Professional Documents
Culture Documents
ȁDzǸ·
ȀȘȎȥȡȘȀǥ
ȘȎțȒȖȒȎȠȢȳșȜșȜȑȳȥțȖȣțȎȡȘ
ȒȜȤȓțȠȘȎȢȓȒȞȖȳțȜȕȓȚțȜȴȢȳșȜșȜȑȳȴȠȎȝȓȞȓȘșȎȒȡ
ǰȳțțȖȤȪȘȜȑȜȠȜȞȑȜȐȓșȪțȜȓȘȜțȜȚȳȥțȜȑȜȳțȟȠȖȠȡȠȡ
ǸȖȴȐȟȪȘȜȑȜțȎȤȳȜțȎșȪțȜȑȜȠȜȞȑȜȐȓșȪțȜȓȘȜțȜȚȳȥțȜȑȜȡțȳȐȓȞȟȖȠȓȠȡ
5($/,$7<3(6$1'675$7(*,(62)7+(,575$16/$7,21
,1)5$0(62)&8/785$/75$16/$7,21
6XPPDU\ 7KH DUWLFOH KLJKOLJKWV WKH LVVXH RI UHDOLD 7KH SXUSRVH RI WKH DUWLFOH 7KXV WKH DLP RI WKH FXUUHQW
DQG WKH FKDOOHQJHV D WUDQVODWRU IDFHV DWWHPSWLQJ WR UHQGHU DUWLFOHLVWRKLJKOLJKWWKHPRVWFRPSUHKHQVLYHH[LVWLQJFODVVLIL-
WKHPLQWRWDUJHWODQJXDJHDQGFXOWXUHWKHGH¿QLWLRQVDQGFODV- FDWLRQVRIUHDOLDVXPPDUL]HWKHVWUDWHJLHVRIUHDOLDWUDQVODWLRQ
VL¿FDWLRQV RI UHDOLD KDYH EHHQ UHYLVLWHG LQ IUDPHV RI FXOWXU- DQGXQYHLOWKHFULWHULDDIIHFWLQJWKHWUDQVODWRU¶VFKRLFHRIWKHDS-
DOWUDQVODWLRQUHDOLDDUHDOVRGLVFXVVHGLQWKHDUWLFOHLQWHUPV
RI WUDQVODWLRQ HTXLYDOHQF\ FRQFHSW WKH VWUDWHJLHV DQG SURFH-
SURSULDWHVWUDWHJ\
GXUHVRIUHDOLDWUDQVODWLRQDUHRXWOLQHGLQWKHDUWLFOHDVZHOODV 7KHWHUPUHDOLDUHIHUULQJWRFXOWXUDOHOHPHQWVKDVEHHQVXJJHVW-
WKHFULWHULDDIIHFWLQJWKHFKRLFHRIWKHWUDQVODWRUZKHQDSSO\LQJ HGE\6,9ODNKRYDQG63)ORULQ>@7KHWHUPKDVHYROYHGWRUHIHU
WKHPLQWUDQVODWLRQSUDFWLFH WRREMHFWVFXVWRPVKDELWVDQGRWKHUFXOWXUDODQGPDWHULDODVSHFWV
.H\ ZRUGV FXOWXUDO WUDQVODWLRQ UHDOLD VRXUFH ODQJXDJH LQÀXHQFLQJWKHVKDSLQJRIDFHUWDLQODQJXDJH
VRXUFHFXOWXUHWDUJHWODQJXDJHWDUJHWFXOWXUHWUDQVODWLRQVWUDW- 5HDOLD FDQ EH DOVR GLVFXVVHG LQ IUDPHV RI HTXLYDOHQWODFNLQJ
HJLHVHTXLYDOHQF\ XQLWV(TXLYDOHQWODFNLQJXQLWVDUHWKRVHFRQFHSWVODFNLQJLQWKHWDU-
JHWODQJXDJHDQGFXOWXUH7KH\DUHDOVRVRPHWLPHVUHIHUUHGWRDV
3UREOHPVWDWHPHQW:KHQFXOWXUDOGLIIHUHQFHVH[LVWEHWZHHQ XQWUDQVODWDEOHXQLWV
WKHWZRODQJXDJHVLWLVH[WUHPHO\GLI¿FXOWWRDFKLHYHDVXFFHVVIXO 'HSHQGLQJRQWKHFULWHULDXVHGVHYHUDOFODVVL¿FDWLRQVRIUHDOLD
WUDQVIHU RI PHDQLQJV DQG FXOWXUDO FRQQRWDWLRQV LI QRW LPSRVVLEOH DUHGLVWLQJXLVKHGLQWKHFXUUHQWOLQJXLVWLFUHVHDUFK
GHSHQGLQJRQWKHFRPSHWHQFHRIWKHWUDQVODWRULQWKHWZRODQJXDJHV $FFRUGLQJWRWKHVHPDQWLF¿HOGVUHDOLDDUHFODVVL¿HGLQWR
LQYROYHG6RPHWLPHVHYHQWKHVOLJKWHVWGHYLDWLRQIURPWKHVRXUFH ±WRSRQ\PVRUJHRJUDSKLFDOWHUPV&RORJQH0RXQW.RVFLXV]-
ODQJXDJH6/FXOWXUDOWHUPFDQEHWDNHQDVDQDFWRIVXEYHUVLRQ NR6KDQJKDL
