
charakterisiert ihn als einen Menschen, der nicht nur militärisches Talent hatte,
sondern auch hochgebildet war. Er sei ein guter Muslim gewesen, der sich nie
vom Koran getrennt hätte.4 Den Forderungen seiner Zeit entsprechend,
beherrschte Muhammad Sajbänl Persisch und Turki. Er hatte aktiven Anteil an
der Abfassung historischer Werke, die der Eroberung Mäwarä°unnahrs durch
die Uzbeken der Da§t-i Qypcaq gewidmet waren. Es ist bekannt, daß SajbänTHän ein Mitautor des anonymen Werkes Tawärih-i guzida-ji nusrat-näma war. 5
§ajbänT-Häns Gedichte, geschrieben in uzbekischer und persischer Sprache,
wurden in vielen Werken des 16. Jahrhunderts zitiert. Der Historiker und
Staatsmann AbülgäzT Bahädur-Hän erkannte ihn als Dichter an.
ZahlruddTn Bäbur war SajbänI-Häns politischer Gegner; die Gedichte des
Muhammad SajbänT bezeichnete er als unbegabt, sein religiöses Wissen aber
hob er ausdrücklich hervor. Er schreibt, SajbänI-Hän habe in Herat vor zwei
bekannten einheimischen Religionsgelehrten den Koran ausgelegt.6
SajbänT-Hän war überzeugter Sunnit. Bei seiner Eroberung Mäwarä°unnahrs
war ihm diese Tatsache in gewisser Weise hilfreich, war doch der Hauptteil der
Bevölkerung dieser Region ebenfalls Sunniten. "Alle Samarkander sind
Sunniten. Das sind die Leute der reinen Religion, die die Gesetze achten und
strenggläubig sind. Seit der Zeit des erhabenen Propheten (Muhammad) hatte
kein Land so viele Imame wie Mäwarä°unnahr", schrieb ZahlruddTn Bäbur.7

2

Chandamir. Chabib as-siyar (Bombay, 1273 h.), vol. III, pt. III, 311, 313.

3

Ibid., 317; The Babar-nama, Gibb Memorial Sériés I, ed. Annette S. Beveridge (London 1905),
fol. 123 a.
4

Muchammad Salich..., 240.

5

R. G. Mukminova, "Tawarich-i guzida-ji nusrat-nama i ego avtor", Vostocnoe istoriceskoe
istocnikovedenie i special'nye istoriceskie discipliny, vyp. 1 (Moskva 1989), 153-158.
6

The Babar-nama, fol. 206 b.

7

Ibid., fol. 43 b.

Die Rolle der beiden Hauptrichtungen des Islam

251

Aber nicht alle Timuriden hielten an der sunnitischen Ausrichtung des Islam
fest. Einer der letzten Timuriden von Mäwarä°unnahr, Bajsuqqar-MIrzä aus der
Region Hisär, war anfangs ein Schiit wie sein Erzieher Sajjid Mahmüd; dies
trug ihm in bestimmten Kreisen den Vorwurf der Ketzerei ein. Später sagte
man in Samarkand, daß er "sich von den schlechten Überzeugungen losgesagt
und zur reinen Religion gefunden" habe, wie Bäbur berichtet. 8
In einer ähnlichen Lage fand sich einer der mächtigsten Timuridenherrscher, Sultan Husajn. Aus Anlaß seiner Thronbesteigung wollte er in der hutba
der zwölf Imame gedenken, wozu ihn cAlI§ir-Bek und andere angehalten hätten.
Später allerdings, so Bäbur, hätte er nur mehr in Übereinstimmung mit den Gesetzen der Sünna gehandelt. 9
Bäbur selbst war, wie aus dem Bäbur-näma hervorgeht, Sunnit. Als es
allerdings darum ging, seine Macht in Samarkand zu festigen, versuchte er die
Schia als offizielle Religion anerkannt zu bekommen. Im Oktober 1511, als er
mit Unterstützung von Truppen des Sah IsmäTl Samarkand erobert hatte, fand
Bäbur (anders als in einigen früheren Fällen) nicht die Unterstützung der
einheimischen Bevölkerung. Dafür mag mit ausschlaggebend gewesen sein, daß
mit ihm zusammen auch fremde Truppen in die Stadt eingezogen waren. Eine
gewisse Rolle aber spielte gewiß der Umstand, daß Bäbur nach der Eroberung
Samarkands die hutba auf Sah IsmäH rezitieren ließ und Münzen mit den
Namen der zwölf schiitischen Imame prägen zu lassen begann. Außerdem
wurde Bäburs Thronbesteigung so empfunden, daß damit Mäwarä°unnahr als
Vasallenstaat unter safawidische Oberhoheit geraten und damit die Schia zur
offiziellen Religion geworden wäre. In den Augen der sunnitischen
Bevölkerung von Samarkand war Bäbur ein Renegat. Nach achtmonatigem
Verbleib in der Stadt mußte er Samarkand verlassen, und zwar für immer. Er
sollte niemals mehr zurückkehren können.
Der siegreiche c Ubajdulläh-Hän war in Samarkand eingezogen und hatte
sofort in der Masgid-i Gämi° die Namen der vier rechtgeleiteten Kalifen
ausrufen lassen. Wie Wäsifi bezeugt, wurde dies von der heftigen Begeisterung
der einheimischen Sunniten begleitet.10
In der zweiten Hälfte des 15. Jahrhunderts war c Ubajdulläh Hoga Ahrär
Haupt der Sunniten in Mäwarä'unnahr. Seine Autorität wurde von der
Mehrzahl der späten Timuriden anerkannt, doch gab es auch einige "Männer
der schlechten Religion", was heißen soll: Schiiten, wie etwa Sultän Mahmüd8

Ibid., fol. 68 b.

9

Ibid., fol. 164 a, b.

10

Zain ad-din Machmud Vasifi. Badaii al-vakaii, ed. A.N. Boldyrev (Moskva 1941), vol. 1, 45-46.

Rozija G. Mukminova

252

MIrzä, den Sohn Abü Sa°ids. "Er verehrte den Hoga Ahrär nicht", kommentiert
Bäbur. Ein ähnlicher Fall war der Vater des bekannten Historikers MIrzä
Muhammad Hajdar, Muhammad Husajn Duglat."
Andererseits galt der Name Hoga Ahrär bei weitem nicht nur in Mäwarä°unnahr. 1479 war c Abdurrahmän Gäml nach Taskent gekommen, um sich mit
Hoga Ahrär zu treffen. Unweit von TaSkent schrieb er zu Pferde einen Brief
nach Herat (vielleicht an cAlISIr Nawä°i; der Empfänger ist unbekannt).12 Aus
diesem Brief erfahren wir, daß ein Treffen mit Hoga Ahrär bevorstand. — Ein
anderes Beispiel zeugt davon, daß Hoga Ahrär auch in der Da§t-i Qypcaq
bekannt war. Ein Neffe von SajbänI-Hän (der Sohn seines Bruders Mahmüd
Sultän), der an der Spitze vieler Feldzüge gestanden war und später oberster
Herrscher des Sajbänidenstaates werden sollte, trug den Namen °Ubajdulläh —
zu Ehren des c Ubajdulläh Hoga Ahrär.
Der Hauptteil der Bevölkerung des südlichen Mittelasien, also von Badahsän
und Qunduz, war schiitisch. Sunnitische Historiker haben diese Menschen als
Ungläubige (käfir) bezeichnet. Muhammad Sälih sagt, daß diese Leute
niemanden außer CA1I anerkannten und es deshalb erlaubt sei, sie zu Sklaven zu
machen. Gerade hier, in den Südgebieten Mittelasiens, traten die dastiqypcaqischen Anführer erstmalig bewaffnet gegen Schiiten auf.
Der Autor des Werkes Tawärih-i guzida-ji nusrat-näma bezeichnet die
Einwohner der Stadt Qunduz als "ungläubige Tuin" (das moderne Wort toin
bedeutet "buddhistischer Mönch"; in diesem Kontext ist wohl "Andersgläubige"
gemeint). Dem SajbänT-Hän wurden in diesem Buch folgende Worte zugeschrieben: "Wenn ich unter der Flagge des Islam die Festung erreicht hatte, so
hat mein Sohn Muhammad Timur mit der Axt der Sarfa weitere siegreiche
Kriege vollführt".' 3 '
Qunduz und Hisär waren Herde der Schia, wie Muhammad Sälih sagt. Aber
auch Sunniten wohnten dort. Nach der Eroberung der Stadt Qunduz setzte
Sultän Mahmüd einen einheimischen Sunniten als Scheichulislam ein. Er
befahl, in jedem Stadtviertel (mahalla) eine Moschee und ihr angeschlossen
eine Schule (auf jeden Fall für Sunniten) zu eröffnen. Für die Sunniten, die in
Qunduz früher verfolgt worden waren, wirkte Sultän Mahmüd nunmehr als
Beschützer.14
11

The Babar-nama, fol. 26 a.

12

Pis'ma avtografy Abdurrachmana Dzami iz "Al'boma Navaii". Vved., primec. i ukaz. A.
Urunbaeva (TaSkent 1982), 67.
13

Tawärih-i guzida-ji nusrat-näma, ms. (Leningrad LO IV AN SSSR, no. B-745), fol. 113 a.

14

Muchammad Salich..., 183.

Die Rolle der beiden Hauptrichtungen des Islam

253

Im weiteren wurde der erbitterte Krieg zwischen uzbekischen Sultanen und
den QyzylbaS — mit Verstärkung des safawidischen Iran — unter der Maske
eines Religionskrieges zwischen Sunniten und Schiiten geführt.
Mit der Eroberung des Timuridenreiches hatte Sajbäni-Hän in den ihm
unterstehenden Gebieten die Sünna zur Staatsreligion erklärt. Das gab ihm
Gründe für weitere Eroberungen in den Nachbargebieten. Seinem Befehl nach
hatten die culatnä° im Jahre 1509 eine fatwä für einen "heiligen Krieg" gegen
die Kazaken ausgestellt.
Ibn Rüzbihän, der am Feldzug in der Kazakensteppe teilgenommen hatte,
betont, daß die Kazaken schon mehr als zweihundert Jahre früher den Islam
angenommen hätten. Bei ihnen gab es bereits Gelehrte aus Turkestan, Mäwarä°unnahr, HägTTarhän, Horazm und anderen Ländern. Und doch bezeichnete SajbänI-Hän die Kazaken als "Ungläubige", weil sich bei ihnen noch
Elemente eines Sonnenkultes erhalten hätten. Ibn Rüzbihän schreibt, daß sie,
ehe sie Kumys in ein Gefäß einschenkten und tränken, ihr Gesicht der Sonne
zuwendeten, das Knie beugen und einen Schluck "für die Sonne" versprengten.
Diese heidnische Sitte wurde zum Vorwand für den Überfall genommen.15
Es läßt sich nicht leugnen, daß die culama'
in ihrem Bemühen, Sajbäni-Hän
zu Gefallen zu sein, nicht nur einmal gegen ihr besseres Wissen und Gewissen
gehandelt haben müssen.
Nach der Eroberung Herats wollte SajbänI-Hän eine Frau heiraten, deren
Gatte, der Timuride Muzaffar Husajn, noch am Leben war. Qäzl Ihtijär
bescheinigte ihm, daß der Gatte die dreimaligen Worte der Scheidung ( t a l ä q )
ausgesprochen hätte. Das entsprach zwar den Tatsachen, doch hatte er sich
danach wiederum mit ihr verheiratet, und das wurde vor SajbänI-Hän geheimgehalten, wie Zajnuddln Wäsifi schreibt und auch Hondamir bestätigt.16
Bevor die Safawiden Iran erobert hatten, lebten dort Sunniten und Schiiten.
Nach I. P. PetruSevskij war bis Anfang des 16. Jahrhunderts die Hälfte der
Bevölkerung oder sogar ein noch größerer Anteil Sunniten; diese Auffassung
teilt auch Hans Robert Roemer. Zu Ende des 15. Jahrhunderts wurde die
Tätigkeit der Schiiten in Iran bedeutend lebhafter. Im Jahre 1501 wurde die

15

Fazlallah ibn Ruzbihan Isfahani. Mihman-nama-ji Buhara (Zapiski buharskogo gost'ja), ed. R.P.
Dzalilova (Moskva 1976), fol. 89 a, 23 a.
16

Badaii al-vakaii, vol. 2, 1121.

254

Rozija G. Mukminova

Schia zur Staatsreligion des safawidischen Reichs erklärt, was im Leben des
Volkes weitreichende Konsequenzen haben sollte.17
Die Bevölkerung Herats war gemischt, es lebten dort sowohl Sunniten als
auch Schiiten. Vor dem Machtantritt der Sajbäniden und Safawiden lebten sie
friedlich zusammen. Wäsifi beschreibt einen Vorfall in einem Badehaus in
MaShad, der deutlich macht, daß das Erscheinen von Wäsifi und seinem Vetter
— beide waren Horäsäner — von den dortigen Schiiten, da die beiden Männer
Sunniten waren, mißbilligt wurde. Es kam zu einem Zusammenstoß zwischen
Vertretern der beiden Ausrichtungen.18 Aus dem Bericht über diesen Vorfall
läßt sich der Schluß ziehen, daß Horäsäner noch zu dieser Zeit gemeinhin
Sunniten waren.
Säh IsmaH benutzte die Schia für gesellschaftspolitische Zwecke; daran
konnte von Anfang an kein Zweifel bestehen. Neu eroberte Gebiete wurden
gewaltsam bekehrt; sunnitische Herrscher hatten ihrerseits die schiitische
Bevölkerung verfolgt gehabt. Im Interesse seiner Machtpolitik beschloß Sajbänl
Hän, der Uzbeke, diplomatische Beziehungen zum anderen großen sunnitischen
Staat, dem Osmanenreich, welches ebenfalls ein Gegner des schiitischen Iran
war, aufzunehmen.
SajbänT-Hän ebenso wie Säh Ismä°il benutzten die zwei Hauptrichtungen des
Islam, Sünna und Schia, als ideologische Waffe. Beide führten ihre Truppen
unter der Losung "für die Reinheit des Glaubens" in den Kampf. Jeder von
ihnen erklärte eine von den Glaubensrichtungen zur wahren Religion und
bediente sich des religiösen Arguments dafür, die Truppen gegeneinander
einzusetzen.
Jeder von den beiden Kriegsherren beschwor die Unmöglichkeit einer Koexistenz der beiden Glaubensrichtungen. Den Soldaten wurde eingeflößt, als
Sieger würden sie gäzi (Kämpfer für die Religion), als Besiegte und Getötete
Sahid (Märtyrer für die Religion) sein. Die Konsequenzen aus dieser Aufhetzung mag man einem Beispiel aus WäsifT entnehmen: Verkleidet ging er
durch die Straßen von Herat und sah plötzlich fünfzig Menschenköpfe auf den
Speeren von Qyzylbaä aufgespießt; es waren die Köpfe von Sunniten. —
WäsifT selber, Ibn Rüzbihän und noch so manche anderen Dichter,
Schriftsteller und Geistlichen waren gezwungen, nach Mäwarä°unnahr oder ins
Osmanische Reich zu emigrieren.

17

I.P. PetruSevskij, Islam v Irane v VII-XV vekach (Leningrad 1966), 359-371; Hans R. Roemer,
"The Qizilbash Turcomans: Founders and victims of the Safavid Theocracy", Intellectual Studies on
Islam. University of Utah Press, Salt Lake City, 30.
18

Badaii al-vakaii, vol. 2, 1021-1022.

Die Rolle der beiden Hauptrichtungen des Islam

255

Um einen zentralisierten Staat zu schaffen, hatte Sajbärii-Hän den im 15.
Jahrhundert mächtig gewordenen Klerus dem Chan untergeordnet.19 Inzwischen machte der Kampf gegen die Schia, die von den Safawiden im Interesse der Politik im ideologischen Kampf eingesetzt wurde, es erforderlich, daß
SajbänI-Hän seinerseits von der sunnitischen Geistlichkeit unterstützt wurde.
Eine hervorragende Position hatte Mawlänä Nizämuddln °Abdurrahim Turkistänl inne, der von SajbänI-Hän zum sadr bestimmt wurde. Welch große Rolle
er im Staate spielte, zeigen die Ereignisse im Zusammenhang mit der
Eroberung Herats durch die Sajbäniden: der genannte Geistliche war es, der die
Herater empfing, welche die Macht dem SajbänJ-Hän übergeben wollten, und
er entschied über das Schicksal der timuridischen Emire Herats.
Die Bevölkerung des eroberten Herat wurde mit einer Abgabe von 100.000
tangaca belegt. Darüber hinaus sollten Besitzer und Magnaten {sähib-i
sujurgaf), nach Hondamlr, noch 20.000 tangaca für Muhammad Sajbänl und
15.000 tangaca für Mawlänä cAbdurrah!m Sadr aufbringen. Der Vergleich
dieser Zahlen, 20.000 und 15.000, zeigt bereits indirekt die Höhe und
Wichtigkeit der Position an, die °Abdurrahlm Sadr während des Krieges und
nach der Eroberung innehatte. Die Emire der eroberten Stadt waren von ihm
abhängig; ehemalige Scheichs und Kadis sowie Sajjids und culamä mußten ihm
Schmiergelder bezahlen, um ihre früheren Ämter wieder zu erlangen.
Kurzum, °Abdurrahim Sadr wurde der wahre Herrscher im Staat bei
SajbänI-Hän. Die Verwaltung der woqf-Besitztümer hatte er unter seinen drei
Söhnen aufgeteilt. Dies führte zum völligen Zerfall der Stiftungen. 929 h. sollte
Hondamlr schreiben: "Noch heute ist es zu keiner Verbesserung (der Lage)
gekommen."20
Muhammad Sajbäni-Hän war mit der seßhaften Welt ebenso gut vertraut wie
mit der nomadischen. In sich vereinigte er die kämpferische Tradition der
nomadischen Steppe und die kulturellen Errungenschaften der mittelasiatischen
Völker. Das begründete seinen Sieg. Der religiöse Fanatismus aber, den er und
Sah IsmäH, die Staatsführer der Zeit, als Waffe in Händen führten, hatte
politische Folgen und sollte in der weiteren Entwicklung von Wirtschaft und
Kultur sowie in den internationalen Beziehungen des schiitischen Iran ebenso
wie des sunnitischen Staates der Sajbäniden eine negative Rolle spielen.

"
20

Binnäi. SajbänI-näma. Ms. (Taíkent IVR AN Rep. of Uzbekistan no. 1236), fol. 92.

A.N. Boldyrev, "Oderki iz iizni geratskogo obSöestva na nibeie XV-XVI w . " , Trudy Otdela
istorii kul'tury i iskusstva Vostoka. Gos. Ermitai. Trudy otdela Vostoka, vol. 4 (Leningrad 1947),
364-365.

256

Who were the Almän?
Audrey BURTON, York
The term 'Alman' occurs under several permutations in the 16th century,
and particularly often in the works of Mughal writers, for example when they
describe an attack by Nadir Muhammad on Kabul in 1628 and when they
chronicle the harassment of the Mughal army which occupied Balkh in 1646-7.
Other references are found in the reports to the Shah by the Iranian governor
of Khurasan, Hasan Khan,1 in the 1630s. Iskandar Beg MunshI mentions a raid
into Khurasan by 5,000 Alman under an amir from Balkh called Qara Tughma
in 1615 and, in the Ihya3 al-muluk, Malik Shah Husain wrote that he had to
take a very roundabout route to the town or Sistan in 1594 in order to avoid a
group of "Alman Uzbegs" who presumably belonged to the army occupying his
country.2 The Alman are also mentioned by two Muscovite envoys, one of
whom, Gribov, was told about the Mughal occupation of Balkh by an official
from Herat. The other, Daudov, wrote in 1677 that the ruler of the khanate,
°Abd al-cAzTz, was having a lot of trouble with "the khan's alamans who live
in the mountains". 3
The term Alman is generally mentioned at the same time as the word Uzbek
although it is clearly distinguished from it, thus Hasan Khan reported to the
Shah that the ataliq °Abd al-Rahman had come to the Kusuya region "with
12,000 Uzbeks, AlmanchT and others". 4
They are referred to variously as Alman by Malik Shah Husain, Almanian
by Khafi Khan, Alaman by Daudov, Almanan by Muhammad Salih Kanbu,5
AlmanchT by Hasan Khan and Alamanchi by Gribov's informant. They tended
to fight in quite significant numbers of between 2,000 and 5,000.
We have the following geographical information about them. Daudov said
that they lived in the mountains of the khanate, Khafi Khan said that they were
1
Muhammad Macsum b. Khwajagi Isfahan), Khulasat al-siyar, tr. Trofenik R., München, 1978,
pp. 118,163.
2

Malik Shäh Husain, 369.

3

TsGADA, fond 77, op. 2, 1646 no. 2, list 33; fond 109, 1677-8, kn. 6, list 13b.

4

Muhammad Macsüm, 163.

5

Muhammad Sälih Kanbü-yi Lähauri, cAmal-i Sälih, ed. Ghulam Yazdanl, Calcutta, 1912-39, II,

522.

Audrey Burton

258

likely to cross the Amu-Darya ten times a day, which means that they lived in
the vicinity, and probably south of the river. This is confirmed by Lahaurl and
also by Muhammad Salih, who compares them to seals because of their
numerous daily crossings of the river. Lahaurl said that Nadir Muhammad sent
an amir to Chichektu and Maymana to discipline the Alman who lived in the
area. We know that they were very often active near Qunduz, so often in fact
that according to Lahaurl the people of the town hid underground from them,
like mice. They were also active near Ghuri. 6
We know something about their customs. Their best "food", according to
Khafi Khan, was horse's blood and sour milk. Their horses could go for days
on very little food and they travelled at speed, covering 40-50 kurohs. It is not
clear whether this distance was covered in one day, which seems enormous, as
it adds up to some 244-344 km, or whether it was covered in the course of one
raid. They are said to have travelled for one or two days in order to carry out
a raid, taking no tent with them except one, which Khafi Khan describes as a
very old one, reserved for the acyan (nobles or leaders). Muhammad Salih
Kanbu says that they travelled with ten generals in one old tent. 7
Their main occupation according to Lahaurl was raiding, killing and seizing
the possessions of people. He also says that they were specially interested in
causing sedition, pillaging, carrying off horses, camels, sheep. On one
occasion, after joining forces with Shah Muhammad Qataghan, they ravaged
Qunduz and took away women and children, "killing peasants and other
innocent ones". Whether or not this was true, they were violently disliked by
the Mughals in general and by Lahaurl in particular because they harassed Shah
Jahan's troops throughout their occupation of Balkh, and also played a great
part in chasing them from the country. However, Lahaurl is not totally
consistent about them. In fact he contradicts himself for he says that they were
horse dealers and not only raiders.
The Almans are generally said to have no religion, to be godless. Shah
Jahan called them "a by-word for wickedness" and they certainly seem to have
had no respect for the Muslim religion for, if we are to believe Lahaurl, they
set fire to the main mosque of Qunduz and killed a learned Sufi and his
disciples in 1646. This barbarous action was in fact taken as a pretext by Shah
Jahan when he decided to invade the khanate and "protect" its inhabitants from
them.8

6

Khafi Khan, I, 648; Muhammad Salih, II, 512; Lahaurl, II, 619, 526, 566.

7

Khafi Khan, I, 648, 647. Muhammad Salih Kanbu, II, 512.

8

Lahaurl, II, 515, 526, 701-2, 598.

Who were the Alman?

259

Who were they then? Were they just raiders as suggested by Zenker who
translates alaman as "robber" or "raid by brigands", and gives the meaning of
a related word, alym, as "seizing, taking", and that of the similar-sounding
ilmc? as "taking away"?9 Does the name alaman, as suggested by Mukminova,
indicate that they were suppliers of slaves to the dealers who prepared them to
become domestics in the houses of the rich? Did they buy and breed horses as
well as selling them? Did they perhaps have a common origin with the
Noghays and the Qazaqs who, although of the same original stock as the
Uzbegs of the khanate, were considered by them with horror and dislike as
half-pagans because they dressed, frighteningly, in hides and looked
"monstrous", with "their eyes hidden in the folds of their eyebrows", to quote
Hafiz Tanish? KhafI Khan certainly says the Almans' food, clothes and life had
nothing in common with (other) humans and they were "monstrous in looks".
But Gribov's informant gave no such derogatory meaning to the word
alamanchi. He merely told the ambassador that the alamanchi were the
"nomadic Bukharan followers" of cAbd al-°AzIz, and Gribov carefully
explained this on each of the two occasions when he mentioned the 6,000
alamanchi sent against Nadir Muhammad and his "Uzbeg fighters" in 1645.10
Were they an individual tribe or a mixture of peoples like the Cossacks, who
lived on the fringe of society?
When Lahaurl describes the battle of Khanabad in 1647 he gives the names
of two of the commanders as Khanjar Alman and Jinat Alman, which seems to

9

Zenker, J. Th., Dictionnaire turc-arabe-persan, Leipzig, 1866-76, 85, 90, 91. The Moscow
ethnographer, B. Kh. Karmysheva, believes that the word alaman indicates "people who take part in
a raid with the intention of acquiring booty". She kindly sent the following information in support of
her views. Budagov, L., Sravnitel'nyislovar' turetsko-tatarskikh narechii, St.P., 1869,1, 79, writes
as follows: In (the) Qirghiz (i.e. (the) Qazaq) (language) alaman = (1) a mob (2) a detachment of
horsemen (3) a crowd of people. In Turkmen alaman = making up a raiding party, robbery. In
Azerbaijani alamanchi = robber. In Jagatai alaman alakhdn = plundered, robbed, homeless.
Yudakhin, K. K., Kirgizsko-russkii slovar', M., 1965, 45, describes alaman, among others, as (1)
a disorderly raid or foray (2) a disorder (bash alaman) (3) a crowd, and (4) a folkloric meaning of
"booty, trophy". As a result of her field expeditions to the semi-nomadic Uzbegs, and in particular
to those camping south of the Amu-Darya, Karmysheva is convinced that (1) alaman means "a raid
undertaken with the intention of robbing", (2) alaman paiga or alaman baiga is a long-distance
horse-race of up to 100 km, longer among the Qazaqs than among the Uzbegs, (3) alamanchi is an
Uzbeg term for a person who takes part in a raid undertaken with the intention of robbing.
Karmysheva adds that in the early 19th century, on the shores of the Pandj (Amu-Darya) between
Hissar and Qunduz, the term alamanchi applied to the Uzbeg tribe of the Qataghan, and more
specially to one of its subdivisions, the Laqai or Laqqai, about whom she wrote a thesis, later
published as ZJzbeki-lokaitsy ytahnogo Tadzhikistana, vyp. I, Dushanbe, 1954.
10

Hafiz Tanish, 145a. Khafi Khan, I, 647. TsGADA, fond 77, op. 2, 1646 no. 2, listy 39, 41.

Audrey Burton

260

indicate that there was indeed such a tribe." Similarly KhafI Khan says that
one of their leaders, a certain Nazar BIk, who was killed in another battle with
the Mughals, was a much respected man who had formerly served Shah Jahan
and his son and who had recently "returned to his tribe". 12 Mu°tamad Khan
is so convinced that the Alman were a tribe that he even declares, erroneously,
that Nadir Muhammad's famous amir, Yalangtush BY belonged to the Alman
uliis.n
However, the name Alman is not found in the exhaustive lists of
"Uzbeg" tribes compiled by Sultanov, so it is possible that it applied to a group
of tribes.14 Interestingly enough they often joined forces with the Qataghans,
as for example when they attacked Qunduz.15
The Alman were probably a combination of all this. They may even have
been a particular tribe of Uzbegs who had refused to become sedentary and
who were therefore more akin to the Noghays and the Qazaqs. They lived in
the mountains or other inaccessible places south of the Amu-Darya as
independent nomads, 16 but they were ready to help the khans with any
campaign which did not last too long. They enrolled only for the booty and left
as soon as they had taken as much as they could carry. They did not fight in
formation like the Uzbeg ordinary soldier. Rather they acted as lightly-armed
irregulars who charged the enemy at speed and then withdrew to re-form. They
subsisted either on the booty which they could get from a campaign or from
their sales of horses to the settled population. And when there was no

11

Lahauri, II, 655. Jinat had been a nauker of Nadir Muhammad. Ibid, 452.

12

Khafi Khan, I, 649-50.

13

Muctamad Khan BakhshT, lqbalnama-i Jahdngirt, ed. Lees Major W. N., Calcutta, 1856, 227.
In fact Yalangtush belonged to the AlchTn tribe.
14

Sultanov, T. I., Kochevye plemena priural'ya v XV-XVII w. (voprosy etnicheskoi i sotsial'noi
istorii), Moskva, 1982, 29-33, 40-44, 48-49. The names "aman" and "yaman" listed by Khoroshkhin
could of course have something to do with "alman", and the same could be said of the names
"Almanchi" and "Alchin". Ingeborg Baldauf says "almanchi" appears to be derived from alman by
means of the suffix "-chi", which "in Turkic languages denotes someone who professionally /
habitually occupies himself with x, y, z". In view of this she feels that "the existence of a 'name'
alamanchi sounds less probable than the interpretation of al(a)manchi as 'professional raider, raider
by passion', which would be some kind of nickname, rather than an ethnonym". This theory is partly
confirmed by the report of Russian ambassador Gribov.
15
16

Lahauri, II, 526-7, 566-7.

Muhammad AmTn b. cAbd al-Husain Qazwini, Padshahnama, BL, Or 173, 155a, says they lived
in the desert.

Who were the Almän?

261

possibility of acquiring booty by fighting the enemies of the khanate, or when
they were unable to sell their horses, they seem to have had no qualms about
turning their unwelcome attention to the inhabitants of the khanate.
More research is certainly needed on this subject.

262

A Study in the History of Bukharan Modernism
The Journey of Ahmad Danish to St. Petersburg
Turaj ATABAKI, Utrecht
On the basis of his own experience as an adib in the inner circle of the
Bukharan culama and maSayekh, Fazlullah b. Ruzbihan KhunjI in his wellknown work, the Mihmankhana-yi Bukhara, describes the intellectual milieu of
sixteenth-century Bukhara. When a group of distinguished Samarqandi and
Khorasani culamd and muftiyan arrive in Bukhara, he comments:
The culama of Bukhara, whose turn it was to offer hospitality to their
[visiting] colleagues, were experts at the gatherings of debate and discussion. Every day, on behalf of his excellency the merciful Caliph,
they came forth to solve difficult points in the marvellous sciences of the
age.1
Three centuries later, the traditional literary atmosphere in what was then
called the khanate of Bukhara remained virtually unchanged. During those
centuries Bukhara had been isolated by the ethnopolitical barrier that arose
between Safavid Iran, with its Shiite state religion, and the Sunni Uzbek Turks.
The Persian-speaking Tajiks of Central Asia were relatively unaffected by the
European influences operating elsewhere in the Middle East, and in particular
they did not adopt the sort of literary innovations that began to transform
Persian literature in Iran from the early nineteenth century onwards.
The political destiny of this Persian-speaking island was only altered when
the military columns of the Russian empire began to penetrate into Central Asia
in the mid-nineteenth century. With the surrender of Tashkent in June 1865, it
was clear that the days of the old sovereign state of Bukhara were numbered.
During the final stages of Russian expansion into the area, diplomatic and
economic domination was dramatically increasing. On the other hand,
interethnic conflicts and political rivalries in the region were so deep-rooted
that the full implications of the Russian incursion were often overlooked by
those involved in the local power struggle. Such certainly appears to have been
the case in the traditional scholarly circles of Bukhara.
On the eve of the subjugation, the khanate of Bukhara could boast 1,800
maktabs and 180 madrasas and an estimated 16,500 students, and it acted as a
1
Fazlullah b. Ruzbihan Khunji, Mihmankhana-yi Bukhara, M. Sotudeh (ed.), Tehran, Bongah-e
Tarjomeh va Nashr-« Ketab, 1976, 15-16.

264

Turaj Atabaki

cultural magnet for the whole region of Transoxiana. 2 Furthermore, it was the
Persian literary language which still enjoyed the highest prestige in educated
circles. Khanikoff, who travelled in the region during the first half of the
nineteenth century, comments with regard to the local schools:
A Tajik, Turkmen or Uzbek child in the Bukharan area from his earliest
age studied Arabic and Persian religious books. From these he turned to
the great Persian poetry of Hafez . . . and Bidel, all this after
memorizing alifba (the alphabet) and while practicing penmanship. 3
The madrasas
and the literary circles associated with them were the only
institutions in the khanate of Bukhara where learned individuals could assemble
and exchange their ideas. With reference to one of these intellectual circles in
Bukhara, Sadreddin cAyniy (1878-1954) remarks in his memoirs:
Three days a week the city's literary figures, the shcfiran
and shfr(poets and connoisseurs of poetry) congregated and discussed
chiefly literary questions.4
On the other hand, the official body of top-ranking Bukharan "academics"
were gathered together at the amir's court, where these udaba and culama (men
of letters and religious scholars) served as functionaries in charge of local as
well as foreign affairs. However, while affiliated with the literary conclave at
court, it was absolutely forbidden for these "academics" to communicate with
their colleagues outside court—for reasons of security.5 From the early 1860s
on, the most distinguished member of this literary elite at the court was Ahmad
Danish.
shunasan

Ahmad Danish was born in Bukhara in 1828/29,6 and after first attending
the traditional Bukharan maktab,
he went on to study in a school that
specialized in teaching Koranic recitation. Because he could not overcome his
stammering, he was forced to withdraw from this school and pursued his
education privately. He followed the traditional path in education, which
included mathematics, natural science, astronomy, and Islamic philosophy.
2

Khanikov, N.V., Bokhara: Its Amir and Its People, London, Madden, 1845, 274-94. Cited in:
Allworth, E., Central Asia, A Century of Russian Rule, New York, Columbia University Press,
1967, 351.
3

Ibid.

4

'Ayniy, S., Yaddashtha, Tehran, Agah, 1983, 326.

5

Ibid., 340.

6

In the Navadir ul-Vaqayf written in 1293/1876, he states that he is fifty years old; however,
some years later in 1307/1890-91 in another manuscript he says he is sixty-three years old. Thus, in
view of these two manuscripts, his birth date must be somewhere between 1826 and 1828.

