Vol 10 No 42 (2021) by Amazonia Investiga

Periodicity Montly Since: 2012

EDITORIAL TEAM Editor Diego Felipe Arbeláez Campillo. Research Group Languages, Representations and Education, Universidad de la Amazonia. (Colombia) Coeditor Magda Julissa Rojas Bahamón. Doctor Education and Environmental Culture, Surcolombiana University. Professor IE Jorge Eliécer Gaitán. Researcher recognized by the Ministry of Sciences of Colombia (Colombia) Editorial board Doctor Getman Anatolii P. Doctor of Legal Sciences, Professor, Rector of Yaroslav Mudryi National Law University. PhD. Sergey V. Novikov Vyacheslavovich. Director of the Institute of Economics and Humanities of Engineering, Institute of Economics and Humanities of Engineering, Moscow Aviation Institute (National Research University), (Russia). PhD. Danilyan Oleg G. Doctor of Philosophical Sciences. Professor, Head of the Department of Philosophy, Yaroslav Mudryi National Law University (Ukrania). PhD. Tatsiy Vasyl Ya. Doctor of Legal Sciences. Professor, Rector`s advisor Yaroslav Mudryi National University of Law (Ukrania). PhD. Nadiia Skliar. Ph.D. in Economics, Post-Doctoral Fellow. National Institute for Strategic Studies, Kуiv, Ukraine. Associate Professor of the Department of State and Legal Disciplines. Donetsk Law Institute, MIA of Ukraine, Kryvyi Rih, Ukraine. PhD. Aleksandr Alekseevich Korostelev. Doctor of pedagogical sciences. Associate professor. Director of the Center of scientific journals Federal State Budget Educational Institution of Higher Education «Togliatti State University» (Russia). SPIN-код: 2796-5077. Doctor Juan L. Manzano Kienzler. Doctor of Education Universidad Pedagógica Experimental Libertador (UPEL). (Venezuela). PhD. Osadchenko Inna Ivanоvna. Doctor of pedagogical sciences. Professor Department of pedagogy and educational management Uman State Pedagogical University named Pavlo Tychyna. (Ukrania). Doctor Tetiana Faichuk. Potebnia Institute of Linguistics of the National Academy of Sciences of Ukraine. Kyiv. (Ukraine). PhD. Popovych Ihor Stepanovych. Doctor of Psychological Sciences. Full Professor of Department General and Social Psychology, Kherson State University. Kherson. (Ukraine). Nadia Figol. National Technical University of Ukraine Igor Sikorsky Kyiv Polytechnic Institute. Kyiv (Ukraine). PhD. Lucelly Correa Cruz. Doctor Education and Environmental Culture Universidad of the Amazonia. Professor Universidad of the Amazonia. (Colombia). PhD. Olga I. Vaganova. Minin Nizhny Novgorod State Pedagogical University (Russia). PhD. Lillyam López Pino. Doctor Education. Universidad of the Amazonia. (Colombia). Doctor Bell Manrique Losada. Doctor in Engineering. Universidad de Medellín. Professor Universidad de Medellín. (Colombia). PhD. Olga Vladimirovna Trischuk. Doctor of Social Communications. Professor Horizons of Printing. (Ukraine). PhD. Reyber Parra. Doctor in Education. Universidad de Zulia. (Venezuela). PhD. IS Pinkovetskaia. Ulyanovsk State University, Ulyanovsk. (Russia). PhD. Eduardo Saguier. Ph.D. Washington University, St. Louis, Missouri (USA). (Argentina). PhD. Ligia Terezinha Lopes Simonian. Universidad Federal del Pará. Belém. Professor Núcleo de Altos Estudos Amazónicos. (Brazil). Scientific Board Doctor Miguel Armando López Leyva. Director Instituto Investigaciones Sociales Universidad Autónoma de Mexico, UNAM, Mexico. PhD. Georgina María Esther Aguirre Lora. Doctor of Pedagogy. President of the Mexican Society for the History of Education. UNAM. (Mexico). ORCID Doctor Adelmar Santos de Araújo. Grupo de Pesquisa do Centro de Educação Popular e Pesquisas Econômicas e Sociais (CEPPES). História Contemporânea/Educação, Centro Universitário Uni-Araguaia. (Brazil) Doctor Joaquim Júlio Almeida Júnior. Doctor en Sistema de Cultivo. Coordinador del Centro de Investigación de Fitotecnia. Profesor Titular en UniFIMES - Centro Universitario de Mineiros. Research Group UniFIMES – Centro Universitário de Mineiros. (Brazil).

Volume 9 - Issue 30 / June 2020

Doctor Clarimar José Coelho. Doutor em Engenharia Electrónica y Computación. Laboratório de Laboratorio de Computación Científica / Pontificia Universidad Católica de Goiás / UniEvangélica. Inteligencia artificial, reconocimiento de patrones, modelos matemáticos y computacionales, Laboratorio de Computación Científica / Pontificia Universidad Católica de Goiás / UniEvangélica. (Brazil). Doctor Ressiliane Ribeiro Prata-Alonso. Post-doctor Environmental Sciences. Centro Universitário Araguaia, researcher, professor, coordinator Extension. (Brazil). Doctor Saura Soraia Chung. Professor at School of Physical Education and Sports. Research Group PULA Centro de Estudos Socioculturais. Universidad de São Paulo. (Brazil). Doctor Darci Schnorrenberger. Universidade Federal de Santa. Doutorado em Gestão de Negócios. Professor Associado no Departamento de Ciências Contábeis. (Brazil). Doctor Emil José Hernández – Ruz. Dr. Genetic and Molecular Biology. Universidade Federal do Pará, Altamira. Conservation Genetic and Amazonian diversity. (Brazil). Doctora Priscilla Guedes Gambale. Faculdade de São Miguel do Iguaçu, Faesi, Paraná. (Brazil). PhD. Zbigniew Kaźmierczyk. Department of History of Literature at the Institute of Polish Language and Literature at the University of Gdańsk. Associate professor. The head of the scientific and research Laboratory of Ethnogenetic Literature. (Poland). PhD. Pablo Vommaro. Universidad de Buenos Aires, CONICET - CLACSO (Consejo Latinoamericano de Ciencias Sociales), (Argentina). Beata Trojanowska. Kazimierz Wielki University. Dean of Education of the Faculty of Literature Study in Bydgoszcz. (Poland). PhD. Luis Antonio García Gutiérrez. Doctor in Electronic Engineering Universite De Toulouse. Doctor in Electronic Engineering University of the Andes. Post-doctor LAAS-CNRS Electronic Engineering. Toulouse University. (Francia). Ph.D. Carmen Beatriz Torres. Universidad Santo Tomas. (Colombia). Dr. Jesica Arcangeli. Posgrado en Ciencias Biológicas. Departamento de Zoología, Instituto de Biología, Universidad Nacional Autónoma de Mexico. (Mexico). Ph.D. Ademir Araujo da Costa. Universidad Federal do Rìo Grande do Norte. (Brazil). Ph.D. Nyuara Araujo da Silva Mesquita. Universidade Federal de Goiás. (Brazil). Ph.D. Paulo Moreira Pinto. Universidade Federal do Para. (Brazil) Ph.D. Marcio David Macedo Da Silva. Doctor of Social and Environmental Sciences, NAEA/UFPA - Nucleo de Altos estudios Amazónicos. (Brazil). Ph.D. Rafael Gerardo Arce. Doctor en Humanidades y Artes con Mención en Literatura. Facultad de Humanidades y Artes. Universidad Nacional de Rosario, Argentina. PhD. Marianna Andreyevna Dudareva. Head of the Department of Literature of the Peoples of Russia and the CIS, Head of the Department publication policy and advertising of the Youth magazine. (Russia). PhD. Olga Kiseleva. Ulyanovsk State University, Ulyanovsk (Russia). Ph.D. Carlos Angel Arboleda Mora. Fundación Universitaria Católica del Norte. (Colombia). PhD. Pablo Martínez Calleja. Universidad Leuphana Lüenburg. (Alemania). M.Sc. Juan de Dios Rodríguez. Decano Universidad Pedagógica y Tecnológica de Colombia (Colombia) PhD. Isabel Contreras. Universidad Iberoamericana. (México). PhD. Ana Cristina Rocha Silva. Phd. Desenvolvimento Socioambiental del PPGDSTU/NAEA/UFPA and professor UNIFAP (Universidad Federal del Amapa). (Brazil). PhD. Gian Carlo Delgado Ramos. Doctor en Ciencias Ambientales, Universidad Autónoma de Barcelona. Universidad Nacional Autónoma de México (UNAM), México. PhD. Nelson Ernesto López. Director Doctorado en Educación y Cultura Ambiental, Universidad Surcolombiana, Colombia. PhD. Cleofé Alvites-Huamani. Directora Doctorado en Educación Universidad César Vallejo. (Perú). PhD. John Alexander Rojas Montero. Universidad Pedagógica Nacional. (Colombia). PhD. Alfredo Olaya. Doctor in Hydraulic Engineering. Professor Universidad Surcolombiana. (Colombia). Ph.D. Denise Machado Cardoso. Federal University of Para. (Brazil) Ph.D. Luz Stella Cañón Cueca. Secretaría de Educación de Bogotá. (Colombia). M.Sc. Libardo Motta. Master in Natural and Exact Sciences. Universidad Nacional de Colombia. (Colombia). Lic. Kelly Rebeca Infante Díaz. Licenciada en Bibliotecología, Fundación Instituto de Estudios Avanzados – IDEA. (Venezuela). PhD. Daniela S. Veas Iniesta. Postgraduate student. Institute of Engineering Economics and Humanities. Moscow Aviation Institute (National Research University), Moscow. (Russia). PhD. Fredy Alexis Rivera Angel. Doctorando en Ciencias. Desarrollo Socioambiental en el NAEA de la Universidad Federal de Pará. NAEA Universidad Federal de Pará. (Brazil). Miguel Angel Alcalde. Magíster en Biotecnología. Universidad de Barcelona (España) Sergio Daniel Cubides Cubillos. Doutorando no Programa Interunidades em Biotecnologia (IPT/USP/Instituto Butantan). Universidade de São Paulo, Instituto de Ciências Biomédicas - SP, (Brazil) PhD. Angela Maria Alvarez Gómez. Post-Doctoral fellow Centre of Excellence in New Target Discovery, Butantan Institute, Sao Paulo. (Brazil). Marcia Cristina Santana. Zootechnist - UFV Master in Nutrition and Ruminant Production - UFV Doctor in Nutrition and Animal Feed. UNESP Professora de Zootecnia IFGoiano. (Brazil). PhD. Martha Cecilia Arbelaéz Gómez. Doctor Psicología de la Educación. Universidad Tecnológica de Pereira. Dr. Yan Kapranov. Doctor of Philological Sciences, Associate Professor at Kyiv National Linguistic University (Kyiv, Ukraine).

The content of published articles and reviews is the responsibility of the authors and does not reflect the point of view or opinion of the editors or the Universidad de la Amazonia of Colombia.

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CONTENIDO Editorial Maxym Tkalych, Olga Melnychuk, Serhii Chumak……………………………………………………………………………….6

“Distant death” in Maxim Gorky's short story “Obsession” Marianna A. Dudareva, Tatiana V. Shvetsova, Natalia E. Chesnokova, Marina A. Shtanko, Denis G. Bronnikov……….9

Criminal law counteraction to land pollution in the EU countries: searching for the optimal model Roman Movchan, Andrii Vozniuk, Maria Burak, Vitalii Areshonkov, Dmitriy Kamensky……………………….….15 Awareness of the economically active population about entrepreneurship: country analysis I.S. Pinkovetskaia, M.A. Yakhyaev, S.V. Laptev, N.N. Lipatova…………………………………………….……24 The current state of involvement of children with special educational needs in out-of-school education in Ukraine Viktoriia Kovalenko, Viktor Syniov, Liudmyla Peretiaha, Halii Alla……………………………………………..31 Socio-economic aspects of the development of the tourism and hospitality industry in the Russian Federation Valentin Sharikov, Yulia Kireeva, Yulay Akchulpanov, Natalya Gribova, Lydia Berketova……………………………....43 Interpretation potential of mass media metaphor Olena Ilchenko, Polina Tkach, Liudmyla Sinna, Oksana Kadaner, Olena Overchuk……………………………………...56 Academic conferences in professionally oriented language acquisition by public relations undergraduates Polina Sergienko, Alla Minyar-Beloroucheva, Olga Vishnyakova, Elizaveta Vishnyakova……………………………….69 Structural-functional providing of the operative-investigative crime prevention in the field of public procurement in Ukraine Valerii Darahan, Oleksii Boiko, Viktoriia Rohalska, Olena Soldatenko, Valerii Lytvynov………………………………..80 Combating credit fraud: experience of Ukraine and some other European Countries Volodymyr Cherniei, Serhii Cherniavskyi, Alexander Dzhuzha, Viktoria Babanina …………………………….…93 “Shakespeare in love” / In love with Shakespeare: metatextual potential of John Madden’s fictional biopic Viktoriia Marinesko, Darya Lazarenko, Nataliya Torkut, Nataliia Gutaruk………………………………………………103 Predicting development based on a model of reflexive connections Viktoriia Marinesko, Darya Lazarenko, Nataliya Torkut, Nataliia Gutaruk………………………………………………113 Experiencing and overcoming financial stress in married couples: A study in COVID 19 pandemic era Iryna P. Yakymchuk, Serhii M. Olkhovetskyi, Ilona V. Rashkovska, Halyna M. Bevz, Maryna O. Martseniuk……..124 State policy in the field of innovation in Russia Roman Ovcharenko, Olga Goncharova, Evgenia Kondratenko, Olga Maltseva …………………………………141 Investment policy of the banking sector: data from Russia Alexei Zverev, Victoria Mandron, Tatiana Rebrina, Maria Mishina, Yulia Karavaeva…………………………...149 Social welfare program and poverty eradication in sub-saharan region of Eket Senatorial district, Akwa Ibom State, Nigeria Festus Nkpoyen, Esther P. Archibong, Veronica Undelikwo, Ude Bassey Obeten, Nnana Okoi Ofem……………...163 Reception of definitions of hereditary transmission and hereditary representation in modern legal systems Alina V. Goncharova, Svitlana Ya. Fursa, Valentina Y. Chuikova, Iryna P. Hrybachova………………………………..176 Liability in the field of digital payment systems and cryptocurrencies: mission is (im)possible? Liydmyla Panova, Siuzanna Tsurkanu, Oleh Synieokyi, Zoriana Dilna, Ivan Prymachenko ………………………186 Counteracting illegal border crossing and human trafficking: comparative analysis Dmytro Pryimachenko, Andriy Ivanskyy, Vladyslav Lipynskyi, Oleksii Matvieiev, Artem Povoroznik……………..196 Education, work and creation: ways for developing technological education of schoolchildren in Russia Vyacheslav Tigrov, Andrew Tolstenko, Ludmila Negrobova, Olga Dobromyslova, Evgeny Piminov………………206 Competencias del investigador en el contexto tecnológico y su correspondencia con las políticas públicas en ciencia, tecnología e innovación Eduardo Alfonzo Atencio Bravo, Lucia Magdalena Rojas Hernández, Liliana del Valle Piñero Landaeta …………217 The influence of religion on the norms of criminal law and process: an international-comparative study Vitalii Gatseliuk, Lesia Strelbitska, Oleh Herasymchuk, Andriy Pavlyshyn, Valeriia Khrystiuk…………………...226

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Volume 10 - Issue 42 / June 2021

Ensuring the detection of property in the institute of property seizure Anastasiia Bazhenova, Anatolii Desyatnik, Hanna Mudretska, Inna Pakipova …………………………………236 The search for new forms of personal expression in the era of postmodernism Mykola Kyrychenko, Vitalina Nikitenko, Valentyna Voronkova, Halyna Harbar, Alexander A. Fursin…………….248 Phenomena of freedom and justice in the interpretations of T. Hobbes and J. Locke Yevgen Borinshtein, Oleksandr Stovpets, Olga Kukshinova, Anton Kisse, Natalia Kucherenko…………………...255 Criminal liability for cruelty to animals under the legislation of Ukraine: features of theory and practice Oksana Hrytenko, Vitaliy Prymachenko, Volodymyr Shablystyi, Ihor Karikh……………………………………264

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Tkalych, M., Melnychuk, O., Chumak, S. / Volume 10 - Issue 42: 6-8 / June, 2021

DOI: https://doi.org/10.34069/AI/2021.42.06.0 How to Cite: Tkalych, M., Melnychuk, O., & Chumak, S. (2021). Editorial. Amazonia Investiga, 10(42), 6-8. https://doi.org/10.34069/AI/2021.42.06.0

Editorial Cyberbullying as an urgent existential problem: legal and organizational ways of overcoming

Written by: Maxym Tkalych https://orcid.org/0000-0003-4224-7231 Ph. D., Associate Professor of Civil Law Department of Zaporizhzhia National University, Ukraine. Olga Melnychuk https://orcid.org/0000-0002-3557-5934 Doctor of Legal Science, Professor of the Department of General Theoretical Jurisprudence of National University «Odesa Law Academy», Ukraine. Serhii Chumak https://orcid.org/0000-0002-0486-1890 Ph. D., Associate Professor of the Department of Criminalistics of National University «Odesa Law Academy», Ukraine.

In accordance with the provisions of the Convention on the Rights of the Child, no child shall be subjected to arbitrary or unlawful interference with his or her privacy, family, home or correspondence, nor to unlawful attacks on his or her honour and reputation (art. 16) (United Nations, 1989). Cyberbullying, which until recently remained unexplored in the national and international scientific community, according to foreign experts already exceeds the usual bullying (Anderson, 2018, VeryWellFamily, 2021). The coronavirus pandemic, which has forced many to focus their lives in a virtual environment, is also a reinforcing factor for such threatening growth. The definition of cyberbullying appeared in the Oxford Dictionary in 2010. At the time, the term was interpreted as “the use of information technology to harass others by posting abusive / threatening text messages / images” (Oxford English Dictionary, 2021). The emergence of the term “cyberbullying” is often attributed to the Canadian educator Bill Belsey (2019). He himself admits that he decided to launch websites to help children affected by bullying (cyberbullying (www.cyberbullying.ca)) under the influence of

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news of the April 20, 1999, massacre at Columbine American School in Jefferson County, Colorado which killed 13 students, and a similar incident in Alberta, Canada, in the town of Taber, 8 days after Columbine. The main feature of cyberbullying, of course, is its virtuality, which is characterized by a lack of control and a sense of reality of what is happening. As a result, both the victim and the aggressor cannot stop the circulation of offensive material on the Internet or their copying on digital devices. The actions of the offender may seem insignificant to him, such that they have no consequences because they occur in cyberspace, when in fact their consequences are quite real, because on the other side is a living person. In general, it has been found that cyberbullying leads to depression, loneliness, anxiety and low self-esteem, feelings of humiliation, frustration and anger, which have a lasting negative impact on the development of the child's personality (Ditch the Label, 2017). As for the international dimension of public-law counteraction to cyberbullying, the situation is, for obvious reasons, heterogeneous. Factors that cause this heterogeneity include the level of economic development, socio-political situation,

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cultural background, and so on. One way or another, the list of countries in which as of 2020 there are laws aimed at combating cyberbullying include Japan, Spain, Chile, France, Peru, Argentina, Italy, South Korea, Mexico, Sweden, Austria, Brazil, Canada, Great Britain, Poland, USA, Hungary, China and Saudi Arabia can be partially added to this list (Cook, 2021). Among the main legal acts that determine the international legal regulation to prevent and combat cyberbullying, we can name the UN Convention on the Rights of the Child of 1989, in Art. 2, 16, 19 and 39 which set out the main principles to be followed by the States Parties to this Treaty in carrying out activities in the field of protection of the rights of the child. These include taking all necessary measures to prevent physical, psychological and other forms of violence against children, inadmissibility of arbitrary interference in their personal and family life, violation of the secrecy of correspondence, illegal encroachment on their honor and dignity. The Universal Declaration of Human Rights, the International Covenant on Civil and Political Rights, and the Convention on Human Rights and Fundamental Freedoms, adopted by the Council of Europe, apply to both adults and minors, with basic powers such as the right to life, health, adequate standard of living, judicial protection, etc. At the regional level, there are also key regulations on cyberbullying prevention. These include the European Commission's Cyberbullying Strategy, which provides for directives on the legal protection of minors in cyberspace, such as Directive 2002/58 / EC on confidentiality and electronic communications; and Announcement of the European Commission on a general strategy to combat cyberbullying. Framework Decision 2005/222 / WSiSW provides for penalties for targeted, illegal access to all or part of the information system (Article 2), deliberate, illegal, serious violation or disconnection of the information system, methods of illegal manipulation of computer data (Articles 3, 4) (Ćmiel, 2014; Kosiński, & Kmiotek, 2014). In its Strategy for the Rights of the Child for 20162021, the Council of Europe identifies ensuring the rights of the child in the digital environment as one of its priorities. In this context, reference should also be made to Recommendation CM / Rec (2018) 7 of the Committee of Ministers of the Council of Europe to member states on the principles of observance, protection and realization of the rights of the child in the digital environment. According to this document, comprehensive advice was provided to the

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governments of the EU member states on preventing and combating cyberbullying. At the national level, bullying is addressed in the Law of Ukraine “On Education” (Law 2145VIII/2017, 2017) and partially in the Code of Administrative Offenses (Law 8073-X, 1984). In particular, bullying refers to the acts (actions or omissions) of participants in the educational process, which consist in psychological, physical, economic, sexual violence, including the use of electronic means of communication committed against a minor or such a person in relation to other participants in the educational process, as a result of which the mental or physical health of the victim may or has been harmed. Therefore, the above can be summarized as follows: 1.

Cyberbullying as a phenomenon is becoming threatening given the increasing intensity of digitization processes, the development of information technology, democratization of access to electronic communications. When interpreting the concept of cyberbullying, it is necessary to pay attention to a number of features such as intentional harm, recurrence or systematic action, and whether they are mandatory for qualifying the act as cyberbullying given the nature of each case. This specificity of qualification is due to the virtuality of cyberbullying. In the context of opportunities to prevent and combat cyberbullying by the relevant Ministry, in educational institutions it is necessary to diagnose the psycho-emotional environment and motivational-educational work with the administration; consultative and educational work with teachers and parents; counseling and correctional work with adolescents- "aggressors", adolescents- "victims" and adolescents"observers". To implement these initiatives, appropriate legal regulation at both national and international levels has to be provided.

Bibliographic references Anderson, M. A. (2018). Majority of Teens Have Experienced Some Form of Cyberbullying. Pew Research Center. Recovered from https://www.pewresearch.org/internet/2018/09/2

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8 7/a-majority-of-teens-have-experienced-someform-of-cyberbullying/. Belsey, B. (2019). Cyberbullying: An Emerging Threat to the “Always On” Generation. Recovered from http://www.billbelsey.com/?p=1827. Ćmiel, S. (2014). Cyberbullying Legislation in Poland and Selected EU Countries. Procedia: Social and Behavioral Sciences, 109, 29-34. Recovered from https://doi.org/10.1016/j.sbspro.2013.12.416. Cook, S. (2021). Cyberbullying facts and statistics for 2020. Recovered from https://www.comparitech.com/internetproviders/cyberbullying-statistics/. Ditch the Label. (2017). Cyberbullying statistics: what they tell us. Recovered from https://www.ditchthelabel.org/cyber-bullyingstatistics-what-they-tellus/#:~:text=Impacts%20of%20cyberbullying,26 %25%20had%20suicidal%20thoughts. Kosiński, J., & Kmiotek, S. (2014). Międzynarodowa współpraca w zwalczaniu cyberprzestępczości. Warsaw: WSPoL.

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Law 2145-VIII/2017, on education. Bulletin of the Verkhovna Rada of Ukraine, September, 5, 2017, Kyiv. Recovered from https://zakon.rada.gov.ua/laws/show/2145-19 Law 8073-X, Code of Ukraine on Administrative Offenses. Bulletin of the Verkhovna Rada of Ukraine, December 7, 1984, Kyiv. Recovered from https://zakon.rada.gov.ua/laws/show/80731-10. Oxford English Dictionary. (2021). Cyberbullying. Recovered from http://www.oed.com/view/Entry/250879?redirec tedFrom=cyberbullying#eid21238585. United Nations (UN). (1989). Convention on the Rights of the Child. Recovered from https://zakon.rada.gov.ua/laws/show/995_021#T ext VeryWellFamily. (2021). Cyberbullying Surpasses Bullying as Most Common Type of Harassment. Recovered from https://www.verywellfamily.com/how-commonis-cyberbullying-4570942#citation-4.

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DOI: https://doi.org/10.34069/AI/2021.42.06.1 How to Cite: Dudareva, M.A., Shvetsova, T.V., Chesnokova, N.E., Shtanko, M.A., & Bronnikov, D.G. (2021). “Distant death” in Maxim Gorky's short story “Obsession”. Amazonia Investiga, 10(42), 9-14. https://doi.org/10.34069/AI/2021.42.06.1

“Distant death” in Maxim Gorky's short story “Obsession” «СМЕРТЬ ДАЛЬНЯЯ» В РАССКАЗЕ М. ГОРЬКОГО «НАВАЖДЕНИЕ» Received: May 10, 2021

Accepted: June 15, 2021

Written by: Marianna A. Dudareva1 https://orcid.org/0000-0002-4950-2322 SPIN: 5362-0507 Tatiana V. Shvetsova2 https://orcid.org/0000-0001-9637-6958 SPIN: 8251-1780 Natalia E. Chesnokova3 https://orcid.org/0000-0001-8973-8068 SPIN: 1868-1088 Marina A. Shtanko 4 https://orcid.org/0000-0003-2665-2552 SPIN: 4867-9385 Denis G. Bronnikov5 https://orcid.org/0000-0002-0382-4414 SPIN: 6467-0780 Abstract

Аннотация

The paper analyzes the short story “Obsession” written by Maxim Gorky in the Nizhny Novgorod period of his work, which has been given little attention in philological works. On the one hand, the author himself defined its genre as a Christmas tale; on the other hand, this work cannot be brought into line with Christmas tales and short novels by Gogol and Dostoyevsky, since in Gorky’s story, no miracle occurs. However, this small text still deserves literary scholars’ attention. The short story introduces an interesting paradox of artistic space and time: in outward appearance, the action takes place within one room, on the couch, but the hero’s internal experiences, his conflict with the alter ego carry the reader into the distant past, the Christmas days of the main character’s family, and then the imagination, vision that visited Foma Mironovich come to the fore and become a plot-forming feature. The form in which the story content is

В статье анализируется рассказ нижегородского периода творчества М. Горького «Наваждение», которому в филологических работах уделялось мало внимания. С одной стороны, сам автор определил его жанр — святочный рассказ, с другой стороны, это произведение нельзя поставить в один ряд со святочными рассказами и повестями Н. Гоголя, Ф. Достоевского, поскольку у Горького чуда не происходит. Однако небольшой по объему текст все-таки заслуживает внимания литературоведов: в рассказе особый интерес вызывает парадокс художественного пространства и времени — внешне действие разворачивается в пределах одной комнаты, на диване, но внутренние переживания героя, конфликт с alter ego переносят нас в далекое прошлое, рождественские дни семьи главного героя, и тогда имагинация, видение, посетившие Фому Мироновича, выходят на

Candidate of Philology, Senior Lecturer, Russian Language Department No. 2, the Russian Language and General Education Faculty, RUDN University, Russian Federation. 2 Federal University named after M.V. Lomonosov (NarFU). Arkchangelsk, Russia. 3 Candidate of, Associate Professor at the Department of Foreign Languages, Surgut State University Pedagogical Sciences, Russian Federation. 4 Taganrog Institute of Management and Economics, Taganrog, Russia. 5 The Kosygin State University of Russia. Moscow, Russia.

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Dudareva, M.A., Shvetsova, T.V., Chesnokova, N.E., Shtanko, M.A., Bronnikov, D.G. / Volume 10 - Issue 42: 9-14 / June, 2021

presented (obsession, dream, delusion) is typologically similar to the structure of Russian folklore tales telling about encountering the phenomena of the “other world”. The results of the study may be of interest to both literary and cultural scholars. Keywords: Russian literature, Maxim Gorky's work, philosophical questions of the text, mortal subtext, topos, end of the modern period.

первый план и становятся сюжетообразующим элементом. Форма подачи материала (наваждение, сон, морок) типологически схожа со структурой быличек, в которых повествуется о встречах человека с явлениями «того света». Результаты исследования могут быть интересны как литературоведам, так и культурологам. Возможно их использование в курсах по истории русской литературы XX века. Ключевые слова: русская литература; творчество М. Горького; философские вопросы текста; мортальный подтекст; топос; конец Нового времени.

Introduction

Materials and methods

F. Aries, philosopher and historian, shows in his famous work “Man in the Face of Death” (1977) how human attitude towards death was changing in different periods of history. The scholar distinguishes five types of death: tamed death, own death (personal), distant death, your death (death of a loved one), inverted death (Aries, 1992, p. 15). Death is a priori incomprehensible; a number of works on apophaticism of death can be found in modern Russian humanitaristics – by Varava (2013), Dudareva (2019). The issues of thanatological nature, as well as the issues related to the phenomenon of the pandemics, are of increasing concern for researchers representing different fields of knowledge (ArbelaezCampillo et al, 2019). Philosophers and culturologists point out that the issues relating to illness and death should be interwoven with the concept of life. In this regard, a new book by a German historian Buller (2019), as well as the articles in the magazine “Man” covering coronavirus infection (Asmolov, 2020), are of specific interest. However, at this point, we must immediately give a definition of the concept of apophaticism. Apophaticism is an ancient notion originally derived from theological discourse; it is associated with the concept of comprehending God through denial of any predicates as knowingly false. Today, apophaticism has irradiated into all research paradigms and is a prerequisite for immersion in the transcendental in culture. Death, illness, sleep, love are incomprehensible; these cultural absolutes should, for the most part, be considered within an irrational paradigm. This article addresses the phenomenon of death in Gorky’s short story “Obsession”. The apophaticism of the work is rooted in the incomprehensible nature of the art cosmos of culture.

M. Gorky’s Christmas tale “Obsession” has been somewhat neglected by scholars. Possibly, this is due to the fact that the author himself did not include it in his collected works (deeming it to be an immature work and in many respects imitative – since one can feel the “presence” of Leo Tolstoy with his mortal story “The Death of Ivan Ilyich”, as well as Dostoevsky with his mysterious ambivalent image of a devil who appears to Ivan Karamazov). The “vulgar exterior” of evil, the unbreakable bond between the mundane and the infernal in a soul that lost faith in high ideals and the miraculous and that forfeited its metaphysical involvement, had been fully revealed by Dostoevsky. Still, Gorky, in many ways anticipating the appearance of a “petty demon”, the “black man” and other uninvited other-worldly visitors met in the Russian literature of the coming non-calendar age, proceeds in his successive mitigation of evil and naturally, the image of man along with it. That is on the one hand.

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On the other hand, this work, which falls outside the tradition of the Christmas story genre, remains in the shadow; it is just briefly mentioned in the essays devoted to Christmas festive symbolism in the Russian literature in general. This is quite understandable since the Gorky’s story does not suggest a miracle – it shows only the soul’s attempt to believe in miracle. As reasonably observed by Starygina (1992, p. 123), this is an “endeavour to look for a possibility of psychic metamorphosis”. Here one can speak of anti-genre, with a high degree of certainty. This form is typical for the borderline reality, according to Davydova’s subtle remark, who points to the complicated interplay with genre models in the works by Zamyatin, Chapygin, and Prishvin (Davydova

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1997). However that may be, this short essay written in 1896 at the turn of epochs deserves a separate study. The research methodology involves the use of the ontohermeneutical analysis of the text, supplemented by the semantic method, which allows to holistically analyse the architectonics of the work and to comprehend its ontological aspect. The authors also practiced the experience of slow reading, paying much attention to the hero’s liminal state of mind. A consistent folkloristic analysis of the novel makes it possible to see the depth of images, the growth of the character, initiation path, to highlight the ontological subtext. The methodological basis of the work is a comprehensive analysis of the literary text, supplemented by the use of structural-typological and comparative research methods. Results and discussion The storyline is extremely simple: Foma Mironovich, a patresfamilias, is getting some rest after a family meal, staying in his study, where he probably falls asleep and has an interesting dream or vision which excites his soul. The external action takes place within a single topos – in a room, on a sofa. The actual plot is more profound and sophisticated, going beyond the limits of the storyline – since it is built on the perception of a dream bordering on delirium, obsession, delusion, which necessarily means falling out of linear time and space: “Foma Mironov shuddered and opened his eyes. On a chair, in front of him, a short man was sitting, thin and pale, with large endearing eyes” (Gorky, 1969, vol. 3, p. 505). So what does the protagonist dream or see? Foma Mironovich, a millionaire, elderly head of a large family, is visited by someone having no age or name, who sets on a philosophical conversation with moral and ethical implications, about the hero’s “righteous” deals and “real” thoughts: “Actually, if you are really curious to know about me I’ll tell you this: you see, any human has a fatal hour in life – the hour when the human soul feels hesitation... Then a man senses the thoughts of his heart, very special thoughts, genuine, human thoughts...” (Gorky, 1969, vol. 3, p. 506). Just before that, Foma himself, when falling asleep on the sofa, thought of his father – how he lived, how his children bowed from the waist to him, respected and feared him:

and understandable. People, of course, sinned and showed disobedience, but they feared, had a great fear of the parent in the family! (Gorky, 1969, vol. 3, p. 503). However, these reflections, understandable to the hero, are interrupted by a stranger who has come to visit him. Who is this wanderer? On the one hand, one may draw literary parallels to Dostoevsky whose “brutal talent” was highly valued by Gorky (Sukhikh 1999, p.9). Ivan in “The Brothers Karamazov” is visited by an unknown gentleman (Devil) at a crucial point in the hero’s life. On the other hand, one should take into account the great influence of Schopenhauer’s ideas, much favoured by Gorky, especially at the early period of his work in Nizhny Novgorod, when he studied profoundly the history of world philosophy, as evidenced by his reading preferences (Urtmintseva, 2017). The German philosopher proclaimed the concepts of chaos of random impulses; referred to events in metahistory unrelated to morality. Essentially, everything Foma does in his life is unsavoury and even illogical to himself; he does not know himself what to do with his millions, therefore, no miracle happens: “Well, use your millions to build schools, colleges, almshouses; build a house for the Duma, create something else needed by the city... – Fancy that!!! Won’t it be a bit grand? – Foma Mironov smiled crookedly” (Gorky, 1969, vol. 3, p. 509). Indeed, as the observers correctly note, this story is an attempt to revive the soul which longs for a miracle – but this does not happen (Starygina, 1992, p. 123). Gorky’s protagonist is still stupid and deaf to the phenomena of “the other world”; he is more hopeless than Pushkin’s- (Adrian Prokhorov from “The Undertaker”) and Dostoevsky’s heroes (Ivan from “The Brothers Karamazov”), as he fears neither God nor Devil and fears only to lose money or overspend it. According to Deborah Martinsen, Dostoevsky showed Ivan’s metaphysical suffering by relating his hallucinations with the Devil (Martinsen, 2014, p. 76). However, the situation is exacerbated for Gorky: no physical or metaphysical suffering is experienced by the hero. At the same time, the person who appeared to the hero in a dream or in a midday delirium has the qualities of a noble trickster (the demiurge is a noble hypostasis of a trickster (Meletinskii, 1986, p. 22).

“Everything was simple – clothing, food, manner of talking, and people themselves were simple

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12 On the one hand, the title refers to the phenomenon of obsession which has negative connotations involving delusion, demonic temptation and momentary blurring of consciousness (this is where parallels with Dostoevsky, Esenin’s “The Black Man” and Andreev’s “Someone in Grey” are appropriate); on the other hand, the nameless being invites the hero to do something good and awakens his feelings, the ability for reasoning and comprehending his past life. Thus, an impulse is born in this shadow, for something fundamentally new, for doing rather than lying dormant: “...And all these buildings will remain for centuries and they will be indestructible monuments to you, Foma. And everyone will know, Foma, what you lived and saved for” (Gorky, 1969, Vol. 3, p. 509). The old man in the story is endowed with ambivalent qualities; he is simultaneously a source of temptation, darkness, impulse, light, which can also be expressed by the concept of Ungrund referred to by Schopenhauer, following Böhme. Light is born from shadow and in shadow, which was expounded by Russian philosopher Berdyaev: “Light and God are born from Ungrund, from the Abyss; a theogonic process takes place and darkness recedes, as well as the evil that is a shadow of divine light. Evil has its origin not in the born God, but in the premise of God, in the Abyss that gives rise to both light and darkness” (Berdyaev, 1994, p. 155). However, one should not reproach Gorky for directly following the German thinker’s theory or any other philosophical tradition, although the considered story pertains to his early creative heritage, since the Russian intelligentsia, the Russian art mentality, as Andreeva rightly observes, did not accept Schopenhauer’s denial of the moral absolute (Andreeva 2003, p. 83). The thing is that Foma, after his dream / delusion / obsession, wakes up sweating, and this detail, semiotically and semantically important, points to psychological changes in the hero’s personality: “...And he woke up all sweating. The chair was standing in front of the sofa. Foma Mironovich ran his trembling hand over it for some reason. Then he stretched out on the sofa again and pondered, frowning his eyebrows... And after some time, he said in a whisper: “And what if... I put up the money this way?? Well? Ugh, it’s an

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obsession! And he got absorbed in thought again...” (Gorky, 1969, vol. 3, p. 510). The situation of obsession can be viewed here as an alternative to inner speech which is essentially described by G. Guillaume, a French linguist: “The structure of language in the depths of human nature represents a possibility of mental vision which is translated into the possibility of verbal or written utterance by language, in its striving for indispensability and sufficiency, and further – into actual speech or writing” (Guillaume, 1992, p. 22). The scholar’s position on mental vision is akin to the idea of imaginative thinking, to living in reality through an image, this concept being is a part of the world culture (it was expounded in the early 20th century by a German anthroposophist R. Steiner and a Russian philosopher Golosovker (2012). Following this, it is not so important whether the guest who visited Foma is real or not (this guest is reminiscent of Ahasverus who exists and who at the same time does not exist in any of the worlds and whose image will be represented in the story “The Crook”). The millionaire feeling himself the master of the universe, capable of taking revenge on everyone and everything, suddenly grabs a chair and thus wants to make sure that his visitor was unreal; grabbing the chair for some reason is another semiotically important psychological detail. If we take into account the myth-folklore code of the writer’s creative heritage, which is necessary for profound comprehension of many Gorky’s novels (according to a fair comment of Spiridonova (2002), then, in ontological terms, the situation of obsession in the story is a culminating and turning point in Foma Mironovich’s life from the point of view of folklore reality and the logic of folklore accounts that tell of human encounters with substances from “the other side”, the other-worldly reality. The following features point to the other-worldly nature of the creature that visited the millionaire. First, he has no name. Second, he has no age, turning from a man with a kind meek look into a sad old man: “Now, listen... you, no matter who you are. You might be a devil or not; but you are not an angel”, said Mosolov in a muffled voice. – Do you know what I should do before I die? If you know – then talk... – Of course I know! This is why I have come to you – to advise you”, the sad little man smiled fondly.” (Gorky, 1969, vol. 3, p. 508). Third, he is like Lermontov’s Stoss or Aksakov’s cloud – dissolves, vanishes into space. This

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apophaticism characterises him as a representative of the “other world” personifying death that has come to Foma before its due time. Besides, the old man is somewhat flawed, his eyes are tired, he is weak, he is physically inadequate, which also points to his “otherworldly” nature. As noted by Neklyudov, children, orphans and cripples are perceived as other-worldly beings, – they are between this and the other world, performing a mediatory function (Neklyudov). The concepts of life and death always change at the turn of epochs, and we are facing a work of art typical of Gorky at the forefront of the impending non-calendar 20th century, since, according to F. Aries, death has become distant for a man of the New Age; the man sort of rejects it, repels it altogether, and further perceives it as a matter of fact: “The New-Age man begins to feel aloof from the moment of physical death... Life itself is now becoming full, rich and extended, “with no seams”, with no interruptions, while death, still present in human life, retains its place only at its far end, being easily abandoned despite the actual realism of Spiritual Exercises” (Aries, 1992, p. 273). This means that man moves away from the spiritual world, from “the other-worldly” phenomena, and can afford “enjoying a lavish lifestyle”, so to say, lives as he wishes – the way the hero of the story “Obsession” lives. He should have been surprised or frightened, like, for example, Pushkin’s undertaker, but he resigned himself, felt the space around, making sure of reality of the world around him, and decided not to spend any money, not to do any good expected of him. And this thought of “distant death” which seems to come one day for certain (and the son will certainly squander the father’s money), but not yet so soon as to rush to do good things, takes shape (finds confirmation) in some models of art space, or rather, in its inherent paradox in Gorky’s work: on the one hand, the action takes place in a room, on a sofa (Foma Mironovich is napping), while someone is sitting on the chair; on the other hand, the imagination takes place exclusively in the hero’s head, with all of the supposedly Christmas-related events. The millionaire is carried away to the past with his thoughts, recollecting Christmas days of his childhood, which is essentially the only reason to call the story a Christmas tale. In fact, the main event, namely, falling asleep after a hearty meal, takes place on a midday hour, which is a sacred time, ritually marked in the world culture, especially in the Russian cultural tradition. According to M. Tsvetaeva, midday is as mystical as midnight which is treated by us as

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such, since bodies have no shadows in the noon: “...midday is the most corporeal of all hours of the day, most material, with bodies having no shadows and bodies asleep without dreams... It is the most spellful, mythic and mystic hour of the day, as magic-mythic-mystic as midnight” (Tsvetaeva, 1991, p. 544-545). Conclusion To conclude, Gorky’s story really makes attempt to reanimate the human soul; but perhaps, this failed attempt, in a kind of entropy, not so much demonstrates the author’s immaturity or imitation of predecessors as the ontological inconsistency of a man of the late New Age, a man enjoying all wordly blessings, but metaphysically estranged. This attempt took shape in searching for a genre: it is a Christmas story, as defined by the author, and at the same time, a non-Christmas tale, according to its axiological and ontological dominant. Still, this apophaticism, that presented itself at the figurative, linguistic and metatextual level, contains a subtle valuable meaning, along with anticipation of the impending non-calendar age. References Arbelaez-Campillo, D. F., Dudareva, M., Rojas-Bahamon, M. J. (2019). Las pandemias como factor perturbador del orden geopolíticoen el mundo globalizado. Cuestiones Politicas, 36(63), 134–150 Andreeva, I.S. (2003). Schopenhauer’s Philosophy and Russian Literature. Human: Image and Essence. Humanitarian Aspects, No. 1(14). pp. 77–100. Aries, F. (1992). Man in the Face of Death. Moscow: Progress – Progress-Akademiya. Asmolov, A.G., Ivannikov, V.A., MagomedEminov, M. Sh., Guseinov, A.A., Dontsov, A.I., & Bratus, B.S. (2020). Cultural-activity psychology in extreme situations: a challenge to the pandemic. Discussion materials. Chelovek, 31(4), pp. 7–40. Berdyaev, N.A. (1994). Philosophy of Creativity, Culture, and Art. Moscow: Iskusstvo. Buller, A. (2019). The concept of Death in Philosophy, History and Literature. Saint Petersburg: Aleteya. Dudareva, M. (2019). Apophatic elements in the poetry of S. A. Yesenin: Thanats’ characters. Amazonia Investiga, 8(22), pp. 51–57. https://amazoniainvestiga.info/index.php/amazo nia/article/view/27 Guillaume, G. (1992). Principles of Theoretical Linguistics. Moscow: Progress.

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14 Golosovker, Ya. E. (2012). Imaginative Absolute. Moscow: Academic Project, http://ecdejavu.ru/p/Publ_Golosov_Imag.html Gorky, M. (1969). Obsession. In Gorky M. Complete Works: in 25 vols. Moscow: Nauka. Vol. III, pp. 501–510. Davydova, T.T. (1997). Antigenres in E. Zamyatin’s Works. In New about Zamyatin: Collected Papers. Moscow: MIK, pp. 20–35. https://www.elibrary.ru/item.asp?id=8971416 Martinsen, D.A. (2014). Ivan Karamazov’s Devil and Epistemic Doubt. In Issues of Philosophy, 5, pp. 73–77. https://dlib.eastview.com/browse/doc/41448423 Meletinskii, E.M. (1986). Introduction to the Historical Poetics of the Epic and Novel. Moscow: Nauka. Neklyudov, S.Yu. (1998) Images of the Other World in Popular Beliefs and Traditional Literature. Ruthenia. URL: http://www.ruthenia.ru/folklore/neckludov8.htm (date of access: September 7, 2020). Spiridonova, L.A. (2002). Mythopoetic Basis of Gorky’s Artistic World. In Maxim Gorky as an Artist: Problems, Results and Prospects of Study. Nizhny Novgorod, Nizhny Novgorod State University, pp. 3–12.

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Starygina, N.N. (1992). Christmas Story as a Genre. In Problems of Historical Poetics, Issue. 2. Artistic and Scientific Categories. Petrozavodsk, pp. 113–127. Sukhikh, O.S. (1999). Gorky and Dostoyevsky: Continuation of the “Legend...” (Motives of the “Legend of the Grand Inquisitor” by F.M. Dostoyevsky in the Work by M. Gorky). Nizhny Novgorod: KITizdat. Urtmintseva, M.G. (2017). Development of Early Gorky’s Artistic Consciousness (by Marginals from the Writer’s Personal Library in Nizhny Novgorod). In New Philological Bulletin, 3(42), pp. 100–108. https://cyberleninka.ru/article/n/stanovleniehudozhestvennogo-soznaniya-rannego-gorkogopo-marginaliyam-iz-lichnoy-bibliotekipisatelya-v-nizhnem-novgorode Tsvetaeva, M.I. (1991). Poems / Opening chapter, compilation, and commentary by A. A. Sahakyants. Moscow: Pravda. Varava, V.V. (2013). Philosophical Thanatology or Apophatic Philosophy? Scientific Bulletin of Belgorod State University. Series: Philosophy. Sociology. Law, 2(145), Issue 23, 112–117.

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DOI: https://doi.org/10.34069/AI/2021.42.06.2 How to Cite: Movchan, R., Vozniuk, A., Burak, M., Areshonkov, V., & Kamensky, D.. (2021). Criminal law counteraction to land pollution in the EU countries: searching for the optimal model. Amazonia Investiga, 10(42), 15-23. https://doi.org/10.34069/AI/2021.42.06.2

Criminal law counteraction to land pollution in the EU countries: searching for the optimal model Кримінально-правова протидія забрудненню земельних ресурсів в країнах ЄС: пошук оптимальної моделі Received: May 10, 2021

Accepted: June 15, 2021

Written by: Roman Movchan6 https://orcid.org/0000-0003-2074-8895 PUBLONS: Web of Science ResearcherID: AAK-1080-2021 Andrii Vozniuk7 https://orcid.org/0000-0002-3352-5626 PUBLONS: Web of Science ResearcherID: AAJ-1865-2020 Maria Burak8 https://orcid.org/0000-0002-1099-2096 PUBLONS: Web of Science ResearcherID: AAQ-4797-2021 Vitalii Areshonkov9 https://orcid.org/0000-0003-1776-1220 PUBLONS: Web of Science ResearcherID: AAN-9659-2021 Dmitriy Kamensky10 https://orcid.org/0000-0002-3610-2514 PUBLONS: Web of Science ResearcherID: AAQ-4357-2021 Abstract

Анотація

The main goal of the article is to study both advantages and disadvantages of the approaches of the European Union (EU) states to criminal law prevention of land pollution. As a result of this an optimal legislative model should be developed to protect this element of the environment from criminal encroachment, which can be further used by the EU states in improving existing or creating new rules aimed at criminal law protection of land resources from pollution or the creation of new rules aimed at criminal law protection of land resources from pollution. The following research methods have been used to study criminal law provisions of the selected countries, to prove the stated hypotheses and to formulate conclusions: comparative law, system analysis, formal-logical, dialectical and

Метою статті є вивчення переваг та недоліків підходів окремих країн Європейського Союзу щодо кримінально-правової протидії забрудненню земель, за результатом якого має бути розроблена оптимальна законодавча модель охорони цього елементу природного середовища від злочинних посягань, яка надалі може бути використана державами Європейського Союзу при удосконаленні вже існуючих або ж створенні нових норм, що направлені на кримінально-правову охорону земельних ресурсів від забруднення. Для дослідження кримінального законодавства обраних країн, доведення висловлених гіпотез, формулювання висновків використано такі наукові методи: порівняльно-правовий, системного аналізу, формально-логічний, діалектичний та метод

Doctor of Law, Associate Professor, docent Department of Constitutional, International and Criminal Law Vasyl’Stus Donetsk National University, Ukraine. 7 Doctor of Law, Professor, Head of the Research Laboratory, National Academy of Internal Affairs, Ukraine. 8 Candidate of legal sciences, Senior Research Fellow of the Research Laboratory on the Problems of Combating Crime of the National Academy of Internal Affairs, Ukraine. 9 Doctor of Law, Senior Research Scientist, Leading Researcher of the Research Laboratory on the Problems of Combating Crime of the National Academy of Internal Affairs, Ukraine. 10 Doctor of Law, Professor, Berdyansk State Pedagogical University, Ukraine. 6

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modeling method. As a result of the study of various models of criminal law protection of land resources embodied in the legislation of nineteen European Union states, it has been proved that: 1) such protection should be carried out by a single universal rule on criminal liability for pollution not only of land but also of other components of the environment (water, air, forest); 2) only such land pollution shall be considered criminal, which has led to real (non-potential) damage to the environment, human health or property damage; 3) liability for land pollution should be differentiated depending on: a) weather guilty person’s act was intentional or negligent; b) what the consequences of land pollution have been. Key words: environment, pollution, land resources, crime, criminal liability.

моделювання. У результаті дослідження притаманних законодавству дев’ятнадцяти країн Європейського Союзу різних моделей кримінально-правової охорони земельних ресурсів доведено, що: 1) така охорона має здійснюватися за допомогою єдиної універсальної норми, присвяченій регламентації кримінальної відповідальності за забруднення не лише земельних ресурсів, а й інших компонентів довкілля (вода, атмосферне повітря, ліс); 2) злочинним має визнається лише таке забруднення земель, яке призвело до реальної (не потенційної) шкоди навколишньому природному середовищу, здоров’ю людини чи майнової шкоди; 3) відповідальність за забруднення земель має бути диференційована залежно від того: а) умисним чи необережним було діяння винної особи; б) які наслідки спричинило забруднення земель. Ключові слова: довкілля, забруднення, земельні ресурси, злочин, кримінальна відповідальність.

Introduction Today, the ever-growing scale of environmental pollution is one of the greatest global challenges for the sustainable development of humankind. This fully applies to European countries, given that the member states of the European Union (hereinafter – the EU) have in recent years significantly intensified their activities aimed at combating relevant socially dangerous acts, including those related to land resources. The particular urgency of the problem of land protection is explained by the fact that, on the one hand, the soil is a non-renewable resource and a very dynamic system, which performs many functions and provides services vital to human activity and ecosystem survival (Proposal, 2004), and on the other, as recognized by both European and Ukrainian experts, is the fact that most of Europe’s lands remain in critical state, which, among other determinants (degradation, erosion, etc.), is explained by the pollution of the latter (Savchenko, Babikov & Oliinyk, 2017; Swartjes, Carlon, & DeWit, 2008), which is increasingly viewed as a serious obstacle to sustainable development of the European countries (Gilmore, 2001). Given the transboundary nature of the soil pollution issue, it is necessary to agree with those experts, who emphasize that there is a clear urgent need for a concerted action aimed at combatting this negative phenomenon within the EU (Rodrigues et al., 2009; Glæsner, Helming &

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De Vries, 2014). At the same time, despite the scale of such issue, academics state that EU countries still lack a common legislative instrument for their criminal law protection (Valentín, Nousiainen, & Mikkonen, 2013). This is despite the fact that the EU Directive 2008/99/EU on the application of criminal law to the protection of the environment, adopted in 2008, stated that, on the one hand, effective environmental protection can only be achieved, if there is an effective mechanism for its criminal law protection, and on the other hand – directly pointed to the low effectiveness of such mechanism, which was explained in part by the lack of a coherent policy in this regard (Directive 2008/99/EC). All these circumstances underline the relevance of the topic chosen for research.The structure of the study and its division into relevant sections are based on objective and subjective features of criminal offenses, which provide for liability for criminal pollution of land resources – subject, consequences, guilt, aggravating circumstances. We deliberately did not analyze the elements of the act, since in fact they have been described by a single term “pollution” in all countries studied. Literature Review Some issues of criminal law protection of land resources have been covered in the works of such researchers as L. Bukalerova & A. Shveiger, A.

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(2013); V. Ladychenko, O. Yara, L. Golovko & V. Serediuk (2019); T. Overkovskaya (2021); I. Popov (2012); A. Savchenko, O. Babikov & O. Oliinyk (2017); Yu. Turlova (2016); F. Comte, L. Kramer, & O. Dubovik (2010); O. Yara and others (2018). While recognizing the great theoretical and practical significance of research by these scientists, it should be noted that their attention had been mainly focused on studying legislation of specific countries (Eshmurodov, 2020), or on a comprehensive study of criminal liability for crimes against the environment in general (Comte, 2003; Turlova, 2016; Waling, 1994), or only on environmental aspects of the relevant issues (Ladychenko, Yara, Uliutina & Golovko, 2019; Hollins, & Percy, 1998; Lisova & Sharapova, 2020; Meiyappan, Dalton, O’Neill, & Jain, 2014; Yara, Uliutina, Golovko, & Andrushchenko, 2018). At the same time no special studies have been made in the legal literature, within which comprehensive analysis of the EU legislation on the introduction of criminal liability for pollution of land resources, though this is a necessary prerequisite for developing optimal legislative model of criminal law response to relevant socially dangerous manifestations.

crimes in the field of land relations. Furthermore, dialectical method allowed to comprehend the problems of research, its methodological bases, to structure research, to carry out step-by-step knowledge of the object of research. Using the modeling method, the optimal legislative model of criminal law protection of land resources has been elaborated, which can be used when looking for ways to improve EU members’ national legislation.

Меthodology

Elements of the environment subject to criminal protection against pollution (subject). First of all, it should be noted that criminal law of most EU countries contains a single universal prohibition on criminal law protection against pollution of not only land resources but also of environmental components such as water, air and, less frequently, forest (Czech Republic), animals and plants (Estonia), biota – flora and fauna (Hungary). In Lithuania and Slovakia, the list of environmental components protected from pollution is not specified, and the term “natural resources” is used instead. Only laws of Liechtenstein and Germany contains separate norms, which deal exclusively with the pollution of lands and, more precisely, soils.

This research is based on the use of the comparative law method, which has been employed to compare provisions of the criminal law of nineteen EU countries, as well as the EU Council Framework Decision 2003/80/JHA on criminal law protection of the environment of January 23, 2003 (Council Framework Decision) and the EU Directive 2008/99/EC on the application of criminal law to the protection of the environment. Based on the method of systemic analysis, a study of the experience of EU member states in the construction of standards which provide for criminal liability for pollution of land resources has been conducted. The authors used formal-logical method in interpreting the studied norms on liability for

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For our study, we have selected EU countries where criminal liability is provided for land pollution. Among them are Austria, Bulgaria, Denmark, Estonia, Spain, Italy, Latvia, Lithuania, Liechtenstein, the Netherlands, Germany, Poland, Portugal, Slovakia, Slovenia, Hungary, Croatia, the Czech Republic, and Sweden. The choice of such a wide range of countries is explained by the proven fact that the study of foreign experience of as many countries as possible contributes to the transposition of relevant provisions of different foreign countries criminal law, their adaptation, convergence, harmonization, unification and so on (Vozniuk, Dudorov, Tytko, & Movchan, 2020). Results and discussion

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18 Table 1. Elements of the natural environment protected by law (developed by the authors) Country Austria Bulgaria Denmark Estonia Spain Italy Latvia Lithuania Liechtenstein Netherlands Germany Poland Portugal Slovakia Slovenia Hungary Croatia Czech Republic Sweden

Object of criminal violation land, water, air land, water, air land, water, air, soil soil, water, air, animals, plants earth, subsoil, air, water soil, subsoil, water land, subsoil, water, forest natural resources Soil land, water, air Soil soil, water, air land, water, air natural resources land, water, air land, air, water, biota (flora and fauna) land, soil, water, sea, air soil, water, air, forest and other components of the environment land, water, air

In our opinion, given the organic relationship of all these types of natural resources, there is no need to differentiate criminal liability for pollution of each of them. This view is supported by L. Bukalerova and O. Schweiger, who point out that the essence of pollution should be reduced to the consequences of a onedimensional nature and the delimitation of norms on environmental objects is impractical, since it does not take into account all possible consequences for a particular object (Bukalerova & Shvejger, 2013). Consequences. Depending on the peculiarities of constructing the consequences element of the discussed provisions, the approaches of the parliamentarians of the EU countries to the

presentation of the studied norms can be divided into three groups: 1) In the so-called first group of countries, any pollution, which has created a danger to human life or health or the environment (torts of danger) is considered criminally illegal; 2) In the second group – only pollution which led to the occurrence of real socially dangerous consequences, which are provided for in the dispositions of the relevant criminal law provisions; 3) Legislators of the third group of countries apply a comprehensive approach, when the condition of recognizing pollution as criminal are both real consequences and the threat of their occurrence.

Table 2. Division of provisions depending on the consequences related to criminal liability for pollution of land resources (developed by the authors) Country Austria

Bulgaria Denmark Estonia Spain

Consequences of pollution - endangering life or health of a large number of people or; - creating a significant danger to the state of fauna or flora or; - long-term deterioration of water, soil or air quality or; - cases when the cost of eliminating pollution exceeds 50 thousand euros - creating danger to humans, animals and plants, or; - making natural resources unsuitable for use in cultural and domestic, health, agricultural and other economic purposes - causing significant damage or; - creating a real danger of causing significant damage to the environment - creating a danger to human life or health or; - creating a risk of significant damage to the quality of water, soil or air, animals or plants or parts thereof - causing or threatening to cause significant damage to the quality of air, soil or water, as well as to animals or plants

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Italy Latvia Lithuania Netherlands Germany

Poland

Portugal

Slovakia Slovenia Hungary Croatia

Czech Republic

Sweden

- pollution - causing significant damage to the environment, human health, property or economic interests - creating a threat of significant damage to air, land, water, animals or plants or other serious consequences for the environment - creating a threat to public health or life of another person, death of a person - causing harm to the health of another person, animals, plants or other objects of value, or water bodies, or; - significant pollution or other negative impact on the environment Contamination in such quantity or in such a form that it can: - endanger human life or health, or; - cause a significant decrease in the quality of water, air or land surface, or; - cause damage to flora or fauna on a large scale causing significant damage, which should be understood as such losses that: - significantly or permanently impair the physical integrity and well-being of people, or; - make it impossible to use the environmental component for a long time, or; - have led to the spread of microorganisms or substances harmful to the body or health of people, or; - had a significant impact on the conservation of species or their habitats, or; - significantly worsened the quality or condition of the environmental component - creating a threat of damage to the environment - creating a threat to the life of one or more persons, or; - causing serious harm to the quality of air, soil or water, as well as to animals or plants, or; - creating a danger of significant deterioration of the habitat in the protected area - endangering natural resources - creation for a long period of time or to a large extent of a threat to the quality of natural resources, or; - creating a threat to natural resources over a vast territory, in which animals, plants, or human life or health are endangered - significant damage to soil or a threat to it, of water, air, forest or other component of the environment, or; - pollution of natural resources that could cause serious harm to health or death, or; - if it requires significant costs to eliminate the consequences of such behavior, or; - a person intentionally increases such damage or threat to an environmental component or aggravates its rejection or mitigation - pollution which is insignificantly harmful to human health, animals or plants, or; - any other significant violation of the environmental rules

In our opinion, construction of the analyzed provision as a tort of creating a danger is not justified. In particular, I. Popov suggests that responsibility for creating a threat of pollution and the lack of precise criteria for the crime of acts leads to the fact that, for example, tens of thousands of crimes against the environment are registered in Germany each year (Popov, 2012) (among the latter the average share of soil pollution is about 10%) (Comte, Kramer, & Dubovik, 2010). We believe that, given the prevalence of environmental pollution (including land resources), only those, which have led to real socially dangerous consequences should be recognized as criminally unlawful. In this respect, the experience of Latvia deserves the most attention, in which only land pollution, which has led to significant damage to the environment, human health, property or economic interests (Part 2 of Article 102 of the Criminal Code of Latvia (1998)) is considered criminal. As one can see, despite the fact that the relevant act was considered a crime against the environment, in addition to damage to the

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environment, Latvian parliamentarians also found the pollution that led to real damage to human health and property to be criminal. At the same time, we note that for the reason of a unified interpretation of the relevant provisions of criminal law in Art. 102 of the Criminal Code of Latvia (1998) should have fixed a specific indicator of “significant damage to property or economic interests.” In particular, this is the path taken by the Austrian legislator, which clearly states in Articles 180–181 of the Criminal Code of Austria (1974) that only such pollution should be punished by criminal law, the cost of eliminating which exceeded 50 thousand euros. Guilt. Two approaches are used in presenting the characteristics of the subjective side of the discussed criminal offenses in the EU member states: 1) differentiated and 2) unified. A differentiated approach involves delineating liability for land pollution depending on whether it was done intentionally or negligently. For example, in comparison the Austrian Criminal Code (Criminal Code of Austria, 1974) provides

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20 for imprisonment for up to three years for intentional contamination of natural resources (§ 180) and only up to one year for negligent contamination (§ 181). Under the German Criminal Code, the penalty for intentional soil contamination is imprisonment for up to five years or a fine (Part 1, § 324-a), and for negligence – up to 3 years or a fine (Part 3, § 324a) (Criminal Code of Germany, 1998). It should be also noted that such differentiated approach, in turn, also has two options: in some

countries, differentiation occurs within certain parts of one article, while in others – in different articles of criminal law. Instead, legislators in countries, which use a unified approach, have not considered it appropriate to delineate liability based on whether the pollution was intentional or negligent.