DJDLQVWWKHFXOWXUHLWUHSUHVHQWV ± DQWKURSRQ\PV RU SHRSOH¶V QDPHV 0LFKDHO 5LIIDWHUUH
/DQJXDJH LV DQ H[SUHVVLRQ RI FXOWXUH DQG WKH LQGLYLGXDOLW\ 'HPRFUDWHV$ULVWRWOH2QDVVLV
RI LWV VSHDNHUV ZKLFK LQ LWV WXUQ FUHDWHV SUREOHPV LQYROYHG LQ ±]RRQ\PVRUDQLPDOQDPHVNDQJDURRJUL]]O\FRXJDU
WKHWUDQVODWLRQRIWKHFXOWXUDOUHDOLDZKHQWKHUHLVDODFNRIHTXLY- ±VRFLDOWHUPVȼɟɪɯɨɜɧɚɊɚɞɚ+RXVHRI3DUOLDPHQWV
DOHQFH EHWZHHQ WZR ODQJXDJHV DQG FXOWXUHV > S @ &XOWXUDO ±PLOLWDU\WHUPVɫɨɬɧɢɤɨɬɚɦɚɧ%ULJDGLHU*HQHUDO
translationUHSUHVHQWVWKHSUDFWLFHRIWUDQVODWLRQZKLFKUHFRJQL]- ± HGXFDWLRQ WHUPV MXQLRU KLJK VFKRRO &3$ WHVW ɝɪɭɩɚ
HVFXOWXUDOGLIIHUHQFHV ɩɪɨɞɨɜɠɟɧɨɝɨɞɧɹ
7KHOLQJXLVWLFUHODWLYLW\SULQFLSOHODUJHO\XQGHUOLHVWKHFKDOOHQJH ±WUDGLWLRQDQGFXVWRPVWHUPV-DFNR¶ODQWHUQȼɨɞɨɯɪɟɳɚ
HDFKWUDQVODWRURULQWHUSUHWHU¿QGVKLPKHUVHOIIDFLQJDWVRPHSRLQW ± HUJRQ\PV RU QDPHV RI LQVWLWXWLRQV DQG RUJDQL]DWLRQV
7KH OLQJXLVWLF UHODWLYLW\ SULQFLSOH DOVR NQRZQ DV WKH 6DSLU:KRUI Ɉɛɥɞɟɪɠɚɞɦɿɧɿɫɬɪɚɰɿɹ
K\SRWKHVLVKROGVWKDWWKHYDU\LQJFXOWXUDOFRQFHSWVDQGFDWHJRULHV ±KLVWRU\WHUPVɆɚɣɞɚɧ:DURI,QGHSHQGHQFH
LQKHUHQW LQ GLIIHUHQW ODQJXDJHV DIIHFW WKH FRJQLWLYH FODVVL¿FDWLRQ ±ZRUGVIRUHYHU\GD\OLIHFXLVLQHFORWKLQJKRXVLQJHWFVX-
RIWKHUHDOLW\VRWKDWVSHDNHUVRIGLIIHUHQWODQJXDJHVWKLQNDQGEHKDYH VKLNLOWɲɚɪɚɜɚɪɢ
GLIIHUHQWO\DVWKHUHVXOW7KXVWKHWUDQVODWRUKDVWREHÀXHQWLQUHDG- ±WLWOHVDQGKHDGOLQHV&DWFKHULQWKHU\HɄɨɛɡɚɪ>S@
LQJWKHFXOWXUDOFRQQRWDWLRQVRIWKHWDUJHWODQJXDJHLQRUGHUWRUHQGHU 2OJD'HQWLRXWOLQHVWKUHHW\SHVRIUHDOLD
WKHPDGHTXDWHO\LQWRWKHVRXUFHODQJXDJHZKLFKLPSOLHVLQWHUSUHWLQJ *HRJUDSK\
WKHUHDOLDRIWKHWDUJHWODQJXDJHE\PHDQVRIWKHVRXUFHODQJXDJH DSK\VLFDOJHRJUDSK\SDPSDIMRUGPLVWUDOVWHSSHWRUQDGR
7KH DQDO\VLV RI UHFHQW SXEOLFDWLRQV 5RXJKO\ VSHDNLQJ WVXQDPL
UHDOLD DUH ZRUGV DQG H[SUHVVLRQV XVHG WR GHQRWH FXOWXUHVSHFL¿F EJHRJUDSKLFREMHFWVWLHGWRPDQ¶VDFWLYLW\SROGHU
LWHPV&DUU\LQJDYHU\ORFDOVSHFL¿FRYHUWRQHUHDOLDRIWHQSUHVHQW FHQGHPLFVSHFLHVNLZLNRDODVHTXRLD
DFKDOOHQJHIRUWUDQVODWRUVDQGKDYHEHHQLQWKHFHQWHURIOLQJXLV- (WKQRJUDSK\
WLFUHVHDUFKDQGGLVFXVVLRQVIRUGHFDGHV6,9ODNKRY63)ORULQ DHYHU\GD\OLIHSDSULNDVSDJKHWWLHPSDQDGDVDXQDNLPRQR