The Journey of Ahmad Danish to St. Petersburg

265

However, what eventually facilitated Danish's employment at the court was his
talent as a painter and a calligrapher.
During his years of service at the court of the khanate, Danish made three
journeys to St. Petersburg. His first journey, which lasted two months, took
place in 1857, when he was appointed a member of the delegation Amir
Nasrullah sent to Russia on the occasion of Tsar Alexander II's coronation. His
second journey, which also lasted two months, was of a very different nature.
After the surrender of Tashkent in June 1865, the Russians advanced to the
gate of Amir Muzaffar ud-DIn's dar ul-khalifa, Bukhara-yi Sharif. In 1868, the
bellicose clerics of the city demanded that the amir either abdicate in favour of
his eldest son or declare jihad against the Russian kafirs. The amir chose war
and marched to the Zarafshan, which decision led to the ignominious surrender
of Bukhara. In the end, Amir Muzaffar ud-DIn was forced to send a
conciliatory delegation to St. Petersburg to sue for peace. It was in fact a total
capitulation on part of the amir in order to save his throne. Danish was one of
the member of this humiliated delegation.
Danish's third and final visit to St. Petersburg took place in 1874, on the
occasion of the wedding of Tsar Alexander's daughter. This time Danish
produced a detailed account of his trip and experiences, which he incorporated
into his well-known book Navddir ul-VaqayiC.1
By way of introduction, Danish voices his criticism of the traditional notion
that the chief characteristic of the amir's envoy to another court should be his
ignorance. There was the fear that a well-informed ambassador might reveal
secrets to outsiders and thereby jeopardize his country's security. But in
Danish's view this prevalent attitude merely exhibited the state of corruption
and disorder into which the country had sunk. Thus, in describing his visit to
the tsar's court, Danish strives to present a different image of a Bukharan
envoy, an image based on wide learning and up-to-date information.
On his arrival in St. Petersburg, Danish is approached by the eminent
Kazem Beg, who had become acquainted with him during Danish's previous
visits to the Russian court. Kazem Beg asks Danish to compose a poem in
honour of the wedding of the Tsar's daughter. Though he does not immediately
respond to the request, Danish eventually composes a rather short panegyric
qasida on behalf of Marie and Alfred, the bride and the bridegroom. In so

1

Navddir ul-Vaqayf, MS 761, Library of The Manuscripts Foundations, Institute of Oriental
Studies of the Academy of Sciences of Tajikistan.

Turaj Atabaki

266

doing, Danish shows that he has by no means abandoned his ties with the old
literary tradition of Bukhara.8
In nineteenth-century France, realistic description of locations was popular
and well established among men of letters. An author like Balzac was reputed
to be so accurate in his description of a place that an artist could produce a
painting from it. Ahmad Danish certainly never read Balzac's La Peau du
Chagrin, nor was he acquainted with any form of French nineteenth-century
realism. Nevertheless, even in passages where he conforms to more traditional
patterns in his writing, he makes a serious attempt to give an accurate
description,9 as for instance when he describes the architecture and decoration
of the Tsar's palace: "the garden surrounding the palace with colourful flowers
and almond trees"; "the footpath lit up by candles supported on marble
columns, connecting the palace with the muhandiskhana where the learned men
and counsellors of the city gather to discuss the country's welfare." And he
describes the decorations inside the palace: with "mirrors and paintings of the
saints hanging on the walls."10
Danish does not limit himself to describing his physical surroundings. He
presents a colourful picture of the people around him, for example the way
they are dressed. Especially the women and the way they dance with the men
in public, wearing long skirts, catches his eye.11 He tells of the jugglers and
circus performers who have been hired to entertain the guests,12 of the
orchestra that plays music in accompaniment, and he is appearantly intrigued
by the French singer Pati, who had come from Paris at the tsar's invitation.
Danish finds her voice and figure so fascinating that he soon composes a
ghazal which he dedicates to her.13
On one occasion during the festivities, when Tsar Alexander is mingling
with his guests, the tsar comes before Danish. After congratulating the
Bukharan for his poetic talent and praising his character, he asks Danish why,
having visited St. Petersburg several times, he is still not able to speak
Russian. Danish gives him the following rather ingenious reply, which the tsar
appears to have appreciated:
8

Ibid., 466-67.

9

When giving specific measurements in his account (distance, size of rooms and gardens, etc.),
Danish employs the traditional Iranian system of weights and measures.
10

Navadir ul-Vaqayic, 468-70.

11

Ibid., 471-72.

12

Ibid., 478-82.

13

Ibid., 475-77.

The Journey of Ahmad Danish to St. Petersburg

267

Each time I have had the chance to travel to your dominion, night and day
I have been kept on the move, visiting factories and seeing other sights. I
did not wish to renounce this sight-seeing and busy myself with study and
learning a foreign language (khandan-i azbuki). Moreover, I was afraid that
I might not have to return to this country and I would miss beholding the
marvels of your dominion.14
What is significant in Danish's reply is his concern to familiarize himself
with nineteenth-century Russian society, a concern that had already been
awakened during his earlier visits to the Russian capital. Apparently it is his
busy moving about and his eagerness to see all that he can in Russia that
occupies him and leaves him no time to study the Russian language, or as he
calls it, khandan-i azbuki, an idiom in which he applies the Russian noun
azbuka, meaning alphabet.
The jubilee at St. Petersburg was not the only festivity Tsar Alexander had
arranged for the occasion of his daughter's wedding. Celebrations were being
prepared in Moscow, the second most important city in Russia, and all the
official guests were invited to take part in ceremonies. It took fourteen hours
for the Bukharan delegation to reach Moscow, travelling on the araba-yi atashi
(train).
During the train ride to Moscow, the accompanying interpreter prevails
upon Danish to write a poem that would give a full acoount of the wedding.
Danish composes a masnavi and adds that his poem was translated into Russian
and "was soon widespread and published in the newspapers of Farangestan
(Europe).'"5 The poem, as we have it, goes beyond the simple narration of
the wedding festivities.
In this masnavi, by way of introduction, Danish praises those kings who
govern their people by implementing justice {cadl). Kings and amirs being "the
shadow of God on earth," it is their duty to follow the path of Creation,16
which is the path of justice. Moreover, according to Danish, the authority of
kings and amirs is not based on their commitment to their religion or on their
wealth, but on their just use of power in their country.

14

Ibid., 472-73.

15

Ibid., 482.

16

God created the world in conformity with justice. Hence, when a ruler implements justice on
earth, he is following the path of Creation.

Turaj Atabaki

268

The just king is God's representative in the realm,
What creed do kings possess except justice?
Yes, men ask the king for justice and nothing more,
Not for religion or dominion or worldly goods.
With justice, dominion and stateliness increase,
The people are obedient, the army grows large.
Only with justice can the world be conquered,
The tyrannical commander [amir11] is despicable.18
Finally, with regard to the Russian tsar, Danish argues that the successive
victories of the Russian empire that led to the annexation of foreign lands and
the empire becoming so dominant a power are the result of the tsar's just rule
throughout those vast territories.
In this day and age the king of the realm of Russia,
Who before he ascended to the royal throne
Had no thought but for justice and compassion
Has subdued all of the inhabited world.
Oh Alexander, king with an aura like the sun,
Potentate of the age, Chosroes of land and sea!
Be it dry or wet, the whole world is in your hands,
The heads of all heads of states are beneath you.19
The section of Danish's account that deals with Moscow is primarily taken
up with his observations concerning the ballet he attends at the city's Grand
Theatre. He does not mention the name of the ballet but gives an elaborate
detailed description of the decor. He is amazed that an artificial sky full of
shining stars has been set up on the stage. At certain points the sky turns dark.
There is thunder, followed by a sudden downpour of rain. Danish applauds
those who created this technical spectacle as well as the ballet dancers who
were able "to stand gently on one foot, while stretching the other foot right
towards their back."20 However, what he does not like at the ballet is the

" Whereas Danish might have said "tyrannical king," by referring to an amir he directs his remark
to the amir of Bukhara.
18

Ibid.

19

Ibid.

20

Ibid., 491-93.

The Journey of Ahmad Danish to St. Petersburg

269

manner of most members of the audience, who have come to the theatre mainly
to show off their wealth and position—an endemic form of behaviour that
makes life in Russia difficult.
Being a man of letters who straddled two eras, Danish was acquainted with
the literary convention of Persian classical literature, which deemed it
appropriate to conclude a literary work with moral or practical advice.
Accordingly, he ends his account with the remark that it is necessary to know
the language of the land a person visits. To stress the point, he tells how he
once got lost in the streets of St. Petersburg and no carriage driver could
understand his lafz-i Pars (Persian), nor was he able to speak the lafz-i Riis
(Russian).21
In 1874, following his return to Bukhara from this third and last trip to St.
Petersburg, Ahmad Danish was invited by Amir Muzaffar ud-DTn to serve as
a high-ranking functionary in the khanate of Bukhara. Through an
intermediary, Danish made it clear to the amir that he would only affiliate
himself with the government administration if the amir were willing to
implement a series of fundamental reforms in the country. 22 What those
reforms were is revealed in a long essay Danish wrote later that same year,
entitled Risala dar Nazm-i Tamaddun va Tcfavun (Treatise on the Organization
of Civilization and Co-operation). Danish presented this treatise to Amir
Muzaffar ud-DIn.23 The amir, however, in order to retain his throne was
willing to implement every conceivable measure except adopting policies of
reform. Danish's proposed reforms were rejected by the amir. As a result,
Danish withdrew from government service and lived the last twenty-two years
of his life in solitary retirement. He died in 1897.

21

Ibid., 502-5.

22

Hadizada, R., Ahmad Danish, Dushanbe, c Irfan, 1976, 43.

23

A year later, in 1875, Ahmad Danish appended this long essay to the end of his book Navadir
ul-Vaqayf.

270

Bukharan Students in Germany, 1922-1925

Dov B. YAROSHEVSKI, Tel Aviv
Going to Europe to acquire professional know-how, borrow ideas for reforming the state machine, educational services and military installations has
been a common theme in the modernization of Asia and Africa in the
19th-20th centuries. Many educational missions from the East chose to visit
Germany, among them Persians, Afghans and Turks. 1
The Bukharan educational mission in Germany from 1922-1925 shared
many traits with other groups in terms of acculturation in new surroundings,
but at the same time it differed from them in one crucial dimension — its
abortive character. 2 The mission was harshly interrupted by the Soviet authorities and a majority of the students were sent home against their will. In this
paper I will try to (1) reconstruct the history of the Bukharan students' stay in
Germany; (2) understand what kind of considerations led the Bukharan government to send students to Germany; (3) put the Bukharan educational mission
into the historical perspective of the transition experienced by Soviet Central
Asia during the national-state delimitation of 1924-1925.
The exact period of the narrative on the Bukharan educational mission is
29 June 1922 to 12 November 1925.3 On the former date the Council of the
People's Nazirs of the Bukharan Republic made the decision to send students
to Germany, and on the latter the students left the state educational institution
in Koslin (in the province of Pommern, Germany) to return to the USSR.
Three men were responsible for the students, as we learn from the mandate
from the Bukharan Government of 13 August 1922: Alim Idrissov (Idris),
Abdu-Wachid Burchanov (Burchan) and Fedor Aleksandrovich Kemnitz (the
latter probably served as translator). Of these three men Idris was the leading
personality: in Germany he served as chairman of the office, called the "Dele1

"Ausbildung orientalischer Jugend in Deutschland", Der Neue Orient (1923, H.5), 174.

2

On Bukharan students in Germany see: Arslan Subutay, "Dichter und Dichtung in Turkistan",
Osteuropa (6. Jhrg., 1930), 397; Helene Carrère d'Encausse, Reforme et revolution chez les Musulmans de l'Empire Russe. Bukhara 1867-1924 (Paris: Librairie Armand Colin, 1966), 257.

3

Unless specifically mentioned, all data on Bukharan students in Germany originate from the file
PA VI, Band 4, Nr. 54 in the Politisches Archiv des Auswärtigen Amtes, Bonn.

272

Dov B. Yaroshevski

gation for Cultural Affairs of the Bukharan Republic",4 and carried out any
business transactions with German authorities on affairs concerning the Bukharan students there. Idris was probably a Tatar as we can infer from a very
imprecise remark of German origin that Idris originated from a people related
to Bukharans. He remained in Germany during the entire period dealt with in
this paper, while Abdu-Wachid Burchan, another member of the delegation,
left on 15 January 1924 for Bukhara to present a report on the activities of the
delegation to the Bukharan government and did not return to Germany.
The Bukharan students, according to the Ministry of Education of Prussia,
arrived in Berlin at the end of September 1922 and numbered forty-six; of them
were 22 children, ages 10-14, 16 teenagers, ages 15-17, and 8 young men
over 17. Only two or three of them spoke some German. The archival documents also reveal that at least three young women were among the students: a
nursery school teacher, Ms. Rukija Rahim; Ms. Schemsal Aschrat, a medical
student; and Ms. Sahra Kashaeva. The older group, which might previously
have studied at high schools or universities in Russia or complemented their
studies in Germany entered the technical universities of Charlottenburg-Berlin,
Dresden, Darmstadt and the Agricultural Institute at Berlin from 1922-1925,
majoring in chemistry, mining, architecture, electrical engineering, agronomy
and machine-building. The teenagers lived with German families in Berlin and
entered high school, and the youngest group was placed in a state educational
institution at Koslin (province of Pommern), which had acquired some experience in educating children from Oriental countries.
The Koslin educational institution was a boarding school, preparing children
for a high school certificate, and the Bukharan children hat to study there for
five years. The Bukharan Delegation paid 54 thousand dollars for their tuition.
According to a report of the Koslin institution's director, Dr. Tominski, thirteen students studied in special preparatory classes and needed tutoring, while
five were sufficiently advanced to study together with German children, but
needed tutoring in German and math. From a report dated 1 January 1924 we
learn that a certain Turkish student named Ibrahim Bechsad was invited to
teach Bukharan pupils their language and religion. The Bukharans took lessons
in music, went bicycle riding in summer and skiing in the winter, became
acquainted with national and German holidays. Some friction probably existed
between the German children and the Bukharans from the outset. The Bukharan
children received more pocket money, and demanded better food and clothing,

4

In the beginning of 1925, due to the delimitation in Central Asia, the name was changed to
"Delegation for Cultural Affairs of the Uzbek Republic".

Bukharan Students in Germany, 1922—1925

273

which, according to the director, might have provoked the antipathy of Germans at the same institution.
The most conspicuous non-political event which occurred during the stay of
this delegation at Koslin was a delay in tuition payments. Because of inflation,
changes in the dollar/mark rates and increased expenses per pupil, the money
paid by the Delegation to the Koslin institution was expended faster than
expected and on 12 February 1925 the Bukharan Delegation had accrued a debt
of 3100 marks (about 900 dollars). This debt was the subject of an exchange of
letters between Germans, who suspected an intrigue and Bukharans, who
claimed to be in dire financial straits.
Political intrigue within the Bukharan Delegation took the form of a conflict
between two Bukharan students and the chairman of the Delegation, Idris, in
1924, and was noted by the Germans. According to the director of the Koslin
institution the students, one of them a relative of the Bukharan Minister of
Education, demanded to be appointed members of the Delegation, and they
accused Idris of serious failures and, inter alia, of fincancial mismanagement.
The most notorious incidents in the course of the Bukharan Delegation,
however, were the visits by Grigorii Meerson, the rector of the Central Asian
Communist University in Tashkent, to Germany. 5 He visited the Bukharan students for the first time in July-August 1924 representing the Bukharan Ministry
of Education, to determine the living conditions of the Bukharan students (this
was formally defined as the aim of his visit in the documents presented to the
German Embassy in Moscow). However, according to the director of the Koslin institution, Mr. Meerson arrived to keep watch over the activities of Mr.
Idris, likely following the applications of the two above-mentioned Bukharan
students.
Meerson came to Berlin the second time at the end of July 1925. Even
before his arrival Idris told Dr. Tominski, director of the Koslin institution
(and the latter reported to his superiors) that there were political changes in
Central Asia. Bukhara was incorporated into Uzbekistan and therefore, in Idris'
opinion, Meerson intended to deport the Bukharan students to Moscow where
they "should be educated as Soviet commissars".
To prevent this Soviet design, Idris developed his own strategy: he proposed to Tominskii to sign a long-term agreement in which Germany was obliged
to teach the students until they received a high school certificate. Accordingly,
leaving the Koslin institution before the term was over would mean breaching

5

An ideological school of the Communist Party, the Central Asian Communist University
numbered in 1923 600 students.

274

Dov B. Yaroshevski

the agreement and the tuition paid to the institution would not be remitted. The
agreement was signed but was of no avail.
In Berlin Meerson demanded that Idris send back to the USSR 39 students
(out of 46). He corroborated this request by referring to a decree of the Uzbek
government in Samarkand but could not show it to Idris. The Soviet Embassy
confirmed Meerson's statement but was also unable to produce a copy of the
Uzbek document. Meerson told Idris that scientific and technical equipment
(Einrichtungen) in Moscow was far better than in Germany, but for what were
basically political reasons he wanted the Bukharan students to go to Moscow.
Later, on 1 August 1925, Meerson met with university and high school
students in the Delegation premises. There were around 20-30 students present
(out of 70 studying in Germany, representing both groups of students from
Bukhara and Turkestan, now Uzbekistan). Meerson again referred to the decree
of the Uzbek government, but he could not produce it. In the aftermath of an
extremely chaotic discussion a student of the School of Philosophy at Berlin
University, Akhmet Shukri, lifted a pistol and fired at Meerson, but missed. 6
Shukri's attempt on the Tashkent emissary put Idris in a very vulnerable
position in his talks with Meerson and the Soviet embassy. Therefore Idris
published a letter in the newspaper of the Russian emigrees in Berlin, in an
attempt to redress the event and explain the actions of both Meerson and Shukri
as a quarrel over a misunderstanding of words.7 But nothing helped and
though the Soviet Embassy did not charge Shukri with a criminal act to the
German police, it firmly supported Meerson's demand to send the Bukharans
home. It also said that the tuition for pupils at Koslin would be stopped in three
months. On November 12, 1925 the students left Koslin for Moscow. A year
later, on 7 October 1926, Idris told the German Foreign Ministry that the
Uzbek Delegation for Cultural Affairs was dismantled. In its place students
who were still studying in Germany and were close to the Soviet Embassy
established their own office.
*

*

*

6

"Pokushenie na chekista v Berline", Rul', 2 August 1925; "Po povodu vystrela Akhmeda
Shukri", Poslednie Novosti, 9 September 1925.

7

A. Idris, "Pis'rao v redaktsiiu", Rul', 8 August 1925.

Bukharan Students in Germany, 1922—1925

275

To perceive this episode in the proper perspective one needs to seek for the
broader picture of the considerations which led to the idea of sending Bukharan
students to Germany in the first place. As a first approximation, a statement to
the effect that Central Asia had a severe lack of national experts in modern
government and education, would be in place. The former president of the Kokand Autonomous Government, Mustafa Chokay, expressed impressionistically
the feeling of frustration experienced by him in 1917:
Revolution struck us when we were unprepared to use those aspects of
it which were advantageous for us. We did not have a technical cadre.
Those few Turkestanians who acquired Russian education were russified. They perceived the people by "Russian eyes", that is from the top
down and did not consider the people worthy of attention or care. This
was our tragedy.8
As a second broad assumption one can refer to the general Jadid thinking
about university education. Already Ismail Gaspirali had advanced the notion
of reforming madrasa by teaching sciences and the liberal arts.9 Later, in
1910, Yusuf Akchura criticized Tanzimat's experience in the Ottoman empire
in creating a parallel modern educational system, instead of fusing Islamic
educational tradition with modern sciences within one college framework.10
The endeavour to establish reformed madrasas by Kazan Tatars in the 1900s
was a response to this new idea. Around 1910 the idea to establish a Muslim
University in Russia was expounded, but it was rebutted by Russians who
affirmed that the Muslims might learn at Russian universities freely, restricted
only by the lack of dormitories.11
This Jadid thinking on university education induced Abdalrauf Fitrat to
strive to found the first university in Bukhara as early as 1921, but he failed

8

Bibliothèque de l'Institut National des Langues et Civilisations Orientales (Paris), Archive of
Mustafa Chokay Bey, carton V. Chokay to Mansur (Umidoff), 24.12.1935.
9

Edward J. Lazzerini, "Ismail Bey Gasprinskii (Gaspirali): The Discourse of Modernism and the
Russians", in Edward Allworth, ed., Tatars of the Crimea (Durham: Duke University Press, 1988),
149-169.
10
François Georgeon, Aux origines de nationalisme turc. Yusuf Akcura (1876-1935) (Paris:
Editions ADPF, 1980), 113-15.
11

Turkestanskie Vedomosti, 6.10.1910.

Dov B.

276

Yaroshevski

both because of the lack of financial resources and academic personnel.12
While for basic schools the Bukharan government could import teachers from
Turkestan, there were in actuality no candidates for the positions of professors
among the indigenous intellegentsia of neighboring Turkestan. The only available choice remained to send youth abroad for studies. For people like Fitrat
who himself studied in Turkey it had been a viable option. He appreciated the
value of emigration as a source not only of education but also of consolidation
of the national elite. The example of emigration to Paris where the core of
Young Turks emerged was a living model for Young Bukharans as well. This
kind of reasoning might have been crucial to the decision of the Bukharan
government to send students abroad.
But there was also another very specific political motive for this choice,
namely, a direct challenge to the newly established system of Soviet academic
political education for Oriental peoples. From the beginning of 1921 the Communist University of Toilers of the East existed in Moscow. The basic idea of
its founder and first rector, Grigorii Broido, also a deputy of Stalin as People's
Commissar for Nationalities Affairs, was the preparation of revolutionary
cadres in emigration. Broido wrote that many Bolshevik leaders were cast in
their world view during the period of emigration in Western Europe and now
the Easterners should emigrate to the red capital Moscow to become Marxist
leaders and intellectuals.13 Without a doubt, the will to escape this intense
communist socialization in Moscow led Bukharans to choose another emigration — to Germany.
*

*

*

The arrival of Bukharan students in Berlin did not escape Moscow's eye.
Three months later, on 11 January 1923 the Central Committee of the Russian
Communist Party made the decision to establish a special school for Bukharan

12
13

Carrere d'Encausse, ibid., 257.

G. Broido, "Kommunisticheskii universitet trudiashchikhsia Vostoka", in Natsionalny Vopros i
Sovetskaia Rossiia (Moscow, 1921), 86.

Bukharan Students in Germany,

1922—1925

277

children in Moscow.14 According to the claim of Idris, chairman of the Bukharan Cultural Delegation in Berlin, the first group of Bukharan students to
Germany was supposed to be followed by other groups of around 300-400
people, but these had all been retained in Moscow.
The struggle for the Bukharan national elite, with regard to Moscow or
Berlin, grew into an even more politicized conflict in 1925, when, in the
aftermath of a national-state delimitation in Soviet Central Asia there emerged
the Uzbek Soviet Republic and competition over the collective identity of this
new political entity centered around Moscow (Tashkent) and Samarkand.
Moscow and its Central Asian Bureau of the Communist Party in Tashkent
envisaged the Uzbek Republic as a dependent political entity with a very vague
identity, liable to manipulations. In contrast, the indigenous leadership of the
new Republic supported the idea that a new collective identity would be formed
from real historical and cultural content.15 Moscow and Samarkand clashed on
competing cultural identities, on political grounds — who would be entitled to
educate the national elite and where. Thus the question of Berlin or Moscow
was presented to the Moscow and Tashkent party forums, and, according to the
evidence of the Uzbek communist leader Akmal Ikramov, on 20 March 1927
"we performed a purge in Berlin" and "the inclination to send students to
Germany and Turkey disappeared".16

In conclusion, I would like to remark that the struggle centered around the
Bukharan students in Germany was perceived by contemporaries as an openended political contest of crucial importance for both sides. Awareness of this
sentiment opens before the historian a very broad vista for a revisionist interpretation of the period of historical transition in Central Asia from 1917-1925.

14

Istoriia Bukharskoi Narodnoi Sovetskoi Respubliki (1920-1924 gg.) (Tashkent, 1976), 433, 441.

15

In a report on 20 May 1924 the British Ambassador to Moscow told London that he discussed
national delimitation in Soviet Central Asia with the Turkish Ambassador in Moscow and the latter
thought that "not only communists are in favour of it, but also many nationalist Mussulmans. The
former look forward to the new republics growing up as units in a Communist federation; the latter
foresee the possibility of their gaining stress by the contemplated fusion and using it in due time for
purposes of throwing off the Moscow yoke and winning their national independence". London,
Indian Office Records: L/PC/10/836/2481/1924.
16

Akmal Ikramov, hbrannye Trudy, vol. 1 (Tashkent, 1972), 262.

278

Dov B. Yaroshevski

Note
I gratefully acknowledge the John H. Ormond Foundation (U.S.A.) and the M. Ginsburg
Foundation (U.K.) for grants which made possible the preparation of this paper.

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CM. HAH ToòjkCCP. Cejust <ßunococßux, skohomukü, npaeoeedenue,

5

1988, No. 4, c. 70.

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6

284

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7

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286

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HcAüMocue 3eoMoifuoHHbie nponeccw e Coeemacoù IfeHmpaAbHoü Á3uu 287

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Märchen und Brauchtum als religionshistorische Quellen

Jakob

TAUBE,

Markkleeberg

Wenn man sich mit usbekischen Märchen beschäftigt, geschieht es, daß man
auf Erscheinungen stößt, die nicht ohne weiteres verständlich sind; ja mitunter
ist es sogar so, daß man zunächst gar nicht merkt, daß ein bestimmtes Motiv
einen besonderen Sinn hat. Umgekehrt passiert es ähnlich, daß bei der Betrachtung bestimmter Phänomene der volkstümlichen Glaubensvorstellungen, wie sie
sich im Brauchtum widerspiegeln, konkrete Inhalte bestimmter Bräuche, d. h.
Vorstellungen, die mit ihnen verknüpft sind, selbst durch die Auskunft der
Ausfuhrenden sich nicht völlig erschließen lassen. Im folgenden möchte ich
Beispiele dafür darlegen, wie die Kenntnis der mündlichen Überlieferung — insbesondere der Märchen — das Verständnis mancher Glaubensvorstellungen
befruchtet und umgekehrt.
Ein Beispiel für den letzteren Fall ist das Märchen "Der goldzöpfige Jüngling" {Zar kokilli jigit). Bereits 1892 oder 1893 wurde es von N. P. Ostroumov
in einer russischen Übersetzung in Taschkent publiziert, und zwar in zwei
Varianten, einer aus Taschkent und einer aus Kokand.1 In einer zweiten Ausgabe von 1906 erschienen beide Varianten in leicht abgewandelter Form. 2 Die
Taschkenter Variante wurde aus dem Russischen von Gustav Jungbauer ins
Deutsche übersetzt. 3 Die usbekische Ausgabe einer Variante dieses Märchens
erschien im Jahre 1955,4 die von Ilse Laude-Cirtautas ins Deutsche übersetzt

1

N. P. OSTROUMOV, Sarty. Emograficeskie mcuerialy, Vyp. 2: Narodnyja skazki sartov, Taäkent
1892 oder 1893 (unterschiedliche Angaben auf Buchdeckel und Titelblatt); 1. Variante S. 3-9, aufgezeichnet von I. A. Mitropol'skij nach der Erzählung von Said Kasym Sagatbaev, Schüler der 2. Russisch-einheimischen Schule in Taschkent; 2. Variante S. 9-13, aufgezeichnet von V. O. Vasil'ev in
Kokand nach den Worten von Ikram, Sohn des Kokander Kazi Mulla Akyl, Schüler der Kokander
Russisch-einheimischen Schule.
2

N.P. OSTROUMOV, Skazki sartov v russkom izlozenii, TaSkent 1906, S. 1-7, 7-11.

3

Märchen aus Turkestan und Tibet, hrg. und übers, von Gustav JUNGBAUER, Jena 1923, S. 74-83,
298, 305f.
4

Üzbek chalq ertaklari, hrg. von S. SA'DULLA, M.I.SEVERDIN U. a., TaSkent 1955, S. 199-205.

292

Jakob Taube

wurde.5 Sie scheint identisch zu sein mit zwei weiteren usbekischen Ausgaben,
aus denen hervorgeht, daß M. Afzalov der Aufzeichner dieser Variante war
und daß sie von M. Afzalov und K. Imomov zum Druck vorbereitet wurde.6
Der Vollständigkeit halber seien noch zwei weitere Übersetzungen von J. Tichy
und J. Taube genannt.7
In dem Märchen erhält ein Bauer gegen Kinderlosigkeit von einer jalmoyizAlten einen Apfel, den er seiner Frau geben soll (bei Ostroumov bekommt ein
König mit drei Frauen drei Äpfel). Daran ist die Bedingung geknüpft, der
jalmoyiz das daraus hervorgehende Kind nach sieben Jahren in die Lehre zu
geben. Das geschieht auch gegen das Sich-Sträuben des Bauern. Als dann die
jalmoyiz das Kind hinwegführt, begegnet ihnen eine barmherzige pari, die dem
Jungen eröffnet, daß es eine jalmoyiz sei, mit der er geht; sie werde ihn Fett
braten lassen und dabei in den Kessel stoßen wollen. Deshalb solle er sich
dumm stellen, die jalmoyiz veranlassen, ihm erst zu zeigen, wie man Fett ausläßt, und sie dabei selbst in den Kessel stoßen. So geschieht es auch. Danach
wäscht sich der Junge im Haus der jalmoyiz, bekommt davon goldene Haare
und macht sich verschiedene Geister, die er aus der Macht der jalmoyiz befreit,
dienstbar. Mit ihrer Hilfe gelingt es ihm später, als er unerkannt und verachtet
der jüngste Schwiegersohn eines Königs mit drei Töchtern geworden ist, die älteren Schwiegersöhne des Königs vor diesem auszustechen. So die Taschkenter
Variante Ostroumovs und die usbekische Variante (1955, 1981, 1985).
Nach der Kokander Variante Ostroumovs kommt der Held bereits mit goldenen Haaren als Sohn der zweiten Frau des Königs auf die Welt. Anstelle der
jalmoyiz- Alten steht Sajton, der gegenüber dem König als Derwisch (divona)
auftritt; und die barmherzige pari wird durch einen Kopf ersetzt,8 der vorüberrollt, sich als Kopf eines Königssohnes ausgibt, der von Sajton bereits verspeist
wurde, und der dem Helden die nötige Aufklärung gibt.
5

Märchen der Usbeken. Samarkand/Buchara/Taschkent, hrg. und übers, von Ilse LAUDECLRTAUTAS, Köln 1984, S. 76-84.
6

Üzbekchalq ertaklari, hrg. von S. SAJDALIEVA, TaJkent 1981, S. 137-142, 287; Oltin beiik.
Ertaklar (Üzbek chalq igodi. Küp tomlik), zusammengestellt von M. AFZALOV und K. IMOMOV, TaSkent 1985, S. 114-119, 252.
7

J. TICHY, Der fliegende Teppich. Märchen aus Kasachstan und Usbekistan, Zürich-Stuttgart
1968, S. 169-178; Der halbe Kicherling. Usbekische Märchen, hrg. und übers, von Jakob TAUBE,

Leipzig 1990, S . 79-85.
8

Eigentlich lütte man an der Stelle einen Vogel zu erwarten.

Märchen und Brauchtum als religionshistorische Quellen

293

Interessant und etwas rätselhaft sind nun die Haare des Jungen. Wieso wurden sie golden, als er sich im Haus der jalmoyiz
wusch? Wieso hat er
überhaupt Haare auf dem Kopf, da doch den Jungen in Mittelasien von einem
bestimmten Alter an das Haupthaar üblicherweise geschoren wird? Außerdem
macht der Titel des Märchens deutlich, daß es sich nicht um Haare schlechthin,
sondern um einen Zopf handelt, vielleicht auch mehrere. Warum erkennt beim
ersten Besuch in der Stadt nur die jüngste Tochter des Königs den goldenen
Zopf, warum verbirgt ihn der Held dann unter einer abgewetzten Kappe? Und
warum nimmt er am Ende, als er die vorgezogenen älteren Schwiegersöhne des
Königs als seine Sklaven entlarvt, so demonstrativ seine Kappe ab und zeigt
den goldenen Zopf, als ob damit irgendetwas erklärt würde? Zur Beantwortung
wenigstens einiger dieser Fragen soll nun ethnographisches Material aus dem
Bereich der Glaubensvorstellungen herangezogen werden.
In seiner grundlegenden Arbeit über die Glaubensvorstellungen der Usbeken
in Chorezm beschreibt G. P. Snesarev9 eine dort noch lang verbreitete Sitte,
nach der kinderlose Eheleute zu einem Heiligtum (mazor) und einem Ischan
(eSon) pilgern und geloben, diesen das erste Kind zu weihen, das sich einstellt.
(Ahnliche Versprechungen gab man z. B. auch für den Fall der Heilung von
einer schweren Krankheit.) Ein solches Kind nennt man topSirilgan bola "ausgehändigtes/übergebenes Kind". Es gilt nicht als das der leiblichen Eltern, was
nicht nur symbolisch gemeint ist: Kinder dieser Art werden nie geschlagen oder
ausgeschimpft, nach sieben bis neun Jahren (oder: sieben oder neun Jahren?)
werden sie dem Scheich (.tojch) des entsprechenden Heiligtums oder dem
Ischan (eSon) übergeben, damit sie diesen dienen, und mitunter bleiben sie ihr
ganzes Leben in deren Familien. Im Falle von Mädchen verheiratet sie der entsprechende Geistliche, zuweilen in der eigenen Verwandtschaft (um den Verwandten ein Sonderangebot zu machen?), und er erhält auch den vollen
Brautpreis (qalym), zuweilen jedoch auch nur den halben, was vielleicht eine
relativ späte Erscheinungsform des ganzen Phänomens ist. Ebenfalls erst eine
jüngere Erscheinung könnte sein, daß diese Kinder von den leiblichen Eltern
vom Geistlichen für ein Lösegeld zurückgekauft werden können.
Zum Zeichen ihrer Weihe läßt man diesen Kindern ein Zöpfchen auf dem
Kopf stehen, das kokul oder hajdar genannt wird. Dieses Zöpfchen wird zum

G . P. SNESAREV, Relikty domusul'manskich verovanij i obrjadov u uzbekov Chorezma, Moskva
1969, S. 95f.; zum weiteren siehe ebenda.

