Этнос: мəселе тарихы жəне теориясы

Р.М. Жумашев, А.О. Жетписбаев 
56 
Вестник Карагандинского университета 
R.M. Zhumashev, A.O. Zhetpisbayev  
Ethnos: history and theory of the issue 
The study of issues related to ethno cultural identity leads to the necessity to compare interpretations of the 
notion of «ethnos». The article provides an overview of basic methodological approaches in the study of the 
ethnos: primordialism, etnic historicism, constructivism and instrumentalism. It makes possible to take into 
account the most of the set of factors of the development and the transformation history of ethnoses. The au-
thors provide the main features of ethnohistorical community of both subjective and objective nature. The 
purpose of the article is to consider the historical significance of the notion of «ethnos»; and semantic and 
linguistic review of this definition. An ethnic aspect is revealed in the formation of class, caste and clan-based 
societies in the territory of the Eurasian continent in the Middle Ages. The historic role of ethnocultural 
communities in the issue of the evolution of the stratification and formation of the social structure of tradi-
tional societies is investigated. A special role of ethnoses is emphasized within the genesis and functioning of 
institutions of ethnocultural consolidation. Much attention is paid to the following early forms of institutions 
of the ethnocultural consolidation as a higher representation deliberative authorities: the Kurultai, the Althing, 
the Jämtland, the Tynwald. The conclusion is that the modern idea and embodiment of the nation is the result 
of the evolution of historically formed forms of consolidation of ethnocultural communities and groups. 
 
 
References 
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20, 2015) 
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ORDA, 1990, 64 p. 
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from English by A.V. Smirnov, Yu. M. Filippov, E.S. Zagashvili et al., Moscow: Praxis, 2004, 464 p. 
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7  Barbashin M.Yu. Institutions and ethnogenesis: institutional reproduction of ethnic identity in the local communities: mono-
graph / M.Yu. Barbashin, the 2nd ed., expanded, Rostov on Done: IPOPI YuFU, 2013, 356 p. 
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Tranzitkniga, 2005, 224 p. 
13  Matthew Kostelecky: Thomas Aquinas's Summa contra Gentiles: A Mirror of Human Nature, Leuven: Peeters, 2013, 223 p. 
14  Bernhard Roetzel. Gentleman, 3 edition, H.F. Ullmann, 2008, 360 p. 
15  Engels F. The origin of the family, private property and state // Marx K. and Engels F., Works. The 2nd ed. Volume 21, 
Moscow: Politizdat, 1961, 746 p. 
16  Fairbank, John King and Merle Goldman (1992). China: A New History; Second Enlarged Edition, Cambridge: MA; London: 
The Belknap Press of Harvard University Press, 2006, 640 p. 
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18  Jacques Gernet. Daily life in China: on the eve of the Mongol invasion, 1250–1276, Stanford, Calif.: Stanford University 
Press, 1962, 256 p. 
19  Brook Timothy. The Confusions of Pleasure: Commerce and Culture in Ming China, Berkeley: University of California 
Press. 1998, 320 p. 
20  Duby George. Three-part model, or Representations of the medieval society of itself, trans. From France by Ginsburg Yu.A., 
Moscow: Languages of the Russian Culture, 2000, 320 p. 
21  The Three Orders: Feudal Society Imagined, Chicago: University of Chicago Press, 1981, 382 p. 
22  Hobsbawm E. Nations and nationalism after 1780, translation from English by A.A. Vasilyev, Saint Petersburg: Aletheia, 
1998, 306 p. 
23  Craig Calhoun. Nationalism, transl. by A. Smirnov, Moscow: Publishing House «Territoriya buduchshego», 2006б 288 p. 
24  Book I. Of Persons, [ER]. Access mode: http://legacy.fordham.edu/halsall/basis/535institutes.asp (Date of address is 
October, 23, 15). 
25  Bogoslovsky M. Land management in the Russian north in the XVII century, Moscow: Synodal P.H., 1909, 321 p. 
26  Kazakhs, Almaty: Kazakhstan, 1995, 352 p. 
27  Kazakhstanskaya Pravda, 2014, August, 26, p. 1, 2. 
28  Khan Con. Myths and misconceptions in the study of empire and nationalism, Moscow: Novoye izdatelstvo, 2010, 428 p. 
 