=+ 3URVKLQD 2 'HQWL$) *XHUUD$* 0DFHGR 0( 3HUHL- EZRUNFDUDELQLHULFRQFLHUJHPDFKHWHWUDGHXQLRQ
UD60DLWODQG31HZPDUN7KRXJKWKH\DUHQRWWREHFRQIXVHG FDUWDQGFXOWXUHWDUDQWHOODEDQMRJRQJFRPPHGLDDOOHJUR
ZLWK WHUPLQRORJ\ WKH ODWWHU EHLQJ SUHGRPLQDQWO\ FKDUDFWHULVWLF 6DQWD&ODXVYDPSLUHPXUDOV
RIVFLHQWL¿FOLWHUDWXUHWRQRPLQDWHQRWLRQVSHUWDLQLQJWRWKHVFLHQ- GHWKQLFFKDUDFWHUL]DWLRQVFRFNQH\JULQJR\DQNHH
WL¿FVSKHUHRQO\DSSHDULQJLQRWKHUNLQGVRIWH[WVWRVHUYHDYHU\ HPHDVXUHVDQGPRQH\PLOHNLORPHWHUOLUDSHVHWDWDOHQW
VSHFL¿FVW\OLVWLFSXUSRVH5HDOLDLQWKHLUWXUQDULVHRXWRISRSXODU 3ROLWLFVDQGVRFLHW\
FXOWXUHDQGDUHLQFUHDVLQJO\IRXQGLQDOONLQGVRIGLVFRXUVHVHUYLQJ D DGPLQLVWUDWLYH GLYLVLRQV UHJLRQ SURYLQFH FRXQW\ GHSDUW-
WKHLUSUHGRPLQDQWSXUSRVHRIFRQYH\LQJDQH[RWLFÀDYRU PHQWVWDWHSURPHQDGH
105
ISSN 2409-1154 ǙǬǿǶǺǮǴǵǮȑǽǹǴǶǘȑDzǹǬǼǺǰǹǺǯǺǯǿǸǬǹȑǾǬǼǹǺǯǺǿǹȑǮDZǼǽǴǾDZǾǿǝDZǼǠȑǷǺǷǺǯȑȋȱǾǺǸ
ERUJDQVDQGIXQFWLRQVDJRUDIRUXPɞɭɦɚVHQDWHFKDQFHOORU LVWKDWWKHIRUPHULPLWDWHVWKHPRUSKRORJ\VLJQL¿FDWLRQDQGSKR-
ɰɚɪɶSKDUDRK QHWLFVRIWKHIRUHLJQZRUGRUSKUDVHZKLOHWKHODWWHURQO\LPLWDWHV
FSROLWLFDODQGVRFLDOOLIH.X.OX[.ODQOREE\LQJORUGXQ- WKHPRUSKRORJLFDOVFKHPHDQGWKHVLJQL¿FDWLRQRIWKDWWHUPZLWKRXW
WRXFKDEOHVVDPXUDL SUHVHUYLQJWKHRULJLQDOSURQXQFLDWLRQ&DOTXHLVQRWRQO\DQDFFHSW-
GPLOLWDU\FRKRUWSKDODQ[PDULQHV>S±@ DEOHIRUPRIWUDQVODWLRQEXWDSURGXFWLYHZD\RIHQULFKLQJWKH7/
3HWHU 1HZPDUN VXJJHVW WKH FODVVL¿FDWLRQ RI IRUHLJQ FXOWXUDO ZKHUHDVERUURZLQJVDUHQRWUHDOO\WUDQVODWLRQSURFHGXUHVEXWDFWX-
ZRUGVHVWDEOLVKLQJVXFKFDWHJRULHV DOO\JLYLQJXSRQWKHWUDQVODWLRQWDVN
HFRORJ\ÀRUDIDXQDZLQGVFOLPDWHHWF &RPSHQVDWLRQLVDWUDQVODWLRQWRRODLPHGDWFRPSHQVDWLRQLQ
PDWHULDOFXOWXUHIRRGFORWKHVKRXVHVWRZQVWUDQVSRUW RUGHUWREDODQFHWKHVHPDQWLFORVVHVWKDWWUDQVODWLRQLQYROYHVHLWKHU
VRFLDOFXOWXUHZRUNDQGOHLVXUH LQWKHFRQWHQWRIWKHPHVVDJHRULWVVW\OLVWLFHIIHFWV&RPSHQVDWLRQ
RUJDQL]DWLRQV FXVWRPV DFWLYLWLHV SURFHGXUHV RU FRQFHSWV LQWURGXFHVD6/HOHPHQWRILQIRUPDWLYHRUVW\OLVWLFHIIHFWLQDGLIIHU-
ZKLFKLQFOXGHDUWLVWLFUHOLJLRXVSROLWLFDODQGDGPLQLVWUDWLYHVXE- HQWSODFHLQWKH7/WH[WVLQFHLWFDQQRWEHUHÀHFWHGLQWKHVDPHSODFH
FDWHJRULHV LWRULJLQDOO\DSSHDUHGLQWKH6/&RPSHQVDWLRQLVXVXDOO\HPSOR\HG
JHVWXUHVDQGKDELWV>S@ ZKLOHWUDQVODWLQJGLDOHFWVLURQ\SXQVYDOXHVHWF