9

Jakob Taube

294

Beschneidungsfest ( s u n n a t tüji) oder zu einem besonderen Zopf-Fest ( k o k u l tüji)
im Alter von sieben bis neun Jahren (oder: sieben oder neun Jahren?) abgeschnitten, wenn das Kind dem Geistlichen übergeben wird. Der abgeschnittene
Zopf wird von den Eltern sorgfaltig aufbewahrt oder bei dem Grab des Heiligen, dem das Kind geweiht ist, begraben.
Setzt man diese Mitteilungen Snesarevs mit dem oben besprochenen Märchen in Zusammenhang, so kann man annehmen, daß es sich bei dem Zopf des
Kindes dort um ein ebensolches Weihezeichen handelt, welcher jedoch — entgegen der ethnographischen Information — nicht bei der Einlösung des Gelübdes, der Übergabe des Kindes, abgeschnitten wird. Zugleich macht dieser
Fall die Wichtigkeit genauer Übersetzung deutlich: Es darf in der Übersetzung
der Märchentitel demnach nicht "carevic s zolotymi volosami"2, "Prinz Goldhaar" 3 , "Der goldlockige Jüngling"5, "Goldenhaar" (Tichy) 7 oder "Der Jüngling
mit den Goldzöpfen" (Der halbe Kicherling)7 heißen, sondern "Der goldzöpfige
Jüngling"; das ist um so wichtiger, als es fast der einzige Hinweis auf den Zopf
im ganzen Märchen ist.10 Darüber hinaus bietet das Märchen Hinweise
darauf, daß in Übereinstimmung mit der ethnographischen Parallele die
leiblichen Eltern nicht als die eigentlichen Eltern des Jungen aufgefaßt werden.
So kehrt der Junge nach dem Tode der jalmoyiz nicht zu den Eltern zurück,
wie man eigentlich erwarten könnte, und gegenüber Dritten bezeichnet er sich
selbst als Waise (Taschkenter Variante Ostroumovs und usbekische Variante).
Auch am Ende des Märchens kehrt er nur in der Kokander Variante von
Ostroumov und in der usbekischen Variante (1955, 1981, 1985) zu seinen
leiblichen Eltern heim, während er nach der Taschkenter Variante Ostroumovs
bei seinem Schwiegervater, dem König, bleibt.
In dem tadshikischen Märchen "Chaidar-Kokul und seine Tiere"11 ist vermutlich das gleiche Motiv enthalten, aber offenbar entstellt. Es wird erzählt,
daß ein Mann und eine Frau lange keine Kinder hatten: "Endlich wurde ihnen
ein Sohn geboren. Sobald ihm das Haar etwas gewachsen war, flocht seine
Mutter ihm ein Zöpfchen und nannte ihn Chaidar-Kokul." 12 Das Flechten des
10
Lediglich in der Variante aus Taschkent von Ostroumov sind "Zöpfchen" (kosicki) des Helden
erwähnt, als er sich das Haar in Gold färbt.
11

Die Sandelholztruhe. Tadshikische Volksmärchen, aus dem Russischen von M. SPADY, Berlin
1960, S. 186-197; letztlich nach: Afsonahoi chalqii togiki, hrg. von K. AMONOV und K. ULUGZODA,
Stalinabad 1957.
12

Die Sandelholztruhe...,

S. 186.

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295

Zöpfchens wird als Begründung des Namens angeführt; warum die Mutter
überhaupt ein Zöpfchen flicht, wird dagegen nicht begründet. Die Erwähnung
der langen Kinderlosigkeit der Eltern, die beziehungslos in dem Märchen
bleibt, könnte jedoch ein Hinweis darauf sein, daß das Motiv einer Weihe des
ungeborenen Kindes — vielleicht verbunden mit der Verleihung eines wunderbaren, kindersegenbringenden Apfels — in dieser Variante verlorengegangen ist.
Vor diesem Hintergrund bekäme die Tatsache des Zöpfchens, die sonst ebenso
wie die Erwähnung der langen Kinderlosigkeit der Eheleute sinnlos bliebe,
einen konkreten Sinn. Interessant ist der Fortgang der Handlung: Auch in
diesem Märchen kommt es sozusagen im Nachhinein zu einer Weihe, denn der
Vater verpfändet das Kind einem bösen Geist, den er versehentlich heraufbeschworen hat, um das eigene Leben zu retten. Dieses Geistwesen wird in
dem tadshikischen Märchen zwar als Dew bezeichnet, es tritt aber zuerst als
"frische rote Schafleber" 13 auf, die dem Pferd des Vaters im Wege liegt. Als
er diese mit dem Peitschenstiel beiseite schieben will, springt eine "schrecklich
anzuschauende klapprige Alte aus ihr heraus", 14 die ihn für die Störung
strafen will und die sich dann in einen Dew verwandelt. Dies, wie auch das
Ende des Dew, der in einem Teich, in den er geflohen ist, von den Hunden des
Chaidar-Kokul zerrissen wird, weist darauf hin, daß es sich bei ihm wohl um
ein weibliches Geistwesen von der Art der jalmoyiz handelt, wie eine weitere
usbekische Variante dieses Märchens15 belegt.
Ich denke, daß manche, wenn auch nicht alle, der eingangs in Zusammenhang mit den goldenen Haaren des Jünglings gestellten Fragen damit beantwor-

13

A. a. O., S. 187.

14

Ebenda. Man beachte die Berührung mit dem Peitschenstiel, die den Geist nach dessen Aussage
aus dem "unterirdischen Reich" heraufzwingt, was im Zusammenhang mit dem 2. Teil dieses Vortrags über die Symbolik des Stechens von Bedeutung ist, da in anderen Varianten z. B. mit einer
Fangstange nach einer im Wasser treibenden Lunge gestochen wird, die daran hängenbleibt und sich
in den Geist verwandelt, vgl. E. TAUBE, Tuwinische Volksmärchen, Berlin 1978, S. 268.
15
"Die Jalmaghiz", in: Märchen der Usbdien, hrg. von I. LAUDE-CIRTAUTAS, Köln 1984, S.
98-102. In diesem Märchen ist allerdings weder von langer Kinderlosigkeit der Eltern oder von
einem Zopf des Helden die Rede noch von einer Verpfändung des Jungen an ein Geistwesen durch
den Vater, wie in der tadshikischen Variante dieses Märchens (und auch in zahlreichen weiteren
Varianten zentralasiatischer Türkvölker, siehe a. a. O., S. 260), sondern der Junge vergißt einfach
eine goldene (!) Murmel beim Wechsel des Weideplatzes, und er trifft auf den Geist, als er sie holen
will.

296

Jakob Taube

tet werden konnten.16 Nun will ich zeigen, wie auch umgekehrt die Analyse
der Märchen unsere Kenntnis von den Glaubensvorstellungen bereichern kann.
In einer Arbeit über die usbekische Schamanentrommel vermerkt V. N. Basilov
folgendes eigenartige Detail: Während Feldforschungen in Usbekistan (Oblast'
Surchandar'ja, Kaäkadar'ja und Dzisak, dort insbesondere Rayon Gallja-aral)
in den Jahren 1973-1975 fand er häufig, daß in der Mitte des Fells von Schamanentrommeln mit einer Nadel mehrere Vertiefungen eingedrückt worden
waren, oder das Trommelfell war ganz durchstochen.17 Von der Schamanin
(baqSi) Nobat (66 Jahre, Rayon Gallja-aral) erfuhr er, daß ein Loch genau in
der Mitte gemacht werden müsse und die restlichen Löcher und Vertiefungen
darum herum, "weil sonst die Trommel keine Stimme habe". 18 Die Schamanin
Ajdaj (67 Jahre, Rayon Gallja-aral) stach einige Löcher in das Trommelfell,
nachdem sie es neu aufgezogen hatte, weil das alte zerschlissen war. 19 Die
Schamanin Marzija (62 Jahre, Rayon Gallja-aral) erklärte, daß der
Trommelfellwechsel eine spezielle Zeremonie sei, die fast alljährlich einige
Zeit nach der wiederholenden Weihezeremonie durchgeführt werde. Während
dieser Zeremonie wurden mit einer Nadel vierzig Löcher in das neue
Trommelfell gestochen.20 V. N. Basilov führt aus, daß diese Löcher meist für
die ciltan oder qirq qiz angelegt wurden,21 also Geister, die als schamanische
Schutzgeister aufzufassen und in der Vorstellungswelt eng miteinander verbunden sind oder sogar miteinander verschmelzen. Dazu gibt er folgende
interessante Erklärung der Schamanin Ajkumar (73 Jahre, Rayon Gallja-aral)
wieder: "Für die 41 ciltan stechen wir (die Löcher) ... Aus den Löchlein
kommt ihre Stimme zu mir. Die 41 ciltan, die während der Zeremonie
erscheinen, befinden sich vor mir ... Dafür mache ich auch die Löchlein, durch

16

Eine Parallele zu diesem Vorstellungskomplex bildet die Geschichte um den biblischen Simson,
der seinen Eltern nach langer Kinderlosigkeit und zwei Verkündigungsvisionen geschenkt wird, der
bereits im Mutterleib als dem Gott geweiht gilt (Richter 13, 2-5, 9-11) und dem zum Zeichen dieser
Weihe das Haar nicht geschoren werden darf, weil er sonst seine göttliche Kraft verliert und allen anderen Menschen gleich wird (Richter 16, 17).
17
V.N.BASILOV, "Novye materialy o Samanskom bubne uzbekov", in: Polevye
tuía étnografli 1975, Moskva 1977, S. 117-128; S. 122.
18

Ebenda.

"

A. a. O., S. 123.

20

Ebenda.

21

A. a. O., S. 124.

issledovanijaInsti-

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297

die Öffnungen sind sie mir sichtbar und sagen, welches die Ursache der
Krankheit ist, was man tun muß." 22 V. N. Basilov weist darauf hin, daß die
Symbolik des Durchstechens des Trommelfells rätselhaft sei und daß es keine
ethnographischen Parallelen dazu gibt.23 Wir wollen daher sehen, ob wir von
der mündlichen Überlieferung, insbesondere den Märchen, über die Symbolik
des Stechens, die Symbolik der Nadel, aber auch anderer spitzer Eisengegenstände wie Messer, Dolch und Schwert, Auskünfte erhalten.
Ein Motiv, das hier von Interesse ist und das ähnlich z. B. auch im
deutschen Märchen vorkommt,24 findet sich in dem Märchen "Bektemir
Botir". Darin hängt der Held, bevor er zu seiner großen Reise aufbricht, ein
Schwert an die Decke seiner Kammer und spricht dazu: "Wenn von diesem
Schwert Blut tropft, so wißt, daß Bektemir gestorben ist, und trauert um ihn.
Wenn kein Blut tropft, so wißt, daß Bektemir oberhalb der Erde und gesund
ist!"25 Zwischen dem Schwert des Helden und seinem Befinden, seinem
Leben, besteht also irgendein Zusammenhang. Welcher Art dieser
Zusammenhang ist, zeigt das Märchen "Dschulek-Batür", in dem der Held zu
seiner Frau sagt: "Ich ließ die Herrschaft, Geld und Gut, Ehren und Truppen
und zog aus meinem Reich hinaus, nur mit einem Pferd, einer Peitsche und
diesem Dolch hier versehen, in dem sich meine Seele befindet. Solange der
Dolch in meinen Händen ist, kann mich niemand töten und in die Hand
bekommen, aber wenn mir der Dolch durch irgendwen aus der Hand gerissen
wird, so muß ich auf der Stelle sterben."26 Auch in dem Märchen "Kilitsch
Kara" behauptet der Held: "Meine Seele ist in diesem Schwert." 27 Als es ihm
durch eine listige Alte nachts gestohlen und in einen Fluß geworfen wird, 28
stirbt der Held; und er erwacht erst wieder zum Leben, nachdem man das

22

Ebenda.

23

A. a. 0 . , S. 127f.

24

"Die zwei Brüder", J. und W. GRIMM, Kinder- und Hausmärchen, Nr. 60.

25

Der halbe Kicherling, S. 197.

26

Märchen aus Turkestan und Tibet, S. 68f.

27

Märchen der Usbeken, S. 122.

28

Man denkt sogleich an albasti, die Lunge, Leber oder Herz der Wöchnerinnen entreißt und diese
ebenfalls in ein Gewässer zu werfen trachtet, und in der angegebenen Variante heißt es tatsächlich
einmal auch "Alwasti-Zauberin" (a. a. O., S. 120). In einer Variante (Kenga Botir. Ertaklar, hrg.
von M. AFZALOV, Taskent 1972, S. 143-149 = Oltin BeSik. Ertaklar, Taäkent 1985, S. 234-240) ist
lediglich von einer listigen Alten die Rede (S. 146).

Jakob Taube

298

Schwert aus dem Fluß herausgeholt und dem Helden auf die Brust gelegt hat.
In dem tadshikischen Märchen "Held Dickbär"29 aus Ura Tjube besiegt der
Held einen anderen Recken im Kampf, töten ihn auf seine Bitte jedoch nicht.
Sie beschließen, einander wie Brüder zu werden, und vor der Trennung reicht
der Besiegte dem Helden eins von zwei Schwertern, die er bei sich führt. Diese
Geste könnte als ein Zeichen des Eingeständnisses der Niederlage durch den
Besiegten aufgefaßt werden, der sein Leben verwirkt hat und es nun
symbolisch mit seinem Schwert in die Hände des Siegers legt.
Einen weiteren Aspekt dieses Vorstellungskreises eröffnet folgende Stelle
aus dem Märchen "Bektemir Botir". Der Held — nachdem er glücklich die ihm
vom Schicksal bestimmte Frau in der Fremde errungen hat — will auf dem
Heimweg etwas ruhen. Er sagt zu seiner Frau: "Wenn ich schlafe, weckt mich
vierzig Nächte und vierzig Tage lang nicht. Wenn aber irgendetwas geschieht,
stecht eine Nadel in meine Ferse, dann werde ich erwachen." 30 Er legt den
Kopf auf die Knie der Geliebten und schläft ein. Daß der Held ausgerechnet
durch den Stich mit einer Nadel geweckt werden will, könnte ein Zeichen dafür
sein, daß es sich entweder nicht um einen gewöhnlichen Schlaf handelt oder
daß mit dem Schlaf generell bestimmte Vorstellungen verbunden sind, die heute
ungewöhnlich erscheinen. Deshalb wollen wir kurz auf die Vorstellungen vom
Schlaf eingehen, wie sie in den Märchen zum Ausdruck kommen.
Ebenfalls in dem Märchen "Bektemir Botir" wird der Held vom Vater
seiner Braut mit einem Dolch getötet. Durch einen weißhaarigen Alten, der die
Liebe des trauernden Vaters des Helden beruft und der ein Gebet spricht, wird
der Held wieder zum Leben erweckt. Mit den Worten "Ich hab aber lange geschlafen"31 erwacht der Held und steht auf. Der Umstand, daß der Held den
eigenen Tod offenbar als langen Schlaf erlebt hat, könnte für die Nähe von
Schlaf und Tod in den Vorstellungen der Märchen sprechen. Zugleich ist damit
ein Beispiel für die Symbolik des Stechens gegeben, nämlich die der Tötung,
des Sterbens, durch einen Dolch.
Auch in einem weiteren Beispiel wird der Zustand des Schlafes mit dem des
Todes verglichen. In dem Märchen "Kendscha Botir" will der Held einen wun29

Märchen vom Dach der Welt. Überlieferungen der Pamirvölker,
LEVIN, Köln 1986 (Märchen der Weltliteratur), Nr. 14, S. 111-119.
30

Der halbe Kicherling, S. 203.

31

A. a. O., S. 207.

hrg. und übers, von Isidor

Märchen und Brauchtum als religionshistorische

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299

derbaren Baum bewachen, von dem ein geheimnisvoller Dieb immer die
Früchte stiehlt; dabei kommt ihn der Schlaf an, und er spricht: "Uh Schlaf, an
manchen Tagen machst du die Menschen den Toten gleich, hinderst sie nicht
selten, ihre Arbeit zu vollenden."32 Die Art, wie der Held letztlich den Schlaf
überwindet — er schneidet sich mit einem Messer in die Ferse —, ist hier ebenfalls von Interesse, weil sie möglicherweise neben die obigen Beispiele gestellt
werden kann, in denen das Messer als Sitz der Lebenskraft, der "Seele", verstanden wurde, und weil sie vielleicht — wie auch das Sich-stechen-lassen des
Helden zum Aufwecken — auf eine weitere Symbolik des Stechens, nämlich
eine "belebende" Bedeutung, aufmerksam macht.33
Diese Symbolik des Stechens als Belebung ist wie gesagt aus den Märchen
nicht so eindeutig abzuleiten, wie die einleuchtendere und oft belegte des
Tötens/Sterbens oder wie die des Dolches oder des Schwertes als Ort der
menschlichen Lebenskraft. Sie steht für die aus den Märchen vorgelegten Beispiele unter dem Vorbehalt einer Analogie oder Gleichwertigkeit von Schlaf
und Tod und der von Messer/Dolch/Schwert und Nadel. So kann hier nur die
Frage gestellt werden, ob nicht die oben beschriebenen Bräuche des Durchstechens des Felles von Schamanentrommeln als eine Belebung der Trommeln
als Voraussetzung für ihre rituelle Funktion anzusehen sind. Grundsätzlich für
solche Bräuche der Belebung von Schamanentrommeln lassen sich nun allerdings ethnographische Parallelen aus dem Altai und aus Südsibirien beibringen,
auch wenn dort nicht von einem Durchstechen der Trommelfelle mit Nadeln
die Rede ist.34
Die angenommenen Bedeutungen des Stechens als Tötung und Belebung
scheinen nun recht gegensätzliche zu sein. Sie finden jedoch einen
gemeinsamen Nenner, wenn — entsprechend schamanischen Vorstellungen —
beide allgemeiner als Übertritte von einer Welt in die andere aufgefaßt werden,
32

A. a. O., S. 136.

33

Aus der Analyse der Ornamentik von tadshikischen und usbekischen Stickereien ergibt sich, daß
die Symbolik von Messer, Dolch, Schwert und Nadel in vielen Aspekten analog der des Wassers (Lebenswassers) ist; vgl. dazu den Abschnitt "Lebenszeichen" in: J. TAUBE, ZU Welt und Leben in
Stickereien und Märchen seßhafter Mittelasiaten. Untersuchung zur Geschichte von Weltsieht, Inauguraldissertation, Halle 1990 (Manuskript).
34

Vgl. L.P.POTAPOV, "Obrjad ozivlenija äamanskogo bubna u tjurkojazycnych piemen Altaja",
Trudy Instituía étnografii, Bd. 1, Moskva-Leningrad 1947; und: S.I.WEINSTEIN, "Die Schamanentrommel der Tuwa und die Zeremonie ihrer 'Belebung'", Glaubenswelt und Folklore der sibirischen
Völker, Budapest 1963, S. 359-367.

300

Jakob Taube

denn sowohl das Sterben als auch das Zum-Leben-kommen können als solche
Übertritte verstanden werden. Vielleicht lohnt es sich vor diesem Hintergrund
auch, über die Bedeutung von Manipulationen mancher Schamanen mit
Messern während der Zeremonie nicht allein als fakirische Proben oder
Darstellung des Erlangthabens des anderen Zustandes, sondern auch als
funktionales Moment gerade zum Vollzug des Übertritts neu nachzudenken.
Ich fasse zusammen: Die Märchen entstammen einer völlig anderen, möglicherweise viel älteren Schicht der kulturhistorischen Entwicklung der Menschen als das Brauchtum, das zumindest bis in die erste Hälfte unseres Jahrhunderts noch lebendig war. Das zeigt sich unter anderem darin, daß manche
Geistgestalten, die — wie z. B. die jalmoyiz — in den Märchen vorkommen, im
Brauchtum überhaupt keine Rolle spielen, während andere, denen vielfältige
Bräuche gewidmet sind wie albasti oder agina, in den Märchen fast nie auftauchen. Das könnte bedeuten, daß die Gestalten der Märchen aus einer größeren Distanz betrachtet werden als die des Brauchtums. Überschneidungen,
Interferenzen zwischen beiden Überlieferungsketten gibt es an den Stellen, an
denen sich im Brauchtum archaische Details erhalten haben, deren Bedeutung
den ausübenden Personen mitunter nicht mehr geläufig sind, die aber durch die
Analyse der Symbolik der Märchen erschlossen werden können. Und ebenso
gibt es in den Märchen Motive, die offenbar aus der Schicht des lebendigen
Brauchtums stammen und die aus den Märchen selbst heraus nicht verstanden
werden können, sondern der erhellenden Kenntnis des Brauchtums bedürfen.

The

yaril

Sacrifice to the Ancestors in the Cult of
Cinggis Qayan'
Elisabetta CHIODO, Bonn

The sacrifice to the ancestors, which is called yaril by the Ordos Mongols
of Inner Mongolia, is performed each spring on the occasion of qabur-un
cayan surug-un tayilya, "the ceremonies of the white herd of spring", in
honour of Cinggis Qayan. In April 1990, Prof. Klaus Sagaster of Bonn University and I made a journey to the Cinggis Qayan sanctuary of Ejen Qoroy-a in
Ordos with the purpose of seeing the "ceremonies of the white herd" and,
much to our surprise, we were allowed by the Darqad1 to attend the secret
ritual of yaril, which was performed in the following way:
At the beginning of the ceremonies sacrificial sheep, called sigiisii2 by the
Ordos, were placed on two trays, one small and the other one larger, and
offered to Cinggis Qayan. After that the Darqad performed various rituals
which will be not described here, being beyond the scope of this paper.
The Darqad brought a large wooden container and placed the meat from the
larger tray into it. They also brought a brass container and put the rest of the
meat into it. The Darqad, with the help of knives, began scraping the bones of
the sheep. When the bones were cleaned, they put them into a sack together
with the heads of the sheep. The Cargici3 placed two bottles of sayali-yin
1

A Russian translation of this paper was published in Ethnographic Review, Moscow, 1993, No.2.

1

The Darqad are the officials in charge of the cult of Cinggis Qayan. The Darqad who are in
charge of the ceremonies performed in honour of Cinggis Qayan each season claim to be the
descendants of Boyorci, while those who are in charge of the worship of the qar-a sülde, "black
standard", claim to be the descendants of Muquli. For detailed information about the history of the
Darqad see Klaus Sagaster, Die Weiße Geschichte (Cayan teüke). Eine mongolische Quelle zur Lehre
von den Beiden Ordnungen Religion und Staat in Tibet und der Mongolei, Wiesbaden 1976, 211 -222;
Sayinjiryal and Saraldai, Altan ordon-u tayify-a, Beijing 1983, 413-470.
2
Sigüsü is a whole sheep boiled to be offered on a special occasion. See Antoine Mostaert,
Dictionnaire Ordos, Peking 1944, 638a.
3

Cargici is the Darqad who plays both the cargi during the ceremonies in honour of Cinggis and
sings the so-called hymns in the "language of the gods" (see note 6). As for the cargi, it is a musical
instrument which consists of a wooden stick surmounted by a carved horse's head. At its base there
are nine flat, wooden plaques which produce a harsh sound when the Cargici plays the instrument.

302

Elisabetta Chiodo

ariki, "milk brandy", near the containers of meat. The milk brandy was poured
into the cayu4 and then in the hearth of Cinggis, which stood at the bottom of
the sacrificial table. The Irugelci5, holding a lamp in his right hand and a
qaday, "ceremonial scarf", in his left hand, recited irilgel, "well-wishing
formulae". The meat was distributed among the participants in the ceremonies;
this is called tugel, "distribution" or boyda-yin kesig", "the share of the Holy
(Cinggis)". Everybody ate their share of meat. The sack with the cleaned bones
in it was left near the hearth together with two bottles of milk brandy. The
public ceremonies ended and all the participants left the sanctuary. The sacrifice to the ancestors, i.e. yaril, is a secret ritual and nobody was allowed to
attend it. We waited until sunset in the house of a Darqad and, as soon as it
became dark, the yaril ritual began at 8 p.m.
The Darqad came from the sanctuary walking in procession. The first one
was an old man who carried the sack with the cleaned bones on his shoulders.
The Darqad following him held bottles of milk brandy and burning incense
sticks. They walked to a place called yaril-un sayu, "the place of yaril", which
was situated in a grove not far from the sanctuary. Three pyres were set up in
that place; the one in the middle was dedicated to Cinggis and his first wife
Borte and the other two to Qulan and Gorbeljin. One Darqad removed the
cleaned bones from the sack while the Irugelci held a bottle of milk brandy.
One of the Darqad threw the bones in the fire. Another Darqad put the milk
brandy and the heads of the sheep in the fire. The Irugelci told us to kneel
down, and all of us did so in front of the fire. Then, a bottle of milk brandy
was distributed among the participants. The Cargici who was holding incense
sticks moved three times around the pyres, followed by the other Darqad. The
yaril ritual ended and the Darqad left the place of the sacrifice. The old Darqad
who was in charge of the bones took away the empty sack. When the Darqad
left the place where yaril was performed, they walked quickly in procession

The shape of the cargi is reminiscent of the shaman's drum-stick. See A Itan ordon-u tayify-a, 16;
Elisabetta Chiodo, "The Book of the Offerings to the Holy Cinggis Qayan. A Mongolian Ritual
Text". Part II, ZAS, Vol.23, 1992/1993, 108-110.
4

cayu is a ritual vessel. It consists of two small soldered bowls side by side placed in the middle
of a small silver tray. See Alton ordon-u tayily-a, 16.
5

Irugelci is the Darqad who recites both iriigel, "well-wishing formulae", and other prayers
during the ceremonies in honour of Cinggis Qayan.

The yaril Sacrifice to the Ancestors in the Cult of Cinggis Qayan

303

without looking back, and, singing a hymn "in the language of the gods"
(tngri-yin kelef, they disappeared into the darkness.
Commentary
The sanctuary in which the ceremonies in honour of Cinggis Qayan are
performed is situated in Ejen Qoroy-a Banner, which is one of the seven
banners of Yeke Joo League in Inner Mongolia. The territory which includes
the seven banners is called Ordos. The sanctuary was built in 1956 and underwent renovation up to 1987. Before the construction of the sanctuary, the
ceremonies in honour of Cinggis were performed in the naiman cayan ger,
"eight white tents",7 mentioned in the Mongol chronicles beginning in the 17th
century.8 Sayang Secen in his Erdeni-yin tobci tells us that it was the custom
of the Mongol emperors to be enthroned in front of the "eight white tents".9
Among the ceremonies which are performed each season in honour of
Cinggis Qayan, qabur-un cayan surug-un tayilya, "the ceremonies of the white
herd of spring", are the most important and elaborate.10 The sacrifice to the
ancestors called yaril takes place in the evening before the celebrations of these
6

The hymns in the "language of the gods" (tngri-yin kele) are sung when sacrificial drink (sarqud)
is offered to Cinggis Qayan at the ceremonies performed in his honour each season, at yaril and at
the sacrifice to the "black standard" when sarqud is also offered. The hymns are not made up of real
words, but rather of exclamations which could have the function of emphasizing the mystic atmosphere of the ritual. They could also be regarded as invocatory formulae. With the exception of the
yaril ritual, the hymns are always accompanied by the cargi. See C. Zamcarano, "Kul't Cingisa v
Ordose. Iz puteSestvija v Juinuju Mongoliju v 1910 g . \ CAJ, Vol. 1, 1961, 208; W. Lüdtke, "Die
Verehrung Tschingis-Chans bei den Ordos-Mongolen. Nach dem Berichte von G.M. Potanin aus dem
Russischen übersetzt und erläutert". Archiv fir Religionswissenschaft, Vol. 25, Leipzig 1927, 99;
Rintchen, "Zum Kult Tschinggis-Khans bei den Mongolen". Opuscula Ethnologica Memoriae
Ludovici Biro Sacra, Budapest 1959, 17-22; B. Rintchen, Les Matériaux pour l'étude du chamanisme
mongol, Vol.I, Wiesbaden 1959, 109-113; Altan ordon-u tayily-a, 165-166, 305; Chiodo, "The Book
of the Offerings". Part II, 105-110.
1

Alton ordon-u tayily-a, 1-2, 368-388.

8

Alton tobci by Blo-bzan bstan-'jin: Ertnij chaadyn ündeslesen tör josny zochiolig tovclon
churaasan altan tovc chemeech orivoj. The Golden Summary •which Relates Briefly the Deeds of Civil
Governing Established by Ancient Emperors. Ed. Sa. Bira, Ulan Bator 1990, 127.
9

Erdeni-yin tobci. Mongolian Chronicle by Sayang Seien, Part I, Eds. Antoine Mostaert and
Francis Woodman Cleaves, Cambridge, Mass. 1956, 15.
10

For a description of the spring ceremonies in honour of Cinggis see Altan ordon-u tayily-a, 78102; Zamcarano, "Kul't", 194-234; Lüdtke, "Die Verehrung", 83-139; Sagaster, Weiße Geschichte,
346-349.

304

Elisabetta

Chiodo

ceremonies. Of course, the ceremonies performed in honour of Cinggis underwent modifications in the course of time, and nowadays they are performed in
a more simplified manner; however, they have retained some of their ancient
features. For this reason, I believe that these ceremonies are still a valuable
source for the study of ancient Mongol beliefs and practices. In the yaril, too,
modifications can be observed, but it is also interesting to note that some
ancient elements of the ritual have been preserved, such as the time of the
performance of the ritual, the secretiveness, the burning of cleaned bones of
sacrificial animals and the hurried departure from the place of the sacrifice. I
believe that, in order to have a more reliable picture of the yaril, it is worth
giving a brief account of the ritual as it was performed in the past.
The yaril ritual was performed in the evening of the 20th day of the 3rd
month. The Darqad in charge of yaril were the Otoy Iriigelci and the Kiy-a.
These Darqad were also in charge of the cult of Tolui, the youngest son of
Cinggis. The other Darqad and Tayiji, "the noble descendants of Cinggis", did
not perform this ritual. On the evening of the 20th day, according to the
custom established by the Otoy Iriigelci, each banner of Ordos had to offer
sarqud, "sacrificial drink, qar-a ariki, "brandy made from cereals", and yarilun qatayu, "bones with meat on them which are burned".
Before the ritual, the Otoy Iriigelci went to the comcoyu, the "double tent"
of Cinggis, and took the book of prayers called raril-un altan bicig, "Golden
Book of the yaril", and put it against his chest. When the Otoy Iriigelci and his
suite started out for the place where yaril was performed (yaril-un sayu), it
was customary to fulfil 81 bad omens. Therefore, they used to get into the
saddle from the wrong side and put their heels into the stirrups. With the whips
hanging from their little finger, they pulled the bridle using the index finger of
their hands, and rode northeast, which is the direction associated with evil.
When going to perform yaril they used to ride their horses very wildly and
smash into those whom they happened to meet on their way.
The first rite performed was yaril-un sibsilgen qoni, "the conjuration sheep
of the yaril". Having killed the sheep, they made divinations by investigating
the inner organs of the sheep. Then three pyres were set up in the yaril-un

11
Comcoy is the double tent of Cinggis. The two tents used to be placed on a platform and were
joined with a single door between them. The first gave access to the second. See Chiodo, "The Book
of the Offerings", Part II, 100-105.

The yaril Sacrifice to the Ancestors in the Cult of Cinggis Qayan

305

sayu. The firewood consisted of 27 pieces of an elm tree, which had to be
without knots, twigs and branches. The three pyres were set up nine paces
from each other. The one on the outmost side was dedicated to Cinggis and his
first wife Borte, the one in the middle to Qulan and the last one to Gorbeljin.
The Darqad in charge of the rite poured sir-a tosu, "boiled butter", on the
pyres in order to light the fire. Then they threw the bones with meat on them
into the fire and burnt them. Having then returned to the double tent of
Cinggis, they performed a dalalya, "ceremony of inviting prosperity". When
they did this, they put amusu, "porridge", in the dalalya konog, "pail used at
the dalalya", and they placed the foreleg of the "conjuration sheep" over the
porridge. Having placed the pail over the skin of the "conjuration sheep", four
Darqad performed the dalalya, moving the skin upwards and downwards. At
this dalalya it was not allowed to cry qurui qurui, but the hymns of the yarilun dalaly-a were sung. When the Otoy Iriigelci and his suite went near the
yaril-un yal, "the fire of the yaril", and, having sprinkled the cleaned bones
with kumiss, they burnt them in the fire. After then adding kumiss, sprinkling
it from a vessel, they bowed three times. At the conclusion of the ritual, they
drew lines in the ashes, and one carried the vessel on his back. Then all of
them moved around without looking back to the place where the sacrifice was
performed and left the double tent of Cinggis, singing the hymns of the yaril.
The Otoy Iriigelci and his suite used to return at a gallop.12
In analysing some of the most significant aspects of the yaril ritual which
I was able to see in April 1990, I shall begin with the distribution of meat
among the participants in the ceremonies. The distribution of sacrificial food
after the sacrifice is a very ancient Mongol custom. In §70 of the Secret
History of the Mongols the expression yekes-iin kesig13 is found. This expression refers to the share of meat offered in sacrifice to the ancestors, which is
distributed among those who performed the sacrifice.14 From the description
of the sacrifice to the ancestors contained in the Secret History of the Mongols
12
Alton ordon-u tayily-a, 132-140; the yaril ritual is also mentioned by Zamcarano, see "Kul't",
207-208; Henry Serruys, "The Cult of 6inggis-Qan. A Mongolian Manuscript from Ordos", ZAS,
Vol. 17, 1984, 29-62.
13
Igor de Rachewiltz, Index to the Secret History of the Mongols, Uralic and Altaic Series, Vol.
21, Bloomington 1972, 27.
14

Antoine Mostaert, "Sur quelques passages de l'Histoire secrète des Mongols", HJAS, Vol. 13,
1950, 287-308; Louis Ligeti, "Le Sacrifice offert aux ancêtres dans l'Histoire secrète", AOH, Vol.
X X W , 1973, 143-161.

Elisabetta

306

Chiodo

we learn that Ho'eliin, the mother of the future Cinggis Qayan, was not invited
to partake of the sacrificial food. As a consequence of her exclusion from the
important sacrifice to the ancestors, Ho'eliin lost her fortune and subjects.15
The distribution of sacrificial food and drink among the participants should
be regarded as a communal banquet which takes place at the end of a sacrifice,
and only when sacrificial meat and drink are distributed among the participants,
and then consumed, can a sacrifice be considered accomplished.
A share of sacrificial meat and drink is also regarded as a reward by those
who have performed a sacrifice. This aspect is especially evident in the
boyda-yin yeke manglai tiigel, "The great, supreme distribution of the Holy
(Cinggis)", which is a prayer recited on the occasion of Jun-u nayur-un
tayilya, "the ceremonies of the lake of summer". The prayer is not only a
commemoration of the Mongol nation and a celebration of the deeds of those
who gave their support to Cinggis to establish the Mongol empire, but also a
request for a tiigel, "share", which is regarded as a reward by their
descendants.16
Secretiveness is one of the ancient features of the yaril ritual which has
been retained up to the present day. In the past, the sacrifice to the princely
ancestors was performed only in the restricted circle of the heirs. When the
Qayan himself performed the ceremonies in honour of Cinggis, only his descendants altan uruy, "the golden family", were allowed to attend them. 17 In
the course of time the ceremonies became public, this means that the common
people were also allowed to attend the ceremonies, bring offerings and bow in
front of the shrine of Cinggis. However, the sacrifice to the ancestors, i.e.
yaril, always remained a secret ceremony performed only by the Otoy Iriigelci
in the past, and by all the Darqad nowadays.
The burning of cleaned bones as an offering is one of the most interesting
aspects of the yaril ritual. This type of offering is very ancient and, as I will
show, it can still be observed among the Mongols of different areas. Evidence
of the burning of bones among the medieval Mongols is found in Piano Carpi-

15
Igor de Rachewiltz, "The Expression Qajaru Inerti in Paragraph 70 of the Secret History", Studi
Orientali, Vol. IX, Indo-Sino-Tibetica, Studi in onore di Luciano Petech, Ed. P. Daffina', Rome
1990, 284.
16

Altan ordon-u tayily-a, 78-102.

17

Matériaux, 84-87.