Table 3. Division of EU countries based on whether their criminal law differentiates liability for land pollution depending on the form of guilt (developed by the authors) Liability is unified

Liability is differentiated Austria Bulgaria Estonia Liechtenstein Netherlands Germany Poland Portugal Slovakia Slovenia Hungary Croatia Czech Republic

Willfulness Art. 180 Part 1 and 3 of Art. 352 Art. 364 Part 1 of Art. 89 Art. 173-a Part 1 of Art. 324-a Part 1 of Art. 182 Part 1 and 2 of Art. 279 Art. 300 Part 1 of Art. 332 Part 1 of Art. 241 Part 1 of Art. 193 Chapter 293

When assessing the benefits of these approaches, it is important to keep in mind justice as a feature of criminal law. The principle of justice is key to criminal law, the law must be based on it, and not the other way around: what is just is lawful. One of the components of justice is that intentional crime should be punished more severely than a negligent crime. If we take into account the above-mentioned to return to the issue of criminal law protection of land from pollution, it should be noted that, for example, actions of a dump truck driver who, while being clearly aware of the public danger of his actions, throws waste in order to save time and money, on the one hand, and actions of a person who, due to negligence in his responsibilities, caused pollution or damage to land, on the other hand, cannot be viewed as equally socially dangerous (Dudorov & Movchan, 2020).

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Negligence Art. 181

Denmark

Part 4 of Art. 352

Spain

Art. 365 Part 2 of Art. 89 Art. 173-b Part 3 of Art. 324-a Part 2 of Art. 182 Part 4 and 5 of Art. 279 Art. 301 Part 4 of Art. 332 Part 2 of Art. 241 Part 3 of Art. 193 Chapter 294

Italy Latvia Lithuania Sweden

Qualifying features. As it turned out, the question of the expediency of allocating qualified crime sets within the framework of the considered criminal law norms is resolved differently among the EU countries: in some countries liability for any means of land pollution is unified, while in others it is differentiated depending on the consequences. At the same time, the increase in liability for land pollution is most often associated with the occurrence of two such socially dangerous consequences as human death or other serious damage to health and significant (significant, large, long-term recovery) damage to the environment as a whole or its individual components. Less often, differentiation is associated with such features as contamination with hazardous substances (Italy), its commission for selfish motives or for the purpose of making a large profit (Germany, Czech Republic), the recurrence of the relevant offense (Czech Republic).

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Table 4. Nations, which criminal law provides for qualifying elements of land (or other natural resources) contamination (developed by the authors) Country Bulgaria

Estonia Spain Italy Lithuania

Germany

Slovakia

Slovenia

Hungary Croatia

Czech Republic

Sweden

Qualifying elements - death or serious bodily injury to one or more persons or; - significant damage to the environment - causing significant damage to the quality of water, soil or atmospheric air, individuals of species of animals or plants, or their parts or; - causing major damage to the quality of water, soil or air, to species of animals or plants or to parts thereof - threat of serious damage to the balance of natural systems - pollution by dangerous substances - causing significant damage to air, land, water, animals or plants or; - other serious consequences for the environment causing such soil damage that: - cannot be eliminated, or the elimination of which requires a long time or large costs; - harms public water supply; - causes significant damage to endangered species of animals or plants for a long period of time; - committed for selfish motives - creating a risk of serious injury or death to another person or; - causing significant damage to the environment or; - causing serious injury or death or; - causing large-scale damage - causing serious bodily injury or; - causing actual damage to the quality of air, soil, water, animals or plants; - causing death to one or more persons damage to a natural resource to such an extent that: - its natural or previous state can be restored only by intervention or; - its natural or previous state cannot be restored endangering human life and health - recurrence or; - commission of pollution as a result of a breach of an important duty arising from his work, occupation, position or function, or law, or; - causing permanent or long-term damage to environmental component; - when elimination of the consequences of pollution requires significant costs, or; - the person commits pollution with the intention to receive substantial or significant profit for himself or for another person committing a serious crime, which can be considered a pollution that: - caused or could cause irreversible damage to a significant extent or; - was particularly dangerous or; - involved intentional taking of a serious risk or; - is a consequence of serious negligence

Reflecting on the abovementioned approaches, we would like to recall again that in criminal law it is recognized fair and therefore legitimate to apply a more severe punishment: for encroachment on a more valuable object; for an intentional crime compared to a negligent one; an act which caused significant damage compared to an act which caused less dangerous consequences; acts committed in complicity, compared to crimes committed alone, etc. According to European commentators, penalties for environmental pollution must be effective, proportionate and convincing (Proposal). Taking into account these general theoretical provisions, we came to the conclusion that the approach of the legislators of those countries, in which differentiated liability depends on the consequences of land pollution, deserves

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support. After all, it cannot be considered fair to impose the same punishment, for example, for land pollution, which has not led to any socially dangerous consequences and similar manifestations that have led to the death of one or more people, or for land pollution, which environmental consequences are minimal, and actions that have led to the pollution of a large area of land, disappearance or significant reduction of the population of animals or plants, pollution of water sources, etc. Conclusion Legal liability is a significant element of the legal regulation of public relations aimed at influencing the behavior of individuals through legal measures; its goal is to protect and defend

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22 public relations from any illegal violations through coercive measures (Minchenko et al., 2021). Based on the results of a comparative study of the criminal law of nineteen European Union member states, it can be concluded that the optimal legislative model of criminal law protection of land resources provides for the creation of a single universal rule: 1) which will be devoted to the regulation of criminal liability for pollution not only of land resources but also of other components of the environment (water, air, forest); 2) in which only such land pollution which has led to real (non-potential) damage to the environment, human health or property damage is considered criminal. In such case, these consequences should be as formalized as possible, which, in particular, can be ensured by indicating the specific amount of property damage, in the event of which pollution is considered criminally illegal; 3) within which liability for land pollution will be differentiated depending on: a)

whether an act by guilty person was intentional or negligent; b) what the consequences of land pollution have been. At the same time, we agree with scholars who emphasize that mere criminalization of land pollution and improvement of relevant substantive criminal law cannot significantly improve situation in the field of land protection, because even in the presence of relevant norms a state (represented by law enforcement agencies) may do little or nothing to apply these rules in practice (Faure, 2017), in particular, refusing to investigate the identified facts of land pollution. Therefore, solving the problem of land protection from pollution requires the application of a comprehensive approach aimed at improving the rules of not only criminal but also environmental, administrative, criminal procedure law and so on. References Bukalerova, L., & Shveiger, A. (2013) Criminal and legal protection of nature from pollution: international and foreign aspects. Moscow University Bulletin named after S. Yu. Witte. Series 2: Legal Sciences, 2, 51–59. Comte, F. (2003). Criminal Environmental Law and Community Competence. European Environmental Law Review, 5, 147–156. Retrieved from https://papers.ssrn.com/sol3/papers.cfm?abstract_i d=2701677

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Comte, F., Kramer, L. & Dubovik, O. (2010) Environmental Crime in Europe. Moscow: Gorodets Publishing House. http://lawlibrary.ru/izdanie2126219.html Council Framework Decision No. 2003/80/JHA, On the protection of the environment through criminal law. Official Journal of the European Union. Brussels, Belgium, January 27, 2003. Retrieved from http://eurlex.europa.eu/LexUriServ/LexUriServ.do?uri=CE LEX:32003F0080:EN:HTML Criminal Law of the Republic of Latvia. Zinotajs. Riga, Latvia, June 17, 1998. Retrieved from https://www.legislationline.org/download/id/9122/ file/Latvia_Criminal%20Code%20as%20of%2020 20.pdf Directive of the European Parliament and of the Council No. 2008/99/EC, On the protection of the environment through criminal law. Strasbourg, France, November 19, 2008. Retrieved from https://eur-lex.europa.eu/legalcontent/EN/TXT/?uri=CELEX%3A32008L0099 Dudorov, O., & Movchan, R. (2020). About directions of improvement of the mechanism of criminal and legal protection of environment (on a note to developers of the new Criminal code of Ukraine). Bulletin of the Association of Criminal Law of Ukraine, 1, 92–125. Retrieved from http://vakp.nlu.edu.ua/article/view/204733. Eshmurodov, E. (2020). Issues Of Criminal Liability For Violation Of The Requirements Of The Law On Ecology And The Environment. The American Journal of Political Science Law and Criminology, 2(11), 93–98. Retrieved from https://usajournalshub.com/index.php/tajpslc/articl e/view/1462/1394 Faure, M. (2017). The Development of Environmental Criminal Law in the EU and its Member States. Review of European Community & International Environmental Law, RECIEL 26 (2), 139–146. Federal Law of Austria No. 60/1974, Criminal Code of the Republic of Austria. Federal Laws Bulletin. Vienna, Austria, January 23, 1974. Retrieved from https://www.legislationline.org/download/id/8548/ file/Austria_CC_1974_am122019_de.pdf Federal Law of Germany, German Criminal Code. Federal Law Gazette, Berlin, Federal Republic of Germany, November 13, 1998. Retrieved from https://www.gesetze-iminternet.de/englisch_stgb/englisch_stgb.pdf Gilmore, E. (2001). A Critique of Soil Contamination and Remediation: The Dimensions of the Problem and the Implications for Sustainable Development. Bulletin of Science, Technology & Society, 21 (5), 394–400. Glæsner, N., Helming, K., & De Vries, W. (2014). Do current European policies prevent soil threats and support soil functions? Sustainability, 6 (12), 9538–9563.

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Hollins, M., & Percy, S. (1998). Environmental Liability for Contaminated Land: Towards a European Consensus. Land Use Policy, 15 (2), 119– 133. Ladychenko, V., Yara, O., Golovko, L., & Serediuk, V. (2019). Groundwater management in Ukraine and the EU. European Journal of Sustainable development, 8(1), 31–39. Retrieved from http://www.ecsdev.org/ojs/index.php/ejsd/article/v iew/763/758 Ladychenko, V., Yara, O., Uliutina, O., & Golovko, L. (2019). Environmental Liability in Ukraine and the EU. European Journal of Sustainable Development, 8(2), 261–267. Retrieved from http://ojs.ecsdev.org/index.php/ejsd/article/view/8 10/805 Lisova, T., & Sharapova, S. (2020). Legal issues of protection of agricultural land in Ukraine at the present stage. Amazonia Investiga, 9(27), 209– 216. Retrieved from https://amazoniainvestiga.info/index.php/amazonia /article/view/1229 Meiyappan, P., Dalton, M., O’Neill, B.C., & Jain, A.K. (2014). Spatial modeling of agricultural land use change at global scale. Ecological Modelling, 291, 152–174. Retrieved from https://www.sciencedirect.com/science/article/pii/ S0304380014003640 Minchenko, R., Lutsyuk, P., Kamensky, D., Kolodin, A., & Shamota, O. (2021). Civil and criminal liability in the field of transport relations: the impact of the Covid-19 pandemic. Amazonia Investiga, 10(40), 212-221. Retrieved from https://amazoniainvestiga.info/index.php/amazonia /article/view/1613 Overkovskaya, T. (2021). Legal regulation of management in the field of use and land protection. Colloquium-journal, 16(103), 47–53. Retrieved from http://repository.vsau.org/repository/getfile.php/28 678.pdf Popov, I. (2012). Responsibility for crimes against the natural environment under the legislation of the Federal Republic of Germany. International research journal, 10, 103–106. Retrieved from http://research-journal.org/law/otvetstvennost-zaprestupleniya-protiv-prirodnoj-sredy-pozakonodatelstvu-frg/ Proposal No. 52006PC0232, Proposal for a Directive of the European Parliament and of the Council establishing a framework for the protection of soil and amending Directive 2004/35/EC /* COM/2006/0232 final – COD 2006/0086 */. Bulletin of the European Union, Brussels, Belgium, September 22, 2006. Retrieved from https://eur-

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lex.europa.eu/legalcontent/EN/TXT/?uri=CELEX%3A52006PC0232 Rodrigues, S. M., Pereira, M. E., da Silva, E. F., Hursthouse, A. S., & Duarte, A. C. (2009). A review of regulatory decisions for environmental protection: Part I – Challenges in the implementation of national soil policies. Environment International, 35 (1), 202–213. Savchenko, А., Babikov, O. & Oliinyk, O. (2017). Comparative and Legal Analysis of Criminal and Legal Protection of Individual Components of Natural Environment: European Experience. Journal of Advanced Research in Law and Economics, 8 (7), 2209–2216. Swartjes, F. A., Carlon, C. & de Wit, N. H. (2008). The possibilities for the EU-wide use of similar ecological risk-based soil contamination assessment tools. Science of the Total Environment, 406 (3), 523–529. Turlova, Yu. A. (2016). The system of environmental crimes. Uzhhorod National University Herald. Series “Law”, 2(36), 103– 109. Retrieved from https://dspace.uzhnu.edu.ua/jspui/bitstream/lib/281 39/1/%D0%A1%D0%98%D0%A1%D0%A2%D0 %95%D0%9C%D0%90%20%D0%95%D0%9A% D0%9E%D0%9B%D0%9E%D0%93%D0%86% D0%A7%D0%9D%D0%98%D0%A5%20%D0% 97%D0%9B%D0%9E%D0%A7%D0%98%D0%9 D%D0%86%D0%92.pdf Valentín, L., Nousiainen, A., Mikkonen, A. (2013) Introduction to Organic Contaminants in Soil: Concepts and Risks. In: Vicent, T., Caminal, G., Eljarrat, E., Barceló, D. (eds) Emerging Organic Contaminants in Sludges. The Handbook of Environmental Chemistry, vol 24. Berlin, Heidelberg: Springer, Vozniuk, A., Dudorov, O., Tytko, A., & Movchan, R. (2020). Implementation of UN and EU recommendations on criminalization of organized crimes. Amazonia Investiga, 9 (28), 234– 240. Retrieved from https://amazoniainvestiga.info/index.php/amazonia /article/view/1307 Waling, С. (1994). Crimes against the Environment. International Review of Penal Law, 1065, 1080–1082. Yara, O., Uliutina, O., Golovko, L. & Andrushchenko, L. (2018). The EU Water Framework Directive: Challenges and Prospects for Implementation in Ukraine. European Journal of Sustainable development, 7(2), 175-182. Retrieved from http://www.ecsdev.org/ojs/index.php/ejsd/article/v iew/649/645

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Pinkovetskaia, I.S., Yakhyaev, M.A., Laptev, S.V., Lipatova, N.N. / Volume 10 - Issue 42: 24-30 / June, 2021

DOI: https://doi.org/10.34069/AI/2021.42.06.3 How to Cite: Pinkovetskaia, I.S., Yakhyaev, M.A., Laptev, S.V., & Lipatova, N.N.. (2021). Awareness of the economically active population about entrepreneurship: country analysis. Amazonia Investiga, 10(42), 24-30. https://doi.org/10.34069/AI/2021.42.06.3

Awareness of the economically active population about entrepreneurship: country analysis Информированность экономически активного населения о предпринимательстве: анализ по странам Received: May 3, 2021

Accepted: June 18, 2021

Written by: I.S. Pinkovetskaia11 https://orcid.org/0000-0002-8224-9031 M.A. Yakhyaev12 https://orcid.org/0000-0002-2938-7689 S.V. Laptev13 https://orcid.org/0000-0003-3193-5071 N.N. Lipatova14 https://orcid.org/0000-0002-3167-7271 Abstract

Аннотация

Aim of study is to assess level of awareness for economically active population about modern entrepreneurship and its socio-economic significance. A survey of the economically active population on ways to obtain information about the activities of entrepreneurs in 59 countries served as the initial information of the study. Our research was aimed at evaluating indicators that describe the proportion of men and women who received information about entrepreneurship from the media, as well as from familiar entrepreneurs, in whole number gender groups. In course of research, economic and mathematical models were developed. The study showed that in most countries, the economically active population is more focused on business data from the media. It is shown that there is a gender gap in the level of people's awareness of entrepreneurship.

Цель исследования оценка уровня информированности экономически активного населения о современном предпринимательстве и его социально-экономическом значении. Опрос экономически активного населения о путях получения информации о деятельности предпринимателей в 59 государствах служил исходной информацией исследования. Наше исследование было направлено на оценку показателей, которые описывают доли мужчин и женщин, получивших информацию о предпринимательстве из средств массовой информации, а также от знакомых предпринимателей, в общей численности соответствующих гендерных страт. В процессе исследования были разработаны шесть экономикоматематических моделей. Исследование показало, что в большинстве государств экономически активное население в большей степени ориентируются на данные о предпринимательстве из средств массовой информации. Показано, что в уровне информированности людей о предпринимательстве присутствует гендерный разрыв.

Keywords: entrepreneurship, mass media, men, women, awareness of entrepreneurship.

Ключевые слова: предпринимательство, средства массовой информации, мужчины, женщины, информированность предпринимательстве.

Economic analysis and State Management Department, Ulyanovsk State University, Ulyanovsk, Russia. Economics and Management Department, Institute of Social Sciences, Moscow, Russia. 13 Financial Management Department, Plekhanov Russian University of Economics, Corporate Finance and Corporate Governance Department, Financial University under the Government of the Russian Federation, Moscow, Russia. 14 Economic theory and economics of agriculture Department, Samara State Agrarian University, Kinel, Russia. 12

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Introduction Entrepreneurship in most economically developed and developing countries solves a wide range of social problems. Along with providing themselves and their employees with jobs, entrepreneurs form a middle class and increase their social status (Borbás, 2015; Pinkovetskaia et al., 2020; Morgan & Sisak, 2016; Pinkovetskaia et al., 2021a; Muller et al., 2017; Zahra & Wright, 2016; Kiseleva et al., 2019). One of the most pressing problems in the development of modern entrepreneurship is to attract new people to create their own businesses. To solve this problem, people should have whole information about the essence of entrepreneurship, the advantages and disadvantages of this activity, the qualities and competencies that successful entrepreneurs should have, the features of creating and operating businesses in the country where they live. It is known that the three main channels through which such information can be obtained are training in higher and secondary specialized educational institutions for training entrepreneurs, mass media (open sources), as well as direct acquaintance with entrepreneurs. Given that the majority of the economically active population uses the second and third channels, our article examines the opinions of such people about whether they receive information about entrepreneurship from open sources or from familiar entrepreneurs in their countries. The issues of obtaining relevant information by people have found a certain reflection in modern scientific publications (Colombo et al., 2017; Neumann, 2020; PejicBach et al., 2018; Tsai et al., 2016). Taking into account the increasing role of gender studies in entrepreneurship (Chhabra & Karmarkar, 2016; Grosser & Moon, 2019; Pinkovetskaia et al, 2021b; Sperber & Linder, 2018), along with cross-country analysis, this article examines the existing differences in women's and men's access to information about entrepreneurship. In more early scientific researches, problem of gender characteristics of informing people about entrepreneurship in various states was not given enough attention. In modern states, it is necessary to effectively inform the public about the importance of entrepreneurship as a strategy for the development of national economies. At the same time, an entrepreneurial approach to life should be encouraged, aimed at developing the relevant

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talents of the economically active population and considering entrepreneurship as a further career. Therefore, the actual research problem studied in this paper is to determine the level of awareness of adults about entrepreneurship, including consideration of the gender aspects of this problem. Paper responds to calls in scientific publications to assess the levels of awareness of men and women who use different channels to obtain information about entrepreneurship, achievements and shortcomings in this sector of the economy. As well as checking whether the national economies show gender differences in the research problem under consideration. Aim of our paper is to assess awareness of the economically active population in various states about modern entrepreneurship. At the same time, the tasks of evaluating the indicators that characterize the two channels of obtaining relevant information – the mass media and familiar entrepreneurs-were solved. Methodology and design The initial information used in our study is the data obtained from the implementation of the Global Entrepreneurship Monitor project (2019). Surveys of at least two thousand representatives of the economically active population (EAP) in 59 states allowed us to find out the opinions of people, how they received information about entrepreneurship. Our research consists of five stages. Stage 1 was associated with formation of initial data that describe opinions of the economically active population on these issues in different countries. The evaluation of the values of the shares (specific indicators) that characterize the specified opinions of women and men in whole number of these gender groups was carried out at the second stage. The third stage allowed us to determine not only the mean values of indexes, but also the limits in which values of these indexes are located in most states. The fourth stage was associated with a comparative analysis, which identified states with minimum and maximum values of indicators. Comparison of Russia and other countries we carry out at fifth stage. Our study looked at the assessment of six indicators that characterize how women and men assessed the level of information received from the media and personal acquaintances in 2018. These indicators include:

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

  

the part of women who believe that the mass media provides information about entrepreneurship, in the total amount of women in EAP; the part of men who believe that the mass media provides information about entrepreneurship, in the total amount of men in EAP; the relation of the values of indicators that characterize the availability of information about entrepreneurship in the mass media, according to women and men; the part of women who have information from personally known entrepreneurs in the total amount of women in EAP; the part of men who have information from personally familiar entrepreneurs in the total amount of men in EAP; the relation of the values of indicators that characterize the opinions of women and men who have information from personally familiar entrepreneurs.



( x  61.77) 2

 1 674 .28 y1 ( x1 )   e 212.6412.64 12 .64  2

; 



 

hypothesis 1 - in most states, there is a gender gap in the opinions of people who believe that the media provides information about entrepreneurship; hypothesis 2 - in most states, there is a gender gap in the opinions of people who have information from personally familiar entrepreneurs; hypothesis 3 - there are significant differences in people's opinions about how to obtain information about entrepreneurship across different states; hypothesis 4 - on discussing indexes does not affect geographical position of states; hypothesis 5 - on discussing indexes does not affect the level of income people in states.

Assessment data on six considered indicators is relying on economic-mathematical modeling of the initial practical information. As such models we use density functions of normal distribution and such methodic for development is used for evaluating data on the indicators in the paper (Pinkovetskaia & Slepova, 2018).

Our calculations are made with economicmathematical modeling. Functions (y) show distributions variables (x, %) in 59 states are below:

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632 .14 12 .33  2

e



( x 2  60.82) 2 212.3312.33

; 

(2)

the relation of the values of indexes which characterize availability of information about entrepreneurship in the mass media, according to women and men

y 3 ( x3 ) 

15 .73 0.33  2 ;



( x3 1.06) 2

20.33 0.33

(3)

516 .25 10 .80  ;



e



the part of women who have information from personally known entrepreneurs in the total amount of women in EAP

y 4 ( x4 ) 

2

 ( x 4  34.67) 2

 e 210.8010.80 (4)

the part of men who have information from personally familiar entrepreneurs in the total amount of men in EAP  ( x  42.58) 2

5 557 .23 y5 ( x5 )   e 212.0412.04 12 .04  2

; 

Results of research

(1)

the part of men who believe that the mass media provides information about entrepreneurship, in the total amount of men in EAP;

y 2 ( x2 ) 

Research included testing five hypotheses: 

the part of women who believe that the mass media provides information about entrepreneurship, in the total amount of women in EAP

(5)

the relation of the values of indexes which characterize opinions of women and men who have information from personally familiar entrepreneurs

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( x  0.82) 2

 6 5.16 y 6 ( x6 )   e 20.100.10 0.10  2

(6)

The quality of functions (1)-(6) we tested using such criteria: by the Kolmogorov-Smirnov, the Pearson and the Shapiro-Wilk.

Discussion Based on functions (1)-(6) we have an opportunity to define the number of regularities describing variants of getting information on entrepreneurship in the considered states. Mean indexes are in second graph of Table 1. Graph 3 of this table describes ranges change of indexes for most states.

Table 1. Indexes that characterize people's opinions about the availability of information about entrepreneurs Indicator

Mean indexes

1 the part of women who believe that the mass media provides information about entrepreneurship, in the total amount of women in EAP, % the part of men who believe that the mass media provides information about entrepreneurship, in the total amount of men in EAP, % the relation of the values of indexes which characterize availability of information about entrepreneurship in the mass media, according to women and men the part of women who have information from personally known entrepreneurs in the total amount of women in EAP, % the part of men who have information from personally familiar entrepreneurs in the total amount of men in EAP, % the relation of the values of indexes which characterize opinions of women and men who have information from personally familiar entrepreneurs

Most states values 3

61.77

49.13-74.41

60.82

48.49-73.15

1.06

0.73-1.39

34.67

23.87-45.47

42.58

30.54-54.62

0.82

0.72-0.92

The average share of women who believe that the media provides data on entrepreneurship in the total number of adult women reached almost 61.8% in 2018. The corresponding figure for men was slightly less – 60.8%. That is, the values of the average values differ by less than 2%. In general, the data in table 1 show that in the countries under review, the relative majority of the adult population (almost two-thirds) believes that the media provides data on entrepreneurship. Twenty-six states are characterized by an excess of men's awareness of entrepreneurship from the mass media, compared with similar indicators for women. In six states, indexes for women and men were almost equal. In twenty-seven states, indexes for women were higher than for men. Thus, hypothesis 1 that there is a gender gap in the opinion of women and men in most countries that open sources provide information about entrepreneurship has been confirmed. The average value of relation of indexes for women and men in the countries under consideration was 1.06 in 2018. The average share of women with information from personally familiar entrepreneurs in the number of adult women reached almost 34.7% in 2018. The corresponding figure for men was 1.2

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times higher – almost 42.6%. In most states, there is a trend of a higher value of this indicator for men. Exceptions were observed in three states Vietnam, Kazakhstan and Taiwan, in which indexes for women and men were almost the same. The average value of the relation of indexes was 0.82 in 2018. Thus, hypothesis 2 was confirmed that in most states there is a gender gap between women and men who have information from personally familiar entrepreneurs. The data in table 1 show that in the states under consideration, a relative minority of the adult population has information from personally familiar entrepreneurs. Accordingly, the relative majority of the population does not have such information on the states under consideration. It should be noted that women, in comparison with men, rate the availability of information about business activities from open sources higher. At the same time, men are more likely than women to receive similar information from familiar entrepreneurs. In our opinion, this is due to the fact that in many states men bigger than women are in entrepreneurship. To test hypothesis 3, data presented in graph 3 of

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28 first table were analyzed. The analysis showed significant differences in all indexes for discussing states. This gives opportunity to conclude about confirmation of third hypothesis. States in which maximum and minimum indexes were discovered on fourth stage. High values,

which more than higher border indicated in graph 3 of first table and lower values which less than their smaller borders (table 2). Except with names of states, second table shows a subdivision of states by their geographic place and income of population.

Table 2. States with maximum and minimum values of indexes Indexes 1

Maximum 2

Minimum 3

the part of women who believe that the mass media provides information about entrepreneurship, in the total amount of women in EAP

Sudan, Bosnia and Herzegovina, Turkey, Morocco, Angola, Germany, Canada, Uruguay, Guatemala. There are two countries in Europe, one state each in Asia and North America, two states in Latin America, and three states in Africa. Income in these states: big - two, mean four, small - three.

South Africa, Latvia, Republic of Korea, Madagascar, Iran, Vietnam, India, Mexico, United Kingdom, Japan. Two countries are located in Europe, five in Asia, two in Africa, and one in Latin America. Four States have high incomes, two States have medium incomes, and four States have low incomes.

the part of men who believe that the mass media provides information about entrepreneurship, in the total amount of men in EAP

Saudi Arabia, USA, Switzerland, Madagascar, Israel, India, Germany, Spain, Netherlands, Thailand. Four states are located in Europe and Asia, as well as North America and Africa, one state each. The income of the population is high in seven states, low-in three states.

Croatia, Republic of Korea, Morocco, Puerto Rico, Latvia, Argentina, Ireland, Italy. Four states are located in Europe, one state each is located in Asia and Africa, and two states are located in Latin America. Income in these states: big - six, mean and small one for each.

the relation of the values of indicators that characterize the availability of information about entrepreneurship in the mass media, according to women and men the part of women who have information from personally known entrepreneurs in the total amount of women in EAP the part of men who have information from personally familiar entrepreneurs in the total amount of men in EAP the relation of the values of indicators that characterize the opinions of women and men who have information from personally familiar entrepreneurs

Argentina, Canada, China, Croatia, Estonia, Turkey, Angola, Russian Federation, Morocco, Uruguay. Three states are located in Europe, in Asia, Africa and Latin America, two states each, and in North America-one state. Income of the population: high (three states), medium (five states), low (two states). Peru, Madagascar, Angola, Israel, Panama, Kazakhstan, Sudan, Vietnam, Indonesia, Saudi Arabia. There are five States in Asia, three States in Africa, and two States in Latin America. Income in these states: big - three, mean - two, small - five. Peru, Israel, Panama, Angola, Lebanon, Vietnam, Sudan, Indonesia, Saudi Arabia. There are five States in Asia, and two states each in Latin America and Africa. Three states have high incomes, five states have low incomes, and one state has medium incomes. Panama, Latvia, Ireland, China, Madagascar, Indonesia, Saudi Arabia, Vietnam, Kazakhstan, Taiwan. There are six States in Asia, one each in Africa and Latin America, and two in Europe. Income in these states: big - five, mean two, small -three.

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South Africa, India, Iran, Madagascar, Spain, Thailand, Vietnam. One of these states is located in Europe, two States in Africa, and four States in Asia. High and medium incomes of the population occurred in one state, low incomes were in five states. Egypt, Japan, Puerto Rico, Turkey, Greece, Italy, Germany. Three states are located in Europe, two States in Asia, and one state each in Latin America and Africa. High incomes of the population are observed in five states, medium and low incomes in one state. Egypt, Puerto Rico, Japan, Germany, Greece, UAE, Italy. Three states are located in Europe, one state each in Latin America and Africa, and two states are located in Asia. Income of the population: high (six states), low (one state). Egypt, Turkey, Italy, Iran, India, Greece, Brazil. Two of these States are located in Europe, three States in Asia, Africa and Latin America each have one State. Two States had high incomes, two States had medium incomes, and three States had low incomes.

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Table 2 provides data on geographic place of states with maximum and minimum values for nine indexes assessed in our research. Analysis of this data shows that we have no evident relationship between such values and geographic place of states and income of people in these states. That is, both maximum and minimum values of indexes are discussed in states placed in various parts of the world and disparity of population income. Thus we proved the accuracy of the fourth and fifth hypotheses. A comparative analysis of the values of the considered indicators for Russia and foreign countries showed the following:  first index is 72.1%, that is 1.2 times higher than mean for other states;  second index is 50.5%, that is 1.2 times less than mean for other states;  third index is 1.4, that is 1.3 times higher than mean for other states;  fourth index is 32.8%, that is 1.1 times less than mean for other states;  fifth index is 38.8%, that is 1.1 times less than mean for other states;  sixth indicator is 0.85, that is slightly more than mean for other states. Thus, in Russia, women are more likely than in other countries to draw information about entrepreneurship from the mass media. For men, the situation is the opposite. Women and men in Russia receive less information from their business acquaintances than in other countries. This is logical, since the share of entrepreneurs in Russia is significantly lower than in most foreign countries. Conclusions Aim of the study, which was to assess awareness of the economically active population about entrepreneurship in modern national economies according to data for 2018, was achieved. The novelty and originality of our research is related to the following aspects: 1. It is proved that, on average, in the countries under consideration, almost 62% of adult women believe that they receive information about entrepreneurial activities through the use of the media. 2. It is proved that, on average, in the countries under consideration, almost 61% of adult men believe that they receive information

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about entrepreneurial activities through the use of the media. 3. It is shown that almost two-thirds of the adult population agree with the thesis about the availability of information about entrepreneurship in the mass media. 4. It is proved that, on average, in the countries under consideration, almost 35% of adult women believe that they receive information about entrepreneurial activities from familiar entrepreneurs. 5. It is proved that, on average, in the countries under consideration, almost 43% of adult men believe that they receive information about entrepreneurial activities from familiar entrepreneurs. 6. It is shown that in most states, adults receive information about entrepreneurship to a greater extent from the mass media and to a lesser extent from familiar entrepreneurs. 7. The values of indicators that characterize the receipt of information about entrepreneurship in most states differ for women and men, that is, there is a gender gap. 8. In the states reviewed, there were large differences in the values of each of the six indices. 9. States with the maximum and minimum values of the indices were identified. 10. It is shown that the values of the indices are not affected by the geographical location of the states. 11. It is shown that the values of the indices are not affected by the level of income of people in the states under consideration. The results of our work have a certain theoretical and practical significance for governments and entrepreneurs. The methodological approach presented in the article to assess the awareness of adult entrepreneurship can be used in further research. Of interest is the new knowledge gained as a result of our research, which is related to people getting information about entrepreneurship. This knowledge can be used both by potential entrepreneurs and in the educational process at universities. The study had limitations on empirical data due to the fact that only 59 countries were considered. References Borbás, L. (2015). The Role of SMEs in the European Entrepreneurship Policy. Volume of Management, Enterprise and Benchmarking in the 21st Century II. Óbuda University, Keleti Faculty of Business and Management, 71-88.

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30 Chhabra, M., & Karmarkar, Y. (2016). Gender gap in entrepreneurship - a study of small and micro enterprises. ZENITH International Journal of Multidisciplinary Research, 6(8), 82-99. Colombo, L., Dawid, H., Piva, M., & Vivarelli, M. (2017). Does easy start-up formation hamper incumbents’ R&D investment? Small Business Economics, 49, 513–531. Global Entrepreneurship Monitor 2018/2019. (2019). Women’s Entrepreneurship Report. Global Entrepreneurship Research Association (GERA). London Business School, London, United Kingdom. Grosser, K., & Moon, J. (2019). CSR and feminist organization studies: towards an integrated theorization for the analysis of gender issues. Journal of Business Ethics, 155(2), 321-342. https://doi.org/10.1007/s10551-0173510-x. Kiseleva, O., Lebedev, A., Pinkovetskaia, I., Rojas-Bahamón, M., & Arbeláez Campillo, D. (2019). Specialization and concentration of small and medium enterprises employees: Russian data. Amazonia Investiga, 8(20), 6-15. https://amazoniainvestiga.info/index.php/amazo nia/article/view/59 Morgan, J., & Sisak, D. (2016). Aspiring to succeed: A model of entrepreneurship and fear of failure. Journal of Business Venturing, 31(1), 1-21. Muller, P., Julius, J., Herr, D., Koch, L., Peycheva, V., & Mckiernan, S. (2017). Annual Report on European SMEs 2016/2017. SME Performance Review. European Union. Directorate-General for Internal Market, Industry, Entrepreneurship and SMEs. https://www.researchgate.net/publication/32126 8021. Neumann, T. (2020). The impact of entrepreneurship on economic, social and environmental welfare and its determinants: a systematic review. Management Review Quarterly, 70(3), 1-32. Pejic-Bach, M., Aleksic, A., & Merkac-Skok, M. (2018). Examining determinants of

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entrepreneurial intentions in Slovenia: applying the theory of planned behaviour and an innovative cognitive style. Economic Research, 31(1), 1453-1471. Pinkovetskaia, I., Arbeláez-Campillo, D., RojasBahamón, M., & Veas Iniesta, D. (2020). Motivation of new entrepreneurs in modern economies. Amazonia Investiga, 9(29), 368-373. https://doi.org/10.34069/AI/2020.29.05.41 Pinkovetskaia, I., Arbeláez-Campillo, D. F., Rojas-Bahamón, M. J., & Sverdlikova, E. (2021a). Entrepreneurship for the elderly in Russia: situation and prospects. Amazonia Investiga, 10(39), 94-101. https://doi.org/10.34069/AI/2021.39.03.9 Pinkovetskaia, I., Berezina, N., Navasardyan, A., & Neif, N. (2021b). Gender aspects of entrepreneurs’ motivation in modern countries. Amazonia Investiga, 10(39), 218-224. https://doi.org/10.34069/AI/2021.39.03.21 Pinkovetskaia, I.S., Kostina, T.I., & Berezina, N.V. (2020). Evaluation of indicators of entrepreneurial potential in 2018. Amazonia Investiga, 9(27), 173-179. https://amazoniainvestiga.info/index.php/amazo nia/article/view/1225 Pinkovetskaia, I., & Slepova, V. (2018). Estimation of Fixed Capital Investment in SMEs: the Existing Differentiation in the Russian Federation. Business Systems Research, 9(1). 65-78. https://doi.org/10.2478/bsrj-2018-0006. Sperber, S., & Linder, C. (2018). Genderspecifics in startup strategies and the role of the entrepreneurial ecosystem. Small Business Economics, 53(4), 1-14. https://doi.org/10.1007/s11187-018-9999-2. Tsai, K.-H., Chang, H.-C., & Peng, C.-Y. (2016). Refining the Linkage between perceived capability and entrepreneurial intention: roles of perceived opportunity, fear of failure, and gender. International Entrepreneurship Management Journal, 10. 1-19. Zahra, S., & Wright, M. (2016). Understanding the Social Role of Entrepreneurship. Journal of Management Studies, 53(4), 610-629.

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DOI: https://doi.org/10.34069/AI/2021.42.06.4 How to Cite: Kovalenko., V., Syniov, V., Peretiaha, L., & Halii, A. (2021). The current state of involvement of children with special educational needs in out-of-school education in Ukraine. Amazonia Investiga, 10(42), 31-42. https://doi.org/10.34069/AI/2021.42.06.4

The current state of involvement of children with special educational needs in out-of-school education in Ukraine Сучасний стан залучення дітей з особливими освітніми потребами до позашкільної освіти в Україні Received: May 13, 2021

Accepted: May 18, 2021

Written by: Kovalenko Viktoriia15 https://orcid.org/0000-0002-7792-4653 Syniov Viktor16 https://orcid.org/0000-0001-8223-5919 Peretiaha Liudmyla17 https://orcid.org/0000-0002-3686-2601 Halii Alla18 https://orcid.org/0000-0002-2134-6321 Анотація

Abstract The paper considers the current state of involvement of children with special educational needs in out-of-school education. The purpose of the article is to study the qualitative composition of groups of children with special educational needs who are involved in out-of-school education based on the type of developmental disorder; forms of involvement; areas of out-of-school education in which children with special educational needs are studied; determining the impact of out-of-school education on the development and socialization of children with special educational needs. At the first stage, the state of the problem development in domestic science was studied; at the second stage - the author's questionnaire and expert evaluation procedures were developed; a statement experiment was conducted using the survey method and the method of expert assessments; at the third stage, the analysis, systematization, processing of the accumulated empirical material is conducted. It has been determined that children with musculoskeletal disorders, mental disorders, autism spectrum

У статті розглядається сучасний стан залучення дітей з особливими освітніми потребами до позашкільної освіти. Метою статті є вивчення якісного складу груп дітей з особливими освітніми потребами, які залучаються до позашкільної освіти за ознакою типу порушення розвитку; форм залучення; напрямів позашкільної освіти, за якими здійснюється навчання дітей з особливими освітніми потребами; визначення впливу позашкільної освіти на процеси розвитку та соціалізації дітей з особливими освітніми потребами. На першому етапі вивчався стан розробленості проблеми у вітчизняній науці; на другому етапі – здійснювалась розробка авторського опитувальника та процедури експертного оцінювання; проводився констатувальний експеримент із використанням опросного методу та методу експертних оцінок; на третьому етапі здійснюється аналіз, систематизація, обробка накопиченого емпіричного матеріалу. Встановлено, що до закладів позашкільної освіти залучаються

Candidate of Psychological Sciences (PhD), Doctoral Candidate of Faculty of Special and Inclusive Education, National Pedagogical Dragomanov University, Associate Professor of Faculty of Nature, H.S. Skovoroda Kharkiv National Pedagogical University, Ukraine. 16 Doctor of Pedagogy, Professor of Education of Faculty of Special and Inclusive Education, National Pedagogical Dragomanov University, Ukraine. 17 Doctor of Pedagogy, Professor of Education of Faculty of Nature, Head of the Department of Special Pedagogy, H. S. Skovoroda Kharkiv National Pedagogical University, Ukraine. 18 Candidate of Biological Sciences, (PhD), Head of the Department of Human Health, Rehabilitology and Special Psychology, H.S. Skovoroda Kharkiv National Pedagogical University, Ukraine.

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32 disorders, mental retardation, severe speech disorders, hard of hearing, deafness, the visually impaired, and children with blindness are involved in out-of-school educational institutions. Children with special educational needs are involved in clubs (creative associations) of artistic and aesthetic, physical culture and sports, art, tourism and local lore, social rehabilitation, ecological and naturalistic, scientific and technical, health, humanitarian, research, and experimental and militarypatriotic areas of out-of-school education. Keywords: children with special educational needs, schoolchildren with mental disabilities, out-of-school education, directions of out-ofschool education, socialization.

діти з порушеннями опорно-рухового апарату, інтелектуальними порушеннями, розладами аутистичного спектру, із затримкою психічного розвитку, тяжкими порушеннями мовлення, слабочуючі, діти з глухотою, слабозорі та діти зі сліпотою. Діти з особливими освітніми потребами залучаються до гуртків (творчих об’єднань) художньо-естетичного, фізкультурноспортивного, мистецького, туристськокраєзнавчого, соціально-реабілітаційного, еколого-натуралістичного, науковотехнічного, оздоровчого, гуманітарного, дослідницько-експериментального та військово-патріотичного напрямів позашкільної освіти. Позитивний вплив залучення дітей до позашкільної освіти, на думку педагогів та експертів виявляється в сприянні їх соціалізації; соціальному, духовному, моральному розвитку; наданні можливостей дитині для самореалізації тощо. Ключові слова: діти з особливими освітніми потребами, школярі з інтелектуальними порушеннями, позашкільна освіта, напрями позашкільної освіти, соціалізація.

Introduction The modern system of out-of-school education in Ukraine is designed to promote the development of abilities and talents of children, to satisfy their interests and needs in professional determination. It is especially true for children with special educational needs because they characterized by complications of development and socialization, which negatively affects the degree of their social integration and occupational adaptation (Syniov et al., 2019). Note that in addition to educational and developmental activities, out-of-school educational institutions are actively implementing important social functions (Trani et al., 2019). In this regard, Nasyrova, Muller (2019) notes that out-of-school education is a chance to develop the abilities of children with special educational needs (visual, hearing, musculoskeletal, speech, autism spectrum disorders, mental disabilities) and the opportunity to acquire knowledge and skills that can be used for self-realization in professional activities. According to the Ministerio de Educación y Ciencia de Ucrania (2021), out-of-school education covered 1 million 190 thousand children, including 9.5 thousand children with special educational needs. Children have the opportunity to attend clubs and creative associations of artistic and aesthetic, artistic,

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scientific and technical, research and experimental, tourist and local lore, environmental and naturalistic, physical culture and sports, health, military and patriotic, library and bibliographic, social and rehabilitation, humanitarian areas of out-of-school education. Thus, in the 2019–2020 study year 73.7 thousand circles (creative associations, sections, studios) of various directions of out-of-school education functioned in out-of-school education institutions; among them, the largest number of children (44%) was involved in artistic and aesthetic activity, the least number of children (1%) was involved in health-improving. Simultaneously, the Minister of Ministerio de Educación y Ciencia de Ucrania (2021) S. Shkarlet, reporting at the Education Forum 2021, emphasized that in 2021 the number of outof-school education institutions decreased by 26 units (2021). However, there is a positive trend in increasing the number of children with special educational needs in these institutions. However, in most cases, the involvement of such children in out-of-school education occurs spontaneously, without understanding the specifics of their psychophysical development, their potential and needs, features of interests. Simultaneously, Pustovit (2013); Kamenez, Vaganova, Smirnova, Kutepova, & Vinokurova (2019) points out that the involvement of children with special

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educational needs in out-of-school educational institutions should be aimed at improving their socialization and development, in terms of corrective targeted pedagogical influence through their inclusion in the accessible areas of cognitive, domestic, creative, and socialsignificant activities co0nsidering the individual interests and capabilities of children. Thus the following study is devoted to the analysis of modern scientific research on the problem of involving children with special educational needs in out-of-school education in Ukraine. Literature Review Some issues of involving children with special educational needs in out-of-school education institutions are reflected in the scientific works of domestic scientists (Litovchenko (2013), Omelyanovich (2015), Syniov (2018), Syniov & Kovalenko (2021), Suprun, Vysotska & Gladchenko (2014), Tatyanchikova (2016), Shulzhenko (2021) Out-of-school education is considered as an environment in which educational, developmental, orientationprofessional, correctional, creative, constructive and sports services for children with special educational needs should be provided; it is an environment where the child can find motivation to carry out own semantic, activity and personal needs, the satisfaction of which contributes to a good mood, harmonization of emotional states, overcoming aggressive behavior, self-control and self-regulation of their own actions, the formation of dialogue, communication, in particular, and verbal and alternative communication (Shulzhenko, 2021). Litovchenko (2013) analyzed modern models of the involvement of children and youth with special needs in out-of-school education as a significant factor in their socialization. The leading models are the integration of children with special educational needs into groups of children with normative development (on the principle of inclusive education); creation on the basis of special institutions of separate circles; the creation of rehabilitation centers for out-ofschool education. Syniov et al. (2021) analyzed modern models of involving children with special educational needs in the educational process of out-of-school educational institutions and identified the following four models: "collective educational integration" in the form of group work conducted on the basis of a special educational institution.; "educational inclusion" in the form of inclusive education in a group of children with normative development; "combined model" for children with complex

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developmental disorders, which combine individual lessons with group work; "mass" model, which provides for involving children with special educational needs in concerts, competitions, exhibitions and performances. Suprun et al. (2014) analyze the problems of socialization of people with mental disabilities. Scientists emphasize the importance of children activity in choosing certain types of leisure activities, and the importance of pupils’ selfgovernment. Simultaneously, special education teachers face with the task of creating such methodological conditions under which the use of opportunities and educational resources of correctional and educational process in educational institutions would be the most effective. Shields, King, Corbett & Eames (2013) determine that children with mental disabilities rarely participate in out-of-school activities than their peers with normative development. Fatih, Ganera (2020) define that lower levels of participation in leisure activities, sports competitions for children with mental disabilities are associated with deteriorating health and social isolation. Tatyanchikova (2016) reveals that "senior pupils with mental disabilities experience significant difficulties in organizing leisure, in choosing certain activities according to their preferences, abilities and inclinations." It highlights the problem of providing psychological and pedagogical assistance in ensuring that the child uses individual characteristics in spare time outside the special school. Omelyanovich (2015) focuses on the unsatisfactory state of socialization of adolescent graduates with mental disabilities. The scientist points to the presence of a large number of young people with mental disabilities (about 40%) who are not employed. 57% of graduates do not like the profession they receive at school. The researcher determines the need to find new ways to address the issue of vocational socialization of people with mental disabilities. Thus, the work is an important way of their rehabilitation, and various forms and types of employment of such people are considered a major factor in their successful integration into society. In this context, the involvement of people with special educational needs in out-of-school education is of particular importance because the aim is career guidance and helping each child to believe in their abilities and discover their potential.

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34 Simultaneously, the highlighted aspects do not give a holistic view of the state of involvement of children with special educational needs in out-ofschool education in Ukraine, do not provide a comprehensive approach that summarizes and systematizes the existing theoretical and practical potential to out-of-school education. In particular, the following issues remain unresolved:

pedagogical literature was analyzed, methodological approaches were determined.



At the third stage - generalizing - the analysis, systematization, processing of accumulated empirical material is conducted; theoretical generalization, interpretation, and design of research results are also conducted.



 

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which groups of children with special educational needs (hearing, vision, speech, musculoskeletal disorders, mental disabilities, mental retardation, autism spectrum disorders) are involved in out-ofschool education; in what form children with special educational needs are involved in out-ofschool education; children with special educational needs are involved in creative associations of which areas of out-of-school education; whether they are provided with qualified (defectological) support; whether the current opportunities and needs of such children in the organization of outof-school education are considered and how they are considered; what is the positive impact of involving children with special educational needs in creative associations of out-of-school education.

First, we can talk about the high level of the current state of the problem of improving the level of socialization of children with special educational needs, which require justification of educational opportunities for out-of-school education, which are potential at this stage. Second, the condition of not only theoretical but also practical and social significance of the results of the study is the involvement of special education teachers in out-of-school education. It is necessary to justify the potential of out-ofschool education and, consequently, the development of appropriate scientific and methodological and organizational and pedagogical support. Methodology The study of the state of involvement of children with special educational needs in out-of-school education in Ukraine was conducted in several stages. At the first stage - analytical and ascertaining the state of the problem of elaboration in domestic science was studied, psychological and

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At the second stage - analytical and exploratory the author's questionnaire was developed and the expert evaluation procedure was conducted; a stated experiment was conducted using the survey method and the method of expert evaluations.

During the analytical and ascertaining stage the methodological basis of the research was determined as follows: the idea of the educational and socio-pedagogical potential of out-of-school education institutions (Bykovska (2016), Pustovit (2013)); personality-oriented concept of child development (Bekh (2018), Maksymenko et al. (2013)), provisions on the socialization of persons with psychophysical disorders (Khokhlina (2019), Shulzhenko (2021)). The study investigated the current state of participation of children with special educational needs in out-of-school education on the following indicators: 

  



high-quality composition of groups of children with special educational needs who are involved in out-of-school education based on the type of developmental disorder; forms of involvement of children with special educational needs in out-of-school education; directions of out-of-school education in which children with special educational needs are studied; determining the impact of out-of-school education on the processes of development and socialization of children with special educational needs; identification of difficulties for teachers of out-of-school education institutions in the process of teaching children with special educational needs.

The author's questionnaire for teachers of out-ofschool education institutions was developed at the second stage. It was titled "Teachers about children with special educational needs in out-ofschool education." The questionnaire consists of 12 questions: 4 auxiliary questions and 8 main questions.

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Auxiliary questions included open-ended and closed-ended questions, which had the main characteristics of the target audience and served as a basis for the main questions. The content of these questions is the following: 1. Personal data: last name, first name, patronymic name. 2. Teacher affiliation. 3. Job title. 4. Contact details. The main questions follow: closed; closed with answer options; open. The content of these questions is following: 1.

What categories of children with special educational needs study in your institution? (children with mental retardation; mental disabilities (irreversible); star blind, children with blindness; hearing-impaired children, children with deafness; with musculoskeletal disorders; with autism spectrum disorders; with severe speech disorders); Which forms of involvement of children with special educational needs in the educational process are available in your institution? (inclusive education; collective educational integration; individual learning; your option); In what areas of out-of-school education are children with special educational needs taught in your institution? (artistic-aesthetic; artistic; tourist-local history; ecologicalnaturalistic; scientific-technical; researchexperimental; physical culture-sports or sports; military-patriotic; librarybibliographic; social-rehabilitation; healthimproving; humanitarian). What areas of out-of-school education involve children with mental disabilities of primary school age in your institution? (artistic and aesthetic; artistic; tourist and local lore; ecological and naturalistic; scientific and technical; research and experimental; physical culture and sports or sports; military and patriotic; library and bibliographic; social and rehabilitation; health; humanitarian). What areas of out-of-school education involve children with mental disabilities in your institution? (artistic-aesthetic; artistic; tourist-local lore; ecological-naturalistic; scientific-technical; research-experimental; physical culture-sports or sports; militarypatriotic; library-bibliographic; socialrehabilitation; health-improving; humanitarian). In what areas of out-of-school education are children with mental disabilities of senior school age involved in your institution? (artistic-aesthetic; artistic; tourist-local lore;

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ecological-naturalistic; scientific-technical; research-experimental; physical culturesports or sports; military-patriotic; librarybibliographic; social-rehabilitation; healthimproving; humanitarian) What is the positive impact of involving children with special educational needs in out-of-school education on their development? What difficulties do you have working with children with special educational needs? (insufficient knowledge of special methods of teaching children with special educational needs; no problems; lack of material and technical base; lack of cognitive interest in children; the presence of obvious behavioral disorders in children; difficulties in establishing productive contact and interaction with children with special educational needs; your option).

The survey of teachers of out-of-school educational institutions was conducted in the form of an online survey using Google Survey. One hundred thirty-two teachers of out-of-school education institutions from all regions of Ukraine took part in the study. After the survey, to increase the objectivity of the interpretation of the experimental data, each respondent was additionally interviewed individually using Google Meet. The method of expert evaluation was also used during the experimental study to determine the impact of out-of-school education on the development and socialization of children with special educational needs. It is used to justify that the role of expert methods acquires special significance in the period of lack of theoretical and experimental information on the use of outof-school education resources in the development and socialization of children with special educational needs. It is also used to determine the optimal psychological and pedagogical conditions for their involvement in out-of-school education. In such circumstances, there is a high degree of uncertainty about the influence of factors of stay of children with special educational needs in out-of-school educational institutions on the processes of their development and socialization, and therefore acceptable accuracy of results cannot be ensured by any statistical or other formalized methods (Novosad et al., 2009). Because the most difficult group to engage in out-of-school education are children with mental disabilities, who have significant complications in development and socialization and require modification of programs in all areas of out-of-school education

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36 (Syniov et al., 2021), most of the questions addressed to the experts concerned this group of children. Therefore, the experts were asked modified 4–7 questions of the questionnaire: Do you think that it is most useful for children of primary school age with mental disabilities to attend classes in which areas of out-of-school education? (artistic-aesthetic; artistic; touristlocal history; ecological-naturalistic; scientifictechnical; research-experimental; physical culture-sports or sports; military-patriotic; library-bibliographic; social-rehabilitation; health-improving; humanitarian)? Do you think that it is most useful for adolescents with mental disabilities to attend classes in which areas of out-of-school education? (artisticaesthetic; artistic; tourist-local history; ecological-naturalistic; scientific-technical; research-experimental; physical culture-sports or sports; military-patriotic; library-bibliographic; social-rehabilitation; health-improving; humanitarian)? Do you think that it is most useful for high school children with mental disabilities to attend classes in which areas of out-of-school education? (artistic-aesthetic; artistic; tourist-local history; ecological-naturalistic; scientific-technical; research-experimental; physical culture-sports or sports; military-patriotic; library-bibliographic; social-rehabilitation; health-improving; humanitarian)? What is the positive impact of involving children with special educational needs in out-of-school education on their development? Leading defectologists, doctors of sciences, and professors acted like experts. The category of experts included research and teaching staff of The National Pedagogical Dragomanov University; Donbass State Pedagogical University; Ivan Franko National University of Lviv; Kherson State University; H. S. Skovoroda Kharkiv National Pedagogical University. Sixtythree experts took part in the study. Results and Discussion The results of a survey of teachers on the method of "Teachers of children with special educational needs in out-of-school education" should be considered in more detail. Thus, answering the question: "What categories of children with special educational needs study in your institution?" 293 answers were received (questions with multiple choice). It was found

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that among all groups of children with special educational needs who attend out-of-school education, the majority are children with musculoskeletal disorders (16.72%), mental disabilities (16.38%), and autism spectrum disorders (15.36%). Children with mental retardation (13.99%), severe speech disorders (10.24%), hard of hearing (9.56%), children with deafness (8.87%) are also involved in out-ofschool education. The smallest number of children involved in out-of-school education are visually impaired children (7.17%) and children with blindness (1.17). It can be explained that most educational programs of out-of-school education are focused on children, creating a specific product of their activities, and working with children with visual impairments requires teachers to have alternative communication tools, including Braille. In most cases, such skills are absent from teachers of out-of-school educational institutions, as indicated by our results. In particular, it was found that 19.63% of teachers among the typical difficulties in attracting children with special educational needs highlight "insufficient knowledge of special methods and technologies of teaching such children." The question "What forms of involvement of children with special educational needs in the educational process is available in your institution?" (multiple answer: inclusive learning; collective educational integration; individual learning; your version) received 159 answers. It is determined that the leading model of involvement of children with special educational needs in out-of-school education institutions is collective educational integration (50.94%), i.e. a group of children of one nosological group (up to 10 people) attends a circle on the basis of out-of-school education institution. schools. Teachers noted that this form is optimal for children because they have modalspecific patterns of development due to primary developmental disorders, all simultaneously study a modified (simplified) program of a particular area of out-of-school education. In such conditions it is easier to create a situation of "success" for each child, which is critical to maintain the interest of the child in the classroom. This opinion of teachers confirmed by Shulzhenko (2021), who notes that a sign of outof-school education is a positive emotional atmosphere in a group of children, tolerance, equality and success of everyone. Every child with special educational needs can feel significant and successful under the conditions of creating psychological conditions based on the principles of special didactics. The existence of

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inclusive education of children in out-of-school education institutions as evidenced by 20.75% of teachers' answers (inclusion of 1–3 children with special educational needs in the group of children with normative development); 28.31% of teachers' answers indicated individual education in an out-of-school education institution. Simultaneously, during clarifying conversations, teachers pointed out that in most cases they try combining individual learning with the involvement of children with special educational needs in group work (collective), but in the presence of clear developmental disorders (blindness, severe mental disabilities, movement apparatus) leading are only individual training. Answering multiple-choice questions "What areas of out-of-school education are taught to children with special educational needs in your institution?" 325 responses were received. It is determined that most parents and children with special educational needs choose and attend clubs (creative associations) of artistic and aesthetic (28.62%), physical culture and sports

(15.08%), or art areas of out-of-school education (13.84%). 8.62% of children with special educational needs are involved in clubs or creative associations in the field of tourism and local lore, 8.62% in social and rehabilitation, 7.08% in ecological and naturalistic, 6.46% in scientific and technical, and health-improving. 5.54%, humanitarian - 4.61%, research and experimental - 1.23%, military-patriotic - 0.3%. No child with special educational needs attends the library and bibliographic circle. These results indicate a similar trend in the choice of leisure activities (areas of out-of-school education) by children with normative development and special educational needs (Ministerio de Educación y Ciencia de Ucrania, 2021). In particular, both groups of children are involved in circles of artaesthetic and physical culture-sports directions of out-of-school education. The study analyzed the areas of out-of-school education attended by children with mental disabilities of primary school, adolescence, and senior school age. See Table 1.

Table 1. Involvement of school-age children with mental disabilities in the areas of out-of-school education.