Серия «История. Философия». № 4(84)/2016 
57 
UDC 94 (574)  
Sh.А. Iliyasov
1
, Z.G. Saktaganova
1
, T. Trevisani
2
  
1
Ye.A. Buketov Karaganda State University; 
2
Tubingen University, Germany 
(E-mail: shamil2009kz@mail.ru)  
To the problem of administrative apparatus police officers functioning  
of the steppe general governorship on the basis of official clerical work papers  
In the article it is considered the functioning of Steppe region’s governmental police officials in the end of 
XIX – beginning of  XX centuries. There are considered new archive data for officials of police apparatus of 
district and regional centers of Steppe general governorship. According to the Steppe’s regulations of 1891 
police power were concentrated at the district heads, their assistants, grabs and other officials of colonial 
power apparatus. On the whole, evolution of administrative government in Kazakh steppe mostly depended 
on the officials of military and police departments, the central role of which was acted by district heads and 
their assistants who had both police and civil functions. The purpose of the article is to show the peculiarity 
of Steppe region’s police apparatus officials functioning during the studied period.  
Key words: police states; gendarmerie government; district head; district police; officer; warder; service record. 
 
In the end of XIX century according to the Steppe’s regulations of 1891 police department officials had 
an important role in the administrative apparatus of Steppe’s general governorship.  
District heads, oral translators and postman of the district heads’ office, officials of gendarmerie de-
partment who form the states of police officials of Steppe’s region administrative colonial government are of 
special interest. The main burden of police functioning was at district heads and their assistants in local places. 
Their biographical data can be studied by service records, in the reports of district heads to governors, in the 
orders of steppe general governors and military governors of regions as well as requests of steppe general 
governors to increase the state to the Ministry of Internal affairs of Russian Empire.  
By our sight, Steppe’s region police officials functioning study by official clerical work papers is actual 
problem today as the origins of police apparatus formation start in the end of   XIX century when the states 
of Steppe general governorship police department were formed.  
During the last period of time the problem of formation and functioning of officialdom in XIX–XX cen-
turies in the territory of Kazakhstan is paid a lot of attention. Most scientific works are devoted to officials 
functioning of Orenburg region, Turgay region, Turkestan general governorship, less attention is paid to offi-
cials of administrative apparatus of Steppe general governorship. Researchers of Kazakhstan study the histo-
ry of military governors, regional governors, aul heads institutions.  
Today in modern Kazakhstan’s historiography great attention is paid to the theme of status and func-
tioning of Steppe’s region administrative apparatus officials. Kazakhstan researchers study the institutions of 
XIX–XX centuries colonial systems starting with the lowest level as volost governors and aul heads and fin-
ishing with the highest level of colonial administrative hierarchy as Orenburg, West Siberian, Turkestan and 
Steppe general governors. There are some scientific works and publications devoted to this theme. As we can 
see, the problem of formation and functioning of officialdom has just come to the view of Kazakhstan re-
searchers and requires further study.  
The book of special interest for us is monograph of Z. Dzhampeisova «Kazakh society and right in 
post-reform steppe» where one of the part is devoted to the problem of volost governors and aul heads role in 
the structure of local power [1; 188–201].  
Talking about social status and functioning of volost governors this theme is continued by 
G.K. Kaliyeva. She notices that the highest level of Russian colonial system in Kazakhstan was represented 
by officials of mother country as they are called — from general governors to district heads, the lowest level 
of administration — volost governors and aul heads who were chosen from the representatives of aborigines 
[2; 17, 18].  
One article of famous native historian G.T. Musabalina requires much attention. In the article the author 
studies the history of military governorship institutions evolution in West Siberian and later Steppe general 
governments [3]. In the article it is defined the role, rights and duties of military governors depending on the 
accepted legislative papers.  