307

The yaril Sacrifice to the Ancestors in the Cult of Öinggis Qayan

ni's account. He tells us that the Mongols made an idol to worship the first
emperor Cinggis, and they placed it on a cart in front of the palace-tent of
Giiyiig. To the idol were consecrated horses and other animals. When such
animals were killed, their bones were not broken but burnt in the fire.18 This
early information provided by Piano Carpini is of great value, since it allows
us to infer that the burning of the bones of sacrificial animals was also a type
of sacrifice to the ancestors.
The significance of the bones in Mongol culture is a complex subject which
deserves a separate study. However, the bones of sacrificial animals play a
predominant role in the yaril ritual, for this reason it is worth pointing out
some aspects of this important subject here.
The oppositionyasu — miq-a, "bone vs. meat", is deeply rooted among the
Mongols: bones are durable while meat is putrescent.19 Due to their durability, the bones are a symbol of family line continuity and are regarded as a link
between the ancestors and the descendants. The latter significance is attributed
to the tibia by the Western Mongols, who bow in front of this bone at weddings and place it behind the roof pole of their new yurt, i.e. in the same place
where, in the past, the ongyon, "family protective idols", were kept.20
The bones are believed to have the power of resurrection, but if the bones
of a person or animal are damaged, this power will be destroyed. This belief
is widespread among the Mongol herdsmen who, when killing an animal,
18
Anastasius van den Wyngaert, Sinica Franciscana. Itineraria et relationes fratrum
saeculi XIII et XIV, Florence 1929, 37-38.

"
20

minorum

Roberte Hamayon, "L'Os distinctif et la chair indifferente", EM, Vol. VI, 1975, 106-107.

Slawoj Szynkiewicz, "On the Kinship Symbolic Among the Western Mongols", Religious and
Lay Symbolism in the Altaic World and Other Papers, Ed. K. Sagaster in collaboration with H.
Eimer, Wiesbaden 1989, 379-385; other bones, such as the first vertebra (ama küßigiiii), the second
vertebra (qatan küfigüü) and the anklebone (siya) also have a deep significance for the Mongols.
Among the Qalqa the man who kills the animals of the family is called darqan kümün. A special
banquet (darqan qurim) is held after the killing of the animals at which the first vertebra of a sheep
or cow is offered to the man who killed them. When the man has eaten the bone clean, he stuffs it
with fat and sticks herbs into it. Then he takes the bone home and hangs it on the right side of the
jamb of the door. The Mongols believe that, although a person or animal are dead, their animating
principle is left in the vertebrae. This belief is evident in Mongol epics and folktales: the hero,
having killed the mangyus, hews both his first and second vertebrae with the sword in order to get
rid of him for ever. See Ke. Sampildendev, Malcin arad-un Jang üile-yin ulamfilal, Kökeqota 1989,
163-168; for the significance of the anklebone (si'a) in the Secret History see § 116; Jean-Paul Roux,
"A propos des osselets de Gengis Khan", Tractata Altaica Denis Sinor, Eds. W. Heissig, J. R.
Krueger, F.J. Oinas and E. Schütz, Wiesbaden 1976, 557-568.

308

Elisabetta

Chiodo

always leave its bones unbroken.21 In addition to that, the practice of burning
the bones of an animal, the meat of which was consumed, can also be observed
among the Mongol herdsmen.22
Bones are also burnt in the fire in order to destroy the enemies forever.
Examples of this belief can be adduced from Mongol epics and folktales which
relate the deeds of the hero and the fight against his enemies. The killing of his
most dangerous enemy, however, does not assure the hero that the enemy will
not come back again to harm him. For this reason, only when the enemy's
bones are burnt in the fire and are reduced to ashes, can the hero regard his
enemy as completely defeated.23
It is evident that the bones have a deep and diverse significance for the
Mongols. Therefore, the burning of the bones as an offering can be regarded
as a degeji, "the best of the offerings", and also as an ultimate offering due to
the fact that, when the bones of a sacrificial animal are burnt, its ties to this
world are lost forever.
Fire is one of the most important objects of veneration among the Mongols,
and its manifold qualities are well-known, being described in prayers recited at
fire worship. 24 In the yaril fire acts as a ritual instrument and as an inter-

21

Hamayon, "L'Os distinctif", 102-103.

22

Among the Qalqa, too, the custom of burning the first vertebra can be observed. The first
vertebra is always offered to the man who killed the cow or sheep. Omce the man has eaten the bone
clean, he pours strong milk brandy and salt on it and then burns it in the fire for the well-being of
the family whose animal was killed. The man also recites iriigel, "well-wishing formulae", in honour
of the first vertebra. See malcin arad-un Jang iiile-yin ulamfilal, 164-171; the Ordos hold a banquet
called siroi-yin qurim, "the banquet of the earth", three days after the burial of a family member.
After the banquet, at which a sheep is eaten, they go to the grave of the deceased and burn the bones
of the sheep on it. See Sa. Narasun, Ordos-un Jang ayali, Kôkeqota 1989, 345; it is interesting to
mention here that Piano Carpini was an eye-witness to this type of sacrifice in the 13th century. He
mentions women burning bones on the graves of their men. See Sinica Franciscana, 42^4-3; after a
sacrifice, the Erkiit, who are the descendants of the Nestorians who live in Ordos, distributed the
sacrificial meat among the participants, and in the evening the cleaned bones of the animal were
burnt by the officials in charge of the burning of the bones. See Antoine Mostaert, "Les Erkiit,
descendants de chrétiens médiévaux chez les Ordos", = Ordosica, Bulletin No. 9 of the Catholic
University of Peking, 1934, 7, 9.
23

Only a few examples of this familiar motif in Mongol epics and folktales will be quoted here.
See Allan yalayu kuu, 60, and Jôgei mifid kuti, 97, = Walther Heissig, Erzàhlstoffe rezenter
mongolischer Heldendichtung, Teil I, Wiesbaden 1988; Kebis toryan segiider, 41 and Aq-a degttti
qoyayula, = Jiryudai mergen, Ed. Rincindoiji, Qailar 1988.
24

Matériaux, 9-33; Ordos-un Jang ayali, 264-288.

The yaril Sacrifice to the Ancestors in the Cult of Cinggis Qayan

309

mediary which transmits the offering to the ancestors, i.e. Cinggis and his
wives. In prayers recited at fire worship the fire is described as follows:
deger-e tngri nebte coy-tu door-a etiigen eke nebte ilcitii25, "having glows
which penetrate Tngri above and heat which penetrates Mother Earth below".
The fire acts, therefore, as a link between Earth and Heaven. Due to its this
power, the fire is also regarded as a suitable messenger which announces to
Heaven not only the great events of human beings, but their minor ones as
well.26
As described above, when the yaril ended the Darqad left the place where
they had performed the sacrifice. When they did this, they walked quickly in
procession without looking back, singing a hymn in the "language of the gods".
The place of the sacrifice must be left quickly by those who have performed it,
because there can be no continuity between this world and the world of the
dead, the spirits. The immediate departure from the place of the sacrifice is
defined by J. S. Wasilewski as the "quick return" from contact with the sacred.27 Among the Mongols the custom of immediate departure from the place
of the sacrifice without looking back can be observed especially in connection
with the sacrifice to the ancestors and with burial rites. An early mention of the
custom of the "quick return" among the Mongols is found in Jourdan de
Severac's account. He says: "When the emperor dies, he is carried by certain
men with a great treasure to a certain place where they bury the body. Then
they run away as if the devil were after them". 28 In the manuscript Boyda
cinggis qayan-u takil-un sudur", "The Book of the Offerings to the Holy

25

Alton ordon-u tayify-a, 36.

24

Chinese sources inform us that when T'ai-tsung of the Kitans was enthroned, the officials were
ordered to burn firewood to announce to Heaven his accession to the imperial throne. See Wittfogel
and Sheng, History of the Liao Society (907-1125), Philadelphia 1949, 239; the Ordos believe that
the god of the fire leaves the family hearth a week before the end of the year and goes to inform
Heaven of the actions of the family members. Before the departure of the god of the fire, the Ordos
burn white and red paper in the hearth and say: yal-un burqan mordayulju bayin-a, "We are sending
off the god of the fire". The god of the fire will come back to the family hearth seven days later.
During these seven days the children are not allowed to make noise, scream or cry. However, we
can observe a Chinese influence in the performance of these rituals. See Ordos-un Jang ayali, 263,
289.
27

J.S. WasOewski, "Po smierci wedrovac. Szkicz zakresu etnologii swiata znaczen", Teksty, Part 4,
1979, 77-79.

28

Paul Pelliot, Notes on Marco Polo, 2 Vols., Paris 1959, here Vol. I, 334; V. V. Barthold, "The
Burial Rites of the Turks and the Mongols", CAJ, Vol. XIV, 1970, 208.

310

Elisabetta Chiodo

Cinggis Qayan", dated to the end of the 16th century or the beginning of the
17th century, which contains the rules of the ceremonies in honour of Cinggis
performed by the Qayan, it is clearly stated that, when the ceremonies have
ended, the Qayan must quickly return on horseback, without looking back at
the double tent of Cinggis in which the ceremonies were performed. 29

29

Elisabetta Chiodo, "The Book of the Offerings to the Holy Cinggis Qayan. A Mongolian Ritual
Text", Part I, ZAS, Vol. 22, 1989/1991, 213 and Part II, 111-113.

Stone and Bird.
A Motif of Mongolian Symbolism
Klaus

Sagaster,

Bonn

In 1989 Professor Friedrich Bischoff and I published a study on the legendary seal of Cinggis Khan.1 When dealing with the symbolism of the seal, my
attention was drawn to the obviously close connection between two of its
constituent elements, the stone and the bird, but I could not follow the track of
this connection.2 I shall try to do this now, although I am not able to communicate more than a few observations.
Mongol tradition, as attested in the chronicles of the 17th century and later,
says that the seal of Cinggis Khan was hidden in a stone. It was revealed by a
bird who sat down on that stone, thus pointing to its extraordinary contents.
This basic motif is told in different ways. There are two main variants: Some
chronicles, such as the Altan tobci of Lubsangdanjin, composed in 1655,
connect the story with the birth of Cinggis Khan.3 Other chronicles, such as
the Erdeni-yin tobci of Sayang Secen, written in 1662, connect the story with
the enthronement of Cinggis Khan.4 In both cases, the basic idea is the same:
a bird sits on a stone which contains the royal seal, the most important of the
regalia of the lord of the earth. In addition, the bird, by shouting cinggis
cinggis, reveals the name of the new lord of the earth.

1
F.A. Bischoff and Klaus Sagaster: "Das Zaubersiegel des Cinggis Khan". Gedanke und Wirkung.
Festschrift zum 90. Geburtstag von Nikolaus Poppe. Edd. Walther Heissig and Klaus Sagaster,
Wiesbaden, 1989, 38-66.
2

Loc.cit., 58.

3

Cf. Cleaves, Francis Woodman (Ed.): Altan Tobci. A Brief History of the Mongols by bLo.bzan
bsTan. 'jin with A Critical Introduction by Antoine Mostaert. Cambridge, Massachusetts, 1952, I,
26.
4

Mongol text and German translation: Isaac Jacob Schmidt: Geschichte der Ost-Mongolen und ihres
Fürstenhauses, verfasst von Ssanang Ssetsen Chungtaidschi der Ordus. St. Petersburg and Leipzig
1829; Mongolian text: M. Gö, I. de Rachewiltz, J.R. Krueger, B. Ulaan: Sayang Secen-. Erdeni-yin
tobci ('Precious Summary'). A Mongolian Chronicle of 1662. I. The Urga text transcribed and
edited. Canberra, 1990, 56.

312

Klaus Sagaster

It is striking that we find a similarly close connection between stone and
bird in the narration of the resurrection of Jesus Christ. When, according to St.
Matthew (ch. 28, verses 2,5,6), Mary Magdalene and the other Magdalene
came to see the sepulchre, "(2)...there was a great earthquake: for the angel of
the Lord descended from heaven, and came and rolled back the stone from the
door, and sat upon it. ... (5) And the angel ... said unto the women, Fear not
ye: for I know that ye seek Jesus, which was crucified. (6) He is not here: for
he is risen, as he said". Similar accounts are given by the three other
evangelists.5
In both the Mongolian and the new testamental tradition we observe the
same basic idea: A messenger—bird or angel—comes in order to reveal, by
means of a stone, an extraordinary event. In both cases, this event is decisive
for the history of mankind: It is the birth or the enthronement or the resurrection of the saviour-king.
Let us examine the two traditions in a more detailed way.
The Mongolian tradition speaks of a bird. As far as its symbolic meaning
is concerned, it seems to be irrelevant that the bird is sometimes described as
a small bird or a big bird or a lark or a bird resembling a lark or even a "birdlike lark as big as a cow". The sources attribute two different colours to the
bird: either black and blackish or five-coloured and five-coloured as a rainbow.
The Koke sudur, the famous historical romance of the late 19th century, states
that the five-coloured lark was resplendent. The bird is an omen, bringing luck
and happiness.6
Here we meet with two different symbolic conceptions. The black colour of
the bird obviously indicates the chthonic origin of this bird—a problem which
needs further investigation. The rainbow colour confirms that the bird is an
omen: The rainbow is well-known as a good omen, foretelling, for example,

5

Mark ch. 16, verses 1-6; Luke ch. 24, verses 1-10; John ch. 20, verses 1-12. All quotations from
The Holy Bible Containing the Old and New Testaments. Authorized King James Version. Oxford,
London, New York, Toronto, without year.

6

Bischoff/Sagaster, loc.cit., section 3 (Der Vogel), 56-59.

Stone and Bird

313

the birth of a great man. 7 But at the same time the rainbow connects the bird
with heaven, which predicts the extraordinary by means of a rainbow.
The new testamental counterpart of the Mongolian bird is the angel.
According to St. Matthew (ch. 28,v. 3) "his countenance was like lightning, and
his raiment white as snow". St.Mark (ch. 16, v. 5) changes the angel into "a
young man sitting on the right side, clothed in a long white garment". St. Luke
(ch. 24, v. 4) speaks of "two men ... in shining garments", and St. John (ch.
20, v. 12) confirms that St. Mark's young man and St. Luke's two men were
indeed angels: St. John says that two angels in white were sitting, "the one at
the head, and the other at the feet, where the body of Jesus had lain".
The white colour of the angels seems to indicate their heavenly connection8, like the rainbow colour of one group of the Mongolian birds. The
black colour of the other Mongolian birds is irrelevant as far as their function
is concerned: like the white angels and the five-coloured birds they are the
messengers of heaven, although neither in the Mongolian sources nor the four
gospels the heavenly origin of the rainbow-coloured birds and the white angels
is explicitly stated.9
The stone of the gospels must have been rather big, since one or two angels
were required to move it from the entrance of the sepulchre. St. Mark (ch. 16,
verse 4) discloses that the stone was very large.Nothing is said about the colour
or shape of the stone. The Mongolian sources, however, provide more detailed
information.10 The stone can be a "square stone" or even a "big square stone
7

Cf., for example, the Tibetan chronicle Hor-chos-'byun by 'Jigs-med rig-pa'i rdo-rje (1819), edited
and translated by Georg Huth: Geschichte des Buddhismus in der Mongolei, Part I (Tibetan text),
Part II (German translation), Strasbourg 1892 and 1896: p.I, 106/11,167 (Ran-byun rdo-rje); p.I,
146/11,233 (Fourth Dalai Lama Yon-tan rgya-mtsho); p.I, 191/11,303 (Third Pan-chen rin-po-che
dPal-ldan ye-ses).
8

White symbolizes light, purity, truth; it is very similar to blue, the colour of the firmament; in the
contest between heaven and earth blue and white unite against red and green. Cf. Gerd Heinz-Mohr:
Lexikon der Symbole. Bilder und Zeichen der christlichen Kunst. Düsseldorf and Cologne 1974, 100101.
9

Angels as heavenly messengers are well attested in the Jewish and Christian tradition. As heavenly
messengers they are equal in function with the messenger birds of the pagan tradition. The angels of
the gospels did not necessarily have wings, but this does not affect our argument. For angels in the
Jewish, pagan and Christian traditions see Reallexikon für Antike und Christentum 5, Bonn 1962,
particularly columns 54, 62, 64, 85, 110, 119, 125-126, 309-311. I am grateful to Professor Karl
Hoheisel, Bonn, for his advice in this matter.
10

See section 11,2 (Der Stein) in Bischoff/Sagaster, loc.cit., 52-55.

314

Klaus Sagaster

as big as a cow", i.e. a boulder, similar to the stone of the gospels. Its colour,
if mentioned, is black. Only the stone of the Erdeni-yin tobci is white. But, like
the colour of the bird, the colour of the stone is of no contextual importance.
In spite of all the differences in detail we may conclude that the Mongolian
and the new testamental traditions correspond in two main features: there is a
big stone which shows a close relation to a divine messenger - a bird and an
angel. At first glance, the relation between stone and messenger shows a
different character in both traditions. In the Mongolian tradition, the bird sits
down on the stone, revealing that the stone has a precious content, the royal
seal; thereupon the stone splits by itself, or it is broken by the father of
Cinggis Khan, and the royal seal appears. In the new testamental tradition, the
stone is removed by the angel, revealing that the precious contents of the
sepulchre, the body of Jesus, had disappeared. In the Mongolian tradition, the
stone is a treasury; in the new testamental tradition it is a barrier. The
functions of the two stones seem to be quite different. But on closer inspection
the difference disappears. In both cases, the stone is an obstacle which has to
be removed in order to reveal the extraordinary: the stone, once removed,
releases the miraculous body of the saviour-king who, through his resurrection,
fulfils the will of God, providing eternal protection for mankind. The broken
stone releases the miraculous seal of another saviour-king who, through his
deeds, fulfills the will of Heaven, similarly providing protection to mankind.
There is, of course, a difference in time: in the new testamental tradition stone
and bird are connected with the death and resurrection of Jesus. In the Mongolian tradition they are connected with the birth or with the enthronement of
Cinggis Khan, but not with his death. The consequence, however, is the same:
Cinggis, too, the son of Heaven who descended to earth in order to restore
peace and happiness, did not really die. He continues to live, in a deified form,
in order to protect his people.11
There is one more striking similarity between the Mongolian and the new
testamental traditions. According to the Mongolian sources, the bird is singing

11

For the present-day cult of Cinggis Khan cf. Klaus Sagaster, "Die Verehrung Cinggis Khans bei
den Mongolen". XXIV. Deutscher Orientalistentag vom 26. bis 30. September 1988 in Köln.
Ausgewählte Vorträge. Edd. Werner Diem and Abdoldjavad Falaturi. Stuttgart, 1990, 365-371;
Elisabetta Chiodo, "The Horse White-as-Egg (öndegen cayari). A Study of the Custom of
Consecrating Animals to Deities." Ural-Altaische Jahrbücher. Neue Folge Band 11. Wiesbaden
1992, 125-151.

Stone and Bird

315

for three days until the seal emerges from the stone.12 According to the
gospels, the sepulchre was found empty and the stone removed on the third day
after the death of Jesus. This similarity between the two traditions, however,
does not necessarily mean that there is a genuine connection between the
number three in general and the symbolic period of three days in particular to
the motif of stone and bird.
It may seem improper to compare Jesus Christ with Cinggis Khan. But this
kind of reasoning is a problem of the prejudiced western mind. The motif of
the stone and the bird once again shows that similar beliefs, similar hopes and
similar expectations may find similar expressions in the language of symbolism
of different times, cultures and religions.
I was not able to find another example of the motif of stone and bird. But
let me add one observation which came to my mind when meditating on the
questions of stone and bird. In a modern illustrated Mongolian booklet dealing
with the symbolism of peace, the well-known eight lucky signs of Buddhism
were supplemented by three symbolic elements: the wishing-jewel, the vajra
and the pigeon.13 Both the wishing-jewel, which is represented by a drawing
of the Three Jewels Buddha, Dharma, Sangha, and the vajra are stones; the
Tibetan term for vajra, rdo-rje, even reveals that the vajra is the "lord of the
stones". Do we have to suppose that the combination of the two kinds of stones
with the pigeon is a modern invention, or does it reflect a traditional idea? Is
the pigeon nothing but the "pigeon of peace", or is it a contemporary form of
the "bird"? I cannot answer this question.
I hope that further investigations will provide new materials which may
elucidate the little, but peculiar problem of the symbolism of stone and bird and
corroborate the conclusions of this paper.

12
13

Cf. Erdeni-yin tobci, ed. Schmidt, 70/71; Alton tobci, ed. Cleaves, I, 26.

The booklet was edited and commented by Klaus Sagaster: " Der Weiße Lotus des Friedens. Eine
moderne mongolische Interpretation buddhistischer Symbolik." Zentralasiatische Studien 12,
Wiesbaden 1978, 463-541.

316

Vom Sippenkult bis zum Staatskult
Käthe

URAY-KÖHALMI,

Budapest

Angaben über den Sippenkult besitzen wir eher von sibirischen Waldvölkern
bzw. Völkern, die in der Waldsteppenregion leben, wie den südsibirischen Türken, Burjaten und Tungusen, da im Steppengebiet schon keine intakten Sippen
mehr zu finden sind. Nomadenreiche bildeten sich aber selbstverständlich nur
im Steppengebiet. Dieses Problem wird durch den Umstand aufgehoben, daß
die reichsbildenden Stämme der Steppe nur ein-zwei Generationen von den im
Wald lebenden Sippen ihrer Vorväter entfernt sind. Sie lebten dereinst ebenso
wie ihre Zeitgenossen in den südsibirischen Urwäldern.
Den Werdegang eines Großreichs vom Wald bis zur Steppe können wir anhand eigener Quellen am besten in der Geheimen Geschichte der Mongolen
verfolgen, doch es gibt auch weitere Quellen.
Betrachten wir erst den Sippenkult der Wald- und Waldsteppenvölker und
die den Kult ausübenden Personen.
Es ist ein Gemeinplatz der Religionsethnologie, daß der Sippenkult aus dem
Ahnenkult, der Verehrung der Vorfahren erwachsen ist. Es liegt ja auf der
Hand, daß die Menschen von den Geistern ihrer Väter und Großväter Hilfe und
Schutz erhofften; die Väter bildeten die tief in Zeit und Transzendenz verankerten Wurzeln der Gemeinschaft, die Stütze und Halt bot. Den Wurzel-Vergleich
habe ich hier nicht nur als stilistisches Mittel verwendet; er enthält auch
tieferen Sinn. Oft wird nämlich die Sippe im Mythos und Ritus durch einen
Baum symbolisiert, dessen Stamm die Ahnfrau der Sippe bildet und in dessen
Ästen die Vogelseelen der noch ungeborenen Sippenmitglieder wohnen. Die
poetisch suggestivste Darstellung des Sippenbaumes findet man in der von Otto
Böhtlingk veröffentlichten jakutischen Epe "Er sogotoch"1. In den Epen und
Heldenerzählungen verschiedener türkischer und mongolischer Völker wird oft
der gold- und silberbelaubte Baum, mit dem Quell des Lebenswassers in seinen

OTTO BÖHTLINGK, Über die Sprache der Jakuten, St. Petersburg 1851, S. 86-88.

318

Käthe Uray-Kôhalmi

Wurzeln, als Hort der Lebenskraft der Sippe geschildert.2 Der Sippenbaum,
anders Schamanenbaum, erscheint aber nicht nur in Wort und Lied, sondern er
war zugleich auch ein realer Baum, meistens ein besonders starkwüchsiger
Laubbaum im heiligen Hain der Sippe, bei dem die Sippenfeste abgehalten
wurden. Der heilige Sippenbaum der alten Mongolen wuchs an einem
Qorqonaq Jubur genannten Ort und wird in § 57 und 117 der Geheimen
Geschichte der Monolgen in Zusammenhang mit der Wahl des Qutula zum
Khan und mit der Anda-Feier des Temüjin beschrieben.3 Nota bene: bei
keinem dieser Rituale wird ein Schamane erwähnt. Sippenbäume kommen auch
in den Riten und dem Brauchtum südsibirischer Türken und Tungusen vor. In
ganz Sibirien war der Brauch verbreitet, die Verstorbenen in Ästen oder
Baumhöhlen beizusetzen oder die Asche in Ledersäckchen im Sippenbaum
aufzuhängen. Die Vereinigung mit dem Baum der Sippe ermöglichte die
Wiedergeburt der Verstorbenen in ihrer alten Sippe. Mythen berichten nicht
nur von den Nestern der Seelenvögel im Sippenbaum, sondern auch von
Helden, die aus dem Baum geboren werden.4 Der Sippenbaum ist das Symbol
der alles besiegenden Lebenskraft. Zugleich ist der Sippenbaum auch Symbol
der Weltachse, durch die Himmel, Erde und Unterwelt verbunden werden. Im
Animismus der sibirischen Waldvölker überdecken sich die Symbole sehr
häufig. Bei den Riten wird der Sippenbaum als Weltachse durch einen hohen
Pfahl symbolisiert.
Die Weltachse geht durch den Nabel der Welt. Der Nabel der Welt ist der
Weltberg, und so sind wir auch schon beim Bergkult, dem anderen wichtigen
Prinzip des Sippenkultes. Bekannterweise werden die Berge von den Mongolen,
Türken, Tungusen, Koreanern, Japanern, Tibetern usw. für Gottheiten
gehalten, für die Herren eines gewissen Territoriums. Als Gottheiten fanden sie

2

ANISIMOV, A.F., Religija évenkov v istoriko-geneticeskom izucenii, Moskva-Leningrad, 1958, S.
58-61; K. U.-KÔHALMI, "Sibirische Parallelen zur Ethnographie der Geheimen Geschichte der
Mongolen". In: L. LIGETI (Hrsg.) Mongolian Studies, Budapest, 1970, S. 252-255.
3

O. VJATKJNA, Mongoly Mongol'skojNarodnojRespubliki, Moskva-Leningrad, 1960, S. 252-254;
J. SCHUBERT, Ritt zum Burchan-chaldun, Leipzig, 1963, S. 92-93; L. LIGETI, Histoire Sécrète des
Mongols, Budapest, 1971, § 57, 117.
4

ANISIMOV, a.a.O.; VJATKINA, a.a.O.; G. M. VASIL'EVIC, "Rannie predstavlenija o mire u
évenkov", in: Issledovanija i materialy po voprosampervobytnych religioznych verovanij: TIÈ n.S.
LI(1959), S. 183; DIES., Istoriceskij fol'klor Évenkov, Moskva-Leningrad 1966, S. 185; S.
KUASTORNYJ, "Drevneturkskaja religija: problemy rekonstrukcii i genezisa". In: Informacionnyj
Bjulleten', Spec, vyp., Moskau, 1987, S. 45-53.

Vom Sippenkult bis zum Staatskult

319

auch Platz im lamaistischen Pantheon.5 Die Ritualplätze der Sippen waren auf
Bergspitzen oder an Plätzen, von denen sich eine gute Aussicht auf den
heiligen Berg bot. Der heilige Berg konnte unter Umständen auch durch einen
Felsen vertreten werden; in diesem Falle wohnte der Herrengeist der Sippe im
Felsen bzw. war er der Felsen selbst. Der Herrengeist des Berges bzw. Felsens
war laut mythischen Erzählungen der Ahnvater der Sippe selbst, der sowohl in
menschlicher wie auch in tierischer Gestalt erscheinen konnte. Durch die
Dehnbarkeit der Symbole übernahm meistens der tiergestaltige Ahne oder die
Ahnin die Rolle des Herrengeistes des Wildes, so geschah es auch in der
Geheimen Geschichte der Mongolen.
Die Toten, die Vorfahren, wurden am oder im Berg (z. B. in Grotten,
Höhlen) begraben. Ahnlich wie im Falle des Sippenbaumes ist auch der heilige
Berg eine Stelle der Wiedergeburt. In den Epen kommen viele Helden aus
Bergen und Felsen zur Welt, darum rechnet auch der Berg zu den Sitzen der
Lebenskraft der Sippe. 6 Der Bergkult manifestiert sich bei den Mongolen auch
im Kult der Obo, der Steinsetzungen an Bergen und Pässen, und im OngonKult.
Über die Ideologie des Ongon-Kultes sind wir besonders durch die Publikationen von B. Rincen gut informiert. Danach soll die Freiseele des Verstorbenen nach gewisser Zeit zum Schützer, Ongon, der Nachkommenschaft
werden. Die Macht der Ongons von hervorragenden Persönlichkeiten wie
Sippenältesten, berühmten Jägern oder Schamanen reichte zeitlich und örtlich
weiter als die der unbedeutenden Angehörigen. Die reinen Seelen der Ahnen —
die Ongon — wurden meistens mit der Hilfe von Schamanen in Bergen, Flüssen, Felsen oder Bäumen angesiedelt. Sie erhielten auch Bildnisse aus Stein,
Holz, Pelzstücken und Textilien, oder einfach nur auf Papier gemalt.7 Ein

5

RINTSCHEN, "Schamanistische Geister der Gebirge Dörben Ayula-yin Ejed in urgaer
Pantomimen". In: Acta Ethn. Hung. 6(1958), S. 441448.
6
V.E. MAJNOGASEVA, "Obraz xuu-inej v xakasskom geroiceskom epose". In: Issledovanija po
jazyke ifol'kloru, Novosibirsk, vyp. I, 1965, S. 202-222; I.L. KYZLASOV, "Gora praroditel'nica v
fol'klore chakasov", SE 1982:2, S. 83-93; W. HEISSIG, "Felsgeburt und Bergkult". In: Fragen der
mongolischen Heldendichtung, Teil II, 1982, S. 16-36; D. SINOR, "The Legendary Origin of the

T ü r k s " . In: EAGLE VICTORIA ZYGAS, PETER VOORHEIS ( H r s g . ) , Folclorica:

Festschrift

for

Felix

J.

Oinas, Bloomington, 1982, S. 223-257.
7

RINCEN, "Dorna duchov u äamanov Prikosogol'ja". In: AOH XV(1962), S. 249-258; RINCHEN
YÖNGISIYEBÜ, "Everlasting bodies of the ancestral spirits in Mongolian shamanism". In: Studia
Orientalia Societatis Orientalis Fennica, vol. 47(1977), S. 175-180.

Käthe

320

Uray-Köhalmi

besonders interessantes Ongon fand der ungarische Archäologe Istvän Erdelyi
vor vier Jahren in der Wüste Gobi zwischen Bayan Sum und Dzuun Mod. Das
Wasser eines kleinen Baches wurde in einen kreisrunden Kanal geleitet; die so
entstandene, im Durchmesser ungefähr 32 Schritt breite Insel trug einen
Steinkreis, in dessen Mitte eine menschengroße Figur, aus Steinen zusammengestellt und in Frauengewand gekleidet, stand. Die Mongolen nannten sie
Ejchad 'Felsenmutter'. Ringsherum lagen rezente Opfergaben und Anzeichen
unlängst erfolgter Ritualhandlungen.8 Die Benennung 'Mutter' verbindet dieses
seltsame Denkmal mit dem Sippenkult, das Material mit dem asienweit
verbreiteten Steinkult, dessen schillerndes Kaleidoskop sich ins Unendliche
dehnt. Vom Steinkult führen die Fäden zum Knochenkult, Steine sind ja die
Knochen der Erde. Die Knochenverehrung kehrt wieder zur Sippe zurück —
bei Türken und Mongolen hieß doch die Sippe 'Knochen', seök, yasun.9
Das dritte bedeutende Prinzip im Sippenkult war das Wasser, nicht nur als
Lebensquell unter dem Sippenbaum, sondern auch als Sippenfluß, an dessen
Ufern im Diesseits die lebenden Sippenmitglieder, im Jenseits die
Dahingeschiedenen wohnten, und der ebenfalls für ein Symbol der Sippe galt.
Seen konnten auch eine Rolle in den Mythen der Sippen spielen, z. B. die drei
Feen, von denen die jüngste zur Ahnfrau der Mandschu wurde, badeten in
einem Bergsee.
Die Ausführer des Familien- und Sippenkultes waren gewöhnlich die
"Väter", die ältesten männlichen Mitglieder. Der Vater konnte, aber mußte
nicht, ein Schamane sein. Der Geheimen Geschichte der Mongolen zufolge
hatten sogar die Stammesoberhäupter Kultfunktionen. Bei der Ernennung des
Üsün Ebügen, des Sippenältesten der Ba'arin, zum Stammesoberhaupt der
Borjigin ordnete Cinggis Qan Ritualpflichten und besondere Kleidung für ihn
an.10
Wenn auch die Schamanen nicht unersetzlich im Sippenkult waren, bestand
doch eine sehr enge Bindung zur eigenen Sippe. Die wichtigsten Hilfsgeister
8

ERDELYI ISTVÄN, "R6g6szeti kutatöüton a Gobi sivatagban" [Auf archäologischer Forschungsreise
in der Wüste Gobi]. In: Keletkutatäs [Orientforschung], 1988 osz [Herbst], S. 77.
9

A. FRIEDRICH, Knochen und Skelett in der Vorstellungswelt Nordasiens, Wiener Beiträge zur
Kulturgeschichte und Linguistik, Wien 1943, S. 189-247; V. HAAS, Vorzeitmythen und Götterberge
in altorientalischer und griechischer Überlieferung. Vergleiche und Lokalisation, Universität Konstanz. Konstanz 1983, S. 12, 20.
10

LIGETI, a . a . O . , § 2 1 0 , 2 1 6 .

Vom Sippenkult bis zum Staatskult

321

der Schamanen waren die Geister, Ongons, der verstorbenen Schamanen seiner
Sippe. Zu den Pflichten des Schamanen gehörte der Schutz des Sippenterritoriums vor fremden, böswilligen Geistern, im Revier der Sippe die Vermehrung
des Jagdwildes zu sichern und die verstorbenen Seelen in die jenseitigen
Gebiete der Sippe zu geleiten.11 Bei den Tungusen bewahrten die Schamanen
die Mythen und das traditionelle Wissen der Sippe. Das Heilen gehörte nicht
zu den sippengebundenen Tätigkeiten der Schamanen. Es gab sowohl bei den
Tungusen als auch bei den Mongolen Personen, die gewisse Krankheiten heilen
konnten, andere konnten verlorene Gegenstände finden, und wieder andere
waren Hellseher. Diese Tätigkeiten waren nicht an die Sippe gebunden.12
Der Sippenkult und die Tätigkeit der Schamanen deckte sich also nicht
völlig. Vom Sippenkult kann weiterhin festgestellt werden, daß in seinem
Mittelpunkt hauptsächlich Naturerscheinungen wie Baum, Berg, Fluß usw.
waren, mit denen die Ahnengeister gewissermaßen verschmolzen.
Wie steht es nun mit dem Staatskult in den Reichen der Steppennomaden?
Die geschichtlich bekannten Nomadenreiche wurden ja von ehemaligen Waldvölkern gegründet.
Die Meinung, nach der die Ursprungsmythen der Herrschersippe zur Staatsideologie wurde und die Ahnengeister zu den Beschützern des Staates, ist weit
verbreitet, ebenso wie die, daß die Kultträger des Staatskultes Schamanen gewesen wären.
Wenn wir die bekannten Ursprungsmythen der Herrschersippen der
Nomadenreiche unter die Lupe nehmen, zeigt es sich, daß sie ursprünglich
nicht, oder nicht nur, der gegebenen Sippe gehörten. Lehrreich ist in dieser
Hinsicht die Geheime Geschichte der Mongolen. Die ersten Ahnen, Börte
Cinua und Maral Goa, der Wolf und die Hirschkuh, gehören zu den im ganzen
Steppengürtel schon von der Zeit der Skythen an verbreiteten mythischen
Gestalten. Sie waren schon bei den frühen Türkvölkern beliebt und kamen von
dort zu den Mongolen. Das in der Ahnenreihe der Cinggisiden am heiligen
11
ANISIMOV, a.a.O., S. 127-233; H. H. VREELAND, Mongol Community and Kinship Structure,
New Haven 1957, S. 270-274; I.M. SUSLOV, Materialien zum Schamanismus der Evenken-Tungusen
an der Mittleren und Unteren Tunguska, (Hrsg.) K. H. Menges, Wiesbaden 1983, S. 6-29; K.
HESSE, "Zur Transformation des weißen, schwarzen und gelben Schamanismus in der Geschichte der
Mongolei". In: HARTMUT ZINSER (Hrsg.), Der Untergang von Religionen, Berlin, 1984, S. 173.
12

W u BING-AN, " T h e S h a m a n s in M a n c h u r i a " , in: M . HOPPÄL, O . J. VON SADOVSKY,

past and present. Part 2, Budapest—Los Angeles, 1989, S. 263-269.