$VFDQEHGUDZQIURPWKHDERYHVXJJHVWHGFODVVL¿FDWLRQVHP- &RPSUHVVLRQUHGXFWLRQFRQGHQVDWLRQRPLVVLRQ WDNH SODFH
SKDVL]LQJORFDOFRORULQJPDQQHUVFXOWXUDODQGWHPSRUDOGLVWDQFH ZKHQWKHWUDQVODWRUV\QWKHVL]HVRUVXSSUHVVHVD6/LQIRUPDWLRQLWHP
EHWZHHQWZROLQJXLVWLFFRPPXQLWLHVLVZKDWWKH\KDYHLQFRPPRQ LQWKH7/WH[WPDLQO\ZKHQWKHLQIRUPDWLRQLWWUDQVODWHVLVFRQVLG-
)XUWKHUPRUH HDFK RI WKHP DFNQRZOHGJHV PRUH RU OHVVH[SOLFLWO\ HUHGLUUHOHYDQWDVWKHFXOWXUDOWHUPGRHVQRWSHUIRUPDUHOHYDQWIXQF-
WKHIRFXVRQGRPLQDQWFXOWXUHVZKLFKLQHYLWDEO\UHVXOWVLQWKHORVV WLRQRUPD\HYHQPLVOHDGWKHUHDGHU7KHVHWRROVDUHW\SLFDOO\XVHG
RUDWWLPHVWKHLPSRVVLELOLW\RIWUDQVODWLQJWKHVHWHUPV$VSHUIHFW WRDYRLGUHSHWLWLRQVPLVOHDGLQJLQIRUPDWLRQRUODFNRIQDWXUDOQHVV
WUDQVODWLRQRIFXOWXUDOO\ERXQGWH[WVLVSUDFWLFDOO\LPSRVVLEOH &RPSUHVVLRQUHGXFWLRQFRQGHQVDWLRQRPLVVLRQ LV RSSRVHG
7KLVEULQJVXVWRWKHLVVXHRIHTXLYDOHQF\LQWUDQVODWLRQ(TXLYD- WR H[SOLFLWDWLRQH[SDQVLRQDPSOL¿FDWLRQGLIIXVLRQ. ([SOLFL-
OHQF\LVXVHGDVDPHDVXUHRIVHPDQWLFVLPLODULW\EHWZHHQWKHVRXUFH WDWLRQLPSOLHVH[SUHVVLQJLQWKH7/VRPHWKLQJWKDWLVLPSOLFLWLQ
ODQJXDJHDQGWDUJHWWH[W(TXLYDOHQWVDUHIXQFWLRQDOVXEVWLWXWHVIRU WKHFRQWH[WRIWKH6/RULQWURGXFLQJGHWDLOVVXFKDVPRUHLQIRU-
6/XQLWV>S@6LQFHWKHFRPSOHWHLGHQWLW\RIVLWXDWLRQDOFRQWH[W PDWLRQWUDQVODWRU¶VQRWHVRUH[SOLFDWLYHSDUDSKUDVLQJWKDWDUHQRW
DQGPHDQLQJV\VWHPEHWZHHQFXOWXUHVLVLPSRVVLEOHWKHFRPSOHWH H[SUHVVHGLQWKH6/
HTXLYDOHQFHLVHTXDOO\LPSRVVLEOH $V IRU H[SDQVLRQ DPSOL¿FDWLRQ DQG GLIIXVLRQ WKH HVVHQFH
7KHSURFHGXUHVRUVWUDWHJLHVGLVFXVVHGLQDFDGHPLFSXEOLFDWLRQV RIWKRVHWRROVLVXVLQJPRUHZRUGVLQWKH7/WKDQLQWKH6/WRH[-
VHUYHERWKWRDQDO\]HDQGFDWDORJXHWUDQVODWLRQHTXLYDOHQFHDQGWR SUHVVWKHVDPHLGHD'HVFULSWLRQFDQEHUHJDUGHGDVDVRUWRISDUD-
LPSURYHWKHDFTXLVLWLRQRIWUDQVODWLRQFRPSHWHQFHVLQFHNQRZLQJ SKUDVHRUHYHQDVDQDPSOL¿FDWLRQRUH[SODQDWLRQDQGFRQVLVWVLQ
WKHPDQGEHLQJDEOHWRFRPSDUHWKHPLVXQDUJXDEO\QHFHVVDU\WR WKHWHUPRUH[SUHVVLRQEHLQJUHSODFHGE\DGHVFULSWLRQRILWVIRUP
FRPSOHWHDQDGHTXDWHWUDQVODWLRQ RUIXQFWLRQ
7KHOLQJXLVWVVXJJHVWYDULRXVDSSURDFKHVWRWUDQVODWLQJUHDOLD (TXLYDOHQFHUHIHUVWRDVWUDWHJ\WKDWGHVFULEHVWKHVDPHVLWX-
VRPHRIZKLFKRYHUODSDQGFDQEHVXPPHGXSLQDPRUHRUOHVV DWLRQXVLQJFRPSOHWHO\GLIIHUHQWVW\OLVWLFRUVWUXFWXUDOPHWKRGVIRU