Sh.A. Iliyasov, Z.G. Saktaganova, T. Trevisani 
58 
Вестник Карагандинского университета 
The article of G.S. Sultangaliyeva is devoted to source study analysis of service records of Kazakh gov-
ernors in XIX century in some regions of Kazakhstan [4; 37–42]. As the author notices, service records of 
Kazakh officials are the important source which let us define social descent, education and role in relations 
of Kazakh population to central and local power.  
The scientific article of S.K. Uderbayeva is devoted to analysis of formation and integration process of 
Kazakh officials to administrative governmental apparatus of Russian Empire in XIX– beginning of XX cen-
turies [5; 171–175]. It divides formation of administrative governmental top of Kazakh society to four periods. 
In the article of A.Z. Kairalapina much interest is devoted to the role of district governorship in Kazakh 
steppe [6; 17–21]. It analyses functions, rights and duties of district heads according to administrative legis-
lative regulations of tsarism in the territory of Kazakhstan. As a legislative paper there is one instruction of 
military governor of Turgay region A.K. Geins. Having studied record cards of district heads of Turgay re-
gion separately, A.Z. Kairalapina defined social structure and gives their biographies. In scientific publica-
tion there are noticed following district heads as N.M. Krasnokutskiy, I.I. Shlitter, P.I. Sungurov, 
N.M. Sukhin, K.A. Lazaryev, T. Seidalin, S.A. Ludwig. This is the only study which by implication com-
bines both civil and public functions as well as skin-deep there can be seen functional duties of district heads.  
As we can see from the analyzed literature today no one of the Kazakhstan researchers did not study the 
problem of Russian colonial apparatus police officials functioning.  
In Soviet period theme of formation and functioning of police governmental apparatus was not consid-
ered. It is explained with the fact that because of ideological thoughts in the view of historian Marxists offi-
cials of police states were «defenders of tsar autocracy».  
Source basis of study is represented by archive papers and materials saved in the funds of State Archive 
of Russian Federation, Central state archive of Kazakhstan Republic and periodical press of pre-
revolutionary period. On the whole, this is written source among clerical work papers: official correspond-
ence between steppe general governor and minister of internal affairs of Russia, official orders of steppe 
general governors and regional military governors, service records of police officers.  
Study methodology is based on the principles of historical method and objective character. There are 
used methods of structural functional analysis, analysis and synthesis. Historical comparing method is widely 
used.  
During social and political process happened in the territory of Kazakhstan, especially national emanci-
patory process of Kazakh people, formation of revolutionary organizations in Steppe region and strengthen-
ing of emigrant policy Russian colonial administration had a purpose to form and increase amount of police 
states among the number of Russian officials and representatives of aborigine nationality who had wish to 
serve for colonial power apparatus. During the studied period tsar government and local colonial apparatus 
gave following functions to police officials as:  
1. Watch the public order in the region (especially in city); 
2. Solution of international conflicts among farmers and aborigines; 
3. Execution of legislative regulations and orders of higher agencies; 
4. Neutralization of any dissidence and fight with revolutionary ideas of political exiles, former partici-
pants of rebellions and activists of national intellectuals.  
All the clerical work documentation on the functioning of police states officials of Steppe region can be 
divided to some groups: 
1. Orders of steppe general governors and military governors; 
2. Official correspondence and reports of top officials; 
3. Service records of police officials. 
One of the first clerical work sources can be marked orders of steppe general governors about getting 
position, grabs, district heads and their assistants. For example, order to nominate lieutenant colonel 
Melnikov and captain Mikhailov on 25 April 1901, № 32 as assistants of district heads: «With the highest 
order of military agency from 3 April this year are nominated: grab of Semipalatinsk who is reckoned in ar-
my cavalry. Melnikov lieutenant colonel as an assistant of Ustkamenogorsk district head who is left in army 
cavalry, assistant of Pavlodar district head who is reckoned in army infantry, captain Mikhailov, who has the 
position of Semipalatinsk grab left in army» [7; 2].  
In the analogue order of acted steppe general governor Sannikov about nomination of colonel Troitskiy 
it is said: «With the highest order of military agency on 31 January 1901 the person acted the position of 
Akmola district head who is reckoned in army cavalry lieutenant colonel Troitskiy is nominated to the posi-