Shamanism:

322

Käthe Uray-Köhalmi

Berg Burqan Qaldun erscheinende Brüderpaar, Dobun Mergen und Duwa
Soqor, letzterer mit nur einem Auge mitten auf der Stirn, sind anhand jakutischen, samojedischen und kitanischen Vergleichshiaterials Jagdgottheiten,
Herrengeister des Wildes, zugleich auch Herrengeister des Burqan Qaldun. Die
Vermählung der Alan Goa mit Dobun Mergen gehört somit in die von Korea
bis Vorderasien reichende Reihe der mythischen Verbindung eines Erdenmädchens mit einer Berggottheit, die meistens als Lichtgestalt erscheint. Die
Begegnung der Alan Goa im schwarzen Ochsenkarren und des Dobun zu
Pferde wiederholt die Ursprungsmythe der Kitan, des Liao-Herrscherhauses,
wo sich diese Begegnung am heiligen Berg Mu-ya abspielt. Von Bodoncar
konnte ich in einer früheren Arbeit nachweisen, daß die Mythe vom Habicht
und dem Baum mit den daranhängenden Vögeln bei Jakuten, Mandschu und
südsibirischen Türken auch vorkommt13 und den Sippenbaum darstellt.
Die Ursprungsmythe der Borjigin weist mit ihren Parallelen zu den verschiedensten Nachbarvölkern hin; darum ist anzunehmen, daß das Herrscherhaus der Mongolen nach altem Steppenbrauch den eigenen Mythenschatz mit
dem der verbündeten oder unterworfenen Sippen und Stämme ergänzte. Später
machte das auch Nurhaci, der Gründer des mandschurischen Kaiserhauses, als
er die Ursprungsmythe mit den drei badenden Feen der Hurha-Stämme einfach
übernahm.14 In solchen Fragen waren die Nomadenherrscher recht skrupellos.
Diese, fein gesagt, Erweiterung des Mythengutes und Vermehrung der Ahnengeister diente nicht nur dem größeren Ruhm, sondern erweckte bei den zum
Reich gehörenden Stämmen das Gefühl des gemeinsamen Ursprungs und so der
Zusammengehörigkeit.
Die Verehrung der Ahnen und zugleich auch Beschützer des Reiches
gehörte zu den Pflichten des Herrschers. Von solchen Staatsfeiern wird sowohl
von den Herrschern der Tu-kiüe wie von den Liao-Kaisern berichtet. An den
Staatsfeiern konnten auch Schamanen dem Herrscher beistehen.15 Die
Herrscher der Yüan-Dynastie, schon von Qubilai an, beauftragten mit der

13
K. U.-KÖHALMI, "Synkretismus im Staatskult der frühen Dschinggisiden". In: W. HEISSIG, H.-J.
KLIMKEIT, Synkretismus in den Religionen Zentralasiens, Wiesbaden, 1987, S. 136-158.

" G. STARY, "Mandschurische Miszellen". In: M. WEIERS, G. STARY, Florilegio Manjurica in
Memoriam Walter Fuchs, Wiesbaden, 1982, S. 76-86.
15

K. U.-KÖHALMI, "Böge und Beki: Schamanentum und Ahnenkult bei den frühen Mongolen", in:
Varia Eurasiatica, Szeged, 1991, S. 229-238. Vgl. auch S. KUASTORNYJS Vortrag bei ESCAS IV,
Bamberg, 8.-12. Okt. 1991.

Vom Sippenkult bis zum Staatskult

323

Verehrung der Ahnengeister und dem Ausführen der jährlichen Opferfeste
andere Personen bzw. einen Verband von Personen. Wir wissen, daß die
Begräbnisstelle des Cinggis Qan und der Tolui-Linie am heiligen Berg der
Borjigin, am Burqan Qaldun, lag. Die Wache über diese heiligen, abgesperrten
Stätten wurde einer Uriyanqai-Sippe anvertraut. Für den allen Mongolen
zugänglichen Staatskult, im wesentlichen die Verehrung der Cinggis-Reliquien,
wurde eine Darqad-Sippe verpflichtet. Bis heute sind die Nachkommen dieser
Sippe die Wächter der Cinggis-Reliquien, Kenner der Ritualtexte und Hymnen.
Die Opferfeierlichkeiten in Form eines Empfanges bei Cinggis Qan werden
jährlich veranstaltet.16 Die Ausübung des Staatskultes war also die Pflicht des
Herrschers, die er meistens gewissen Sippen übergab, welche dadurch einen
sehr hohen gesellschaftlichen Rang erreichten, ja von den einfachen Leuten
sogar für heilig gehalten wurden. Das bildet eine interessante Parallele zum
antiken Rom, wo auch Körperschaften mit Staatskulten beauftragt waren,
nämlich die Vestalinnen mit dem Hüten des Feuers und die Fratres Salientes
mit dem Kult des Schildes von Mars, dem göttlichen Vater des Stadtgründers.
Zusammenfassend kann festgestellt werden, daß im Gegensatz zum Sippenkult, in dem die Ahnengeister als Teile der Naturkräfte verehrt wurden, im
Staatskult die personifizierten Ahnen größere Bedeutung gewannen, besonders
der Geist des Gründers der Dynastie. Die Pflicht des Kultes lag immer bei der
jeweiligen Führerperson der Gemeinschaft, beim Sippenvater, Stammesoberhaupt oder dem Qan bzw. Kaiser. Schamanen spielten weder im Sippen- noch
im Staatskult eine führende Rolle.

16

RINTSCHEN, "Zum Kult Tschinggis-Khans bei den Mongolen. Opferlieder tayilya-yin dayun". In:
Opuscula ethnologica memoriae Ludovici Birö sacra, Budapest, 1959, S. 9-22; C. ZAMCARANO,
"Kul't Cinggisa v Ordose. Iz puteäestvija v juznuju Mongoliju v 1910 g. [Der Kult von Dschingis im
Ordos aus dem Bericht über eine Reise nach der südlichen Mongolei im Jahre 1910]", CAJ vol. VI,
nr. 3(1961), S. 194-234; K. U.-KÖHALMI, "Der Burhan Haldun". In: K. GRATZL (Hrsg.), Die
heiligsten Berge der Welt, Graz, 1990, S. 140-141.

324

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b yueji MyxaMMaA-IüaHÖaHH-xaHOM b 1500 r.2 OflHaxo He no^jieacHT
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rr.). H3 HHCJia MHoroHHCJiCHHwx npHMcpoB yxaxeM Ha: 1) Tyxipam aui-uiäxuüa. Abtop —
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nepenHCMHK — MyxaMMa^ 6. Aüa3 6. °ycMaH 6. Cabine. Ha ji. la coxpamuiacb
coÔCTBCHHopyHHax nOMeTa yjiyr-Ôexa o tom, hto oh hht3ji 3tot ciihcok. PyKonHCb
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Abtop — yjiyr-6ex. PyKonHCb 1 4 3 5 - 1 4 4 0 rr. nepenHCKH 6ujia H3r0T0BJiCHa b ÔHÔjiHOreKe b
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8 5 3 / 1 4 4 9 r. pjin 6h6jihotckh CyjrraHa A6y Ca Hfla. HepcnHCHHK — MyxaMMaji-MyMHH 6.
c
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(CmA).
2

B 1502 r. Eyxapa c OKpyroñ 6b>jia BTopHHHO o6tsiB.neHa ülañóaHH-xaHOM yaejiOM CBoero

MjiaAiuero ÔpaTa.

326

Oleg F. AkimuSkin

COMH6HHK),

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e r o

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YDAHAAJUIAX-CYJRRAH

(892-946/1487-1540),

KyjibTypHbifi ypoBeHb xoToporo Bpaji, jm ycrynaji ypoBHio 06pa30BaHH0CTH
THMypHflCKoii 3JIHTM,3 yflejiHji CBOCH 6H6jiHOTeKe caMoe npHcrajibHoe
BHHMaHHe. OrpaCTHblH nOKJIOHHHK pyKOIIHCHOH KHHXHOCTH, OH
N 0 C T 0 « H H 0 nonojiHHJi ee K H H R A M H , 3 A X B A N E H H B I M H Y 3 6 E I C A M H B O B P E M «
MHoroKparabix n0X0fl0B-Ha6er0B Ha coceflHHH XopacaH, O C O 6 C H H O H A
Mamxafl H TepaT. H C J I E A Y E T OT^aTb E M Y fl0JixH0e — O H npHB03mi nocjie
Kaxfloro Ha6era noflJiHHHbie mefl,eBpw, BbinojiHeHHbie BbiflaromHMHCjj
MacrepaMH " K H H J K H O T O pyKOflejiba" (KajumrpacfcaMH — KdmuSan, opHaMCHTajiHCTaMH

— My3axxu6aH,

MHHHaTypHcraMH

nepenjieTMHKaMH — Mycbfca/iAudan),
OflHaxo BCKope (r^e-TO
N O C T A B J I E H H A A IILHFIAHHFLAMH —

06pa30BaHH0My rocynapcrBy

OKOJIO

— Mycaeeupan,

TBOPHBUIHMH
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r.)

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ropo^ax.

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B

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npaBonpeeMHHKH, ^ajiexa OT ocymecTBJieHHH, nocKOjibKy HpaHCKHe
CE^eBHflbi, B C B O K ) onepeflb, a6c0jn0TH0 He 6 M J I H C K J I O H H M paccTaTbca c
HaH6ojiee IIJIOflOpOflHOH H 3KOHOMHMeCKH CHJIbHOH npoBHHi^Heii
CBoeii
HMnepHH. B 3 a T a H y B m e i i c a 6 o p b 6 e npou,ecc B b i K a H H B a H H a
npoflyKUHH npHHflji .npyryio <J)opMy: H3 XopacaHa (c TepaTOM) crojib x e
Tpa^HiiHOHHO H njiaHOMepHo crajiH BbiKanHBaTb peMecjieHHbiH JNOFL,
B K j n o n a « , e c T e c r B e H H O , M a c r e p o B K H H T H . B HTore, B T e n e H H e n o j i y B e i c a H 3
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3

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c
¿JO Hac norneji cnHcoic ero Y36EKCKHX CTHXOTBOpeHHH JJpeaH-u y6audH (London, British Library,
Add. 7907), nepenHcaHHBiH no ero yxa3aHino 3HaMeHHTbiM repaTCKHM Kajijiwrpa^oM CyjrraHcAnn MauixaAH (yM. 926/1520). Ilocjie rn6ejm OTI;a B 911/1505 r. Eyxapa HHCJMJIACB 3A HHM
KaK HacjieACTBeHHbiH yneji, a B 917/1511 r. Bcey36eKCKHH xaH CHHymiHK yTBep^Hji ero
ynejn>HbiM npaBHTejieM. BepxoBHbm rjiaBa Bcex y36eK0B MaBepaHHaxpa B 1533-1540 rr.
TPYFLHO ycrraHOBHTb TOIHOE HHCJIO Bcex Y36EKCKHX BTopxeHHH B XopacaH. BMeere c TeM
KaK HpaHCKHe, Tax H MecTHbie HappaTHBHbie HCTOHHHKH OTMeHaroT HE MEHEE 2 1 3apaHee
cnjiaHHp0BaHH0r0 cepbe3Horo Ha6era, juiHTejitHoro pea^a H KpynHoro no Macurra6aM noxofla

4

BnjiOTb « 0 90-x rr. X V I B.

Eu6/iuomaca Uíémuñoe

e Eyxape XVI saca

327

HocTeñ. BMecre c TeM, H C T H H M pa^H O T M C T H M , HTO O N P E A E J I E H H A » ( H He
Majiaa) nacrb H3 HHX ,n,06p0B0jibH0 ocraBHjia poflHbie Mecra H 3MHrpHpoBajia B MaBepaHHaxp nepefl yrp030H HacHJihCTBeHHOH iuHHTH3au,HH,
npOBOflHBIIieHCK BpeMeHaMH Ce<J)eBH1HCKHMH HaMCCTHHKaMH OCOÓeHHO
pbflHO H XeCTOKO.
B 940/1533 r. yjjejibHbiM npaBHTejieM Eyxapbi craji A6a aji-A3H3-xaH (c
947/1540 r. Bcey36eKCKHH xaH, yMep B 957/1550 r.), CWH y6aíi,i;ajijiaxxaHa, Hbfl H3BecTHOcrb crpacTHoro ÓHÓjiHOíJwjia 3 a T M H j i a 0Tm)BCKyi0. B
pe3yjibTaTe, 6N6JIBOTEKA CTajia 3HaMeHHTa KAK CBOHM COÓPAHHEM
BejiHKOjienHO HcnojmeHHbix jiHijeBbix pyKonHceñ (Hapa^y c pe^KHMH H
yHHKajIbHbIMH COHHHeHHflMH), TaK H COCpeflOTOHHeM MacxepOB
"KHHXHoro pyKo^ejiHH", paóoTaBixiHx B ee cocraBe (HHorjja Ü O M H M O
5
CBoero xejiaHM, KaK OTO cjiyHHjrocb co 3HaMeHHTbiM Mnp AJIH XapaBH ).
IIpHflBopHa« ÓHÓjiHOTeKa-MacTepcKafl, ofíteAHHHB B CBOHX ereHax
npH3HaHHbix MacTepoB KajiaMa H KHCTH, nepBOHanajibHO B OCHOBHOM
Bbixo^ueB H3 TepaTa, a 3aTeM yace H HX MecTHbix yneHHKOB, cbirpajia
Bbi^aiomyiocH pojib KaK B $opMHpoBaHHH 6yxapcKO-caMapKaHflCKOH
uiKOJibi xyfloxecTBeHHoro nHCbMa, OTflejibHbie npeflcraBHTejra KOTOPOÍÍ
(HanpHMep, Mnp KyjiaHra) CBOHM HCKyccrBOM H TajiaHTOM H H H C M HE
ycrynajiH npii3HaHHbiM HpaHCKHM KajuiHrpa^aM, TaK H B pa3BHTHH

5

KpynHeHiiiHH nepcHACKHH KajijiHrpacj) XVI B., BtmaMineftc» Macrep B nonepKOBOM CTHJie

HacrajiHK K a M a j i a A ~ A H H M s p J^acaH, iraBecTHbiH KaK M n p - ' A I M , CAJIH a j i - X a p a B H ,
KaTn6, CAJIH aji-XycañHH, C AJM aji-XycañHH aji-xaTHÓ ac-CyjrraHH, MHP- C AJIH

C

AJIH a n -

a^-xaTHÓ
(corjiacHO ero co6cTBeHHbiM noMeTaM B K0ji0(J>0Hax nepenacaHHbix HM pyKonHceñ), pojjoM H3
TepaTa, H3 ceMbH cefiánnoB XycaÓHH, yneHHK 3aÉH afl-^HHa MaxMy.ua, 3aTeM y^mica B
Meiuxe^e y CyjrraH-cAjiH. lio BOSBpameHHH paóoTaji B KHTióxaHe Xyceíma Eañxapbi B TepaTe
H nojiyHHji noneTHoe nposBaHHe KámuÓ ac-cyjimcwü ("KajijiHrpacJ) rocy«apeB"). B anpejie-Mae
1529 r. 6mji Bhrae3eH B Byxapy, rae h yMep B KOHiie 951/1544 r. H3BecTH0crb nojiyiHjiH ero
jiororpH(J)bi {m/ommo) h rpaKTaT no KajuiErpa4>ER Mudad OA-xymym, OH nHcaji Taxace CTHXH.
Eojo>iiiyio nonyjiflpHOCTB nojiymjio ero Kbrrca, B KOTOPOM OH xajiOBajic« Ha CBoe xajucoe
cymecTBOBaHHe B Byxape. OcofieHHO craji H3BecreH BTopofi 6ewr 3Toro Kbrrca: "Tax <rro Bce
rocyAapn MHpa nparjiauiaiOT MeHa, a B Eyxape s¡ H3MyHHjic», AOÓbraas xjie6 HacyiuHbiü".
BnocjieflcrBHH, STOT 6eÜT pa3jmHHbie HCTOHHHKH npHnncbiBajiH MHornM H3BecTHbiM AejrrejiaM
KajiaMa, KHCTH H nepa HpaHa. OH ocraBiui 3Ha<mTejn>Hoe xyAOxecrBeHHoe HacjieAHe. ÜOMHMO
MHOroMHCjieHHbix KMTca, ao Hac AOIUJIH, no HaiiiHM AaHHbiM, 54 pyKonncH, co3AaHHbie HM
MexAy 906/1500 h 951/1544 rr., B TOM HHCJTC 20 CITHCKOB, nepenHcaHHbix HM B Byxape B 935951/1529-44 rr. Cm. O hcm ry/mcmáH-u xynap, manQ$-u Kásü Müp Axmoó Mynum KyMü. Ba
Tacxñx Ba HXTHMaM-H AxMaA CyxaÉJiH-HH XB§HC^>H. TexpaH, 1352/1973, c. 73-84; MOIO
cran.10, "JlaiieBaji pyKonacb H3 cofipaHHa H H A A H C C C P " , — c6. Bmukhuü u Cpednuü Bocmac,
M., 1962, c. 76-82; ero xe "HcxaHAep MynniH o KajuiHrpa4>ax BpeMeHH uiaxa TaxMacna", —
K C H H A A H C C C P , 1 9 6 3 , N o . 3 9 , M . , c. 2 6 , 2 8 .

Oleg F. AkimuSkin

328

MaBepamiaxpcKOH UIKOJIM MHHH51TIOPHOH KHHXHOH xHBonHCH 40-70-x r r .
X V I B. 3Ty niKOjiy HHOR^A HMeHyiOT Taicace 6yxapcKOH. 6
K

coxajieHHio,

NOFLABJIAIOMEE

HHCJIO

HCTOHHHKOB

O6,NEJIHJIN

BHHMaHHCM 3T0T IJEHTP K y j I b T y p b l . ORHACTH, 3TO 0 6 C T 0 « T e j I b C T B 0 MOJKHO
O6I«CHHTI>

TEM,

HTO

6N6JIHOTEKA

6bijia

NPHFLBOPHOFI

H

CO3FLAHA

Run

yflOBjieTBopeHHH JIHHHMX BKycoB H npHXOTeii naTpoHa, H CUEFLOBATEJILHO,
FLOCTYN B Hee AJI« npocrbix cMepTHbix 6WJI Harjiyxo 3AKPBIT. BMECTE c TCM,
30 HaniHx flHeii flomjio CBH^ETEJIBCTBO Syxapija no NPOHCXOACFLEHHIO Baxa
AFL-^HHA XacaHa, HocHBiuero JIHTEPATYPHOE HMH HncapH, KOTOPBIII B
CBoeM

Tpyne

Myaaxxup

("B3BIBAIOMHH

an-ax6a6

cocTaBjieHHOM B 974/1566

r. 7 ,

K

HMCHSM

nocBjmjaeT SaSjiHOTeKe

APYAEII"),

cneuHajibHyio

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imuieT:

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OH

aji-A3H3-xaH]

HMCJI

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6H6JIHOTEICY,

MTO

HEH3BECTHO c y m e c T B O B a j i a JIH B OFIHTAEMOFI HETBEPTH CBeTa B TO BPEMA
NOFLOSHAA eii. U,apeM ( M C I A U K aA-Kymma6)

ero KajuiHrpacfcoB 6WJI M A P AJIH

XycafiHH, KOTopbiH 6ecnoflo6Ho nepeimcbiBaji KHHRH (icumdfiam), a ero
nonepK

^ocTaBjiaji

HACJIAAC^EHHE

co3epmaiomeMy. 9

OcTajibHbie

XE

MacTepa xy^oxecTBeHHoro rmcbivia [CBOHM] jimiieHHbiM orpexoB nonepKOM
HanpaBjiHjiH

6

acHByio

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B

xpaH

BCHHOH

TCMHOTM.10

Ero

CM. M. M. Awpac&H, Eyxapacan lUKona MimuamiopHou ncueonucu. 40-70-e eodw XVI eaca.
IUKOAU MUHUAMWPBI XVI e.

"floHHiii", JIyiuaH6e, 1974; ee xe, Eexsad u paseumue Byxapawu
"JJOHHUI", JJyniaH6e, 1987.

IIoflpoSHee CM. A. H. EojmhipeB, "Ta3Knp3 XacaHa Hncapn Kax HOBMH HCTOMHHK AJI«
H3yHCHHH xyjibTypHOii XH3HH CpeflHeS A3HH XVI Bexa". — TOBra, T. Ill, JI., 1940, c. 291300; C. Storey, Persian Literature. A Bio-Bibliographical Survey, Vol. I, pt. 2, London, 1953, p.

7

802-803; B. A. AxMejiOB, HcmopuKO-zeoipatfiwecKaa numepamypa Cpedneu Asuu XVI-XVIII

ee.

IIucbMeHHbie MMsmiHUKu, TauiKeHT, "OaH", 1985, c. 161-165. CoHHHeHHe H3flaH0: My30KKup a/iax6a6, maDnw$-u XeadoKa Earn ad-JJun Xacau Hucapu. Ba TacxSx Ba Myica6Hjia Ba MyKajwHMa-iiH

caflHHfl MyxaMMafl Oasjiajuiax. Xaiiflapa6afl, 1969.
Ham nepeBOA BBinojiHeH no yKa3aHHOMy Bhime HayHHOMy n3,naHHH Texcra naMjrrHHKa, c.
78-79.
8

'
EyxB. "... a peHxaH-6a3HJiHK ero nonepxa npoMHmaji OT nujin (iy6ap) rjia3a co3epijaiouiero". 3,necb HenepeBOflHMaa Hrpa CJIOB: paiixaH — OCO6WH nOHepKOBhift CTHJIT B CHEREME

KjiaccH<iecKOH mecrepKH (cumme) nonepKOB, B TO ace BPEMFL — aro naxynee TPAB0BHFLH0E
pacreHHe, iuHpoxo yn0Tpe6naeM0e Ha Bocroxe xax npnnpaBa K pa3jiHHHbiM 6jiMAaM, cjia6biM
pacrBopoM xoToporo npoMbiBaioT rjia3a. ry6ap — MejibYaHinHii, 6ncepHbiH noiepx; HaHMeHb-

UIHH no pasMepaM BHA pasjiHHHbix nOHepKOBbix crmieii, Taxxe — Mejixaji nbijib.
10
B03M0xeH cjieflywmHH BapnanT nepeBO^a: "... CBeTJibiM (SecnpHMecHbiM) nonepKOM
yKa3MBajiH nyn> XHBOH BO^e B xpaH BCHHOH TeMHOTbi".

BuÓmomaca Illußanudoe e Eyxape XVI saca
HJUNOMHHÂTOPBI — N030JI0TMHKH (My3oxxu6äH)
flOBeflJi

(ma3Xû6)

flo
H

creneHH

coBepmeHCTBa

JKHBONHCT

(maçeup),

329

H XYFLOXHHKH ( M y ç a e e u p m ) ,

pocnucHoe

KOHHHKOM

yöpaHCTBO

BOJIOCKA

pyicomicH

[KHCTH]

T3KHM

06pa30M pacnHCbiBajiH JIHK, HTO B nopTpeTe H Ha rpaH He HaxoflHJiocb
H3T>«Ha. BCÎIKHH pa3, KOR^A OHH HAPO^EHCTBOBAJIN, B0CNP0H3B0FLH [o6pa3]
CKaxyHa, OHH KaK 6bi BepiuHjiH KOJI^OBCTBO. K a x f l b i H H3 HHX 6biji B cBoeM
HCKyccTBC BTOpbiM MaHH h HaflejieH TajiaHTOM jiyHiiJHM, MeM y Bex3a,a,a.
M a y j i a H a C y j r r a H - M n p a K MyHiiiH ôbiji rjiaBoíí [ero] 6H6JIHOTCKH (jcumâé-

däp). COCPEFLOTOHHE FLOCTOHHCTB, KOTOPBIH CTOjib CBe,nym H B npaKTHKe, H
B TeopHH XYFLOACECTBEHHORO imcbMa, H yôpaHCTBa KHHTH (hcikkómíì),

HTO

p a c c K a 3 o HeM HCBO3MOXHO BMecTHTb B nHcaHHbie CTpoKH. O n u c a H u e
HanepTaHHoro

HM

Haôejio

(maxpup)

H

oôtacHeHHe

[co3flaHHoro

pocnHCHoro yôpaHCTBa KHHTH HaxoflHTC» 3a NPEAEJIAMH

xe
HM]

[BO3MOXHOCTH]

peHH. [ C y j i T a H - M a p a K ] Bbipe3aji ceñ 6eÖT Ha KaMHe JIHHHOÏÎ n e n a ™ :
"CyjiTaH-MHpaK n o MHJIOCTH T ß o p u a

*

H Mymuü,

H

Kumäßdäp".

B o BpeMeHH Y 6aii,ijajijia x-xaHa ÖHÖjmoTeKa CTajia HrpaTb p o j i b OTMCHHO
ycTpoeHHoro K y j i b T y p H o r o i j e m p a ripn ABope, B CTeHax KOToporo nepBoKjiaccHbie MacTepa K H H Ä H H K H co3flaBajiH noflJiHHHbie me^eBpbi. T e OTflejibHbie 3K3eMnji«pbi, HTO .HOIIIJIH flo HaiiiHX AHEÑ, CBOHM BejimcojiermeM
n o ^ T B e p x f l a i O T HCTHHHOCTB SMOIJHH XacaHa H a c a p n , KOTopwe OH Bhipa3Hji
B BOCTOpxeHHOM OT3bIBe O ÖHÖjTHOTeKe.
H a x e Mbi ocTaHOBHMCH Ha nepcoHajibHOM urraTe MacTepOB, paöoTaB11IHX B 3T0H ÖHÖjIHOTeKe, a TaKJKe OTMeTHM B XpOHOJIOrHHeCKOM n p a f l K e
cnHCOK

Tex

pyKonHCHbix

floo4)opMJieHbi

B

HCKJIIOHHTeJIbHO

ee

CBe^eHHÄMH,

KOJIOÍJJOHOB , iiiaMce
o<i>opMHTejieñ,

KHHr,

creHax.

B

KOTopbie

Ilpn

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KOTOpbie

(9KCJIH6PHCOB),

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MM

COOÖlIiaiOT

a TAKXE

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ö j i a r o n o x e j i a T e j i b H b i x Ha^NNCAX

co3,n,aHbi

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Ha

HaM

flaHHbie

XYFLOACHHKOB H
MHHnaTiopax

c

apXHTeKTypHblM fleKOpOM H T . N . IIpH 3TOM Mbl C03HaTejIbH0 0TKa3ajIHCb
OT paccMOTpeHHH c y r y ô o aTpn6yTnpoBaHHwX CIIHCKOB, npHBjieKaa TOjibKo
CTporo AOKyMeHTHpoBaHHbie.

Oleg F. AkimuSkin

330

C o c r a B ÔHÔjiHOTeKH

a) K H T a ô f l a p b i

B o rjiaße S h S j i h o t c k h , m t o T p a f l n u , n 0 H H 0 ^ j i a B e e r ò p e r n o H a C p e ^ H e r o
B o c T O K a , CT08JI y n p a B J i a i o n i H H — Kumäßdäp,
yKa30M
b

flejie

flHHacTa

h K O T o p w ä oßjiaflaji B e c t M a i i i h p o k h m h

pyKOBOflCTBa

ecTecTBeHHo,

KOTopbiH Ha3Hanajica o c o ö m m

ßeflTeJibHOCTbio

MacTepcKHe

no

SToro

iiojihomomhhmh

ynpexfleHH«,

np0H3B0flCTBy

BKjnonafl,

BbicoKoxyfloxecTBeHHbix

p y K o n n c e n . O c H O B H a a e r o s a t a n a , B M e H a B m a a c a e M y b n e p B y i o OHepejjb,
3aKJiK)Hajiacb b t o m , h t o 6 h o h , ncnojn>3y» i i r r a T M a c T e p c K O H ,
ÖHÖJiHOTeKy

naTpoHa

nofloÔHbiMH

pyKonncHbiMH

nonojiHHji

KHHraMH.

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cjieflyromne

cthckh:

Eußjmomaca JUuÖamdoe e Eyxape XVI eaca
1.

rynucman

Ca^H.

TepaT,

1

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c

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4

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r.,

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(JI.

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30).12

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2 . Tyxfaim

11

331

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r., xajuiHrpat^

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3 . Xacpm
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— M n p a x K H T a S f l a p . CIIHCOK c o f l e p x H T a e B i i T b M H H H a T i o p ( D u b l i n , C h e s t e r
Beatty Library, N o .

213).

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11
<t>opMyjia noflnwcH Macrepa pjw a r o r o BPCMGHH Bbi3biBaeT coMHeHHe: "Baiafa 6a maxpüpuxa
«a and aji-$aiglp Cy/imäH-cA/ia cui-Mamxadä ...
12
W . Robinson, "An unpublished Ms. of the Gulistan of Sa'di", Beiträge zur
Asiens, Stambul, 1964, c. 224.

Kunstgeschichte

13
flo 1969 r . pyKonnci. HaxojiHJiacb B nacTHoii KOjijieKiiHH X. KeBopKHHa (CIIIA, Hfcio-HopK),
M. Aiupa(J>H, Beaad, c. 147.

Oleg F. AkimuSkin

332

6 H 6 j m o T e i c e y n e j i b H o r o n p a B H T e j i » OKOJIO 1 5 - 2 0 JieT H HE TOJILKO p y i c o BOFLHJI IipOIjeCCOM C03flaHHJI BblCOKOXyflOXeCTBeHHblX JIHIjeBblX CIIHCKOB,
HO H CAM BPEMH OT BpeMCHH n p H H H M a j i B HeM n o c H J i b H o e YNACTHE B
K a n e c T B e o 4 > o p M H T e j u i . E r o CBIH C y j i T a H 6 . M n p a x n o u i e j i n o C T o n a M OTija
H, n o B c e f i BH^HMOCTH, CTaji npoc})eccHOHajibHbiM K a j u i H r p a ( } ) O M . ¿ J o H a c
flomjiH

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980/1572-73
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r.

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Ha

University

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K a p T y m e i i ; n a c T t H3 p u c y H K O B n o , n , n n c a H a : paicaMa

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990/1582

No.
r.

B

BOCbMnyrojibHbix

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B T o p o i i KHTAS^ap — M a B j i a H a c A 6 f l a j u i a x a j i - M y H i H H a j i - K H T a 6 , n , a p . n o j ;
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x e

c

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6) XyflOXHHKH

M O X H O C 6 o j i b u i o i i floneii B e p o a r a o c T H y T B e p a q j a T b , HTO B M a c T e p c K o i i
B T e n e H H e j y i H T e j i b H o r o BPEMEHH p a 6 o T a j i n B b i ^ a i o m H e c j i M a c T e p a M H H H a Tiopbi, Hbe TBopnecTBO, B B I ^ e p x a H H o e nepBOHanajibHO B p a M K a x repaTCKor o CTHJIH, o K a 3 a j i o 3 H a H H T e j i b H o e B J i n a H H e H a ( J j o p M H p o B a H H e 6 y x a p c K O H
(H i i i n p e — M a B e p a H H a x p c K O H ) u i K O j i b i 1 5 4 0 - 1 5 7 0 r r . , x o T o p a a n o c T e n e H H O
4>OpMHpOBajiaCb n o f l flByCTOpOHHHM B03fleiiCTBHeM MeCTHblX TpaflHI^HH H

14

L. Binyon, J.V.S. Wilkinson and Basil Gray. Persian miniature painting, Dover publ., N.-Y.,
1971, p. 146, No. 222. CjienyeT HirraT: XaMa-iin CyjrraH 6. Mfipaic ("Ilepo CyjiTaHa 6.
Mnpaxa").

BuÓ/momaca IIMmudoe

e Eyxape XVI eaca

333

repaTCKOÉ u i k o j i m . K h x HHCJiy, npeacße Beerò, o t h o c h t c h 1) MaxMya
My3axxHÖ15 h 2) cA6,najuiax16. Ilo mhchhio M . Aiupa4)H, b Byxape
paöoTaji T a K x e repaTCKHH Macrep 3) IIIaHX-3ajie, KOTopbiö 6 h j i nepeße3eH
H3 TepaTa yöafiflajuiax-xaHOM nocjie ojjHoro H3 ero n0X0fl0B-Ha6er0B Ha
XopacaH.17 3 t o npeflnojioxeHHe noxa eme He no^KpenjieHO k ì k h m h JIh6o HCTOHHHK3MH. Ho He nOflJieXHT COMHeHHK), HTO B CIIHCKaX, H3rOTOBjieHHbix b CTeHax 6 h 6 j i h o t c k h , npeßCTaBJieHbi MHHHaTiopLi, BbinojiHeHHtie
b MaHepe h crune ¿jaHHoro MacTepa. BMecTe c t c m , 3 t h MHHHaTiopw
MorjiH 6 l i t l BbinojiHeHbi 3THM MacTepoM no 3axa3y KHTaó,n,apa h He
o6«3aTejibHO b Byxape, a HanpHMep, b t o m x e TepaTe.18

b) MacTepa xy^oxcecTBeHHoro imcbMa

1. Map °Ajih aji-XycaHHH aji-XapaBH k 3 t h 6 ax-xaicaHH.
2. Xßaaaca MaxMyji, 6. HcxaK am-IIlHxaÖH CHfiaBymaHH.
3. Mwp XycaÈH aji-XycaöHH aH-Haca4)H k3th6 aji-xaicaHH, H3BecTHbiii KaK
Mnp KyjiaHrH.
4. X ß a , n x a ß x a H aji-Karaß.
5. CyjrraH-Maccyfl aji-KaTHÖ 6. CyjiTaH-MaxMyfl.
6. MyxaMMafl-XycaüH 6. aji-Mnpaic ac-CaMapicaHAH.
7. MyxaMMajj-BaKH aji-KaTHÖ.
8. MyxaMMafl- c AjiH aji-KaTHÖ.
9. Mwp cafiÖHA AxMa^-H IIIaMcpH3-H MamxaßH.