FRPSUHKHQVLYHFODVVL¿FDWLRQ SURGXFLQJHTXLYDOHQWWH[WVZKLFKEDVLFDOO\PHDQVWKDWWKHWUDQVOD-
$QD )HUQiQGH] *XHUUD RXWOLQHV WKH IROORZLQJ SURFHGXUHV RU WRUXVHVDWHUPRUH[SUHVVLRQUHFRJQL]HGDVDQHVWDEOLVKHGHTXLY-
VWUDWHJLHVHPSOR\HGIRUWUDQVODWLQJUHDOLD DOHQW LQ WKH7/ ,W LV WR VRPH H[WHQW VLPLODU WR DGDSWDWLRQ DQG WR
$GDSWDWLRQLVHPSOR\HGZKHQWKHW\SHRIVLWXDWLRQEHLQJUH- PRGXODWLRQLQWKDWLWH[SUHVVHVWKHVDPHVLWXDWLRQLQDGLIIHUHQWZD\
IHUUHGWRE\WKH6/PHVVDJHLVXQIDPLOLDUWRWKH7&UHSUHVHQWDWLYHV ,WFDQEHIUXLWIXOLQFDVHVRILGLRPVDQGIRUPXODLFODQJXDJH
WKXVWKHWUDQVODWRUFUHDWHVDQHZVLWXDWLRQWKDWFDQEHYLHZHGDVVLWX- 0RGXODWLRQFRQVLVWVLQXVLQJDSKUDVHLQWKH7/WKDWGLIIHUVIURP
DWLRQDOHTXLYDOHQFH,WDFWXDOO\UHIHUVWRD6/FXOWXUDOHOHPHQWEHLQJ WKH6/SKUDVHWRFRQYH\WKHVDPHLGHD,WRIWHQLQYROYHVDFKDQJH
UHSODFHG E\ DQRWKHU WHUP LQ WKH7& )RU LQVWDQFH WKLV DSSOLHV WR LQWKHSRLQWRIYLHZIRFXVSHUVSHFWLYHRUFDWHJRU\RIWKRXJKWLQ
ZHLJKWVDQGPHDVXUHVPXVLFDOQRWDWLRQWLWOHVJHRJUDSKLFDOQDPHV UHODWLRQWRWKH6/
HWF7KHEDVLFJRDORIWKHWUDQVODWRULQDWWHPSWWR³DGDSW´WKHWUDQV- *HQHUDOL]DWLRQ DQG SDUWLFXODUL]DWLRQ DUH WZR VLGHV
ODWLRQLVWRSURGXFHDVLPLODUHIIHFWRQWKH7/UHDGHUV³GRPHVWLFDW- RI WKH VDPH FRLQ JHQHUDOL]DWLRQ RFFXUV ZKHQ D ZRUG RU SKUDVH
LQJ´WKHFXOWXUDOWHUPVLQDZD\ K\SHURQ\PVPRUHJHQHUDORUQHXWUDOWHUPVLQWKH67LVWUDQVODW-
:HVSHDNDERXWERUURZLQJVZKHQWDNLQJDZRUGRUH[SUHVVLRQ HGLQWRDEURDGHUDQGPRUHJHQHUDOWHUPLQWKH77QRUPDOO\IRU
GLUHFWO\IURPDQRWKHUODQJXDJHZLWKRXWWUDQVODWLQJLW7KHSURFH- VW\OLVWLFUHDVRQVRUWRDYRLGXQQHFHVVDU\UHSHWLWLRQVRUDPELJXLW\
GXUHLVQRUPDOO\XVHGZKHQDWHUPLVQRQH[LVWHQWLQWKH7&RUZKHQ ZKLOHSDUWLFXODUL]DWLRQRFFXUVZKHQDZRUGRUSKUDVHLQWKH67LV
WKHWUDQVODWRUDWWHPSWVWRUHQGHUDVW\OLVWLFRUH[RWLFHIIHFW7KHWHUPV WUDQVIHUUHGLQWRDPRUHVSHFL¿FDQGSDUWLFXODUWHUPLQWKH77K\S-
IRUHLJQZRUGIRUHLJQLVP$QJOLFLVP*HUPDQLVPDUHDWWLPHVSUH- RQ\PVPRUHSUHFLVHRUFRQFUHWHWHUPV
IHUUHGZKHQUHIHUULQJWRSXUHERUURZLQJVWKDWKDYHQRWEHHQIXOO\ /LWHUDOWUDQVODWLRQRUZRUGIRUZRUGWUDQVODWLRQWDNHVSODFH
DVVLPLODWHGLQWRWKH7/V\VWHPZKLOHERUURZLQJVRUORDQVDUHXVHG ZKHQD6/ZRUGRUSKUDVHLVWUDQVODWHGLQWRD7/ZRUGRUSKUDVH