To the problem of administrative apparatus… 
Серия «История. Философия». № 4(84)/2016 
59 
tion of acted district head of Kokchetav leaving the army cavalry. I announce that in Steppe general govern-
ment» [8; 4]. 
It is necessary to mark specially functioning of Petropavlovsk district head, staff-captain Stein. In his 
order on12 August 1901 № 65 steppe general-governor N.N. Sukhotin expresses his gratitude to him : «As it 
is certified by military governor of Akmola region about very energetic functioning, chairman of sanitary 
commission congress in Petropavlovsk city, Petropavlovsk district head, staff-captain fon Stein, on leader-
ship of the congress, I consider it as my duty to express my gratitude to staff-captain fon Stein» [9; 1]. 
In another order about reward on 3 October 1901 № 78 it is said that fon Stein was awarded with the 
order of St,Stanislav of 2 degree and police officer with Christmas order of St.Anna of 3 degree: «The em-
peror the kindest in the first day of September vouchsafed to make rewards to people named below for their 
special great work which was called with Chinese events of 1900: to acted of Petropavlovsk district region, 
staff-captain fon Stein — order of St.Stanislav of 2 degree to impressment from regulations; to police officer 
of Semipalatinsk, titular councellor Rozhdestvenskiy — order of St. Anna of 3 degree. About such emperor 
wish I announce in Steppe general governorship» [10; 3]. 
According to political events happened in Russian Empire in the beginning of XX century there has ap-
peared a problem of increasing the amount of police officers states in the territory of Steppe region. Hence, 
we can define the second group of clerical work papers as official correspondence of the highest officials.  
At first we would like to observe the official letter of steppe general governor, general lieutenant 
N.N. Sukhotin «About increasing additional staff to organize supervision in Akmola and Semipalatinsk re-
gions» which was addressed to the Ministry of Internal affairs on 5 May 1903. In his letter he divides mar-
ginal elements of Omsk city to some groups. He writes: «Omsk city is overfilled with: а) people of political 
unreliability, b) refuses from all the Russia who because of construction of Siberian railroad are tended to 
easy and criminal profit in the cities which are not provided with enough police staff, c) exiled and their de-
scendants, and finally, d) semi-barbarian nomads who mostly temporary visit the city because of their needs 
and permanently live in the city as dzhataks…» [11; 2].  
Further, he writes about unsatisfactory work on supervision after unreliable people in Omsk and shows 
relation of citizens amount to unreliable and officers of city gendarmerie agency: «Especially for outdoor 
police it is difficult to supervise after politically unreliable people who are under secret supervision of police. 
We should admit this supervision unsatisfactory enough in Omsk city because at population 53 thousand 
people, at so many educative institutions and at 42 people who are under the secret supervision of police in 
this city there are only two gendarmerie officers as the head of agency and his adjutant who are unable to 
organize supervision to their full capacity and that is why increasing of Omsk gendarmerie staff is necessary 
as the competence of this agency has one very important point as Petropavlovsk city which is in worse con-
ditions than Omsk city about public safety and calm». 
As we can notice from the letter of general governor N.N. Sukhotin position of police state was very 
difficult and it was necessary to increase the amount of staff in gendarmerie agency of Akmola district in 
Steppe region. To do this it was necessary to provide finance and prepare necessary amount of gendarmes. 
The letter of N.N. Sukhotin was a signal for routine correspondence of tsar bureaucratic apparatus starting 
with heads of gendarmerie corps, Ministry of Internal affairs and finishing with the Ministry of finance. This 
problem was also discussed in the meeting of State council members.  
In his report № 81 «About strengthening the staff of Omsk Gendarmerie Agency» minister of internal 
affairs V.K. Pleve on 11 August 1903 said following: «Considering that Steppe general governorship is 
formed by Akmola and Semipalatinsk regions and that the staff of Named above Gendarmerie Agency is 
limited with only 1 head of Agency, 1 adjutant and 7 non-commissioned officers 2 of which are in Petropav-
lovsk I have to admit that named amount is not enough to supervise in two named regions. That is why shar-
ing the offers of general governor I suppose it corresponding to add to the staff of Omsk Gendarmerie Agen-
cy 2 assistants of Agency’s head, 2 sergeants and 8 non-commissioned officers increasing the total staff of 
additional state of Gendarmerie Agency for necessary amount.  
Offers of Secretary of State V.K. Pleve were satisfied and were corresponding to the period of time as 
amount of crimes increased not only in Steppe general governorship but alsi in all the territory of Russian 
Empire on the threshold of first Russian revolution and Russian Japanese war which led to political crisis of 
tsar power.  
In his report V.K. Pleve summarizes following: «This action requires new expenses of treasury on the 
estimate of Military Ministry: one time 798 rubles 60 coins and annually 10 193 rubles 5 coins. I cannot see 
any obstacles from Military Minister, Finance and Juridical Ministers to organize it» [12; 15]. 