15

Cm. o hcm: O. <I>. AKHMyuiKHH, "IIopTpeT HaBon". — Hcacycmeo u apxeonoma Mpana.
M., 1971, c. 20-25; M. Aiupa<i>H, Byxapacax IUKOM,

BcecoKBHajt KOHTFEPAMUX
(19691.). JioKJiadbi,
c. 15-25; ee x e , Eexaad, c. 150-157.
16

Cm. o hcm: M. Ampaifrii, ByxapcKax tuKosia, c. 19-22; ee x e , Beaad, c. 159-177.

17

M. Auipa<l>ii, Eexaad, c. 148-149.

18

nofloÖHa« npaKTHKa 6bijia uinpoKO pacnpocrpaHeHa Ha bccm MycyjibMaHCKOM BocroKe, h

npHMepoB TOMy

BejiHKoe

MHOxecrBO.

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öyxapcKOH 6n6jiHOTeice r^e-TO pp 957/1550 r.; p y i c o n n c H x e , nepermcaHHbie hmh b ßojiee
II03AHHH n e p n o f l , 6bijiH CAeJiaHM a m öhöjihotckh y x e n o s a x a 3 y h npucnaHu b E y x a p y .

334

Oleg F. AkimuSkin

IIOMeTM-nOflnHCH 3THX MaCTepOB CTOJUIH B KOJIOC^OHaX C 0 3 f l a H H i I X HMH
cnHCKOB. B e e OHH B pa3Hoe BPEMH p a ó o T a j m HenoepeflCTBeHHO B 6H6JIHOTeKe.

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eMHHKOB 3aMeTHo y r a c . H o , TeM He MeHee, n o npHKa3y e r o cbiHa H
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3aBeen

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B BofljieñcKoñ ÔHÔjiHOTeKe B OKc4)opfle (Elliot No. 318). Byxapa, 960/1553
r . , KajijiHrpa4) — CyjrraH-Mac c y,n a j i - K a r a ó 6. CyjrraH-MaxMyn;. 11
MHHnaTiop,

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1187).
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No.

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aji-KaTHÓ. i n a M c e — e x - l i b r i s (JI. l a ) , 2 8 MHHHaTiop ( C r a M Ô y j i , T o n x a n b i
Capaíí, H.

1488).

"
E. Blochet, Les peintures des MSS orientaux de la Bibliothèque Nationale, Paris, 1914-1920, pl.
XLIII.

Eutì/iuomaca IIluóaHuòoe e Eyxape XVI saca

335

3.

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H HMH XaHa (HbK)-HopK, ÓblBUiaa KOJIJieKUHH KeBOpKflHa).

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Windsor

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Library

No.

177).
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C

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TepaT, 9 2 1 / 1 5 1 5 - 1 6 r . , KajuiHrpatJ) — CyjiTaH-

AJIH M a n i x a ^ H . 4 MHHNATIOPBI ó y x a p c K O H i m c o j i b i 5 0 - 6 0 - x r r .

X Y I B. — p a ó o T b i M a x M y . u a M y 3 a x x n 6 a ( U S A , L a f a y e t t e C o l l e g e
Library).
3.

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r.,

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pyx. C

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1532).

Eaúá3. Byxapa, 3H-ji-Kac,na 935/Hiojib-aBrycT 1529 r . ,
KajijiHrpa4) — CAJIH aji-XycañHH aji-KaTn6 ac-cyjrraHH. 2
MHHHaTiopbi ( J I O H B A H C C C P , pyic. C 8 6 0 ) .

Cjie,nyeT OTMCTHTB, «ITO nocoji A6,najuiax-xaHa II, npiróbiBiiiHH B OaMÓyji B »HBape 1 5 9 4
npHBe3 TypeiiKOMy cyjrraHy Mypa^y III, B HHCJie npownx .napOB, pyicoriHCH IUàx-HàMe
<J>np,aaycH, XaMce HraaMH H ppa cimcica KopaHa. T. H. CyjrraHOB, "CpeflHea3naTCKaa H
BocTOHHOTypKecraHCKa« n03,nHecpe,nHeBeK0Baji pyKonHCHaji KHHra", — BKH.: PyKonucuanKHuea
e KyAbmype napodoe Bocmom, OiepKH, kh. I, M . , 1 9 8 7 , C. 4 9 5 .
20

r.,

336

5.

Oleg F. AkimuSkin

EycmàH CacflH. Eyxapa, MyxappaM 938/aBrycT-ceHTJi6pb 1531
r . , KajuiHrpafJ) MHP-°AJIH aji-XycaHHH aji-KARAD ac-cyjrraHH.
IIIaMce — ex-libris (JI. l a ) c HMCHCM

aji-A3H3-xaHa. 3

MHHHaTiopbi, n o c j i e A H « « HMeeT npmiHCKy Ha nojiax — "BMnojiHHji inaôx-3afle" (ôbiBiuaa KOJIJICKIJHJI JI. KapTbe).
6.

Cyóxam aA-aôpàp ^ x a M H . Byxapa, 942/1535-36 r., KajijiHrpac^
— XBajpKa MaxMyfl 6. Hcxaic am-IIlHxaÔH

CHÈaByiiiaHH.

IIIaMce — ex-libris (JI. l a ) C HMCHCM A6,H aji-A3H3-xaHa (Sotheby's Catalogue, London, Apr. 21, 1980, N o . 186).
7.

KyAAUùâm-u Haea'û.

10 canapa 943/29 HIOJI» 1536 r., KajijiH-

rpacj} — MHP-CAJIH. IIIaMce — ex-libris (JI. l a ) C HMCHCM
aji-A3H3-xaHa (OraMÔyji, My3eii HCJiaMCKoro ncKyccTBa).
8.

Hycycp ea 3ynaHxa JJxaMH. Byxapa, MyxappaM 944/HK>Hb-HK>jib
1537 r., KajuiHrpa4) — MHP-CAJIH

Kara6 ac-cyjiTaHH. IIIaMce —

ex-libris (JI. l a ) c HMCHCM A6fl aji-A3H3-xaHa. 3 MHHHaTiopbi
(Hbio-HopK, ôbiBiuafl K0juieKi],HH X . KeBopKaHa).
9.

Maxmn an-acpàp HH3aMH. Byxapa, 944/1537-38 r., Kajuinrpa^)
— MHP-°AJIH XapaBH. ^HIITHX, JIEBAA NACTL HMEET NOMETY
"BwnojiHHji

MaxMyji

My3axxn6 ,

952/1545-46

r."

(Paris,

Bibliothèque Nationale, Suppl. Persan 985).
10.

Mamncf

an-aueâp AMHpa XycpaBa JlHxjiaBH. Byxapa, iuac6aH

947/fleKa6pb 1540 r., KajuiHrpacJ) — MHP-°AJIH aji-KaTHÔ. HMÌI
A 6 3 aji-A3H3-xaHa NPHBE^EHO B KOJIO(|)OHe cnncxa

(India,

Bankipore, Oriental Library, N o . 129).
11.

Eycmm

Ca°FLH 949/1542 r., KajuiHrpacJ) — MHP-CAJIH XapaBH.

Ha KAXFLOH crpaHHije ( n o j i a ) B KapTyme OTMCHCHO HMH A6.II,
aji-A3H3-xaHa. 7 flBOHHbix MHHHaTiop: Tpn (1, 3, 6) noflnHcaHbi
MaxMy^oM My3axxn6oM; npnneM 6-s ^aTHpoBaHa 956/1549 r.,
oflHa (2-A) — A6,najiJiaxoM (Lisboa, Gulbenkian Collection No.
123).
12.

rynucmÔH Ca°FLH. Byxapa, 950/1543-44 r., KajumrpacJ) — Mnp°AJIH. IIIaMce — ex-libris (JI. l a ) C noMeToii A6FL AJI-A3H3-xaHa
(HHflHfl, nacTHoe coôpaHHe).21

M. Ziauddin, A Monography on Moslem Calligraphy, Calcutta, 1936, c. 20.

Eu6Auomaca IUudanudoe e Byxape XVI eaca
13.

Eaxapucmm

337

JJacaMH. 954/1547-48 r. HMS

aji-A3H3-xaHa

OTMeneHo B KapTymax Ha nojiax K a x f l o i i CTpaHHU,bi. 5 JIBOHHMX MHHuaTiop (Lisboa, Gulbenkian Collection, N o . 122).
14.

Eaxapucmdh JJxaMH. Byxapa, 958/1551 r., KajijiHrpacJ) — M a p
XycaiiH aji-XycaiiHH. OjjHa MHHHaTiopa (I^HIITHX) C n o a n n c b i o
MaxMy^a My3axxn6a H C nocBumemieM A6JJ, aji-A3H3-xaHy
( I l a p H x , 6biBiuaa KOjuieKUHH M. E. Jlopen).

15.

Cy6xam

an-aSpap

^acaMH. Byxapa, KajijiHrpacjD — MaxMyfl aji-

XapaBH. IIIaMce — ex-libris (JI. l a ) C HMCHCM A6,n, aji-A3H3-xaHa
(SbiBiuaa KOjijieKuna JI,. I\ KejieKHHa).
B 6H6jiHOTeKe paSoTajm 3aMeHaTejibHbie MacTepa KajiaMa — npep,craBHTejiH repaTCKOH (xopacaHCKofl) IIIKOJIM xyjjoacecTBeHHoro nncbMa.
Co
BpeMeHeM
xe
HX Mecrabie
yneHHKH,
onapaacb
Ha HX
npocfceccHOHajibHoe MacTepcTBO, o n i n h 3HaHHJi, co3flajin CBOIO 6yxapcKyio
(h rnupe — MaBepaHHaxpcKyio) micojiy KajunirpacjjHH. H x 6WJIO HeMajio.
Ho, HecoMHeHHO, nepBoe MCCTO B cnncice MacTepoB MCCTHOH reHepaijHH
no npaBy npHHajyiexHT MHP Xycaimy aji-XycaiiHH aH-Haca(J>n,
H3BecTHOMy nofl HMeHeM Mnp KyjiaHrn. 3TOT BbmaiomnHc» Macrep B
nonepKOBOM cTHjie HacTajinr jjJiHTejibHoe BpeMH pafioTaji B 6yxapcKoii
6n6jiHOTeKe HIn6aHH,n,OB. IIOMHMO MHoroHHCJieHHbix 06pa3it0B ero
nonepKa, flo Hac K HacToameMy BpeMeHH AOUIJIH 19 CTHCKOB pa3jiHHHbix
coHHHeHHH, BbinojiHeHHbix HM M e x ^ y 942/1535-36 h 9 9 3 / 1 5 8 5 rr. Tax
CJiyHHJIOCb, HTO HH OflHH H3 MeCTHblX JIHTepaTOpOB (6HOrpa<})OB HJIH
HCTOpHKOB) He yflOCyXHJIC« COXpaHHTb naMHTb O HeMfljianOTOMKOB. K
c n a c T H i o , 3TOT n p o f i e j i 6MJI BOCNOJIHEH B H H ^ H H a B T o p o M NOATHNECKOFI
AHTOJIORHH MadjKMac

JJxaxaHriip-maxa")
flxaxaHrHpy

aiu-tuycapd-uu

KaTH

c

MxcaxdHzupiuaxu

XapaBH,

(1014-1037/1605-1628). 2 2

("AHTOJIOTHH NOATOB

nocBHTHBinero
B

ee

3aMeTKe 3wcp-u

BaSypn^y
xaup-u

Mup

KynaHzu — "YnoMHHaHHe B noxBajiy Mnp KyjiaHrw",23 aBTOp nnmeT: "OH
npoHexoflHT H3

[ceMbn] caHHH^OB r.

TepaTa, OFLHAICO Bbipoc OH H

CJIOXHJIOI B Byxape, Ky^a Y6aHflajuiax-xaH BbiBe3 MHOTO repaTCKoro
jno,na. OH 6biji 6ecno^o6HbiM MacrepoM xyaoxecTBeHHoro

22

PyK. EojyieficicoH 6H6JIHOTCKH, OKC4>OPA, Ouseley 186. CM. Catalogue

nncbMa,

of the

Persian,

Turkish, Hindustani and PushtU Manuscripts in the Bodleian Library begun by Prof. Ed. Sachau...
completed by M. Ethe, Oxford, 1889, No. 371.
23

YK. pyK., JIJI. 466-48a.

Oleg F. AkimuSkin

338

yHCHHKOM M y j i j i b i M i i p a A j i h ; M H P K y j i a n r a , a T a x x e x B a ^ x a
HcxaK

CHÜaBymaHH

orapaBHJiHCL

K

AKÔap-na,nnmaxy

24

MaxMyj;-«

B HH^HIO,

r^e

OH H COCTOÄJIH B H H C J i e n n c u , O B [ r o c y ß a p e B o i i ] 6 H 6 J Ï H O T C K H . T a x O H , H a p a ^ y
c

MnpoM

cannula

JIaypH25

H Xa(J)H30M

AxMafla [Mauixa^n]

iiHCbMa n e p e n a c a j i H

2 6

MyxaMMaA-AMHHOM,

, a T a x x e e m e c HecicojibKHMH

Kuçça-ùu XaM3a.

24

BejiHKOH M o r o j i

flxajiaji

Mnpa

MacTepaMH

B n o n e p i c e OH H e y c T y n a j i

MyxaMMa^y XaH^aHy H CyjiTaH-MyxaMMa^y
H M e j i [ n o j i H b i H ] JJüeÖH.

yneHHicaMH

CyjrraH-

H y p y . 2 7 O H c j i a r a j i CTHXH H

OH 6MJI 6JIH30k c XBa^acoH XycaÖHOM M a p B H 2 8

h

an-flHH A x ô a p (963-1014/1556-1605).

CyjiTaH-EaHa3Hfl XapaBH, MBECTHBIFI x a x MHP flaypH, poflOM H3 TepaTa, 6 u j i yneHHKOM
H3BecTH0r0 nepcHflCKOro xajiJiHrpa(J>a MaBjiaHa KacHMa IIIaflHiuaxa. I I p n A x ô a p e CHHTajrea
JiyMLIJHM HHFLHHCKHM MaCTepOM, paÔOTaBUJHM B nOHepKOBOM CTHJie HaCTajmr, KOCHJ1 nOHeTHOe
3BaHH6 Kämuß a a-My AK ("KajijiHrpa4> flepacaBw"). OH T a x x e npoöoBaji CBOH CHJIW B CTHXOTBOPHecTBe (The Muntakhab
al-Tawârikh
of Abd-al-Qâdir
al-Badâoni
edited by W. N. Lees, III,
Calcutta, 1869, 226-227). A6y-ji-Oa3ji .uoóaBjiaeT, HTO OH HcnojiHHJi OTJIHHHBIH CFIHCOK
MyeaApäHü-üu
Xiap-xm
AMHpa XycpaBa flnxjiaBH JUIFL ÖHÖJIHOTCKH A x ô a p a . YTONYJI OKOJIO
l y j u x a p a T C x o r o n o ô e p e x b H npH B03BpameHHH MopeM H3 x a n x a c a (The Ain-i Akbari, by AbulFazl Aliami, edited by Blochmann, Calcutta, I, 1872, 248).
25

OH pOflOM n3 Mauixa.ua, H3 ceMbH caÖHHflOB XycaÖHH. E r o OTeu 3aHHMajica CBenHbiM
JIEJIEM. AxMafl CHHTaeTCfl Hanôojiee H3BecTHbiM H3 yneHHKOB M n p a CAJIH XapaBH, y KOToporo
OH oôynajica B TepaTe, a 3aTeM BMecre c HHM pa6oTaji B npHÄBOpHOÖ ÔHÔjiHOTexe k 6 j x aji-A3H3xaHa (947-957/1540-1550). ITocjie CMepTH nocjie^Hero OH BepHyjica B HpaH H npoflojiacaji
paöoTaTb TO B Ka3BHHe, TO B M a i u x a a e , TO B Ma3aH/;apaHe. OH yMep B CBoeM po/iHOM popone
B 986/1578-79 r. CM. 0 . 4 > . AxHMyiuxHH, Hacmdep
Mymuu o KdAAmpacfiax, c. 26-27; e r o x e ,
"Ka3H AxMafl o cnHCKe COHHHCHHÎI Aôfl ap-PaxMaHa flxaMH 'JlaBâ^Hx'", — B KH.: Eauokhuü u
CpedHim
BocmoK,
M.,
1968, c. 23-24; M . EaiïaHH, Axeân
ea âcàp-u
xyuiHaeûcâH.
HacmaAüKHaeücäH,
m. 1, TexpaH, 1345/1966, c. 44-47.
26

flBa
npeBocxoflHbix npe^CTaBHTejifl repaTCicOH iuxojibi Kaj7jmrpa<i>nn CHHTajiHCb
oTjiHHHbiMH MacrepaMH B niîCbNte MejiKHM HacrajiHroM. 0 6 a poflHJiHCb H riponimi H BCK> iKH3Hb
B TepaTe, r a e H yMepjin: X a i w a H — OKOJIO 957/1550 r . , a H y p — OKOJIO 940/1533-34 r. 0 6 a
ôbijiH yneHHKaMH CyjrraH- c AjiH M a u i x a ^ H (yM. 926/1520 r . ) H COCTOJIJM B urraTe npn Ajinuiepe
HaBOH (844-906/1441-1501). C x o x e c T b HX ÔHorpa<i>HH 6biJia «aBHO 3aMeHeHa, H HCTOHHHKH
HHorfla Ha3biBajiH HX "«Ba CyjiTaH-MyxaMMa^a". CM. EaiïaHH, I, c. 268-271, 272-279.

27

BbixoAei; H3 MepBa. IIo9T, y n e H H K Myjijtbi AccaM aa-AHHA HôpaxHMa H inatixa X a a x x a p a .
A6y-JI-<I>a3ji AjijiaMH OTMenaeT, HTO OH 6biji Ha^EJIEH MHorHMH ^ocroHHCTBaMH H TajiaHTâMH.
OH COCTOÄJI B LUTATE ÄBOPA XyMaöyHa B HH^HH, H npH A x ô a p e T a x » e nojibsoBajica
aBTOpHTeTOM. OflHajKÄbi OH "npOAaji CBOH npeBocxoflHbie OFLBI-NAHERHPHKH 3A ONEHB BbicoKyro
I;eHy" (Ain-i Akbari,
I, 1872, 248). A6A AJI-Ka^WP Ea^AYHH NOACHXET, HTO OH nojiyHHJi OT
BOCXHUIEHHORO A x ô a p a JIBA j i a x a (200.000) cepeöpjiHbix TaHbra HajiHHHbiMH 3a Kacbifly B 31
6eHT, HanHcaHHyio HM no noBO^y poiKAeHHa Mnp3bi CajiHMa ( ô y ^ y m n â m a x flxaxaHrHp) 17
paÔHc I 977/31 a B r y c r a 1569 r . Kacbifla 6bijia npHMenaTejibHa TeM, HTO K a a t ^ a a nepBaa MHcpa c
Bcex 6eÈTOB c o f l e p * a j i a xpoHorpaMMy BOcmecTBHSt A x ô a p a Ha npecroji (963/1556 r . ) , a x a a m a j i
BTopaa — AaTy pojKAeHH» CajiHMa. B npexjiOHHOM B03pacre OH BepHyjica B poflHbie creHbi H
TaM yMep B 999/1590-91 r. (Badâonî, Muntakhab
II, Calcutta, 1868, 120, 132). B. A. HßaHOB

28

EuÔAuomaca UluSanudoe e Eyxape XVI eaca

339

c o B e p u i H j i B M e c T e c HHM x a ^ a c a c . E o j i b u i H H C T B o c n n c K O B Jjûema
3 T o r o x B a j i , X H ô b i j r o n e p e n a c a H O H M . H OH NACTO 3 a H H M a j i c a
KHHr

fljia

3TO

[CTHXOB]

neperwcKOH

Hero."

coo6ui,eHHe Kara 0 XapaBH TpeôyeT onpeflejieHHoro

KOMMEHTAPNA

H nOHCHeHHH. C p e f l H H3BeCTHbIX H a M n O M e T , OCTaBJieHHblX M a c T e p o M B 1 9
n e p e n H c a H H b i x HM
HHCÔOH Xapaeu
JXAMH

pyKonncax, Mnp KyjiaHrw

HJIH Byxâpâ0û.

(TerepaH,

6-Ka

He

HH p a 3 y

yKa3aji

B M E C T E c T E M , B K0JI0<J>0HE Hycycfi

CajrraHaTH,

ea

CBoeii
3ynaùxâ

N o . 4 7 7 ) , 3 a B e p u i e H H o i i HM B B y x a p e

B 9 6 6 / 1 5 5 8 - 5 9 r . , OH OTMCTHJI C B o e f i HHCÔOH HacacfiQ,

KOTopaa

CJIE^OBAJIA

noaie npo3BaHHJi. CjieflOBaTejibHO, OH n p o n c x o ^ H J I H3 r. H a c a 4 > a (KapuiH).
O H ô b i j i HenoepeflCTBeHHbiM y n e H H K O M 3HaMeHHToro M H P - ° A J I H ajiXapaBH. K 9 5 0 / 1 5 4 3 - 4 4 r., em,e npw >KH3HH H a c r a B H H K a , OH YAOCTOHJICA
n o M e T H o r o n p o 3 B a H H » Kâmuô
Mbi

BCTpenaeM

(Dublin,
rosy,

B

Chester

H Eycmàn

1187),

3aMenaHHH
H

No.

K

nepenncaji

K

213),

Ca C FLH ( P a r i s ,

paôoTaji,

993/1585
Hycycp

ea

( " n n c e u , r o c y f l a p e B " ) . 3 T O T THTYJI

cnncKaM

x e

B

Hacpajijiaxa

Nationale,

963/1556

COOÔMEHHH

cAjuiaMH29)

sibjisictcsi

"HeTbipe

MeKKy

r.

o T O M , HTO M a p
pyKonncb

TaxaBH),

OH y x e

BepHyjica

3yAauxâ

JJxaMH

Persan

XapaBH

rjje
6-Ka

(IIOMHMO

KyjiaHrn yexaji B

KOTopyio

B Byxapy,

No.

Eapaic-xaHa.

ffyKÔMaôà^

Py6àcuuàm-u

(TerepaH,

FLACAMH

B YICA3AHHOM

Suppl.
WIH

Kara0

H O M e p a ) H B K 0 J I 0 ( } ) 0 H e NPHÔABHJI y ACE K C B o e M y
xàdoKOKû,

noaMbi"

HCNOJMEHHOM B B y x a p e

Bibliothèque

TaM

noflTBepacfleHHeM

coôpaHHe

(TerepaH,
JIaxope.

Beatty,

A6y-ji-<I>a3jia
TaM

aA-xcuçâm

noMeTax

nepenHcaHHOM

MaTepHajibHbiM

HH^HIO

ero

OH

nepenncaji

B TOM

ace

Maflxjmca,

HMCHH NPO3BAHHE

B

rojjy
6e3
a/i-

HTO c B H f l e T e j i b C T B O B a j i o o n p o ^ e j i a H H O M H M n a j i O M H H n e c T B e
H MeflHHy.

cAjiJiaMn,30

Kara

0

XapaBH, B nojiHOM corjiacHH c

c o o ô m a e T , HTO M w p

B

A6y-ji-<ï>a3jioM

K y j i a H r n 6 b i j i O,HHHM H3 HCNOJIHHTEJIEH

OTMenaeT, "Diwan-i Marwf', "KOTOPMH coflepxHT Kacbiflbi, ra3ajiH, Kbrr'a, py6a c n B necrb
XyMaiiyHa H rjiaBHbiM o6pa30M A x S a p a " , a TaKKe MHoroHHCJieHHbie xpoHorpaMMbi, n03AHeniuaa H3 K0T0pbix «aeT 983/1575-76 r. npHBefleHHbiii Hamd*udxc aji-a&cap 979/1771-72 r., KaK
roA e r o CMepTH, He noflTBepamaeTCsi OTMCHCHHOH xp0H0rpaMM0H. CM. Concise
Descriptive
Catalogue of the Persian manuscripts of the Asiatic Society of Bengal by W. Ivanow, Calcutta, 1924,
No. 682, p. 303.
29

The Ain-i Akbari,

1872, I, p. 1 1 5 .

TaM * e , c. 120. A6y-ji-<I>a3ji OTMeiaeT neperiHCHHKOB: M n p JlaypH, Mwp KyjiaHrH, Xa<J)H3
MYXAMMAA-AMHH MaiuxaAH H a p . H coo6maeT, HTO STOT npoeKT COCTOHJJ H3 12 TOMOB H 1400
MHHHaTyp, KOTOpwe yKpacmiH Teiccr STHX TOMOB. A6fl aji-Kajmp coofimaeT, HTO BCH pa6oTa
Ham npoH3Be^eiiHeM, COCTOJIBIUHM BMecre c IIlax-HdMe <t>np,uayCH H3 17 TOMOB npoflojiacajiacb
15 JieT, H Ha MHHHATIOPBI K HHM 6bijio HAPACXOAOBAHO MHOTO 30Ji0Ta (Badaoni, Muruakhab,

30

340

Oleg F. AkimuSkin

rpaHÄHC>3Horo npoeKTa Aicöapa, ynacTBy» B nepeiwcice PyMy3-u XaM3a,
HJIH Kuçça-ûuXaM3a.

K coxajiemiio, MII He 3HaeM TOHHWX #ar ero 3CH3HH

H MOXEM noKa TOJILKO yica3aTb ee npn6jiH3HTejihHbie xpoHojiorHHecKHe
pa>iKH: OH po^Hjica B Hanajie 10-x ROJJOB X B. xHßxpbi (1510-1515 rr.) H
yMep,

BHflHMO, BCKope

nocjie

993/1585

r.

Haxe MLI npeAJiaraeM

xpoHOJiorHMecKHH cnncoK Bcex H3BecTHbix HaM flo HacToamero BpeMeHH
pyKonHceö ero paöoTbi. ECTCCTBCHHO, B 3TOT nepeneHb He BKJHOHCHM Te
HeTbipe cnncKa, KOTopbie ÖMJIH oTMeneHbi Bbime:
1. rynucmm

Ca c ^H. Eyxapa, 942/1535-36 r. (TerepaH, 6-xa CajiTaHara,

No. 211).
2. Hjlxäp a/i-MysMap-u lcaöüp. 949/1542-43 r. (OraMÖyji, TonKanbi Capaß
B. 148).
3. Tyxcßam an-axpäp ^ X A M H . 962/1554-55 r . 3 MHHHaTypbi öyxapcKoß
LLIKOJIBI (Lisboa, K. Gulbenkian Collection N o .

124, formerly Claude

Anet).
4. Eycmän CA°AN. 964/1556-57 r . O^NA H3 MHHHATYP ßyxapcKoö IIIKOJIM
FLATHPOBAHA 963/1555-56 r . (Paris, Bibliothèque Nationale, Suppl. Persan
No. 257).
5. Hycycß ea 3yjiaüxä

flacaMH.

Byxapa, 966/1558-59 r . (TerepaH, 6-Ka

CAJITAHATH, N o . 477).
6. rynucmm

CaCFLH. 975/1567-68 r . MHHHATIOPBI öyxapcKoii UIKOJIM

(London, British Library Or. 5302).
7. Hycycß ea 3ynaüxä FLXAMH. Byxapa, iua°6aH 975/4>eBpajib 1568 r . 2
MHHHATIOPBI óyxapcKOH iiiKOJibi (London, British Library Or. 4389).
8. JJûeâH-u Xckßw. Byxapa, 978/1570-71 r. (India, University of Hydarabad).
9. Tyxçfiam an-axpäp J^xaMH. 980/1572-73 r . 2 MHHHaTiopbi öyxapcKoö
IIIKOJIM (Dublin, Chester Beatty, No. 239).

1865, Calcutta, 320). MyxaMMa,n-Ka3HM OTMenaeT, HTO PyMy3-u XaM3a 6bijm no^apeHhi Haj;npniaxy B H H A H H BCJIHKHM MorojiOM Hajinp a/J-ÜHHOM MyxaMMaflOM, a TOT nooöemaji BEPHYTL
KHHTH H3 HpaHa nocjie 03HaK0MjieHHH c HHMH, nocKOjrbKy OH He HMeji HaMepeHHa
KOH(J)HCKOBaTb HX. KaXAblH J1HCT 3THX TOMOB 6blH ÄJIHHOH B 1,5 30pc (OKOJIO 74 CM), a
iiiHpHHOH — B 3/4 3apc (OKOJIO 37 CM). C M . HäMe-üu cÄnaMäpä-üu Hädupü, T. II. H3ä. TEKCTA,
NPEAHCJIOBHE H oöiuaa PE^axi;«* H.H. MnKJiyxo-MaKjiaa. YKA3ATEJIH H AHHOTHPOBAHHOE
orjiaBjreHHe O . N . IUerjiOBOH. M . , 1965, JIJI. 2236-224a. B HacTOjmiee BpeMK B pa3Hbix My3e»x
H COÖpaHHHX MHpa HaCMHTblBaeTC» 152 MHHHaTiopbi H3 9TOrO MHOrOTOMHOrO npOH3BefleHHa.

EuÔAuamem WuSoHudoe e Eyxape XVI eetca

341

10. Tyxipam an-axpàp JJxaMH. 983/1575-76 r. 2 MHHHaTypbi ôyxapcKoô
UIKOJIM (Demotte Collection).
11. MyHmaxa6àm-u Eycmw-u Cacdû. 983/1575-76 r. 2 MHHHaTiopti 6yxapCKOH UIKOJIM (JleHHHrpafl, m B , IIHC 269).
12.

Hycyçfi sa 3yAaùxâ JJacaMH. Byxapa, 993/1585 r. 2 ABOHHWX
MHHHATIOPH ôyxapcKOH UIKOJIBI (TerepaH, 6-Ka M a f l x j m c a , 6/H).

13. Tyxifiam an-axpâp flxaMH. Byxapa. Tpn MHHHaTiopbi ôyxapcKOH
UIKOJIM (JleHHHrpafl, ITIB, Dorn 425).
14. Py6âcuuàm M a p caMHfla MyxaMMa^a ¿{xaMaôac&a. Jlaxop (TerepaH,
coôpaHHe X a ^ x x caiÏHHAa Hacpajuiaxa TaxaBH).
15. Eaûâ3. MHP KyjiaHrH paôoTaji Ha# CIIHCKOM BMecre c MacrepoM
MyxaMMafl-cAjiH aji-KaT|i6oM (CraMÔyji, Tonicanbi Capaâ, No. 1964).
TaKOBbi H3BecrHbie HaM MaTepnajibi, CB«3aHHbie c 4)yHKijH0Hnp0BaHHeM NPHNBOPHOTI ÔHÔjiHOTexH IIlHÔaHHflOB B Eyxape. J^ajibHeHmaa ee
cy^bôa He Bbi3biBaeT COMHCHHH: nocjie NPHXO^A K BjiacTH ^HH3CTHH
AuiTapxaHHflOB (^xaHHflOB, roflbi npaBJieHHH: 1598-1753) 6n6jmoTeKa,
KaK 3aK0HH0e Hacneflae H Tpo<J)eH, n e p e m j i a K HHM. ÛHa crajia OCHOBOH
UeHTpajIBHOH npHflBOpHOH ÔHÔJIHOTeKH,31 IIOCKOJIbKy HOBaa flHHaCTHH
oôocHOBajiacb B Byxape, a CaMapKaHfl — crojiHi^a niirôaHHflOB c 1501 r . —
yTpaTHJi CBOH nepBonpecrojibHbiH ôjiecK.

31
O.F. Akimushkin, A. M. Ivanov, "Une école artistique méconnue: Boxara au XVIIe siècle", —
Art et société dans le monde iranien, Paris, 1982, p. 127-139.

342

The Scotsman of the Gobi

Ildiko BELLER-HANN, Canterbury
About a year ago I was given a curious little book entitled "Examples of the
Various Turki Dialects. Turki text with English translation". The book was
bound in a peculiar fashion and contained various Turkic texts in the Arabic
script with English translation. At first sight it appeared to be hand-written.
However, the English introduction explained that the volume was a
mimeograph copy produced by G. W. Hunter, a member of the China Inland
Mission in 1918 in the province of Sinkiang. Curiosity aroused, I set out to
learn more about the author who appeared to have a thorough knowledge of
some Eastern Turkic languages and of whom I knew nothing. The present
paper is a summary of the data I have collected so far.
First of all, who was George Hunter of Sinkiang, the "Scotsman of the
Gobi", the "Apostle of Turkestan"? George Hunter's name must have been
well known in missionary circles in the first half of this century, especially to
those involved in missionary activities in China, and also to travellers who
actually visited the province of Sinkiang during his long sojourn there. His
personality and life were also deemed worthy of interest by the famous British
missionary ladies, Francesca French and Mildred Cable who devoted a small
book to Hunter's biography (Cable & French 1948). It is from this book that
I borrowed the title of the present paper and it contains a great deal of valuable
information concerning Hunter, enhanced by the fact that Cable and the French
sisters were personal acquaintances and colleagues of George Hunter. French
and Cable's biography is primarily an appraisal of Hunter's activities as a
devout missionary. The aim of the present paper is to draw attention to and
evaluate Hunter's activities as a traveller and to a certain extent, Orientalist.
This seems appropriate as his achievements bear comparison with the work of
many other missionary explorers now well known through their published works. 1

1
See for example the numerous publications by Cable & French. In addition to Raquette's
publications on Eastern Turki the work of the members of the Swedish Mission was also utilised by
Gunnar Jarring: 1975-76, 1979-80, 1984-85.

344

Ildikd Beller-Hann

George Hunter was born in Aberdeenshire in Scotland on 31 July 1862. He
lived in Wales in his youth and it was here that he became absorbed in
religious studies. He started work as a missionary in China in 1889 and died
there, in northwest Kansu, fifty-seven years later, in 1946. During his long
stay in China he visited his home country only once, in 1900. He started his
missionary work in Kansu and moved to the province of Sinkiang in 1906. He
spent the rest of his life, i. e. nearly forty years, in this province. During his
time there he visited the coast twice, once when attending a Missionary
Conference in Shanghai (1907), and once to escort back to Sinkiang a new
group of young missionaries (1932). Apart from these visits he did not leave
the province. He was based in the provincial centre, Urumchi, or, as he liked
to call it, Tihwa and represented the China Inland Mission. For most of his
time there he lived in relative isolation, alone apart from the short periods of
time during which he had the company of Europeans. The only exception was
the long companionship of a fellow missionary, Percy Mather, whose
dedication to the mission matched Hunter's. Mather joined him in Urumchi in
1914 and stayed there until his death in 1934. Throughout his stay in Sinkiang
Hunter witnessed enormous changes there. It was a result of some of these
changes that he was eventually accused of being a British spy and imprisoned
in Urumchi for thirteen months, before being required to leave the province for
good. He was then deported to Kansu where he spent the next four years.
Towards the end of his life he slowly tried to make his way back nearer to the
border of Sinkiang. He got as far as Kanchow, where he died without being
able to return to his chosen home. 2
Hunter was first and foremost a devout Protestant missionary dedicated to
evangelising. But working in a large province in an environment of many
different peoples, languages and even religions meant that to do his work really
well he had to learn a lot about these cultures and above all he had to master
the languages. That he did so with great enthusiasm and good results is proven
by a number of references in his own writings as well as materials in his
biography and other sources. He became a keen translator of Christian works
and we shall see that he had a particularly deep interest in the language and

2

This biographical sketch is based upon Cable & French 1948; Cable & French 1935; BentleyTaylor 1947; Cable 1947.