ZKHQWKHZRUGVDUHQDWXUDOL]HGLQWKH7/LHZKHQWKHWHUPKDV ZLWKRXWWDNLQJWKHVW\OHLQWRFRQVLGHUDWLRQZKLOHDGDSWLQJWKHWH[W
EHHQLQFRUSRUDWHGDQGDGDSWHGWRWKH7/:LWKWKDWEHLQJVDLGERU- WRWKH7/V\QWDFWLFUXOHVZLWKPLQLPDODGMXVWPHQWVVRWKDWLWVRXQGV
URZLQJVDUHRQHRIWKHPDLQVRXUFHVRIHQULFKLQJDODQJXDJH ERWKFRUUHFWDQGLGLRPDWLF
&DOTXHFRXOGEHFRQVLGHUHGDVSHFLDOW\SHRIORDQRUERUURZ- /LQJXLVWLFSDUDOLQJXLVWLFVXEVWLWXWLRQLVWKHWUDQVODWLRQSURFH-
LQJ VLQFH WKH WUDQVODWRU ERUURZV WKH 6/ H[SUHVVLRQ RU VWUXFWXUH GXUHLQYROYLQJOLQJXLVWLFHOHPHQWVEHLQJUHSODFHGE\SDUDOLQJXLVWLF
DQGWKHQWUDQVIHUVLWLQDOLWHUDOWUDQVODWLRQHLWKHUOH[LFDORUVWUXF- HOHPHQWVLQWRQDWLRQJHVWXUHVHWFRUYLFHYHUVD,WLVW\SLFDOIRU
WXUDO 7KH EDVLF GLIIHUHQFH EHWZHHQ ORDQERUURZLQJ DQG FDOTXH RUDOVSHHFKUHQGHULQJ
106
ISSN 2409-1154 ǙǬǿǶǺǮǴǵǮȑǽǹǴǶǘȑDzǹǬǼǺǰǹǺǯǺǯǿǸǬǹȑǾǬǼǹǺǯǺǿǹȑǮDZǼǽǴǾDZǾǿǝDZǼǠȑǷǺǷǺǯȑȋȱǾǺǸ
7UDQVSRVLWLRQ LQYROYHV FKDQJLQJ D JUDPPDWLFDO FDWHJRU\ ±WKHGHJUHHRIDFFHSWDQFHRIXQXVXDOFROORFDWLRQVDQGH[RWLF
RUUHSODFLQJRQHSDUWRIWKHVSHHFKIRUDQRWKHUZLWKRXWFKDQJLQJ H[SUHVVLRQVLQWKHWDUJHWFXOWXUH
WKHPHDQLQJRIWKHPHVVDJH ±WUDQVODWRU¶VZLOOWR³IRUFH´WKHUHDGHUWRRYHUFRPHPHQWDOOD-
9DULDWLRQLVDSURFHGXUHHPSOR\LQJZKLFKWKHWUDQVODWRUFKDQJ- ]LQHVVLQIDYRURIDULFKHUZRUOGDZDUHQHVV
HVHOHPHQWVDIIHFWLQJVHYHUDODVSHFWVRIOLQJXLVWLFYDULDWLRQFKDQJHV ±WKHPHWDWH[WPRGHOUHDGHUZLWKSRVVLEOHGLIIHUHQFHVRIWKHOLQ-
LQWRQHVW\OHVRFLDOGLDOHFWJHRJUDSKLFDOGLDOHFW>S±@ JXLVWLFSLFWXUHRIWKHZRUOGDVFRPSDUHGWRWKHRULJLQDOWH[WUHDGHU
6WUDWHJLHV XVHG E\ D WUDQVODWRU DUH VNLOOV DQG SURFHGXUHV WKDW >S@
SURPRWHWKHDFTXLVLWLRQDQGXVHRILQIRUPDWLRQDQGPD\EHDVVR- &RQFOXVLRQV7RFRQFOXGHWKHXQGHUO\LQJSULQFLSOHVJXLGLQJDOO
FLDWHGERWKZLWKWKHSURGXFWWKHWUDQVODWHGWH[WDVZHOODVZLWK WUDQVODWLRQFKRLFHVGHDOLQJZLWKUHDOLDLVWKDWLWGRHVQRWPDNHPXFK
WKHSURFHVVRIWUDQVODWLRQLWVHOIZKRVHVWUDWHJLHVDUHDVHWRIORRVH- VHQVHWRHVWDEOLVKJHQHUDOUXOHVEXWUDWKHUWRFRQVLGHUSURVDQGFRQV
O\IRUPXODWHGUXOHVRUSULQFLSOHVZKLFKDWUDQVODWRUXVHVWRUHDFK RIHDFKSRVVLEOHVWUDWHJ\LQGLYLGXDOO\
WKHJRDOVGHWHUPLQHGE\WKHWUDQVODWLQJVLWXDWLRQDQGFDQEHJORE-
DO RU ORFDO VWUDWHJLHVJOREDO VWUDWHJLHV UHIHU WR JHQHUDO SULQFLSOHV 5HIHUHQFHV
DQGPRGHVRIDFWLRQDQGORFDOVWUDWHJLHVUHIHUWRVSHFL¿FDFWLYLWLHV 'HQWL 2 &URVVFXOWXUDO 5HSUHVHQWDWLRQV LQ 7RXULVP 'LVFRXUVH 7KH