Areas of out-of-school education

Art and aesthetics Art Tourist and local lore Ecological and naturalistic Scientific and technical Research and experimental Physical culture or sports Military and patriotic Library and bibliographic Social rehabilitation Wellness Humanitarian

Involvement of children with mental disabilities (average percentage of the indicator) primary school teenagers (sample is senior pupils (sample children (sample is 278) is 393) 410) 29.27 22.30 20.11 7.07 18.35 16.79 23.66 12.95 13.49 11.95 14.03 12.72 5.38 7.91 8.91 4.14 6.83 9.92 18.29 17.63 15.52 0 0 0 0 0 0 0.24 0 2.54 0 0 0 0 0 0

The table shows that most primary school children are involved in art and aesthetics (29.27%), physical culture or sports (18.29%), tourism and local lore (23.66%), ecological and naturalistic (11.95%). Fields of out-of-school education. Children are involved in art (7.07%), scientific and technical (5.38%), research and experimental (4.14%), and social rehabilitation (0.24%) fields of out-of-school education. Simultaneously, it has been determined that children with mental disabilities are not involved in military-patriotic, library-bibliographic,

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health-improving, and humanitarian fields of out-of-school education. Among teenagers with mental disabilities, the most popular are art and aesthetic (22.30%) and art (18.35%) fields of out-of-school education. The teenagers with mental disabilities are rarely involved in physical culture or sports (17.63%), ecological and naturalistic (14.03%), tourism and local lore (12.95%), scientific and technical (7.91%), and research and experimental (6.83%) fields of out-of-school education. Teenagers with mental disabilities who attend military-patriotic, library-bibliographic, social-rehabilitation,

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38 health-improving, and humanitarian fields of out-of-school education have not been identified. Analyzing the involvement of senior pupils with mental disabilities in various areas of out-ofschool education, it was found that most children are involved in art and aesthetic circles (20.11%), art (16.79%), and sports (15.52%) fields of outof-school education. Senior pupils rare are involved in tourism and local lore (13.49%), ecological and naturalistic (12.72%), research and experimental (9.92%), scientific and technical (8.91%), and social rehabilitation (2.54%) fields of out-of-school education. No senior pupils with mental disabilities attending clubs or other creative associations of militarypatriotic, library-bibliographic, healthimproving, and humanitarian fields of out-ofschool education were found. Also, primary school children are rarely involved in out-of-school education than teenagers and senior pupils. It indicated by the number of choices by teachers of out-of-school education institutions (410; 278; 393). The study analyzed the impact of involving children with special educational needs in out-ofschool education on their development. The results of the survey of teachers of out-of-school educational institutions indicate that the positive impact on children is evidenced in the optimization of the process of assimilation and internalization of cultural elements, the overall development of the child (34.46%); social, spiritual, moral development, providing opportunities for the child for self-realization (16.89%); development of communication and social skills (13.51%), improvement of social adaptation and integration of these children (4.73%); personal development (6.76%); preparation for life in society, the formation of life goals (5.41%); correction of existing developmental disorders (4.73%); creative development (3.38%); harmonization of the child's emotional state (3.38%); development of cognitive interests (2.02%); development of fine motor skills (2.02%); harmonization of behavior (2.02%) and speech development (0.68%). Thus, most teachers point to the prosocial orientation of involving children with special educational needs in out-of-school education, with no indication of the importance of out-of-school education in the process of vocational socialization of such children. Analyzing the answers of teachers to the question "What difficulties do you have working with children with special educational needs?"

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(among multiple choice answers 158 answers were received), it was found that 25.32% of respondents indicate the absence of problems in the education of children with special educational needs, while 24.68% of answers indicate behavioral disorders in children with special educational needs, which negatively affect the quality of out-of-school education. 19.63% of teachers' answers indicate a lack of knowledge of special methods of teaching children with special educational needs; 15.82% indicate a lack of cognitive interest in these children; 12.02% of answers indicate difficulties in establishing productive contact and interaction, and 2.53% of answers indicate insufficient funding and poor material and technical base of out-of-school education institutions. Let us consider the results of expert evaluation. At this stage, the opinion of experts on the use of compensatory resources for out-of-school education in the process of involving school-age children with mental disabilities (primary school, adolescent, and senior school age) in various areas of out-of-school education were analyzed. Therefore, the experts' assessment was aimed at comparing the patterns of development of children with mental disabilities, their leading lines of development (at different ages), and compensatory opportunities of the environment created in different areas of out-of-school education, considering children's interests, potential and developmental needs. Note that in answering, each expert had the opportunity to choose several answer options. So to the question: "Do you think that it is most useful for children of primary school age with mental disabilities to attend classes in which areas of out-of-school education?" (artistic-aesthetic; artistic; tourist-local history; ecologicalnaturalistic; scientific-technical; researchexperimental; physical culture-sports or sports; military-patriotic; library-bibliographic; socialrehabilitation; health-improving; humanitarian) 201 answers were received. Most of the answers of experts indicate that primary school-age children should be involved in artistic and aesthetic (25.86%) and physical culture and sports (21.39%) areas of out-of-school education. Experts also point to the importance of involving children of primary school age with mental disabilities in the social rehabilitation direction of out-of-school education (17.91%); artistic 16.92%; ecological and naturalistic - 6.97%; tourist and local lore - 4.48%; wellness - 2.49%; research and experimental - 1.98%; scientific and technical - 1.48%; humanitarian - 0.49%. Simultaneously, all experts highlighted the

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inexediency of involving children with mental disabilities in military-patriotic and librarybibliographic areas of out-of-school education.

education. It will allow the sublimation of negative experiences into socially approving forms.

During the clarifying discussion, it was determined that the experts emphasize the importance of involving primary school children in the artistic and aesthetic direction of out-ofschool education. They point out that by mastering various techniques, pupils have an idea of sensory standards, develops spatial orientation; accuracy; tidiness, which are important factors in the success of schooling. According to experts, clubs and sections of physical culture and sports in out-of-school education will promote the development of physical qualities, stabilization of the emotional and volitional sphere. Experts note that the involvement of primary school children with mental disabilities in the social rehabilitation area will allow them to form an idea of themselves as members of society, develop communication skills and form an idea of socially approving behavior. Experts emphasize the positive impact of involving such children in art circles, in particular in theatrical art circles. The given tendency and the ability to "play" certain patterns of behavior in the theater circle make them learn the norms of socio-normative behavior.

The involvement of teenagers in art and aesthetic circles allows them to form skills of manufacturing products (from clay, plasticine, fabric, etc.); involvement in ecological and naturalistic circles allows to consolidate the skills of caring for animals and plants. Involving children with mental disabilities in groups of these profiles helps children decide on their future profession.

During the teen years, experts emphasized the corrective orientation of the use of resources of artistic and aesthetic (19.7%), physical culture and sports (19.7%), and art (17.24%) areas of out-of-school education. 10.35% of experts' answers indicate the importance of involving children in tourism and local lore; ecological and naturalistic (9.37%), social rehabilitation (6.89%); research and experimental (5.42%); health (3.94%); scientific and technical (3.94%) and humanitarian (3.45%) areas of out-of-school education. Experts rightly consider it inexpedient involving teenagers with mental disabilities in the library-bibliographic and military-patriotic areas of out-of-school education.

It was studied to the opinion of experts to determine the impact of involving children with special educational needs in out-of-school education on their development. Thus, 28.41% of the answers of experts indicate that the involvement of children with special educational needs in out-of-school education will contribute to the harmonization of the process of child socialization; development of communication skills and social interaction skills (22.73%); development of individual abilities and interests (15.91%); promotion in general development (10.23%). Some answers of experts indicate that the involvement of children in out-of-school education will contribute to the harmonization of the emotional state of the child, the development of the emotional and volitional sphere (4.55%). 3.41% of experts' answers indicate an improvement in social adaptability; 3.41% for the harmonization of personal development; 3.41% for cognitive development; 3.41% on harmonization of behavior; 3.41% to improve self-realization and 1.12% of expert responses indicate the development of fine motor skills. Thus, comparing the results of the survey of teachers of out-of-school education institutions and experts, it was found that both categories of respondents agree that the involvement of

Simultaneously, during the clarifying conversation, most experts mentioned the importance of considering the interests and individual characteristics of children in determining the "targets" of corrective action and the direction of out-of-school education. For example, teenagers, which are characterized by pronounced affective excitability, emotional regulation disorders, insufficiently developed skills of social interaction. Adeniy, Omigbodun (2016) consider it appropriate attending clubs of physical culture, sports, and arts in out-of-school

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In high school, experts emphasized the importance of involving children in artistic and aesthetic 15.73%, physical culture, and sports (18.14%), art (15.73%), environmental, and naturalistic (13.31%), tourism, and local lore (10.89%) and social rehabilitation (7.26%) areas of out-of-school education. Experts' answers indicated the expediency of involving children with special educational needs in research and experimental (6.04%), health (4.44%), humanitarian (5.64%), scientific and technical (2.82%) areas of out-of-school education. Experts consider it inexpedient involving children with mental disabilities in militarypatriotic and library-bibliographic areas of outof-school education.

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40 children with special educational needs will contribute to their socialization. However, most experts emphasize the positive impact of out-ofschool education on the social, spiritual, moral development, self-realization of children with special educational needs. They see the importance of involving children with special educational needs as an important factor in successful professional self-realization. Instead, teachers of out-of-school education institutions point to the positive impact of involving children with special educational needs in out-of-school education as a factor in the development of communication skills and social interaction skills. Conclusions Ukraine is on the path of actively developing an open system of out-of-school education for children with special educational needs. Out-ofschool educational institutions involve children with musculoskeletal disorders, mental disabilities, autism spectrum disorders, mental retardation, severe speech disorders, hard of hearing, children with deafness, low vision, and children with blindness. It is determined that the leading model of involvement of children with special educational needs in out-of-school education institutions is collective educational integration, inclusive and individual education is less common. Children with special educational needs are involved in clubs (creative associations) of artistic and aesthetic, physical culture and sports, art, tourism and local lore, social rehabilitation, ecological and naturalistic, scientific and technical, health, humanitarian, research, and experimental and military-patriotic areas of out-of-school education. Children with mental disabilities of school-age rarely involved in artistic, aesthetic, and physical culture and sports areas of out-of-school education. Simultaneously, experts emphasize that when choosing the direction of out-of-school education, it is necessary to consider not only the interests and inclinations of children, individual and age characteristics of the child, compensatory opportunities of different areas of out-of-school education. The positive impact of involving children in out-of-school education, according to teachers and experts is manifested in the promotion of their socialization; social, spiritual, moral development; providing opportunities for the child for self-realization; development of communication and social skills; improving social adaptation and integration; preparation for life in society, the formation of life goals; correction of existing developmental disorders; creative development, etc.

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References

Adeniy, Y., & Omigbodun, O. (2016). The effect of a classroom-based intervention on the social skills of pupils with mental disability in Southwest Nigeria. Child and Adolescent Psychiatry and Mental Health, 10 (29). https://www.ncbi.nlm.nih.gov/pmc/articles/P MC5010731/ Bekh, I. D. (2018) Personality on the way to spiritual values: Kyiv-Chernivtsi: Bookrek. Bykovska, O. V. (2016) Pedagogics of nonformal education as a subdiscipline of pedagogics. Native school, 11 – 12 (November December). http://nbuv.gov.ua/jpdf/rsh_2016_11-12_13.pdf Fatih, H., & Ganera, C. (2020) Recreation and physical activity of young girls with mental disability. Science, Movement and Health, XX, (2) Supplement, 237 – 241. https://www.researchgate.net/publication/344 451114_RECREATION_AND_PHYSICAL_ ACTIVITY_OF_YOUNG_GIRLS_WITH_M ENTAL_DISABILITY Kamenez, N., Vaganova, O., Smirnova, Z., Kutepova, L., & Vinokurova, I. (2019). The development of content of educational programs of additional education for professor-teaching composition in the organization of educational services of training with disability. Amazonia Investiga, 8(18), 267–278. https://amazoniainvestiga.info/index.php/ama zonia/article/view/305/280 Khokhlina, O. (2019) Psychological content of a child's socialization in an educational institution. Individuality in the psychological dimensions of communities and professions in a networked society. Kyiv: Alfa-PIK, pp. 86– 96. https://er.nau.edu.ua/handle/NAU/39525 Litovchenko, O. V. (2013) Social rehabilitation of children with special educational needs as one of the directions of social and pedagogical activity of out-ofschool educational institutions. Practical psychology and social work, 1, pp. 53 – 57. Maksymenko, S., Kutsenko-Lada, G., & Prorok, N. (2013) Psychological factors of self-determination of personality in the educational space: a collective monograph. Kirovograd: Imex-LTD. Ministerio de Educación y Ciencia de Ucrania (2021) Education Forum-2021: Ministry of Education and Science is working to create a legal basis for the transformation of out-of-

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school education. https://mon.gov.ua/ua/news/osvitnij-forum2021-mon-pracyuye-nad-stvorennyampravovogo-pidgruntya-dlya-transformaciyipozashkilnoyi-osviti Nasyrova, E., & Muller, O. (2019) Technologies of work with children with disabilities and disabled children in conditions of the network form of implementation of additional general development programs. Surgut: teaching aid. Novosad, V., & Seliverstov, R. G. (2009) Quantitative methods of expert evaluation: scientific method. Development. Kyiv: Research University. Omelyanovich, I. (2015) Features of socialization of adolescent graduates with mental disabilities. Scientific Journal of the National Pedagogical University named after MP Drahomanov. Series 19: Correctional pedagogy and special psychology, 30, pp. 138 – 143. http://enpuir.npu.edu.ua/handle/123456789/1 2015 Pustovit, P. (2013) Out-of-school education and upbringing in Ukraine in the vectors of modern development. Education and pedagogical science, Vol. 3, pp. 5 – 10. http://www.irbis-nbuv.gov.ua/cgibin/irbis_nbuv/cgiirbis_64.exe?I21DBN=LIN K&P21DBN=UJRN&Z21ID=&S21REF=10 &S21CNR=20&S21STN=1&S21FMT=ASP_ meta&C21COM=S&2_S21P03=FILA=&2_S 21STR=OsDon_2013_3_2 Suprun, M. O., Vysotska, A. V., & Gladchenko, I. V. (2014) Socialization of a child with mental disabilities in the modern educational dimension. Kyiv: Institute of Special Pedagogy of the National Academy of Pedagogical Sciences of Ukraine. Syniov, V.M. Bystrova, Yu.O. Kovalenko, V.Ye., & Bystrov, A.Ye. (2019). The coverage of the problem of emotional and behavioral disorders in people with mental disabilities in the Ukrainian psychological and pedagogical science. Actual Problems of Correctional Education (Pedagogical Sciences), 13, 242– 256. http://aqce.com.ua/download/publications/521 /477.pdf/ Syniov, V.M. (2018) New school of Ukraine and problems of providing quality education for children with special needs. Social and life practice of children with mental disabilities in educational and rehabilitation centers: oriented manual. Dnipro: Innovation pp. 26 –

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32. https://dnmcps.com.ua/sites/default/files/2019 06/16/2/%D0%9F%D0%BE%D1%81%D1% 96%D0%B1%D0%BD%D0%B8%D0%BA. %20%D0%A1%D0%BE%D1%86%D1%96 %D0%B0%D0%BB%D1%8C%D0%BD%D 0%B0%20%D1%82%D0%B0%20%D0%B6 %D0%B8%D1%82%D1%82%D1%94%D0 %B2%D0%B0%20%D0%BF%D1%80%D0 %B0%D0%BA%D1%82%D0%B8%D0%BA %D0%B0%20%D0%B4%D1%96%D1%82% D0%B5%D0%B9%20%D0%B7%20%D1%9 6%D0%BD%D1%82%D0%B5%D0%BB%D 0%B5%D0%BA%D1%82%D1%83%D0%B 0%D0%BB%D1%8C%D0%BD%D0%B8% D0%BC%D0%B8%20%D0%BF%D0%BE% D1%80%D1%83%D1%88%D0%B5%D0%B D%D0%BD%D1%8F%D0%BC%D0%B8%2 0%D0%B2%20%D1%83%D0%BC%D0%B E%D0%B2%D0%B0%D1%85%20%D0%9D %D0%A0%D0%A6.pdf Syniov, V.M., & Kovalenko, V.Ye. (2021) The models of involving children with special educational needs in the educational process of out-of-school education institutions. The collection of scientific works on the materials of the regional scientific-practical seminar "Use of resources of out-of-school education during the socialization process of children with special educational needs." Edited by Yu. D. Boychuk. H.S. Skovoroda Kharkiv National Pedagogical University, pp. 164 – 168. https://drive.google.com/file/d/1g1BdLBxJHt UgLDuBLaTByUZTMRz-gB_K/view Tatyanchikova, I. V. (2016) The ways to ensure the socialization of children with intellectual disabilities at special school. Actual Problems of Correctional Education (Pedagogical Sciences), 7, http://aqce.com.ua/vypusk-7-t-1-t2/tatjanchikova-iv-shljahi-zabezpechennjasocializacii-ditej-z-vadami-intelektualnogorozvitku-v-specialnomu-navchalnomuzakladi.html Trani, J-F. Fowler, P., Bakhshi, P., & Kumar, P (2019) Assessment of progress in education for children and youth with disabilities in Afghanistan: A multilevel analysis of repeated cross-sectional surveys. PLoS ONE, 14(6), e0217677. https://journals.plos.org/plosone/article?id=10 .1371/journal.pone.0217677 Shields, N., King, M., Corbett, M., & Imms, K. (2013) Is participation among children with

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mental disabilities in outside school activities similar to their typically developing peers? A systematic review. Developmental Neurorehabilitation, 17(1), https://pubmed.ncbi.nlm.nih.gov/24087974/ Shulzhenko, D. I. (2021) Out-of-school education as a psychological factor in creating a situation of success in children with autistic spectrum disorders. The collection of scientific

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works on the materials of the regional scientific-practical seminar "Use of resources of out-of-school education during the socialization process of children with special educational needs." Edited by Yu. D. Boychuk. H.S. Skovoroda Kharkiv National Pedagogical University, pp. 196 – 198. https://drive.google.com/file/d/1g1BdLBxJHt UgLDuBLaTByUZTMRz-gB_K/view

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DOI: https://doi.org/10.34069/AI/2021.42.06.5 How to Cite: Sharikov, V., Kireeva, Y., Akchulpanov, Y., Gribova, N., & Berketova, L. (2021). Socio-economic aspects of the development of the tourism and hospitality industry in the Russian Federation. Amazonia Investiga, 10(42), 43-55. https://doi.org/10.34069/AI/2021.42.06.5

Socio-economic aspects of the development of the tourism and hospitality industry in the Russian Federation Социально-экономические аспекты развития индустрии туризма и гостеприимства в Российской Федерации Received: April 30, 2021

Accepted: June 10, 2021

Written by: Valentin Sharikov19 https://orcid.org/0000-0003-2557-5153 Yulia Kireeva20 https://orcid.org/0000-0003-0866-0196 Yulay Akchulpanov21 https://orcid.org/0000-0002-5233-9036 Natalya Gribova22 https://orcid.org/0000-0002-8440-5325 Lydia Berketova23 https://orcid.org/0000-0002-1798-6131 Abstract

Аннотация

This trend has affected both tourist countries and countries where tourism is not the primary economic sector. This paper examines the socioeconomic aspects of the development of the Russian Federation's tourism industry in recent years. The objective of the study is to evaluate the development of the tourism industry in Russia. For this purpose, the issues of methodology for collecting official statistical information in tourism are considered, statistical data on tourism development are analyzed, and key indicators of the Tourism Development Strategy in the Russian Federation for the period up to 2035 are analyzed. The authors used general scientific research methods, namely, methods of reviewing the economic literature on the stated topic, analyzing statistical data characterizing the development of tourism in the Russian Federation in 2014–2018, and synthesizing the results obtained. The data source was indicators characterizing the development of the tourism and hospitality industries in Russia, the activities of collective accommodation facilities, and tourist companies. The study describes the social and economic

Эта тенденция затронула как туристические страны, так и страны в которых туризм не является основной отраслью экономики. В данной работе рассматриваются социальноэкономические аспекты развития индустрии туризма в Российской Федерации в последние годы. Целью работы является оценка развития туристической отрасли в России. Для этого рассматриваются вопросы методологии сбора официальной статистической информации в сфере туризма, анализируются статистические данные развития туризма, анализируются ключевые индикаторы Стратегии развития туризма в Российской Федерации на период до 2035 г. При подготовке данной статьи использовались общенаучные методы исследования, а именно методы обзора литературы по заявленной теме, анализа статистических данных, характеризующих развитие туризма в Российской Федерации за период с 2014-2018 годы, синтез, для обобщения полученных результатов. Источником данных послужили показатели, характеризующие развитие индустрии туризма и гостеприимства в России, деятельность коллективных средств размещения;

Associate Professor , Russian State University of Physical Education, Sport, Youth And Tourism (SCOLIPE), Russia. Associate Professor, Russian State University of Tourism and Service, Russia. 21 Academic Secretary, Institute for Strategic Studies of the Republic of Bashkortostan, Russia. 22 Assistant Professor, Plekhanov Russian University of Economics, Russia. 23 Assistant Professor, Plekhanov Russian University of Economics, Russia. 20

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Sharikov, V., Kireeva, Y., Akchulpanov, Y., Gribova, N., Berketova, L. / Volume 10 - Issue 42: 43-55 / June, 2021

aspects of the development of the tourism and hospitality industries in Russia for 2014–2018, identifies the necessary organizational and economic conditions to increase the volume of domestic tourism through administrative, fiscal, and social measures, proposes mechanisms to stimulate national tourism development to achieve the key indicators of tourism development until 2035. Keywords: tourism, tourism industry, hospitality industry, tourist product, tourist market.

деятельность туристских фирм. В результате исследования даётся характеристика социальных и экономических аспектов развития индустрии туризма и гостеприимства в России за 2014-2018 гг., определяются необходимые организационно-экономические условия увеличения объёмов внутреннего туризма за счёт мер административного, налогового и социального характера, предлагаются механизмы, стимулирования развития национального туризма в целях достижения ключевых индикаторов развития туризма до 2035 г.

Ключевые слова: туризм, сфера туризма, сфера гостеприимства, туристский продукт, туристский рынок. Introduction In the context of the global spread of coronavirus infection, one of the most affected areas of the world and the Russian economy is the tourism and hospitality industry. This is primarily because the tourism and hospitality industry has a multiplier effect, which is reflected in the stimulating effect on the economy's related sectors. However, in times of crisis, this factor also plays the opposite, negative role – other businesses and organizations of the tourism and hospitality industry suffer along the chain (Burns, 1998). In Russia, tourism plays a vital role in the economy; for example, the creation of 1 job in the tourism industry entails the creation of up to 5 jobs in the economic sectors related to tourism, and every 1,000 tourists account for the creation of up to 13 jobs in the country's economy. The average annual growth rate of the tourism industry in Russia in recent years was approximately 7%. From 2014 to 2018, the number of tourist trips increased by 1.5 times and amounted to 96.1 million trips (Directive № 2129-R, 2019). According to experts, Russia is a country with a vast tourism potential that has yet to be fully exploited (Andrades & Dimanche, 2017). However, the development of tourism in Russia also faces serious problems, namely: 1) poorly developed road and tourism infrastructure in general (Andrades & Dimanche, 2017); 2) low level of staff quality in the tourism industry, problems in staff training and education (Briedenhann & Wickens, 2004; Poddubnaya et al., 2020);

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3) low-quality management in the tourism industry (Chibir and Shirko, 2015). This study aims to assess the development of the tourism industry in Russia in recent years. The following tasks are set within the framework of this study to achieve this objective: 1) to consider the methodology of collecting official statistical information in tourism to assess its adequacy to modern realities; 2) to analyze statistical data on the Russian tourism development to study the trends and state of the industry; 3) to analyze the key indicators of the Tourism Development Strategy in the Russian Federation for the period up to 2035 to compare the state's goals and objectives in the tourism industry and the current state of affairs. Literature Review In most countries of the world, tourism is recognized as a high-income industry, and in several countries, tourism is the primary source of revenue to the state budget. Tourism specialists regularly study the impact of tourism on the economy of a country or a particular region. The authors consider both the positive and negative effects of tourism on the economy, but generally emphasize the positive impact of tourism development on economic development, the well-being of the population, and poverty reduction (Chen & Chiou-Wei, 2009; Croes & Venegas, 2008; Holzner, 2011; Tang & Tan, 2015).

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However, according to Matarrita-Cascante (2010), despite the positive effect of tourism development, local residents are not always ready for the upcoming changes, becoming a point of tension in this area. According to Tugcu (2014), tourism does not always lead to economic growth. Tugcu, having analyzed panel data on tourism in Europe, Asia, and Africa bordering the Mediterranean Sea for 1998–2011, concluded a bidirectional causal relationship between tourism development and economic growth in Europe, Asia, and the Mediterranean region. However, there is no such causal relationship in Africa. Brida, Matesanz, and Segarraa (2020) also write about the heterogeneous impact of tourism on economic growth. The analysis of the dynamics of economic growth and tourism development in 80 countries over 1995–2016 showed that they were heterogeneous. In this regard, countries with a high and low degree of interdependence were identified. As for research in the field of tourism in Russia, the following areas can be distinguished. The first direction is research in tourism development and its strategy (Konovalova et al., 2018; Kulgachev et al., 2018; Yudina and Bushueva, 2020; Fedorova et al., 2020). Konovalova et al. (2018), which, based on Russia's tourism industry analysis, proposed a strategic model for its development. The study highlights the negative impact of the imposed international sanctions on Russia, namely the negative impact on the country's image. Kulgachev et al. (2018) summarized statistical data on the main indicators characterizing Russia's inbound tourism development. Based on the analysis results, the following conclusions were formulated:   



the main tourist centers receiving foreign tourists are the federal cities of Moscow and St. Petersburg; educational and business purposes are the main goals of foreign tourists visiting the tourist regions of the Russian Federation; according to the statistics of the World Tourism Organization (UNWTO) in 2000– 2016, the number of tourists that arrived in Russia increased by 1.45 times (from 22 to 32 million); the method of statistical accounting of tourists used in Russia is not perfect, does not give a complete and reliable picture of the tourist flow.

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In Russia, tourism has recently been officially recognized as an industry that generates income for the state. In this regard, the Russian tourism industry is undergoing significant changes related to tourism management, the development, and implementation of a tourism development strategy, the distribution of state support for implementing the most promising projects in the regions, etc. These issues are discussed in detail in various works of Russian authors. For example, Yudina and Bushueva (2020) analyzed the state policy in tourism development in the framework of the Tourism Development Strategy in the Russian Federation for the period until 2035. The second research area in Russian tourism concerns cross-border tourism. Cross-border tourism between Russia and Poland is discussed in a study by Studzienieckia et al. (2016). Crossborder cooperation and the availability of "small border traffic" significantly increase the volume of cross-border tourism. Cross-border tourism between Russia and Finland is described in the Jakosuo (2011) study. The Jakosuo study states that the development of cross-border infrastructure has a positive impact on mutual tourist flows. Trade tourism between Russia and China is considered in Zhao (1994), scientific tourism between Russia and Finland in Makkonenab et al. (2018). The third research area in the field of tourism is aimed at studying how to turn tourism into a high-budget branch of the Russian economy at the present stage and meet the needs of current and future generations for recreation, improving the quality of life of the population and maintaining the health of citizens (Chibir and Shirko, 2015; Gorbuntsova et al., 2019; Gorbunov et al., 2018). Sustainable tourism development is also increasingly becoming a subject of study as one of the priority areas for solving various problems that arise in the process of tourism development. Almost all countries have developed sustainable tourism development programs that identify problem areas and offer solutions. The principles of sustainable tourism development are taken into account when planning and implementing the activities of tourism administrations in tourism. Programs have resulted in environmental protection, more conferences, meetings, workshops, and fewer conflicts involving local people and tourists (Andrades & Dimanche, 2017).

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46 The implementation of sustainable tourism development principles allows increasing the competitiveness of Russia as a tourist destination. The issues of improving the competitiveness of the Russian tourist product, individual tourist services, and the principles of sustainable tourism development in full is one of the currently relevant topics discussed at various levels (Bianchi, 2018).

The following general scientific research methods were used to prepare this study: 

analysis of the scientific literature on the stated topic; analysis of statistical data describing the development of tourism in the Russian Federation for 2014–2018; synthesis and generalization of the obtained results.

 

Methods Results and Discussion The study was conducted in the following phases: 1.

First of all, international and Russian academic literature on the impact of tourism on the development of the country's economy was studied. Then the results of tourism development in Russia for 2011-2018 were analysed. The data source was based on the data portal of the Federal Agency for Tourism of the Russian Federation (2020). Then the target indicators of tourism development in Russia until 2035 were determined. The main data were taken from the Strategy of tourism development in the Russian Federation for the period until 2035. As a result of the study, the conclusions on the research topic were formulated and compared with the conclusions of other scholars.

In 2009–2010 in Russia, the state staked on the development of inbound and domestic tourism. To achieve the corresponding indicators in Russia, the Federal Target Program (hereinafter FTP) "Development of domestic and inbound tourism in the Russian Federation (2011–2018)" was developed and adopted for implementation (Resolution No.644, 2011). The main goal of the FTP was to increase the level of competitiveness of the Russian tourist market by developing the tourist and recreational complex, improving the quality of tourist services, and promoting national tourist products in the domestic and international tourist markets. Target indicators for implementing this FTP were identified, which were required to be achieved by 2018. According to the results of the FTP implementation, the following results were achieved (Table 1).

Table 1. Target indicators for implementing of Federal Target Program “Development of domestic and inbound tourism in the Russian Federation (2011–2018)” Pack No. 1. 2. 3. 4. 5. 6. 7. 8. 9.

Indicator Number of citizens of the Russian Federation placed in collective accommodation facilities (CAF), million people Number of foreign citizens placed in CAF, million people CAF room fund area, thousand sq. m. Investments in fixed assets of accommodation facilities (hotels, places for temporary residence), million rubles Number of beds in the CAF, thousand units Number of people working in CAF, thousand people Number of people working in travel agencies, thousand people Volume of paid tourist services rendered to the population, billion rubles Volume of paid services of hotels and similar accommodation facilities, billion rubles

Plan for 2018

Fact for 2018

Fact of the plan, %

Plan implementation, yes/no

62.2

177.7

Yes

8.7

11.5

132.2

Yes

16,192

21,649

133.7

Yes

23,815.5

42,861

180.0

Yes

1452

2,414.5

166.3

Yes

573.5

325.0

56.7

66.7

139.0

Yes

178

172.1

96.7

220.5

255.7

116.0

Yes

Source: Federal Agency for Tourism of the Russian Federation, 2020

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Thus, it can be concluded that the target indicators for the FTP 2011–2018 were achieved and exceeded, in addition to the volume of paid tourist services and the number of people working in the CAF. In 2019, the Directive № 2129-R (2019) approved the Strategy of Tourism Development in the Russian Federation for the period until 2035 (hereinafter referred to as the Strategy). In accordance with this document, the

development of national tourism is carried out today based on an integrated approach. To achieve the Strategy goals, the necessary conditions will be created to promote highquality and competitive tourist products in the domestic and international tourist markets, strengthen the social role of tourism, and ensure the availability of tourist services and recreation for Russian citizens. The key indicators of the Strategy are shown in Figure 1.

Figure 1. Key target indicators of tourism development in Russia until 2035. Source: Federal Agency for Tourism of the Russian Federation, 2020 Thus, as a result of the Strategy implementation by 2035, the gross value added of the tourism industry should increase by more than 5 times, the number of tourist trips made by one resident per year in his own country (the ratio of the number of RF citizens, placed in the CAF, to the population of Russia) should increase by more than 2 times, the export of tourist services – by more than 3 times, investments in tourism – by 3 times.

significant difficulties, as well as the whole world, in implementing the planned programs for the development of not only tourism but also the economy as a whole. Therefore, federal and regional tourism development programs will need to be objectively adjusted in the coming years. This fully applies to the Strategy of tourism development in the Russian Federation for the period until 2035, which defines tourism development until 2035.

The Developed Strategy should solve the following main problems of the tourism and hospitality industry: the insufficiently high competitiveness of tourist products in the domestic and international markets, the low level of demand for tourist products from foreign and domestic tourists, the need to improve the system of regulating the tourism development.

One of the measures to implement the tourism development tools in the Strategy for the period up to 2035 is the development of statistical accounting in tourism. Let us consider organizing statistical observation in tourism in more detail, since the effective development of tourism, in the authors' opinion, is impossible without the availability of timely and reliable statistical information reflecting the state and development of the tourism and hospitality industry in Russia. It is also important that in recent years, active work has been carried out to unify statistical

It should be separately noted that in the context of the crisis caused by the pandemic that affected tourism in 2020, Russia will experience

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48 methodology and statistical tools with international standards, which will eventually allow for correct comparisons of statistical indicators in the tourism industry. The authors will consider the main summary economic indicators (investment, finance, etc.) that characterize the state of this service sector to

2,3

determine the structure of the types of economic activity in the tourism and hospitality industries. The distribution of the number of organizations in the tourism and hospitality industry in the context of its economic activities is shown in Figure 2.

Accommodation for visitors

10,1

15,7

Public catering services

4,7

Passenger transportation 40,7

21,6

Activities of travel agencies and reservation services Cultural activities

5 Retail sale of tourist goods Other

Figure 2. Distribution of the number of organizations by the collective grouping "Tourism" in the context of economic activities in 2018, % Source: Federal Agency for Tourism of the Russian Federation, 2020 As shown in Figure 2, the largest number of enterprises and organizations in the tourism and hospitality industry is catering, followed by organizations of tourist services, other services, accommodation services, transportation services, cultural enterprises' services, and retail trade in tourist products.

that characterizes the development of tourism in Russia:    

indicators of tourism development in Russia; key performance indicators of the CAF; key performance indicators of travel companies; selected indicators of tourism and hospitality industries; international comparisons.

However, by the amount of revenue (without VAT, excise taxes, and similar mandatory payments) in 2018 the first place is occupied by passenger transportation (59.8%), followed by food services (18.8%), other services (8.0%), accommodation services (7.1%), tourist services (3.6%), services of cultural enterprises (1.9%), retail trade of tourist goods (0.9%) (Federal Agency for Tourism of the Russian Federation, 2020).

The authors will analyze the official statistical information describing tourism development in the Russian Federation in recent years to characterize the social and economic development aspects of the tourism and hospitality industry.

The following indicators of tourism statistics usually present official statistical information

Let us analyze the tourism development indicators in Russia for 2014–2018 (Table 2).

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

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Table 2. Tourism development indicators in the Russian Federation for 2014–2018 Indicators Share of gross value added of the tourism industry in the GDP of the Russian Federation, % Volume of tourist services rendered to the population, billion rubles Volume of spa services, billion rubles Volume of paid services of hotels and similar accommodation facilities, billion rubles Number of CAF, units Number of rooms in CAF, thousand units Number of seats in CAF, thousand units Number of overnight stays in CAF, million units Number of Russian citizens placed in CAF, thousand people Number of foreign citizens placed in CAF, thousand people Number of inbound tourist trips, thousand trips Number of outbound tourist trips, thousand trips Number of tourist companies, units Number of Russian citizens sent on tours in Russia, thousand people Number of Russian citizens sent on foreign tours, thousand people Travel services exports, billion US dollars in % of total exports of services

2014

2015

2016

2017

2018

3.3

3.4

3.8

...

147.5

158.3

161.3

166.5

172.1

92.3

110.5

120.0

112.3

124.8

175.7

189.0

213.3

219.9

255.7

15,590 670.8 1,573.3

20,135 770.4 1,762.6

20,534 794.8 1,848.1

25,292 884.3 2,167.9

28,072 975.1 2,414.5

184.0

212.2

216.8

253.0

279.0

33,798.5

43,656.9

48,338.7

53,534.4

62,210.1

4,607.9

5,627.3

6,092.2

8,028.8

11,483.8

25,438

26,852

24,571

24,390

24,551

42,921

34,390

31,659

39,629

41,964

11,614

11,893

12,395

13,579

13,674

1,974.2

2,628.2

3,284.2

3,285.4

3,374.6

6,512.9

5,261.0

3,422.1

5,630.0

5,486.3

11.8

8.4

7.8

8.9

11.5

15.5

17.8

17.9 16.3 15.4 Source: Federal Agency for Tourism of the Russian Federation, 2020

As shown in Table 2, in 2018, compared to 2014, the volume of tourist services provided to the population increased by 16.7%, which should be recognized as a reasonably good result in current conditions. Attention is drawn to the increase in indicators that characterize the development of the hotel industry. In particular, the volume of paid services of hotels and similar accommodation facilities for the reporting period increased by 45.3%, the number of CAF – by 80.1%, the number of rooms in the CAF – by 45.4%, the number of seats in the CAF – by 53.5%, the number of Russian citizens placed in the CAF – by 84.1%, the number of foreign citizens placed in the CAF – by 149.2 %. The above indicators demonstrate the dynamics of changes in the hotel industry since 2014. Now let us look at the dynamics of indicators that characterize tourism development during the reporting period. In particular, the inbound tourist flow in 2018 was 24,551 thousand visits

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that correspond to a decline from 2014 to 3.5%, the number of tourists visiting decreased by 2.2% of organized domestic tourists (travel through a travel agency) increased by 70.9%, the number of citizens of the Russian Federation sent to tours abroad, amounted to 5,486.3 thousand (a decrease compared to 2014, 15.8%), the number of travel agencies has declined 17.7% in total exports of travel services in 2018, the share of tourism services was 17.8%. Thus, from 2014 to 2018, the hospitality industry showed a higher growth rate than the tourism industry. In the authors' opinion, among other factors, this is since major international sports events were held in Russia during this time. Let us also analyze the main indicators of CAF activity in Russia for 2014–2018. The structure of the CAF by type is shown in Figure 3.

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Figure 3. Distribution of CAF in Russia by type in 2018, % Source: Federal Agency for Tourism of the Russian Federation, 2020 As can be seen from Figure 3, in Russia in 2018, the largest share was made up of hotels – 41.6%, recreation organizations – 15.6%, spa organizations – 6.3%, hostels – 6.5%, and other accommodation facilities – 30%.

Consider the distribution of the number of Russian citizens staying in hotels in 2018 (Figure 4).

37,7 vacation, leisure and recreation 50,4

education and vocational training health and wellness treatments religious/pilgrimage shopping and other

7,0

business and professional 0,4 0,7 3,9

Figure 4. Distribution of the number of Russian citizens placed in hotels due to travel purposes in 2018, % Source: Federal Agency for Tourism of the Russian Federation, 2020 As follows from Figure 4, the largest number of Russian citizens staying in hotels traveled for leisure, vacation, and recreation – 50.4%, for business and professional purposes – 37.7%, for shopping – 7.0%, for education and professional retraining – 3.9%, for medical and wellness procedures – 0.7%, for religious (pilgrimage) purposes – 0.4%.

trip goals presented in Figure 4 (UNWTO method). In Russia, other travel purposes were traditionally used, for which tourists were studied. Review of the main indicators of tourism firms for the period from 2014 to 2018. Consider the activities of Russian travel companies for 2014– 2018 (Table 3).

It should be noted that only in recent years, Russia began to study visitors according to the

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Table 3. Activities of Russian travel companies in 2014–2018 Indicators Number of tourist companies including those carrying out the following activities: tour operator travel agency tour operator and travel agency Number of Russian tourists sent on tours, thousand people including: across Russia to foreign countries Funds received from the sale of tourist products, billion rubles Amount of commission, agency, and other remuneration, billion rubles Funds transferred to suppliers of tourist products for services rendered outside the Russian Federation, billion rubles

2014 11,614

2015 11,893

2016 12,395

2017 13,579

2018 13,674

445 9307 1306

349 9701 1159

549 9300 1479

723 11,133 1723

751 11,172 1751

8487.1

7889.2

6706.3

8915.4

8860.9

1974.2 6512.9

2628.2 5261.0

3284.2 3422.1

3285.4 5630.0

3374.6 5486.3

229.0

239.8

191.3

279.8

310.9

17.6

18.2

16.4

21.7

24.4

173.7

165.5

111.9

198.7

226.1

Source: Federal Agency for Tourism of the Russian Federation, 2020 As follows from Table 3, in 2018, the maximum number of travel agencies engaged in the travel agency, tour operator, or both types of activities was reached for the period from 2014. The number of tourists sent was the highest in 2017.

The largest amount of funds received from the sale of tourist products amounted to 310.9 billion rubles and was recorded in 2018. Now the individual indicators of the Russian tourism and hospitality sector for 2014–2018 are considered. Let' s analyze the dynamics of paid services in the tourism and recreation industry in 2014–2018 (Table 4).

Table 4. Paid services in the field of tourism and recreation in Russia for 2014–2018 Type of service Paid services to the population – total, million rubles, in actual prices of these: tourist services hotels and similar accommodation facilities health resorts Share in the total volume of paid services to the population, % tourist services hotels and similar accommodation facilities health resorts Paid services to the population - total, in % of the previous year, at comparable prices of these: tourist services hotels and similar accommodation facilities health resorts

2014

2015

2016

2017

2018

7,467,521

8,050,808

8,636,277

9,211,441

9,703,358

147,541 175,709 92,300

158,252 188,992 110,513

161,344 213,288 120,009

166,520 219,916 112,305

172,090 255,708 124,783

2.0 2.4 1.2

2.0 2.3 1.4

1.9 2.5 1.4

1.8 2.4 1.2

1.8 2.6 1.3

101.02)

98.9

100.7

101.4

94.6 103.5 104.2

96.0 102.6 107.4

95.0 109.6 97.9

99.6 108.9 100.1

100.5 112.5 106.7

Source: Federal Agency for Tourism of the Russian Federation, 2020

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52 As shown in Table 4, income from tourist services, hotel services, and similar accommodation facilities and spa services increased annually from 2014 to 2018. In the total volume of paid services to the population, the share of tourist services in 2018 was 1.8%, hotel services, and similar accommodation facilities – 2.6%, sanatorium and resort services – 1.3%. Simultaneously, the share of tourist

services in 2018 decreased by 0.2% compared to 2014. These data indicate a small percentage of paid services in tourism and recreation in the total volume of paid services to the population. Consider the structure of foreign nationals' distribution in the CAF by individual constituent entities of the Russian Federation (Figure 5). Moscow

1,0 0,9 1,3 2,0

St. Petersburg

13,4

1,2

Moscow Region

1,8

Primorsky Krai Irkutsk Region

53,7

2,5

Krasnodar Region

4,2

Vladimir Region Sverdlovsk Region Republic of Tatarstan

18,0

Kaliningrad Region Other subjects of the Russian Federation

Figure 5. Distribution of the number of foreign citizens placed in the CAF by the subjects of the Russian Federation in 2018, % Source: Federal Agency for Tourism of the Russian Federation, 2020 As follows from Figure 5, the largest number of foreigners in 2018 were located in Moscow (53.7%), St. Petersburg (18%), other subjects (13.4%), the Moscow Region (4.2%), Primorye Territory (2.5%), Krasnodar Territory (2%), Irkutsk Region (1.8%), Rostov Region (1.3%),

the Republic of Tatarstan (1.2%), Sverdlovsk Region (1.0%), and Vladimir Region (0.9%). Consider the indicators of international comparison in the field of tourism and hospitality. International tourist arrivals by a foreign country are shown in Table 5.

Table 5. International tourist arrivals in foreign countries for 2014-2017, million arrivals. Countries Total, million arrivals of these, by country: Australia Austria Germany Greece Spain Italy Canada China Mexico Russia UK Turkey France Switzerland

2014

2015

2016

2017

1133

1189

1235

1323

6.9 25.3 33.0 22.0 64.9 48.6 16.5 55.6 29.3 25.4 2.6 39.8 83.7 9.2

7.5 26.7 35.0 23.6 68.2 50.7 18.0 56.9 32.1 26.9 34.4 39.5 84.5 9.3

8.3 28.1 35.6 24.8 75.3 52.4 20.0 59.3 35.1 24.6 35.8 30.3 82.7 9.2

8.8 29.5 37.5 27.2 81.8 58.3 20.8 60.7 39.3 24.4 37.7 37.6 86.9 9.9

Source: Federal Agency for Tourism of the Russian Federation, 2020

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Table 5 shows international inbound tourism statistics based on UNWTO data. At the same time, citizens of the country living abroad and crew members are excluded. Arrivals of foreign tourists placed only in hotels and similar paid accommodation facilities are taken into account. Seasonal workers and border guards are excluded. Citizens of countries living abroad are included.

350 300

As can be seen, most tourists in 2017 visited France (86 million arrivals), Spain (81.8 million arrivals), China (60.7 million), Italy (58.3), etc. The indicators of Russia (24.4 million arrivals) in this series look relatively modest. Also, the degree of tourism development in Russia in 2018 can be estimated by comparing the number of domestic and foreign tourists per 100 residents of the Russian Federation compared to some of the leading countries in tourism (Figure 6).

309 261

250 200 150

174

170 Foreign tourists

138

Domestic tourists

100 45

0 Spain

France

Germany

Russia

Figure 6. The number of domestic and foreign tourists per 100 inhabitants in different countries in 2018, people Source: Federal Agency for Tourism of the Russian Federation, 2020 Thus, the data in Figure 6 confirm that Russia is inferior to the leading European countries in terms of domestic and foreign tourists' ratio per 100 inhabitants. This fact proves the need for both more intensive tourism development in the Russian Federation's territory and more active attraction of tourist flows from abroad. Thus, after analyzing the social and economic factors of the development of tourism and hospitality industries in the Russian Federation for 2014–2018, the conclusion is formulated: the Russian Federation should intensify tourism development. There are negative factors that hinder growth in the tourism and hospitality industry. According to some estimates, only 20% of Russia's tourism potential is being used so far (Andrades & Dimanche, 2017). In these conditions, it is necessary to develop social tourism, create conditions for the availability of tourist and excursion services for different categories of Russian citizens. Conclusions Considering the economic impact of tourism on the economy, one should not forget the social aspect of the tourism industry in Russia (employment, development of social tourism,

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creating a barrier-free environment for tourists, accessible treatment in sanatoriums and boarding houses on medical grounds for various categories of citizens in need, recreation as a factor in the restoration of human strength during a tourist trip or journey). Besides, various studies indicate that during the financial crisis, the number of market participants is significantly reduced, many market participants are cooperating with larger players and get appropriate support for further work. Many participants are also characterized by a desire to diversify their activities to work effectively. Thus, the establishment of partnerships between participants who are leaders in the tourism sector is one of the most effective ways to develop tourism in the Russian Federation regions. Bibliographic references Andrades, L. & Dimanche, F. (2017). Destination competitiveness and tourism development in Russia: Issues and challenges. Tourism Management, 62(C), https://doi.org/10.1016/j.tourman.2017.05.008 Bianchi, R.V. (2018). The political economy of tourism development: A critical review. Annals

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54 of Tourism Research, 70, 88-102. https://doi.org/10.1016/j.annals.2017.08.005 Brida, J.G., Matesanz, B.D., & Segarraa, G.V. (2020). On the empirical relationship between tourism and economic growth. Tourism Management, 81, 104131. https://doi.org/10.1016/j.tourman.2020.104131 Briedenhann, J., & Wickens, E. (2004). Tourism routes as a tool for the economic development of rural areas: Vibrant hope or impossible dream? Tourism Management, 25, 71-79. http://dx.doi.org/10.1016/S02615177(03)00063-3. Burns, P. (1998). Tourism in Russia: background and structure. Tourism Management, 19 (6), 555565. https://doi.org/10.1016/S02615177(98)00060-0 Chen, C.-F., & Chiou-Wei, S.Z. (2009). Tourism expansion, tourism uncertainty, and economic growth: New evidence from Taiwan and Korea. Tourism Management, 30 (6), 812-818. http://dx.doi.org/10.1016/j.tourman.2008.12.013 Chibir, E. and Shirko, T. (2015). Event Tourism in Russian Region: Opportunity for Small-scale Business Growth. Procedia Economics and Finance, 26, 183-187. https://doi.org/10.1016/S2212-5671(15)00916-8 Croes, R., & Venegas, M. Cr. (2008). Cointegration and causality between tourism and poverty reduction. Journal of Travel Research, 47 (1), 94-103. http://dx.doi.org/10.1177/0047287507312429 Directive № 2129-R «Strategy of tourism development in the Russian Federation for the period until 2035». Collection of Laws of the Russian Federation, Moscow, Russia, 22 September, 2019. Federal Agency for Tourism of the Russian Federation (2020). Statistical data on the tourism industry in Russia for the period 2018-2020. Available at: http://opendata.tourism.gov.ru/opendata (in Russian) Fedorova, S., Fedorova, G., & Konopleva, N. (2020). Functional typological structure of ethnic and cultural tourism in the Republic of Sakha (Yakutia). Amazonia Investiga, 9(25), 71-77. Retrieved from https://amazoniainvestiga.info/index.php/amazo nia/article/view/1028 Gorbunov, A., Kolyadin, A., Burnyasheva, L., Gazgireeva, L., & Kosenko, O. (2018). Tourist and recreational clusters as organizational and economic mechanism of control of formation and development of the innovative capacity of the North Caucasus Federal District. Amazonia Investiga, 7(17), 60-71. Retrieved from https://amazoniainvestiga.info/index.php/amazo nia/article/view/326

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Gorbuntsova, T., Dobsonb, S., and Palmerc, N. (2019). Diverse geographies of power and spatial production: Tourism industry development in the Yamal Peninsula, Northern Siberia. Annals of Tourism Research, 76, 67-79. https://doi.org/10.1016/j.annals.2019.03.006 Holzner, M. (2011). Tourism and economic development: The beach disease? Tourism Management, 32 (4), 922-933. http://dx.doi.org/10.1016/j.tourman.2010.08.007 Jakosuo, K. (2011). Russia and the Russian tourist in Finnish tourism strategies-the case of the Karelian region. Procedia - Social and Behavioral Sciences, 24, 1003-1013. https://doi.org/10.1016/j.sbspro.2011.09.015 Konovalova, E.E., Yudina, E.V., Bushueva, I.V., Ukhina, T.V. & Lebedev, K.A. (2018). Forming Approaches to Strategic Management and Development of Tourism and Hospitality Industry in the Regions. Journal of Environmental Management and Tourism, 9 (2), 241-247. https://doi.org/10.14505//jemt.v9.2(26).03 Kulgachev, I.P., Zaitseva, N.A., Larionova, A.A., Ivanova, E.V., Gladilin V.A. and Zhenzhebir, V.N. (2018). The Main Directions of Stimulating the Development of Inbound Tourism in the Russian Federation. Espacios, 39 (22), 10. Makkonenab, T., Williamsc, A.M., Weidenfeldd, A., and Kaistoe, V. (2018). Cross-border knowledge transfer and innovation in the European neighbourhood: Tourism cooperation at the Finnish-Russian border. Tourism Management, 68, 140-151. https://doi.org/10.1016/j.tourman.2018.03.008 Matarrita-Cascante, D. (2010). Changing communities, community satisfaction, and quality of life: A view of multiple perceived indicators. Social Indicators Research, 98, 105127. http://dx.doi.org/10.1007/s11205-0099520-z. Pinkovetskaia, I., Arbeláez-Campillo, D., Rojas-Bahamón, M., & Veas Iniesta, D. (2020). Motivation of new entrepreneurs in modern economies. Amazonia Investiga, 9(29), 368373. https://doi.org/10.34069/AI/2020.29.05.41 Poddubnaya, T., Zadneprovskaya, E., Dzhum, T., & Khatit, F. (2020). Using the electronic information and educational environment of the university in the training of tourism industry workers. Amazonia Investiga, 9(28), 249-259. https://doi.org/10.34069/AI/2020.28.04.28 Resolution No.644 «Development of domestic and inbound tourism in the Russian Federation (2011 - 2018)». Collection of Laws of the Russian Federation, Moscow, Russia, 22 August, 2011.

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Studzienieckia, T., Palmowskib, T., and Korneevetsc, V. (2016). The System of Crossborder Tourism in the Polish-Russian Borderland. Procedia Economics and Finance, 39, 545-552. https://doi.org/10.1016/S22125671(16)30298-2 Tang, C.F., & Tan, E.C. (2015). Does tourism effectively stimulate Malaysia's economic growth? Tourism Management, 46, 158-163. http://dx.doi.org/10.1016/j.tourman.2014.06.020 Tugcu, C. T. (2014). Tourism and economic growth nexus revisited: A panel causality

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analysis for the case of the Mediterranean region. Tourism Management, 42, 207-212. http://dx.doi.org/10.1016/j.tourman.2013.12.007 Yudina, E.V. and Bushueva I.V. (2020). Current state and analysis of tourism development in Russia until 2035. Revista Inclusiones, 7 (S2-2), 350-356. Zhao, X. (1994). Barter tourism along the ChinaRussia border. Annals of Tourism Research, 21 (2), 401-403. https://doi.org/10.1016/01607383(94)90057-4

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Ilchenko, O., Tkach, P., Sinna, L., Kadaner, O., Overchuk, O. / Volume 10 - Issue 42: 56-68 / June, 2021

DOI: https://doi.org/10.34069/AI/2021.42.06.6 How to Cite: Ilchenko, O., Tkach, P., Sinna, L., Kadaner, O., & Overchuk, O. (2021). Interpretation potential of mass media metaphor. Amazonia Investiga, 10(42), 56-68. https://doi.org/10.34069/AI/2021.42.06.6

Interpretation potential of mass media metaphor Інтерпретаційний потенціал метафори масмедіа Received: May 11, 2021

Accepted: May 26, 2021

Written by: Olena Ilchenko24 https://orcid.org/0000-0002-5467-8883 Polina Tkach25 https://orcid.org/0000-0003-4377-5335 Liudmyla Sinna26 https://orcid.org/0000-0002-0407-1995 Oksana Kadaner27 https://orcid.org/0000-0001-8671-284X Olena Overchuk28 https://orcid.org/0000-0003-4859-0452 Abstract

Анотація

The article is devoted to the analysis of the interpretation possibilities of the mass media metaphor. The aim of the work is to identify the semantic spheres that beget a metaphor in the modern language of the Ukrainian mass media. This work demonstrates the mechanism of metaphor production: components of a new meaning, components of metaphorical meaning, and the structure of metaphorical transference. The problems associated with the interpretation of metaphors are considered. The cognitive process of creating the investigated units represents the types of metaphorical transference. The metaphor is designed to simplify the process of perceiving complex new material. In 2000-2020 a new wave of metaphorical productivity was marked by the terms of the natural sciences during the timeframe of the research. As a result of the analysis, the metaphors of the political and economic discourses of the mass media were investigated, taking into account the semantic, cognitive-pragmatic approaches. On the basis of this material, the main trends in the development

Стаття присвячена аналізу інтерпретаційних можливостей метафори масмедіа. Мета роботи полягає у визначенні семантичних сфер, які породжують метафору в сучасному мовленні українських масмедіа. У розвідці продемонстровано механізм творення метафори: компоненти нового змісту, компоненти метафоричного значення, структуру метафоричного перенесення. Розглянуто проблеми, пов’язані із трактуванням метафор. Когнітивний процес створення досліджуваних одиниць представляє типи метафоричного перенесення. Визначено, що метафора покликана спростити процес сприйняття складного нового матеріалу. У 2000–2020 рр. новою хвилею метафоричної продуктивності відзначено терміни природничих наук. У роботі досліджено метафори політичного й економічного дискурсів масмедіа із урахуванням семантичного, когнітивнопрагматичного підходів. У результаті проведеного аналізу виявлено головні тенденції розвитку сучасного мовлення

PhD in Philology, Assistant Professor at the Department of Philology, Translation and Strategic Communications of the National Academy of the National Guard of Ukraine, Kharkiv, Ukraine. 25 PhD in Philology, Associate Professor, Professor at the Department of Philology, Translation and Strategic Communications of the National Academy of the National Guard of Ukraine, Kharkiv, Ukraine. 26 Assistant Professor at the Department of Philology, Translation and Strategic Communications of the National Academy of the National Guard of Ukraine, Kharkiv, Ukraine. 27 PhD in Philology, Associate Professor, Assistant Professor at the Department of Foreign Languages № 1, Yaroslav Mudryi National Law University, Kharkiv, Ukraine. 28 Ph.D. in Philology, Assistant Professor at the Depatment of Ukrainian Studies of the Karkiv National University of Internal Affair, Kharkiv, Ukraine.

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of the modern language of the Ukrainian mass media are revealed and the interpretative and evaluative potential of the media metaphor is determined. Key words: economic discourse, language of mass media, metaphor, political discourse, types of metaphorical transferences.

українських масмедіа й визначено інтерпретаційний оцінний потенціал медійної метафори. Ключові слова: мовлення масмедіа, метафора, типи метафоричного перенесення, політичний дискурс, економічний дискурс.

Introduction Language reflects the social development of the people and the state. It records all the turning points in the life of society. The first two decades of the XXI century are characterized in Ukraine by significant changes that have affected not only social development, but also the language, particularly its lexical and semantic level. The language of the media is a verbal reflection of the relevant social factors – a textualized response to life. Among the verbal means of displaying public life in the mass media language of the XXI century an important place is occupied by metaphors. The relevance of the topic is conditioned by the presence of metaphors in the mass media language that demonstrate the potential of this language, its creativity, the connection of the language with public life. Therefore, such metaphors require a detailed comprehensive analysis from the standpoint of the modern linguistic interpretation of the units under study. The purpose of this work is to identify the semantic spheres that beget metaphorical meaning in the political and economic discourse of the mass media over the period 2000-2020.

This will reveal the interpretative possibilities of the metaphor and repeat the cognitive-linguistic way of its creation. Literature Review The metaphor in the language of mass media has been the subject of active research by many linguists: Kh. Datsyshyn (2005), O. Ilchenko (2019; 2012), L. Kudriavtseva et al (2005), I. Filatenko (2003), O. Chadiuk (2005), A. Chudinov (2003), О. Styshov (2016), and others. Metaphor of the Ukrainian mass media in 2000-2020 in terms of studying the interpretation potential has not been a subject of study. Theoretical Framework Metaphor has been studied for a long time: Aristotle gave the first definition of metaphor, which marked the beginning of a serious study of the mechanism of semantic changes in the language. Metaphor is the result of the relationship between two meanings of a word, a vivid example of dynamics in the field of lexical semantics (Hak, 1988, p. 11).

Table 1. Periodization of the formation of metaphorology. Period

Researchers Aristotle, Quintilian, Cicero (Lahuta, 2003, 22)

Antique

ІІ

Medieval (late 5th century – middle 17th century)

ІІІ

Modern times (late 17th century – late 19th century)

р. 16-

F. Melanchthon, I. Sevilskyi, G. Hirobosk (Lahuta, 2003, р. 22-27)

D. Gartley, J. Locke, J. Mill (Lahuta, 2003, р. 2729)

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Main achievements Study of metaphor as a rhetorical device; obtaining the first definition: the transfer of signs in connection with the similarity of one object with another A clear and consistent definition of the "metaphor-word" with a description of its objective limits; systematization of figures and tropes; regulation of terminology Revealing the connections between the associative nature of thinking and the creation of a metaphor; use of metaphor in scientific and fictional texts

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Structural

Semantic

ІV

Modern (20th century – 21st century)

N. Arutiunova (1990), D. Bickerton (1990), V. Hak (1988), T. Yeshchenko (1999), and others V. Hak (1988), Kh. Datsyshyn (2005), L. Kravets (2012), S. Talko (2016), V. Teliia (1988), P. Ricoeur (1990), and others

Functional

N. Arutiunova (1990), D. Bickerton (1990), V. Hak (1988), T. Yeshchenko (1999), and others

Cognitive

V. Hak (1988), J. Lakoff and M. Johnson (1990), E. McCormack (1990), and others

Pragmatic

T. Yeshchenko (1999), Kh. Datsyshyn (2005), S. Levin (1990), and others

Learning Aspects

Psycholingu istic

N. Arutiunova (1990), P. Ricoeur (1990), and others

The level of modern science of language and speech convinces: solving the problem of studying a metaphor requires an integrated approach, which implies representatives of different sciences bringing together (Shakhnarovych, Yurieva, 1988, p. 108). The metaphor is being studied in philosophy, logic, psychology, psychoanalysis, literary criticism, literary criticism, rhetoric, linguistic philosophy, various schools of linguistics (Arutiunova, 1990, p. 5). An independent scientific discipline of metaphorology has even appeared, based on philosophical, logical, psychological and linguistic interdisciplinary connections (Kravets, 2005, p. 214; Lahuta, 2003). Considering the duration, "although not a systematic approach" (Bickerton, 1990, p. 284), of the study of metaphor, there is a corresponding periodization of the formation of metaphorology. There are four periods: antique, medieval, the period of the New Time and the modern (Lahuta, 2003) (see table 1). Interpreting the concept of "metaphor", the entries of the modern period demonstrate:

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Research of metaphor in the aspect of the theory of structural semantics

Allocation of semantic types of metaphor according to the original meaning of the word and the new one Two directions of the use of metaphor in the language system: the first – the metaphor is a means of nomination, the second – depends on the functional style in which the metaphor is used The emergence of a metaphor is associated with the peculiarities of human thinking: a metaphor is one of the ways of organizing cognitive activity Analysis of the mechanisms that connect the language with the context of its use, that is, the use of a metaphor is determined by the rules of using the language, and not by the semantic structure Supplementing the semantic theory of metaphor with the analysis of the sensory aspect of the image, the associative mechanism

metaphor is understood in a narrow and broad sense. Metaphor (gr. Metaphora – transfer) is the process of transferring the form of a linguistic unit or the design of a linguistic category from one object, phenomenon, action or feature to another based on a certain similarity between these objects for the purpose of characterization or nomination (Arutiunova, 2003, p. 233; Taranenko, 2007, p. 350). In a broad sense, the term "metaphor" is used to denote a figurative meaning in general (Arutiunova, 2003, p. 233; Taranenko, 2007, p. 352). The research of the metaphor in this work is conducted authors taking into account its two main functions: characterizing (aesthetic, expressive, evaluative) and nominative (designating concepts that do not have a name) (Arutiunova, 2003; Taranenko, 2007, p. 352). Cognitivists (see table 1) argue that the metaphor arises in connection with the deep features of human thinking (Hak, 1988, p. 11). It appears not because it is needed, not because it is indispensable, but because it is inherent for human thinking and language. Research in the field of psychology proves that "metaphors reach the affected areas of consciousness faster than

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their direct logical equivalents" (Lahuta, 2003, p. 81). A person does not perceive phenomena in their pure form, but endows them with certain properties (Hak, 1988, p. 13). It is only later the authors derive from the metaphor "benefit for their creativity" (Hak, 1988, p. 12). Linguists add: the speaker uses a metaphor to designate concepts "that have not yet become the property of the dictionary and do not simulate the public's reaction" (Yeshchenko, 1999, p. 276). It means the motives for creating a metaphor can be not only an epistemological search, but also desire to present certain concepts in a new, original way, to designate certain concepts expressively (Yeshchenko, 1999, p. 277). Concerning the functions of metaphor in the language of mass media, we can conclude: a metaphor performs an expressive, evaluative, nominative function, provides the effect of novelty. Researchers note also other functions of metaphor, in particular, the economy of linguistic means, informative, text-forming, which consists in the ability of metaphorical expression to continue (Vynnyk, 2007, p. 4). Kh. Datsyshyn experimentally proves that metaphor "conveys more information than literal expression and at the same time focuses on the most essential, from the point of view of the subject of speech, signs of reality" (Datsyshyn, 2005, p. 9). Each recipient decodes the metaphor differently. "To understand a metaphor means to some extent to trace the path of its creation apocryphally <...>" (Shakhnarovych, Yurieva, 1988, p. 109). For this it is necessary to determine: 1) the components of the formation of a new meaning; 2) components of metaphorical meaning; 3) the structure of the metaphor; 4) the mechanism of metaphorical transfer. 1.