Sh.A. Iliyasov, Z.G. Saktaganova, T. Trevisani 
60 
Вестник Карагандинского университета 
Service records of police officials are of special interest also. As it is known service records consist of 
few columns and the information is very poor but they give us short information about appearance, social 
status, position, salary scale, education of the lowest officials and employees of administrative police appa-
ratus still saved. One of the archive paper attracted our attention called «Short list of Oral Translator Service 
of the Pavlodar District Office head’s Svetashov Dmitriy Adrianovich» composed on 16 October 1914» 
where he is awarded with police nomination by Pavlodar district head.  
There is following information about D.A. Svetashov As it is seen from the service record he was a 
translator of Pavlodar District head office and was not on the permanent staff since 5 June 1913. He does not 
have any rank. He is in the state service since 16 October 1912, was not attracted to cognizance. Based on 
p. 295 of the volume III of Regulations about service on the right of Government with the Highest decree on 
5 October 1906 he is nominated to rank [13; 5]. 
Also it is interesting to observe service record of acted postman of Pavlodar district head office provin-
cial secretary Mikhail Sergeevich Chernov made on 16 October 1914. M.S. Chernov was born on 
10 November 1888, religion is Christianity, single. He gets annual salary: livelihood 533 r. 33 c., diner mon-
ey 266 r. 662 c. Totally 800 r. Talking about social status and property of Chernov M.S. he was bourgeois 
from Zaisan city and had family estate [14; 13].  
He graduated Zaisan 3 classes city college. With the act of vice governor of Semipalatinsk region on 8 
May 1906 № 10 he was nominated to position of office attendant to District congress of Zaisan district’s 
peasant heads.  
On the whole, we can follow all the carrier growth of acted official M.S. Chernov On 6 April 1908 with 
the highest act № 22 he was nominated to position of Manraksk volost clerk. On 23 February 1909 with the 
order № 2 for long service he was nominated to collegiate registrar to seniority on 8 May 1908. Later, with 
the order on 27 February 1912 № 10 for long service he was nominated to position of governor secretary to 
seniority on 8 May 1911. 
With the act of vice governor on 2 August 1913 № 34 he was transferred to Semipalatinsk regional 
governorship. With the order of Semipalatinsk governor on 19 September 1913 № 200 he was nominated as 
temporary acted postman of Pavlodar district head office [15; 14]. 
We should specially mark the service of Kazakh nationality representatives in police departments. In-
formation about them is obviously very poor, there is information about them in orders of steppe and military 
governors about rewards, hiring and firing of Kazakh employees.  
One of the first can be marked clerical worker of Omsk city police department of sultan Madalkhan 
Ablaykhanov who served for several decades in named above organization (Akmola regional register; № 24, 1901). 
In orders we can meet also names of such employees of city police department as Bolatbek Tleukin and 
Dzhusup Satybaldin [16; 4]. 
Also there are well-known warders of Atbasar district department as Suyunduk Argynbayev awarded in 
the order of Steppe general governor with robe of 3 class [17; 3].  
As it is seen from data of clerical work papers we can get much interesting information about service of 
police officers of administrative apparatus in Steppe region. As it was marked above, all the burden of police 
officer work was at district heads and their subordinates. As a result of started migrant policy of tsarism in 
the second part of XIX century, especially after land reform of prime-minister P.A. Stolypin, huge mass of 
peasants started to arrive to Steppe land from central governorships of Russian Empire.  
Many district heads hardly managed to the peasants moving to the territory of Kazakhstan. They had to 
solve many routine problems, for example, non-payment of taxes by peasants. So, district head of Kokchetav 
district A. Soloviyev in the letter to Akmola governor Losevskiy V.S. on 24 October 1907 wrote following: 
«My assistant, collegiate councilor Vinogradov who made collecting of tribute tax arrears and territorial duty 
which was saved for years at peasants of village Preobrazhenskoye in amount of 12 thousand rubles showed 
local peasant from the village Preobrazhenskoye Peter Klokov who came to him first to village department 
and announced in a rude form that peasants do not have anything to pay duties and if to talk about property it 
will hardly be possible to take it and he will be first who is not going to give his cattle. My assistant who 
considered such behavior of peasant Klokov in presence of volost and local officials and some part of village 
society as either harmful and not safe immediately ordered to adjust to him point 21 of regulations about 
state security. My resolution on 10 October this year about imprisonment of Klokov on the basis of the law 
was sanctioned by Your Excellency on 14 October» [18; 1]. 
Further, in the letter Kokchetav district head writes in conclusion: «Aimimg that all the arrears of peas-
ants in the village Preobrazhenskoye were not possible to take (it was taken by Vinogradov only 3 652 rubles 