&DVHRIWKH,VODQGRI6DUGLQLD2'HQWL±$LSVD±S
LQUHODWLRQWRWKHWUDQVODWRU¶VSUREOHPVROYLQJDQGGHFLVLRQPDNLQJ
*XHUUD $) 7UDQVODWLQJ FXOWXUH SUREOHPV VWUDWHJLHV DQG SUDFWLFDO
6, 9ODNKRY DQG 63 )ORULQ VXJJHVW WKH IROORZLQJ VWUDWHJLHV UHDOLWLHV$)*XHUUD&URDWLDVFLHQFHMRXUQDORIOLWHUDWXUHFXOWXUH
RIUHDOLW\WUDQVODWLRQ DQGOLWHUDU\WUDQVODWLRQ±$UWDQG6XEYHUVLRQ±ʋ±±3±
7KHLUVXEVWLWXWLRQZLWKUHDOLDRIWKHWDUJHWFXOWXUHZKLFKPD\ 0DFHGR$*3HUHLUD0(,GHQWLW\DQG&XOWXUDO7UDQVODWLRQ:ULWLQJ$FURVV
FDXVHDQXQDFFHSWDEOH³VXEVWLWXWLRQ´RIWKHRULJLQDOWH[WFRORULQJ WKH %RUGHUV RI (QJOLVKQHVV :RPHQ
V :ULWLQJ LQ (QJOLVK LQ D (XURSHDQ
ZLWKDGLIIHUHQWFRORULQJ1HYHUWKHOHVVUHDOLDVXEVWLWXWLRQFDQPDNH &RQWH[W$*0DFHGR0(3HUHLUD±3HWHU/DQJ±S
VHQVHHVSHFLDOO\LIWKHWH[WKDVDSUDJPDWLFGRPLQDQWDQGWKHVW\OH 0DLWODQG6:KDW,V&XOWXUDO7UDQVODWLRQ"60DLWODQG±%ORRPVEXU\
FDQEHJLYHQDORZSULRULW\6XFKDVWUDWHJ\QRQHWKHOHVVWHQGVWR 3XEOLVKLQJ±S
ÀDWWHQWKHFXOWXUDOGLIIHUHQFHVDOWHULQJWKHUHDOLW\LQRUGHUWRUHQGHU 1HZPDUN 3 0RUH 3DUDJUDSKV RQ 7UDQVODWLRQ 3 1HZPDUN ±
DWH[WXQGHUVWDQGDEOHZLWKRXWWKHHIIRUWWRDFFHSWLWVGLYHUVLW\ 0XOWLOLQJXDO0DWWHUV±S
ȼɥɚɯɨɜɋɂɎɥɨɪɢɧɋɉ ɇɟɩɟɪɟɜɨɞɢɦɨɟɜɩɟɪɟɜɨɞɟɋɂ ȼɥɚ-
$SSUR[LPDWH WUDQVODWLRQ RI UHDOLD RQ WKH RWKHU KDQG DOORZV
ɯɨɜɋɉɎɥɨɪɢɧ±Ɋȼɚɥɟɧɬ±ɫ
WRWUDQVODWHWKHPDWHULDOFRQWHQWRIDQH[SUHVVLRQOHDYLQJWKHFRORU ɉɪɨɲɢɧɚ ɁȽ Ɍɟɨɪɢɹ ɩɟɪɟɜɨɞɚ ɁȽ ɉɪɨɲɢɧɚ ± ȼɥɚɞɢɜɨɫɬɨɤ
LVQHDUO\DOZD\VORVWEHFDXVHLQVWHDGRIWKHRULJLQDOWH[WFRQQRWD- ɂɡɞɜɨȾɚɥɶɧɟɜɨɫɬɭɧɬɚ±ɫ
WLRQWKHWDUJHWWH[WLVGHSULYHGRIWKDWLQWHQGHGFRQQRWDWLRQKDYLQJ
DQHXWUDOVW\OH ɌɤɚɱɭɤɌȱɌɢɩɢɤɭɥɶɬɭɪɧɢɯɪɟɚɥɿɣɬɚɫɬɪɚɬɟɝɿʀʀɯ
$IHZVSHFL¿FWRROVFDQEHRXWOLQHGZLWKLQDSSUR[LPDWHWUDQV- ɩɟɪɟɤɥɚɞɭɜɦɟɠɚɯɤɭɥɶɬɭɪɧɨɝɨɩɟɪɟɤɥɚɞɭ
ODWLRQVWUDWHJ\6XEVWLWXWLRQZLWKDJHQHULFH[SUHVVLRQRIEURDGHU Ⱥɧɨɬɚɰɿɹ ɍ ɫɬɚɬɬɿ ɜɢɫɜɿɬɥɟɧɨ ɩɢɬɚɧɧɹ ɤɭɥɶɬɭɪɧɢɯ
PHDQLQJLVEDVLFDOO\UHVRUWLQJWRJHQHUDOL]DWLRQ7KLVDSSURDFKFRQ- ɪɟɚɥɿɣ ɬɚ ɩɪɨɛɥɟɦ ɡ ɹɤɢɦɢ ɫɬɢɤɚɽɬɶɫɹ ɩɟɪɟɤɥɚɞɚɱ ɩɪɢ
VLVWVLQWKHWUDQVODWRU¶VDUELWUDULO\GHFLVLRQQRWWRWUDQVODWHWKHORFDO ɩɟɪɟɞɚɱɿ ʀɯ ɰɿɥɶɨɜɨɸ ɦɨɜɨɸ ɬɚ ɤɭɥɶɬɭɪɨɸ ɭ ɫɬɚɬɬɿ ɩɪɨ-
FRORULQYLHZRISUHVHUYLQJDQREMHFWLYHPDWHULDOUHIHUHQFH ɚɧɚɥɿɡɨɜɚɧɨ ɜɢɡɧɚɱɟɧɧɹ ɬɚ ɤɥɚɫɢɮɿɤɚɰɿʀ ɪɟɚɥɿɣ ɭ ɪɚɦɤɚɯ