Metaphor is one of the means of generating new meaning. This process involves four components: the category of object-1, properties of the category of object-1, category of the object-2, properties of the category of object-2 (Arutiunova, 2003, p. 233).

The metaphor searches for a similar element (Arutiunova, 2003, p. 233; Taranenko, 2007, p. 351; Shakhnarovych, Yurieva, 1988, p. 111; Chadiuk, 2005, p. 5) of two compared objects or reveals the associations on which the metaphor is based (Kravets, 2005; Ricoeur, 1990). P. Ricoeur defines a fundamental difference between similarity and association. This difference seems to lie in the opposition of the verbal to the non-verbal (Ricoeur, 1990, p. 221). It is worth agreeing that a common component of

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the compared objects is non-verbal characteristics. P. Ricoeur understands visual, auditory and other sensory images as a common component (Ricoeur, 1990, p. 221). A. Taranenko names the following signs of similarity in the metaphor: 1) by external similarity: shape, color, location, sounds, features of movement (movement), functions, quantity; 2) by the similarity of physiological and psychological impressions from the perception of various objects (subjectivity is higher than when creating other metaphors); transfers from the concrete physical world to the spheres of psychological and social life that are inaccessible for direct sensory perception, abstract relations, in particular from space to time; transfers due to the actualization of a secondary, often indistinct associative feature, in particular of an emotional and evaluative nature, with almost complete deactualization, but with the subject-logical basis of the original meaning; 3) similarity that does not exist in reality (taking into account its subjective transformations at the level of consciousness), but which is only desirable for the speaker, in particular during the adress and the formation of their own names (Taranenko, 2007, p. 351). Thus, the source of the new meaning of the metaphor is comparison (Arutiunova, 2003, p. 233; Talko, 2009, p. 5; Teliia 1988, p. 111). The task of the recipient is to "skip" someone else's comparison from the perspective of their own experience and knowledge and come to the same conclusion as the creator of the metaphor (Teliia, 1988, p. 109). 2.

The metaphorical meaning determines the principle of proportion (Arutiunova, 2003, p. 234; Ricoeur, 1990). The interaction of two different classes of denotations (or one, if we are talking about a metaphor in a broad sense, then the concept of "metaphor" includes metonymy as a means of producing a figurative meaning) leads to the semantic ambiguity of the metaphor (first of all, we are talking about a "alive" metaphor) (Arutiunova, 2003, p. 234; Shakhnarovych, Yurieva, 1988, p. 109). This typical feature of the metaphor complicates its interpretation and limits its usage in functional styles. The characteristic of one of the denotations (one of the three components of the metaphorical meaning is the category of denotation-1; the category of denotation-2; the characteristic of the denotation named in the metaphor) can be a national component of the consciousness of native speakers. It means it can belong to the

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collection of their common ideas about the corresponding category of objects, including mythological, cultural and emotionalevaluative connotations (Arutiunova, 2003, p. 234; Kravets, 2005, p. 213). The structure of the metaphor is determined by two components: the metaphorical meaning is a property of the actual subject and the image of the auxiliary subject of the metaphor (Arutiunova, 2003, p. 234). Metaphorical transfer, as a rule, is supplemented by a three-term structure: initial word → transitional concept ← resultative word (Hak, 1988, p. 14). Metaphorization is the semantic model of the formation of a figurative meaning in a lexeme, which causes the emergence of a metaphorical lexical-semantic version, namely, a metaphor (Chadiuk, 2005, p. 5).

Researchers note that "when metaphorizing presents we should not <...> look for common schemes inherent in the dictionary definitions of two words" (Hak, 1988, p. 15), because a metaphor is set in on the basis of vague concepts that human cognition operates with. There is also an opposite opinion regarding the meaning of a metaphor: "<...> Metaphors mean only that (or no more) what the word-components, taken in their literal meaning, mean" (Davidson, 1990, p. 173). A metaphor reflects the relationship between two meanings of a word. The types of metaphorical transfers are determined by the original and new meaning of the word. In the process of studying the types of metaphor, it is worth distinguishing between transfers of common semantic categories and transfers of individual words. Transfers are reflected in the etymology of the word, in the polysemy of the word, in phraseological combinations and in a word usage (Hak, 1988, p. 17). Metaphorical transfers in the language are implemented according to certain patterns. The main generalized types of transfers were defined in ancient times: Aristotle called the metaphor "transfer of an unusual name either from genus to species, or from species to genus, or from species to species, or by analogy" (Aristotle, 2000, p. 54); Quintilian identified four kinds of metaphors: from living to non-living, from nonliving to living, within the living and within the non-living (Kravets, 2005, p. 214; Taranenko, 2007, p. 351). In modern studies, these types are supplemented and detailed (Arutiunova, 2003; Kravets, 2005; Solhanik, 1980; Hak, 1988). S. Ulman identifies the following types of

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metaphorization: a) anthroporphic metaphors; b) zoomorphic metaphors; c) transfer from concrete to abstract; d) synesthetic; e) active metaphorization of the vocabulary of that sphere of life, which at a certain period attracts special attention of society (Taranenko, 2007, p. 351; Hak, 1988, p. 17), demonstrating "the place of a certain sphere on the scale of social values of society" (Taranenko, 2007, p. 351); J. Lakoff and M. Johnson distinguish orientational metaphors: "up – down", "inside – outside", "front side – back side", "deep – shallow", "central – peripheral" (Lakoff, Johnson, 1990). Other researchers distinguish geographic, meteorological, biomorphic, technical, sociomorphic metaphors, etc. (Hak, 1988, p. 17). Transfers are not one-vectored, but nevertheless, in a certain direction they occur more often than in another one (Hak, 1988, p. 18). A. Taranenko notes that the metaphorization of the vocabulary of sports, space, informatics, medicine is a dynamic process now (Taranenko, 2007, pp. 351-352). Scientists define a number of patterns of metaphorization of the meaning of a word: the physical attribute of an object is transferred to a person, inducing the designation of the mental characteristics of a person; an attribute of an object is converted into an attribute of an abstract concept; a sign or action of a person refers to objects, natural phenomena, abstract concepts (the principle of anthropomorphism); features of nature are transferred to humans (Arutiunova, 2003, p. 235). Metaphorization processes are not the same in different types of discourse. Researchers of the metaphor note that in this constant transfer of concepts from one sphere to another, not only the flexibility of the human mind turns out; it is a necessity for the very understanding of reality (Hak, 1988, p. 13). Methodology To achieve this goal, it is used the appropriate research methods – linguistic description, based on observation of the linguistic material; analysis and synthesis used in the description of metaphors; comparative method, due to which the basic theoretical foundations of the research are determined; the method of contextualsemantic analysis, which allows to take into account the context for figuring out the new metaphorical meaning of a word; the method of contextual (discursive) analysis, which is aimed at determining the functional load of mass media

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metaphors. Results and Discussion Interpretation of metaphor lies in finding common points in the comparison of objects – the act of metaphorization. This act is expressed by the transfer of a certain attribute of one object, phenomenon, person to another, upon the availability of a common characteristic. A necessary condition for understanding the metaphor is that the addresser should take into consideration the addressee’s factor, in the context of which the productivity of the type of metaphorical transfer and the interpretative result of the metaphor as a result of cognitivepragmatic effort depends on the characteristics of the discourse. Thus, political discourse transforms the action of the corresponding political processes over the period 2000-2020 in Ukraine. And the language of the mass media synchronously reflects the constantly changing of political situation in the state. To assess and characterize political processes, the corresponding discourse actively brings about metaphorization of medical, military, cultural, sports vocabulary. The medical industry in political discourse is represented by words indicating diseases, scientific achievements in the field of medicine, the names of drugs. Frequent use of the word syndrome is limited to the designation of a specific population group (Psychologists know the so-called "immigrant syndrome". A person, who has come to another country, at a certain stage, often begins to feel depressed, lonely, lost, feeling hopeless or ruined life... (Sierova, 2013) 29 ; Afghan syndrome of post-Maidan Ukraine (Kobza, 2019); "Donetsk-Luhansk syndrome": what about our guys who survived the anti-terrorist operation (Volyn News Agency, 2014); Today, the syndrome of "polluted water" is relevant again. Experts analyze the stagnation in society, looking for reasons. Are there any parallels between the current state of Ukraine and a clear example of stagnation – during the reign of Leonid Brezhnev? (Stepula, 2011). Names of diseases and the word "disease" itself do not have such restrictions as the syndrome, for example, Five "diseases" of Ukrainian voters (Popova, 2018). Sharp, decisive, significant changes are characterized by used words with a figurative meaning, taken from the field of surgery: I am

sure that journalists, as anatomists, know very well the whole pathoanatomy of the Ukrainian state and the authorities in it. It is terrible. And if journalists can after becoming politicians carry out serious "surgical interventions", I think it would be very good (Kuznietsova, 2012). The medical terms from the branch of oncology emphasize that the issue is urgent and cannot be solved, because the socio-political realia proposed in the political discourse of the mass media borrow the signs of a complex disease, and with the appearance of metastases, it is incurable: Cancer of the Ukrainian Themis (Stepanishyn, 2019). Thus, the "medical" metaphor acquires a pejorative color and indicates a desire to eliminate the phenomenon for which metaphors are used in political discourse. In modern political discourse, words representing military affairs are in the process of metaphorization. War acquires a secondary meaning "struggle", "unfriendly, hostile attitude", etc.: Russia's political war in Europe: agents of chaos and who controls them (research review) (Savchuk, 2017); battle – "confrontation of two parties": They [presidential candidates P. Poroshenko and V. Zelenskyi – authors] immediately rushed into battle (Newscast ТNS, 2019). In the language of mass media among the words on military topics the authors of this work notice the word trench, used to express the meaning of "inaction" (However, as the Sehodnia newspaper notes, it is unlikely to drive the population into trade trenches (Bila, 2013)); minefield – "danger" (Yushchenko doesn’t put pressure on Omelchenko, and Tymoshenko is on the minefield (Interfax-Ukraine, 2005)), etc. Since 2014 we have noticed a sharp decline in the performance of the "military" metaphor in the Ukrainian mass media, but this vocabulary has begun to be actively used in its direct meaning, compare: War in the east: 14 batters, 1 JFO [Joint Forces Operation – authors] fighter was killed, 2 occupiers were destroyed (War, 2019); "War is not a passion. This is my native pain" – a photojournalist who filmed the Maidan and Donbass (Tymoshenko, 2020). The political discourse of the mass media borrows words from the cultural continuum, which is formed by the names of various types of shows, words denoting actors and spectators, the corresponding premises, theatrical props, works of art and their elements, as well as words associated with puppet theater, circus (Andreichenko, 2011). The collected material

Тranslation of metaphors in all examples is made by us and links are made to original mass media materials 29

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62 demonstrates the functioning of such cultural vocabulary: stage curtain is a folding screen indicate the exposure "backstage" policy (Serhii Shvets unfolds the stage curtain (Newscast ТNS, 2019); Behind the stage curtain of a show called "Analyzes" there remain many other requirements that Zelenskyi claimed about the current presidency and formulated state plans (Newscast ТNS, 2019); theatre of the absurd – Ukrainian politics (If you are Evil, is it permitted for you? or Theatre of the absurd in Odessa (Smolinska, 2019)); a puppeteer is one who "owns" Ukraine, and the theater, we assume, is whole Ukraine (The artistic and political performance "Election Halloween" took place under the walls of the Verkhovna Rada. Parliament was stormed by "political carcasses", "mysterious puppeteer" and their "puppets", and "athletes" and "professors" were dragged there by their collars. (Politychni, 2012)); puppet theatre – is Ukraine led by the president or another influential person, who is called a puppeteer (The world farther and further resembles a puppet theatre. Somewhere in obscure from time to time a mysterious puppeteer pulls strings, known only for him (Kostenko, 2007)); scenario – "development of events" (All these events took place under the same scenario (Bratushchak, 2017)); tour – "retreats with citizens" (Poroshenko’s "Tour". 10 stories about PR, which may be of interest to law enforcement (Bratushchak, 2017)); quartet denotes four participants in a political event (Lashchenko, 2020), etc. Thus, the "cultural" metaphor indicates the exposure of the true state of affairs in politics. The productivity of metaphorical borrowings from the sports field is illustrated in particular by the following verbal units: one-sided game – "miscalculation in political strategy" (#Hroisman's government: One-sided game. How Poroshenko lost to the Cabinet. There is one kind of billiards – snooker. It is probably the most difficult and exquisite kind of billiards and at the same time is the perfect metaphor of current Ukrainian government (Romaniuk, 2018)); marathon, race – "competition" (Local elections 2020: video of the election marathon on Channel 24 (Local, 2020); The American leader spoke about Amy Klobushar, who announced her participation in the presidential race during the snowfall (Trump, 2019)); sport – "favorite occupation" (It seems that disregard for the law – a favorite sport of Ukrainians (Huzar, 2014)), etc. The "sports" metaphor demonstrates the dynamism of the development of events in the political discourse of the mass media.

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Lexemes, representing particularly the mentioned areas of metaphorical borrowing, acquire new figurative, contextually dependent (occasional) meanings. Such political metaphors do not go unseen by the recipients, because they are information-intensive and at the same time vivid, expressive and capable to express the corresponding characteristics. The analysis of economic discourse showed that its linguistic fund is enriched by the special vocabulary of various industries, which in the language of the mass media "is used in two main aspects: literally and figuratively" (Solhanik, 1981, p. 72). The figurative use of lexemes is subordinated to the objectives of the style of the mass media. "<...> The use of terms in a figurative sense, according to H. Solhanik, is one of the main and constant sources of replenishment of newspaper vocabulary, the development of our own newspaper lexical fund" (Solhanik, 1981, p. 73). The figurative meaning of words is represented particularly by metaphors, which functions are to "revive" the language of the mass media, to give it expressiveness, imagery, and this is harmoniously combined with the function of social assessment (Solhanik, 1981, pp. 73-74). In addition, the expressiveness acquired by the word serves as a means of attracting a reader/viewer audience. As a rule vocabulary from the natural, everyday life, medical, and military fields is undergone the process of metaphorization. From a historical point of view, the role of the terms of the field of mathematics, physics, astronomy and other sciences in the development of the vocabulary of the literary language is important, but the research of H. Solhanik (Solhanik, 1981) regarding the language of the press demonstrates: the mentioned exact and natural sciences do not have a deep influence on the replenishment of vocabulary of press, they are inferior to medical, cultural, sports, military terminology. This researcher assumes that the exact and natural sciences have fulfilled their historical mission; they have provided the language of the press with a large number of metaphorically reinterpreted newspaper words (Solhanik, 1981, p. 86). Obviously study of metaphors of economic discourse in mass media over the period 2000-2020 forms a new wave of metaphorization of the terms of the natural sciences. In particular, economic discourse uses the following words of this industry – climate, which is an integral part of the "meteorological vocabulary" (Solhanik, 1981, p. 88); ("We will stand side by side with Ukraine till it fights

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Russian aggression, strengthens the rule of law, creates a healthy investment climate, reforms the defense sector, fights misinformation and takes the necessary steps to ensure the ultimate victory of those on the sidelines of justice and dignity", – it was said in a statement. (The United States, 2019), storm, wind, whirlwind, the semantic difference in the use of which is to express the power of the event and for indicating such event it is used this or that word (Solhanik, 1981, p. 88) ("It's a storm with two components," said an IMF spokesman (IMF, 2008); And most likely it would have lasted even longer without success if the wind of great political changes had not blown. Unexpectedly for the financial market, the District Administrative Court made its decision just before the final round of the presidential election <…> (Korobkova, 2019) Tymoshenko will arrange a budget "storm" for Yatseniuk before the holidays (Tymoshenko, 2008); Will Ukraine be covered by an investment whirlwind in 2019 (Volska, 2019)); swale – in a metaphorical sense we use the imagery of nature (A system of voluntary fines can clean up the entire state system by acting as a truth and reconciliation commission, an approach used in many countries that are hopelessly stuck in a quagmire of corruption (Kalymon, 2016)); abyss (That is why we have heard since May 2015 and continue to hear scattered, not reasonable statements of senior officials about the end of the crisis and reaching the bottom of the economic abyss (Lanovyi, 2015)). "Natural" metaphors in the language of the mass media can lose their evaluative "gloss". There is a tendency: the newer the word in the in the language of the mass media, the higher its imagery in the process of metaphorization, because there is a close connection between the initial meaning and the effective one. The main feature of the use of this vocabulary is the serial nature of its metaphorization: whole thematic groups are undergone metaphorization, acquiring a homogeneous expressive-evaluative meaning. Individual uses supplement existing groups. The metaphorization of everyday vocabulary is a widespread phenomenon in the language of the mass media, inasmuch as the metaphors based on this vocabulary are understandable to a wide audience: trap – <...> The country is in a state of "deflation trap" – an economic phenomenon characterized by the conditions of falling demand for goods and services of the enterprise – producers have to reduce production and sales prices (Brodovych, 2009); bag – Once you had a kind of "black bag" and now you take into account every penny (Shchelokov, 2015); laundry – How European banks became a part of

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the "big laundry" for dirty money from Russia (Moiseienko, 2019). The "everyday" metaphor in the economic discourse of the mass media has a high degree of negative evaluative meaning. This evaluative orientation of the use of "everyday" vocabulary in the mass media language can be explained by a general decrease in this category of vocabulary. The "medical" vocabulary has a strong and profound influence on the language of the mass media. As in political discourse, in economic discourse this lexical category has negative evaluative specialization. In a figurative sense the following words are usually used: medicines – "Cure for corruption": how to fight bribery in Transcarpathia (Anti-corruption bulletin "Vasha Nadiya", 2016); sick – <…> Sick economy causes damage to their possessions (Lanovyi, 2016); heart – The heart of Ukrainian corruption is the prosecutor's office. How to snatch it? (Demchuk, 2015); anatomy – Journalist Larysa Stupak interviewed Chop City Council economist Cheban Tetiana about the anatomy of bribery provocation by citizen Serhii Nikulin from Dnipropetrovsk city (Tribune, 2017); sedative – "Sedative" for the electorate – salaries and pensions will be increased by force (Chorna, 2011). Optimistic mood, perhaps with irony demonstartes the following metaphors: recovery – Ukraine has introduced an adaptive quarantine recovery plan, which consists of 5 stages. It is important to constantly exchange experiences with other countries on the fight against coronavirus, economic recovery after COVID-19, business support, preservation and creation of new jobs (Ukraine, 2020). These lexemes are more imaginative than the previous block of examples of "medical" metaphors. An interesting tendency can be noticed: the more unexpected usage of the word in economic discourse, the more vivid it is. Metaphorization of the military vocabulary in economic discourse demonstrates the standardization of the word usage war and its determinology. Metaphors are used as standard means of it: vodka wars (On the eve of the vodka war? (Tertychna, 2003)); tariff war (Demand for LVMH brands has been stable in recent years, which is not the case with Tiffany products – in the first quarter of this year the company's global profits declined by 3%, and the "tariff war" between the US and China could worsen the company’s situation even harder (Economic truth, 2019)); gas war (Russia's gas war must be won (Lanovyi, 2015)); price wars (Price wars and pandemics at the same time: what is special about the recent fall in oil prices? (Savkova,

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64 2020)). We observe the spread in economic discourse of such military terms as fight – The fight against the shadow, that is, commodity smuggling, has become a constant refrain of power in recent years (Economic truth, 2020); front – Statements and insides about imminent victories on the nuclear missile front flooded the Russian media (Bohapov, 2019). The modern development of the language design of the economic discourse of the mass media is determined by the metaphorical types of transfer from different thematic categories of special vocabulary. This is due to extralinguistic factors. For the language of mass media an important driving force of such speech activity is social evaluativity, which manifests its nature, features, peculiarities. The action of the principle of social assessment and expressiveness predetermines the selection (in qualitative and quantitative characteristics) of lexical categories, in other words it determines the lexical system of the economic discourse of the mass media. Conclusions Language is a living organism that develops along with its speakers. This is a kind of sensitive matter that reflects social, political, economic changes in the life of the people. Analyzing changes in the language, first of all we deal with the language of mass media, which is a relay of popular science knowledge for the public, because mass media is a means of accelerating the assimilation of terminology, approbation of the expressive and evaluative means of language (speech). A characteristic feature of the mass media language is a metaphor based on the comparison of two objects or categories of objects. Determining the objects to be compared and the manifestation of their common properties is a prerequisite for understanding the metaphor. For this it is necessary to mentally reconstruct the mechanism of creating a metaphor: to establish the components of generating a new meaning; to identify the components of metaphorical meaning; to find out the structure of metaphorical transfer and determine its mechanism. The lexical system of the mass media language has an open character, the relative stability can be determined only for a certain period, which determines the constant necessity (urgency) of its research. Therefore, the analysis of the metaphors of political and economic discourses is a synchronous cross-section of the study of the Ukrainian mass media vocabulary over the

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period 2000-2020. Bibliographic references Andreichenko, O. I (2011). The metaphor of theater in modern political discourse: a cognitive aspect. Bulletin of Dnipropetrovsk University. Linguistics series, 11, Ed. 17, vol. 1, pp. 9-14. URL: http://nbuv.gov.ua/UJRN/vdumo_2011_19_17 %281%29__4 Anti-corruption bulletin "Vasha Nadiya" (2016). "Cure for Corruption": how to fight bribery in Transcarpathia. URL: https://www.youtube.com/watch?v=nQcwXvFg qXQ Aristotle, (2000). Poetics. Rhetoric. St. Petersburg: ABC. URL: https://docplayer.ru/26015680-Aristotelpoetika-ritorika-aristotel-poetika-ritorika-izdvo-azbuka-sankt-peterburg-2000-g-ritorikakniga-pervaya.html Arutiunova, N. D. (1990). Metaphor and discourse. In Arutiunova, N. D., Zhurinskaia, M. A. (and others). Metaphor theory. Moscow: Progress, pp. 5-32. URL: http://tlf.msk.ru/school/mikhalych/teoriya_meta fory.htm Arutiunova, N. D. (2003). Metaphor. In Karaulov, Yu. N. (and others). Russian language: encyclopedia. Moscow: Scientific Publishing House ‘Great Russian Encyclopedia’. Repr. ed., pp. 233-236. URL: https://bigenc.ru/literature/text/2208483 Bickerton, D. (1990). An introduction to the linguistic theory of metaphor. In Arutiunova, N. D., Zhurinskaya, M. A. (and others). Metaphor theory. Moscow: Progress, pp. 284-306. URL: http://tlf.msk.ru/school/mikhalych/teoriya_meta fory.htm Bila, І. (2013). Will the autumn hryvnia exchange rate be stable? (Press review). URL: https://www.radiosvoboda.org/a/25068259.html Bohapov, H. (2019). Russia claims imminent victories on the nuclear missile front-expert. ZN.UA. URL: https://zn.ua/ukr/WORLD/rosiyazayavlyaye-pro-blizki-peremogi-na-raketnoyadernomu-fronti-ekspert-302295_.html Bratushchak, О. (2017). Poroshenko's "tour". 10 stories about PR that may be of interest to law enforcement. Ukrainian truth. URL: https://www.pravda.com.ua/articles/2017/09/12/ 7154215/ Brodovych, S. (2009). Ukraine in the "deflation trap". Economic truth. . URL: https://www.epravda.com.ua/columns/2009/06/ 24/197380/ Chadiuk, O. M. (2005). Metaphor in the sphere

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of modern Ukrainian political communication (author's abstract to obtain Ph.D. degree: special. 10.02.01 ‘The Ukrainian language’), the National Academy of Sciences of Ukraine. The Institute of Ukrainian Language. Kyiv. URL: http://www.irbis-nbuv.gov.ua/cgibin/irbis_nbuv/cgiirbis_64.exe?Z21ID=&I21DB N=REF&P21DBN=REF&S21STN=1&S21REF =10&S21FMT=fullwebr&C21COM=S&S21CN R=20&S21P01=0&S21P02=0&S21P03=A=&S 21COLORTERMS=1&S21STR=%D0%A7%D 0%B0%D0%B4%D1%8E%D0%BA%20%D0 %9E$ Chudinov, A. P. (2003). Metaphorical mosaic in modern political communication. Yekaterynburh: Ural State Pedagogical University Publishing House. URL: http://elar.uspu.ru/bitstream/uspu/5980/1/mon00 062.pdf Chorna, N. (2011). "Anti-anxiety meds" for the electorate are forced increasing of salaries and pensions. URL: https://news.finance.ua/ua/news//239666/zaspokijlyve-dlya-elektoratu-zarplatyi-pensiyi-vymusheno-pidvyshhat Datsyshyn, H. P. (2005). Metaphor in Ukrainian political discourse (based on modern periodicals) (author's abstract to obtain Ph.D. degree: special. 01.10.08 ‘Journalism’), Lviv National University named after Ivan Franko. Lviv. URL: http://www.irbis-nbuv.gov.ua/cgibin/irbis_nbuv/cgiirbis_64.exe?Z21ID=&I21DB N=ARD&P21DBN=ARD&S21STN=1&S21RE F=10&S21FMT=fullwebr&C21COM=S&S21C NR=20&S21P01=0&S21P02=0&S21P03=A=& S21COLORTERMS=1&S21STR=%D0%94% D0%B0%D1%86%D0%B8%D1%88%D0%B8 %D0%BD%20%D0%A5.%D0%9F.$ Davidson, D. (1990). What the metaphors mean. In Arutiunova, N. D., Zhurinskaya, M. A. (and others). Metaphor theory. Moscow: Progress, pp. 173-193. URL: http://tlf.msk.ru/school/mikhalych/teoriya_meta fory.htm Demchuk, S. (2015). The heart of Ukrainian corruption is the prosecutor's office. How to snatch it? URL: https://texty.org.ua/articles/61547/Serce_ukrajin skoji_korupciji__prokuratura_Jak_jogo-61547/ Economic truth (2020). Cigarette smuggling: scope, consequences, lessons learned from neighboring countries and a plan to combat. URL: https://www.epravda.com.ua/projects/nikontrabandi/2020/09/7/664652/ Economic truth (2019). Owner Louis Vuitton buys jewelry giant Tiffany for $ 16 billion. URL: https://www.epravda.com.ua/news/2019/11/25/6 54075/

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Filatenko, I. O. (2003). Modern political metaphor in the Russian language newspaper communication of Ukraine: cognitive and pragmatic description, (author's abstract to obtain Ph.D. degree: special. 10.02.02 ‘the Russian Language’), Kyiv National University named after Taras Shevchenko; Institute of Philology. Kyiv. URL: http://www.lib.uaru.net/diss/cont/31634.html Hak, V. H. (1988). Metaphors: Universal and Specific. Metaphors in language and text. Moscow: Science, pp. 11-26. URL: https://pdf.zlibcdn.com/dtoken/16cce9d4edf282 c8c8c707acc728c2f6/Metafora_v_yazueke_i_te kste_by_Teliya_V.N._(otv._r_3094119_(zlib.org).pdf Huzar, L. (2014). Ignoring the law seems to be a favorite sport of Ukrainian. Ukrainian truth. URL: https://www.pravda.com.ua/columns/2014/07/4/ 7031011/ Ilchenko, O. A. (2012). Metaphorical words in the language of the Ukrainian press of the XXI century: (author's abstract to obtain Ph.D. degree: spec. 10.02.01. ‘The Ukrainian language’), Kharkiv National Pedagogical University named after H. S. Skovoroda. Kharkiv. URL: http://irbis-nbuv.gov.ua/cgibin/irbis_nbuv/cgiirbis_64.exe?&I21DBN=EC &P21DBN=EC&S21STN=1&S21REF=10&S2 1FMT=fullwebr&C21COM=S&S21CNR=20& S21P01=0&S21P02=0&S21P03=I=&S21COL ORTERMS=0&S21STR=%D0%A0%D0%903 87173 Ilchenko, O. A. (2019). Axiological markedness of contemporary mass media metaphor. Philological journal, Ed. 1 (13), pp. 42-51. DOI: https://doi.org/10.31499/24158828.1.2019.169368 IMF: The world economy is between ice and flame. (2008). URL: https://www.pravda.com.ua/news/2008/07/11/3 489349/ Interfax-Ukraine, (2005). Yushchenko doesn’t put pressure on Omelchenko, and Tymoshenko is on the minefield. URL: https://www.pravda.com.ua/news/2005/05/19/3 009868/ Kalymon, W. (2016). How to use e-declarations against corrupt officials. Economic truth. URL: https://www.epravda.com.ua/columns/2016/11/ 25/612344/ Kobza, M. (2019). Afghan syndrome of postMaidan Ukraine. Economic truth. URL: https://www.pravda.com.ua/columns/2019/02/1 5/7206707/ Korobkova, O. (2019). Test for Privatbank: how will the Ukrainian court and the new president make it. Economic truth. URL:

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66 https://www.epravda.com.ua/columns/2019/05/ 29/648236/ Kostenko, N. (2007). Geopolitical theater. "Personal Plus", № 45 (248). URL: http://www.personal-plus.net/248/2714.html Kravets, L.V. (2012). Metaphor dynamics in the Ukrainian poetry of the ХХ century. Kyiv: Publishing Center "Academy". 416 p. URL: http://www.library.univ.kiev.ua/ukr/elcat/new/d etail.php3?doc_id=1448501 Kudriavtseva, L. O., Diadechko, L. P., Dorofova, O. M., Filatenko, І. O., Chernenko, H. A. (2005). Modern aspects of the advancement of mass media discourse: expression – influence – manipulation. Linguistics. Ed. 1, pp. 58-66. URL: http://arkhiv.nua.kharkov.ua/cgibin/irbis64r_15/cgiirbis_64.exe?LNG=&Z21ID =&I21DBN=IBIS_PRINT&P21DBN=IBIS&S2 1STN=1&S21REF=&S21FMT=fullw_print&C 21COM=S&S21CNR=&S21P01=0&S21P02=1 &S21P03=A=&S21STR=%D0%9A%D1%83% D0%B4%D1%80%D1%8F%D0%B2%D1%86 %D0%B5%D0%B2%D0%B0%2C%20%D0%9 B%2E%20%D0%9E%2E Kuznetsova, I. (2012). Journalists are well aware of the corrupt criminal nature of the power machine – Chaika. URL: https://www.radiosvoboda.org/a/24665995.html Lahuta, О. N. (2003). Metaphorology: theoretical aspects / Novosibirsk State University. Novosibirsk, Vol. 1. 114 p. URL: https://www.researchgate.net/publication/27394 8035_Vvedenie_Glava_1_Metaforologia_proni knovenie_v_realnost Lakoff, J., Johnson, M. (1990). The metaphors we live by. In Arutiunova, N. D., Zhurinskaya, M. A. (and others). Metaphor theory. Moscow: Progress, pp. 387-415. URL: http://tlf.msk.ru/school/mikhalych/teoriya_meta fory.htm Lanovyi, V. (2015). About the contagion of bankruptcy of Ukraine. Economic truth. URL: https://www.epravda.com.ua/publications/2015/ 11/3/565669/ Lanovyi, V. (2015). Gas gallows for the Ukrainian people. Economic truth. URL: https://www.epravda.com.ua/publications/2015/ 07/29/551080/ Lanovyi, V. (2016). Ice began to crack on the oligarchic pond. Economic truth. URL: https://www.epravda.com.ua/columns/2016/11/ 11/610384/ Lashchenko, О. (2020). Germany and Russia: will Berlin forget about Navalnyi and the war in Donbass? Radio Liberty. URL: https://www.radiosvoboda.org/a/germanyrussia/30825918.html

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Levin, S. (1990). Pragmatic deviation of statements. In Arutiunova, N. D., Zhurinskaya, M. A. (and others). Metaphor theory. Moscow: Progress, pp. 342-357. URL: http://tlf.msk.ru/school/mikhalych/teoriya_meta fory.htm Local elections 2020: video of the election marathon on Channel 24. (2020). URL: https://vybory.24tv.ua/mistsevi-vibori-2020ukrayina-divitisya-online-25-10-2020translyatsiya_n1438748 McKormak, E. (1990). Metaphor’s cognitive theory. In Arutiunova, N. D., Zhurinskaya, M. A. (and others). Metaphor theory. Moscow: Progress, pp. 358-386. URL: http://tlf.msk.ru/school/mikhalych/teoriya_meta fory.htm Moiseienko, O. (2019). How European banks became part of the "big laundry" for dirty money from Russia. Economic truth. URL: https://www.epravda.com.ua/publications/2019/ 03/11/645970/ Newscast TNS. Week for April 7, 2019. (2019). URL: https://www.youtube.com/watch?v=QrxTInXU 1oM Newscast TNS. 7.30 p.m. on July 4, 2019. URL: https://www.youtube.com/watch?v=NkqAQuFZ drM "Political carcasses" and "puppets" stormed the parliament (VIDEO, PHOTO). (2012). URL: https://www.radiosvoboda.org/a/24751744.html Popova, Т. (2018). Five "diseases" of Ukrainian voters. URL: https://www.radiosvoboda.org/a/29271071.html Ricoeur, P. (1990). A living metaphor. In Arutiunova, N. D., Zhurinskaya, M. A. (and others). Metaphor theory. Moscow: Progress, pp. 435-455. URL: http://tlf.msk.ru/school/mikhalych/teoriya_meta fory.htm Romaniuk, R. (2018). #Hroisman's government: A game in one pocket. How Poroshenko lost the Cabinet of Ministers of Ukraine. URL: https://www.pravda.com.ua/articles/2018/12/5/7 200215/ Savchuk, Т. (2017). Russia's political war in Europe: agents of chaos and who controls them (research review) URL: https://www.radiosvoboda.org/a/28716362.html Savkova, V. (2020). Price wars and pandemics at the same time: what is special about the recent fall in oil prices? URL: https://www.radiosvoboda.org/a/30480050.html Shakhnarovych, A. M., Yurieva, N. M. (1988). Metaphor’s understanding problem. Metaphor in language and text. Moscow: Science, pp. 108118. URL: https://pdf.zlibcdn.com/dtoken/16cce9d4edf282

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c8c8c707acc728c2f6/Metafora_v_yazueke_i_te kste_by_Teliya_V.N._(otv._r_3094119_(zlib.org).pdf Shchelokov, О. (2015). Ten things to know about open data. URL: https://www.epravda.com.ua/columns/2017/04/ 21/624123/ Sierova, І. (2013). Ukrainian emigrant syndrome. URL: https://www.pravda.com.ua/columns/2013/01/2 8/6982118/ Smolinska, V. (2019). If you are Evil, is it permitted for you? or Theatre of the absurd in Odessa. URL: https://www.pravda.com.ua/columns/2019/01/2 9/7205204/ Solhanik, H. Ya. (1980). Lexicon of a modern newspaper. In Rosenthal, D. E. (and others). Language and style of media and propaganda. Printing. Radio. Television. Documentary film. Moscow: Moscow State University Publishing House, pp. 23-34. URL: https://search.rsl.ru/ru/record/01001023270 Solhanik, H. Ya. (1981). Newspaper vocabulary (functional aspect). Moscow: Higher School. URL: https://search.rsl.ru/ru/record/01001066330 Stepanishyn, S. (2019). Cancer of the Ukrainian Themis. URL: http://volyn.rivne.com/ua/arhive/2011-0701/1424 Stepula, N. (2011). "Synthesized water" syndrome. URL: https://www.radiosvoboda.org/a/24233427.html Styshov, О. A. (2016). Unregistered in dictionaries spoken metaphor in modern Ukrainian. Scientific bulletin of [Vinnytsia State Pedagogical University named after Mykhailo Kotsiubynskyi]. Series: Philology (Linguistics). Vol. 23, pp. 47-53. URL: http://nbuv.gov.ua/UJRN/Nzvdpu_filol_2016_2 3_12. Talko, S. V. (2016). Linguoaxiological semantics of anthropocentric metaphors and comparisons in the Ukrainian and English languages. Scientific bulletin of Kyiv National Linguistic University. Series: Philology. Ed. 19. Vol. 1, pp. 121-132. URL: http://nbuv.gov.ua/UJRN/Vknlu_fil_201 6_19_1_19 Taranenko, O. O. (2007). Metaphor. Rusanivsky, V. M., Taranenko, O. O. (and others). Ukrainian language: encyclopedia. 3rd ed. with changes and ext. Kyiv: ‘Ukrainian encyclopedia named after M. P. Bazhan’, pp. 350-353. Teliia, V. N. (1988). Metaphor as a model of meaning production and its expressive and evaluative function. Metaphor in language and text. Moscow: Science, pp. 26-51. URL: https://ua1lib.org/book/3094119/6f8a04?id=309

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4119&secret=6f8a04 The United States supported Ukraine before the Normandy meeting. (2019). URL: https://ua.korrespondent.net/world/4169109ssha-pidtrymaly-ukrainu-pered-normandskouizustrichchui Tribune (2017). Anatomy of bribery provocation from Transcarpathian law enforcement officers (video). URL: https://trubyna.org.ua/novyny/anatomiyaprovokatsiyi-habarya-vid-zakarpatskyhpravoohorontsiv-video/ Tymoshenko, D. (2020). "War is not a passion. This is my native pain "- a photojournalist who filmed Maidan and Donbass. URL: https://www.radiosvoboda.org/a/31013653.html Tymoshenko will arrange a budget "storm" for Yatseniuk before the holidays. (2008). URL: https://www.pravda.com.ua/news/2008/07/4/34 83221/ Ukraine expects to start revising the Association Agreement with the EU - Ministry of Economy. (2020). URL: https://www.epravda.com.ua/news/2020/05/22/6 60860/ Ukrainian language: encyclopedia (2004), ed.: V. M. Rusanivskyi (and others). Kyiv: M. P. Bazhan Ukrainian encyclopedia, pp. 334–336. URL: http://irbis-nbuv.gov.ua/cgibin/ua/elib.exe?Z21ID=&I21DBN=UKRLIB&P 21DBN=UKRLIB&S21STN=1&S21REF=10& S21FMT=online_book&C21COM=S&S21CNR =20&S21P01=0&S21P02=0&S21P03=FF=&S2 1STR=ukr0000790%5F1 Volska, О. (2019). Will Ukraine be covered by an investment storm in 2019. URL: https://www.epravda.com.ua/columns/2019/03/ 13/646029/ Vynnyk, O. P. (2007). Metaphorical processes in the formation of Ukrainian economic vocabulary: author's abstract to obtain Ph.D. degree: special. 10.02.01 ‘The Ukrainian language’ / Kharkiv National Pedagogical University named after H. S. Skovoroda. Kharkiv. URL: http://catalog.odnb.odessa.ua/opac/index.php?ur l=/notices/index/IdNotice:181579/Source:defaul t Tertychna, S. (2003). On the eve of the vodka war. URL: https://zn.ua/ukr/business/naperedodni_gorilcha noyi_viyni.html Trump compared a female senator to a snowman. (2019). URL: https://ua.korrespondent.net/world/4063596tramp-porivniav-zhinku-senatora-zisnihovykom Volyn News Agency (2014). "Donetsk-Luhansk syndrome": What about our guys who survived

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68 the anti-terrorist operation URL: https://www.volynnews.com/news/society/donet sko-luhanskyy-syndrom-shcho-z-nashymykhloptsiamy-iaki-vyzhyly-v-ato/ War in the east: 12 shellings per day, 1 fighter killed, 1 wounded. (2019). URL: https://www.pravda.com.ua/news/2019/06/6/72 17273/

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Yeshchenko, T. A. (1999). Metaphor: from structural analysis to functional-cognitive. Linguistic studios. Donetsk: DonNU, Ed. 5, pp. 276-278. URL: https://scholar.google.com.ua/citations?user=Eq wMNzsAAAAJ&hl=ru&oi=sra

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DOI: https://doi.org/10.34069/AI/2021.42.06.7 How to Cite: Sergienko, P., Minyar-Beloroucheva, A., Vishnyakova, O., & Vishnyakova, E. (2021). Academic conferences in professionally oriented language acquisition by public relations undergraduates. Amazonia Investiga, 10(42), 69-79. https://doi.org/10.34069/AI/2021.42.06.7

Academic conferences in professionally oriented language acquisition by public relations undergraduates Конференции как метод обучения английскому языку специальности студентов, обучающихся на отделениях по связям с общественностью Received: April 25, 2021

Accepted: June 15, 2021

Written by: Polina Sergienko30 https://orcid.org/0000-0002-8443-1654 Alla Minyar-Beloroucheva31 https://orcid.org/0000-0002-9760-3857 Olga Vishnyakova32 https://orcid.org/0000-0002-1617-051X Elizaveta Vishnyakova33 https://orcid.org/0000-0003-3133-9587 Abstract

Аннотация

The present paper deals with the attempt to analyze the basics of the theoretical and practical issues in terms of academic conferences as part of the curriculum within the learner-oriented approach to teaching professional English as the second language (L2) to public relations (PR) undergraduates. The objective of the article is to reveal strategies and tactics, necessary for the preparation of the PR undergraduates for participation in professionally oriented scientific conferences in the English language. The research methodology relies on the previous theoretical achievements of the authors of the article, who have worked out special methods, necessary for the modelling of real life situations, including case studies, large-scale role-play games and academic discussions, alongside with the acquisition and consolidation of language knowledge and skills. The actualized skills in the specially constructed academic milieu contribute to the development of the knowledgeable and competent future experts in the field of Public Relations. The graphs accompanying the result of the present research have been created by the authors of the article. The main results of the

Настоящая статья посвящена анализу теоретических и практических вопросов, касающихся проведения студенческих конференций как метода преподавания профессионально ориентированного английского языка студентам, обучающимся по направлению «связи с общественностью» (PR). Цель данной работы заключается в раскрытии стратегии и тактики, необходимых для подготовки студентов к проведению профессиональноориентированных конференций на английском языке. Методология данного исследования базируется на теоретических достижениях авторов данной статьи, которые разработали методы, требуемые для воспроизведения студентами на занятиях реальных жизненных ситуаций, включая тематические исследования, ролевые игры и академические дискуссии, необходимые для проведения студенческих конференций. Актуализированные навыки в специально выстроенной академической среде способствуют расширению знаний и формированию компетентных будущих специалистов по связям с общественностью. Графики, представленные в работе,

PhD in Linguistics Lomonosov Moscow State University, Russia. PhD in Linguistics, Dr. Habil, Professor Lomonosov Moscow State University, Russia. 32 PhD in Linguistics, Dr. Habil, Professor Lomonosov Moscow State University, Russia; Russian State University for the Humanities, Russia. 33 PhD in Linguistics, Associate Professor Lev Tolstoy Tula State Pedagogical University, Russia. 31

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Sergienko, P., Minyar-Beloroucheva, A., Vishnyakova, O., Vishnyakova, E. / Volume 10 - Issue 42: 69-79 / June, 2021

70 conducted research indicate that the academic conferences held in English, contribute to effective professionally oriented English language acquisition by PR undergraduates. Keywords: public relations, English language, academic conferences, language acquisition.

составлены авторами статьи. В результате проведенного исследования было установлено, что студенческие конференции, проводимые на английском языке, способствуют повышению эффективности усвоения языка специальности студентами отделений по связям с общественностью. Ключевые слова: связи с общественностью, английский язык, учебные конференции.

Introduction As recent events, connected with Covid-19 have illustrated, the world is highly interconnected and interdependent. This is one facet of the multifarious Public Relations, dealing with the image and promoting goodwill. There being no universally accepted definition of the International Relations (IR), commonly considered as part of Public Relations, some scholars suggest that it “means the diplomatic– strategic relations of states, and the characteristic focus of IR is on issues of war and peace, conflict and cooperation” (Brown, Ainley, 2009, p.6). For others international relations is “a complex, issue-sensitive affair “(Brown, Ainley, 2009, p.8) with “interdependence of states and societies <…> as striking a feature as their independence” (Brown, Ainley, 2009, p.8).

from the premise that teaching English in the field of Public Relations involves the processing of the previous theories to ensure the continuity. The main theory is primarily based on the idea of language dichotomy first suggested by Ferdinand de Saussure, according to which initial language interaction is presented in a form of distinction of language from speech – or ‘langue and parole’ (de Saussure, 1983). The scholar’s ideas decades later resulted in the Competency-Based Language Teaching (CBLT) (Larsen-Freeman, 2007, p.141). The undergraduates’ needs can be now embraced by the specific perceptible models of knowledge, skills, and the reactions of the undergraduates’ behavior to the given situation. The paper consists of Introduction, the Body, Conclusion and References.

PR on the international level is practically defined as an academic discipline creating and preserving a status quo, as well as the strive to pursue peace and prosperity for all countries. Thus, no single individual can control political, economic and cultural interests, which stimulates the requirement to be profoundly informed and thoroughly educated on the relevant and most imposing issues of Public Relations on the international level. Thus, it comes clear that undergraduates of Public Relations are to develop special competences permitting them to effectively deal with the counterparts in the international arena. This makes the current research highly relevant.

Theoretical Framework or Literature Review

The purpose of this paper is to show most effective strategies of teaching professionally oriented English to the undergraduates of Public Relations. It is common knowledge that English as lingua franca of today (Crystal, 1997) serves as ‘a global language’. The global status of the English language, in accordance with David Crystal, is attained owing to its ‘special role that is recognized in every country’ (Crystal, 1997, p.22). When teaching English for Specific Purposes we resort to the thoughts of our predecessors who have worked out the existing methodology and linguodidactics. We proceed

It should be noted that the process of learning cannot be separated from the emotional state of the PR undergraduates, which is of particular importance in teaching foreign languages in general, as well as linguodidactics (MinyarBeloroucheva et al., 2020b). The modern curriculum is created with regard to the psychological foundations of the methods of teaching foreign languages to undergraduates. The wide spread ideas of the Russian psychological school pioneered L.S. Vygotsky are widely used in the world educational theory and practice, in particular in teaching foreign

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While teaching English to the PR undergraduates, the teacher should set the goals that can help the undergraduates to ensure adequate understanding of the information by PR undergraduates and their reaction to it. However, one of the most important tasks on the part of the teacher is to create a positive feedback to the subject to facilitate the process of its learning. It should be emphasized that the teachers of English should pay attention not only to innovative methods of teaching, but also to the psychological aspect of this process (Vygotsky, 1978, Vishnyakova et al, 2020b).

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languages (Kolb, 2015; Nistor, Samarasinghe, 2019). According to L.S. Vygotsky, mental development is the integral part of the multifaceted personality per se (Vygotsky, 1982, p. 251). The processes of education and development of a personality come hand in hand. Generally, development process should be ahead of education, guiding it forward, but at the same time education relies on particular experience and is set for the future. Works by L.S. Vygotsky are included into the teachers' training colleges’ curricula, which lay the foundation for the Western linguodidacts, based on the activity approach that stimulates creative activity of the undergraduates and their teachers. Their achievements are widely used in teaching professionally oriented English (Malyuga, Tomalin, 2017). To a large extent, the climate in the classroom depends on the emotional state of the teacher, who is in charge of the students’ motivation, moral wellbeing and encourages the undergraduates to learn a foreign language with delight. Undoubtedly, motivation is always expected to be a moving force of learning English on the part of the PR undergraduates. Impetus is considered the most powerful incentive in learning languages and cultures (Vishnyakova, Visnyakova, 2019). To master the English language, the PR undergraduates should plunge into the vocabulary of their profession, terminology in particular, as well as into the set of grammar forms peculiar to their specialization, syntax and style. Methodology The present investigation was carried out at Lomonosov Moscow State University in 20182020. The participants of the survey were two groups of the PR undergraduates, who annually participated in L2 academic conferences. The major interest lay in the qualitative rather than quantitative analysis of some aspects concerning students’ conferences. The analysis of the responses required a reflective approach to data coding and interpretation (Duff, 2018). The main concern dealt with the investigation into the attitude of the undergraduates to the students’ conferences in English and the role of the teacher in their preparation for the conferences. The questionnaire given to the PR undergraduates, contained three main multiple choice questions: 1. What are the major difficulties in L2 conference preparation? a. the choice of the topic; b. insufficient time; c. insufficient knowledge of English; d. lack of confidence.

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a. 3.

To what extent do you find L2 students’ conferences useful for developing English proficiency? not in the least useful; b. not very useful; c. useful; d. rather useful; e. extremely useful. What are the basics for the choice of the topic for the PR undergraduates’ reports at the students’ conferences? the availability of the English sources; b. the well-known subject, studied in the curriculum; c. the media coverage; d. the relevance of the issue for the PR undergraduates’ research.

It should be said that the questionnaires were on the overt type, and on the basis of the answers of the PR undergraduates it was possible to synthesize and represent them in the graph forms of various types. Besides the method of questionnaire and statistics, some other methods were applied. They are the method of observation, respondents’ analysis, the methods of comparative and descriptive analyses. Results and Discussion Preparation for academic conferences In a short period of time, the PR undergraduates need to do a lot of work in the process of mastering the professionally oriented English language in accordance with the academic goals set during the preparation for the conference. The main thing in achieving the goals, as has already been stated, is motivation. It is motivation that activates all the internal forces of the PR undergraduates that foster the psychological processes of L2 learning, such as thinking, perception, understanding, and assimilation. Students should learn English not for practical purposes but also for pleasure. The advantage of this approach to L2 teaching consists in the requirement to work with professionally oriented texts as well as with the source material, and communicate with the counterparts in different countries, participate in international conferences and forums. To prepare for a real international conference concerning foreign policy issues the PR undergraduates can practice their reports in the classroom in the form of role-playing games, when different types of modern international congresses, forums, and round table discussion are played. Any international meeting is a complicated, multi-staged process, they are held despite the paradigm shift in history or linguistics. It does not only embrace the entire group of speakers and the audience, but also the

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72 Chairman and the Presidium of the conference. Thus, when studying the professionally oriented vocabulary, the PR undergraduates need to pay attention to both formative lexical units (package phrases) and text-forming ones (terminological units). Primarily, the PR undergraduates are to master the formative lexical units, which are the linguistic skeleton of the reports. This is the essential basis for the successful presentation of their scholarly report. The linguistic skeleton should be paid special attention to, since the participation of the PR undergraduates in the academic conference presents a novel approach to teaching professionally oriented English. Innovations in teaching foreign languages is always a break through, a state of the-artapproach that motivates learners to yield tangible results. That is the reason for the spread of the academic conferences at the universities of Russia. The students’ conferences concern the subjects of the future profession of the PR undergraduates. It becomes clear that such roleplay conferences are favored by the students who like not only participate in them, but also enjoy all the stages of the preparatory work. During the role-playing games dedicated to the conferences, the PR undergraduates who Chair the conference need to know the conference management algorithm, and the most applied package phrases that indicate the beginning of the conference, the announcement of the agenda, the invitation of the speakers, addressing the audience, the continuation of the conference and its conclusion. These phrases are recommended for acquisition by the PR undergraduates who will be given the part of the Chairman. This part can be in turn played by every student of the class that is why all of them should learn the following package phrases and rehearse them in class during the role-play. The phrases are as follows. I hereby declare the Conference open. On behalf of the Organizing Committee and in my own name I welcome you and those who are participating in the Conference. The purpose (subject) of the Conference is… There are … reports on the agenda. The time-limit of each report is … minutes. You are welcome to ask questions after each report has been made. Let's take the first item on the agenda… I give the floor to Professor … who is going to speak on …

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(After the report) Have you got any questions? Any questions to the speaker? Please, you are welcome. Are you happy with the reply? Now we could move on to the next point of the agenda. The next report is to be delivered by Professor …, who will make a report on … (After the report) Are there any questions, please? You are welcome. Are you happy on the question? As we are running short of time, we could just move on to… The next person to speak is… Now let me proceed to the last point of the agenda. I shall ask Professor… Is there anyone else who would like to express his/her opinion on the reports made? Prof. … you are welcome … In conclusion, allow me to express great appreciation of the work performed by the speakers and those who took part in the Conference. Let me just summarize our main points again. Now I declare the Conference closed (MinyarBelorucheva, 2012). These package phrases are always learnt with pleasure, because they are an inalienable aspect of the conferences. Within the current trend of a foreign language acquisition the method of reallife gamification is very popular with the PR undergraduates. Thus by the real-life games within the academic milieu the PR undergraduates enthusiastically learn the English language. Academic assignments which provide favourable environment in classroom practices are widely used and deserve a separate investigation, similar to the one, carried out by Beard and Wilson (Beard, Wilson, 2015). The PR undergraduates are happy to be able to quickly learn professional vocabulary for the formal organization and conference holding whether they are held face-to-face or online. It should be noted here that it is essential to develop reading competences. Reading as such has always been important for learning languages. The texts do not only inform us about different facts and situations but even academic texts are able to exert feelings and emotions on part of the PR undergraduates. There are scholars who think that reading a text is the key to cognitive interacting within the text with the purpose of extracting meaning from it, in this case the reader and the author get involved into (Nuttal, 2008). The success of reading is the result not only of

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the language knowledge application, but also of the complex cognitive brain function as it is abundant of abbreviations and other symbolic expressions. PR texts present a certain difficulty for PR undergraduates that are not very well prepared (Мinyar-Beloroucheva et al., 2020a). PR undergraduates should get pleasure in reading and understanding the words, grammar and syntax of the English texts, which function in the PR discourse and are used in by them in their reports during the role-play conference. This method of learning languages is sure to reveal new horizons in the perception of the world and the new worldview. To choose a subject matter for their reports the PR undergraduates need to study and analyze various sources and texts of professional discourse in English. The Role of the teacher in the Preparation for academic conferences The role of the teachers in this process is very important as for the successful result they are obliged to find out the strengths and weaknesses as well as other psychological particularities (Vishnyakova et al., 2020a) of the PR undergraduates to create a favorable climate in class. It is the teacher who can help the PR undergraduates overcome the initial language barrier, defeat self-distrust, make them believe in their own ability and support them in not being afraid of making mistakes. Traditionally the undergraduates know the acquired material, can operate with it, but cannot utter a word, as they fear to fail, which they are not psychologically prepared for. It is very important for the PR undergraduates to know that the teacher is a collaborator, a person who wants to facilitate the process of their L2 learning. Recent research has shown certain effectiveness of collaborative and cooperative method for target language acquisition (Badjadi, 2020). Likewise, they should keep in mind that they and the teacher are "in the same boat" and are aimed at achieving the goal. In fact, the preparation for the academic conferences should be initiated right from the very beginning of the PR professional education and should be included in the PR Department curriculum. As a rule, the acquisition of a foreign language starts with theory and practice of phonetics. The simplest specific phonetical

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sounds may cause certain difficulties brining about ambiguity or unintended mistakes. Moreover, the sound of the PR undergraduates should be in full accordance with the Standard English. It is being a complicated linguistic notion that has brought about multifarious research on part of the greatest linguists in the World Englishes paradigm (Kachru, 1998; Kirkpatrick, 2007; Proshina, 2019). Within the standard variety of English phonetics is purified on the material of grammar structures and lexical units typical of the PR discourse. Concise meaningful phrases contribute and facilitate the professionally oriented English fluency. Every teacher of English should seize the chance to get the undergraduates involved in the process of learning regardless of their previous academic achievement. The PR undergraduates should be inspired to be confident in speaking English within the professional PR discourse in a short period of time. They should be ensured to be able to acquire new knowledge due to their belief in their language ability. It should be noted though that to assure the PR undergraduates in their ability to learn the English language is not sufficient. It is necessary to introduce new phrases to the PR undergraduates to prepare them for creating and making their reports at the conference. The PR undergraduate speakers are to know the package phrases for the beginning of the report such as “I could begin by saying that…”, for the continuation of the report " I think I should mention here that …", transition to a new aspect “Now we could turn our attention to …”, verification “Would it be true to say that…”, expressions of doubt “It is very doubtful how...” and assurance “There can be no doubt as to...” and conclusion “It would be useful to summarize what I have said so far” and other essential expressions. The phonetic aspect should not be set aside here as well (Council of Europe, 2018). It is necessary to emphasize that for some PR undergraduates who have difficulties with the Received pronunciation (RP), the phonetic drill never loses its relevance during the whole process of mastering PR English. The pie chart in Fig.1 demonstrates the difficulties the PR undergraduates encounter in preparing for the professionally oriented academic conference conducted in the English language.

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Major difficulties in preparing for L2 conference

the choice of topic

insufficient knowledge of language

insufficient time

lack of confidence

Figure 1. Major difficulties in L2 conference preparation (Own authorship) As shown in Figure 1, for an effective students’ conference report, four aspects should be taken into account. They are the choice of topic, insufficient time, insufficient knowledge of English, lack of confidence. According to the conducted survey, more than 50 per cent of the effective report depends upon the choice of the topic. The line graph in Figure 3 demonstrates it. Insufficient knowledge of L2 is the second obstacle on the way of making efficacious reports. To prepare a good report for the academic conference PR undergraduates need time. Lack of time is considered to be one of the greatest scourges of the PR undergraduates (although its percentage is the smallest on the pie chart) who attempt to write their reports the day before the students’ conference. It is a conventional way for the undergraduates, as they do not want to do anything that is not connected with their immediate duties. What is more, lack of confidence can spoil even the best report. The Role of the PR Undergraduates in preparation for academic conferences In the process of preparation for the academic conferences, much of the work can be performed independently by the PR undergraduates. By means of modern technologies, audio and video podcasts it becomes possible to hone the pronunciation skill, taken the academic use of their PCs and other devices for advanced learning (Sim, Butson, 2014). During the semesters’ work, the PR undergraduates can actualize their

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grammar knowledge on the vast material of professional texts, practicing them in dialogues and individual speeches or reports, which helps them in their activities, retain the learnt lexical units and grammatical structures. Reading the professional PR texts, the undergraduates gradually gain confidence in their awareness of professional knowledge and the ability to grasp the professional literature. Along with this process, reading also helps develop the analytical skill. Thus, it allows us to speak of the future success of the teacher’s efforts provided he/she has managed to combine the cognitive and the emotional aspects (MinyarBeloroucheva et al., 2018). The PR undergraduates should learn how not to be afraid of asking comprehension questions, as communication and discussion constitute a dialogue, when interlocutors ask and answer questions. Therefore, the participants will ask questions and discuss the topics, raised in professional texts. The teacher in his/her turn should not interfere into the dialogue, but put down the mistakes and point at them at the end of the exercise. The importance of L2 academic conferences has been analyzed with the help of students’ responses to the questions given to them. The bar chart in Figure 2 shows the opinion of the PR undergraduates.