The Scotsman of the Gobi

345

culture of the Turkis. 3 In this respect his activities were complemented by
those of Percy Mather, his long-term companion, who "lost his heart to the
Mongols" (Cable & French 1935, 153).
What traces can be found of his activities in Sinkiang today? As far as his
missionary work is concerned the results can be considered as meagre, in spite
of all his hard work. 4 But we are more interested here in what must have been
of secondary importance to him, i. e., his scholarly work. Compared to
materials by some other missionaries working there, his heritage is not so
substantial. There are various reasons for this. One of them is his own taciturn
nature which inhibited him from ever writing at length for a large audience. In
Mildred Cable's words "... he ... knew Turkestan, where he had spent some
forty years, as no living man knows it. He was aggravatingly reticent about his
findings, and travellers who visited him hoping to learn something of the social
and political conditions of the land where he lived were baffled as their
questions were met with a courteous phrase which told them nothing, and when
the distinguished old man had bowed and bade them farewell at the door of the
mission compound they realized that he had imparted with but little information
and committed himself to no line of judgement" (Cable 1947, 321). Behind this
tendency to silence must also have been an awareness that any judgement,
particularly concerning political developments in the province, might have
jeopardized his own missionary work there. In spite of such guarded attitudes
he was to be accused of spying and even imprisoned and tortured in old age
merely for staying on after all the other foreign missionaries including the well
established Swedish mission, had left the province. 3 A second reason behind
the relatively limited size of his heritage follows directly from the unfortunate
turn of events referred to above. To quote Cable again, "The cruelest blow to
George Hunter was that on being expelled from the country he was never
allowed to revisit his home or even to collect his valuable books and
manuscripts. Where they have been scattered no one knows" (Cable 1947,
321).

3

Hunter uses the term Turki to refer to the Turkic speaking group which later became known as
"modern Uighur."

4

For example, Bentley-Taylor talks about the "absence of much visible result from his work":
1947, 14.

3

On the Swedish Mission see for example Hogberg 1911; Raquette 1939.

346

Ildikó Beller-Harm

So, what has survived of his immense knowledge accumulated in the course
of nearly forty years? We do have some of his diaries published in various
issues of a journal entitled "China's Millions", the main organ of the China
Inland Mission. There have also been some other shorter articles published by
Hunter in other periodicals and finally we also possess two little volumes
written and produced entirely by himself. The total remains modest, but it is
enough to suggest that Hunter should also be appreciated for his travellers'
accounts and linguistic activities as well as for his proselytising.
His writings were inspired by several factors. A knowledge of several local
languages enabled him to translate the Scriptures, to preach directly to the
people without an interpreter, and to sing hymns, a favourite practice with
children. But his professional interest was coupled with a natural curiosity
which compelled him to study. This is clear in some articles written to transmit
general information concerning Sinkiang.6
1. General articles
In spite of the relative dryness of his style Hunter's writings are not without
sharp and appropriate perceptions and even his prejudices are revealing. His
description of his first encounter with Muslims in China echoes a number of
prevalent stereotypes: "Here [in Hochow] the Mohammedans are much more
active and more successful in business than the Chinese.... The Mohammedans
have a trait of character which the Chinese call kien, a word which seems to
mean both cunning and deceitful.... The Mohammedans themselves seem
particularly fond of fighting... Some of the Hochow Mohammedans are fairly
smart in argument.... Of course all the Mohammedans are not rascals, and
some of them have been exceedingly kind to me" (Hunter 1911, 5). The bias
of the educated Christian missionary is expressed in the following: "The Sart
[Turki] as a whole are extremely bigoted and ignorant. Their own books are
few, and alas! full of superstitions and lies" (Hunter 1920a, 170).
In his description of Muslims in China Hunter also comments on the
relationship between Muslims and Tibetans. According to him the Muslims are
keen on doing business with Tibetans within Tibet itself, an attitude
6

It seems appropriate to note that even in the 1980s one could come across a similar type of
missionary in Sinkiang, i. e., who in addition to or rather parallel with his evangelical work also
studied local cultures.

The Scotsman of the Gobi

347

characteristic of the Muslims only, since "as a rule the Chinese do not dare to
go into the heart of Tibet" (Hunter 1911, 6). This is why many of the Muslims
live on the border of Tibet and learn some Tibetan. Tibetan Lamas often took
Muslims as interpreters to Peking. In the same passage Hunter also quotes an
example of the deceitfulness of Muslims, who apparently cheated Tibetans with
false silver on a regular basis (Hunter 1911, 6).
In several of his articles Hunter gives general descriptions of the peoples of
Sinkiang. It is in these relatively short writings that he actually seems ready to
reveal at least some of his accumulated knowledge of the area. Of course,
today, when more detailed and up-to-date accounts abound, his writings may
be seen as imprecise and inadequate. But at the time interest was only just
turning towards this area, and while details of the expeditions of Sven Hedin,
Aurel Stein and others were given increasing publicity, a general overview
such as Hunter provided was still very much needed. The above quoted general
article also contains some interesting details about Muslim groups in the areas
that he knew personally, i. e. Kansu and Sinkiang. He gives some data
concerning the distribution of the Tungans in the province of Sinkiang, naming
the cities of Hami, Karashahr, Urumchi, Manass and the cities of the Hi district
as their major centres. Hunter makes particular mention of the Salars, a group
which is still relatively little known in the province of Kansu. He recognizes
their language as "a sort of Turki now mixed with Tibetan" (Hunter 1911, 7).
At the time, according to Hunter, many of them did not speak Chinese at all.
More comprehensive is his article on "The Chinese Moslems of Turkestan"
(Hunter 1920a). In this he classifies the Muslims of Sinkiang into five groups,
namely the Sarts, the Kazaks, the Kirghiz, the Tungans and the Tatars. His
information is particularly detailed on the modern Uighurs whom he called
Sarts of Turki, also introducing their Chinese name Ch'an T'eo or Wrapped
Heads. In the best missionary tradition he comments bitterly on the high rate
of illiteracy among them, and mentions the abortive attempts on the part of the
Chinese government to teach them Chinese. Here a good summary of the
Christian literature available in their own language is given, and reference is
made to other educational publications including an English Turki Grammar
prepared in Kashgar and printed in Europe, by which he no doubt means
Raquette's Eastern Turki Grammar.
Hunter also produced a general article on "Islam in Central Asia" (Hunter
1930) which takes a less balanced standpoint. In it the Christian missionary's

348

Ildikd Beller-Hann

prejudices are clearly articulated, although most of the article is devoted to an
overview of the nineteenth century history of Sinkiang. It is flavoured with
several anecdotes about the personality of Yakub Beg, which no doubt were
still being related by people as popular mythology. Another of his articles
entitled "Islam in Northwest China" (Hunter 1923) appeared in the Current
Topics section of the Moslem World and in it Hunter concentrates on recent
events. Though not without biased generalizations, his article is revealing of
the situation in Sinkiang under Chinese rule. After describing the various cruel
actions of the Chinese military commander, a Yunnan Muslim called Ma,
Hunter sums up the state of affairs as follows: "Many of the Mohammedans
themselves are quite content with this backward policy. The only thing they do
not like is the interference with their financial matters, which is also being
done now on a large scale through the use of paper money, etc. A large
amount of hard cash, land property, house property, goods and live stock are
in the hands of high officials, while the merchants and poorer people have to
accept government local paper money, now one-fourth of its face value and still
going lower" (Hunter 1923, 204).
Two more articles must be mentioned in this same context. Although they
were not actually written by Hunter they were evidently inspired by him. Even
his style is reflected in the writing of his colleague, Percy Mather, when
supplying a brief account of his impressions in Chuguchak. Among the
descriptions of the local ethnic groups, including the Tatars, Kazaks, Mongols,
Manchus, Chinese, Turki and Russians, biased generalizations are juxtaposed
to observations which give more insight into the social stratification of the
place: "The Tatars are exceedingly kind and the finest Mohammedans I have
ever met. Many of them are merchants and comprise the wealthiest class here.
They are very intelligent and about eighty per cent of them can read.... The
Kazaks of Chuguchak are mostly poor people, and I have marvelled to find
them so honest.... The Manchus and Mongols are mostly from the country and
the mountains and are naturally shy.... The Chinese are mostly merchants and
engrossed in money matters.... The Russians are very numerous in Chuguchak,
many of them being poor refugees" (Mather 1932, 24).
Finally, we may note an anonymous article published in the Journal of the
Central Asiatic Society (1930) entitled "The Peoples of Sinkiang". The author
is aiming to provide a more structured account of the peoples of Sinkiang, first
by classifying them into gropus (settled indigenous population, the nomads, and

The Scotsman of the Gobi

349

immigrants) and secondly by analyzing their physical characteristics and their
nature. The materials are grouped according to geographical localities, e. g. the
Turkis of Altishar, the Turkis of Kumul, of Turfan, various Mongol groups,
etc. In spite of his aspiration to a more structured presentation the author is
soon carried away by the kind of generalizations already familiar from Hunter's
writings, and it does not come as a surprise that at the end he thanks G. W.
Hunter and P. Mather for the valuable information they had supplied.
Hunter's immense knowledge was utilized by contemporary scholars in a
different way, too. In his journals he often gives information concerning the
estimated size of the population in the places he visited. Marshall Broomhall
quotes this statistical data, although he also warns that Hunter's estimates seem
exceedingly high compared to available Chinese figures as well as the numbers
quoted by Raquette. At the same time he acknowledges Hunter's superior local
knowledge (Broomhall 1911, 1).
2. The Diaries
What I call his journal consists of reports written in the form of a diary
which he dutifully sent to the mission headquarters. Unfortunately the editors
usually published these in an abbreviated form so that often the whole text was
rewritten and the first person was replaced by the third. The style and shape of
these diaries are such that we can safely assume that they were regularly kept
on a day to day basis. It is hoped that at least the full text of Hunter's diaries
as sent to his mission will be recovered in the near future. 7 I have been able
to piece the published extracts together and evaluate the information conveyed.
The diaries were abbreviated in such a way that sections referring to the
author's evangelising achievements were preserved as he wrote them. Typical,
recurring sentences are "My audience, which was composed of Chinese,
Tongan, Turki and Mongol, listened very well" (Hunter 1912, 130). On other
occasions he comments on the negative attitude of the local mollahs to his own
activities: "Many of them [the local people] have been willing to purchase
portions of Scripture in Arabic and Chinese, although the Mullahs prevent the
people buying the Arabic portions when possible" (Hunter 1911, 6). "I heard

7

At present for technical reasons the archives of the Overland Missionary Fellowship (previously
China Inland Mission) cannot be consulted, but this situation is expected to improve in the near
future.

350

Ildikô Beller-Hann

a Mohammedan beggar-preacher speaking about [against] the Gospels and the
books I am selling" (Hunter 1907, 147). "I tried to sell books and tracts in the
bazaar, but failed, some of the Mullahs being rather rude" (Hunter 1913, 43).
It is evident that the less emasculated extracts from these diaries reveal a great
deal more than his evangelizing achievements.
I would like to argue that Hunter's diaries even in their present incomplete
form have the same value as other travellers' descriptions. Although he spent
a long time uninterrupted in Sinkiang based in Urumchi he also spent a great
deal of his time travelling around the province and in very difficult
circumstances. The diary extracts include descriptions of some of his travels.
Hunter's style may lack the eloquence of French and Cable's numerous
fascinating books and may be less engaging than the letters sent home by his
colleague and friend, Percy Mather. 8 However, Hunter's writings also provide
us with a number of interesting details. He always gives accurate descriptions
of the route taken and his reports are rich in facts about the size of the
population at a particular locality, stereotypes of various groups, anecdotes,
historical allusions accumulated while preaching in the bazaars, in shops, in
inns, in the streets, and even in mission hospitals. In other words his diaries
have all the essential ingredients for inclusion in the ranks of late nineteenth
and early twentieth century Central Asian travel literature.
The journal also includes descriptions of his initial journey from Kansu to
Sinkiang, a trip from Urumchi to Kashgar and repeated visits to Ili. Early
entries which were published more fully include descriptions of basic facts
about various towns such as Kanchow, Suchow, Korla, Kucha, and Aksu.
These accounts outline the size and ethnic composition of the population, the
market day, occasionally the physical characteristics and even wildlife of the
environment, and other details he found important. For example the city of
Aksu is described as a "double city. There is a Chinese Aksu and a
Mohammedan Aksu, the Muhammedan city being quite distinct from the
Chinese city" (Hunter 1907, 147). Like in other travelogues, there are
numerous passages about the difficulties he encountered. Although such
descriptions are frequently inserted to increase the appeal of exotic travel
accounts, in Hunter's case the motif was probably to warn young missionaries
before they commit themselves to working in such a place.
8

The letters Percy Mather sent home to members of his family are frequently quoted by Cable &
French in their 1935 biography.

The Scotsman of the Gobi

351

The difficulties he encountered were both physical and spiritual. The former
can be illustrated by a paragraph under the title "A Specially Trying Day",
which was published as usual in an abridged form mostly in the third person:
"March 11th was a 'specially trying' day. His cash and cash bag were stolen.
His progress was hindered by official interference, a 'trick' he styles it. 'When
we had gone ten li from Sin-ho, through a very bad road, a soldier brought us
back, saying that we could not cross a certain river further on. (I think this was
only a trick to detain us.) We went to Shan-tan Hsien by another route. I found
that the Yong-chang Hsien magistrate had sent a criminal in chains to be
escorted with me. Arrived at Shan-tan Hsien rather late and tired. I fear I have
not been victorious today.'" (Hunter 1906, 43). Other similar incidents include
his being robbed (Hunter 1907, 145) and his house nearly burning down
(Hunter 1913, 44). Difficulties of other kinds must have included the relative
lack of response to his evangelizing efforts, and later on the changing political
siutation, which must have made his life there increasingly difficult. We have
no reports presently available for this period, but short announcements
expressing concern for his safety and well-being appear regularly (CM 1940,
vol. lxvi/4, 59; 12; CM 1941, vol. lxvii/1, 47).
Hunter's diaries often allude to major social problems that were also
prominent in the writings of other missionaries working in China. 9 Among
these were opium smoking and gambling, two of the many evils Christian
missionaries felt strongly about. "We learned ... that there is still a little opium
secretly grown in the back recesses of the mountains, and in the midst of the
large pine forests. ... We passed some opium fields but saw no person near
them. The planters conceal themselves like robbers" (Hunter 1912, 129).
"Outwardly one does not see any opium smoking, but gambling goes on
openly, and short sticks, issued by gamblers, are used as current coin" (Hunter
1912, 130).
Hunter's criticism of low moral standards is familiar from nineteenthcentury travel accounts10: "In Kashgar and Yarkand, and many other places,
the marriage laws are very loose, wives are divorced for little or no reason,
9

Issues such as the struggle against footbinding, gambling and opium-smoking, together with
medical and educational campaigns, often appear in the West China Missionary News. Protestant
missionaries provide a great deal of information concerning the geography, climate, local customs,
folklore and even literatures of various peoples of China.
10

Cf. Warikoo (1985), 103^.

352

Ildikd Beller-Ham

and thus they are left homeless and friendless. The Turki people are also very
poor, and are thus tempted to sell their daughters. For these and other reasons
the country is filled with Turki prostitutes, which one would scarcely ever see
among the Tungan Mohammedans" (Hunter 1911, 6).
Banditry, murder and the general lack of security are also often commented
upon (Hunter 1910b, 155; Hunter 1913, 44-5; Hunter 1920b, 21). Incidents
regarded as criminal activities which seem to have had political implications
include the vivid description of the burning of Urumchi by a rioting crowd
which reacted to the killing of an innocent soldier by a military officer (Hunter
1910b, 155).
In another place a description of how social discontent is articulated in the
form of ethnic conflict is summed up on the basis of events the author
witnessed among Kansu Muslims in 1895: "... at Hochow I had the opportunity
of seeng how a rebellion starts. It is not unlike a pestilence in the air. Evil
rumours begin to spread, and the Chinese in fear begin to remove their
belongings into the city. The well-to-do Mohammedans did not wish for a
rebellion, but the rude and baser sort who had nothing to lose were only too
glad of an opportunity for loot. This lower class was stirred up by the Mullahs,
and they set in motion evil rumours concerning a plot on the part of the
Chinese to massacre the Mohammedans. Counter rumours were not wanting on
the Chinese side, and thus the quarrel started..." (Hunter 1911, 6). In general
Hunter tries to avoid topics of political nature, but occasionally he cannot
refrain from commenting on the major events effecting everyday life in
Sinkiang, e. g. the beginning of the Revolution in Sinkiang in the end of 1911
(Hunter 1913, 44).
The system of tax collecting among the Mongols is also shown to underlie
social discontent and ethnic conflict: "Some Mongols visited out tent; also two
Tongans, who were collecting the horse-tax and had got into trouble, the
Mongols threatening to beat them.... The tax is farmed out by the Government
to a Tongan who sends these other men to collect as much as they can. This
plan is also a source of trouble and danger in Ili, the taxes on timber and hides,
etc. being farmed out to Tongans, so that timber is now six or more times the
price that it used to be" (Hunter 1920b, 21). Hunter's descriptions of some of
the ethnic groups in the province are very rich. He devotes a letter to the
Manchus (Hunter 1909, 172) and a paragraph to the Chinese immigrants and
the social context they find themselves in (Hunter 1908, 170).

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353

Some of the most interesting diary extracts are ethnographical, e. g. his
description of a Muslim shrine near Tumchuk: "Mazar ... is the site of an old
grave supposed to be that of some great saint. The people of Turkestan are
very fond of paying homage to these old graves, though probably many are
merely the graves of Buddhist monks. Two large hollows in the mountain are
pointed out as the foot-marks of the horse, ridden by a sage who dismounted
when he was near the grave and did homage" (Hunter 1913, 43).
3. Language work
There is ample evidence of Hunter's conscious efforts to master and to use
some of the local languages. Hunter went to Sinkiang with a working
knowledge of Chinese. He soon realized, however, that "it is absolutely
necessary to be able to read and to speak this language [i. e. Kashgari Turki
today known as modern Uighur] to work among them. A knowledge of
Chinese is not necessary for work among these people, though it would
sometimes be helpful" (Hunter 1911, 7). This statement remains true to a
certain extent even today.
A short notice published in CM (Martin 1907, 161) tells us that "... not
only has he [G. Hunter] found it necessary to know Chinese, but he has had to
learn some Arabic, and we hear that he is now studying Turkish, that he may
preach the Gospel to the Mahometans." In his diaries Hunter reveals that he
spent some time at Kargalik, working and studying Turki with Mr O. Anderson
of the Swedish Missionary Society. Eventually he also passed his first
examination in this language set by the Swedish Missionary Society (Hunter
1910a, 13). According to his biographers Hunter also became acquainted with
the Kazak, Manchurian, and Mongolian languages (Cable & French 1948, 54).
Hunter's translating activities have been referred to by a number of sources.
In 1919 CM writes that the Gospels according to Matthew and Mark and the
Acts were translated by him into the Eastern or Altai dialect of the Kirghiz
Turks (CM 1919, vol. xxvii, N. S. 18-9). Elsewhere the Editorial Notes reveal
that Hunter had completed work on a Kalmuk dictionary (CM 1931, vol. lvii,
237).
Hunter also produced at least two small books which are not translations of
Christian literature from English into the native tongues. These are Muslim
texts translated from Turkic languages into English. The books were written

354

Ildikó Beller-Ham

out in hand and reproduced on a small mimeograph machine. The Turkic texts
were transcribed by a mollah called Abdul Kader in the Arabic script, while
the corresponding English translations appear in Hunter's own handwriting.
Finally, it was Hunter himself, who printed the works. Cable and French give
a description of the production of the first of these two books: "The coarse
paper was made from local material, often from the leaves of the desert iris,
and the format was the usual style of Chinese books, with each sheet written on
one side only and folded back to back. The sheets were stitched together by a
deft Chinese workman and made a neat volume" (Cable & French 1948, 59).
Cable and French do not mention the second volume, and presumably did not
know of it. Though Hunter apologizes for the poor quality of his publications
in the preface to each of these volumes it must be regarded as an achievement
in a land with virtually no printing tradition of its own." The technique
allowed the production of only a limited number of copies, i. e., no more than
a hundred at one time.
As for the contents of the two volumes, they must also be regarded as
remarkable achievements. They reveal Hunter's deep interest, bordering on the
scholarly, in the languages and cultures of Sinkiang. What else could explain
the fact that a Christian missionary who in his journals is very critical of the
ways of the Muslims should spend many long hours in 1916 translating long
sections from one of the most popular Muslim works, "The Narratives of the
Prophets" from Kashgari Turki into English? Hunter got to know this text
while studying Turki, since this was the standard textbook used by the Swedish
missionaries for their Turki examinations. Hunter's reason for preparing this
book was purely intellectual: "thinking that the translation might be of interest
to students of Turki and to those engaged in work among Mohammedans"
(Hunter 1916, introduction). He therefore must have realized that his mission
stood a better chance of succeeding if he got to know the religion and culture
of the local people as well as he could. This underlying idea is even more
overtly expressed in his other volume produced in Urumchi in 1918. The
Preface of this book entitled "Examples of the Various Turki Dialects" reveals
that the translator/editor/publisher had complex motives: in addition to wanting
to give examples of the various Turkic dialects spoken in the province he also

11

See: Hartmann (1904).

The Scotsman of the Gobi

355

wanted "to give an idea of the thoughts that are now occupying the minds of
some of these Turki Mohammedans" (Hunter 1918).12
From a phonological point of view his texts are of little value, since both
his volume and the "Narratives of the Prophets" give the Turkic text in the
Arabic script. However, his selection of texts is interesting because they reflect
those ideas Hunter thought of as having current importance to Muslims of
Turkestan at the time. His selection covers a larger area than just Chinese
Turkestan. He also includes texts which somehow found their way into
Sinkiang from what we have got to know as Soviet Central Asia, e. g.
contemporary newspapers printed in Tashkent. Others have been copied from
locally available hand-written books, printed schoolbooks, and other obscure
sources. His choice of passages reflects the intense cultural ties and exchanges
which were characteristic of the province at his time. Muslim intellectuals in
Sinkiang were indeed heavily influenced by the writings of their enlightened
and generally more educated co-religionists in Western Turkestan. The fact that
Hunter saw in such writings a true reflection of Muslim concerns in Turkestan
in general also points to the cultural continuity between these regions, which
later on became artificially devided. Finally, Hunter's textbook also shows that
he recognized the importance of the study of the various Turkic dialects. As he
expressed it in his characteristically modest way in his preface: "The book
embraces a wide and new field and the writer is conscious that the work is not
perfect. Still he hopes that it may be both interesting and helpful to students of
the Turki dialects" (Hunter 1918).
Part I gives examples of the Kazak dialect. The stories are partly taken
from a Reader published in Kazan, 1912. Hunter uses the examples to illustrate
the new way of punctuation as well as the fact that some mollahs were trying
to use modern methods in teaching. This is followed by extracts from a book
entitled "My Life When Young" by A. A. Jandebeif, published in Kazan in
1907. Hunter chose this partly because of the ethnographic details it contains
concerning the traditional Kazak way of life, their customs and manners, partly
because of the enlightened attitude of the author striving for education. A brief
survey of contemporary Kazak newspapers follows, with a quotation from an

12

There is a problem with terminology here. In most of his writings Hunter tends to refer to the
Turkic majority of Sinkiang, in other words the modern Uighurs, by the words Turki or Sort,
although occasionally he talks about their language as Kashgari Turki. Here the term Turki is used
in a collective sense refering to all the Turkic languages he was familiar with.

356

Ildikó Beller-Ham

advertisement for the newspaper "Kazak" for the year 1918, and some short
anecdotes taken from a book published in Orenburg complete this section.
Part II presents texts from the "Tartar Turki dialect" with English
translation. First animal fables taken from a Tatar schoolbook (Kazan 1911) are
presented, with an inserted paragraph by the editor on the principal Turkic
languages of Central Asia. A short article quoted from the Tatar newspaper
"Yold'iz" describes the violence suffered by Muslim village priests from their
own congregations in the district of Kazan. This is followed by an extract from
"The History of the Turki Tartars" 13 (Kazan 1916).
According to its title, Part III deals with texts written in the Uzbek dialect.
The editor's notes however reveal another inconsistency of terminology, since
in addition to Uzbek texts he also presents "Kashgar Turki and Kirghese Turki"
texts here "as they have much in common" (Hunter 1918, III, 1). After
indicating the distribution of the Turki [Sart] and Kirghiz population in Chinese
Turkestan an extract from the Uzbek translation of a Persian book is given.
More interesting than the actual text is the brief grammatical note at the end in
which Hunter discusses the major differences between Uzbek and Kashgari
Turki. The chapter is concluded by a brief illustration of Kashgari Turki. This
text was taken from a manuscript which had been copied out about eighteen
years before at a place called Jai-terek, near Karghalik. The book bears the title
"The Memoir of His Holy Eminence Jalaloodeen", a saint from a village near
Aksu. "His spirit is supposed to help students in their literary studies.
Jalaloodeen originally came from Bokhara. The family Memoir is continued
down to the death of Jalaloodeen's great-grand-son Fahradeen who died at
Aksu." It seems certain that Hunter chose the text because of its ethnographic
value, since the quoted paragraph relates a legend about the founding of the
city of Yarkand.
Finally, Part IV demonstrates "Stamboul Turkish", which proves that
Hunter really wished to create as complete a textbook of the Turkic languages
as he could.
It is evident that Hunter's undertaking was extremely ambitious and
inevitable that the result would be incomplete. Even today readers which cover
all the Turkic dialects are few and far between and the availability of texts
from various regions is very uneven. Hunter's undertaking was a pioneering
This is Hunter's rendering of the title "The History of the Turko-Tatars".

The Scotsman of the Gobi

357

one and in spite of its shortcomings its place in the history of Turkic philology
deserves recognition.
To conclude, Hunter's name should be added to the list of those who
pioneered scholarly research in Central Asia. I hope to be able to trace more
of his manuscripts in England, but these are probably only a small part of what
was left and presumably lost in China.

Abbreviations
CM = China's Million
MW = Moslem World
Bibliography
BENTLEY-TAYLOR, D . 1947: "Hunter of Sinkiang — A Tribute", CM lxxiii/2,
13-14.

BROOMHALL, Marshall 1911: "The Mohammedan Population of China", MW
i/1, 32-53.
CABLE, Mildred 1947: "Rev. George W. Hunter, M.B.E.", MW xxxvi/4,
320-1.
CABLE, Mildred & Francesca FRENCH 1935: The Making of a Pioneer. Percy

Mather of Central Asia, Hodder & Stoughton, London.
CABLE, Mildred & Francesca FRENCH 1948: George Hunter. Apostle of

Turkestan, London, China Inland Mission.
HARTMANN, Martin 1904: "Das Buchwesen in Turkestan und die türkischen
Drucke der Sammlung Hartmann", MSOAS vii/2, Berlin, 69-103.
HOGBERG, L. E. 1911: "Missions in Chinese Turkestan", MW i/2, 131-5.

HUNTER, GeorgeW. 1906: "The Regions Beyond", CM xiv,New Series, 43-46.
— 1907: "The New Province", CM xv, N. S., 145-8.
— 1908: "Another Journey in Sinkiang", CM xvi, N. S., 168-70.

Ildikö Beller-Hann

358

— 1909: "Manchurian Tribes in Chinese Turkestan", CM xvii, N. S., 172.
— 1910a: "Travelling in Chinese Turkestan", CM xviii, N. S., 12-13.
—

1910b: "Chinese Turkestan—A Journey and a Deliverance", CM xviii,
N.S., 152-5.

— 1911: "Among the Mohammedans in China", CM xix, N. S., 5-7.
— 1912: "InSinkiang", CM xx, N. S., 128-30.
— 1913: "Travelling in the New Province", CM xxi, N. S., 42-45.
— 1916: Mohammedan Narratives of the Prophets covering the period from
Zacharias to Paul. Turki text with English translation, Tihwafii.
—

1918: 'Examples of the Various Turki Dialects'. Turki text with English
translation, [Urumchi],

— 1918a: "Travelling Among the Quasaqs", CM xxvi, N. S., 16-17.
— 1920a: "The Chinese Moslems of Turkestan", MW x/2, 168-71.
— 1920b: "Among the Qazaqs", CM xxviii, N. S., 20-21.
— 1923: "Islam in Northwest China", MW xiii/2, 203-5.
— 1930: "Islam in Central Asia", MW xx/1, 20-23.
JARRING, Gunnar 1975-76: Gustaf Raquette and Qasim Akhun's Letters to
Kamil Efendi. Ethnological and Folkloristic Materials from Southern
Sinkiang, edited and translated with explanatory notes by Gunnar Jarring,
Scripta Minora Regiae Societatis Humaniorum Literarum Ludensis,
1975-76.1.
— 1979-80: Materials of Ethnological Interest in Swedish Missionary Reports
from Southern Sinkiang, Scripta Minora Regiae Societatis Humaniorum
Literarum Ludensis 1979-80.4.
— 1984-85: The Moen Collection of Eastern Turki (New Uighur) Proverbs
and Popular Sayings, edited with translation, notes and glossary by Gunnar
Jarring, Scripta Minora Regiae Societatis Humaniorum Literarum Ludensis
1984-85.1
MARTIN, J.
MATHER,

G. 1907: "Trophies of Grace in Kan-suh", CM xv, N. S., 161-2.

Percy

1932:

"In Far Sinkiang", CM

1932, 24-25.

"The Peoples of Sinkiang" 1930: Journal of the Central Asian Society 17,
232-6.

The Scotsman of the Gobi

359

RAQUETTE, Gustaf 1912: Eastern Turki Grammar, Stockholm.
— "An Ordeal in Central Asia", MW xxix/3, 271-4.
1985: "Chinese Turkestan During the Nineteenth Century:
Socio-Economic Study", CAS iv, no. 3, 75-114.

WARIKOO, K . B .

West China Missionary News 1901-1911.

A

360

Leon Barszczewski's Collection of Photographs from
Russian Turkestan and the Bukharan Emirate as a
Historical and Ethnographical Source
Zbigniew JASIEWICZ, P o z n a n

The aim of this paper is to present information about the exceptionally
valuable collection of photographs from Turkestan, mainly from the area of the
Bukharan Emirate, created by Leon Barszczewski. The collection is not generally known as yet and has rarely been used by researchers. I would also like
to discuss the basic sources connected with the collection and the state of its
condition.
Leon Barszczewski was an officer of the Tsar's army, at the end of his life
a colonel, stationed in Turkestan in the years 1876-1896 and 1897, principally
in Samarkand. He travelled a lot, also as a participant of scientific expeditions,
accompanying among others a botanist, V.I. Lipskij, and a geologist, V.D.
Sokolov. He maintained contacts also with other travellers and scientists,
including G. P. Banvalot and V. V. Bartol'd.
His personal history, reports, and travel notes, which he left, some of them
published, as well as memoires of people who knew him, allow us to reconstruct the routes of his travels, and provide evidence of his wide interests in
geography, geology, glaciology, botany, zoology, anthropology and also in
history, archaeology, and ethnography. He was highly valued both in scientific
circles—he received a silver medal of the Emperor's Russian Geographic
Society—and among photographers—he was awarded a gold medal at the Paris
exhibition in 1885 and another gold medal at the 1st Exhibition of Photography
in Warsaw in 1901, for his photographs from Central Asia.
The photographic collection created by Leon Barszczewski may be analyzed
as a separate form in itself, or the analysis can be broadened to reflect the ups
and downs of the author's life, his aims and the values he believed in. He
learned, for instance, many crafts apart from photography. He regarded the
mastering of technical, medical, handicraft and artistic abilities as a necessary
supplement to the military and general education and preparation for travels.
His scientific interest, in turn, could develop as a reaction to certain difficulties

362

Zbigniew

Jasiewicz

in his military carrier, reflecting his Polish nationality and, in addition, his
refusal to accept the Russian Orthodox faith, even if, at that time, the latter did
not result in expulsion from the army. Apart from photography, the real
passions of Leon Barszczewski included collecting natural, archaeological, and
ethnographical items. The collection gave origin to the museum in Samarkand.
Signs of his documentary and collecting passion are noticeable in the photographs. While photographing, the author had consciously been creating documents, choosing interesting objects and photographing not only people but also
their tools and other belongings. He was not a relativist and appraised local
culture mainly by European criteria, but on the other hand he appealed for a
better understanding of this culture. He showed a humanistic approach. He
sympathized with peasants, pointed to the subordinated position of women, deplored cruel punishments in the Bukharan Emirate, among others, the construction of gallows in public sites and capital punishment for stealing. He
maintained close links with the local population. His long term guide and
friend, Jacob Ismaildjanov, is regarded nowadays by Tadjiks to be one of the
first representatives of a modern Tadjik intelligentsia. Leon Barszczewski
commited suicide in Czestochowa in 1910.

The photographic collection of Leon Barszczewski includes 590 glass plates
stored in the Reprographic Laboratory, University of Warsaw, a number of
photographs stored by other academic and museum institutions, and other
photographs known from publications. The chest with glass plates survived the
siege of Warsaw in 1939 and the demolition of Warsaw during the uprising in
1944 in a cellar. Most of the photographs originate from Central Asia, some
from Manchuria. The photographs illustrate most diverse objects. Geographic
photographs are most frequent, including views of glaciers in the Central Asian
mountains, but more than 100 photographs are of ethnographic value. Many
photographs deal with architecture, political history, presenting e.g. officials of
the Emir's court and the Bukharan army, some photographs are of
anthropological and archaeological type. The descriptions of the photographs
are, unfortunately, very general. Some of the photograph descriptions were
made on pieces of paper and glued to the glass plates by the author, but have
become detached and lost. In my opinion Leon Barszczewski's collection is the
second most important after the famous Turkestan Album produced by
photographers from Sankt Petersburg in the 1870s by order of the governor of

Leon Barszczewski's Collection of Photographs

363

Russian Turkestan, general K. P. Kaufman. The Leon Barszczewski collection,
however, also contains photographs from distant regions of the Bukharan
Emirate and for that reason is not comparable but complementary to the
Album.
The photographs deserve elaboration and publication. A complete list of
photographs taken by Leon Barszczewski does not yet exist. Only a few of
them were published in Polish and Russian books and journals which are
difficult to obtain. Notes and articles written by Leon Barszczewski as well as
biographical information needs to be collected and elaborated as well. Marek
Bero, who in the 1970s ascertained the place of preservation of the Leon
Barszczewski collection of glass photographic plates, received new biographical
materials from the family of the traveller and evaluated the collection as an
important ethnographical source made more so by the knowledge about Leon
Barszczewski's life and works. The most important task now is to publish all
of Leon Barszczewski's photographs. They are valuable for historical and
ethnographical studies and need to be available to scholars interested in Central
Asia.1
Basic Archival Materials and Bibliography
Leon Barszczewski's collection of glass photographic plates in the
Reprographic Laboratory, University of Warsaw (Pracownia Reprograficzna
Uniwersytetu Warszawskiego, ul. Krakowskie Przedmiescie 32, 00-927
Warszawa).
Leon Barszczewski's collection of photographs in the Institute of Ethnology,
Adam Mickiewicz University in Poznan (Instytut Etnologii Uniwersytetu im.
A. Mickiewicza, ul. Sw. Marcin 78, 61-809 Poznan).
Leon Barszczewski's biographical and scientifical materials (mainly manuscripts) in the Archive of the Polish Academy of Sciences (Archiwum Polskiej
Akademii Nauk, ul. Nowy Swiat 72, 00-330 Warszawa).