To the problem of administrative apparatus… 
Серия «История. Философия». № 4(84)/2016 
61 
35 coins) because of unharvested bread and according to that lack of money at population and considering 
return of Klokov after a month imprisonment very objectionable in order not to stop taking arrears whch 
peasnts of the village Preobrazhenskoye promised [to give] this year I ask Your Excellency to deport Klokov 
outside the Steppe general governorship for the period of operation of regulations about state security. This 
example will influence very well to other perverse villages» [19; 1]. 
It can be seen from the letter that the events happen during the first Russian revolution (1905–1907). 
For this period of time peasants rebellions, agitations and refuse of paying duties were very typical. Admin-
istration of Steppe general governorship tried to stop and fight inveterate spiteful non-payers of taxes with all 
the ways.  
Thus, as we can see, archive clerical papers are of much value for us. With these papers it is possible to 
reconstruct biographies of police officials and employees of colonial apparatus in Steppe region. For re-
searchers service records, reports, official correspondence are of big interest as with them we can reconstruct 
the story of forgotten tsar officials functioning, in this case police officers of administrative apparatus of 
Steppe general governorship in the end of XIX– beginning of XX centuries.  
At the same time it is necessary to notice that status of police officers and their functioning in the terri-
tory of Steppe region was not the subject of special research among Kazakhstan historians. This article is one 
of the first attempt to observe the history of formation and functioning of police apparatus of Steppe region 
on the materials of official clerical papers.  
Also it should be said that the role of district heads in the studied period is different with its originality. He 
was given both police and civil functions. Most of the time they paid attention to accomplishment of Russian 
peasants-migrants, public city deals and only in the final accomplishment of Kazakh auls. It was often that for 
assistance in organization some event they were awarded with gratitude or gift from the higher official.  
Thus, especially employees of police states consisting of gendarmes, city district police officer, em-
ployees of regional department, district heads and their assistants were guardians of order in Steppe region. 
They were entrusted with special hopes to keep peace and stability, order in the region, especially in the pe-
riod of first Russian revolution (1905–1907) and first world war (1914–1918). 
 
 
References 
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2  Калиева Г.К. Влияние особенностей управления чиновничества в лице волостных управителей и аульных старшин 
на их социальный статус // Вестн. Караганд. ун-та. Сер. История. Философия. — 2010. — № 3 (59). — С. 17–21. 
3  Мусабалина  Г.Т.  Военные  губернаторы  степных  областей  в  иерархии  властных  структур  Российской  империи  во 
второй половине 19 века. — [ЭР]. Режим доступа: http://sibistorik.narod.ru/project/conf2011/mussabalina-gt.htm# [10.06.2014] 
4  Султангалиева Г.С. Послужные списки как исторический источник по истории формирования казахского чиновни-
чества в XIX в. // Вестн. Казахского национального ун-та. Сер. историческая, 2010. — № 4 (67). — С. 37–42. 
5  Удербаева  С.К.  Интеграция  казахских  чиновников  в  административный  аппарат  управления  Российской  империи 
(XIX–XX вв.) // Доклады НАН РК. — 2014. — № 3. — С. 171–175. 
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зийского гуманит. ин-та. — 2009. — № 3. — С. 17–21. 
7  Акмолинские областные ведомости. 1901. — 2 мая. — № 18. — 8 с. 
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16  Акмолинские областные ведомости. — 1901. — 13 июня. — № 24. — 8 с. 
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Sh.A. Iliyasov, Z.G. Saktaganova, T. Trevisani 
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Вестник Карагандинского университета 
Ш.А. Ілиясов, З.Ғ. Сақтағанова, Т. Тревисани 

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