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The importance of conferences in English for the development of language skills 9 8 7 6 5 4 3 2 1 0 not in the least useful

not very useful

useful

rather useful

extremely useful

Figure 2. The importance of L2 conferences assessed by the PR undergraduates (own authorship) This bar chart compares different levels of the importance of the professionally oriented academic conference in English for the development of language skills. The bar that reaches the highest point indicates that the PR undergraduates consider students’ conferences to be useful for the development of their language skills. The lowest point hits the bar indicating that academic conferences are not in the least useful for the PR undergraduates’ development language skills. Three other bars demonstrate the opinion of the PR undergraduates who believe that students’ conferences are not very useful, rather useful or extremely useful. The choice of scientific issues Not all of the undergraduates who pursue the education in the sphere of Public Relations will necessarily become theorists PR management or PR practitioners, but their participation in the conference, the opportunity to take part in round table discussions and panels are very important for the future PR specialists’ activities, as it leads to the study of the necessary materials and scrutinizing submission procedures. The main issue in preparing for the conference of the PR undergraduates is the choice of the topic and the selection of original English-language literature, academic articles and various Internet sources for the research. The selection of the sources is very important as eventually it can bring about the discussions at the conference, resulting in heated debates, since the Englishlanguage sources used by the PR undergraduates can be often unknown to the participants of the conference and thus are not always favorably accepted. The debates on such topics can be

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controversial and presented from unconventional points of view, as for example, the topics of environmental protection (MinyarBeloroucheva, Sergienko, 2021) or other social issues (Sergienko et al., 2021). At first sight, it seems that in the context of the Internet prevalence, the choice of literature seems to be a simple task, but in fact, for the PR undergraduates with a low level of English this becomes a serious obstacle. Here, they do usually resort to the help of electronic dictionaries and translators, as well as the teacher. When preparing the PR undergraduates for the conference, teachers of English are advised to divide their students into groups depending on their language proficiency. The first group includes the PR undergraduates who are fluent in English within the framework of the curriculum and even a little over it. They have no difficulties in coping with any. These PR undergraduates are able not only to find original information in English, which has no analogues, for example, in Russian, but also to deliver a message in English. Such students are able not only to find the original information in English independently, do a certain research and analysis, but also make a report in English. The second group should include less academically successful PR undergraduates. These PR undergraduates can also find original foreign-language materials on their own, but public speaking in English is fraught with some difficulties. The role of the teacher in this case is increasing.

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76 Finally, the third group of the PR undergraduates are the weakest students catching up with the curriculum. They would mainly rely on the information found in their native language and then translate it into English for their report. This allows them to be more confident in the research and then just train their presentation in English. That would be fair enough to claim that the undergraduates’ investigations make little contribution to science but are supposed to be extremely useful for their language knowledge development. Moreover, not all of the undergraduates pursuing the education in the sphere of PR will necessarily become scientists or politicians, but their participation in the conference, the opportunity to take part in round table discussions and panels all this leads to the life-like experience of the PR experts and proves a good challenge to achieve the goal and to succeed. It should be emphasized that before taking part in a real international conference, the PR undergraduates should learn to hold them at the local, or the department level, at the faculty, at the level of different faculties of the same university, at the level of different universities of the country and finally at the level of different universities in the world. Accordingly, even the weakest undergraduates tend to be on equal terms with strong undergraduates, which motivates them to work much more than their more successful fellow-students. Accordingly, even the weakest students tend to be on equal terms with strong PR undergraduates, which motivates them to work much more than their more successful fellowstudents. For those who have a lower level of knowledge of English, it is possible to recommend conventional topics to be presented at the conference. Current topics arouse the greatest interest and, as a rule, questions arise concerning their coverage in the from abroad Media. The choice of the actual topics of PR undergraduates may vary. As an illustration of it you may see the cited topics, chosen by the PR students at the Lomonosov State University in 2019 to participate at the annual conference on Humanitarian Problems of the Modern Society in the English language:

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The relevance of Public relations for present-day Indian society: the shine and poverty; European identity crisis in the 21st century in the coverage of PR papers; Youth environmental activism and environmental activities; The decrease of TV loyalty level as a social problem in modern Russia; PR vs Advertising: a study of ‘Procter and Gamble’ press-releases; Women in emigration: a study of PR papers; The rise of ‘green’ politics in PR discourse; The influence of social media on public behaviour; Creativity as a way of PR campaigns realization; Generally speaking, it can be claimed that regardless of the choice, the PR undergraduates take the research work seriously and spare great effort for it. Most acute topics are of the greatest interest and, as a rule, questions arise regarding their coverage in the international Media. Thus, the participation of undergraduates in the conference can help in solving several problems at the same time. Primarily, the PR undergraduates develop competence to work with foreign-language electronic sources, the ability to extract the necessary information from texts and understand the meaning of the message. Secondly, the very form of a scientific conference for undergraduates is extremely attractive, which consists in the ability to see their names in the conference program, the ability to publish abstracts or messages, to obtain a participant’s certificate, and enjoy a cultural programme. As a result, many undergraduates who did not participate in the conference subsequently expressed requests and wishes for participation in subsequent conferences. Thirdly, the promotion and popularization of L2 academic conferences did not influence only potential participants, but also all other undergraduates, even less successful in the subject. A survey was conducted among the PR undergraduates to find out the major factors defining the choice of the topic of the report. Figure 3 demonstrates the most common answers to the question.

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The reasons for the choice of the PR undergraduates' reports

12 10 8 6 4

2 0 the availability of the well-know subject English-speaking sources studied in the curriculum

the media couverage

the relevance of the issue for the undergradute's research

Figure 3. The L2 academic conference topic choice (own authorship) This line graph represents how data have changed as a result of a responsible approach to the choice of the topic for its presentation at the academic conference. This chart demonstrates that for the proper choice of the topic for the afore mentioned conference, its subject should not only be well known to everybody due to its coverage in the Mass media. Figure 3 shows that the availability of the English-language sources can be of great help. The line rises with the increased number of the necessary English-language sources that are required for a sustainable conference report. Moreover, for the participant to be successful the topic of the conference report should be relevant to the undergraduate’s research paper topic. The graph line goes up the growing relevance the PR undergraduates’ research and the topics of conference reports. This chart shows how the success of the choice of the topic vary within the undergraduate’s preparation for the PR undergraduates’ conference. Conclusions As it has been demonstrated, the real life-like experience educational games within the leaneroriented approach can be described as a favorable factor of L2 acquisition. As it facilitates this process of learning because besides pleasure, i.e. the esthetic interest, a game makes the PR undergraduates be engaged in active learning when they use the grammar constructions or the vocabulary naturally and unconsciously. The same may refer to any of professionally oriented undergraduates in terms of L2 acquisition, in particular PR undergraduates. The preparatory work is a rather prolonged stage and it can hardly be regarded as a soft one and should be understood as a kind of a rehearsal of the http:// www.amazoniainvestiga.info

professional conferences. This idea encourages the PR undergraduates to be creative and improvise in the course of the preparatory work. The learning of foreign languages based on games, creates a favorable milieu in which it is possible to experiment by choosing different actions along the way. To learn how to hold a conference, PR undergraduates can watch documentary video films dealing with real conferences. The preparation for the conference requires much time and planning on the part of the teacher as well. With the recent trend of distance L2 acquisition the preparatory work for the professionally oriented academic conferences becomes more relevant. Online student conferences expand the geography of the participants, as the limits of the borderline dissolve. Summing up, we may conclude that the participation of the PR undergraduates in academic conferences, pseudo-professional forums and discussions is an effective approach to teaching professionally oriented English. In general, participation of the PR undergraduates in academic conferences should be regarded as a traditional form of activities in L2 acquisition, in general, participation of the PR undergraduates in academic conferences should be regarded as a traditional form of activities in L2 acquisition, viewed as subject to enrichment in the process of practical implementation. Bibliographic references Badjadi, N. E. I. (2020). Learner-Centered English Language Teaching: Premises, Practices, and Prospects. IAFOR Journal of Education:

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78 Language Learning in Education, 8(1), https://doi.org/10.22492/ije.8.1.01 Beard, C., & Wilson, J. P. (2015). Experiential learning: A handbook for education, training and coaching. (3rd ed.). London: Kogan Page. Brown, Ch., & Ainley, K. (2009). Understanding International Relations. Third Edition. L.: Palgrave. Council of Europe. (2018). Common European framework of reference for languages: Learning, teaching, assessment. Companion volume with new descriptions. Council of Europe. Retrieved from https://rm.coe.int/cefr-companion-volumewith-new-descriptors-2018/1680787989 Crystal, D. (1997). English as a Global language. Cambridge: Cambridge University Press, p.2 1997. Duff, P. (2018). Case study research in applied linguistics. New York: Routledge. Larsen-Freeman, D. (2007). Techniques and Principles in Language Teaching. Cambell, Russel. N& William E. Rutherford (Eds.). (2nd ed). Oxford: Oxford University Press. Kachru, B. B. (1998). English as an Asian Language. Links and Letters, 5, 89-108. Kirkpatrick, A. (2007). World Englishes: Implications for International Communication and English Language Teaching. Cambridge: Cambridge University Press. 257 p. Kolb, D. A. (2015). Experiential learning: Experience as the source of learning and development. New Jersey: Pearson Education (US). Malyuga, E.N. and Tomalin, B. (2017). Communicative strategies and tactics of speech manipulation in intercultural business discourse. Training, Language and Culture. 1(1), 28-45. doi: 10.29366/2017tlc.1.1.2 Minyar-Beloroucheva, A.P. (2012). EnglishRussian phrases of scientific speech (EnglishRussian phrases of academic speech. M.: Flinta. Мinyar-Beloroucheva, A.P., Sergienko, P.I., Vishnyakova, E.A., & Vishnyakova, O.D. (2020a). Semantic and Cognitive Communicative Aspects of Abbreviation in the Modern English Discourse Varieties. International Journal of English Linguistics, 10, (1), 26-36 DOI: 10.5539/ijel.v10n1p26 Minyar-Beloroucheva A., Sergienko P., Vishnyakova E., & Vishnyakova O. (2020b). New Linguiodidactic Challenges In Teaching Professionally Oriented English As Referred To PR-Education. European Proceedings of Social and Behavioural Sciences, Future Academy (online), 97(TILT), с. 539-547 doi:10.15405/epsbs.2020.12.02.72 URL: https://www.europeanproceedings.com/article/1 0.15405/epsbs.2020.12.02.72

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Minyar-Beloroucheva, A, Sergienko, P., Vishnyakova, O., & Vishnyakova, E. (2018). Modern technologies in teaching professionally oriented foreign language to the students of politics. ICERI2018 Proceedings. 11th International Conference of Education, Research and Innovation. Seville, Spain. Edited by L. Gómez Chova, A. López Martínez, I. Candel Torres. IATED Academy iated.org Seville, SPAIN, 2018. 7967–7975. https://doi.org/10.21125/iceri.2018.0043 Minyar-Beloroucheva, A., & Sergienko, P. (2021). The language of ecology within the frame of public relations discourse. Rural Environment. Education. Personality, 14, 147– 154. doi: 10.22616/ REEP.2021.14.016 Nistor, V. M., Samarasinghe, D. A. S. (2019). Academic Staff Induction and Assessment on Implementing Experiential Learning and Reflective Practice. IAFOR Journal of Education, 7(2). https://doi.org/10.22492/ije.7.2.08 Nuttal, Chr. (2008). Teaching Reading Skills in a foreign language. Oxford: Macmillan Heinemann. Proshina, Z. G. (2019). Elaborating on the expanding circle. World Englishes, Vol. 38, 233–244. DOI: 10.1111/weng.12371 Saussure, de F. (1983). Course in General Linguistics. Eds. Charles Bally and Albert Sechehaye. Trans. Roy Harris. La Salle, Illinois: Open Court. Sergienko, P., Minyar-Beloroucheva, A., Vishnyakova, O., & Vishnyakova, E. (2021). Social PR campaign in promoting sustainable education within urban environment// SHS Web of Conferences, No. 98. 05033–05033. doi: 10.1051/shsconf/20219805033 Sim, K., & Butson, R. (2014). To What Degree Are Undergraduate Students Using Their Personal Computers to Support Their Daily Study Practices? IAFOR Journal of Education, 2(1). https://doi.org/10.22492/ije.2.1.06 Vishnyakova, O, Minyar-Beloroucheva, A., Sergienko, P., & Vishnyakova, E. (2020a). Harmonizing different cognitive styles through reading, Paper presented at the 5th International e-Conference on Studies in Humanities and Social Sciences 5IeCSHSS. Serbia Belgrade. Retrieved from: http://centerprode.com/openconferences.html Vishnyakova, E., Vishnyakova, O., MinyarBeloroucheva, A., & Sergienko, P. (2020b). L2 teaching to PR undergraduates through theatre techniques elements. In T. V. Petkova & V. S. Chukov (Eds.), 6th International e-Conference on Studies in Humanities and Social Sciences: Conference Proceedings, 1-14. 24 December 2020, Belgrade: Center for Open Access in

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Science. https://doi.org/10.32591/coas.econf.06.01001v Vishnyakova O.D., & Vishnyakova, E.A. (2019). National cultural aspects of linguistic creative interpretation of the reality. Scientific reports of Belgorod State University. The Humanities Series, 38(1), 23-24. (in Russian). URL: https://cyberleninka.ru/article/n/natsionalno-

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kulturnye-aspekty-lingvokreativnogoosmysleniya-deystvitelnosti/viewer Vygotsky, L. S. (1982). Thinking and speaking (Thought and language) Vol. 2. Pedagogy. Moscow (in Russian). Vygotsky, L. S. (1978). Mind in Society. M. Cole, ed. Cambridge, Mass.: Harvard University Press.

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Darahan, V., Boiko, O., Rohalska, V., Soldatenko, O., Lytvynov, V. / Volume 10 - Issue 42: 80-92 / June, 2021

DOI: https://doi.org/10.34069/AI/2021.42.06.8 How to Cite: Darahan, V., Boiko, O., Rohalska, V., Soldatenko, O., & Lytvynov, V. (2021). Structural-functional providing of the operativeinvestigative crime prevention in the field of public procurement in Ukraine. Amazonia Investiga, 10(42), 80-92. https://doi.org/10.34069/AI/2021.42.06.8

Structural-functional providing of the operative-investigative crime prevention in the field of public procurement in Ukraine СТРУКТУРНО-ФУНКЦІОНАЛЬНЕ ЗАБЕЗПЕЧЕННЯ ОПЕРАТИВНОРОЗШУКОВОЇ ПРОТИДІЇ ЗЛОЧИНАМ У СФЕРІ ДЕРЖАВНИХ ЗАКУПІВЕЛЬ В УКРАЇНІ Received: May 1, 2021

Accepted: June15, 2021

Written by: Valerii Darahan34 https://orcid.org/0000-0003-1735-2371 Oleksii Boiko35 https://orcid.org/0000-0002-2316-4871 Viktoriia Rohalska36 https://orcid.org/0000-0002-6265-0469 Olena Soldatenko37 https://orcid.org/0000-0002-6587-0280 Valerii Lytvynov38 https://orcid.org/0000-0003-4186-4035 Abstract

Анотація

The aim of the article is to determine the readiness level to prevent crime in the field of public procurement by the criminal police units of the National Police of Ukraine. The methodological basis of the study is the Constitution of Ukraine, other domestic legislative and other normative acts which regulate operational-search activities and criminal procedure, general theoretical and special legal literature, which show the topic under study, and encyclopedic sources. The method of analysis, the system-structural method, sociological methods (questioning, interviewing), formal-logical method, comparative method, modeling method are used in article. To achieve the goal of the article in the structure of the criminal police of the National Police of Ukraine were identified unites which carry out operational-search crime prevention in the field of public procurement,

Метою статті є визначення рівня готовності підрозділів кримінальної поліції Національної поліції України до протидії кримінальним правопорушенням у сфері державних закупівель. Методологічною основою дослідження є Конституція України, інші вітчизняні законодавчі та інші нормативні акти, що регулюють оперативнорозшукову діяльність та кримінальну процесуальну діяльність, загальнотеоретична та спеціальна юридична література, що відображає досліджувану тему, а також енциклопедичні джерела. У статті використані метод аналізу, системноструктурний метод, соціологічні методи (опитування, інтерв'ювання), формальнологічний метод, порівняльний метод, метод моделювання. Для досягнення мети статті у структурі кримінальної поліції Національної поліції України були визначені підрозділи,

Doctor of Law, Associate Professor, Head of the Department of Operational-Investigative Activities, Dnipropetrovsk State University of Internal Affairs, Dnipro, Ukraine. 35 PhD, Associate professor of the Criminal Procedural Law Department, Dnipropetrovsk State University of Internal Affairs, Dnipro, Ukraine. 36 PhD, Associate Professor, Associate professor of the Criminal Procedural Law Department, Dnipropetrovsk State University of Internal Affairs, Dnipro, Ukraine. 37 PhD, Associate Professor, Associate professor of the Criminal Procedural Law Department, Dnipropetrovsk State University of Internal Affairs, Dnipro, Ukraine. 38 PhD, Associate professor of the Criminal Procedural Law Department, Dnipropetrovsk State University of Internal Affairs, Dnipro, Ukraine.

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analyzed the structure of the units and determined their functions in crime prevention. The results of the study show that the structural and functional support of the operationalsearch crime prevention in the field of public procurement by the criminal police is not at the proper level. Keywords: Public procurement, structural and functional support, operational-search prevention, the National Police of Ukraine, criminal police.

які здійснюють оперативно-розшукову протидію кримінальним правопорушенням у сфері державних закупівель, здійснено аналіз структури таких підрозділів та визначено їх функції у протидії кримінальним правопорушенням. Результати дослідження показують, що структурно-функціональне забезпечення оперативно-розшукової діяльності кримінальної поліції з протидії кримінальним правопорушенням у сфері державних закупівель знаходиться на недостатньому рівні. Ключові слова: Державні закупівлі, структурно-функціональне забезпечення, оперативно-розшукова профілактика, Національна поліція України, кримінальна поліція.

Introduction The law enforcement function is one of the main and determining functions in the state. The development of theoretical and practical model of policing is an important direction of the state policy of Ukraine and other foreign countries. It`s certainly determines the necessity of “About the National Police” Law of Ukraine adopted in 2015 as an important step in the country's law enforcement system reforming (Kosytsia, 2016). The reforming of the law enforcement system in Ukraine began with the creation of the National Police. The experience of Georgia and its model of reforms implementing in the sphere of internal affairs were taken as a basis and Georgian specialists were invited for the practical implementation of reforms (Filshtein, 2015). Experts from the International Center for Policy Studies point out rightly that there is no detailed, step-by-step plan of the reform (implementation plan) as a single systemic and holistic document. The shared vision of reforming is based only on changes in the most problematic divisions and their work is most visible to society. It indicates its unsystematic nature (Kishchenko, 2015). Today Ukraine continues the process of reforming of the internal affairs bodies and the law enforcement system in general. The fluidity of both external and internal factors show a clear need for the continuous improvement of the structural-functional structure of the units of the National Police of Ukraine. It determines the need for timely scientific analysis and development for their implementation in practice.

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The reforming of the system of internal affairs bodies influenced much the structural- functional structure of individual units of the National Police of Ukraine. Most of them were significantly reduced and some units were completely eliminated. Short period passed after the start of the reforming internal affairs bodies. But there is significant number of errors in the structuralfunctional structure of individual units of the National Police of Ukraine today. As practice shows the police do not have enough authority today to perform its duties. It needs an additional review of the National Police officers’ status (Hlukhoveria, 2016). The aim of the article is to determine the readiness level to prevent crime in the field of public procurement by the criminal police units of the National Police of. To solve this goal the following tasks were set: 



to separate the units of the structure of the criminal police of the National Police of Ukraine which realize operational-search crime prevention in the field of public procurement ; to study the structure of the units and determine their functions in public procurement crime prevention to determine which causes affect the quality of such counteraction; to suggest ways of solving the identified problems of operational-search crime prevention in the field of public procurement

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82 by units of the criminal police of the National Police of Ukraine on the basis of the scientific literature studying. Theoretical basis The range of problems of counteracting crimes in the field of public procurement interests a significant number of scientists and practitioners. To solve the study`s tasks there is a need for an analytical review of the scientific works in this sphere. It will determine the main directions for further studying problems of operationalinvestigative counteraction to crimes in the field of public procurement in Ukraine by the criminal police. Since 2012, 8 dissertation studies for the degree of PhD in Law and 1 study for the degree of Doctor of Law have been devoted to this issue. These are studies of V.V. Daragan, M.A. Brilov, V.V. Koriak, V.A. Kucherenko, S.V. Nagachevskyi, V.R. Slivenko, Yu.V. Fedorchuk and T.A. Chasovaia. In 2012 the defence of doctoral thesis of V.V. Koriak for the degree of PhD in Law on the topic "Combating bribery in the field of public procurement by operational units of the Ministry of Internal Affairs" took place. The study dealt with the subjects of state countering bribery in the field of public procurement, their rights and powers (Koriak, 2012). At the same time, the author did not study the problems of the structure of these units. Also, the study was carried out before the reform of the internal affairs bodies and partially lost its relevance.

carried out before the reforming of the internal affairs bodies. Also in 2013 the defence of doctoral thesis of S.V. Nagachevskyi for the degree of PhD in Law took place. His study dealt with the issues of operational-search detection and documentation of crimes committed by officials in the field of public procurement (Nagachevskyi, 2013). However, the author did not study the issues of structural and functional support of operationalinvestigative counteraction to these crimes. The thesis researches of T.A.Chasovaia deals with the issues of interaction between investigative and operational units of the internal affairs bodies in countering crimes in the field of public procurement (Chasovaia, 2015). However, the author also did not study the issues of structural and functional support of operational-search counteraction to these crimes. In the thesis researches "Operationalinvestigative counteraction to crimes related to embezzlement of budgetary funds during the construction, repair and operation of highways" M.A. Brilov indicates that the current structural and functional structure of the economic protection units of the National Police of Ukraine does not meet the needs of the operational search for signs of crimes that are related to embezzlement of budgetary funds during the construction, repair and operation of highways (Brilov, 2017). However, this unit was liquidated in 2019.

Then V.V. Daragan studied topic "Disclosure of embezzlement of public funds in the procurement of goods and performance of work (services) at railway transport enterprises." The author focused on the problems of the structure of units for combating economic crime under the departments of the Ministry of Internal Affairs of Ukraine on railway transport (Daragan, 2012). However, these units were liquidated before the reform of the internal affairs bodies of Ukraine.

In 2018 V.V. Daragan defended his thesis for the degree of Doctor of Law on the topic "Theoretical and Applied Foundations of Operational Investigative Counteraction to Crimes in the Sphere of Public Procurement by the Criminal Police". The author studied the problems of structural and functional support for the activities of the economic protection units of the National Police of Ukraine in countering crimes in the field of public procurement (Daragan, 2018). However, as we have already noted, this unit was liquidated in 2019.

In 2012 the defence of doctoral thesis of V.R. Slivenko for the degree of PhD in Law on the topic "Operational-investigative counteraction to crimes in the field of public procurement" took place. The author studied the tasks and powers of the units that carry out operational-investigative counteraction to crimes in the field of public procurement (Slivenko, 2012). At the same time, the author did not study the problems of the structure of these units. This study was also

At the end of 2018 Yu.V. Fedorchuk defended his thesis for the degree of PhD in Law on the topic "Operational-investigative counteraction to the theft of budgetary funds in the procurement of medical equipment and drugs". The author concluded that it is necessary to create subdivisions of detectives with appropriate powers (in particular, subdivisions for the protection of the economy) within the structure of the National Police, The author points out that

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this will significantly improve the level of counteraction to economic crimes in general and crimes related to embezzlement of budgetary funds in the procurement of medical equipment and drugs, in particular (Fedorchuk, 2018) The study of V.A. Kucherenko on the topic "Operational-investigative counteraction to the theft of budgetary funds when carrying out specialized construction work under the state order" is the most recent study of the problems of operational and investigative counteraction by the criminal police to crimes in the field of public procurement in Ukraine. The author proposes to create a Department of Criminal police, which will function as a directorate based on the relevant departments that belong to the units of the criminal police in order to optimize the activities of the criminal police units and avoid possible problems associated with the activities of the criminal police units as part of police departments (departments) in districts and cities (Kucherenko, 2019). The analysis of these works showed that the authors didn`t study the issue of structural and functional support of the criminal police's operational and investigative counteraction to crimes in the field of public procurement after the liquidation of the economic protection units of the National Police of Ukraine. Methodology The empirical base of the study is made up of statistical data of the National Police and the General Prosecutor's Office of Ukraine, reporting by units of the Department of Strategic Investigations of the National Police of Ukraine; materials of judicial practice; materials of the questionnaire survey of 350 operational workers of the strategic investigation units of the National Police of Ukraine; the results of the study of 240 criminal proceedings on crimes in the field of public procurement, 35 cases of control and supervision proceedings and 63 cases of operational support of criminal proceedings. The methodological basis of the study is the Constitution of Ukraine, other domestic legislative and other normative acts which regulate operational-search activities and criminal procedure, general theoretical and special legal literature, which show the topic under study, and encyclopedic sources. The method of analysis, the system-structural method, sociological methods (questioning, interviewing), formal-logical method,

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comparative method, modeling method are used in article. Results and discussion It`s got to be a very negative problem of waste of funds with corruption offenses and crimes in the field of public procurement for Ukraine and other countries of the world in recent years. This state of affairs poses a common challenge for all countries of the world - the prevention and prevention of corruption during public procurement (Daragan, 2015). Criminal Policy Collection Measures of executive and judicial and legislative community is to deal with criminal behavior (Ardestani, 2017). Democratization, the entry of Ukraine into the European legal space and the adaptation of national legislation to the European Union legislation obliges Ukraine to ensure the effective functioning of institutions that will guarantee the rule of law, respect for human, civil rights, freedoms, and their effective protection (Kirichenko, 2016). Both openly and latently crimes in the economic sphere oppose society and the state. Prevention such crimes is a complex and problematic process. The state and representatives of the criminal world confrontation was a common occurrence in different historical periods. The heyday of crime in the economy and its active scientific studying in the 1930s of XX century contributed to the creation of relevant units and the formation of a number of principles of their activities (Vasylynchuk, 2004). Today the structure of the criminal police of the National Police of Ukraine includes:           

The Criminal Investigation Department; The Department of Migration Police; The Department of Combating Drug Crimes; The Department of operational services; The Department of operational technical activities; The Department of support activities with hazardous materials; The Department of criminal analysis; The Department of the protection of the interests of society and the state; The Department of Internal Security; The Department of Cyber Police; The Department of Strategic Investigations.

The analysis of legal acts that regulate the activities of these units of the criminal police led to the conclusion that the economic protection

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84 units of the Strategic Investigations of Ukraine play a key role in the operational-search prevention crime in public procurement. Some functions are also performed by the Department of Operational Services, the Department of Operational and Technical Measures and the Office of Criminal Analysis. The Department of Strategic Investigations. of the National Police of Ukraine was established as an interregional territorial body of the National Police with vertical subordination in accordance with the Resolution of the Cabinet of Ministers of Ukraine dated October 9, 2019 No. 867 (Resolution No. 867, 2019). It has crime prevention functions in the economic sphere. Vertical subordination was caused by the reason that the territorial units in the regions with functions of crime prevention in the sphere of economics and combatting corruption indirectly were depended on local authorities in the solving of social issues, logistics, the provision of various services on preferential terms and the use of kinship. It led to certain corruption risks and made it impossible to ensure effective combatting corruption fully (Zapototskii & Viazmіkіn, 2016). The Department of Strategic Investigations of the National Police of Ukraine is an integral social system. It consists of separate structural units. They interconnected by permanent relations of coordination and interaction. Such structure is due to the effective prevention organized crime. It`s the main strategic task of the whole system.

Today the Department of Strategic Investigations of the National Police of Ukraine has the following structure: the apparatus and territorial (separate) units. The structure of the territorial (separate) divisions of the Department of Strategic Investigations of the National Police of Ukraine includes the Department of Economic Protection of the Autonomous Republic of Crimea and the city of Sevastopol and the Management of Economic Protection in regions. The office consists of divisions and inter-district divisions of economic protection. Each structural unit of territorial (separate) units of the Department of Strategic Investigations of the National Police of Ukraine has its own structural and functional purpose. The divisions in the Strategic Investigations offices perform their functions according to the linear principle of specialization. It provides for the organization and implementation of prevention certain types of crimes in the sphere of the economy or crime prevention in a certain sphere (branch) of the economy by operatives. The linear principle of specialization contributes to: 1.

2. Each conditional link of this complex system has a certain functional purpose. The whole system consists of separate subsystems. The relations between the individual links of subsystems are also built on certain principles and have characteristic features which determines by the specialization of operational workers. Specialization in the divisions is related to the performance of certain tasks by detectives. It determines the principles of the division of labor between them, which form the basis of the structural-functional construction of units. According to the organizational principle of specialization all other structural elements of the system are built, but in more complex forms: departments, divisions, sectors. Thus, the organizational and functional construction of divisions is a base of the organization of their activities. It determines the thrust of using individual units` forces in the counteraction of crime (Bіliaiev, 2013).

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Improving the individual professionalism of operatives by accumulating experience, knowledge and best practices in organizing and implementing operational-search measures in counteraction of criminal activities in certain areas. Quality implementation of operational developments and realization of their materials. It is achieved by careful planning and concentration of forces and capabilities of the operational unit. Formation of a specialized unofficial apparatus and the possibility of its effective use to persons of operational interest. The possibility of a thorough analysis of the shortcomings and the results of the work (Bіliaiev, 2013).

The inter-district divisions of strategic investigations carry out their activities according to the operational-territorial (object-oriented) principle of organization. It means that they operate in a clearly defined area of operational service. Separate objects located in the operational service area for their operational overlapping assign to employees of such divisions.

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Results of a questionnaire of employees of the strategic investigations units of the National Police of Ukraine showed that about 78% of respondents are dissatisfied with such a structural-functional construction of the strategic investigations units of the National Police of Ukraine. In accordance with their functional duties, employees of the units of the Department of Strategic Investigations of the National Police of Ukraine take measures to protect budget funds from criminal encroachments, ensure the legality of applying procurement procedures for goods, works, services and targeted use of budget funds. The number of units that located in settlements has decreased significantly and the area of operational service has increased significantly after the liquidation of the economic protection units of the National Police of Ukraine and the creation of strategic investigation units of the National Police of Ukraine on their basis In our opinion, this factor negatively affects the quality of public procurement monitoring, as well as the quality of the tasks assigned to crime prevention in public procurement assigned to the strategic investigations units of the National Police of Ukraine. For example, prevention crime in the field of public procurement in the Dnipropetrovsk region is entrusted to units of the Office of the Strategic Investigations in the Dnipropetrovsk Region of the Department for the Strategic Investigations of the National Police of Ukraine. The structure of this department includes only one inter-district department that is located in Krivoy Rog city (647 thousand inhabitants). That is why there is no inter-district department in such large cities as Kamenskoe (240 thousand inhabitants), Nikopol (116 thousand inhabitants), Novomoskovsk (71 thousand inhabitants), Pavlograd (109 thousand inhabitants). At the same time, the question arises about the quality of operational services for state enterprises, institutions and organizations which carrying out public procurement located in these settlements, since they are located at a considerable distance from the location of strategic investigation units. Despite those problems, there are several other problems in the structural- functional structure of the strategic investigations units of the National Police of Ukraine today. They arise in the process of implementation of the workers duties of the

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specified units. In particular, there are certain problems associated with the conduct of secret office work and the establishment of interaction with investigative units. The first problem arises in the inter-district Departments of Strategic Investigations, because they do not have regime-secret sectors in terms of their location. Employees of these departments compile all the documents in the placement of regime-secret sector of the Strategic Investigations Department in the regional center. Their special suitcases with operational-search cases and other cases which were marked as classified are stored there as well. The implementation of operational investigative activities involves the preparation of documents with information classified as a State secret. That is why an employee of the interdistrict Department of Strategic Investigations should move from the place of stationing the department to the regional center to draw up such document. And in some cases such distances exceed 100 km. This circumstance leads to a loss of interest in the operational work of employees of these departments and adversely affects the level of resistance to crimes in the economic sphere and in the field of public procurement in particular. The second problem arose in connection with the separation of the strategic investigations units from the territorial units of the National Police. In particular, cases of crimes which are detected by divisions` workers at the strategic investigations` offices are usually investigated by workers of the investigation offices at the National Police Headquarters in the regions or by the investigation divisions at the police departments in the regional centers where the corresponding offices for the strategic investigations is located. There are almost no problems with the organization of interaction between these units. The main problem in establishing cooperation with the investigative units is the qualification level of individual employees of the investigative divisions. Not all employees of investigative offices have an appropriate level of knowledge in the field of public procurement and especially experience in investigating crimes in this area. There is more difficult situation in the interdistrict divisions of strategic investigations. If employees of the inter-district divisions of strategic investigations detect crimes, it investigates by the investigative units of the police departments (departments) of the territory where the crime was committed. The problem here is in a large service area of such Strategic

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86 Investigations Departments. We described it above. An operational workers which work in a single district center are not able to qualitatively carry out operational support of criminal proceedings, which is conducted by an investigator with the place of work located in 3050 kilometers from the place of deployment of the operational unit. Even in the case when both the operational strategic investigations unit and the investigative unit (in which criminal proceedings are located) will be located in one place, this would not solve the problem of the qualification of the investigators. As the results of the study showed, in the vast majority of cases only the investigative offices have workers which are specializing in the investigation of criminal offenses of this category. Most of them are former employees of the economic protection units who came under a reduction in the reforming process of the internal affairs agencies and changes in the structural and functional structure of the strategic investigations units. Another part of the investigators, in particular, the police working in the territorial offices (units) have bad knowledge in economic processes and do not have relevant experience in investigating crimes in the economic sphere in the field of public procurement. In our opinion, this problem can be solved only by changing the status of the operational officer of the strategic investigations unit to a detective. In 2018 the “Police Detectives” project was introduced in the eight regions of Ukraine. They are Kiev, Zaporozhe, Lvov, Odessa, Poltava, Sumy, Kharkov and Khmelnitskyi regions. About 90% of the personnel of criminal police units were transferred to the status of “investigators”. The remaining 10% of employees perform direct duties of the criminal police. The experiment was introduced in order to find the optimal balance between the Institute of Investigators and the Institute of Detectives. At the same time, it is not clear how the strengthening of some units (investigators) and a significant weakening of others (operational) by conducting an experiment without combining their rights and responsibilities in a detective will allow finding an optimal balance between the Institution of Investigators and Institute of Detectives. The reform process should be based on the achievements of the global police community, the international legal and European policing

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standards. Therefore, balanced use of international experience and proven practice is important to update the legislation and improve the effectiveness of law enforcement. The institute of police detectives exists in the Scandinavian countries, Germany, the USA and other countries with a stable democracy. There are a number of differences between them in the level of authority, models of interaction with the prosecutor's office and etc. At the same time, they all are united by the fact that one person collects the evidence and records them in the procedural documents. This person is responsible for the quality of the work done – the preparation and sending of the indictment to the court. Therefore, the detective is interested in highquality work on the criminal case from the beginning to the end (Krapyvin, 2017). In our opinion, introduction of the institute of detectives should be carried out following the example of the institute of detectives of the National Anti-Corruption Bureau of Ukraine. In particular, the Law of Ukraine "About the National Anti-Corruption Bureau of Ukraine" provides that the structure of the offices of the National Bureau can include units of detectives that carry out operational investigative and investigative actions. It means that such person should combine the operational worker`s and investigator`s functions. For the introduction of the Institute of Detectives in the National Police it is necessary to define the concept of “detective”, its tasks and powers in the National Police at the legislative level (Vasilinchuk, 2016). In our opinion, in this case such structuralfunctional changes should apply only individual units of the structure of the criminal police:     

Department of Combating Trafficking in Persons; Department of combating drug crime; Homeland Security Department; Cyber Police Department; The Department of Strategic Investigations.

The need of introducing of such changes is caused not only by problems in establishing interaction with the investigation units, but also by the specifics of the activities of the units of the structure of the criminal police of the National Police of Ukraine and by the specifics of identifying and documenting crimes in each area of activity etc.

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The introduction of operational and technical measures into the structural and functional constructing of units of strategic investigations of the National Police of Ukraine was a positive change which ensured the implementation of operational and technical measures in a much shorter time and also increased the level of interaction between these units. It can be concluded that today the structural and functional construction of the strategic investigations units of the National Police of Ukraine is not able to provide activities to crime prevention in public procurement at the appropriate level and it needs qualitative changes in its constructing. The authors and the 72% of the survey respondents think that the old structure of units was more effective in the economic sphere crime prevention (the State Service for Combating Economic Crime). The relevant sectors (divisions) were located at each district police station. That made it possible to respond quickly and effectively to changes in the operational environment in the service area. Besides, the structure made it possible to form operational service areas and its levels. The regulatory support of the activities of the strategic investigations units of the National Police of Ukraine has an important function in the formation of the functional support of the operational-search crime prevention in the field of public procurement. The need of improving the legal regulation of operational-search activities in this area is caused by changes in the conditions that determine the dynamics, structure and characteristics of economic crimes; deficiencies in their qualifications; the emergence of criminogenic factors inherent in the market economy; qualitative changes and a sharp increase in economic crime, its organized forms; the emergence of new types of economic crimes, as well as the need to ensure equal protection of all forms of property from criminal encroachments (Pysarchuk, 2016). The Department of Strategic Investigations of the National Police of Ukraine is guided in its activities by the Constitution and laws of Ukraine, by the Acts of the President of Ukraine and the Cabinet of Ministers of Ukraine, as well as other legislative acts of Ukraine adopted in accordance with the Constitution and laws of Ukraine, including regulatory acts of the

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Ministry of Internal Affairs (order No. 1077, 2019). The Criminal and Criminal Procedure Codes of Ukraine, the laws of Ukraine on operational investigative activities, the prosecutor's office, the National Police are legal basis for the activities of the operational units of the Department of Strategic Investigations of the National Police of Ukraine. The activities of the Department of Strategic Investigations of the National Police of Ukraine are regulated by the Regulations on the Department of Strategic Investigations which is approved by order of the National Police of Ukraine dated October 23, 2019 No. 1077 (order No. 1077, 2019). The Regulations on the Department of Strategic Investigations define the tasks and functions of the Department. As for organizing the activities of the Department of Strategic Investigations, the Regulations define the issue of organizing activities only in the context of the specifics of the appointment and dismissal of the head of the Department of Strategic Investigations, his rights and functions. The Regulation also defines the rights of employees of the Department of Strategic Investigations. At the same time, the competence of the Department of Strategic Investigations of the National Police of Ukraine includes the identification of 86 elements of economic crimes in 65 sectors and spheres of the economy (Zapototskiy & Viazmіkіn, 2016). However, based on the functions assigned to the Department of Strategic Investigations of the National Police of Ukraine, the rights granted to them do not make it possible to fully implement them. 74% of the interviewed employees of the strategic investigation units of the National Police of Ukraine indicated the lack of key rights that make it possible to efficiently carry out operational-investigative counteraction to crimes in the field of public procurement. A wide list of tasks that are solved by the units of strategic investigations of the National Police of Ukraine determines the need for the scientific organization of the system of their structuralfunctional construction. Deficiencies in the structural-functional construction of such units negatively affect the quality of the performance of their functions in prevention economic crime in general and crimes in public procurement in particular.

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88 In our opinion, the workers` rights list of the strategic investigations units of the National Police of Ukraine requires expansion. Additionally we need to take into account that the process of crime prevention in the economic sphere needs the continuous collection and processing of information from enterprises, institutions and organizations of various forms of ownership. That is why the regulation of these units` activities should be fixed not in a departmental order, but in a clause of the Cabinet of Ministers of Ukraine. The results of employees’ survey of the strategic investigations units of the National Police of Ukraine showed that an assessment of the activities of these units needs an individual departmental regulatory settlement. Besides, 93% of respondents indicated that crime prevention indicators should be included in such criteria (Brilov, 2017). The absence of such evaluation criteria leads to the fact that the employees of these departments almost do not carry out activities to prevent crimes in the field of public procurement, because only the number of solved crimes (announcement of suspicion by a person) influences the level of evaluation of the activities of their departments. This leads to the fact that employees of strategic investigations units of the National Police of Ukraine are waiting when crime will be committed at the stage when it can be prevented. This means that employees exercise control over criminal activities which is fundamentally wrong, in our opinion. At the state and local levels the presence of an evaluation mechanism is important for effective police management. All this determines the relevance of a radical revision of the assessment system of the National Police (Bugaichuk, Sviatokum & Chumak, 2017). The results of the analysis of national and foreign experience showed that the following indicators should be included in the criteria for evaluating the activities of the strategic investigations units of the National Police of Ukraine: 

 

the number of reported crimes with evidence of acts of corruption and other economic crimes, including serious and particularly serious crimes; the number of identified perpetrators of crimes with evidence of acts of corruption and other economic crimes; the number of identified officials who committed crimes with evidence of acts of corruption and other economic crimes,

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   



 

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including persons whose positions are included in personnel registers of the Regional State Administrations and district administrations and representatives of the authorities and officials in a responsible position; the number of reported material damage caused by crimes with evidence of acts of corruption and other economic crimes; amount of prevented damage of state economy; the number of reported corruption-related administrative offenses in the economic sphere; staffing levels of units of the strategic investigations of the National Police of Ukraine (in percent): the number of employees with work experience up to 1 year, up to 3 years, up to 5 years, over 5 years; the number of employees had been prosecuted for the corruption (economic) offences (for which court sentences came into force) and exempted from criminal liability on non-rehabilitating reasons; the number of facts of administrative (disciplinary) prosecution of employees for the offenses that create conditions for corruption or corruption (economic) offenses; the level of public confidence in the employees of the units of the Department of Strategic Investigations of the National Police of Ukraine (the results of sociological research, monitoring, polls and etc., the number of substantiated complaints about the actions and decisions of this unit); the state of prevention of corruption and economic offenses; the number of facts of detection of corruption and economic offenses in the interaction with other law enforcement agencies; indicators for the identification and compensation of material damage (real damage), including per employee; the number of reported crimes with injury of state property in organizations the control bodies checked financial and economic activities during the crimes or after its` committing; the level of informational and organizational interaction with government bodies in the fighting corruption and crimes in the economic sphere and interaction with public associations and other organizations (the presence and effective implementation of joint activities, programs that can actually

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

prevent corruption and criminal offenses in the economic sphere ); the number of cases dismissed for operational accounting because of the definition`s, decision`s and court sentence`s enters into force and due to nonrehabilitating circumstances; the number of criminal offenses removed from the register with the closed criminal proceedings according to paragraph 1, part 2 Article 1 page 284 of the Criminal Procedure Code of Ukraine (excluding those with which the pre-trial investigation was resumed by the prosecutor or the court); the number of employees who have improved their qualifications in refresher courses during the reporting period. The program of the courses should include issues of compliance with anti-corruption legislation and counteraction to criminal offense in the economic sphere.

Besides, in our opinion, indicators of prevention corruption and criminal offenses in the economic sphere in strategic areas of state policy in these areas require a separate definition. Analysis of the list of indicators and indicators for determining the effectiveness and legality of the service activities of units for combating economic crime allowed us to identify the following indicators, which, in our opinion, are advisable to include in the criteria for evaluating the activities of strategic investigation units of the National Police of Ukraine:     

 

the number of reported crimes in the public sector; the number of managers of the state budget, who were informed about the suspicion of committing criminal offenses; the number of managers of the regional budget, who were informed about the suspicion of committing criminal offenses; the number of reported crimes in the field of public procurement; the number of persons who were informed about the suspicion of committing criminal offenses in the field of the implementation of public procurement; the number of detected crimes committed by officials of state enterprises; the number of officials of state-owned enterprises who have been informed of suspected criminal offenses.

In our opinion, if the defined criteria would be included it will contribute to a proper objective assessment of the strategic investigations units of the National Police of Ukraine. http:// www.amazoniainvestiga.info

Today the field of the public procurement remains one of the priorities of the operational units of the Department of Strategic Investigations of the National Police. The indicator in this sphere takes into account in evaluating the activities of operational units. The reform of domestic law enforcement agencies is due to the state of development of Ukrainian statehood, socio-economic and political changes, increasing efforts to prevent the criminal manifestations. The priorities of changing the system of real orientations and the attitude of law enforcement specialists to their official activities come out on top. Demands for professional, personal training and education primarily for police officers are growing (Okhrimenko, 2016). Complications of the crime situation, the spread of organized crime, the emergence of new types of crime, the use of scientific and technological progress by criminal structures are making high demands to the worker of the Department of Strategic Investigations of the National Police of Ukraine as to the high-class professional. Effective identification and documentation of crimes in the field of public procurement require more knowledge. It`s not enough to have only knowledge gained in higher education institution. It is necessary to constantly expand knowledge and improve them. The urgency of improving the system of vocational training of law enforcement agencies in different countries is confirmed by the increasing need to reform law enforcement agencies of the European Union. One of the priorities is to increase the level of professional training of the police forces (Kharchuk, 2015). Nowadays the units of protection of the economy of the National Police of Ukraine do not send their employees to training courses in the public procurement. Besides, higher education institutions with specific conditions of education which provide police training began to carry out targeted training of specialists for the above departments in 2017. It should be noted that only Dnipropetrovsk State University of Internal Affairs provides the training of workers for the strategic investigations units of the National Police of Ukraine at the bachelor level. The first graduation of bachelors in this specialization will be in 2021.

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90 The lack of appropriate qualifications of employees of the strategic investigations units of the National Police of Ukraine can lead to:       

irrational use of working time; reduce of prevention, detection and documentation of crimes in the field of public procurement; negative citizens` feeling about the employees of these units; the contradictions between employees of investigative and operational units; the possibility of misleading employees of operational units by the bidders, members of the tender committee or authorized persons; illegal actions of employees of the strategic investigations units of the National Police of Ukraine.

However, even the introduction of such training for employees of the strategic investigations units of the National Police of Ukraine would not solve all the problems. Because, there is the problem of financial support for such training. A five-day course of study in the respective centers costs about 2500 UAH and a two-day course costs about 1200 UAH. In our opinion, these amounts are too excessive. Besides, in our opinion, it would be advisable to introduce such courses as part of refresher courses in higher education institutions with specific conditions of training which provide police training. This will significantly reduce the costs of such training. It should be noted that certain changes in this sphere began in the spring of 2017. Thus, the standard curriculum for advanced training of police departments of economic protection included the question of “Identification and documentation of offenses in the procurement of goods, works and services to meet the needs of the state and the territorial community”. But it was devoted only 12 training hours for the study of this issue, that is 6 classes including lectures. It is impossible to consider the specifics of identifying such crimes, even the most common ones within the allotted time, because of diversity of methods of committing crimes in the field of public procurement. And even in documenting such crimes. Therefore, we think that the consideration of this issue should be organized as a separate area of advanced training At the same time, classes on certain issues should be conducted with the help of relevant staff of the Department of Strategic Investigations of the National Police of Ukraine

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to improve the practical component of such courses. In our opinion, the advanced training program for workers in the strategic investigations units of the National Police of Ukraine should include the following issues:  

    



legal regulation of public procurement in Ukraine; the legal framework for counteraction to crimes in the procurement of goods, works and services to meet the needs of the state and the territorial community; operational-search characteristics of crimes in the field of public procurement; criminal law qualification of the main methods of committing crimes in the field of public procurement; organizational and tactical bases of operational services in the field of public procurement; use of analytical intelligence on the Internet in the operational support of public procurement processes; use of economic and legal analysis during counteraction to crimes committed in the procurement of goods, works and services to meet the needs of the state and the territorial community; use of information and analytical forecasting in counteraction to crimes committed in the procurement of goods, works and services to meet the needs of the state and the territorial community; identifying crimes committed in the procurement of goods, works and services to meet the needs of the state and the territorial community; documenting the crimes committed in the procurement of goods, works and services to meet the needs of the state and the territorial community; peculiarities of the implementation of materials for operational development of crimes related to the procurement of goods, works and services to meet the needs of the state and the territorial community.

It is also useful to decide on the need to develop algorithms for identifying and documenting certain methods of committing crimes in the field of public procurement at the level of the Office of the Department of Strategic Investigations of the National Police of Ukraine before holding such courses. Workers who are planning to visit such training should bring these algorithms at the advanced training. Such algorithms would be

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useful during training courses. Besides, scientific-pedagogical workers teaching at the courses would be able to combine the algorithms provided by practical workers into a single compendium and send it to the appropriate departments of economic protection in the regions after completion of work. Also, such compendiums will be useful for educating students at the Faculty of Economic and Legal Security. In light of the above, we can come to the following conclusions. The quality of counteraction to crimes in the field of public procurement largely depends on the professional development and professional retraining of employees of the units of the Department of Strategic Investigations of the National Police of Ukraine. The introduction of such training courses would ensure that the level of training of such workers meets the requirements of their functional responsibilities. Conclusions As a general summing up, we can say that nowadays the structural and functional support of the operative-investigative crime prevention in the field of public procurement by the criminal police is not at the appropriate level. Because the structural-functional construction of the strategic investigations units of the National Police of Ukraine is not able to provide activities of crime prevention in the field of public procurement at the proper level. Today, there is an urgent need to expand the staff of this unit and return them to each police department (division) without changing subordination. It is also will be useful to change the status of the operative employee to a detective and introduce a system of advanced training on crime prevention in the field of public procurement for employees of these units. References Ardestani, A. (2017). Iran’s criminal policy regarding economic corruptions. Amazonia Investiga, 6(11), 168-179. Retrieved from https://amazoniainvestiga.info/index.php/amazonia /article/view/607hy. Brilov, M.O. (2017). The operative-investigative prevention to the theft of public funds offences during the construction, repair and maintenance of roads. (PhD thesis). Kharkiv National University of Internal Affairs, Kharkiv. Bugaichuk, K.L., Sviatokum, І.O. and Chumak, V.V. (2017). Foreign experience in assessment of police performance and perspectives for its use in Ukraine: methodical recommendations. Kharkiv National University of Internal Affairs, 52 p.

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Bіliaiev, V.O. (2013). Modern problems of improving the structural and functional construction of criminal prosecution units. Scientific Journal of the Dnipropetrovsk State University of Internal Affairs, № 1, pp. 480-487. Chasova, T.О. (2015). Interaction of investigative and operational units of the police in combating crimes in the field of public procurement. (PhD thesis). Kharkiv National University of Internal Affairs, Kharkiv. Daragan, V.V. (2012). Investigation of embezzlement of public funds during the procurement of goods and delivery of goods at the enterprises of retail transport. (PhD thesis). Dnipropetrovsk State University of Internal Affairs, Dnipropetrovsk. Daragan, V.V. (2015). Crime in the area of public procurement and its relation to corruption crimes. Legal Science and Practice-Bulletin of Nizhniy Novgorod Academy of the Ministry If the Interior of Russia, №3 (31), pp. 61-64. https://cyberleninka.ru/article/n/prestupnost-vsfere-gosudarstvennyh-zakupok-i-ee-vzaimosvyazs-korruptsionnoy-prestupnostyu WOS: 000422016700010. Daragan, V.V. (2018). Theoretical and applied principles of operative-search counteraction to crimes in the field of public procurement by criminal police (Dissertation for the degree of Doctor of Laws). Kharkiv National University of Internal Affairs, Kharkiv. Fedorchuk, Yu.V. (2018). Operational and search counteraction to the misappropriation of budget funds during the procurement of medical equipment and medicines. (PhD thesis). Kharkiv National University of Internal Affairs, Kharkiv. Filshtein, I.V. (2015) Separation of the tasks, functions and structure of the bodies of internal affairs and the National Police - one of the reformation priorities of the law-enforcement system of Ukraine (experience of the Ministry of Internal Affairs and Police of Georgia). The Journal of the Chernivtsi Faculty of the National University "Odessa Law Academy, № 4, pp. 210-216 http://www.irbis-nbuv.gov.ua/cgibin/irbis_nbuv/cgiirbis_64.exe?C21COM=2&I21 DBN=UJRN&P21DBN=UJRN&IMAGE_FILE_ DOWNLOAD=1&Image_file_name=PDF/vchfo_ 2015_4_21.pdf Hlukhoveria, V.A. (2016). National Police: State and Problems of Reform. The Law forum, № 5, pp. 20-23 http://irbis-nbuv.gov.ua/cgibin/irbis_nbuv/cgiirbis_64.exe?C21COM=2&I21 DBN=UJRN&P21DBN=UJRN&IMAGE_FILE_ DOWNLOAD=1&Image_file_name=PDF/FP_ind ex.htm_2016_5_5.pdf Kharchuk, N.R. (2015) Structure of educational institutions of police officers studying of Bavaria. Journal of the National Aviation University: scientific collection Pedagogics. Psychology, № 2, pp. 130-134

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92 http://jrnl.nau.edu.ua/index.php/VisnikPP/article/vi ew/10241 Kirichenko, O.V. (2016). The operativeinvestigative prevention societal security offences by criminal police: problems of theory and practice: monograph. Dnipropetrovsk: Dnipropetrovsk State University of Internal Affairs, 428 p . Kishchenko, S. (2015). The internal affairs system reform: An analysis of governmental decisions. Kiev: International Centre for Policy Studies, 41 p. http://icps.com.ua/assets/uploads/images/files/17_ 11_reforma_mvs_s.pdf Koriak, V.V. (2012). Counteraction to bribery in the field of public procurement by operational units of the Ministry of Internal Affairs of Ukraine. (PhD thesis). National Academy of Internal Affairs, Kiev. Kosytsia, O.O. (2016). Legislative approaches to the Police Offices structure in Ukraine. Scientific Professional Journal, Legal State, № 24, pp. 94-99 https://essuir.sumdu.edu.ua/handle/123456789/487 30 Krapyvin, Y. (2017). Reform of the criminal police block: problems and prospects. ZN.UA. Retrieved from https://zn.ua/ukr/internal/reformakriminalnogo-bloku-policiyi-problemi-iperspektivi-247837_.html Kucherenko, V.A. (2019). Operational and search counteraction to the misappropriation of public funds during specialized construction works by state order. (PhD thesis). Kharkiv National University of Internal Affairs, Kharkiv. Nagachevskyi, S.V. (2013). Operational and investigative detection and documentation of crimes committed by officials in the field of public procurement. (PhD thesis). Lviv State University of Internal Affairs, Lviv. Okhrimenko, I. (2016). Performance appraisal of bodies and units of the National Police of Ukraine: A view on the problem. Entrepreneurship, Economy and Law, № 11, pp. 139-144 http://irbisnbuv.gov.ua/cgi-

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bin/irbis_nbuv/cgiirbis_64.exe?C21COM=2&I21 DBN=UJRN&P21DBN=UJRN&IMAGE_FILE_ DOWNLOAD=1&Image_file_name=PDF/Pgip_2 016_11_29.pdf Order No. 1077. Regulations on the Department of Strategic Investigations: order of the National Police of Ukraine dated October 23, 2019. Pysarchuk, I. (2016). Improvement of the legal basis of the Department of Economic Protection units` work for the solving of diversion of public funds by officials. National Legal Journal: theory and practice, № 5, pp. 83-85 http://www.jurnaluljuridic.in.ua/archive/2016/5/20 .pdf. Resolution No. 867. About formation of territorial body of National police: Resolution of the Cabinet of Ministers of Ukraine dated October 9, 2019 Slivenko, V.R. (2012). Operational and investigative counteraction to crimes in the field of public procurement. (PhD thesis). National Academy of Internal Affairs, Kiev. Vasylynchuk, V.I. (2004). Prevention and solving crimes by the Departments of the State service for combating economic crime. Scientific Journal of the National Academy of Internal Affairs, № 4, pp. 102-110. Vasilinchuk, V.I. (2016). Institute of detectives in the National Police of Ukraine. Major aspects of organization and development of scientific, scientific-technical and scientific-pedagogical activity in Ukraine of the international scientific and practical conference (August 30, 2016, Kiev). Kiev: State Research Institute of the Ministry of Internal Affairs of Ukraine, pp. 69-71 https://web.mvs.gov.ua/files/pdf/theses_2016_08_ 30.pdf Zapototskyi, A.P. and Vyazmіkіn, S.A. (2016). The economic analysis introduction in the Departments` of National Economy Police Protection of Ukraine enforcement. Scientific Journal of the National Academy of Internal Affairs, № 1, pp. 249-257.

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DOI: https://doi.org/10.34069/AI/2021.42.06.9 How to Cite: Cherniei, V., Cherniavskyi, S., Dzhuzha, A., & Babanina, V. (2021). Combating credit fraud: experience of Ukraine and some other European Countries. Amazonia Investiga, 10(42), 93-102. https://doi.org/10.34069/AI/2021.42.06.9

Combating credit fraud: experience of Ukraine and some other European Countries ПРОТИДІЯ ШАХРАЙСТВУ У СФЕРІ КРЕДИТУВАННЯ: ДОСВІД УКРАЇНИ ТА ДЕЯКИХ ІНШИХ ЄВРОПЕЙСЬКИХ КРАЇН Received: May 5, 2021

Accepted: June 12, 2021

Written by: Volodymyr Cherniei39 https://orcid.org/0000-0002-0247-263X Serhii Cherniavskyi40 https://orcid.org/0000-0002-2711-3828 Alexander Dzhuzha41 https://orcid.org/0000-0003-1347-4937 Viktoria Babanina42 https://orcid.org/0000-0003-4173-488X Abstract

Анотація

The article is devoted to the study of the peculiarities of combating fraud in the field of finance, in particular, combating crimes in the field of lending. The experience of Ukrainian law enforcement agencies in combating credit fraud has been studied. The experience of some European Union countries in combating financial fraud is analyzed. To achieve the goal of the paper a set of general scientific and special methods was used, such as method of system-structural analysis, dogmatic (formal-logical), historical, general sociological, comparative-legal method and others. It is concluded in the article that the rules of criminal law of Ukraine establish more severe penalties for some crimes compared to EU countries. For example, this applies to crimes in the field of money laundering. On the other hand, some offenses that do not qualify as crimes in Ukraine are recognized as criminal offenses in the EU. For example, this applies to abuses in the field of insurance. According to the results of the study, the solution of some important issues is proposed such as improvement of the current legislation in the field of credit and financial relations, adaptation of the legislation of Ukraine to international norms and standards in the system of credit and financial relations.

Стаття присвячена дослідженню особливостей боротьби з шахрайством у сфері фінансів, зокрема, боротьби зі злочинами у сфері кредитування. Вивчено досвід українських правоохоронних органів у боротьбі з кредитними шахрайствами. Проаналізовано досвід деяких країн Європейського Союзу у боротьбі з фінансовими шахрайствами. Для досягнення мети статті було використано набір загальнонаукових та спеціальних методів, таких як метод системно-структурного аналізу, догматичний (формально-логічний), історичний, загальносоціологічний, порівняльно-правовий метод та інші. У статті зроблено висновок, що норми кримінального законодавства України встановлюють більш суворі покарання за деякі злочини порівняно з країнами ЄС. Наприклад, це стосується злочинів у сфері відмивання грошей. З іншого боку, деякі правопорушення, які не кваліфікуються як злочини в Україні, визнаються кримінальними злочинами в ЄС. Наприклад, це стосується зловживань у сфері страхування. За результатами дослідження пропонується вирішення деяких важливих питань, таких як вдосконалення чинного

Rector of National Academy of Internal Affairs, Doctor of Law, Professor, Kyiv, Ukraine. Vice-Rector of National Academy of Internal Affairs, Doctor of Law, Professor, Kyiv, Ukraine. 41 Temporary Acting Head of Department of Criminal Law of National Academy of Internal Affairs, Doctor of Law, Professor, Kyiv, Ukraine. 42 Professor of Criminal Law Department of the National Academy of Internal Affairs, PhD in Law, Associate Professor, Kyiv, Ukraine. 40

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Cherniei, V., Cherniavskyi, S., Dzhuzha, A., Babanina, V. / Volume 10 - Issue 42: 93-102 / June, 2021

Key words: banking sector, financial fraud, insurance, insolvency, lending, money laundering.

законодавства у сфері кредитно-фінансових відносин, адаптація законодавства України до міжнародних норм та стандартів у системі кредитно-фінансової відносини. Ключові слова: банківський сектор, фінансове шахрайство, страхування, неплатоспроможність, кредитування, відмивання коштів.

Introduction The rapid development of the world economy, the spread of globalization, the emergence of a number of international financial institutions, increasing the volume of banking and other financial and credit services have led to a significant increase in the role of finance in modern life. At the same time, the active use of the latest information technologies, non-cash form of payment has led to the growth of various manifestations of fraud in the financial sector.

criminal activity in the field of lending undermines the stability of the economy and hinders the development of the country as a whole. Therefore, one of the priority activities of law enforcement agencies of Ukraine is the prevention of such crimes. Effective judicial protection of the rights and legally protected interests of participants in credit relations is an extremely important factor in maintaining the stability of the country's economy.