1

A number of photographs by Leon Barszczewski, including the portrait of the previous bek of
Kurgan-Tjube (no. 2) have recently been published in: Bukhara {Caught in Time. Great Photographic
Archives), series editor: Vitaly Naumkin; compiler: Andrei G. Nedvetsky; intr. by D. Y. Arapov.
Reading (Garnet) 1993. (Red.)

Zbigniew Jasiewicz

364

M. J. (1897), "Geographische Erforschungen im Russischen
Asien", Geographisches Jahrbuch no. 20.

ANUTSCHIN

V. V. (1966), Raboty po arxeologii, numizmatike,
etnografii. Socinenija vol. 4, Moskva.

BARTOL'D

epigrafike i

Wklad Leona Barszczewskiego do poznania kultury ludöw
Azji Srodkowej, MS in the Institute of Ethnology, Adam Mickiewicz
University, Poznan.

BERO M . ( 1 9 7 6 ) ,

M. (1983), "Obraz kultury ludow Azji Srodkowej w materialach Leona
Barszczewskiego", in Z. JASIEWICZ, Kultura i zycie spoleczne Azji
Srodkowej, Poznan.

BERO

Z. (1976), "Polacy jako badacze i obserwatorzy kultury Azji Srodkowej i Kazachstanu", in BABICZ J . , KUCZYNSKI A., Historia kontaktow
polsko-rosyjskich w dziedzinie etnografii, Wroclaw.

JASIEWICZ

(1894), Kratkij otcet o naucnoj komandirovke v Srednjuju Aziju,
Sanktpeterburg.

JAVORSKD J .

LEJKO K. (1989), "Pierwsza wystawa fotograficzna w Warszawie w 1901
roku", Fotografia no. 1.
LIPSKLJ

V.l.

(1902),

Gornaja Buxara, vol.

1,

Sanktpeterburg.

O. (1956), Obzor russkix puteSestvij i ekspedicij v Srednej Azii, vol.
5, Moskva.

MASLOVA

MOROZOV S.A. (1953), RusskieputeSestvenniki

ifotografy,

Moskva.

J. (1963), "Leon Barszczewski — podroznik i fotograf",
Fotografia no. 6.

SUNDERLAND

List of Photographs
1 Bazaar at the foot of Bibi-chanum. Samarkand.
2 The previous bek of Kurgan-Tjube.
3 A peasant group presenting house, agricultural and craft tools, and utensils.
On the wall of the building interesting marks in a white clay. Site unknown.
4 Presentation of ploughing by a poor peasant. Site unknown.
5 Presentation of the net and the way of fishing. Amu-Darja.

Soviet Publications on Afghanistan for the Last Fifteen
Years

Kinga MACIUSZAK, Krakow
It is well known that the sovietisation of Afghanistan started much earlier
than the 1979 Soviet invasion or even the coup in April 1978. Indeed Soviet
publishers, journalists, and writers and even many academics, being fundamentally at the mercy of official propaganda, were keeping the events in Afghanistan secret from the Soviet public. Most of them in fact simply did not know
what was happening. It is also obvious that in the Soviet bloc countries media
and official publications used to be inextricably linked to the interests of the
state and no political events were covered without bias and censorship.
"If truth is the first casualty of war reporting, then the Afghan conflict has
been the best example of a fragmented and inconsistent presentation in the
Soviet media and publications'", as one writer put it, referring to the fact that
reports were confined to themes like soldiers sacrificing themselves to save the
lives of their fellow comrades.
This paper, based on approximately one hundred publications, aims to compare, on the one hand, Soviet publications of the Brezhnev, Andropov, and
Chernienko periods, when the intensity of the war was increasing, and on the
other hand, Soviet publications from the Gorbachev era. The first part provides
some analysis of Soviet publications on the Afghan issue during the pre-Gorbachev years, both before and after the 1978 coup. The aim is to underline the
intrinsically interrelated nature of official foreign policy pronouncements and
the limitations on reporting placed upon Soviet publishers during this period.
The second part highlights how the changes under Gorbachev, the relative
openness and new political thinking, influenced Soviet publications on
Afghanistan.

1
Ali T. Sheikh, "Not the whole truth: Soviet and Western media coverage of the Afghan
conflict", Conflict Quarterly, Fall 1990, p. 73.

366

Kinga Maciuszak

Soviet publications in the pre-Gorbachev years
Soviet interest in Afghanistan increased long before the coup of 1978. Precoup publications of the sixties and seventies, although not very numerous,
differed from the later ones. They referred to such seemingly indifferent
questions as: history, economics, culture, and philology. To judge from their
titles, many were relatively neutral from an ideological point of view—except
say Kh. Nazarov's "Lenin about Iran and Afghanistan" (Lenin ob Irane i Afganistane), printed in 1960 in Dushanbe—but their political character was
obvious: Sh. Zaripov, "Agricultural productive resources in contemporary
Afghanistan" (Proizvoditel'nye sily sel'skogo khoziaistva sovremennogo Afganistana), Dushanbe 1972; "On the cotton plantations development in Afghanistan" (Kvoprosu o razvitii khlopkovodstva v Afganistane), in "Near and Middle
East", Moscow 1967 (by the same author); "The second five-year plan of
economic development of Afghanistan 1962/63-1966/67" (Vtoroi piatilenii
plan ekonomicheskogo razvitiia Afganistana 1962/63-1966/67) in "Problems of
economics and history of the Near and Middle East countries", Moscow 1966
(also the same author); Kh. Nazarov, "Characteristics of national movements
at the end of the nineteenth century in Afghanistan" (K kharakteristike narodnykh dvizhenii v kontse 19 veka v Afganistane), Dushanbe 1969; and also by
this author "Relations between Bukhara and Afghanistan from the middle of the
eighteenth to the beginning of the twentieth century" (Vzaimootnosheniia
mezhdu Bukharoi i Afganistanom s serediny 18 veka do nachala 20 veka),
published in Tajiki language in Dushanbe 1963. All of them can be treated as
preparations of ideological ground for future influences. More titles can be
found in W. A. Romodin's work dealing with the history of Soviet research on
Afghanistan in 1919-1979: "Studies on Afghanistan in the USSR" (Izuchenie
Afganistana v Sovetskom Soiuze), which was published in Moscow 1983 in the
volume "Near and Middle East; economics and history".
After the 1978 coup and the problems that developed afterwards, Soviet
publicists had to put a new complexion on the matter. Not only journalists and
press reporters but also most of the scientists and academics writing the many
books and articles on Afghanistan were strongly subordinated to the state
censorship. There were of course some scientists who cherished ambitious
aspirations to promote objective science (for instance in Leningrad), but in
those years they did not publish much that ran counter to what was issuing
from Moscow and Dushanbe circles, which had much more at stake politically

Soviet Publications on Afghanistan

367

and were helpful to the official policy. And so, during the Brezhnev period,
Soviet publications projected only the official policy. They covered the military
conflict in highly ideological terms and mostly wrote about the history, economy, and culture of Afghanistan. They dealt with supplementary or marginal
questions or showed how good Soviet friends helped the Afghans scientifically
describe their culture and history. In the contents of the volume "Afghanistan—problems of history, economics, and philology" (Afganistan - voprosy
istorii, ekonomiki i filologii) edited by M. A. Babakhodzhaev and published in
Tashkent in 1978, we can find such articles as A.Sh. Shamansurova, "On the
ethnogeny of some Turco-Mongolian nations in Afghanistan" (K etnogenezu.
nekotorykh tiurko-mongolskikh narodov Afganistana) and T.G. Abaeva, "On the
problem of archaic layers in Kafir mythology" (K voprosu ob arkhaichnykh
sloiakh kafirskoi mifologii). Nobody so much as mentioned the sociocultural
change caused by the war. At that time Soviet publishers virtually ignored the
war—even the use of the word "war" was not allowed by the censorship
authorities. The principal emphasis was placed on changes offered by new
ideology. One of the Soviet academics, D. Saidmuradov, in his work "Afghan
studies in Tajikistan" (Afganistika v Tadzhikistane), glorified the 1978 coup,
writing: "The April revolution of 1978 has opened up new possibilities for
Soviet-Afghan cooperation in politics, economics, and culture. Intellectuals
from both sides are cooperating to establish freedom and understanding
between our nations." 2 This quotation is a good example of the typical slogans
and catchwords of the time; communist jargon was in full swing.
In practice, throughout the Brezhnev years Soviet media and official
publications referred to the Afghan war as "the Afghanistan problem"; never
did they mention the actual participation of Soviet forces. They tried to obscure
unpleasant political reality by all possible means. In the period 1978-1981 the
following were published: "Afghanistan achieves independence" (Afganistan
zavoevyvaet nezavisimost') by N. A. Khalfin in "Problems of history" No 6,
1980; "New Afghanistan" (Novyi Afganistan) by Kh. Nazarov and S. Merganov, Dushanbe 1980; "Revolutionary Afghanistan" (Afganistan revoliutsionnyi) by G. A. Poliakov, Moscow 1980; "Under the Afghan sky. Notes by a
military correspondent" (Pod afganskim nebom. Iz zapisok voennogo korrespondenta) by T. Gaidar, Moscow 1981; "Democratic Republic of Afghanistan
2

D. Saidmuradov, "Afganistika v Tadzhikistane", in Afganistan: istoriia, ekonomika, kul'tura, ed.
lu.V. Gankovskii, Moscow 1979, p. 73.

368

Kinga Maciuszak

— a guide book" (Demokraticheskaia Respublika Afganistana - spravochnik),
edited by M. Arunova, Moscow 1981; "Agreement between the equal ones. On
the 60 years of the Soviet-Afghan treaty on friendship and cooperation"
(Dogovor ravnykh. K 60-letiiu sovetsko-afganskogo dogovora o druzhbe i
sotrudnichestve) by N. A. Khalfin in "The new world" (Novyi mir), No 1,
1981; "April revolution and national-democratic tradition of the Afghan
literature" {Aprel'skaia revoliutsiia i narodno-demokraticheskie traditsii
afganskoi literatury) by G. F. Girs in the volume: "Afghanistan: past and
present", Moscow 1982; "The Democratic Republic of Afghanistan at the new
stage of the April revolution" (Demokraticheskaia Respublika Afganistana na
novom etape aprel 'skoi revoliutsii) by G. A. Muradov—the same volume as
above; "Problems of nation and nationalism in historical science and journalism
of Afghanistan during the period of monarchy" (Problemy natsii i
natsionalizma v istoricheskoi nauke i publitsistike Afganistana v period
monarkhii) by V. B. Svetozarov in the volume "Contemporary historiography
of the East. Criticism of bourgeois nationalism", edited by L. P. Polonskaia,
Moscwo 1977; "Afghan armed forces in the beginning of the twentieth
century" (Vooruzhenny sily Afganistana v nachale 20 veka) in the series
"Countries of the Middle East", by S. Shokhumorov, Moscow 1980; and
"Soviet-Afghan cooperation. Lenin's order at work" (Sovetsko-afganskoe
sotrudnichestvo. Leninskii zavet v deistvii) by L. B. Teplinskii in the volume
"Afghanistan: past and present". All are typical examples of the Soviet policy
of publication on Afghanistan in those years.
Generally Soviet publications during this period can be viewed from two
distinct levels: ideological and political. On the ideological level, the Soviet
publications focused on reforms undertaken by the People's Democratic Party
of Afghanistan (PDPA), particularly the agrarian reforms, the historical value
of the Soviet-Afghan good neighbourly relations and the ethnic relationship and
linguistic sameness of both sides. The most noteworthy publications of this
period are: "USSR and Afghanistan 1919-1981" (SSSR i Afganistan
1919-1981) by L.B. Teplinskii, Moscow 1982; "Afghanistan at the initial stage
of independent development 1919-1929" (Afganistan na nachal'nom etape nezavisimogo razvitiia) by W. G. Korgun, in "Afghanistan: past and present";
"The People's Democratic Party of Afghanistan in its fight for social liberation
of the working class" (Narodno-demokraticheskaia partiia Afganistana v bor'be
za sotsial'oie osvobozhdenie trudiashchikhsia) by the same author, Moscow
1983; "The Great October and Afghan sociopolitical idea on the eve of the

Soviet Publications on Afghanistan

369

restoration of independence" (Velikii Oktiabr' i obshchestvenno-politicheskaia
mysl' Afganistana nakanune vosstanovleniia nezavisimosti) by D.Ia. Ochil'diev,
in "Afghanistan: economics, politics, history", Moscow 1984; "At the sources
of Soviet-Afghan relations" (U istokov sovetsko-afganskikh otnoshenii) by W. A.
Romodin in the same volume; "Traditions of Soviet-Afghan friendship" (Traditsii sovetsko-afganskoi druzhby) by M.R. Solov'eva and A. A. Svetlov, same
volume as above; "Agrarian legislation of the Democratic Republic of Afghanistan" (Agrarnoie zakonodatel'stvo Demokraticheskoi Respubliki Afganistana) by A. D. Davydov, Moscow 1984.
It is obvious that all these publications appeared when the intensity of the
war in Afghanistan had increased, when the Afghans were fighting for their
independence, when people were dying, but not one word about this major
conflict was printed. As we might also sucspect, the aggressor's propaganda
focused on improving the level of ideological consciousness and on showing
Afghans advantages from the establishing of communist power, all the while
writing as if there were no military problem. Again and again Soviet authors
quoted the works of Marx and Engels. The following passage is typical: "The
methodological basis for scientific inquiries on Afghanistan is determined by
classics of Marxism-Leninism, such as Capital by K.Marx and Origins of the
family. . . by F. Engels".3 In political contexts, all the emphasis was on the
regional and global aspects of the conflict, most of it about Pakistani support
and American and Chinese military supplies. Moscow constantly minimized the
scale of both the Afghan resistance and the Soviet involvement.
It was not until 1983-84 that Soviet publications made any mention of
Soviet military activity in Afghanistan, and it was only after the middle of 1984
that they admitted that Soviet soldiers were being killed in Afghanistan—"killed
in the fight for liberation of their Afghan friends" was the formula. After 1984
they began to report more often the existence of Soviet casualties; reports were
written by journalists attached to the Soviet troops. Soviet soldiers were
glorified and depicted as heroes. "A dawn of freedom over Kabul" (Zaria svobody nad Kabulom) by N. A. Khalfin and "The place of service—Afghanistan"
(Mesto sluzhby - Afganistan) by A. Nikonenko, both published in 1985 in
Moscow, were the first Soviet publications on the war to be influenced by the

3
R. Makhmadshoev, Tadzhiki Afganistana v novoe
kharakteristika), Moscow 1989, p. 1 (manuscript).

vremia

(Istoriko-etnograflcheskaia

370

Kinga Maciuszak

campaign for openness. Generally, the Soviet publications did not report in any
detail on the political and military situation in the country or even the existence
of widespread conflict there.
In discussing Afghanistan, propagandists often mentioned non-Russian
Soviet Socialist Republics. Such republics as the Uzbek SSR, Ukrainian SSR,
Georgian SSR, and Tajik SSR were to help their Afghan friends in finding the
only right way to democracy and liberation. In these republics academic circles
and societies were working on: "The contribution of the Ukrainian Republic to
the development and cooperation between the Soviet Union and Afghanistan"
(Vklad Ukrainskoi SSR v razvitie sotrudnichestva mezhdu Sovetskim Soiuzom i
Afganistanom) by I.G. Maiidan, Moscow 1984; "The Democratic Republic of
Afghanistan" (Demokraticheskaia Respublika Afganistana) by D. Abdurrazakova, published in Tashkent 1985, in Uzbek; "Studies on Afghanistan in
the Uzbek SSR" (Izuchenie Afganistana v Uzbekistane) by M. G. Pikulin and
A. Ia. Sokolov, Moscow 1984; "Some aspects of the ethnic history of the Tajiks
in Afghanistan" (Nekotorye aspekty etnicheskoi istorii Tadzhikov Afganistana)
by R. Makhmadshoev, Dushanbe 1987; "Studies on the Tajiks of Afghanistan
in the USSR" (Izuchenie Tadzhikov Afganistana v SSSR), in "Countries of the
Middle East" by the same author, Moscow 1980; "On the Afghan messenger
Khosein Ali's route to the homeland in 1837" (O marshrute afganskogo
poslannika Khoseina Ali na rodinu v 1837) by L. Kh. Baazov, published by
Izvestiia AN Gruzinskoi SSR, t. 101, No 2, Tbilisi 1981.
Publications on Afghanistan under Gorbachev's leadership
Reporting and publishing on the Afghan war expanded as glasnost' did. As
glasnost' began to open the way for change in the USSR by 1986, the style of
writing began to show signs of change. In the first years of Gorbachev's
leadership, some new trends in reporting on Afghanistan in general and the war
in particular were noticeable. In 1986 and 1987, the changes in Soviet publications were still rather small and very cautious and to some extent the
publications can be treated as mere continuations of the work of the previous
epoch. But that seems to be understandable as the result of their having been
written and prepared earlier: "Soviet-Afghan relations and their bourgeois
falsifiers" (Sovetsko-afganskie otnosheniia i ikh burzhuaznye falsifikatory) by
R.T.Rashidov, Tashkent 1986; "National-democratic changes in Afghanistan"
(Natsional'no-demokraticheskie
preobrazovaniia v Afganistane) by Iu.V.

Soviet Publications on Afghanistan

371

Gankovskii, in "Social sciences", No 4, Moscow 1986; "The experience of
antifascist front lines and its relevance for the Democratic Republic of
Afghanistan" (Opyt antifashistskikh frontov i ego znachenie dlia Demokraticheskoi Respubliki Afganistana) by Z. Daraugar, in "The victory of
socialism over fascism and the world revolutionary process", Moscow 1986;
"Islam and nationalism in Afghanistan" {Islam i natsionalizm v Afganistane) by
V. G. Korgun, in "Islam and the problems of nationalism in the countries of the
Near and Middle East", edited by Iu.V. Gankovskii, Moscow 1986; "Friends
and enemies. Afghan memories" by T. A. Amangildin, Agizel No 9, 1987. This
last work, written by a professor of physics and mathematics who worked at
Kabul University between 1984 and 1986, gives an account of Soviet "aid" to
Afghan education. This publication also proves that frank opinions on Afghan
problems, which had not before been tolerated by the censorship, were starting
to appear in official circles. The author reports, drawing on his own
experience, that most of the professors teaching in Afghanistan had been
trained in the USSR and had been forced to work there.
As I mentioned before, the campaign for openness in the Soviet press on
these difficult issues regarding the war began gradually to unfold in 1985.
Although such sensitive topics as drug abuse and excessive censorship could
now be honestly discussed, many others still remained taboo. The new style of
reporting on Afghanistan was pioneered by Artyem Borovik, the son of wellknown political commentator and chairman of the Soviet peace committee
Genrikh Borovik; he started publishing reports on the Afghan war outside the
USSR, in the USA: "The sounds of war and peace" (published 18 April 1988
in US News and World Report) and "What kind of war was this?" (30 May
1988). He is also the author of "The hidden war"—a journalist's account of the
Afghan war, first published in the USSR in 1990 by the International Relations
Publishing House (published simultaneously in Canada and the USA). As we
read in the foreword: "This book is a record of Artyem Borovik's experiences,
living and travelling with the Soviet soldiers, going into combat with them and
sharing the terror, helplessness, and despair of waging war in a foreign land
against an unseen enemy for unclear purposes. It explains how and why Soviet
troops went into Afghanistan, describes the drug problems and psychiatric
disorder prevalent among veterans, and concludes with an account of the

372

Kinga Maciuszak

Russian withdrawal and its aftermath." 4 There is a suspicion, however, that
even now, some Soviet writing on Afghanistan and the war deliberately intends
to manipulate Western public opinion, to obscure and even deny the reality.
Some people believe that there are those who have been given that task to
fulfil. Generally, however, under Gorbachev, the Soviet media and Soviet
publications have moved from a spirit of self-congratulation to one marked by
frustration, cynicism, and national soul-searching that produces such titles as
"They fulfilled their duty. Notes by a diplomat" (Vypolniali svoi dolg. Zapiski
diplomata) by V. Ivanenko, Moscow 1990; "Return from Afghanistan"
(Vozvrashchenie iz Afganistana) by N. Strel'tsova, Moscow 1990; and
"Afghanistan: What is the Islamic opposition achieving?" (Afganistan: chego
dobivaetsia islamskaia oppozitsiiaT) by V. Spol'nikov, Moscow 1989.
During the last fifteen years Soviet publications manipulated public opinion
and could provide a lead for the policy changes on Afghanistan. Nowadays,
because of all the political changes that have taken place, Soviet interest in
Afghanistan will surely wane. One can reasonably hope that the character of
the remaining interest will be more objective and scientific. Earlier I alluded to
the Afghanologists of St Petersburg. In January 1988 they established an
inofficial organisation called Seminar for Afghan Studies. They are working on
the promotion and development of serious scholarly interest in Afghanistan,
particularly its cultural and ethnic history. The committee of the seminar is
preparing an initial volume for publication. Titled Afghanistan: Country and
People, it includes contributions from scholars from the USSR, Germany, and
Afghanistan.
In concluding this description of Soviet publications on Afghanistan, I must
mention the relevant linguistic works and very numerous dictionaries. The most
noteworthy are: Z. M. Kalinina, "The linguistic situation in contemporary
Afghanistan and the activity of the Afghan Academy of Language and Literature, Pashto Tolyna" (Jazykovaia situatsiia v sovremennom Afganistane i
deiatel'nost' afganskoi akademii iazyka i literatury Pashto Tolyna) in the
volume "Linguistic Policy in Afro-Asiatic countries", Moscow 1977; A.L.
Griunberg, "Outline of Afghan (Pashto) grammar" (Ocherk grammatiki afganskogo iazyka), Leningrad 1987; L.N. Kiseleva, "The Dari language of Afghanistan" (Dari iazyk Afganistana), Moscow 1985; R. I. Remizovskaia, "Con-

4

A. Borovik, "The Hidden War", London 1990.

Soviet Publications on Afghanistan

373

sonantism of the Pashto language in the light of experimental data: labial stop,
fricative consonants, and front stop consonants", in Vestnik Moskovskogo Universiteta No 3, July/September 1989; B.Ia. Ostrovskii, "A Manual of the Dari
language" (Part 1) - in preparation. Between 1978 and 1989, seven dictionaries
of either Pashto or Dari were published in the USSR.

374

Manchu Shaman Materials in A. V. Grebenscikov's
Archives

Tatiana A. PANG, St. Petersburg
In the 18th - beginning of the 20th centuries Russia was the center of the
Manchu studies outside China. All the oriental materials acquired by the
Russian Orthodox Mission in Peking (established in 1715) and by Russian
scholars and diplomats were brought to St. Petersburg to the Ministry of
Foreign Affairs and the Library of the Imperial Academy of Sciences. These
collections laid the foundation to the holdings of the Leningrad Institute of
Oriental Studies, USSR Academy of Sciences. The Oriental documents are kept
in the Manuscript Department, while personal notes and texts in Russian or
Latin transliteration written by Russian scholars were summoned in the Archives of Orientalists. Among the files of the Archives are the materials of
A. V. GrebenScikov, one of the most prominent Russian manchurists. Not much
is known about this scholar, whose work greatly influenced the further development of the Soviet Manchu studies. Thus I would like to tell some words on
his professional life, that could be traced from his personal documents.
Aleksandr Vasiljevic GrebenScikov was born on July 29, 1880, and died in
the besieged Leningrad on October 15, 1941.
In 1902 he entered the Oriental Institute in Vladivostok as an external
student. At that time the Institute, founded in 1899, became the center of
Russian practical Oriental studies and prepared many outstanding specialists in
the modern history, economy, and culture of the peoples of the Far East. In
1906 A. V. GrebenScikov was accepted as a student of the 4th course, and the
year after, in 1907, he graduated from the Institute's Department of Chinese
and Manchu studies. He remained at the Institute for post graduate research
and future teaching.1
In 1907-1908, A. V. GrebenScikov studied the main works in modern linguistics, mostly phonetics of the spoken language. Later, in 1912, being a
1

Izvestija Vostocnogo instituía. (Newsletter of the Oriental Institute). Vladivostok, 1900, vol. 11,
suppl. 1, 9-10.

376

Tatiana A. Pang

professor of the Oriental Institute, he organized the Laboratory of Experimental
Phonetics. At the opening ceremony he said that the aim of their work was to
register with the necessary technical equipment the Manchu speech, especially
at the moment "when it is pushed aside by the Chinese language".2 This linguistic work was one of the main interests of the scholar, who was one of the
first specialists in comparative Tungus-Manchu studies.
In 1911, A. V. GrebenScikov was on his research at the Oriental Faculty of
St. Petersburg University, where he defended his master dissertation titled "The
Description of a Manchu Shamanistic Document in the Manchu Language". On
his return to Vladivostok in 1911 he was appointed as executive professor of
the Chinese-Manchu Department of the Oriental Institute3. From December
1921 on he was a full professor of the Linguistic Department.
In 1922-1923 Prof. GrebenScikov lectured at the Department of General
Linguistics of the Institute of Peoples Education in Chita. From 1923 to 1927
he was the dean of the Oriental Faculty of the Far-Eastern Institute (the former
Oriental Institute) in Vladivostok. From 1932 on GrebenScikov worked in the
Far-Eastern Branch of the USSR Academy of Sciences. He published more
than 50 works on Chinese and Manchu languages, culture, and literature.4
Many of them were based on materials and documents collected by him during
his nine ethno-linguistic expeditions to North-Eastern China between 1908 and
1927.
In 1935 A. V. GrebenScikov moved with his family from Vladivostok to
Leningrad and was assigned a post at the Institute of Oriental Studies, USSR
Academy of Sciences. His scholarly research aimed at translating Manchu
documents into Russian and giving scholarly commentaries to them. At that
time the scholar returned to a problem which had attracted him since the times
when he was a student, namely, Manchu shamanism. It was in Leningrad that
GrebenScikov translated into Russian the "Hesei toktobuha manjusai wecere

2

Ibid., 1912, vol. 13, suppl. 2, p. 99.

3

On GrebenScikov's linguistic research and his Manchu course at the Institute see: T. A. PANG,
"A historical sketch of the Manchu language studies and teaching in Russia", CAJ, vol. 35, no. 1-2,
1991, 135-136.

4

A list of GrebenScikov's works is given in "Bibliographical note, compiled by the Oriental
Society, for recommendation of A. V. GrebenScikov for his work in the Academy of Sciences",
Archives of Orientalists, file 57, inventory 2, no. 1.

Mancha Shaman Materials in A. V. GrebenScikov's

Archives

377

metere kooli bithe" ('Book of the sacrifices of the Manchus, imperially ordained'). Unfortunately this manuscript has not been published.
World War II interrupted the work of A. V.GrebenScikov and the immediate
siege of Leningrad, which started on September 8, 1941, brought cold and
hunger to the city. Professor GrebenScikov died on October 15. Later on his
wife gave his archives to the Leningrad Institute of Oriental Studies, where he
had worked during his last years.
As was mentioned above, all the documents in Manchu are now kept in the
Manuscript Department, while Grebenscikov's personal notes and Manchu texts
in Russian transliteration are preserved in the Institute's Archives of Orientalists (fund 75, inventories 1 and 2). In this paper I shall discuss these personal
notes of the scholar which are not known to a broader public.
Professor GrebenScikov's papers contain his notes on languages, cultures,
the economy, and the geography of China, his expedition diaries, and some
drawings made during his trips to Manchuria. Among them one can find
interesting and valuable records of original Manchu songs and prayers that
were recited during shamanistic ceremonies. Grebenscikov himself called them
documents that, on one hand, give "the characteristics of shamanism and, on
the other hand, contain the necessary data and instructions for the shaman, to
whom the Daghurs, the Manchus in the village, the Solons, and the Orochens
address as the spiritual and physical doctor.5" From this point of view, notebook no. 47 (inventory 1) is of special interest. This notebook comprises texts
on the shamanistic ritual: Wecere juktere sain ehebe tuwarangge bithe ('The
book to consult what is good and wrong in sacrifices', la-4b); Targacun tolon
ehe sain juwan Ilmun Han ('List of precepts about ten evil and good Sovereigns of Hell', 5a-9a); SiySS wen di juktehe i kumun maksi be toktobuha
wasimbuha selgeri hese ('Imperially ordained and issued decrees on sacrificial
music and dances at the Xiao-wen-di temple', 9b-12a). After these decrees
Greben§cikov put down the words and musical notes of the sacrificial shamanistic song, and on 14-15 there are the drawings of the shaman's hat mahala
and his sleeveless jacket with a description of its decoration.
Notebook no. 48 (inventory 1) includes Manchu stories taken down by
Professor Grebenscikov in Aigun and Hulguri during his stay there from
5

A. V. GREBENSCIKOV, Kratkij ocerk obrazcov manczurskoj
Manchu literary samples), Vladivostok, 1909, p. 19.

literatury (A short sketch on the

378

Tatiana A. Pang

August 22 to September 1, 1917. GrebenScikov's informants were Manchus of
different ages, like the 15 year old Yan Dong-shan (the story on pages 36-38)
and the 66 year old Fuci Lode (13-18). A 35 year old Manchu named Kitara
Go-yu told GrebenScikov the shaman song Keiku gaitan node uculeme (19-20)
and Weceku i gisun ('The words told during sacrifices to Heaven'; p. 21). All
these notes are of ethnographical interest, since they concern the everyday life
of the people. The notebook is completed by two cradle-songs written in
Russian transliteration (39-40).
The main work contained in Professor GrebenScikov's archives is the
Russian translation of Hesei toktobuha manjusai wecere metere kooli bithe
('Book of the sacrifices of the Manchus, imperially ordained'). This book of
rituals, compiled in 1747 by the order of the emperor Qian-long, has the
regulations for the services and contains a great number of illustrations of
temples, sacrificial utensils and others. This text was for the first time partly
translated into French by L. Langles in 1804, and a complete French translation was done by C. DeHarlez in 1887.® Both of them considered the text to
be an example of original Manchu literature, while later B. Laufer had doubts
about its authenticity, seeing its roots in the "ancient Chinese state cult and
religion, slightly touched by Buddhist influence"7. This statement is based on
the emperor's foreword, which explains the necessity of unification of different
versions of the shamanistic texts and ceremonies. Laufer gave some harsh
remarks on De Harlez' translation and requested a new critical translation of
the text.
We know about Professor GrebenScikov's preparatory work and the translation itself from a great number of written remarks in the notebooks (inventory
1: no. 19, 1-39; no. 69-71), which formed the basis for the typewritten text of
the translation (inventory 1: no. 72-73). The work of Grebenscikov is the only
existing and complete Russian translation of the "Book of the sacrifices of the
Manchus, imperially ordained". It is a rare and important source for the studies
of Manchu culture and religion, because every chapter of Grebenscikov's work

6

L. LANGLÈS, Rituel des Tartars Mantchoux. Paris, 1804; C. DEHARLEZ, La religion
des tartars orientaux mandchous et mongols avec le Rituel tartar. Bruxelles, 1887.
7

nationale

B. LAUFER, "Skizze der manjurischen Literatur", Keleti Szemle no. 9, Budapest 1908, repr.
Bloomington 1968, p. 1-53 (p. 40).

Manchu Shaman Materials in A. V. Grebenfiikov's

Archives

379

contains a detailed commentary on almost every historical and cultural subject
met in the Manchu text.
The work on this translation demanded for a thorough knowledge of the
shamanistic literature on Siberian shamanism and the shamanism as practized
along the Amur river, which is very close to the Manchu ritual. This explains
the fact that GrebenScikov's archives also include his notes on the shamanism
of the Mongols, the Oroches, and the Golds, as well as summaries of Russian,
European, and Japanese articles (inventory 1, no. 21-22; inventory 2, nos. 5,
22, 26).
Professor GrebenScikov's drawings and photographs of shamans, which
were made during his trips to Manchuria, deserve special attention. No. 22
(inventory 1), for example, contains the drawing of a shamaness with a drum,
done in black ink (p. 79). The shamaness is dressed in the ritual costume and
wears a belt with bells and a hat with a mirror on the forehead and a magpie
on top. This drawing is done in the same manner as the picture of a shamaness
on the front page of the manuscript NiSan saman i bithe which is preserved at
the Institute. The manuscript had been acquired in Manchuria by GrebenScikov
and was first published by M. P. Volkova8. It is now known all over the world.
On page 80 of the same file there is a picture of the shaman, done in lilac
pencil with inscriptions and explanations, for example, "imcen — a special
drum; toli — an iron mirror on the breast; sisa — copper bells and iron tubes,
fixed to the belt".
File no. 24 (inventory 1) contains a collection of photographs of a shaman
with a drum, dressed in ritual costume.
A. V. GrebenScikov's materials on shamanism are rather important for
scholarly research, because not much is known on Manchu shamanism. GrebenScikov's translation of the "Book of the sacrifice of the Manchus" is waiting
for publication. Professor GrebenScikov's work is the only Russian translation
of this document which includes a detailed scholarly commentary, and in the
near future no better Russian translation could be done.

8

M.P. VOLKOVA, Mian saman i bithe ('The tale of the shamaness NiSan'), Moskva, 1961. (Anew
edition with facsimile, translation and commentary has recently been published: Kniga o Samanke
Nisan'. "Nisan saman-i bithe". St. Petersburg 1992 (Fol'klor norodov Man'czurii 1) — Red.)

380

Tatiana A. Pang

The drawing of a Manchu shamaness, done by A. V. GrebenScikov (f. 75,
inv. 1, no. 22, p. 97).

Manchu Shaman Materials in A. V. GrebenScikov 's Archives

381

The drawing of a Manchu shaman, done by A. V. GrebenScikov, with explanations in Manchu and Russian (f. 75, inv. 1, no. 22, p. 80).