ɤɭɥɶɬɭɪɧɨɝɨɩɟɪɟɤɥɚɞɭɪɟɚɥɿʀɬɚɤɨɠɪɨɡɝɥɹɞɚɸɬɶɫɹɭɫɬɚɬ-
6XEVWLWXWLRQZLWKDIXQFWLRQDODQDORJXHHQWDLOVWKHVXEVWLWXW- ɬɿɡɩɨɝɥɹɞɭɤɨɧɰɟɩɰɿʀɟɤɜɿɜɚɥɟɧɬɧɨɫɬɿɭɩɟɪɟɤɥɚɞɿɭɫɬɚɬɬɿ
HGHOHPHQWDURXVLQJDVLPLODUUHDFWLRQLQWKH7&UHDGHUWRWKHRQH ɨɩɢɫɚɧɿɫɬɪɚɬɟɝɿʀɬɚɩɪɨɰɟɞɭɪɢɩɟɪɟɤɥɚɞɭɪɟɚɥɿɣɚɬɚɤɨɠ
DURXVHGE\WKHRULJLQDOWH[WRQWKH6&UHDGHU,WLVDUDWKHUVXEMHFWLYH ɤɪɢɬɟɪɿʀɳɨɜɩɥɢɜɚɸɬɶɧɚʀɯɜɢɛɿɪɩɟɪɟɤɥɚɞɚɱɟɦɭɩɟɪɟ-
VWUDWHJ\WREHFKRVHQE\WKHWUDQVODWRUVLQFHQHLWKHUREMHFWLYHFRQ- ɤɥɚɞɚɰɶɤɿɣɩɪɚɤɬɢɰɿ
¿UPDWLRQQRUGLVWLQJXLVKLQJWKHUHDFWLRQVRIRQHUHDGHUIURPWKRVH Ʉɥɸɱɨɜɿɫɥɨɜɚɤɭɥɶɬɭɪɧɢɣɩɟɪɟɤɥɚɞɪɟɚɥɿʀɜɢɯɿɞɧɚ
RIDQRWKHUFDQEHVWULFWO\PHDVXUHGRUSUHGLFWHG ɦɨɜɚ ɜɢɯɿɞɧɚ ɤɭɥɶɬɭɪɚ ɰɿɥɶɨɜɚ ɦɨɜɚ ɰɿɥɶɨɜɚ ɤɭɥɶɬɭɪɚ
'HVFULSWLRQH[SODQDWLRQDQGLQWHUSUHWDWLRQRIWKHUHDOLDHOH- ɫɬɪɚɬɟɝɿʀɩɟɪɟɤɥɚɞɭɟɤɜɿɜɚɥɟɧɬɧɿɫɬɶ
PHQWVLQVWHDGRIUHDOLDRUDSHULSKUDVLVDUHXVHGH[SOLFLWDWLQJWKHGH-
ɌɤɚɱɭɤɌɂɌɢɩɵɤɭɥɶɬɭɪɧɵɯɪɟɚɥɢɣɢɫɬɪɚɬɟɝɢɢ
QRWDWLYHFRQWHQW
ɢɯɩɟɪɟɜɨɞɚɜɪɚɦɤɚɯɤɭɥɶɬɭɪɧɨɝɨɩɟɪɟɜɨɞɚ
7KHQH[WWUDQVODWLRQVWUDWHJ\FRQVLVWVLQFRQWH[WXDOWUDQVODWLRQ Ⱥɧɧɨɬɚɰɢɹȼɫɬɚɬɶɟɨɫɜɟɳɟɧɚɩɪɨɛɥɟɦɚɤɭɥɶɬɭɪɧɵɯ
RIWKHUHDOLD:LWKWKLVDSSURDFKLQVWHDGRIWUDQVODWLQJWKHOH[LFDO ɪɟɚɥɢɣɢɩɪɨɛɥɟɦɵɫɤɨɬɨɪɵɦɢɫɬɚɥɤɢɜɚɟɬɫɹɩɟɪɟɜɨɞɱɢɤ
PHDQLQJWKHV\VWHPLFUHODWLRQDOFRQWH[WXDOPHDQLQJLVWUDQVODWHG ɫɬɪɟɦɹɫɶɩɟɪɟɞɚɬɶɢɯɜɪɚɦɤɚɯɰɟɥɟɜɨɝɨɹɡɵɤɚɢɤɭɥɶɬɭɪɵ
ZKLFKREYLRXVO\FDQQRWEHIRXQGLQWKHGLFWLRQDU\7KLVRSWLRQLV ɨɩɪɟɞɟɥɟɧɢɹ ɢ ɤɥɚɫɫɢɮɢɤɚɰɢɢ ɤɭɥɶɬɭɪɧɵɯ ɪɟɚɥɢɣ ɛɵɥɢ
SUHIHUDEOHZKHQWKHWUDQVODWRUFRQVLGHUVWKHFRQWH[WWREHWKHGRPL- ɪɚɫɫɦɨɬɪɟɧɵɜɫɬɚɬɶɟɜɫɜɟɬɟɤɭɥɶɬɭɪɧɨɝɨɩɟɪɟɜɨɞɚɤɭɥɶ-
QDWLQJIDFWRULQDJLYHQPHVVDJH>±@ ɬɭɪɧɵɟɪɟɚɥɢɢɬɚɤɠɟɨɛɫɭɠɞɚɸɬɫɹɜɫɬɚɬɶɟɫɬɨɱɤɢɡɪɟɧɢɹ
7KHIROORZLQJFULWHULDLQÀXHQFLQJWKHFKRLFHRIWKHDSSURSULDWH ɤɨɧɰɟɩɰɢɢɷɤɜɢɜɚɥɟɧɬɧɨɫɬɢɩɟɪɟɜɨɞɚɜɫɬɚɬɶɟɫɢɫɬɟɦɚɬɢ-
VWUDWHJ\RIUHDOLDWUDQVODWLRQFDQEHRXWOLQHG ɡɢɪɨɜɚɧɵɫɬɪɚɬɟɝɢɢɢɩɪɨɰɟɞɭɪɵɩɟɪɟɜɨɞɚɪɟɚɥɢɣɚɬɚɤɠɟ
ɤɪɢɬɟɪɢɢɜɥɢɹɸɳɢɟɧɚɢɯɜɵɛɨɪɩɟɪɟɜɨɞɱɢɤɨɦɜɩɪɚɤɬɢ-
±WKHW\SHRIWH[W ɤɟɩɟɪɟɜɨɞɚ
±WKHVLJQL¿FDQFHRIWKHUHDOLDLQWKHFRQWH[W Ʉɥɸɱɟɜɵɟ ɫɥɨɜɚ ɤɭɥɶɬɭɪɧɵɣ ɩɟɪɟɜɨɞ ɤɭɥɶɬɭɪɧɵɟ
± WKH W\SH RI UHDOLD WKHLU V\VWHPLF UROH LQ WKH VRXUFH FXOWXUH ɪɟɚɥɢɢɢɫɯɨɞɧɵɣɹɡɵɤɢɫɯɨɞɧɚɹɤɭɥɶɬɭɪɚɰɟɥɟɜɨɣɹɡɵɤ
DQGLQWKHWDUJHWFXOWXUH ɰɟɥɟɜɚɹ ɤɭɥɶɬɭɪɚ ɫɬɪɚɬɟɝɢɢ ɩɟɪɟɜɨɞɚ ɷɤɜɢɜɚɥɟɧɬɧɨɫɬɶ
±WKHODQJXDJHVWKHFROORFDWLRQVDQGWKHFROORFDELOLWLHV ɩɟɪɟɜɨɞɚ
107