In the context of the economic crisis in Ukraine, the number of so-called "economic crimes" is increasing, which are becoming even more sophisticated given the capabilities of electronic technology and the awareness of criminals on these issues. A special place among such criminal offenses is occupied by fraud in the field of money circulation, credit and banking. The difficult economic situation in the country, the devaluation of the national currency, the loss of the banking system have led to a rapid increase in the number of frauds in the banking sector. In order to solve household problems, citizens became even more active in applying to banks for loans. At the same time, the number of unscrupulous customers among them who seek to obtain money in any way is also growing.

The purpose of the article is to study the principles of legal regulation and combating fraud in the field of lending, comparing approaches to combating financial fraud in Ukraine and some other European countries.

Today, the most widespread fraudulent activities in the banking sector of Ukraine include fraudulent loans (which, according to experts, account for more than 80% of total crimes in the banking sector) through the use of specially created to steal credit resources of fictitious enterprises and by falsifying documents and other methods deception. Abuse in the use of bank guarantees and sureties through various falsifications is common. Fraudulent actions are often used when using collateral as a way to secure a loan or fraudulently obtaining a bank loan by third parties, employees of a banking institution, using a conspiracy of the bank and the borrower, and so on. Credit relations since the beginning of the financial crisis account for almost the largest percentage of litigation. The high level of

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Theoretical framework In the world, the problems of financial fraud are the focus of government (especially financial) bodies, international companies (including auditors, which annually conduct in-depth research on this phenomenon), scientists and the public. The research of various aspects of economic crime, including in the field of finance and credit activity, is devoted to the scientific works of many authors: L. Marriot (2019)., I. Sereda, M. Kostyuchenko (2020)., D.A. Hyman (2001)., E.H. Sutherland (1945)., P. Van der Nat & W. Keep (2002) and others. Among mentioned, we would like to highlight the work of L. Marriot, who investigated whitecollar crimes in New Zeland. Her article suggests interesting decisions. Thus, in her opinion, the absence of restitution should be considered an aggravating factor, not the presence of restitution, which is considered a mitigating factor. Since the benevolent nature of the offender often contributes to the crime, this should not be considered a mitigating factor, and extraordinary punishments, such as deterioration of reputation or loss of future employment opportunities, are short-lived for criminals, punishment is unjustified, and extracurricular consequence of the offender (Marriot, 2019).

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A very important conclusion concerning credit fraud we can find in the article of I. Sereda and M. Kostyuchenko. The scholars mention that the decrease in the number of registered credit frauds is influenced by the fact that more and more often banks refuse almost all types of retail loan applications. The main reasons for refusals are the credit history of consumers and their debt burden. Another common ground for refusal is a discrepancy between the information provided by the applicant and the information held by the creditor. In a systemic connection with the wellknown negative phenomena that accompany social development, these circumsta-nces have a strong criminogenic potential (Sereda & Kostyuchenko, 2020). Instead, in Ukraine, the problem of financial fraud is given insufficient attention by both members of the scientific community and civil servants who care about the development of the domestic financial sector. Moreover, Ukrainian scholars who study this issue consider financial fraud primarily through the prism of legal regulation, omitting the importance of its financial and economic component.

statistics in the field of global Internet and telecommunications devices. He analyzes the prevention of computer fraud, cybersecurity, and provides suggestions for eliminating the conditions for cyber fraud and ways to effectively combat computer and telecommunications fraud (Shapochka, 2013). Taking into account the current state of investigations in the field of financial fraud, the most important thing to emphasize in this research is a problem that financial fraud in Ukraine is mainly being investigated in the field of view of legal scholars, but Ukrainian economics (financial in particular), unfortunately, practically does not investigate these issues. Thus, from the list of thesis defended in Ukraine during 1998-2018 and devoted directly to the problems of financial fraud, there is no researches in the field of economic sciences. Paradoxically, despite the enormous negative socio-economic consequences of this phenomenon in modern life, no textbook on financial law for economics students touches on the topic of financial fraud at all.

In Ukraine, the study of financial fraud is mainly in the field of view of representatives of legal science: A. Yermoshenko (2009), D. Kamensky (2013)., S. Knyazev (2011)., O. Kurman (2008)., T. Mudryak (2015)., G. Chernyshov (2014)., S. Chernyavsky (2012)., S. Shapochka (2013), and others.

Methodology

Thus, A. Yermoshenko in his article considers the place of insurance fraud in generating threats to the interaction of the insurance sector and the banking sector, provides comparable regimes to combat insurance fraud in different countries and in Ukraine at the legislative level (Yermoshenko, 2009).

Among the general scientific methods the author used: the method of system-structural analysis, dogmatic (formal-logical), historical, general sociological, comparative-legal and others. Among the special-scientific, in particular, methods of legal statistics and legal logic were used.

S. Knyazev in his study analyzes the essence of financial pyramids as types of fraudulent schemes. He concludes that the financial pyramid is a technology of criminal activity, which is used as a way to seize someone else's property by deception and abuse of trust (fraud) under the guise of an investment project, membership in which is acquired subject to certain payments, contributions or other payments (Knyazev, 2011).

Using the method of structural and system analysis it was possible to study the structure of the system of criminal law, which provides for liability for crimes in the field of lending in Ukraine, the relationship and interdependence of elements within the system and with other criminal and financial concepts, their scope and content. The dogmatic (formal-logical) method allowed to analyze the norms of the current Criminal Code of Ukraine, which provide for liability for crimes in the field of lending. The historical method allowed to show the genesis of the problem of criminal law protection of lending in Ukraine, based on the analysis of criminal law of previous years and the practice of its

S. Shapochka studies and analyzes general theoretical works of specialists in the field of criminal law, criminology and criminal executive law related to the study of determinants of property crime, as well as information and

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To achieve the goal of the study, a set of general scientific and special methods was used, which provided a thorough and comprehensive consideration of the issues that exist in the field of financial fraud.

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96 application to identify trends in criminal law of Ukraine on liability for crimes in credit. The method of comparative analysis has been widely used to study the world experience of preventing and combating financial fraud, identifying common and distinctive features in approaches to combating financial fraud in Ukraine and the EU. The general sociological method was used during the study of the practice of application of the norms of the Criminal Code of Ukraine, which establish liability for criminal encroachments in the field of lending. The analysis of the state and development of the economy, budget and tax systems, the activities of law enforcement agencies to identify and prevent these criminal offenses helped to identify shortcomings and gaps in the criminal law protection of lending in Ukraine. Methods of legal logic were used in the formulation of the current system of criminal law in the field of lending in Ukraine, based on the results of established factors of social conditionality of criminalization of socially dangerous acts. The method of scientific generalization was used to substantiate the principles of combating financial fraud and to determine the scientific and methodological basis for the formation of state policy in the field of prevention and minimization of financial fraud. The method of analysis and synthesis was used to identify types of financial fraud and to identify fraud in the field of lending. The method of structuring and grouping was used to systematize the causes of financial fraud, to identify criteria and ways to combat fraud in the field of lending in law enforcement. During the evaluation of the methods of implementation of fraudulent schemes in the field of lending, the methods of induction and deduction, the method of structural-functional comparison were used. The method of economic modeling was used in the formation of the model of implementation of state policy in the field of prevention and minimization of fraud in the field of lending. The main conclusions are formulated on the basis of methods of system analysis and scientific abstraction.

Combating crimes in the field of lending is an urgent problem of law enforcement in Ukraine, due to several factors. First, the manifestations of fraud in the credit sector not only cause damage to creditors, but also negatively affect the stability of the entire financial system. Secondly, these crimes have a high latency, as not all heads of financial institutions apply to law enforcement agencies with relevant statements (fearing for the business reputation of their organizations). In most cases, despite the significant damage caused, banking institutions do not properly organize claims work, but are limited to filing applications with law enforcement agencies, which complicates the evidence in the initiated cases. Third, criminals conceal their actions in every possible way, in particular, use the services of fictitious enterprises, disguise their true intentions with the help of sham legal agreements, as well as criminal consequences of "unsuccessful" business activities, use modern computer and office equipment forge accounting and other documents, take measures to launder funds obtained by criminal means (Chernyavsky, 2012). Criminals in preparation for committing crimes with credit resources try to:  

 

To achieve this goal, criminals usually resort to: 

Results and discussion Countering crimes in the field of lending in the activities of law enforcement agencies of Ukraine.

  

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to create in the credit institution the visibility of a legally operating participant in economic activity; to be a solid, promising person who has significant financial resources to fulfill the terms of the loan agreement, to create the appearance of a wide range of connections; demonstrate the availability of means to ensure loan repayment; show the availability of production capacity and other conditions for the implementation of the economic project (Hyman, 2001).

inclusion in the documents on the creation of a legal entity of information that does not correspond to reality; use of documents belonging to legal or natural persons who no longer officially carry out their activities; use without the consent of the owners of other people's accounts; production of fictitious payment and other documents, etc.

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There are cases when criminals use stolen or purchased passports, forged documents, other people's names, etc. to obtain legal entity registration documents. At present, there is a growing tendency for banks to initiate criminal proceedings against borrowers and guarantors in the event of noncompliance with credit obligations. The Criminal Procedure Code of Ukraine (Law No. 4651-VI, 2013) provides for an almost "automatic" procedure for instituting criminal proceedings. The creditor's statement on the basis of which the case is entered in the register is sufficient for this, and the investigating authorities are obliged to conduct an inspection. Completion of such an inspection for debtors depends on many factors, some of which are, in particular, the actual presence of signs of a crime in the debtor's actions, "lobbying" by the creditor to open a criminal case, the debtor's behavior in relations with the creditor, well-thought-out defense tactics (Chernyshov, 2014).

5) 6) 7)

Significant interest from the creditor can be the basis for the development of the process of criminal prosecution, even those debtors whose actions do not show any signs of a crime, if, of course, do not consider such a partial default. Among the most difficult situations the law enforcement agencies face with while combating crimes in the field of lending, is the distinction between fraud and financial resources (Article 222 of the Criminal Code of Ukraine) and crimes against property, in particular fraud under Art. 190 of the Criminal Code of Ukraine (Law No. 2341-III, 2001) . The conclusion about the presence or absence at the time of the loan agreement of the borrower's intention to take possession of someone else's property free of charge (bank loan funds) must be made on a caseby-case basis, carefully examining all case materials. The presence of signs of fraud in the actions of the borrower (Article 190 of the Criminal Code of Ukraine) (Law No. 2341-III, 2001) may indicate, in particular, the following circumstances: 1) sudden disappearance of the borrower from the place of residence for a period exceeding the loan repayment period provided for by the loan agreement (for individuals) or liquidation of the borrower enterprise without notifying the bank's representatives; 2) spending of credit funds not for the intended purpose, but for personal needs (using fictitious agreements, services of conversion

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centers, transfer of funds to foreign accounts, etc.); signs of fictitiousness in the activities of the enterprise-borrower, in particular, the use of services of firms operating in violation of applicable law; lack of real opportunities to fulfill credit obligations, awareness of managers and officials of the business entity about the insignificance, pretense of concluded agreements and directing this activity to illegal enrichment, impossibility of actual implementation of commitments taking into account the actual time, distance, location of counterparties from each other, the location of property or the amount of material resources economically necessary for the production of goods, works or services, failure of the organizer of the relevant activities; use of forged documents, stamps, seals; alienation of the collateral without the consent of the creditor; the presence of signs of an organized criminal group, characterized by the duration of existence, the distribution of roles of accomplices, the hierarchy of the structure, etc. (Kryshevych, 2010).

Incorrect classification of crimes in criminal cases, as a rule, entails failure to take measures to compensate for damages. The study of criminal cases showed that investigators, despite the presence of signs of crimes against property (Articles 190, 191 of the Criminal Code of Ukraine) or in the sphere of economic activity (Articles 222 of the Criminal Code of Ukraine), initiate cases under articles about other crimes (Articles 358, 366 Criminal Code of Ukraine) and further do not change qualifications (Law No. 2341-III, 2001). Errors in the classification of crimes in the field of credit are associated primarily with an incorrect assessment of the facts of the perpetrator, i.e. a cursory examination and insufficiently complete clarification of the circumstances that are the subject of proof. Thus, despite the tendency to reduce applications and reports of crimes in the field of credit relations and, accordingly, criminal cases of crimes in this category, the issue of improving the effectiveness of criminal and criminal procedure law (Tikhonova, 2013). The problem with the investigation of crimes in the field of credit in Ukraine is that the investigation is carried out by outdated methods,

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98 without taking into account changes in the methods and technologies of criminal activity. The emergence of new phenomena, such as websites (Nekit, Ulianova & Kolodin, 2019), the Internet of Things (Nekit, Kolodin & Fedorov, 2020), cryptocurrencies, can provoke the emergence of new types of crime, which will require new approaches to investigating and combating them (Shapochka, 2013). The experience of some European countries in the field of combating financial fraud. The problem of adaptation of the criminal legislation of Ukraine to the legislation of European countries in the field of prevention of crimes encroaching on credit relations has not been covered at the scientific level, but it is advisable to conduct such research in the near future. In this regard, it is necessary to compare the articles of the Criminal Codes of some European Union countries (Denmark, Germany, Austria, Poland, Spain, Switzerland) with the Criminal Code of Ukraine, according to which liability for crimes committed in the field of lending (Shulyak, 2013). For example, it is advisable to consider crimes that encroach on public relations in terms of ensuring the interests of legal entities or individuals and the state related to insolvency. Thus, it should be noted that when committing such acts, damage may be caused in some cases to credit relations, and in others to certain types of economic relations. These crimes include, in particular, bankruptcy (Article 219 of the Criminal Code of Ukraine (Law No. 2341-III, 2001), Article 301 of the Penal Code of Poland (Law № 43864, 1997), Article 159 of the Criminal Code of Austria (Law № 60/1974, 1974), paragraphs 2, 8 (2) of Article 283 of the German Criminal Code (Law № 3322, 1998), Article 165 of the Swiss Criminal Code (Law № SR/RS 311, 1942), Article 260 of the Criminal Code of Spain (Law № 10/1995)). Analyzing the criminal law of European states, it should be noted that in contrast to the criminal law of Ukraine, there is a slightly different approach to understanding the criminal acts related to insolvency. Thus, the corpus delicti, provided by Art. 218-1 of the Criminal Code of Ukraine(Law No. 2341-III, 2001), is typical only for the criminal legislation of Spain. Under the laws of other European countries, such an act is not criminally punishable. Under Danish criminal law, all insolvency offenses are non-criminal and subject to administrative liability.

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The next type of crimes that should be considered are crimes that encroach on public relations in the field of ensuring the legality of financing, lending, the implementation of certain activities in the field of lending. This group of crimes, the responsibility for which is enshrined in most of the Criminal Code of European countries, includes such dangerous encroachments as money laundering (Article 209, Criminal Code of Ukraine (Law No. 2341-III, 2001), Article 299 of the Criminal Code of Poland (Law № 43864, 1997), Article 165 of the Criminal Code of Austria (Law № 60/1974, 1974), Article 261 of the German Criminal Code (Law № 3322, 1998), Article 301 of the Criminal Code of Spain (Law № 10/1995), Article 305bis of the Swiss Criminal Code (Law № SR/RS 311)), fraud with financial resources (Article 222 of the Criminal Code of Ukraine (Law No. 2341-III, 2001), Article 297 of the Criminal Code of Poland (Law № 43864, 1997), Articles 152, 153b of the Criminal Code of Austria (Law № 60/1974, 1974), Articles 264-1, 265 of the German Criminal Code (Law № 3322, 1998), Articles 308, 309 of the Criminal Code of Spain (Law № 10/1995), Article 305 ter of the Swiss Criminal Code (Law № SR/RS 311, 1942)). Attention should be paid to the severity of punishment under the Criminal Code of Ukraine in the legalization (laundering) of funds obtained by criminal means. In this case, the upper limit of punishment is 15 years of imprisonment, although according to the criminal law of European countries this limit does not exceed 5 years of imprisonment (Poland, Austria), imprisonment (Switzerland), 6 years (Spain), 10 years (Germany). The criminalization of acts related to fraud with financial resources has become a topical issue in European countries. In addition to the classical understanding of this crime (providing a business entity with knowingly false information to the authorities, credit and financial institutions in order to obtain loans, subventions, grants, etc.) in some criminal laws of Europe enshrined a number of rules establishing liability for various veiled forms of commission financial fraud. For example, fraud with falsification of the insured event (Article 298 of the Criminal Code of Poland (Law № 43864, 1997), Article 263 (5), 265 of the German Criminal Code (Law № 3322, 1998), Article 151 of the Criminal Code of Austria (Law № 60/1974, 1974)), investment fraud (Article 264a of the German Criminal Code (Law № 3322, 1998)), chain games and financial pyramids (Article 168a of the Criminal Code of

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Austria (Law № 60/1974, 1974)), fraud with the use of prohibited checks, time obligations etc. Such specification of criminal law is important for the correct qualification of a particular criminal act, especially in cases where there are complications in distinguishing a crime from a financial offense. Thus, in most countries of the European Union, in contrast to Ukraine, various types of insurance abuse have been recognized as criminal. Although the situation in Ukraine is particularly noteworthy in the field of insurance. Directions for improving the criminal legislation in the field of credit relations as a way to combat credit fraud. In Ukraine, special attention is paid to the development of the rule of law, legal institutions, improving their quality, improving legislation. The importance of the law in the prevention of crimes in the field of credit relations is extremely important. With regard to solving the problem of crime prevention in the field of credit, a targeted system of legal measures is needed to ensure the reduction and complete neutralization of the causes and factors that contribute to the commission of such crimes at all stages and levels. Credit and financial activity in Ukraine is regulated by numerous legislative acts, the main of which are the Laws of Ukraine: "On Banks and Banking" (Law No. 2121-III, 2000), "On Credit Unions" (Law No. 2908-III, 2001), "On Financial Services and State Regulation of Financial Services Markets" (Law No. 2664-III, 2001). The credit system has great potential for positive impact on economic development, and at the same time has a negative impact of unresolved legal provisions, shortcomings of credit and financial technologies, document flow, insufficient professional level of credit workers, as well as the possibility of abuse by credit and financial institutions. These circumstances exacerbate the criminogenic situation and contribute to the growth of criminal encroachments on credit and financial relations (Mudryak, 2015). Scholars insist on the need to strengthen criminal liability for crimes committed in the field of banking. It may be worthwhile to include in the structure of the Criminal Code of Ukraine the article “Illegal obtaining of a bank loan” (Law No. 2341-III, 2001) . Given the peculiarities of the criminal legislation of Ukraine, cases of

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illegal obtaining of loans in general in practice are qualified as "fraud" under Art. 190 of the Criminal Code of Ukraine (Law No. 2341-III, 2001) . However, the subject of fraud can be both someone else's property and the right to such property, and when receiving a loan it is about money, not property (Klochko, 2014). In Ukraine, there is a need to improve certain provisions of the special part of the Criminal Code of Ukraine, which provides for liability for crimes against credit and financial relations. After all, in the context of the growth of the shadow economy, the spread of organized crime, the acquisition of such crimes of an international nature, the appropriate systematization of criminal law is of great importance. Obviously, it is necessary to take full account of international experience, to carry out a number of scientific developments on the criminalization and decriminalization of certain abuses that encroach on the system of credit relations. It should be noted that it is advisable to decriminalize (full or partial) the corpus delicti, the responsibility for which is provided by Art. 218-1 of the Criminal Code of Ukraine (bringing the bank to bankruptcy) and Art. 220 of the Criminal Code of Ukraine (Law No. 2341-III, 2001) (concealment of persistent financial insolvency) with their transfer to administrative responsibility, as the fictitious financial condition of any business unit can be clarified and challenged during the bankruptcy proceedings in commercial courts (Pivovarov, 2003). It should be noted that when deciding on the transfer of these acts in the framework of administrative liability, it is necessary to set the appropriate lower limit of the amount of the fine. The point is that penalties should be significant, as these acts usually cause great material damage (Avci, Schipani & Seyhun, 2018). Legislation in the field of credit relations, which needs to be improved, is reflected in other areas of law and legislation. These include some of the rules of criminal procedure law, administrative, financial and other branches of law. Thus, in criminal procedure law there are rules that directly indicate the identification of causes and conditions that contribute to the commission of crimes, as well as the obligation of the inquiry, investigation and prosecutor's office to submit measures to eliminate these causes and conditions (Kurman, 2008).

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100 Norms of administrative law regulate the management of law enforcement agencies that prevent crimes in the field of credit relations, consolidate the administrative influence on those released from punishment, provide other measures related to the prevention of crimes in this area. Norms of financial law regulate relations in the field of banks and other credit institutions, determine the procedure for financial control (verification of financial obligations to the state and all subjects of the credit and financial system; verification of compliance with financial rules, settlements and savings these institutions, prevention and elimination of identified violations of financial discipline, etc.), establish liability for failure to comply with instructions. Thus, legal measures to prevent crimes in the field of credit relations constitute a system of measures that relate to various areas of law and legislation. The above mentioned indicate that there is a need to increase guarantees to address the prevention of crimes in the field of credit. First of all, it is necessary to accurately and objectively determine the range of entities that will carry out crime prevention in this area, their competence, increase responsibility and interaction. The issue of creating a unified system of legal norms in solving this problem is relevant. In order to reduce the crime rate, it is first of all necessary to reform and improve the criminal legislation and the legislation on crime prevention. The next step should be to reform the legislation in the field of credit relations. It should be noted that such atrocities should apply only to financial sanctions for crimes committed, as the vast majority of such crimes cause great material damage. Given the importance of legal measures to prevent crimes in the field of credit, it is necessary not to exaggerate their potential, as it goes beyond legal regulation. At the same time, one should not ignore the fact that legal measures should not eliminate punishment. Therefore, they should be joined by other measures, including measures of organizational and managerial nature (Khamyha, 2020). We consider it expedient to supplement the current Criminal Code of Ukraine with independent corpus delicti of crimes "Credit fraud", "Illegal obtaining of credit", "Malicious evasion of repayment of accounts payable".

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However, in the legislative implementation of the crime "Malicious evasion of repayment of accounts payable" the provisions of Art. 1 of Protocol No. 4 to the European Convention for the Protection of Human Rights and Fundamental Freedoms (Council of Europe, 1950) should be considered. According to these provisions, “no one shall be deprived of his liberty merely because he is unable to fulfill his contractual obligation”. In view of the above, it is necessary to provide for such a crime only "alternative" types of punishment, i.e. those that are not related to arrest and imprisonment. Thus, the whole set of legal norms that are directly or indirectly aimed at better regulation of credit and financial relations and the system of legislative support of law enforcement agencies for the protection of rights refers to legal measures to prevent crimes in the field of credit relations. Conclusions 1.

Crimes committed in the field of credit relations are one of the most dangerous financial and economic crimes, as their negative impact spreads and is reflected not only on the credit and financial system of Ukraine, but also on other important objects of economic activity. In most cases, socially dangerous acts in the field of lending are classified under Art. 190 of the Criminal Code of Ukraine "Fraud" and Art. 222 of the Criminal Code of Ukraine "Fraud with financial resources" (Law No. 2341III, 2001).

According to court practice, often the qualification of these crimes is carried out in conjunction with te crimes under Articles 357, 358, 366 of the Criminal Code of Ukraine (Law No. 2341-III, 2001) . Thus, in order to illegally obtain a loan, theft or illegal purchase of passports, forgery of documents, use of other people's names, etc. are committed. The analysis of court practice shows the frequent "variability" of positions in the decisions of higher specialized courts on the same issues related to liability, including criminal, in the field of lending. It should be acknowledged that these courts are insufficient work, both on the interpretation of legal norms that protect the field of credit, and on the generalization of the practice of lower courts in this category of disputes. 2.

The main reason for the rapid growth of crime in the field of lending, as well as errors

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in the legal classification of criminal acts, is the imperfection of both criminal law of Ukraine and lending legislation. Thus, the obvious inconsistency of the national legal framework with the requirements of the European Union has already led to the inclusion of Ukraine in the lists of countries that are not properly able to cooperate in the prevention of credit crimes. It is important to improve the legislation on crime prevention in the field of lending, which would be aimed at better regulation of credit and financial relations, protection of the rights and economic freedoms of all parties, as well as the system of regulatory support of law enforcement agencies. This legislation should be based, first of all, on the principle of the rule of law, as well as equality in the opportunities of the subjects of credit relations. The scientific elite and the legislature should focus more on criminal liability for creating financial pyramids and "complicated forms" of financial fraud. We consider it expedient to single out an independent section “Crimes in the credit and financial system” in the current Criminal Code of Ukraine. It is also expedient to supplement the current Criminal Code of Ukraine with independent corpus delicti of crimes "Credit fraud", "Illegal obtaining of credit", "Malicious evasion of repayment of accounts payable".

However, in the legislative implementation of the crime "Malicious evasion of repayment of accounts payable" the provisions of Art. 1 of Protocol No. 4 to the European Convention for the Protection of Human Rights and Fundamental Freedoms should be considered, and therefore only "alternative" types of punishment, i.e. those not related to arrest and imprisonment should be provided. References Avci, S., Schipani, C. & Seyhun, H. (2018). Do independent directors curb financial fraud? The evidence and proposals for further reform. Indiana Law Journal, 93(3), 757-805. Chernyavsky, S. (2012). Solving the problems of combating fraud with financial resources in the banking sector. Legal Journal of the National Academy of Internal Affairs, 1(3), 84-93. Retreived from http://irbis-nbuv.gov.ua/cgibin/irbis_nbuv/cgiirbis_64.exe?I21DBN=LINK &P21DBN=UJRN&Z21ID=&S21REF=10&S2 1CNR=20&S21STN=1&S21FMT=ASP_meta&

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C21COM=S&2_S21P03=FILA=&2_S21STR=a ymvs_2012_1%283%29__12 Chernyshov, G. (2014). Criminological characteristics of fraud in the investment and construction sector. Scientific Bulletin of the International Humanities University. Series: Jurisprudence, 10-1, 98-101. Council of Europe. (1950). Convention for the Protection of Human Rights and Fundamental Freedoms. Retrieved from https://www.echr.coe.int/documents/convention _eng.pdf Hazel, C. (1994). White collar crime: criminal justice and criminology. Buckingham – Philadelphia, 127 р. Hyman, D. (2001). Health care fraud and abuse: market change, social norms and the trust reposed in the workmen. The Journal of Legal Studies, 30(2), 531–567. Retrieved from https://www.jstor.org/stable/10.1086/324674 Kamensky, D. (2013). Financial fraud in the United States: some issues of criminal responsibility. Law Forum, 1, 379-385. Khamyha, Yu. (2020). Financial pyramids as a type of financial fraud: theoretical-motivational aspect. European Journal of Economics and Management, 6(3), 15-22. Klochko, A. (2014). Crimes in the field of banking. Legal Bulletin of the Ukrainian Academy of Banking, 1, 68-71. Knyazev S. (2011). Financial pyramid as a way of fraud in the market financial services. Law and management, 1, 204–211. Kryshevych, O. (2010). Fraud: a comparative analysis of criminal legislation of Ukraine and international criminal law. Legal Bulletin. Air and space law, 2, 76-79. Kurman, O. (2008). Features of information detection and verification regarding fraud with financial resources. Entrepreneurship, economy and law, 4, 123–125. Law No. 2121-III. On Banks and Banking. Bulletin of Verkhovna Rada of Ukraine, Kyiv, Ukraine, 2000. Law No. 2341-III. Criminal Code of Ukraine. Bulletin of Verkhovna Rada of Ukraine, Kyiv, Ukraine, April 5, 2001. Law No. 2664-III. On financial services and state regulation of financial services markets. Bulletin of Verkhovna Rada of Ukraine, Kyiv, Ukraine, 2001. Law No. 2908-III. On credit unions. Bulletin of Verkhovna Rada of Ukraine, Kyiv, Ukraine, 2001. Law No. 4651-VI. Criminal Procedure Code of Ukraine. Bulletin of Verkhovna Rada of Ukraine, Kyiv, Ukraine, April 14, 2013.

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102 Law № 10/1995. Criminal Code of Spain. Official State Gazette, Madrid, Spain, November 23, 1995. Law № 3322, 1998. German Criminal Code.Federal Law Gazette I, Berlin, Germany, November 13, 1998 Law № 43864, 1997. Penal Code of Poland. Dziennik Ustaw, Warsaw, Poland, June 6, 1997. Law № 60/1974. Criminal Code of Austria. Wiener Zeitung, Wien, Austria, January 23, 1974. Law № SR/RS 311. Swiss Criminal Code. Swiss Official Gazette, Berne, Switzerland, January 1, 1942. Marriot, L. (2019). White-collar crime: the privileging of serious financial fraud in New Zealand. Social and legal studies, 29(4), 486506. DOI: 10.1177/0964663919883367 Mudryak, T. (2015). Regulatory and legal support of fraud investigation with financial resources. International Legal Bulletin: a collection of scientific papers of the National University of the State Tax Service of Ukraine, 1, 121-126. Nekit, K., Kolodin D. & Fedorov, V. (2020). Personal data protection and liability for damage in the field of the Internet of Things. Juridical Tribune, 10(1), 80-93. Retrieved from http://tribunajuridica.eu/arhiva/An10v1/5.%20N ekit,%20Kolodin,%20Fedorov.pdf Nekit, K., Ulianova, G. & Kolodin, D. (2019). Website as an object of legal protection by Ukrainian legislation. Amazonia investiga,

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8(21), 222-230. https://amazoniainvestiga.info/index.php/amazo nia/article/view/97 Pivovarov, V. (2003). Definition and ways of criminological study of financial crime. Law of Ukraine, 1, 107-111. Sereda, I. & Kostyuchenko, M. (2020). Criminological indicators of credit fraud. Russian journal of criminology, 14(3), 441-452. DOI: 10.17150/2500-4255.2020.14(3).441-452 Shapochka, S. (2013). Preventing fraud using computer networks. Internal Security, 2, 63-75. Shulyak, Yu. (2013). Use of international experience to improve criminal liability for fraud. Scientific Bulletin of the National Academy of Internal Affairs, 3, 345-351. Sutherland, E. H. (1945). Is «White Collar Crime» Crime? American Sociological Review, 10, 132–139. Tikhonova, O. (2013). Some features of crime in financial credit sphere in today's conditions. Public law, 4, 105-113. Van der Nat, P. & Keep, W. (2002). Marketing Fraud: An Approach for Differentiating Multilevel Marketing from Pyramid Schemes. Journal of Public Policy and Marketing, 21(1), 139-151. Yermoshenko, A. (2009). Insurance fraud as a source of threats in the interaction of insurers and banks. Retrieved from https://essuir.sumdu.edu.ua/bitstreamdownload/123456789/54055/5/Yermoshenko_in surance_fraud1.pdf

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DOI: https://doi.org/10.34069/AI/2021.42.06.10 How to Cite: Marinesko, V., Lazarenko, D., Torkut, N., & Gutaruk, N. (2021). “Shakespeare in love” / In love with Shakespeare: metatextual potential of John Madden’s fictional biopic. Amazonia Investiga, 10(42), 103-112. https://doi.org/10.34069/AI/2021.42.06.10

“Shakespeare in love” / In love with Shakespeare: metatextual potential of John Madden’s fictional biopic «Закоханий Шекспір» / Закохані в Шекспіра: метатекстуальний потенціал фікційного байопіка Джона Меддена Received: May 2, 2021

Accepted: June 12, 2021

Written by: Viktoriia Marinesko43 https://orcid.org/0000-0001-6747-8664 Darya Lazarenko44 https://orcid.org/0000-0002-3253-4678 Nataliya Torkut45 https://orcid.org/0000-0002-8905-6769 Nataliia Gutaruk46 https://orcid.org/0000-0001-7373-5460 Abstract

Анотація

The paper focuses on the specificity of metatextual potential of John Madden’s fictional biopic “Shakespeare in Love” (1998), viewed as a complex metatextualintermedial construct. The metatextual resources of the film are being analysed on three key levels: intratextual (metatextual fragments), intertextual (allusions to the other works of the canon) and extratextual (text as an intersemiotic metatext). On the intratextual level four main forms of metatextual commentary are singled out: a) the paratextual commentary; b) the leitmotif; c) the self-referential fragments; d) the allusions to the present-day realia. In relation to the intertextual level of the film’s metatextual potential references to Shakespeare’s works are discussed as a metatext which offers an explanation of the sources of Shakespeare’s inspiration. Within the extratextual level, “Shakespeare in Love” is viewed as an intersemiotic metatext which comments upon two major semantic fields: the figure of Shakespeare and the epoch of the English Renaissance. The authors also put forward the suggestions for the practical application of the research results.

Метою статті є дослідження особливостей метатекстуального потенціалу фікційного байопіку Джона Меддена “Закоханий Шекспір» (1998). Метатекстуальні ресурси фільму реалізовані у 3 ключових площинах: інтратекстуальній (метатекстуальні фрагменти), інтертекстуальній (звернення до інших творів канону) та позатекстуальній (в якій текст є інтерсеміотичним метатекстом). На інтратекстуальному рівні виділяються чотири основні форми мета текстуальних коментарів: а)пара текстуальний коментар; б) лейтмотив; в) самореференційні фрагменти; г) натяк на сучасні реалії. На інтертекстуальному рівні усі посилання на інші твори Шекспіра розглядаються як мета текст, який містить пояснення стосовно джерел натхнення В. Шекспіра. На позатекстовому рівні «Закоханий Шекспір» розглядається як інтерсеміотичний метатекст, що коментує два основних семантичних поля: образ Шекспіра та епоху англійського Відродження. Автори також представили пропозиції стосовно практичного застосування результатів дослідження.

Keywords: metatext, metafragment, metatextual potential, allusion, paratext.

Ключові слова: метатекст, метафрагмент, метатекстуальний потенціал, алюзія, паратекст.

Candidate of Philological Sciences, Clasic Private University, Zaporizhzhia, Ukraine. Candidate of Philological Sciences, Sofia University “St. Kliment Ohridski”, Sofia, Bulgaria. 45 Doctor of Philological Sciences, Zaporizhzhia National University, Zaporizhzhia, Ukraine. 46 PhD Student in Philology, Classic Private University, Zaporizhzhia, Ukraine. 44

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Introduction The mystery of William Shakespeare’s genius is a powerful magnet that does not cease to attract new generations of interpreters. An outstanding Shakespearean scholar Gary Taylor metaphorically represents the unique nature of Shakespeare’s dramatic talent as a “black hole”, “Light, insight, intelligence, matter – all pour ceaselessly into him, as critics are drawn into the densening vortex of his reputation; they add their own weight to his increasing mass. The light of other stars – other poets, other dramatists – is wrenched and bent as it passes by him on its way to us” (Taylor, 1990). In the modern intellectual space Shakespeare’s creative works are so influential that they have become a ‘cultural impulse amplifier’ that can be used by other writers to better understand the contemporary context and attract the reader’s attention to the most urgent issues. Thus, the Shakespearean discourse which includes all kinds of Shakespeare-related cultural production (Cherniak, 2010), can be viewed as a certain kind of a cultural mirror which allows the civilization to see itself on a new scale. As M. W. Hunt writes, “when we search for Shakespeare, we are also hunting for ourselves, constantly engaged in an internal search for who we are as individuals” (Hunt, 2007). The category that enables the scholars to precisely describe this unique ability of Shakespeare to show humanity its own reflection is the category of metatext. Therefore, the purpose of the paper is is to analyse the metatextual potential of this film, singling out the peculiarities of its realisation on intratextual, intertextual and extratextual levels. Literature Review This category entered the terminological space of the humanities in the second half of the twentieth century. The term turned out to be a multifunctional research tool with high analytical potential. As Y. Sokolov observes, the view on the object of research from the position of the meta-level helps to “re-array a long-term and supposedly well-known object into new sections” (Sokolov, 2002). The intense discussion of the metatext problem in linguistics began with the article by A. Wierzbicka “Metatext in the Text” (1978), in which the metatext is represented as “a statement about the very statement” (Wierzbicka, 1978). According to A. Wierzbicka, metatext threads are those elements that organize and comment on the text, making it easier for the reader to comprehend it (Wierzbicka, 1978). The metatext, in the opinion of the scholar, helps to catch the interconnection

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between the sentences, to discover the ‘thinking’ structure of the whole (Wierzbicka, 1978). Therefore, the metatext, described by A. Wierzbicka, is, so to speak, an internal, or synchronous explanatory and organizational mechanism which coexists with the text in one time and space. Most modern linguists work within the framework outlined by A. Wierzbicka, among them W.J. Vande Kopple (1985), A. Crismore (1989), V.A. Shaymiev (1996), N. Turunen (1999), N.K. Ryabtseva (2005), N.P. Perfilieva (2006), J. Bu (2014), G. Marko (2017), H. Penz (2017), P. Resnik (2017), J. Scherling (2017). Yet, it should also be noted that the recent studies exhibit a trend towards expanding the functional spectrum of the category of metatext including into its instrumentarium all those elements and fragments that not only facilitate the internal organization of the text, but also amplify its selfreferential potential and ensure establishing a better connection with the reader. For example, N. Perfilieva in her monographic study “Metatext in the Context of Text Categories” (2006) states that in the way metatext functions in the text, it is “similar to a compass with which we sometimes choose a path out of a thick forest. Metatext exists to signal to the addressee how they should interpret the words spoken by the speaker, the content structure of the text. It ‘leads’ them through the text, appears in the places of textual tension (according to the prediction of the addressee), creates a ‘relief’ of the text, since sometimes a complicated text without metatext is unclear” (Perfilieva, 2006). Thus, in the words of D. Lazarenko, the process of development of the linguistic theory of metatext, which began in the 70's of the 20th century and continues today, is marked by the tendency to gradually change the ‘depth of field’ of the focus of research attention, into which new, higher levels of manifestation of metatextuality gradually fall (Lazarenko, 2010): A. Wierzbicka analyzes the functioning of meta-elements (meta-operators), that is, individual words and phrases (Wierzbicka, 1978); W.J. Vande Kopple, A. Crismore operate with such a generalizing notion as metadiscourse (Vande Kopple, 1985; Crismore, 1989) which is becoming increasingly popular in the modern linguistics (Bu, 2014; Jokić, 2017; Marko, 2017; Penz, 2017; Resnik, 2017; Scherling, 2017); N. Turunen considers metatext as a whole system of verbal and paraverbal means (Turunen, 1999); N.K. Ryabtseva speaks about the metalevel of the text (Ryabtseva, 2005); A. Charles sees metatext as a system which can unite several

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related texts (Charles, 2012). Obviously, in the process of this evolution, an expansion of research horizons can be observed in terms of involving an extra-linguistic context into the analysis. This trend brings the lin.guistic understanding of the given category close to the semiotic concept of metatext. Yuriy Lotman views metatextuality as an ‘explanatory’ function of the text, which can be performed by the whole text as well as its separate fragments (Lotman, 1992). In general, as the researcher points out, any text can perform the role of a descriptive mechanism in relation to the cultural context, serving in this way as a metatext (Lotman, 1992). It seems that the category of metatext interpreted within the semiotic framework can help scholars better understand why some texts occupy the central place in the canon while others remain marginal and are soon forgotten. While W. van Peer and A. Chesnokova (2018) rightfully state that “there is little consensus in literary studies why particular texts are better than others,” (Peer & Chesnokova, 2018), the metatextual potential of the text might help explain the work’s popularity and cultural longevity. In line with this synergistic, interdisciplinary approach to the phenomenon of metatext John Madden’s film “Shakespeare in Love” (1998) can be viewed as a text with potent metatextual resources. Methodology The methodology of this research is based on the theory of metatextuality and modern practices for the interpretation of a literary text, in particular, hermeneutic approaches and the strategy of “close reading.” The analytical model is structured around the algorithm for the study of the metatextual potential of the text developed by Darya Lazarenko (Lazarenko, 2009, 2010). The paper is a case-study of the film “Shakespeare in Love,” directed by John Madden and released in 1998, based primarily on the script written by Marc Norman and Tom Stoppard (Norman & Stoppard, 2001). First, it should be emphasised that the research will be based primarily on the text of the script that serves as the main subject of investigation, while purely cinematic aspects will be used as secondary, auxiliary subjects.

sphere, but by the orientation on the strategies of textual analysis. Such an interdisciplinary approach will allow focusing on aspects of the biographical reconstruction of the playwright's image, while not neglecting the peculiarities of the intersemiotic transformation of the verbal text into the visual and audial text. Thirdly, the analysis will focus on the specificity of constructing Shakespeare's image and its internal contradictions, however, in the course of the study, the context will also be widely involved, since for any form of biographical writing the authorial figure and context act as an indivisible, dialectical unity. As for the fourth moment, it should be mentioned that the protagonist of the cinematic biography in our case is not only an outstanding historical personality, but more precisely a writer. In recent decades, both famous politicians, activists and other public figures, whilealso prominent writers of the past are increasingly entering the lens of writers’ and director’s attention. And although this phenomenon is not new, it seems appropriate to talk about its extraordinary urgency today. The Dutch researcher A. Fokkema emphasises that without excessive exaggeration, the image of the writer can be called traditional for postmodernism (Fokkema, 1999). Modern Western scholars P. Franssen and T. Hoenselaars explain the growing interest in the biographies of writers as a form of a spiritual quest rather than daily adventures: reflecting on the life and work of his predecessor, the modern author ponders over the genesis of literature in general and his own works in particular (Franssen & Hoenselaars, 1999). That is why it seems beneficial to pay attention to the thematisation of the act of writing and the figure of the creator in this film, which will enhance our comprehension of the auto-thematic, autoreferential problems as aspects of the metatextual potential of the film. To some extent, it can be argued that this cinematic biography is in some sense an embodiment of the biographical method of Charles-Augustin Sainte-Beuve. After all, the authors of the script are trying to reconstruct the life of their character on the basis of his work. This approach forms the foundation for the multivariable reading of history, which is conditioned, on the one hand, by the degree of subjectivity of the narrator, and, on the other hand, by the impossibility of unambiguous and definitive interpretation of any literary text.

Secondly, the research algorithm will be conditioned not so much by the actual cinematic

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106 The key characteristics of this cinematic biography are closely linked to the professional self-identification of the scriptwriters and the corresponding professional affiliation of the main character. Naturally, it directly affects the manner of presentation of the material. So, first, here citations from the works of William Shakespeare are widely used. Secondly, this cinematic biography appears as a kind of implicit dialogue between two writers, which correlates with the profound self-reflectivity as a form of metatextuality. Thirdly, an important part of this film is a literary element that fits this text into a wider discourse, enabling the interaction of interpretations and versions. Thus, it can be said that the film “Shakespeare in Love” is an extremely interesting multidimensional subject of metatextual analysis, which has a pronounced nature of ‘double coding’: at the surface level, it is a historical film with an intriguing love story and an adventurepacked plot, at a more profound level it is an interdisciplinary metatextual study of the problems of writing, creativity, talent, the writer’s life in time and space, which is being conducted on the basis of the texts written by the central figure of the Western culture.

1) The first frame is a dark background with the inscription “LONDON – SUMMER 1593”. It is important because it shapes the expectations of the spectator along with the title, outlining the chronotope of the film narrative: the golden day of the English theatre, the patron of which was Queen Elizabeth I, the first years of Shakespeare's work, the years of him becoming a poetic and dramatic genius. Titles following the first frame narrow the focus, “In the glory days of the Elizabethan theatre, two playhouses were fighting it for writers and audiences. North of the city was the Curtain Theatre, home to England’s most famous actor, Richard Burbage. Across the river was the competition, built by Philip Henslowe, a business with a cash flow problem ... The Rose …” (Norman & Stoppard, 2001). This background introduces the biography of Shakespeare into a broader historical context and highlights the leitmotif of rivalry and hostility, which is further developed on several levels: 1. 2. 3.

Results and Discussion The research has shown that in “Shakespeare in Love” the biography of the famous writer is turned into a starting point for creating a unique postmodern historiographic narrative only partially connected to the genre of traditional biography. Along with it a certain ‘feedback’ develops between the postmodern and traditional biographies, when metatextuality (including metafiction) is intermingled with strategies used more often in the works belonging to the latter group (attention to historical fact and detail, focus on the personality of the writer, etc.). Three key levels on which the metatextual potential of the text is actualised are distinguished: intratextual (metatextual fragments), intertextual (allusions to the other works of the canon) and extratextual (text as an intersemiotic metatext). On the intratextual level, four main forms of metatextual commentary have been singled out:    

film, the final frames with the aftermath and the final titles.

the paratextual commentary; the leitmotif; the self-referential fragments; the allusions to the present-day realia.

The paratext includes the first frames with introductory titles, the frame with the name of the

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the rivalry between thetheatres; the rivalry between the playwrights; the rivalry between Shakespeare and Wessex; the enmity and rivalry between the Montague and the Capulet in the tragedy of “Romeo and Juliet”, which Shakespeare is writing. Such a multilevel conflict allows the director to keep the viewer in constant tension, alternating or showing different storylinesin parallel. For example, it is interesting to look at the parallel editing, when the collision of the Montague and the Capulet at the rehearsal of the Rose theatre is shown simultaneously with the approach of the enraged company of the Curtain, which starts a fight. All the levels of the conflict act as a metatextual commentary in relation to each other.

2) Thereafter on the screen, the viewer can see the decor of the Rose theatre, reproduced quite accurately and in detail. However, the creators of the film here admit one inaccuracy: one of the galleries can be seen bearing the inscription “Totus mundus agit histrionem” (lat.)(that is, “The whole world is acting” or “All the world’s a stage” in the classic Shakespearean interpretation). It is believed that this inscription was located on the pediment of the Globe theatre, in which

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Shakespeare’s company acted later (Gillies, 2003). It seems that the director deliberately uses the popular stereotype to create the most canonical form of the Elizabethan theatre, but also to hint at the further plot developments and help the viewer interpret them, which positions this seeming inaccuracy as a metatextual fragment. 3) With regard to the title of the film, it is introduced after the appearance of Shakespeare himself – at this moment he is writing and throwing crumpled sheets of paper in the direction of the yellow skull, which complements the familiar symbol. The background for the title of the film is one of the most interesting metatextual fragments of the film – Shakespeare is leaning over a sheet of paper and it seems to the viewer that he is working on a play or a sonnet, but then the camera is approaching and one can see that he is trying different ways of writing his own name, “Now we see what he is writing: Will is practising his signature, over and over again. ‘Will Shagsbeard…W. Shakspur…William Shasper…’ Each time he is dissatisfied, and each time he crumples, and tosses it away” (Norman & Stoppard, 2001). This joke comes from the novel “No Bed for Bacon” co-authored by Tom Stoppard, “He always practised tracing his signature when he was bored. He was always hoping that one day he would come to a firm decision upon which of them he liked best” (Brahms & Simon, 1999). The author plays with a wellknown historical fact, which became the pretext for discussion: there were several variants of spelling the name ‘Shakespeare’, which the playwright himself used. Robert Geal’s claim that the given fragment is a riposte in the ongoing debate around Roland Barthes’s “The Death of the Author” (Geal, 2014) seems valid as the scene is undoubtedly a metatextual affirmation of William Shakespeare’s authorship rights, opposed in its message and modality to the Oxfordian statement that “Anonymous” is making by utilizing the wide-spread brand “William Shakespeare” and “transforming it into a vivid simulacrum” (Torkut, 2013). This fragment obviously has a deeper meaning. As the Shakespearean scholar and biographer Graham Holderness notes, this scene in the film hints at the problems of modern biographics: here Shakespeare in a comic key tries different identities, as though he is already concerned about the problems that people will encounter later, trying to establish who he was (Holderness,

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2011).While the playwright is testing various options for writing his own name, it seems that from under his quilt the name of the film “Shakespeare in Love” is born. But at this moment the viewer can only guess who exactly or what exactly Shakespeare falls in love with. In conjunction with the image of the act of writing, such a title gives the impression that Shakespeare is in love with his own creativity, his own talent. 4) As for the end paratext, its key feature is the light, optimistic tone. The separation of lovers is not the end, but the beginning: for Shakespeare, this is the beginning of a new creative stage, for Viola – a new life in the ‘new world’, and at the same time it is the beginning of a new play, “The Twelfth Night”. The figure of a girl who, after a terrible shipwreck, steps onto a deserted coast and confidently moves toward facing her destiny, also embodies the playwright’s muse, which, in spite of all the travails, will be able to conquer both the new world and the old world. Interestingly enough, Shakespeare himself is aware of the imminent importance of his own creativity, he looks into the future, “It will be a love story … for she will be my heroine for all time” (Norman & Stoppard, 2001). Thus, it is worth noting that the paratetext performs in the film “Shakespeare in Love” a rather important metatextual role, shaping broad horizons of the recipient’s expectations: on the one hand, the viewers are tuned to a romantic comedy, on the other hand, they are ready to receive a more serious historical, sometimes even philosophical aspect of the screen narrative. The second important manifestation of the metatextual potential of the film is the leitmotif, which is repeated in various variants four times commenting on the plot and defining the modality of the audience’s response to it: 1) “FENNYMAN: So what do we do? HENSLOWE: Nothing. Strangely enough, it all turns out well. FENNYMAN: How? HENSLOWE: I don't know. It's a mystery” (Norman & Stoppard, 2001); 2) “WILL (to HENSLOWE): We are lost. HENSLOWE: No, it will turn out well. WILL: How will it? HENSLOWE: I don't know, it's a mystery” (Norman & Stoppard, 2001); 3) “HENSLOWE: Juliet does not come on for twenty pages. It will be all right. WILL: How will it? HENSLOWE: I don't know. It's a mystery” (Norman & Stoppard, 2001);

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108 4) “VIOLA: But all ends well. WILL: How does it? VIOLA: I don't know. It's a mystery” (Norman & Stoppard, 2001). The leitmotif appears in the most dramatic and intense moments. Gradually changing, it becomes an almost perfect echo of the title of one of Shakespeare’s most famous and at the same time most contradictory comedies – “All’s Well That Ends Well.” This comedy is often called a ‘problem play,’ which points to the difficulty with the final identification of its genre. Despite the optimistic finale, the development of action often becomes tragic in its colouring, and it is difficult to say that the ending itself is bright and cheerful. Similarly, the film “Shakespeare in Love” by genre should be attributed to a romantic comedy, but at the same time, it substantially modifies the genre canon, bringing a deep feeling, penetrating lyricism and poetic sadness to the screen narrative. A distinct metatextual feature of Shakespeare's stylistics, which scriptwriters address, is the expressive self-consciousness of the text, its selfreflexivity, and auto-referentiality. Shakespeare in his writings often showed and commented on the act of writing, verbally depicting the image of a writer, a creative person. This auto-referencing is especially noticeable in the “Sonnets” and “Hamlet”. But his other works also contain numerous metatextual elements. The scriptwriters widely use this feature of Shakespeare’s writing manner. First, the protagonist of the film is a writer and the act of writing, paper, pen, ink, poetic lines often appear on the screen. Secondly, the script as a whole is a metatext, metafiction– “story about a story,” as looks into the creation of “Romeo and Juliet.” Events unfolding on the screen and on the stage form parallel conflicts that foster and reinforce each other. Thirdly, during the development of action in the film the impression of ‘writing live’ is created, because all elements which the film contains are constantly being discussed by the actors. For example, at the beginning of the film, Henslowe outlines the potential comedy that Shakespeare supposedly is completing, “HENSLOWE: It's a crowd-tickler – mistaken identities, a shipwreck, a pirate king, a bit with a dog, and love triumphant” (Norman & Stoppard, 2001). All these elements are found later in the film and some of them –crossdressing and mistaken identities, a comic scene with a dog and a triumph of love – are represented twice: on the stage and as part of the actual storyline of Shakespeare and Viola.

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This self-referentiality is completely conscious and interpreted by scriptwriters in a comic key. Closer to the end of the rehearsals and, accordingly, the writing of the play, the following humorous dialogue is introduced, “HENSLOWE: It starts well, and then it's all long-faced about some Rosaline. Where's the comedy, Will? Where's the dog? (to RALPH) Do you think it is funny? RALPH: I was a Pirate King, now I'm a Nurse. That's funny” (Norman & Stoppard, 2001). Writers respond quickly to the critique offered by their own character – in one of the following scenes there is a comic sketch including a dog, not as part of the “Romeo and Juliet” rehearsal, but as a comic relief during the clash of the companies of two theatres – “Rose” and “Curtain”, “CRAB, the dog, is yapping and snapping at any legs he can reach. HENSLOWE, a little slow to catch up on the situation, checks the page in his hand. FENNYMAN, much slower to catch up, watches enthralled. FENNYMAN (to HENSLOWE): Wonderful, wonderful! And a dog!” (Norman & Stoppard, 2001). The profound metatextual self-referentiality of the whole script narrative is summarised in the last phrase of the film said by Viola when she is bidding Will farewell, “Write me well” (Norman & Stoppard, 2001). It seems that this phrase is to some extent a metatextual commentary to the entire fictional biopic in general. Another vivid example that demonstrates the realisation of the metatextual potential of the film is addressing the viewer through anachronisms and allusions.In the film, there is a certain ambivalence of the writers’ and director’s attitude to the balance of fact and fiction. On the one hand, the creators of the film try to represent ‘historical flair’ of the chronotope as accurately as possible involving various aspects of the Renaissance reality: the bad teeth, strange toothbrushes, authentic menu in the tavern, popular English dances, rich clothes and complicated hairstyles of the noblemen and their ladies, historical interiors and traditional book formats. On the other hand, there is a number of anachronisms in the film. They are ‘intentional’ anachronisms, designed to humorously deconstruct the familiar stereotypes. For example, one of such comic anachronisms is Shakespeare’s visit to a psychoanalyst, Dr. Moth, “Dr. MOTH, apothecary, alchemist, astrologer, seer, interpreter of dreams, and priest of psyche,” (Norman & Stoppard, 2001), who forces William on the couch and interprets all his creative problems in a completely Freudian manner, “WILL: I have lost my gift. It's as if my quill is

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broken. As if the organ of the imagination has dried up. As if the proud tower of my genius has collapsed. DR. MOTH: Interesting. WILL: Nothing comes. DR. MOTH: Most interesting. WILL: It is like trying to a pick a lock with a wet herring. DR. MOTH (shrewdly): Tell me, are you lately humbled in the act of love?” (Norman & Stoppard, 2001). Curiously enough, these lines, with their frank physicality and rather bold puns, resemble the experiments of Shakespeare himself, for example, in the dialogues of Katarina and Petruccio. Norman and Stoppard are trying to combine modernity with the Renaissance, and at the same time retain the comic effect of the initial words and situations. The connection with the reader is also established through other comic allusions that are easily recognized by the audience. For example, having learned that the young actor who played Juliet lost his high voice, Shakespeare desperately appeals to Henslowe: “WILL: What do we do now? HENSLOWE: The show must … you know. WILL: Go on” (Norman & Stoppard, 2001). The quotation from the Queen lyrics in the dialogue of the two Renaissance figures sounds rather ridiculous, thus discharging the tense and dramatic atmosphere of the ending. In the film, there are also comic anachronisms, appealing directly to the central issues of Shakespearean discourse. For example, at the beginning of the film, the camera zooms in on a shelf in Shakespeare’s room passing by a mug with the inscription “Stratford-upon-Avon” – this souvenir is a representative example of the modern Shakespearean industry. An interesting allusion to the “Shakespeare question” and antiStratfordian theories is less obvious, “VIOLA: Answer me only this: are you the author of the plays of William Shakespeare? WILL: I am. VIOLA: Then kiss me again for I am not mistook” (Norman & Stoppard, 2001). Viola, in such a strange manner, verbalizes the issue that worries many contemporary Shakespearean scholars and readers: if William Shakespeare was the author of the Shakespearean Canon. All these allusions perform the password function establishing a common cognitive ground with the recipient and indicating the “other-orientation” (Jokić, 2017) of the film’s metatextual potential. Thus, in the words of Anna Kamaralli, “using a representation of the way professional actors would prepare for a performance in sixteenth or seventeenth century London, the film inadvertently show[s] us at least as much about our own times as about the period they represent” (Kamaralli, 2011).

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The intertextual level of the film’s metatextual potential includes references to Shakespeare’s works and offers an explanation of the sources of Shakespeare’s inspiration. The most obvious intertextual connection is the parallel development of Shakespeare’s love affair and the writing of “Romeo and Juliet,” which has been mentioned above. But the intertextual range of the film is, in fact, much wider. For example, at the very beginning of the film actors stage “Two Gentlemen of Verona” for the Queen. Also, during the development of the relationship between Viola and Will, Shakespeare writes a sonnet which corresponds to sonnet 18 in the actual sonnet sequence, “Shall I compare you to a summer's day?”. It is believed that the first 127 sonnets were addressed not to a woman, but to a man, a Fair Friend. But in the film, this situation is skilfully interpreted in a very flexible manner, because Viola is cross-dressing as a boy to get to the theatre, and in this disguise, she impresses Shakespeare with her acting talent and subtle spiritual organisation. Then the deception is revealed, but the cross-dressing becomes part of the game that lovers are playing. On the extratextual level “Shakespeare in Love” can be viewed as an intersemiotic metatext which comments upon two major semantic fields: the figure of Shakespeare and the epoch of the English Renaissance. Shakespeare is represented in the analysed fictional biopic as an ambitious young playwright. Perhaps, it is Shakespeare’s age that allows scriptwriters and the director to rethink this stereotyped image in a new and meaningful way. First, one should pay attention to Shakespeare’s appearance. Most of the canonical portraits depict him as a middle-aged man with a serious face, attentive, penetrating eyes, trimmed moustache and abeard, a high forehead, receding hairline, and an earring. In the film, Shakespeare is 29 years old, he is still quite young and it gives the director of the film ‘a green street’ in terms of constructing Shakespeare’s visual image, because no one knows for sure what exactly the playwright looked like at that age. Joseph Fiennes creates on the screen a romantic image of a good-looking and charming young man with a dreamy expression on a noble, kind face. Seriousness, inherent in classical portraits, disappears: Will is mobile, impulsive; a variety of emotions is displayed on his face. Regarding the character and behaviour of canonical Shakespeare, one should pay attention

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110 to the fact that there exists a certain stereotype, consecrated with legends and historical anecdotes (Marinesko, 2015). It is believed that Shakespeare was kind, but was also able to count money and knew how not to lose his own profit. He is often depicted as a connoisseur of female beauty, but at the same time a modest, calm person. In the film, Shakespeare is overwhelmed by a whirlpool of inspiration and emotions, but even in this unusual context, he manifests some qualities deemed ‘traditional’ for him, albeit in a somewhat rethought form. First, he is friendly and warm to all the members of the company, although it can be seen that the genius playwright in him is stronger than the simple human being. Secondly, his desire to become rich is expressed in an attempt to fool Burbage and to sell an unfinished play to the two theatres at one and the same time. Thirdly, he undoubtedly appreciates female beauty: his psychoanalyst begins to enumerate women, of which Will told him, but is interrupted, “DR. MOTH (CONT'D): Black Sue, Fat Phoebe, Rosaline, Burbage's seamstress; Aphrodite, who does it behind the Dog and ...” (Norman & Stoppard, 2001). As for modesty and tranquillity, in the film, these features are not at all inherent in him. Moreover, Shakespeare is presented as a rather vain, ambitious and impulsive young man whose temperament fully corresponds to the general atmosphere of the excitement of the Renaissance London atmosphere. As for the creative aspect of Shakespeare's personality, here a significant transformation can be observed. Ben Johnson, an outstanding contemporary of Shakespeare and his personal friend, wrote about him, “I remember the players have often mentioned it as an honour to Shakespeare, that in his writing, whatsoever he penned, he never blotted out a line” (Jonson, 2015). In the film, this image is being deconstructed: Shakespeare is shown suffering from creative agony, he not only crosses out some of the lines, but also rejects whole sheets. Moreover, the playwright experiences what is usually called the writer's block. Thus, it can be said that in the film Shakespeare’s image is removed from the pedestal, it is brought closer to the modern audience, especially the young audience, the legend turns into a living person. Speaking about the epoch as an object of the metatextual commentary in the film, one should pay special attention to the theatrical life shown on the screen. It should be noted that not only dramatists, actors and other key figures of theatrical life attracted the attention of the scriptwriters, but also the theatrical microcosm as

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a whole. The interior of the theatre is very detailed, as well as costumes, rehearsals, texts of plays, main theatrical practices. A striking example is the embodiment of the interactive nature of the Elizabethan theatre, when viewers could interact with actors, shouting out one or another phrase, “VIOLA AS JULIET: Where is my Romeo?” NURSE: (involuntarily) Dead!” (Norman & Stoppard, 2001). At the same time Viola, in no way surprised, continues to recite her own role. Another vivid example is the hint at the practice of ‘pirate’ publishing the texts of plays by the actors themselves or by those swindlers who recorded the plays under the dictation of actors who gave a detailed account of their own words, but distorted the rest of the text. In a humorous way, this practice is shown on the screen when the prostitute in the tavern is interrogating Ralph, who played the Nurse, what exactly happens in the play, "WHORE (to RALPH): And what is this play about? RALPH: Well, there's this Nurse" (Norman & Stoppard, 2001). So, as one can see, screenplay writers and the director of “Shakespeare in Love” create a comprehensive and faithful metatextual commentary on the chronotope of the Renaissance England and its vibrant theatrical life. At the same time, the film also has many ‘intentional’ anachronisms serving as metatextual fragments, which are designed to create a comic, humorous atmosphere, to establish contact with the contemporary audience, and, interweaving the Renaissance and the present, to inveigle the recipient into looking beyond the familiar cultural stereotypes.

Conclusions As the analysis offered above demonstrates, “Shakespeare in Love” is a unique film which possesses a high metatextual potential that can be used to better understand the cultural specificity of the English Renaissance, its profound connection with the present-day civilisation, modern cultural stereotypes, as well as explore the nature of creativity, the intricacies of the writing process and the semiotics of the theatre. It seems only logical that the metatextual potential of this film can be harnessed in the classroom and used to inform students’ understanding of the subject (linguistics of the text, semiotics, theatre studies, cultural studies, literary studies, history, etc.) and motivate them to go into detail, do deeper research and think out of the box, as well as to develop their creativity

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and critical thinking skills. Shakespeare and his biography can be deemed a perfect experimental ground for this mission. Shakespeare is literally everywhere: not only in terms of language, plots, images, and allusions, but also in terms of the very way of thinking. Shakespeare has become such a familiar and conventional part of the students’ cultural map that any attempt to challenge his canonical position, re-think and reshape the stereotypes will cause surprise and curiosity, engage the young people in a discussion much better than the usual overexcited yet formulaic panegyrics. This is why it is crucial to show Shakespeare not as a respectable sage from the Chandos portrait and the Droeshout engraving, but as a handsome nobleman from the Cobbe Portrait and a smiling middle-aged man with an ironic spark in his kind eyes of the Sanders portrait. Shakespeare, our contemporary, has to be taken off the pedestal and set free walking among the students – as a young lover, an ambitious achiever, a successful businessman. John Madden’s “Shakespeare in Love” accomplishes this task perfectly well. It shows Shakespeare as a young and handsome man whose life is chaotic and messy, bright and inspired – it is a Shakespeare the audience can criticize, laugh at but ultimately fall in love with rather than just behold in awe and silence. This seems exactly what modern students need. Bibliographic references Brahms, C. & Simon, S.J. (1999). No Bed for Bacon. London: Black Swan, 256 p. Bu, J. (2014). Towards a pragmatic analysis of metadiscourse in academic lectures: From relevance to adaptation. Discourse Studies, 16 (4), pp. 449-472. Retrieved from http://www.jstor.org/stable/24441991. Charles, A. (2012). The Meta-Utopian Metatext: The Deconstructive Dreams of Ulysses and Finnegans Wake. Utopian Studies, No. 23(2), pp. 472-503. Retrieved from https://doi.org/10.5325/utopianstudies.23.2.0472 Cherniak, Yu.I. (2010). The interdisciplinary dimensions of the problem of the discourse typology and the literary studies analytics. Bulletin of Zaporizhzhia National University, No. 1, pp. 94-100. Retrieved from http://web.znu.edu.ua/herald/issues/2010/fil_20 10_1/094-100.pdf. Crismore, A. (1989). Talking with Readers: Metadiscourse as Rhetorical Act. New York: Peter Lang Pub. Inc., 294 p. Fokkema, A. (1999). The Author: Postmodernism’s Stock Character. The Author as Character: Representing Historical Writers in

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Western Literature. Madison, NJ: Fairleigh Dickinson University Press, pp. 39–51. Franssen, P., & Hoenselaars, T. (1999). Introduction. The Author as Character: Defining a Genre. The Author as Character: Representing Historical Writers in Western Literature. Madison, NJ: Fairleigh Dickinson University Press, pp. 11–35. Geal, R. (2014). Suturing the Action to the Word: Shakespearean Enunciation and Cinema's “Reality Effect” in “Shakespeare in Love” and “Anonymous”. Literature/Film Quarterly, No. 42(2), pp. 438-450. Retrieved from http://www.jstor.org/stable/43798978. Gillies, J. (2003). Shakespeare and the geography of difference. Cambridge: Cambridge University Press, 258 p. Holderness, G. (2011). Nine Lives of William Shakespeare. London: Continuum International Publishing Group, 255 p. Hunt, M. (2007). Looking for Hamlet. N.Y.: Palgrave Macmillan, 230 p. Jokić, N. (2017). Metadiscourse in ELF spoken discourse of Erasmus students in Austria. AAA: ArbeitenAusAnglistik Und Amerikanistik, No. 42(2), pp. 211-223. Retrieved from http://www.jstor.org/stable/26379472. Jonson B. (2015). On Shakespeare. English Essays: Sidney to Macaulay. The Harvard Classics. Retrieved from http://www.bartleby.com/27/2.html. Kamaralli, A. (2011). Rehearsal in Films of the Early Modern Theatre: The Erotic Art of Making Shakespeare. Shakespeare Bulletin, No. 29(1), pp. 27-41. Retrieved from http://www.jstor.org/stable/44657257. Lazarenko, D.M. (2009). The category of metatext in the terminological paradigm of the modern literary studies. State and Regions. Series: Humanitarian Sciences, No. 3–4, pp. 21–26. Lazarenko, D.M. (2010). The notion of metatext as a linguistic category in the intellectual space of the modern philology. New Philology. Zaporizhzhia: Zaporizhzhia National University, No. 39, pp.102–110. Lotman, Yu. M. (1992). The semiotics of culture and the notion of text. Tallinn: Aleksandra, pp. 129–132. Retrieved from https://doi.org/10.2753/RPO1061-0405260352. Madden, J. (Director). (1998). Shakespeare in love [Motion picture]. United States: Universal Pictures. Marinesko, V. (2015). The Strategies of Reconsidering Shakespeare’s Biography in the Novel “My Name Is Will” by J. Winfield. State and Regions. Series: Humanitarian Sciences, No. 2 (41), pp. 26-30.

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112 Marko, G. (2017). Power and status by definition: Preliminary theoretical considerations on a study of defining as a metadiscursive strategy in lay-to-lay interaction. AAA: ArbeitenAusAnglistik Und Amerikanistik, No. 42(2), pp. 243-279. Retrieved from http://www.jstor.org/stable/26379474. Norman, M., & Stoppard T. (2001) Shakespeare In Love. Retrieved from https://www.imsdb.com/scripts/Shakespeare-inLove.html. Peer, W. V., & Chesnokova, A. (2018). Reading And Rereading: Insights Into Literary Evaluation. Advanced Education, No. 9, pp. 39-46. Retrieved from https://doi.org/ 10.20535/2410-8286.125730. Penz, H. (2017). Metadiscourse in multi-party conflict talk. AAA: ArbeitenAusAnglistik Und Amerikanistik, No. 42(2), pp. 301-323. Retrieved from http://www.jstor.org/stable/26379476 Perfilieva, N.P. (2006). Metatext in the aspect of text categories. Novosibirsk: Novosibirsk State Pedagogical University Bulletin, 285 p. Resnik, P. (2017). Metadiscourse in spoken interaction in ESL: A multilingual perspective. AAA: ArbeitenAusAnglistik Und Amerikanistik, No. 42(2), pp.189-210. Retrieved from http://www.jstor.org/stable/26379471. Ryabtseva, N.K. (2005). Language and natural intellect. Moscow: Academia, 640 p. Shaymiev, V.A. (1996). Metatext and some of its features. SPb: Russian State Pedagogical University Bulletin, pp. 79 – 84.

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Scherling, J. (2017). Pragmatics of power: On the intricacies of metadiscourse in the Labour leadership debates 2015 and 2016. AAA: ArbeitenAusAnglistik Und Amerikanistik, No. 42(2), pp. 281-300. Retrieved from http://www.jstor.org/stable/26379475. Sokolov, Ye.G. (2002). The terror of metaprinciples. SPb.: Saint-Petersburg Philosophical Society Bulletin, pp.18-21. Retrieved from http://anthropology.ru/ru/text/sokolov-eg/terrormeta-principialnosti. Taylor, G. (1990). Reinventing Shakespeare: A cultural history, from the Restoration to the present. London: Hogarth Press, 226 p. Torkut, N.M. (2013). Roland Emmerich’s “Anonymous” in the context of the antiStratfordian debate. State and Regions. Series: Humanitarian Sciences. No. 1, pp. 4-10. Retrieved from http://nbuv.gov.ua/UJRN/drgn_2013_1_3. Turunen, N. (1999). Metatext as a global system and the issues of constructing text in the speech development manuals. Stereotypes and art in the text: interuniversity collection of scientific papers. Perm: Perm university, pp. 310-320. Vande Kopple, W.J. (1985). Some Exploratory Discourse on Metadiscourse. College Composition and Communication, No. 36(1), pp. 82-93. Wierzbicka, A. (1978). Metatext in the text. New in Foreign Linguistics, No. 8, pp. 402421. Retrieved from http://destructioen.narod.ru/vegbicka_metatekst. htm.

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DOI: https://doi.org/10.34069/AI/2021.42.06.11 How to Cite: Zhovkovska, T., Bezchasnyi, O., Usykova, O., Rybachuk, K., & Dzhuryk, K. (2021). Predicting development based on a model of reflexive connections. Amazonia Investiga, 10(42), 113-123. https://doi.org/10.34069/AI/2021.42.06.11

Predicting development based on a model of reflexive connections Прогнозування розвитку на основі моделі рефлексивних зв’язків Received: May 5, 2021

Accepted: June 13, 2021

Written by: Zhovkovska Tetyana47 https://orcid.org/0000-0003-3675-3330 Bezchasnyi Oleksii48 https://orcid.org/0000-0003-2663-4688 Usykova Olena49 https://orcid.org/0000-0001-6734-5757 Rybachuk Kostyantyn50 https://orcid.org/0000-0002-8904-2682 Dzhuryk Khrystyna51 https://orcid.org/0000-0002-7100-8128 Abstract

Aннотація

The purpose of the article is to develop an approach to quality forecasting of industrial enterprises. This article intends to understand how to take into account in predicting relationship, behavior and interaction of economic agents that affect the efficiency of the enterprise. The result of the work is a reflexive approach to forecasting the development of an industrial enterprise, which focuses on prediction considering the complex interaction of economic agents in industrial activities as subjects of reflection with appropriate ranks. The approach based on the proposed model, which taking into account the reflective relationships between the industrial enterprise system and the components of the external environment, in which the industrial enterprise and other economic agents (or groups of economic agents) are considered as systems and trajectories. Depending on the trajectories of the components of the environment can be predicted development of industrial enterprises and management measures developed for correction. As components of the external environment, the trajectories of which

Метою статті є розробка підходу до якісого прогозування розвитку промислових підприємств. Ця стаття має намір дати зрозуміти, як враховувати у прогнозуванні відносини, поведінку та взаємодії економічних агентів, що впливають на ефективність розвитку підприємства. Результатом роботи є представлений рефлексивний підхід до прогнозування розвитку промислового підприємства, який фокусується на прогнозуванні з урахуванням складної взаємодії економічних агентів у промисловій діяльності як суб'єктів рефлексії з відповідними рангами. Підхід, заснований на запропонованій моделі, який враховує відображувальні взаємозв'язки між системою промислового підприємства та компонентами зовнішнього середовища, в якій промислове підприємство та інші економічні агенти (або групи економічних агентів) розглядаються як системи та траєкторії . Залежно від траєкторій руху компонентів середовища можна передбачити розвиток промислових підприємств та заходи

Doctor of Economics Sciences, Western Ukrainian National University, Director of Chortkiv Vocational College of Economics and Entrepreneurship, Ternopil, Ukraine. 48 Doctor of Economics, Associate Professor, Associate Professor of the Department of Hospitality Industry and Sustainable Development, V.I. Vernadsky Taurida National University, Ukraine. 49 Doctor of Economics Sciences, Associate Professor of Management Department, Director of the Educational Scientific Institute of Economics and Management, Mykolayiv National Agrarian University, Ukraine. 50 Ph.D., Candidate of Pedagogical Sciences, Associate Professor, Head, Department of Organizational and Analytical Support of the State Supervision (Control), State Service for Education Quality of Ukraine, Kyiv, Ukraine. 51 Lviv Polytechnic National University, postgraduate student of the Department of Finance, Lviv, Ukraine.

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must be taken into account when reflexively forecasting the development of an industrial enterprise are offered: the market of raw materials; groups of competitors; consumer groups; supplier groups; financial market; labor market. The model of taking into account the reflective connections between the system of the industrial enterprise and the components of the external environment is implemented in the PowerSim simulation package. Keywords: development, reflexive, model, connections, prediction.

управління, розроблені для корекції. Як складові зовнішнього середовища, траєкторії яких необхідно враховувати при рефлексивному прогнозуванні розвитку промислового підприємства, пропонуються: ринок сировини; групи конкурентів; групи споживачів; групи постачальників; фінансовий ринок; ринок праці. Модель врахування відбивних зв'язків між системою промислового підприємства та компонентами зовнішнього середовища реалізована в симуляційному пакеті PowerSim. Ключові слова: розвиток, рефлексивна, модель, зв’язки, прогнозування.

Introduction Accurate forecasts are vital for decision support modern companies. The process of forecasting is the first step in the management of industrial establishments. When forecasting the development of enterprises traditionally refers to "identify and study possible alternatives for future development of the company" (Li et al, 2018) or "study of qualitative and quantitative changes its state in the future, as well as methods and deadlines to achieve these states" (Hu et al, 2019). Forecasting provides grounds for the implementation of related management functions, first of all, further planning of the enterprise. Usually in predicting the enterprise development is considered a major forecasting demand for products, so the most advanced forecasting methods are marketing component of the enterprise. But in today's world, under the conditions of the next industrial revolution and industrial transition in the sixth technological way, special attention needs forecasting and production technologies required for their development of human capital, etc. (Andriushchenko at el, 2019). When forecasting the development of industrial enterprises should take into account that the company is a system, the results of which are very closely dependent on the environment. All economies are open and closed to some extent; and these systems include reflex subjects who have the ability to act differently (Zheng-Xin, 2013). First of all, the results of the industrial enterprise are influenced by the actions of its contractors - consumers, trade intermediaries, suppliers and so on. Thus, it is necessary to predict not only the probable trajectory of the industrial enterprise system, but also the trajectory of development of related systems,

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which is proposed to implement through a reflective approach, while analyzing the perception of the industrial enterprise by its counterparties and whether it adequately evaluates this perception. This paper presents a reflexive approach to forecasting the development of industrial enterprises, able to evaluate and optimize the implementation of tasks. The main idea of the study is that by using reflective approach to forecasting the development of industrial enterprises is the ability to affect the interaction of economic agents in the implementation of the tasks of development and changes that have been caused by them, which allows for significantly reduced time to consider their response subjective component. Theoretical Framework or Literature Review In a general sense reflexive management includes the following components: awareness of self-interest entity management; installation of the control object; determination of their interest in relation to the object of management; definition contractors in confrontational relations; interaction with counterparties and providing them with grounds for decisionmaking (Dligach, 2016). In the context of reflexive approach to forecasting the development of industrial enterprises offered distinguish the company that is both subject and object of management, and its contractors, who in the first rank reflection act as subjects, but may also be considered as subjects when using reflexive models of higher ranks. In a general sense, ranked reflection (Robert & Ola, 2020; Wang et al, 2020; Soros, 2013)

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implies that the subject of reflection with the rank K takes its contractors as subjects of reflection with rank K-1 (Kuzior et al, 2021). When forecasting the development of enterprises in most situations it makes sense to consider industrial enterprise in terms of the first rank reflection and only a few cases in terms of the second rank. The first rank of reflection means that the industrial enterprise believes that its counterparties make decisions without taking into account its actions, ie have a reflection of zero rank. Zero-rank reflection is common in typical game theory models, where the subject decides on his strategy only from information about the payment matrix, without taking into account the strategies of other participants. In turn, if the company uses the second rank of reflection in forecasting trajectory, counterparties have the first rank, ie take into account the existence of this company, but do not take into account its reflective calculations. The general scheme of forecasting the development of an industrial enterprise taking into account the reflexive assessment of the actions of contractors are shown in Figure 1.

competitors, customers and suppliers, sales agents and more. In reflection industrial enterprises rank zero (no reflection) forecasting carried excluding external environment is shown in Figure 1a. Industrial enterprise carries forecasting key metrics based on previous periods, by simple extrapolation and continuation of the trend that is already there (Marinenko, 2016; Fildes & Goodwin, 2020; Tarasova et al, 2019). The peculiarity of this prediction is the need to have enough observations to build trends indicators predicted (Wang & Tan, 2021; Kang et al, 2021; Gonçalvesa et al, 2021; Nguyen et al., 2021; Hong, etc., 2021; Amendola et al, 2020; Kwilinski et al., 2019). Thus are three main groups of objects that form the environment of an industrial enterprise, competitors, customers and suppliers, sales agents and more. In reflection industrial enterprises rank zero (no reflection) forecasting carried excluding external environment is shown in Figure 1a.

Thus are three main groups of objects that form the environment of an industrial enterprise, 1

Industrial enterprise

Competitors

Consumers

Suppliers, trade intermediaries, etc.

а) 0 rank

Industrial enterprise 2

4 3

Competitors

Consumers

Suppliers, trade intermediaries, etc.

b) 1 rank

Industrial enterprise 2 3

Competitors

7 4

Consumers

Suppliers, trade intermediaries, etc.

с) 2 rank

Figure 1. Reflexive construction of forecasts of the external environment of the enterprise. Source: own research. Industrial enterprise carries forecasting key metrics based on previous periods, by simple

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extrapolation and continuation of the trend that is already there. The peculiarity of this prediction is

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116 the need to have enough observations to build trends indicators predicted (Patomäki, 2017). This significantly limits the possibility of such forecasting, in addition, accuracy of forecasts will be sufficient only in a stable economy, without the emergence of disturbing factors, which is almost impossible in the modern world. The main indicator that can be predicted at zero rank of reflection is the volume of sales. At zero reflection appropriate to use such methods of forecasting: time series analysis of the company's sales volume and its extrapolation into the future; time series analysis of the market products and calculate sales company as a share of the total market value based on the previous period. In fact, this forecast does not take into account the response of other economic entities, the possibility of their significant positive or negative impact on the development of industrial enterprises.

comparative efficiency of technologies; product competitiveness; comparative brand statement, etc.

production

Some of these indicators can have a basic projections based on the use of methods inherent to rank zero reflection, but most of them require consideration of predicting the actions of other economic agents. Thus, many industrial technologies and types of products are characterized by cyclicality, when every few years or decades there are updates and those companies that have not had time to modernize, go bankrupt. These cycles are characterized as traditional industries such as automobile manufacturing and modern types of industrial production, such as production of electronic devices. In this case, it is necessary to use cyclical forecasting models that take into account both global economic cycles and local technological, demographic, consumer and other cycles.

More effective is forecasting the development of the company, when industrial enterprises forecasting exercise using the reflection of the first rank is shown in Figure 1b.

Correlation and regression analyzes are effective for predicting the development of an industrial enterprise with reflection of the first rank. They reveal the relationship between factors that primarily influences between economic agents and indicators of industrial enterprises.

The following prerequisites are used:

The forecasting is carried out in two stages.

other economic agents who have an influence on the industrial enterprise, carry out actions with zero rank of reflection; industrial enterprise recognizes and considers the existence of intentional influence on the activity of other economic agents.

First, the indicators of economic agents who have zero rank of reflection are predicted by analyzing time series and extrapolating them to the future.

economic agents who have an influence on the industrial enterprise, carry out actions with zero rank of reflection; industrial enterprise recognizes and considers the existence of intentional influence on the activity of other economic agents. At the same time, it is possible to forecast a wider range of indicators of industrial enterprise development and related indicators than in the previous case. Such indicators include: sales volume by types of products; product profitability; market value of the enterprise; market share of the enterprise;

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In the second stage, the effects of these agents on the activities of the industrial enterprise are calculated, and then indicators of its development are forecast. Thus, forecasting the development of an industrial enterprise using the reflection of the first rank provides a fairly accurate reflection of the effects of the external environment and at the same time does not require the use of too complex and expensive methods of studying this environment. A more accurate, but also more difficult is predicting the development of industrial enterprises using reflection of the second rank is shown in Figure 1c. It is assumed that other economic agents reflection of the first rank, ie, take into account the actions of industrial enterprises and adapt to them. In turn, forecasts

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industrial enterprises are built taking into account these possible actions of other economic agents.

reflective behavior of industrial enterprises and other economic agents.

For this case it is appropriate to use simulation, especially methods scenario projections. The most appropriate solution to the problem of forecasting the development of industrial enterprises with regard reflexive actions of other economic agents such groups are methods for constructing scenarios of:

This industrial enterprises and other economic agents (or group of economic agents) should be considered as a system with position and trajectory. Depending on the trajectories of the components of the environment can be predicted development of industrial enterprises and management measures developed for its correction. As components of the external environment, the trajectories that must be taken into account in the system-reflexive forecasting of the development of an industrial enterprise:

final consumption research; trial marketing; structural analysis of the competitive environment; construction of a tree of situations on the basis of expert assessments; Forecasting with the help of final consumption research is carried out by studying the consumers of the enterprise's products and determining their needs, including taking into account their development and possible replacement by competitors' products and substitute goods. Test marketing is effective study prospects of new or improved products. At the same time, test sales are carried out in a limited region or for a limited number of consumers and their reactions are investigated. Structural analysis of the competitive environment is a well-known research method, which was proposed by M. Porter (1987). The following indicators are evaluated to assess the development of threats in the industrial sector: threats of new competitors, opportunities for consumers to put pressure on the manufacturer to reduce prices, opportunities for suppliers to put pressure on the manufacturer to increase prices, the likelihood of substitute goods, the degree of competition in the industry.

raw materials market; groups of competitors; consumer groups; supplier groups; financial market; labor market. Such components as competing groups of customers or suppliers can be represented as a number of groups for each component if they have fundamental differences that affect the development of the company and in general. For example, providers can be divided into two groups - which have a monopoly position and may exercise price pressures in industry, and all others. The trajectories of the components of the environment influence the trajectory of industrial enterprises, this relationship can be described as a simulation model. The model of reflexive forecasting of industrial enterprise development taking into account reflexive connections between the system of industrial enterprise and components of external environment has the following look:

 

StE  S DtE ,

Methodology Building a tree of situations based on expert assessments is carried out by interviewing heads of departments of the enterprise, sales agents, contractors and consumers, and other experts who have sufficient information and qualifications to predict the possible development of the external environment of the industrial enterprise. As a result of aggregating these surveys, a scenario tree can be constructed that reflects possible directions for change in the external environment. All of these methods and their combinations make it possible to resolve the problem of forecasting the development of the industrial enterprise predicting the environment, taking into account both the

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(1)





DtE  dtE1 ,dtE2 ,dtE3 ,dtE4 ,dtE5 ,dtE6 ,dtE7 ,

StE

where

– forecast of industrial enterprise

development at the time t;

DtE

– the set of states of the industrial

enterprise system at the time t (selected only those indicators of the state that reflect the development of the enterprise);

d tE1

– sales volume by type of product at the

time t;

d tE2

– product profitability at the time t;

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118

d tE3

– market value of the enterprise at the time

Wt 2

– forecast of competitors' development at

the time t;

d tE4 – the company's market share at the time t; d tE5 – comparative efficiency of production

Wt 3

technologies at the time t;

d tE6

– product competitiveness at the time t;

d tE7 – comparative statement of the brand at the

– consumer development forecast at the

time t;

Wt 4

– forecast of supplier development at the

time t;

Wt 5

– forecast of financial market development

at the time t;

time t.

Wt6

The specific function that converts many states of the industrial enterprise system into the initial value of development assessment depends on what the owners or managers of the enterprise consider to be development - it can be the improvement of all indicators, achieving set values or one aggregated multiplier. But the establishment of a specific indicator of development is a task for the planning stage, and for the stage of forecasting development the main task is to forecast the state of the system, which consists of its trajectory.

the time t.

In turn, the trajectory of the system of an industrial enterprise depends on the trajectories of the components of the external environment:





d tE1  f E1 Wt 2 ,Wt 3 ,





 

(3)



f

W



,Wt ,





... f

(5)

(6)



dtE7  f E7 Wt 2 ,Wt 3 , where



 

(10)



 

(11)



 

(12)



 

(13)

Wt 5  wt5,1 ,wt5,2 ,r 5 DtE ,

 

where

(14)

wt1,1 – raw material prices at the time t; – quality of raw materials at the time t;

wt2,1 – number of competitors at a time t; (7)

wt2,2 – sales of competitors at the time t; wt2,3 – comparative efficiency of competitors at

(8)

the time t;

wt3,1 – market capacity at the time t; – functions that link the

development of the industrial enterprise system with the systems of the external environment;

Wt1

(9)

Wt 3  wt3,1 , wt3,2 , wt3,3 , r 3 DtE ,

wt1,2

dtE6  f E6 Wt1 ,Wt 2 ,Wt 4 ,



 

Wt 2  wt2,1 ,wt2,2 ,wt2,3 ,r 2 DtE ,







Wt1  wt1,1 , wt1,2 , r 1 DtE ,

Wt6  wt6,1 , wt6,2 , wt6,3 ,r 5 DtE ,

(4)

dtE4  f E4 Wt1 ,Wt 2 ,Wt 3 ,Wt4 ,Wt 5 ,Wt6 , d tE5

Accordingly, each of the components of the external environment has the appropriate indicators, and in forecasting, these indicators may reflexively depend on the actions of the industrial enterprise:

Wt 4  wt4,1 ,wt4,2 ,r 4 DtE ,

(2)

dtE2  f E2 Wt1 ,Wt 2 ,Wt3 ,Wt4 ,Wt5 ,Wt6 , d tE3  f E3 Wt 2 ,

– forecast of labor market development at

– forecast of raw material market

development at the time t;

wt3,2 – availability of foreign markets at the time t;

wt3,3

preferences at a time t;

wt4,1

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– the tendency of consumers to change – variety of suppliers at a time t;

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wt4,2 – the quality of performance by suppliers of their contracts at the time t;

wt5,1 – the cost of raising funds at the time t;

wt5,2 – ease of raising funds at a time t; wt6,1 – the cost of labor at the time t;

wt6,2

– qualification of the workforce at the time

wt6,3

– availability of labor at the time t;

r 1 ...r 6

–

functions

that

reflect

the

consideration of economic agents of the actions of the industrial enterprise in the reflection of the first rank. Forecasts of development or trajectories of components of the external environment provide an opportunity to justify the existing limitations of the possibility of enterprise development. So

if the whole market of raw materials has a positive trajectory, the company can develop towards cost reduction and if negative trajectory - that development can be considered even maintaining the current cost. A positive trajectory is considered if all components of the system under study have a positive dynamics, and vice versa, if all indicators deteriorate, the trajectory can be considered negative. In the case of different dynamics of indicators, the trajectory can be considered mixed, or to assess by calculating a single integrated indicator. Results and Discussion Implementation of the model taking into account the reflexive link between the industrial companies and environmental components in a package made of simulation PowerSim is shown in Figure 2.

Figure 2. Simulation model accounting reflexive link between the industrial companies and environmental components implemented in the package PowerSim. Source: own research Approbation of the reflexive approach to forecasting the development of an industrial enterprise was carried out at the machinebuilding enterprises of Ukraine A and B., which produce industrial equipment. Enterprise A is a manufacturer of thermal equipment, primarily electric and gas furnaces, as well as other related industrial equipment. The peculiarity of the company, which distinguishes

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it from most competitors is the presence developed its own design department, which provides customized thermal design equipment according to customer needs.Overall activity A company can be considered a successful return on sales ranged from 28.3% to 50.3% and unprofitable in the past five years there was only one in 2019 is shown in Table 1.

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120 Table 1. Performance indicators of enterprise A, thousand USD Indicator Net income from sales of products (goods, works, services) Cost of goods sold (goods, works, services) Profitability of sales Net financial result

2016

2017

2018

2019

2020

56015

104040

51115

21511

69646

37264 50,3% 8876

69393 49,9% 18841

38229 33,7% 3402

16626 29,4% -5297

54267 28,3% 6263

Source: own research Using the proposed reflexive approach to forecasting the development of industrial enterprise, the forecasting of the external environment for enterprise A for 2021 was carried out. At the same time, the IMF's macroeconomic forecasts were used as baseline.

As a result of forecasting, it is established that most components of the environmental system will have negative dynamics, but provided that the advantages of those components of the environment have positive dynamics and effective adaptation to negative trajectories, company A will be able to provide overall positive results are shown in Table 2.

Table 2. Forecasts of trajectories of states of systems of external environment of the enterprise A Environmental systems

Forecast

Environmental indicators

Forecast

without significant changes

raw material prices

+10%

Raw materials market

quality of raw materials

unchanged

Competitors

unchanged

Consumers

positive

unchanged unchanged unchanged +25% +10% unchanged will get worse

Suppliers

negative

Finance market

negative

Labor market

negative

number of competitors sales of competitors comparative efficiency of competitors market capacity availability of foreign markets consumer propensity to change preferences variety of suppliers the quality of performance by suppliers of their contracts the cost of raising funds ease of raising funds labor costs skills of the workforce labor availability

will get worse +40% unchanged +50% will get worse will get worse

Source: own research Thus, the negative prognoses of suppliers, finance and labor. The deterioration of the environment in terms of suppliers due to get away from the market some suppliers of materials. Also, due to exchange rate fluctuations there are risks of non-performance or late performance of contracts for the supply of imported components. In the financial market, negative trends are expected due to the rising cost of borrowed funds. The most difficult is the situation on the labor market. Further decline in skills and labor availability is expected due to emigration of workers to the EU and aging of skilled workers.

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As a result of raising the minimum wage and lack of qualified staff projected rise in the cost of labor. But due to capacity growth markets, including the availability of foreign markets through further EU action Association, the aforementioned negative effects can be overcome. It is necessary to plan appropriate measures to: supply diversification to reduce negative trends in the supplier system;

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increasing the accuracy of resource requirements planning to minimize the need to attract working capital; training and education of skilled labor; intensify the preparation of proposals to expand accessibility in the markets.

Mainly the products of enterprise B are used by Ukrainian industrial enterprises. According to the results of 2020, the share of products sold on the domestic market amounted to 62.03%, while 37.97% of products were exported.

Enterprise B manufactures lifting and handling equipment, as well as building metal structures and parts of structures. The main consumers of products are enterprises of metallurgical and coke industries.

The effectiveness of the company B is unstable. Despite the relatively high rates of return on sales, which reached 33.5%, net financial results unstable. In 2017-2018, the company had significant losses are shown in Table 3.

Table 3. Performance indicators of enterprise B, thousand USD Indicator Net income from sales of products (goods, works, services) Cost of goods sold (goods, works, services) Profitability of sales Net financial result

2016

2017

2018

2019

2020

152133

125976

75173

128272

134241

135511 12,3% 10520

117331 7,4% -7796

69774 7,7% -4171

109681 17,0% 267

100550 33,5% 47

Source: own research Prediction of the environment for the company B in 2021, carried out using the developed approach made it possible to establish that the

majority of environmental trends are negative are shown in Table 4.

Table 4. Forecasts of trajectories of states of systems of external environment of the enterprise B Environmental systems Raw materials market

Forecast negative

Competitors

negative

Consumers

positive

Suppliers

positive

Finance market

negative

Labor market

negative

Environmental indicators

Forecast

raw material prices quality of raw materials number of competitors sales of competitors comparative efficiency of competitors market capacity availability of foreign markets consumer propensity to change preferences variety of suppliers the quality of performance by suppliers of their contracts the cost of raising funds ease of raising funds labor costs skills of the workforce labor availability

+35% unchanged increase unchanged high +20% will get worse unchanged unchanged improve +40% unchanged +50% will get worse will get worse

Source: own research For both company A and company B, the forecasts of the financial market and the labor market are negative. This is a common branch, respectively, indicators of these markets are also common. At the same time, the forecasts for consumers and suppliers are positive. Further exit of the metallurgical industry from the crisis will lead to improved performance of their

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contracts by suppliers. In addition, the demand for products of enterprise B in enterprises of metallurgical and coke industries is expected to increase. A slight decrease in orders from foreign markets will not be significant. But the forecasts for the prices of raw materials from competitors are

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122 negative. Raw material prices will rise due to rising world prices for metallurgical products. It is also expected to increase the activity of competitors who did not operate due to the crisis. For enterprise development in, subject to the implementation of these projections need to plan the following activities: diversification of suppliers in order to choose the most favorable prices; modernization of technologies used at the enterprise in order to ensure sufficient competitiveness; increasing the accuracy of resource requirements planning to minimize the need to attract working capital; training and education of skilled labor. Сonclusions In this paper presents a reflexive approach to forecasting the development of an industrial enterprise, which focuses on prediction considering the complex interaction of economic agents in industrial activities as subjects of reflection with appropriate ranks. It is proved that in predicting the development of the company in most cases it makes sense to consider industrial enterprise in terms of the first rank reflection and only a few cases in terms of the second rank. The approach based on the proposed model, which taking into account the reflective relationships between the industrial enterprise system and the components of the external environment, in which the industrial enterprise and other economic agents (or groups of economic agents) are considered as systems and trajectories. Depending on the trajectories of the components of the environment can be predicted development of industrial enterprises and management measures developed for correction. As components of the external environment, the trajectories of which must be taken into account when reflexively forecasting the development of an industrial enterprise are offered: the market of raw materials; groups of competitors; consumer groups; supplier groups; financial market; labor market. Modeling consideration reflexive link between the industrial companies and environmental components showed well. The model of taking into account the reflective connections between the system of the industrial enterprise and the components of the external environment is implemented in the PowerSim simulation

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package. The model variant is adapted to real practical conditions. Designed reflective approach to forecasting the development of industrial enterprise tested on real data of major industrial facilities. Evaluation of prediction accuracy using different criteria led to the conclusion that the approach makes it possible to develop forecasts that take into account impacts on the reflexive interaction of economic agents. Sectoral approach has features versatility and can be used for any industrial company. Further development of the proposed approach would be to clarify and expand models predicting response contractors for the implementation of the tasks of the enterprise. Expanding and improving forecasting problematic points and response task force objectives of development, degree of influence by clarifying inconsistencies. References Amendola, A., Braione, M., Candila, V., & Storti, G. (2020). A Model Confidence Set approach to the combination of multivariate volatility forecasts. International Journal of Forecasting, 36(3), 873-891, ISSN 0169-2070, https://doi.org/10.1016/j.ijforecast.2019.10.001 Andriushchenko, K., Rudyk, V., Riabchenko, O., Kachynska, M., Marynenko, N., Shergina, L., Kovtun, V., Tepliuk, M., Zhemba, A., & Kuchai, O. (2019). Processes of managing information infrastructure of a digital enterprise in the framework of the «Industry 4.0» concept. Eastern-European Journal of Enterprise Technologies, 1 (3 (97)), 60-72. Dligach, A.A. (2016). System Reflexive Paradigm of Strategic Marketing. Proceedings of 10th IASTEM Inretnational Conference on Economics and Business Management (ICEBM). International Academy of Science, Technology, Engineering and Management (IASTEM), Institute of Research and Journals. Singapore, Bhubaneshwar, India, 5-9. Fildes, R. & Goodwin, P. (2020). Stability in the inefficient use of forecasting systems: A case study in a supply chain company, International Journal of Forecasting, ISSN 0169-2070, https://doi.org/10.1016/j.ijforecast.2020.11.004. Gonçalvesa, J.N.C., Cortez, P., Carvalhoa, M.S., & Frazão, N.M. (2021). A multivariate approach for multi-step demand forecasting in assembly industries: Empirical evidence from an automotive supply chain, Decision Support Systems, 142, 113452, ISSN 0167-9236, https://doi.org/10.1016/j.dss.2020.113452.

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Hu, Y., Li, J., Hong, M., Ren, J., Lin, R., Liu, Y., Liu, M., & Man, Y. (2019). Short term electric load forecasting model and its verification for process industrial enterprises based on hybrid GA-PSO-BPNN algorithm A case study of papermaking process, Energy, Vol. 170, 12151227, ISSN 0360-5442, https://doi.org/10.1016/j.energy.2018.12.208. Kang., Y., Spiliotis, E., Petropoulos, F., Athiniotis, N., Li, F., & Assimakopoulos, V. (2020). Déjà vu: A data-centric forecasting approach through time series cross-similarity, Journal of Business Research. ISSN 0148-2963, https://doi.org/10.1016/j.jbusres.2020.10.051. Kuzior, A., Kwilinski, A., & Hroznyi, I. (2021). The Factorial-Reflexive Approach to Diagnosing the Executors’ and Contractors’ Attitude to Achieving the Objectives by Energy Supplying Companies. Energies, 4(9), 2572, https://doi.org/10.3390/en1 4092572 Kwilinski, A., Dalevska, N., Kravchenko, S., Hroznyi, I., & Kovalenko, I. (2019). Formation of the Entrepreneurship Model of E-Business in the Context of the Introduction of Information and Communication Technologies. Journal of Entrepreneurship Education, 22(SI1), 1-7. Li, Ch., Tao, Y., Ao, W., Yang, S., & Bai, Y. (2018). Improving forecasting accuracy of daily enterprise electricity consumption using a random forest based on ensemble empirical mode decomposition, Energy, 165, Part B, 12201227, ISSN 0360-5442, https://doi.org/10.1016/j.energy.2018.10.113. Marinenko, N. (2016). Model for identifying processes that require immediate adaptation measures. Economics and management, 3 (71), 131–139. https://e-u.in.ua/journal/664.pdf Nguyen, H.D., Tran, K.P., Thomassey, S., & Hamad, M. (2021). Forecasting and Anomaly Detection approaches using LSTM and LSTM Autoencoder techniques with the applications in supply chain management. International Journal of Information Management, Vol. 57, 102282, ISSN 0268-4012, https://doi.org/10.1016/j.ijinfomgt.2020.102282.

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Patomäki, H. (2017). Capitalism: Competition, Conflict, Crisis. Journal of Critical Realism, 16(5), 537-543. https://doi.org/10.1558/jocr.v1i2.175 Porter, M.E. (1987). From Competitive Advantage to Corporate Strategy. Harvard Business Review, 1987, 43–59. Robert, K., & Ola, L. (2020). Reflexive sensegiving: An open-ended process of influencing the sensemaking of others during organizational change. European Management Journal, 2020, ISSN 0263-2373, https://doi.org/10.1016/j.emj.2020.10.007. Soros, G. (2013). Fallibility, Reflexivity, and the Human Uncertainty Principle. Journal of Economic Methodology, 20(4), 309-329. https://doi.org/10.1080/1350178X.2013.859415 Tarasova, H., Zaharov, S., Vereskun, M., & Kolosok, V. (2019). Preventive anticrisis strategy for development of industrial enterprise. Independent Journal of Management & Production, 10(5), 1405-1420, doi: 10.14807/ijmp.v10i5.890. Wang, L., Jiang, W., Zhang, H., & Lin, H. (2020). Leader information seeking, team performance and team innovation: Examining the roles of team reflexivity and cooperative outcome interdependence. Information Processing & Management, 57(6), 102343, ISSN 0306-4573, https://doi.org/10.1016/j.ipm.2020.102343. Wang, R., & Tan, J. (2021). Exploring the coupling and forecasting of financial development, technological innovation, and economic growth. Technological Forecasting and Social Change, Vol. 163, 120466, ISSN 0040-1625, https://doi.org/10.1016/j.techfore.2020.120466. Zheng-Xin, W. (2013). An optimized Nash nonlinear grey Bernoulli model for forecasting the main economic indices of high technology enterprises in China. Computers & Industrial Engineering, 64(3), 780-787, ISSN 0360-8352, https://doi.org/10.1016/j.cie.2012.12.010.

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Yakymchuk, I.P., Olhgovetskyi, S.M., Rashkovska, I.V., Bevz, H.M., Martseniuk, M.O. / Volume 10 - Issue 42: 124-140 / June, 2021

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DOI: https://doi.org/10.34069/AI/2021.42.06.12 How to Cite: Yakymchuk, I.P., Olhgovetskyi, S.M., Rashkovska, I.V., Bevz, H.M., & Martseniuk, M.O. (2021). Experiencing and overcoming financial stress in married couples: A study in COVID 19 pandemic era. Amazonia Investiga, 10(42), 124-140. https://doi.org/10.34069/AI/2021.42.06.12

Experiencing and overcoming financial stress in married couples: A study in COVID 19 pandemic era Переживання та подолання фінансового стресу в сімейних парах: Дослідження в епоху пандемії COVID 19 Received: May 9, 2021

Accepted: June 20, 2021

Written by: Iryna P. Yakymchuk52 https://orcid.org/0000-0002-4627-2066 Serhii M. Olkhovetskyi53 https://orcid.org/0000-0001-9135-4872 Ilona V. Rashkovska54 https://orcid.org/0000-0002-2910-1716 Halyna M. Bevz55 https://orcid.org/0000-0003-2487-5429 Maryna O. Martseniuk56 https://orcid.org/0000-0002-2485-9624 Abstract

Анотація

The article analyzes interaction of spouses in overcoming financial stress. An online survey of 136 married couples was conducted during the lockdown caused by the spread of COVID19 accompanied by family income losses. Frequency and severity of discussions on financial topics; level of subjective economic well-being, activity of coping strategies, family cohesion and adaptation were measured. Results showed that the discussion of financial topics is a stressor for married couples, accompanied by contradictions and conflicts, but ultimately helps to improve quality of relations between spouses, and also increases the adaptability of the family system in a situation of socio-economic crisis. Subjects of conflicts were defined. Influence of gender roles on financial consciousness and behavior was shown. Wives are more likely to initiate discussions on economic topics and more inclined to economic anxiety, while husbands

У статті проаналізовано взаємодію подружжя в подоланні фінансового стресу. Інтернетопитування 136 сімейних пар було проведено під час локдауну у зв’язку з поширенням COVID-19, що супроводжувався втратами доходів сім'ї. Визначено частоту та гостроту дискусій на фінансові теми; рівень суб’єктивного економічного добробуту, активність стратегій подолання, рівень згуртованості та адаптації сім’ї. Результати показали, що обговорення фінансових тем є стресовим фактором для сімейних пар, що супроводжується суперечностями та конфліктами, але в кінцевому рахунку сприяє поліпшенню якості відносин між подружжям, а також підвищує адаптивність сімейної системи в ситуації соціально-економічної кризи. Були визначені предмети конфліктів. Показано вплив гендерних ролей на фінансову свідомість та поведінку. Дружини частіше ініціюють дискусії на економічні

PhD in Psychology, Associate Professor at the Department of Psychology, Faculty of Social and Psychological Education, Pavlo Tychyna Uman State Pedagogical University, Uman, Ukraine. 53 PhD in Psychology, Associate Professor at the Department of Psychology, Faculty of Social and Psychological Education, Pavlo Tychyna Uman State Pedagogical University, Uman, Ukraine. 54 PhD in Psychology, Associate Professor at the Practical Psychology Department, Faculty of Pedagogy and Psychology, National Pedagogical Drahomanov University, Kyiv, Ukraine. 55 Doctor of Psychology, Professor, Head of the Communicative Psychology Laboratory at the Institute of Social and Political Psychology, National Academy of Pedagogical Sciences of Ukraine, Kyiv, Ukraine. 56 PhD in Psychology, Senior Lecturer at the Department of Psychology, Humanitarian Faculty, Mukachevo State University, Mukachevo, Ukraine.

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showed economic optimism. The severity of financial stress correlates with assessments of family cohesion. Correlations between financial well-being and coping behavior of husbands and wives represent the family as an entire open system. Partners are interdependent in overcoming financial stress. Collective family coping is determined by individual reactions of spouses. The efforts of partners can be congruent and complementary. Keywords: financial stress; coping behavior; family relationships; joint coping; subjective economic well-being.

теми і схильні до економічної тривоги, тоді як чоловіки демонструють економічний оптимізм. Тяжкість фінансового стресу співвідноситься з показниками згуртованості сім'ї. Співвідношення між фінансовим благополуччям та поведінкою чоловіків та дружин у процесі копінгу (подолання) представляють сім'ю як цілісну відкриту систему. Партнери взаємозалежні в подоланні фінансового стресу. Колективний сімейний копінг визначається індивідуальними реакціями кожного з подружжя. У своїх діях партнери можуть або суперечити одне одному або доповнювати один одного. Ключові слова: фінансовий стрес; копінгповедінка; сімейні відносини; спільний копінг; суб'єктивне економічне благополуччя.

Introduction Our study is topical and important primarily because of the global economic downturn due to the COVID-19 pandemic. In 2020, humanity plunged into a new social crisis, which proved to be long and affected all aspects of life. Due to the introduction of lockdown, many people were forced to limit their social contacts and professional activity, so they lost part of their usual income. As a result of the closure of many industries, workers were often sent on unpaid leave or fired. This is an unprecedented event with the financial, physical and mental consequences comparable with the Great Depression (Center for Financial Social Work, 2020). Although the economic consequences are quite obvious, the psychological effects need indepth study, as financial stress has increased psychological vulnerability in this emergency. The pandemic has posed a number of serious challenges to the scientific community, but it has also created unique conditions for monitoring the development of stress reactions and their consequences, including a deeper study of the financial crisis in families. Meeting the economic needs of a person is one of the most ancient, basic functions of the family as a social institution. Creating a family involves not only the emotional, psychological and sexual intimacy of two people, but also financial partnership. This task provides for material support, distribution of funds, joint housekeeping, creating economic conditions for a comfortable life, caring for disabled family members, investing in the future and much more (Zmanovskaya, 2020). But the economic aspect

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of living together often causes tension, developing into a source of chronic conflicts, reducing satisfaction with a relationship and leading to a breakup. Money takes a leading place in the ranking of family problems — 42% of respondents over 30 years of age mentioned them in the study of prosperous urban families (Kartashova, 2013). The research is intended to find out the features of experiencing and overcoming financial stress in married couples. We posed two questions. First: how did the lockdown situation affect the economic well-being of Ukrainian families? Second: how are coping and communication strategies for men and women about financial issues related to their SEW level? Our study was conducted in special conditions — during the lockdown in 2020, when most Ukrainians were affected by stress factors of irresistible force. This allowed us to study reactions to stress directly when experiencing it. In contrast to previous studies, partner behavior was not only compared in terms of gender differences, but also viewed as a whole. Considerable attention was paid to detailing the idea of the functioning of the family as a system — a demonstration of the interdependence of the partners’ behavior in a situation of financial stress. The results obtained will help to understand the psychological characteristics of economic consciousness and personality behavior in a changing crisis society, as well as the general trends of joint family coping with financial stress. These data will be useful for family

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126 counselors to gain a deeper understanding of the causes of disturbances in marital relations and to develop particular recommendations. Literature review Davis and Mantler (2004) defined financial stress as “the subjective, unpleasant feeling that one is unable to meet financial demands, afford the necessities of life, and have sufficient funds to make ends meet (e.g., have to reduce standard of living).” This definition corresponds to a wide range of situations: job loss, sharp decrease in income, debt, forced heavy expenses, investment losses, etc. Financial stress tends to become chronic, and its causes can be either external (regional economy) or internal: poor management of your finances, high level of ambitions, propensity to spend, fear of poverty, etc. Economists are interested in the objective characteristics of such a crisis (household income relative to regional norms and the dynamics of its decline), while psychologists pay attention to the subjective characteristics of financial stress and the accompanying factors. Like any distress, financial problems are accompanied by many biochemical, physiological, emotional reactions, cognitive and behavioral changes. Most studies of the negative effects of financial stress on an individual focus on a particular type of economic difficulties; the negative effects of unemployment are studied most often. Numerous empirical data show similar results in different historical circumstances and in cultures — both in industrialized countries and in poor unstable economies (Blair, 2012; Conger et al., 1993; Frankham, Richardson & Maguire, 2020; Jahoda, 1988; Liker & Elder, 1983). Unemployment has great subjective significance and personal meaning — this is not just a loss of income, but also the loss of familiar social contacts, daily activities, life goals and landmarks (Chuykova, 1997). Individual effects of financial stress include short-term acute states and delayed reactions: fear, anxiety, concern about the future; shame and guilt; hostility towards oneself, other people, and the world at large; deterioration of selfcontrol, a feeling of self-failure; decreased selfesteem and self-respect; the formation of a pessimistic outlook on life; loss of professional identity. The core effect of financial stress is a high level of depression, which deprives people of the joys of life, with significant motivational, cognitive and behavioral consequences (Frankham et al., 2020). The statistics of developed industrial countries are indicative in

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this regard, which shows that the deterioration of economic indicators (population income, unemployment rate) is accompanied by an increase in overall mortality and mortality caused by cardiovascular diseases, an increase in the number of suicides, the number of voluntary and involuntary patients in psychiatric clinics (especially men), the criminalization of behavior and an increase in the number of prisoners, increased use of drugs, cigarettes and alcohol, an increase in the proportion of alone people (Davis & Mantler, 2004). The works of Conger, Ge et al. (1994) and Conger, Lorenz et al. (1993) examined the mechanism of the influence of economic problems on family relationships. It was shown that the effects of financial stress are different for men and women: husbands experience depression, anxiety and hostility, while family stressors (depressed hostile husband) that cause depression, anxiety and physical health disorders, are more significant for wives. Financial stress directly affects the breadwinner’s main income, thus indirectly affecting family relationship, which in turn affects children. So, family problems form a cycle and exacerbate primary stress. In situations of financial difficulties, anxiety in men is regulated by the quality of family and social support (Tran et al., 2018). Economic stress increases the likelihood of family disagreements (Conger et al., 2010). Couples may experience anger, frustration, depression, and often argue over money; they become estranged, offer less emotional support and care. As the stress response deepens, conflicts begin to be accompanied by criticism, blaming, aggression, which further reduces satisfaction with the relationship (Davis & Mantler, 2004). The severity of depressive reactions affects the ability of partners to help each other, exacerbates the irritable and hostile style of interaction. On the other hand, partners’ reactions to financial difficulties depend on how satisfactory their relationship has been before (Liker & Elder, 1983). Karademas and Roussi (2016) emphasize the importance of dyadic coping for adapting a couple to financial stress. To understand the conditions for overcoming financial crises in families, the concepts of dyadic coping are useful, combining the provisions of the theory of family systems and the theory of coping resources (Bodenmann, 2005; Kuftyak, 2012). In dyadic relationships, subjects respond to the stress factor as units of interpersonal interaction, and not as individuals

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isolated from each other — they are dependent in reactions. To explain these dependencies, the scholars developed various theoretical and statistical models (Iida, Seidman & Shrout, 2018; Karney & Bradbury, 1995; McCubbin & Patterson, 1983). A lot of publications deal with the study of coping in married couples; however, almost all of them are focused on the joint experience of life-threatening illnesses or parenthood problems, and do not reveal the topic of financial crises. Financial stress significantly worsens parentchild relationship and reduces the quality of parental care. In men, low income is associated with a loss of power and status in the family, in women — with maternal depression. Because of hostility, despondence and depression, parents are less likely to respond to the needs of their children, become less optimal and consistent in educational strategies. The risk of child abuse increases. On the other hand, adolescents have their own interpretation of the financial problems of the family; they feel constraints in satisfying their material needs. All this leads to a number of social and psychological problems of children: low self-esteem, depression, impulsive and deviant behavior, poor academic performance, drug and alcohol use, and rejection of social relations. Children can take over the pessimistic worldview of their parents, lose their sense of personal competence and control over their lives, and copy lower expectations about their careers (Conger et al., 1994; Davis & Mantler, 2004; National Child Traumatic Stress Network, 2020; Shelleby, 2018; Takeuchi, Williams & Adair, 1991). Given the seriousness of the described consequences, it is surprising that the problems of financial stress in the family so rarely become the subject of research. Paradoxically, the topic of finances is still taboo and not discussed in the Western culture, despite the fact that society as a whole recognizes the use of money as a criterion of social stratification and identification. There are a number of psychological and cultural reasons for this failure to mention, such as inequality in wealth, self-preservation and protection of fragile identities, and equating the value of an individual with financial status (Pinsker, 2020). Failing to mention money leads to the fact that when getting married many couples are not ready for an open discussion of their financial behavior, needs and expectations; later the spouses do not know each other’s real income and expenses, and the children are not told about how their parents earn. As a result, many people feel uncomfortable discussing their

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financial life, especially its problematic aspects. On the other hand, it is the crisis that can trigger an open dialogue about money. Lack of skill in discussing economic issues should be taken into account both in financial counseling and in providing psychological assistance to families (Alsemgeest, 2016; Trachtman, 1999). The psychological approach to the study of economic consciousness and behavior is based on the provision that experiencing well-being is more subjective than an objective phenomenon: the formula “to be economically challenged means to have a low material standard of living” is incorrect and does not correspond to life realities (Khashchenko, 2011). Indeed, often low-income young people are happier and more satisfied with marriage than wealthy adult families. It long been known that satisfaction with the material situation is determined not so much by the level of income as by the conformity of a person’s financial status to his/her needs, ambitions and demands (Ackerman & Paolucci, 1983; Strumpel, 1974), as well as comparison of one’s situation with the financial situation in the reference group among similar or reputable persons (Campbell, 1976). The issue of “subjective poverty”, which is interpreted as subjective economic stress — a feeling of inadequacy of one’s own material capabilities that dominate the society’s living standards and social criteria: consumption, labor, leisure and lifestyle — is increasingly being discussed (Bienkunska, 2018). Subjective poverty is based on reduced self-concept, supported by the social environment, which ultimately blocks personal motivation (Muzdybaev, 2001). In this context, a methodology for measuring subjective economic well-being (SEW) — a generalized perception and experience by people of their financial situation and material living conditions — is quite useful. The experience of subjective well-being is determined by conventional socio-cultural standards of welfare, a system of person’s attitude, individual values and goals, as well as expectations and fears about the future. The measurement of SEW is based on a number of cognitive and emotional components: reflection of current well-being, belonging to a certain economic social category; assessment of the favorability of living conditions; assessment of the adequacy of income, taking into account material, social needs and the needs of self-development; the severity of economic difficulties and the accompanying emotional states; the individual’s

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128 attitude to himself/herself as an economic entity, which includes aspects of business activity, achievements and ambitions; attitude to money, their value-semantic meaning for a person (Khashchenko, 2011; 2012). Actual and subjective economic well-being determines the overall quality of life, the level of psychological well-being and human happiness (Veenhoven, 2018). On the other hand, it is an independent factor in determining behavior, the value of which increases or decreases at different periods of life (Easterlin & Sawangfa, 2007). All of the above indicates that financial issues are not only an economic, but also a psychological category related to needs, values, and social standards. The family’s financial well-being reflects the level of income and consumption, the ambitions and expectations of partners, as well as how they interact in resolving financial issues. An important aspect of the psychology of financial stress is coping — conscious or spontaneous actions aimed at overcoming external and internal demands, which are assessed by a person as significant, superior to his/her capabilities (Folkman & Lazarus, 1988). This issue has been little studied with regard to financial stress.

Partners jointly answered questions about what is the average monthly household income over the past year (including wages, social benefits, property income, financial support from relatives, and other income); what is the individual contribution of the spouses to the total income of the family; how does family manage the budget and make financial decisions. A separate issue was about how has the quarantine situation affected family income and expenses? A short questionnaire was developed, figuring out how often the family has discussions, disputes and disagreements on various financial issues. Respondents were offered a list of topics that they could supplement on their own (Table 1 of the “Results” section reflects the content of the questions). To assess the frequency of discussion, we used a 5-point Likert scale: 4 — a permanent source of discussion in the family; 3 — quite often; 2 — sometimes, several times; 1 — very rarely, once; 0 — never. We proposed to assess the severity of the conflict (tension, soreness of discussion) using a bipolar scale, where a +5 rating means positive emotions, ease of discussion and joint decision making; 0 means neutrality, lack of strong feelings; -5 — maximum severity of negative feelings and emotions, discussion of these issues causes stress in partners.

Methods Subjective economic well-being Participants The sample consisted of 136 Ukrainian married couples (136 men and 136 women) who were in a partnership from 4 to 15 years. Of these, 104 (76.5%) were in a registered marriage; 32 couples represented civil unions, that is, they were not legally married, but constantly lived together and run a joint household. The age of respondents is from 24 to 40 years (average age of men is 33.8, that of women is 32.6). There were 37 couples who had no children, 48 couples had one child aged 1.5 to 14, 44 couples had two children, 7 couples had three or more children. The level of joint monthly income for families ranged from 350 to 2,000 USD (at the time of the survey the legislatively established minimum wage in Ukraine was about $180). The average monthly household income in the sample was $556±102, with asymmetric shifted to the left. Measurements Studying financial behavior in families

The questionnaire for measuring subjective economic well-being (SEW, Khashchenko, 2011) allows studying the life position of individuals in the field of material consumption. The methodology consists of 22 direct and indirect questions clarifying a person’s attitude to the financial and economic aspects of his/her life. Different scaling techniques are proposed for each item. Processing scores gives an integral indicator of SEW and indicators of five subscales: 1) economic optimism — the expectation of changes in their financial situation and the favorable external economic conditions; 2) the current well-being of the family — a subjective assessment of the material and financial situation; 3) subjective adequacy of income — the degree to which income meets the leading needs; 4) financial deprivation— the degree of subjective lack of financial resources, awareness of financial restrictions; 5) economic anxiety (financial stress) — the severity of negative emotional states in connection with material problems, concern about the future, the need to increase income.

At the beginning of the study, participants were interviewed about their family’s financial status.

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The factor structure, reliability and validity of the questionnaire were proved on the samples of representatives of different social and professional groups (Khashchenko, 2011; Plotnikov & Sperlin, 2014). In the current sample, the internal consistency of individual scales ranged from 0.78 to 0.92; Cronbach’s alpha for the integral indicator of SEW was 0.85. SEW scores ranged from 48 to 86 points (mean 63.58 ± 7.15); the data distribution met the criteria of normality (Z Kolmogorov-Smirnov 1.16 at p = 0.12). Ways of coping Ways of Coping Questionnaire (WCQ) by Folkman and Lazarus (1988), and a Russianlanguage adaptation by Kryukova (2010) were used. The methodology contains 50 questions describing a wide range of thoughts and actions that people use to manage the internal and external requirements of stressful situations. The questionnaire does not diagnose persistent behavioral styles; it is aimed at measuring the process of coping in particular circumstances. Respondents were asked to recall the difficulties and stresses that they had to face during the quarantine month and describe the ways in which they dealt with them. Four possible answers are proposed: never, rarely, sometimes, often (from 0 to 3 points). The technique allows assessing the severity of eight scales: confrontive coping — active efforts to change the situation, which involves a certain degree of aggressiveness and impulsiveness; the search for social support: informational, effective and emotional help from other people; planning a solution to a problem; self-control — efforts to regulate one’s feelings and actions; distancing involves cognitive efforts to separate from a situation and reduce its significance; positive revaluation — efforts to create a positive sense of the situation, focus on the growth of self; acceptance of responsibility — recognition of one’s role in the problem; escape — mental aspiration and efforts aimed at avoiding a problem: fantasizing, eating, alcohol, etc. As the scales contain a different number of questions, we calculated relative scores as the average score for the subscale: the sum of the assigned scores divided by the number of questions. This allowed us to interpret the severity of coping strategies based on a single measuring scale from 0 (never) to 3 (often). The obtained estimates in the sample were distributed normally; Cronbach’s alpha values indicated sufficient internal consistency (0.77 to 0.96 for individual scales).

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The interaction of partners in the family system The FACES-3 Family Adaptation and Cohesion Scale was developed on the basis of the Circumplex Model of Family Functioning (Olson, 1991), which measures two main parameters of family behavior — family cohesion and adaptation. The indicator of family cohesion expresses the degree of emotional relationship between family members: disengaged, separated, connected, enmeshed. The indicator of family adaptation shows how much the system is able to adapt and change under the influence of stressors: rigid, structured, flexible, chaotic. When interpreting the results, moderate (balanced) levels of cohesion and adaptation are distinguished, which indicate the successful functioning of the family system; extreme (extremely high or low) levels are considered problematic. The methodology was adapted in Russia by Eidemiller (2006). The study used a form for families without children; it contains 20 statements describing marital relations, spending time together, especially decision-making and distribution of roles. Respondents rated each statement using the Likert 5-point scale from “almost never” (1 point) to “almost always” (5 points). The Kolmogorov-Smirnov criterion showed the normality of the data distribution in the sample: relative to the indicator of family adaptation Z=1.12 at р=0.15, relative to the indicator of family cohesion Z = 1.18 at р=0.11. Cronbach’s alpha values were 0.89 and 0.83, respectively. Procedure Transversal data slice was conducted in AprilMay 2020, six weeks after the beginning of strict quarantine in Ukraine due to the COVID-19 pandemic. Participants were involved on a voluntary basis from among students and employees of universities, as well as members of their families. All contacts with the experimenter occurred online. Families received a set of forms with instructions and materials for diagnostic procedures; the organizers answered questions arising during the survey. The partners passed a pre-survey on the financial status of the family together, then each of them completed the questionnaires separately. Respondents were guaranteed the confidentiality of personal data, although it was not forbidden to discuss the content of the questions and their own answers with their spouse. Data analysis involved a preliminary check of the internal consistency and normality of the

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130 distribution of quantitative variables. Content analysis was conducted for open questions of the questionnaire on financial behavior of spouses and other qualitative data; a series of variations was built that reflected the frequency of responses of different content for the questionnaire for studying the severity of conflicts and individual items of the SEW. In the process of analysis, sub-samples of husbands and wives were considered separately; paired Student’s t-test was used to compare the mean trends in the two dependent samples. The Pearson correlation coefficients between the measurements in the total sample, as well as separately in the gender samples, are calculated. Correlations within the family as a whole system were considered separately (two sets of similar male and female variables were measurements of one object). We used SPSS Statistics (Version 16) for calculations.

wives more often manage the budget: they have a decisive vote on the need for ongoing expenses or investments, while the women report to the partner about their own expenses. At the same time, 49.3% of respondents said that they did not inform partners about all their full income and expenses.

Results

Diagnostics of subjective economic well-being showed the severity of financial stress. The overall SEW score was significantly reduced in 52.2% of respondents. The average test score in the sample was 62.58 ± 5.71 for men and 64.57 ± 8.92 for women, which is significantly different from the group test norms of the questionnaire (according to Khashchenko (2011), 80.06 for men and 78.81 for women). Analyzing the averages of individual subscales, it is noticeable that the most pronounced violations concerned, first of all, according to Khashchenko (2011). When analyzing the means of individual subscales, it is noticeable that the most pronounced violations concerned, first of all, financial deprivation and anxiety, as well as a decreased economic optimism — see Figure 1. The test norms represent a sample of 211 men (mean age 31.5 ± 9.20) and 244 women (mean age 31.5 ± 9.84) of different professions, of which 48.1% were married (Khashchenko. 2011).

Economic well-being of Ukrainian families in a lockdown situation A survey on financial status showed that during the year preceding the pandemic in most families (regardless of income level), the spouses’ contribution to the overall financial well-being was approximately equal or the husband’s income dominates. In only five families (3.7% of the sample) a woman’s income significantly exceed that of a man. However, in 13.2% of couples women did not work and were fully dependent on their husbands. The survey participants named a variety of ways to co-manage finances. Couples having a common budget and make decisions on large and small purchases together made up 78.7% of the sample. Despite the fact that the husband’s income dominates in the families in most cases,

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The lockdown situation had a significant impact on the income and expenses of the family; more than half of the respondents indicated significant financial losses up to a complete loss of income. Families where one or both spouses temporarily lost their jobs were forced to spend their financial savings, and in case of their absence — ask for help from friends and close relatives. At the same time, 60.3% of families indicated increased daily expenses; about a third reported cases of panic consumption: the purchase of food and medicines “in store”.

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Figure 1. Contrast of the Obtained Average Indicators in the Sample of Ukrainian Families with the Indicators of the Test Norms of the SEW Methodology. None of the respondents showed low severity of economic anxiety, more than a third of participants (36%) received high scores, indicating strong concern for their financial situation due to the situation in the country, feelings of anxiety about the future, lack of funds and expressed need for increased income. Expressed economic pessimism was diagnosed in 24.3% of respondents who negatively assessed their financial capabilities and prospects against the background of the country’s unfavorable economic future. A high level of financial deprivation was found in 20.6%; they are characterized by a feeling of apathy and hopelessness caused by negative assessments of the economic situation of their family during the survey. All of these are signs of acute or chronic financial stress, which affects the overall decline in the level of subjective economic well-being in the sample. With a noticeable decrease in the level of income in the sample, subjective assessments of the current well-being of the family did not significantly change, and the indicator “subjective adequacy of income” (correspondence of the size of the income to the needs and demands of the individual) even showed a tendency to increase. This led us to the assumption that in a situation of acute financial crisis, family partners consciously or instinctively reduce the level of needs (independence, self-realization, security) in order to maintain a balance of resources and a sense of subjective well-being.

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Analysis of the SEW questionnaire items revealed the uncertainty of the financial future of the respondents. 69.9% indicated that their standard of living over the past year has declined significantly, 89.0% do not expect an improvement in the economic situation in the country in the near future. But at the same time, the respondents did not feel a sense of hopelessness and believed that, with all their abilities and efforts, they would be able to provide strong wealth in the family (72.1%). Subjects and severity of financial conflicts The survey allowed us to clarify the phenomenology of financially-caused conflicts and make a list of common problems that couples face — see Table 1. Financial issues rarely cause positive emotions when discussed in families — this is mainly related to the discussion of longterm goals, major purchases, holidays and expenses for children (not more than in 15-20% of families). The most stressful and frequently discussed issue was the lack of funds for certain current needs of partners. Wives report this problem more often than husbands (42.6% in the female sample). Table 1 shows that the frequency of discussion and the acuteness (soreness, tension) of different financial topics do not coincide. For example, family current expenses are constantly discussed and are emotionally neutral. Topics such as debts are rarely discussed, but cause extremely negative emotions. Discussion of differences in personal habits is usually accompanied by criticism of the partner’s financial behavior (parsimony or squander), and is perceived negatively.

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132 Table 1. Frequency of Discussion of Financial Issues by Partners and the Related Stress Tension (Means, Standard Deviations and Frequency of Answers in a Sample of 136 Families) Topic

Lack of funds to meet current needs and desires Current, regular expenses: utilities, food, etc. The need for large purchases and expenses: vacation, household appliances, etc. Expenses related to raising children and their education Long-term financial goals, savings and investments Debts and loans Own material needs and desires Discussion of differences in personal financial habits Monitoring and managing the family budget Leadership in making financial decisions The difference in income and resources of spouses Expenses of an extended family: assistance to parents, children from first marriage, etc. Loss (possible) of work by one of the spouses, risks of loss of income or disability

Frequency discussion

m w m w m w

(on a 0-4 scale) M SD 1.91 0.51 2.84 0.46 3.08 0.38 3.56 0.39 2.75 0.81 2.66 0.74

Acuity (proneness to conflict) of discussion, %: acute moderate slightly neutral negative negative negative -5, -4 -3, -2 -1 0 2.94 25.00 33.09 37.50 7.35 22.06 17.65 52.94 0.00 0.00 14.71 77.21 0.00 0.00 7.35 78.68 0.00 2.21 16.91 65.44 0.00 2.94 13.24 63.97

m w m w m w m w m w m w m w m w m w

2.62 3.12 1.48 2.06 1.36 1.22 0.35 2.48 1.67 1.71 0.63 0.75 0.84 1.12 0.15 0.69 0.86 1.24

0.55 0.42 1.03 0.82 1.44 1.60 1.56 0.77 0.59 0.57 0.96 0.91 0.75 0.63 0.44 0.38 0.93 0.73

0.00 0.00 0.00 0.00 20.59 24.26 1.47 0.00 5.88 11.03 7.35 0.00 1.47 0.00 2.21 0.74 5.88 2.21

0.00 0.00 3.68 0.00 14.71 32.35 10.29 20.59 30.15 16.18 5.15 9.56 3.68 13.24 6.62 8.82 1.47 2.94

8.82 1.47 10.29 13.24 58.82 36.03 13.24 25.00 25.74 30.88 60.29 39.71 50.74 34.56 42.65 57.35 34.56 8.82

73.53 78.68 67.65 69.85 5.88 7.35 71.32 40.44 35.29 40.44 21.32 42.65 36.76 47.79 45.59 30.88 52.94 77.21

17.65 19.85 18.38 16.91 0.00 0.00 3.68 13.97 2.94 1.47 5.88 8.09 7.35 4.41 2.94 2.21 5.15 8.82

m w

0.05 0.12

0.61 0.48

3.68 1.47

13.24 20.59

16.91 0.74

66.18 75.00

0.00 2.21

positive 1 -5 1.47 0.00 8.09 13.97 15.44 19.85

Note: m – results in the men’s sub-sample, w — in the women’s sub-sample. The findings that the spouses very rarely talk with each other about long-term financial goals and risks, and also avoid discussions of leadership in family budget management — more than 50% of respondents chose the answer “never” — cause anxiety. Husbands, in comparison with wives, are less likely to declare their own material needs and desires. Wives initiate discussions on economic topics more often (average score 1.77 compared to 1.35; paired t (136) = -2.61 at p = 0.011). The overall assessment of stressful tension when discussing financial issues between men and women does not significantly differ (average score is -0.47 and -0.41; paired t (136) = -1.17 at p = 0.243).

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According to the results of correlation analysis, the frequency of discussion of financial issues by spouses directly and strongly correlates with indicators of family cohesion and adaptability (r=0.206, r=0.230 at p≤0.01). No significant correlations were found between the level of income and the frequency/severity of the discussion of financial problems, which does not exclude nonlinear correlations. Coping behavior strategies during lockdown Diagnosis of spouses coping behavior during in the first months of the COVID-19 pandemic recorded a high activity aimed at coping with a stressful situation. Answering the WCQ questions, the respondents almost did not choose the answer option “never”, noting the greater or

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lesser frequency of using different overcoming options. That is, almost the entire range of available coping strategies was used. Table 2

shows average trends and gender differences in the samples.

Table 2. Results of Comparative Analysis of Coping Strategies for Couples During Lockdown 2020 (N=136, Paired Student’s t-test) Coping strategies Planful problem-solving Seeking social support Positive reappraisal Confrontive coping Self-controlling Accepting responsibility Distancing Escape-Avoidance

Husbands M 1.96 1.67 1.77 1.91 1.85 2.28 1.34 1.44

SD 0.39 0.43 0.74 0.64 0.57 0.95 0.45 0.62

Most husbands were inclined to the strategy of taking responsibility (which includes an element of self-blaming) — it turned out to be the leading among 71.3% of respondents; consistent problem solving and confrontive coping were also often used. For women, as for men, the leading strategies were a consistent solution to the problem and acceptance of responsibility (an average score of more than 2 points indicates the choice of answers “sometimes” and “often”). Women are more likely to prefer planning than men, and men are active and persistent, although somewhat impulsive. In a situation of financial stress, self-control strategy was of great importance — restraining

Wives M 2.29 1.88 1.83 1.44 1.86 2.06 1.30 1.51

SD 0.47 0.65 0.48 0.48 0.32 0.83 0.34 0.91

t(136)

-2.02 -1.74 -1.23 2.55 -0.50 1.46 0.32 -0.99

0.04 0.08 0.22 0.01 0.96 0.15 0.75 0.32

one’s own feelings and emotions, including efforts aimed at “so that others would not know how bad things were.” 61.8% of men and 52.9% of women, when answering this question, chose the answer “often”. We assume that partners try to hide their own financial problems and related negative experiences — not only from outsiders, but also from each other. The frequency of choice of certain coping strategies is closely related to the components of SEW and indicators of family functioning, which opens up a wide space for analysis of these variables as possible predictors of financial wellbeing — Table 3.

Table 3. Descriptive Statistics and Correlations for Study Variables (N=272)

*p < .05. **p < .01. Note: indicators “Economic anxiety” and “Financial deprivation” are interpreted on the inverse scale, that is high scores indicate financial tranquility and the appropriate level of satisfaction of material needs.

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134 In particular, awareness of financial stress is directly related to reluctance to distancing, it is able to actualize confrontational coping, a person’s thoughts about his/her own role in the problem or an attempt to avoid stressors by immersing themselves in fantasy (or, conversely, people with such behavioral patterns experience anxiety more acutely).

Interaction of gender roles and coping strategies within the family A comparative analysis showed that the component composition of SEW was significantly different in men and women. Wives turned out to be more inclined to economic anxiety, reflecting financial stress and other negative emotions in connection with financial problems, perceived need for money (paired t (136) = -4.35 at p=0.000). Husbands showed a more pronounced economic optimism — a positive assessment of the external and internal conditions for the growth of material well-being in the future (paired t (136) = 2.69 at p=0.008). This shows the complementarity of marital roles.

All components of SEW, except for economic anxiety, are directly correlated with the severity of family adaptation, the closest correlations are obtained in relation to the current well-being of the family. In other words, economically prosperous people have a high ability to change flexibly and adapt to the effects of stressors in family relationships.

Pearson’s correlation coefficients were calculated to determine the interdependence of the experience and overcoming the financial crisis in married couples (Table 4). Table 4. Correlation in the family system: between Diagnostic Indicators of Wives and Husbands (N=136)

*p < .05. **p < .01.

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adaptation

.17* -.13 Family .18* -.17* -.15 -.13 .13 -.07 -.04 .26** .20* .25** .17* -.05 .01 .02

.13 -.18* .11 -.18* -.18* -.18* .07 -.03 -.11 .14 .14 -.11 -.07 -.10 .13

problem-

solving Positive .18* revaluation Family .19* cohesion .06 .20* -.20* -.18* -.17 .03 -.09 .03 .20* .19* .19* .11 -.02 -.08 .04

-.08 .07 Planful -.02 .09 .09 .04 .04 .19* .17* .15 -.01 .01 .14

.02 .19* .05

responsibili

.16* Escape / ty .18* avoidance .12 -.18* -.18* -.17* .12 -.14 -.12 .00 .17* .16 -.06 -.02 -.11 .15

social

.17* -.13 support Accepting .16 -.17* -.15 -.13 .14 -.14 -.10 -.09 .17* .19* .17* .05 .01 .00

control

-.09 .12 Seeking -.03 .14 .16 -.02 .10 .19* .13 .12 .20* .07

-.04 -.06 -.05 .12

-.03 Self.00 .03 .14 -.07 -.01 .00 .09 .22** .11 .12

.10

.11 .11 .18* .03

.04 -.02 -.02 -.05 -.18* -.19* -.06 Distancing .17* -.01 -.05 -.17* .17* -.01 -.04 -.01 .04

anxiety

.08 -.15 -.17* -.09 .17* .20* -.08 Confrontati -.18* -.09 .00 .13 .15 -.15 .13 -.01 .06

deprivation

.10 Economic .18* .13 .10 .07 .03 .04 .10 -.10 .09 .05 .17* .20* -.05 .07

.02

.09 well-being Financial .17* .11 .10 .07 .00 .03 .11 -.06 .08 .05 .17* .20* -.07 .03

.03

adequacy Current .18* family .10 -.17* .14 -.21 -.19* .05 .23** -.07 .00 .17* .16 -.11 -.09 -.05 .15

optimism

Subjective .22* income .00 .17* -.17* -.17* -.18* -.04 -.16 .05 .06 .15 .15

.18*

.23* -.11 Economic -.08 -.17* -.17* .05 -.12 -.14 -.13 .11 .09

.12

Family adaptation

-.18 -.18* .07

Family cohesion

.11

Seeking social support Accepting responsibility Escape/avoidanc e Planful problem-solving Positive revaluation

-.10 -.01 -.16 .09

Self control

-.18* .13 -.18* -.21* -.17* .09

Distancing

-.10

General SEW Economic optimism Subject. income adequacy Current family well-being Financial deprivation Economic anxiety Confrontation

-.08 -.05 -.08 .17* .18* .17* .00

Indicators of husbands:

General .19* SEW

Indicators of wives:

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Presentation of the results of correlation analysis is unusual at first glance, because the object of consideration are not individuals but families. Each case contains two sets of diagnostic variables: for the wife and for the husband. In this case, the data of partners are considered as structural elements of a single two-component system — dyads. We are interested in the area of the correlation matrix that shows the “cross” correlations of the same indicators of partners of different sexes. The resulting relationships of variables reflect the internal mechanisms of functioning of the family. First of all, we draw attention to the fact that the overall assessment of the SEW in husbands and wives are negatively correlated (p≤0.05). An analysis of the correlations between the components of the SEW allows us to clarify this relationship: if the husband does not declare the existing financial stress and deprivation (and probably does not take appropriate active actions), the overall well-being of the wives significantly reduces. Ignoring really adverse financial circumstances (distancing, reducing the significance of the problem) by husbands can be a source of family conflict. At the same time, the increase in economic optimism of husbands has a beneficial effect on the SEW of wives (p≤0.05). The level of economic optimism of spouses is closely interconnected (p≤0.01), which is due to joint plans, identically positive or negative views on the future. It is interesting that the wife’s satisfaction with the family’s well-being and the subjective adequacy of the family’s income to her needs is accompanied by a manifestation of the husband’s financial stress and a decrease in his SEW, as well as by the intensification of the partner’s confrontational coping. A high subjective assessment of family income by husbands is interconnected with the absence of financial stress for wives (p≤0.05). All this indicates that the economic well-being of women in modern Ukrainian families is a matter for husbands and a source of stress for them. Numerous correlations were found between coping indicators for husbands and wives, which specify complementary or coherent dependencies — see Table 4. The indicators “escape from problems” and “taking responsibility” positively correlate — as a rule, spouses jointly implement these strategies (p≤0.05). Negative correlations between the severity of coping strategies in a married couple indicate complementary behavior. For example,

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avoiding solving problems of one spouse is offset by increased responsibility of the partner. The husband’s intense experience of economic stress correlates with wife’s coping strategies. Most wives try to support their partner in overcoming financial problems, which is manifested in inclusion, sharing responsibility and willingness to solve the problem together, as well as efforts to find the positive aspects of the situation. Distancing from the problem of one of the partners reduces the economic optimism of the other partner. Problem-oriented husband coping improves the SEW of wives, but does not correlate with the partner’s similar behavior. That is, when the husband takes on the solution of problems, the wife “relaxes.” If the wife takes on solving the financial problems of the family, this, on the contrary, aggravates the feeling of financial stress of the husband and stimulates two opposite trends: on the one hand, the man seeks to actively engage in solving the problem, and on the other, he can choose avoidance strategy. Experiencing financial stress by husbands and wives differently affects the quality of family adaptation. The calmer the wife is in terms of finance, the higher is the assessment of family cohesion by her husband. Concerns of husbands about the family’s financial condition contribute to increased cohesion, causing responses of wives in the form of support and inclusion. In other words, a cohesive and adapted family implies a financially reassured, well-off wife and a financially stressed husband, which is apparently associated with the distribution of socio-economic and gender roles. It is important to note that coping focused on the search for social support extends to relationships within the couple and affects the level of family adaptation. If the wife accepts responsibility for the emergence and resolution of problems, including financial ones, this significantly increases the husband’s economic optimism (p≤0.05). The obtained results fill the idea of the systemic unity of the family with concrete content. In particular, in a situation of financial stress, people react differently to difficulties and can choose certain coping strategies based on the characteristics of the experiences and reactions of their partners.

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136 which no one knew a way out can explain the decreased seeking support.

Discussion The study was designed to answer the question of how the lockdown situation has affected the economic well-being of Ukrainian families and how coping strategies and communication between men and women about finances are related to the level of their SEB. Lockdown introduced because of the spread of COVID-19 has significantly worsened the psychological and economic well-being of Ukrainian families. Financial stress significantly reduced the SEW of partners, reflected in the functioning of the family and the quality of family relations. Coping with it is complicated by the spouses’ failure to openly and emotionally neutrally discuss economic problems. Although partners are stressed when speaking on financial topics, this should not impede such conversations. McWhinney (2019) warns: “Like common health problems, financial anxieties — if not addressed — can become far bigger problems with much more difficult solutions.” Recent studies show that even negative emotions do not harm the relationship of spouses and perform potentially adaptive functions (Rohr et al, 2019). The obtained statistics of coping behavior adult Ukrainians differs from previous results of researchers (Kornienko, 2018); our sample is characterized by relatively rare selection of strategies of positive revaluation and escape. In addition, the results do not coincide with the prevailing opinion about the gender differences in coping styles: the tendency of women to seek social support, and men — to self-control and planning (American Psychological Association, 2012; Kryukova, 2010). The obtained data cannot be considered a refutation of previously published results, since the characteristics of the stressor determine the response to stress. Although there is a general idea of the effectiveness of a particular strategy, a specific case always depends on the type of threat, expectation, controllability, etc. Coping productivity changes as the situation evolves, so the variety of scenarios contributes to better adaptability (Folkman & Lazarus, 1988; MacCrae & Costa, 1986). The results reflect the peculiarities of stress during the beginning of the COVID-19 pandemic: strong, unexpected, uncontrolled, spanning many areas of life. In addition to financial difficulties, stress was accompanied by forced social isolation, a change in habits and rules of behavior, fear for the life of oneself and loved ones, and the uncertainty of the future. The fact that the whole society faced a problem from

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However, real income losses are not decisive in the emergence of a subjective experience of economic distress. Psychological factors turned out to be important elements at the time of the breaking out of the pandemic. A temporary decrease in the level of needs helped to achieve the subjective adequacy of income. An optimistic outlook on the future reduced the negative impact of the crisis. The results confirmed that the strategies for overcoming and communicating between men and women on financial issues are strongly related to their SEW level. As correlation analysis does not solve the problem of causation, the obtained coefficients may reflect the influence of SEW on the choice of economic behavior strategies or, conversely, the SEW determined by the ability to effectively solve financial problems. Earlier, Khashchenko (2012) established that the type of SEW determines the economic activity of a person: the choice of longterm and relevant goals, life support strategy, as well as the degree of responsibility for one’s own well-being. Studies by Plotnikov and Shperlin (2014) confirmed that SEW is associated with the choice of destructive or effective strategies of economic behavior. Kuzmenkova and Kuskov (2019) found out the psychological defense and coping strategies inherent in people with different psycho-economic types. Our study complements the knowledge about the destructive effect of distancing on the relationship of a couple during a financial crisis. We consider the data obtained extremely important, because it demonstrates how the subjective economic well-being of men and women correlates with the coping strategies of their family partners. We found that the subjective assessment of economic well-being and the degree of financial deprivation of one partner most often does not coincide with a similar perception of the other partner. The wife’s high material needs and expectations act as an additional stressor for the husband, who assumes the social role of the family’s breadwinner. The severity of financial stress in the wife is associated with a deterioration in the quality of family relationships, which affects the husband’s activation and choice of coping strategies. The severity of financial stress in a husband is directly related to the activation of coping behavior of wives and increased family cohesion (up to dependence). In a situation of financial crisis, wives expect husbands to have an

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adequate assessment of family problems, awareness of stress, involvement and activity in overcoming it. The husband’s SEW and his choice of ways to overcome difficulties depend on how much the wife shares responsibility for the financial condition of the family and on the copings she uses. Both the escape of wives from a decision and their acceptance of responsibility in a situation of financial crisis increases the level of economic anxiety of husbands. The results obtained raise an important issue about the general inconsistency of social roles in the modern family, where the responsibilities for securing and controlling finances are debatable. The traditional distribution of gender roles is based on the fact that men and women have different sources of stress and different strategies to overcome them. Women likely to need support, the manifestation of emotions and the desire to share them with others; the male model of behavior includes the desire to be physically and intellectually active, not to show signs of weakness, not to discuss their problems with other people (Kornіenko, 2018). We see that such stereotypes apply to the financial behavior of Ukrainian families. Burn (1996) explained that men often choose unconstructive coping, feeling their failure as the breadwinner of the family. In the event of loss of earnings, they give up and show helplessness more often than women. Zmanovskaya (2020) notes the blurring of personal boundaries in families: as a result of the “pathogenic merge”, they infect each other with excessive anxiety, project their problems onto the partner and delegate him/her responsibility for their own well-being. Our results partially confirm the desire of partners to symbiotic relationships during the crisis. It is known that the leveling of sex and gender differences in modern society manifested in a mixture of marital roles: partners do not understand what household and economic roles they should play. Economically independent women compete with spouses and show less tolerance for their shortcomings. A real financial power in families often belongs to wives, but they exercise it indirectly, masking their influence. At the same time, a hidden conflict develops between social stereotypes and the real behavior of partners: “Women behave extremely contradictory: demanding husband’s tenderness and obedience in everyday situations, expect high activity in sex and in solving family’s financial issues. Men, on the other hand, expect their wives to recognize their superiority and at the same time easily shift the solution of financial

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and other complex issues to her» (Zmanovskaya, 2020). The obtained results represent the family as an integrated open system in which all members share the influence of external factors and mutually influence each other. Previous studies of hereditary coping noted the possible reactions of partners in a situation of joint coping: stressful communication, positive coping of one partner aimed at supporting the other partner (empathy, active participation, etc.); positive joint coping (collective efforts); negative reactions of one of the partners (protective buffering, hostility or ambivalence); negative joint coping, disengaged avoidance (Falconier & Kuhn, 2019). We found all types of reactions described in our study. It is known that the dynamics of the choice of coping styles in the family develops from individual to joint coping efforts (Kuftyak, 2012). Positive joint coping of spouses increases satisfaction with marriage: it can help reduce emotional tension, settle conflicts, and constructively resolve difficult life situations (Koroleva & Kryukova, 2016). Dyadic coping is supplemented and complicated by the individual reactions of partners, each having their own perception of stress (Hilpert et al., 2018; Shypova, 2020). Relations between spouses during times of financial stress can be affected by the effect of buffering. According to longitudinal studies, sharing stress when receiving support from a partner significantly increases satisfaction with relationships (Rusu et al., 2020); support is especially significant for women (Hilpert et al., 2018). Lack of finance is undoubtedly an important factor in the formation of family relations, but it is not the main or only one. Most likely, all previously accumulated problems and disagreements sharply manifest themselves in this situation. The financial crisis can both improve and worsen the relations of partners. Difficulties can have positive results: stimulate life changes, contribute to strengthening the family and personal development. The protection from the negative effects of financial stress is supported by marital relations, thanks to which the couple feels capable of solving problems together, as well as a sense of personal competence and the ability to manage the economic circumstances of their lives. Conclusions The family responds to financial stress as a single flexible social system that seeks to protect its

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138 integrity. Partner coping strategies are determined by gender roles: because of the generally accepted role of the “breadwinner,” husbands are more sensitive to stress, and women tend to merge with their partners to dependence on each other. Coping behavior is influenced by individual attitudes, perception of stress and the subjective well-being of each family member. The efforts of partners can be congruent, reinforcing each other and complementary, compensating for each other’s shortcomings. Joint co-ownership determines the adaptive functioning of the family system. Limitations of Results The described patterns reflect the peculiarities of financial consciousness and coping behavior of Ukrainian urban families during the period of mass socio-economic crisis. The study was a one-step slice at the beginning of the COVID-19 pandemic, which was long and wavy in nature. The corresponding dynamics continues to be studied, so the described conclusions describe the first stage of adaptation of partners to unexpected and relatively short-term stress. The above results do not take into account the difference in family income, this analysis will be published later. References Ackerman, N., & Paolucci, B. (1983). Objective and subjective income adequacy: Their relationship to perceived life quality measures. Social Indicators Research, 12, 25–48. https://doi.org/10.1007/BF00428859 Alsemgeest, L. (2016). Talking about money is taboo: Perceptions of financial planning students and implications for the financial planning industry. Industry and Higher Education, 30(6), 394–401. https://doi.org/10.1177/0950422216670065 American Psychological Association (2012, January). Gender and Stress: Press Release (January 2012). Retrieved from https://www.apa.org/news/press/releases/stress/ 2010/gender-stress Arbeláez-Campillo, D.F., AndreyevnaDudareva, M., & Rojas-Bahamón, M.J. (2019). Las pandemias como factor perturbador del orden geopolítico en el mundo globalizado. Cuestiones Políticas, 36(63). Bienkunska, A. (2018, November 29-30). Subjective poverty - measuring and definitions. A paper presented at the UNECE expert session on measuring poverty and inequality, Vienna, Austria. Retrieved from https://unece.org/fileadmin/DAM/stats/documen

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Petersburg, Russia: Rech. Retrieved from https://www.twirpx.com/file/183486/ Falconier, M. K., & Kuhn, R. (2019). Dyadic coping in couples: a conceptual integration and a review of the empirical literature. Frontiers in Psychology, 10, Article 571. https://doi.org/10.3389/fpsyg.2019.00571 Folkman, S., & Lazarus, R.S. (1988). Manual for the ways of coping questionnaire. Palo Alto, CA: Consulting Psychologists Press. Frankham, C. Richardson, T., & Maguire N. (2020). Psychological factors associated with financial hardship and mental health: A systematic review. Clinical Psychology Review, 77, 101832. https://doi.org/10.1016/j.cpr.2020.101832 Hilpert, P., Xu, F., Milek, A., Atkins, D. C., Bodenmann, G., & Bradbury, T. N. (2018). Couples coping with stress: Between-person differences and within-person processes. Journal of Family Psychology, 32(3), 366–374. https://doi.org/10.1037/fam0000380 Iida, M., Seidman, G., & Shrout P. E. (2018). Models of interdependent individuals versus dyadic processes in relationship research. Journal of Social and Personal Relationships, 35(1), 5988. https://doi.org/10.1177/0265407517725407 Jahoda, M. (1988). Economic recession and mental health: Some conceptual issues. Journal of Social Issues, 44(4), 13-23. https://doi.org/10.1111/j.15404560.1988.tb02089.x Karademas, E. C., & Roussi, P. (2016). Financial strain, dyadic coping, relationship satisfaction, and psychological distress: A dyadic mediation study in Greek couples. Stress and Health: Journal of the International Society for the Investigation of Stress, 33(5), 508-517. https://doi.org/10.1002/smi.2735 Karney, B. R., & Bradbury, T. N. (1995). The longitudinal course of marital quality and stability: A review of theory, methods, and research. Psychological Bulletin, 118(1), 3–34. https://doi.org/10.1037/0033-2909.118.1.3 Kartashova, T. E. (2013). Psychological determinants and features of the prevention of destructive marital conflicts in the context of a crisis of marriage and family relations (PhD thesis). Russian Centre of Emergency and Radiation Medicine, St. Petersburg, Russia. Retrieved from http://www.dslib.net/medpsixologia/psihologicheskie-determinanty-iosobennosti-profilaktiki-destruktivnyhsupruzheskih.html Khashchenko, V. A. (2011). Subjective economic well-being and its measurement: construction of the questionnaire and its validation. Experimental Psychology (Russia), 4(1), 106–127.

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Khashchenko, V. A. (2012). Psychology of economic well-being. Moscow, Russia: Institute of Psychology of the Russian Science Academy. Kornienko, I. O. (2018). Genesis of coping behaviour in the living space of the individual (Doctoral dissertation). G.S. Kostiuk Institute of Psychology of the National Academy of Pedagogical Sciences of Ukraine, Kyiv, Ukraine. Retrieved from http://psychology-naesua.institute/read/1392/ Koroleva, E. M., & Kryukova, T. L. (2016). Dyadic coping as a factor of positive dynamics of marital relationships. In T. L. Kryukova, M. V. Saporovskaya & S. A. Hazova (Eds.), Psychology of stress and coping behaviour: resources, health, development: Proceedings of the IV International Scientific Conference in Kostroma, September 22-24, 2016 (Volume 2, pp, 61-64). Kostroma, Russia: N. A. Nekrasov Kostroma State University. Kryukova, T. L. (2010). Coping behaviour learning methods: three coping scales. Kostroma, Russia: N. A. Nekrasov Kostroma State University: Avantitul. Retrieved from http://www.copingkostroma.com/index.php/content/books/40methods Kuftyak, E. V. (2012). Family coping concept: main points. Medical psychology in Russia, 5(16). Retrieved from http://www.mprj.ru/archiv_global/2012_5_16/n omer/nomer10.php Kuzmenkova, L. V., & Kuskov, D. V. (2019). Individual and personal characteristics of clients with different types of economic self-awareness in situations of subjective dissatisfaction with the level of economic well-being. Scientific Notes Journal of St. Petersburg State Institute of Psychology and Social Work, 32(2), 31-40. Liker, J. K., & Elder, G. H. (1983). Economic hardship and marital relations in the 1930s. American Sociological Review, 48(3), 343–359. https://doi.org/10.2307/2095227 MacCrae, R., & Costa, P. (1986). Personality, coping and coping effectiveness in an adult sample. Journal of Personality, 54(2), 385–405. https://doi.org/10.1111/j.14676494.1986.tb00401.x McCubbin, H. I., & Patterson, J. M. (1983). The family stress process: the double ABCX model of adjustment and adaptation. Marriage & Family Review, 6(1-2), 7–37. https://doi.org/10.1300/J002v06n01_02 McWhinney, J. (2019, June 25). Top 6 marriagekilling money issues. Investopedia. Retrieved from https://www.investopedia.com/articles/pf/09/ma rriage-killing-money-issues.asp

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140 Muzdybaev, K. (2001). Experiencing poverty as social failure: attribution of responsibility, coping strategies and indicators of deprivation. Sociological Journal, 1, 5-32. National Child Traumatic Stress Network (2020). Coping in hard times: Fact sheet for parents. Los Angeles, CA: National Center for Child Traumatic Stress. Olson, D. H. (1991). Three-dimensional (3-D) Circumplex model and revised scoring of FACES III. Family Process, 30(1), 74-79. https://doi.org/10.1111/j.15455300.1991.00074.x. Pinsker, J. (2020, March 2). Why so many Americans don’t talk about money. The taboos vary by class, job, and circumstance. The Atlantic. Retrieved from https://www.theatlantic.com/family/archive/202 0/03/americans-dont-talk-about-moneytaboo/607273/ Plotnikov, S. G., & Sperlin, A. V. (2014). Assessment of differences in strategies of economic behaviour depending on the level of subjective economic well-being. Vestnik NGUÈU, 2, 202-212. Rohr, M. K., Nestler, S., & Kunzmann, U. (2019). A trouble shared is a trouble halved: age differences in emotional experience and expression during couples’ conversations. Psychology and Aging, 34(6), 848-861. https://doi.org/10.1037/pag0000386 Rusu, P. P., Nussbeck, F. W., Leuchtmann, L., & Bodenmann. G. (2020). Stress, dyadic coping, and relationship satisfaction: A longitudinal study disentangling timely stable from yearly fluctuations. PLoS ONE, 15(4), e0231133. https://doi.org/10.1371/journal.pone.0231133 Shelleby, E. C. (2018). Economic stress in fragile families: pathways to parent and child maladjustment. Journal of Child and Family

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Studies, 27, 3877–3886. https://doi.org/10.1007/s10826-018-1232-z Shypova, N. S. (2020). Coping behaviour in dyadic relationships of partner with normal and impaired development. Vestnik of Samara State Technical University, Series: Psychology and Pedagogics, 1(45), 180-196. https://doi.org/10.17673/vsgtu-pps.2020.1.13 Strumpel, B. (1974). Economic well-being as an object of social measurement. In: B. Strumpel (Ed.), Subjective elements of well-being (pp. 75-122). Paris, France: Organization for Economic Cooperation and Development. Takeuchi, D. T., Williams, D. R., & Adair, R. K. (1991). Economic stress in the family and children's emotional and behavioral problems. Journal of Marriage and Family, 53(4), 10311041. https://doi.org/10.2307/353006 Trachtman, R. (1999). The money taboo: Its effects in everyday life and in the practice of psychotherapy. Clinical Social Work Journal, 27, 275-288. https://doi.org/10.1023/A:1022842303387 Tran, A. G., Lam, C. K., & Legg, E. (2018). Financial stress, social supports, gender and anxiety during college: a stress-buffering perspective. The Counseling Psychologist, 46(7), 846–869. https://doi.org/10.1177/0011000018806687 Veenhoven, R. (2018). Subjective well-being in nations. In E. Diener, S. Oishi, & L. Tay (Eds.), Handbook of well-being. Salt Lake City, UT: DEF Publishers. Zmanovskaya, E. V. (2020). Psychology of the family: the basis of the marriage consulting and family psychotherapy. Moscow, Russia: INFRA-M. Retrieved from https://znanium.com/catalog/document?id=3610 94

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DOI: https://doi.org/10.34069/AI/2021.42.06.13 How to Cite: Ovcharenko, R., Goncharova, O., Kondratenko, E., & Maltseva, O. (2021). State policy in the field of innovation in Russia. Amazonia Investiga, 10(42), 141-148. https://doi.org/10.34069/AI/2021.42.06.13

State policy in the field of innovation in Russia Государственная политика в сфере инноваций в России Received: April 9, 2021

Accepted: May 23, 2021

Written by: Roman Ovcharenko57 https://orcid.org/0000-0002-4974-4962 Olga Goncharova58 https://orcid.org/0000-0003-1566-9367 Evgenia Kondratenko59 https://orcid.org/0000-0003-0286-5131 Olga Maltseva60 https://orcid.org/0000-0002-5647-0031 Abstract

Аннотация

The current stage of development of the entire world community, including Russia, is associated with the transition to the sixth technological order, the development of Industry 4.0, and the development of the digital economy. The importance of solving the problem of Russia's transition to an innovative path of development is obvious; numerous scientific publications of the last two decades have been devoted to this. However, the real results of the policy of the Russian state in the field of innovation are rather contradictory. Within the framework of this article, the evolution of state policy, its current trends and problems in the field of innovations in the Russian Federation are considered. The purpose of this study is to identify the features and prospects of the innovation policy of the Russian Federation. In this regard, the following tasks were set: to determine the place of Russia in the modern world in terms of the development of the innovation system, as well as its potential, to identify the features, strengths and weaknesses of the state policy of the Russian Federation in the field of innovation, and to determine possible directions for its adjustment in order to overcome the country's lag in the innovation field. Based on the results of the study, directions of economic development have been proposed. The conclusions obtained in the

Современный этап развития всего мирового сообщества, в том числе России, связан c переходом к шестому технологическому укладу, развитием индустрии 4.0, развитием цифровой экономики. Важность решения проблемы перехода России на инновационный путь развития очевидна, этому посвящены многочисленные научные публикации последних двух десятилетий. Однако реальные результаты политики российского государства в сфере инноваций достаточно противоречивы. В рамках данной статьи рассмотрена эволюция государственной политики в сфере инноваций РФ, ее современные направления и проблемы. Целью данного исследования является выявление особенностей и перспектив инновационной политики РФ. В этой связи были поставлены следующие задачи: определить место России в современном мире по показателям развития инновационной системы, а также ее потенциал, выявить особенности, сильные и слабые стороны государственной политики РФ в сфере инноваций, определить возможные направления ее корректировки в целях преодоления отставания страны в инновационной сфере. По итогам исследования предложены направления экономического развития. Выводы, полученные в ходе исследования, могут быть

Doctor of Sociology, Professor, South-Russian Institute of Management of RANEPA, Rostov-on-Don, Russia. PhD, Associate Professor, South-Russian Institute of Management of RANEPA, Rostov-on-Don, Russia. 59 PhD, Associate Professor, South-Russian Institute of Management of RANEPA, Rostov-on-Don, Russia. 60 PhD, Associate Professor, South-Russian Institute of Management of RANEPA, Rostov-on-Don, Russia. 58

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142 course of the study may be of interest to the scientific community studying the experience and problems of organizing and managing innovations in the countries solving the problem of keeping pace with the leaders of innovative development by mastering the advantages and possibilities of transition to a new technological order, the fourth industrial revolution and digitalization of the economy.

интересны научному сообществу, изучающему опыта и проблемы организации и управления инновациями стран, решающих задачу преодоления отставания от лидеров инновационного развития за счет овладения преимуществами и возможностями перехода к новому технологическому укладу, четвертой промышленной революции и цифровизации экономики.

Keywords: innovation, the sixth technological order, digitalization, the fourth industrial revolution, innovative development, innovation policy.

Ключевые слова: Инновации, шестой технологический уклад, цифровизация, четвертая промышленная революция, инновационное развитие, инновационная политика.

Introduction In modern conditions, an innovative development strategy is typical for all levels of the economy and management: the level of individual companies, individual industries and territories, the national economy as a whole, integration associations and economic ties of the global economy (Ignatova et al, 2014). In recent decades, scientists, practitioners and government officials have considered the relevance and necessity of the transition of the Russian economy to an innovative path of development as the most important problem (Kudrin & Gurvich, 2014). The presence of an innovative national system is the most important indicator of a country's development level (Aghmiunia et al, 2020). Researchers consider this problem in conjunction with the problems of the transition to the sixth technological order, the fourth industrial revolution, and the formation of the digital economy. (Kiraz et al, 2020; Shayganmehr et al, 2020; Chauhan et al, 2020). The purpose of this study is to identify the current directions of the state policy of Russia in the innovation sphere. In this regard, the following tasks were set: to analyze the evolution of the state policy of Russia in the field of innovation; identify the reasons for the lack of effectiveness of this policy; identify possible directions for improving Russia's innovation policy taking into account domestic and foreign experience. Within the framework of this article, of course, it is impossible to cover all the components of the problems of innovative development in Russia. It is advisable to dwell on some aspects of the state policy in the field of innovation, namely, on the possible directions of improving the state innovation policy giving it a comprehensive character. First of all, it is necessary to form a

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clear and unified understanding of the model of the economy which will replace the raw material model, to ensure consistency of measures of state policy in the field of innovation, which implies the coordination of measures of innovation, structural, financial, monetary, and social policy, as well as to improve the quality of training and implementation of strategic documents dedicated to the problems of innovative development in Russia. Literature Review In the scientific literature, there are various, often diametrically opposed, points of view regarding: 1) the reasons for Russia's growing lag behind developed countries in terms of the development of an innovative economy and ways to change the current situation. Thus, according to Akindinova et al. (2016), the future model of Russia's economic development (in the context of falling energy prices and, consequently, reducing state budget revenues) should be focused on the option of gradual development based on the advantages of a market economy and competition. First of all, according to Kudrin & Gurvich (2014), modernization of the Russian economy requires, a radical reduction in the non-market sector of the economy, continuation of reforming the budgetary sectors of the economy, refusal to raise wages in the public sector if such an increase is not a consequence of productivity growth, borrowing advanced foreign technologies and embedding, albeit in a secondary role, in international technological chains to attract foreign investment. At the same time, according to the developers of the concept of

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reindustrialization (Bodrunov, 2014), new industrialization (Ryazanov, 2014), neoindustrialization (Gubanov, 2014) to overcome the crisis in the innovation sphere in Russia, it is necessary, first of all, to restore the role and place of the processing industry in the economy, the connection of the extractive and processing industries on the basis of vertical integration and the creation of intersectoral chains of production of final products, as well as the elimination of threats to the reproduction of human capital; 2) regarding the transition of Russia to Industry 4.0, to the sixth technological order and the development of the digital economy in Russia. These processes are undoubtedly interrelated. The fourth industrial revolution is characterized, first of all, by the development of artificial intelligence, robotics, the Internet of things, biotechnology, 3D printing, nanotechnology, biotechnology, materials with specified properties, etc. (Bonaccorsi et al, 2020). The sixth technological order, which is currently being formed, is based on artificial intelligence, nanotechnology, genetic engineering, cellular technologies, global information networks, etc. Within the framework of the sixth technological order, there will be a significant decrease in the energy and material consumption of production (Khanzode et al, 2021). As for the development of the digital economy, it is seen as an accelerator for the development of global industry, business and society, capable, according to the World Economic Forum, to bring additional income of over $ 30 trillion US dollars by 2025 (Uskov, 2018). However, for Russia, which at the end of the 20th century was unable to take advantage of the capabilities of the fifth technological order based on microelectronics, and in which the production of electronic products per capita is 90 times less than in the United States and almost 36 times less than in EU countries (Seleznev & Sosnilo, 2016) , it is necessary to clearly understand whether it is possible to create elements of a new, sixth technological order if the previous one was not developed. In addition, an unambiguous understanding of the prospects for the development of the digital economy in Russia is necessary in conditions when mechanical engineering, instrument making, electronics, and other high-tech industries form no more than 6-7% of GDP against 7080% in the USA, Japan and developed EU

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countries (Goncharova & Sidorenko, 2011). According to a number of researchers, digitalization in Russia can be effective only if the manufacturing industry is restored in the country, primarily mechanical engineering (Radulescu et al, 2014); 3) regarding the reasons for the insufficient effectiveness of the state policy of Russia in the field of innovation. As noted above, in Russia the idea of moving to an innovative track has been relevant for about two decades. During this time, many regulatory documents, concepts, strategies, road maps have been adopted; objects of innovation infrastructure have been created, etc. However, the position of our country in the world ratings of innovative development does not change dramatically. According to The Global Innovation Index 2020 (Cornell University, INSEAD, and WIPO, 2020) in the 2020 ranking compared to 2019 Russia climbed from 46th to 42nd place, according to The Global Competitiveness Report 2019 (World Economic Forum, 2019) Russia retained 43rd place in the ranking in 2019 compared to 2018. Russia lags behind developed and many rapidly developing countries (15 leading innovative development countries and 45 EU, OECD, BRICS countries) in almost all parameters of innovation development, especially in terms of performance (Gershman et al, 2018); 4) regarding the reasons for the low demand for innovations on the part of Russian producers. An opinion is expressed about a system-forming contradiction of the current stage of development of Russia: between the course declared at the state level for the innovative development of the Russian economy and the weak demand for innovations from industrial enterprises (Romanov, 2017). According to Golichenko & Samovoleva (2011) the low demand for innovations in Russia is associated, first of all, with the absence of market mechanisms for stimulating innovation activity; they are trying to compensate for their absence by development institutions created by the state that support innovative projects at all stages. According to Wang (2018) there is a relationship between the degree of government intervention in the innovation sphere and indicators of innovation development in the country's economy: government support for innovation accelerates the development of the innovation sphere, but leads to the concentration of resources at key companies. Insufficient government intervention leads,

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144 on the one hand, to lagging behind in terms of the development of the innovation sphere, but on the other hand, the innovative potential of private entrepreneurship remains. Thus, the stated problems are very topical and controversial and directly related to the issues of ensuring the national security of the country and its existence as a sovereign state in the future. The latter presupposes the need for a radical modernization of the economic system, improvement of state policy in the field of innovation in order to meet the changes and challenges of the world socio-economic order. At the same time, it is important to coordinate efforts of state innovation policy at the federal and regional levels, which in modern conditions, as the experience of developed countries shows, is being transformed (Wilson & Souitaris, 2002).

Similar state acts were adopted in the field of digitalization of the economy, for example, Federal target programme on Electronic Russia (2002–2010), on Strategy for the Development of the Information Society in the Russian Federation, state programme on Information Society for 2011– 2020, on Strategy for the Development of the Russian Segment of the Information and Communication Network of the Internet and Related Sectors of the Economy, state programme on Digital Economy of the Russian Federation. Similar strategic documents have been adopted and are being implemented in many states and within the framework of integration associations. Examples include the Digital Europe 2020 Strategy (adopted by the EU in 2010), the Internet plus Strategy (adopted in China in 2015), Industry 4.0 (adopted in Germany in 2011), etc.

Methodology The research is based on a dialectical, historicalsystems approach, analysis, synthesis and comparison, induction and deduction. The study analyzed domestic and foreign literature on the topic of state innovation policy in the context of the development of Industry 4.0, the transition to the sixth technological order and the development of the digital economy. The study used data from The Global Innovation Index 2020 (Cornell University, INSEAD, and WIPO, 2020), The Global Competitiveness Report 2019 (World Economic Forum, 2019), National report on innovation in Russia 2017 (Andrushchak et al, 2018), and the Federal Service of State Statistics of Russia.

However, there was no innovation boom in Russia. Let's consider the reasons. According to a study by Patanakul & Pinto (2014), government policies and regulations can promote or hinder innovation. Strong and focused policies and regulations have the potential to drive significant and fundamental changes in product and process technology. However, policies and regulations can create barriers and constraints that sometimes inhibit innovation. That is, in order to develop an effective state policy in the field of innovation, it is necessary to develop various government measures and test them, and those that contribute to the development of innovations should be left, but those that do not should be cancelled.

Results and Discussion Since the 2000s, the Russian authorities have been actively adopting various regulatory legal acts, development programmes, and state development strategies in the field of innovation. For example, in 2005, a state act The Main Directions of the Policy of the Russian Federation in the Development of the Innovation System until 2010 was adopted, in 2006 – The Strategy for the Development of Science and Innovation in the Russian Federation until 2015, in 2011 – The Strategy of Innovative Development of the Russian Federation for the Period up to 2020, in 2014 – State programmes on Economic Development and Innovative Economy, on Strategy for Scientific and Technological Development of the Russian Federation for the Period up to 2024, National Project on Science (2018- 2024) and others.

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According to Greco, Locatelli & Lisi (2017), an important factor in the development of innovation in the modern world is stimulating the development of "open innovations". "Open innovations" imply the development of new technologies, products and services not only within the framework of their own internal corporate R&D, but also through the active involvement of innovations and competencies outside the company (Chesbrough, 2003). Borrás & Laatsit (2019), based on the study of state innovation policies of 28 EU countries, found that a systematic approach to innovation policy allows for the formation of a more sustainable innovation development programme but this approach requires systemic knowledge and organizational capabilities.

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But it is precisely the consistency in the state innovation policy in Russia that is lacking; in addition, it has a number of significant shortcomings, namely:  



 



there is no analysis of the results of the implementation of previous strategies, concepts or programmes (Mindeli, 2011); a significant number of innovation policy priorities in the absence of a mechanism for implementing the planned measures (Chmykhalo & Abushaeva, 2015); the desire to copy Western models of education, science, innovation environment, and innovation financing without taking into account domestic experience and the specifics of the Russian innovation system, which inevitably leads to temporary and financial losses, especially at the first stage (Suslov, 2011); unlikeliness of a number of goals set (Gershman et al, 2018); the vagueness of the goals and objectives of the state innovation policy (as a rule, they are formulated using the phrases like “create conditions”, “create opportunities”, “form a system”, “promote formation”, “create a model”, etc.). The degree to which such goals and objectives have been achieved cannot be assessed; in this case, adjustment and analysis of the results achieved are unlikely. On the other hand, there is a real threat of loss of time and, as a result, an increase in Russia's lagging behind in the innovation sphere (Semyonov, 2019); little attention is paid to the integration of large innovative businesses with small and medium-sized ones. Small and mediumsized innovative entrepreneurship is an essential element of the national innovation system, ensuring its flexibility, adaptability, the possibility of cost savings, etc. Governments of developed countries are effectively expanding cooperation in the field of innovation between firms, entrepreneurs, research institutions and the public sector in such a way that small and medium-sized businesses, innovations were affordable and profitable. Whereas, big business gives small innovative companies integrated with it the opportunity to attract the necessary financial resources and reduce risks, it gives them long-term contracts, technical assistance, etc. (Leckel et al, 2020).

These problems lead to the fact that Russia shows a significant lag, its share in the global innovation system is less than 1% (Lebedeva, 2017).

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According to The Global Innovation Index 2020 (Cornell University, INSEAD, and WIPO, 2020), Russia climbed in the ranking in 2020 compared to 2019 from 46th to 42nd place, according to The Global Competitiveness Report 2019 (World Economic Forum, 2019) Russia retained 43rd place in the ranking in 2019 compared to 2018. Such indicators are low enough. It is necessary to state that Russia lags significantly behind developed countries in terms of funding for research and development projects. So, according to UNESCO, according to the ratio of investments to GDP, Russia is not even among the first fifteen countries (in Russia this figure is 1.12%), whereas the average value of this indicator is 1.7% of GDP, and in the developed countries of Western Europe it is 1.75% and in North America it is 2.04% (UNESCO, 2015). When developing measures to stimulate innovative development, the experience of other countries should be taken into account. In China, the innovation tax incentive system promotes innovation creation, diffusion and implementation. These include a reduced income tax rate for new and high-tech enterprises, deduction of R&D expenses for corporate income tax purposes, exemption from income tax, etc. Businesses benefit from operating in such conditions accelerating the diffusion of innovations and receiving some benefit from implementation innovation by lowering product prices (Wanga & Lic, 2019). In the United States, government and government agencies work effectively with startups and investors. A common way government supports startups is through direct funding, for example, the US SBIR is run through agencies (DOE and DOD) that are tasked with allocating a portion of their budget to support innovative small firms. Government organizations can also work directly with startups and support entrepreneurship (Doblinger et al, 2019). In addition, the United States is actively implementing measures aimed at enhancing the capabilities of the domestic market, supporting the demand for the products of domestic producers which includes raising the standard of living of the population, reducing property differentiation, developing institutions for transforming savings into investments, etc. Market conditions are the most important factor determining the development of innovation in manufacturing (Cumming, 2007).

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146 Conclusions A significant part of the strategic documents of the Russian Federation (state strategies for the development of sectors of the Russian economy, the social sphere, the information economy, etc.) provide for measures to develop innovations, modernize the economy, and the social sphere. Of course, it is impossible and impractical to combine all measures to modernize, digitalize the economy, social sphere, and the civil service system in a single document. However, it is necessary to have a unified understanding of the ultimate goal of innovative transformations, to overcome the manifestations of inconsistency, internal inconsistency, disconnectiveness, state policy in the field of innovation, to ensure the possibility of taking into account different points of view, and using the domestic and world experience of implementing an innovative breakthrough in an adapted form. At the same time, the outlined milestones should be quantitatively defined, realistic and consistent with the dynamics of development, primarily of the EAEU and BRICS countries, which, ultimately, will give an additional impetus to the development of the real sector of the Russian economy, reduce the severity of the problem of attracting investments, and ensure the participation of foreign investors in domestic infrastructure and transport projects, as well as potential sales markets for the products of the manufacturing industries of the Russian Federation. It is equally important to study the domestic and foreign experience of overcoming the lag behind developed countries in the scientific and technical sphere, modernizing the economy, and mastering the advantages of new technological structures. This is the domestic experience of modernizing the economy and mastering the advantages of the third and fourth technological modes, the experience of China which has created its own unique and one of the most effective models of economic development in modern conditions. The period that Russia is going through is a time of opportunities including opportunities for solving the problems of overcoming the lag behind developed countries in the innovation sphere, as well as in the development of the digital economy. The future of Russia as a sovereign prosperous state which was able to realize itself and its truly enormous economic potential depends on whether in the next 10-15 years Russia will be able to master technologies and take advantage of the new technological order, while simultaneously

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developing those elements of the previous one the absence of which made our economy vulnerable to economic sanctions from Western countries. Bibliographic references Aghmiunia, S.K., Siyal, S., Wang, Q., & Duan, Y. (2020), Assessment of factors affecting innovation policy in biotechnology. Journal of Innovation & Knowledge, 5(3), 179-189, https://dialnet.unirioja.es/servlet/articulo?codigo =7612722 Akindinova, N., Kuzminov, Ya. & Yasin, E. (2016). Russia’s economy: Before the long transition, Economics, 6, 245-258, https://ideas.repec.org/a/nos/voprec/2016-061.html (in Russian). Andrushchak, G.V., Artemov, S.V., Vakhshtayn, V.S. et al. (2018). National report on innovation in Russia 2017. Moscow: Russian Venture Company Publishing House (in Russian) Bodrunov, S.D. (2014) Russian Economic System: the Future of High-tech Material Production. Economic revival of Russia, 40, 5– 16 (in Russian). Bonaccorsi, A., Chiarello, F., Fantoni, G., & Kammering, H. (2020). Emerging technologies and industrial leadership. A Wikipedia-based strategic analysis of Industry 4.0. Expert Systems with Applications, 160, 113645, https://doi.org/10.1016/j.eswa.2020.113645 Borrás, S. & Laatsit, M. (2019). Towards system oriented innovation policy evaluation? Evidence from EU28 member states. Research Policy, 48(1), 312-321, https://doi.org/10.1016/j.respol.2018.08.020 Chauhan, C., Singh, A., & Luthra, S. (2020). Barriers to industry 4.0 adoption and its performance implications: An empirical investigation of emerging economy. Journal of Cleaner Production, 124809, https://doi.org/10.1016/j.jclepro.2020.124809 Chesbrough, H.W. (2003). The open-innovation model. MIT Sloan Management Review, 44(3), 35–41. Chmykhalo, A. & Abushaeva, M. (2015). Features of the Advancement of Science as an Integral Part of the National Innovation System in Modern Russia. Procedia - Social and Behavioral Sciences, 166, 480-487, https://doi.org/10.1016/j.sbspro.2014.12.559 Cornell University, INSEAD, and WIPO (2020). The Global Innovation Index 2020: Who Will Finance Innovation? Ithaca, Fontainebleau, and Geneva. Cumming, D. (2007). Government policy towards entrepreneurial finance: Innovation investment funds. Journal of Business Venturing,

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22(2), 193–235, https://ssrn.com/abstract=801384 Doblinger, C., Surana, K., & Anadon, L.D. (2019). Governments as partners: The role of alliances in U.S. cleantech startup innovation. Research Policy, 48(6), 1458-1475, https://doi.org/10.1016/j.respol.2019.02.006 Gershman, M., Gokhberg, L., Kuznetsova, T. & Roud, V. (2018). Bridging S&T and innovation in Russia: A historical perspective. Technological Forecasting and Social Change, 133, 132-140, https://doi.org/10.1016/j.techfore.2018.03.014 Golichenko, O.G. & Samovoleva, S.A. (2011). Market and government failures in the Strategy for Innovative Development of the Russian Federation until 2020. "Innovative Russia 2020". Innovations, 2, 8-10 https://cyberleninka.ru/article/n/provaly-rynka-igosudarstva-v-strategii-innovatsionnogorazvitiya-rossiyskoy-federatsii-na-period-do2020-g-innovatsionnaya-rossiya-2020 (in Russian) Goncharova, O.Y. & Sidorenko, I.N. (2011). Economics and bureaucracy. Rostov-on-Don, Russia: North Caucasian Academy of Public Administration Publishing House (in Russian) Greco, M., Locatelli, G. & Lisi, S. (2017). Open innovation in the power & energy sector: Bringing together government policies, companies’ interests, and academic essence. Energy Policy, 104, 316–324, https://doi.org/10.1016/j.enpol.2017.01.049 Gubanov, S.S. (2014). Non-industrial development model and its system algorithm. Economic and social changes: facts, trends, forecast, 33, 23-44, https://doi.org/10.15838/esc/2014.3.33.3 (in Russian). Ignatova, T.V., Goncharova O.Y., & Lozova, L.A. (2014). Public Innovation Management in Entrepreneurship and Education. European Social Science Journal, 8 (1), 440-448 (in Russian). Khanzode, A.G., Sarma, P.R.S., Mangla, S.K., & Yuan, H. (2021). Modeling the Industry 4.0 adoption for sustainable production in Micro, Small & Medium Enterprises. Journal of Cleaner Production, 279, 123489, https://doi.org/10.1016/j.jclepro.2020.123489 Kiraz, A., Canpolat, O., Özkurt, C., Taşkın, H. (2020). Analysis of the factors affecting the Industry 4.0 tendency with the structural equation model and an application. Computers & Industrial Engineering, 150, 106911, https://doi.org/10.1016/j.cie.2020.106911 Kudrin, A., & Gurvich, E. (2014). A New Growth Model for the Russian Economy. Economics, 12, 4-36,

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https://doi.org/10.32609/0042-8736-2014-12-436 (in Russian). Lebedeva, A. A. (2017). Impact of sanctions on innovation potential of Russian enterprises. Scientific Notes of Young Researchers, 1, 5-11, https://cyberleninka.ru/article/n/vliyaniesanktsiy-na-innovatsionnyy-potentsialrossiyskih-predpriyatiy (in Russian). Leckel, A., Veilleux, S. & Dana, L.P. (2020). Local Open Innovation: A means for public policy to increase collaboration for innovation in SMEs. Technological Forecasting and Social Change, 153(C), 119891, https://doi.org/10.1016/j.techfore.2019.119891 Mindeli, L.E. (2011) About the draft Strategy of Innovation Development of the Russian Federation for the period up to 2020. Innovations, 2, 5-8 (in Russian). Misakov, V., Tsurova, L., Yandarbayeva, L., Tkhamadokova, I., & Gapurovna, G. (2019). Certification of a regional economic complex as a highly effective tool for analysis and diagnostics of its development. Amazonia Investiga, 8(20), 451-458. Retrieved from https://amazoniainvestiga.info/index.php/amazo nia/article/view/174 Patanakul, P. & Pinto, J.K. (2014). Examining the roles of government policy on innovation. The Journal of High Technology Management Research, 25 (2), 97-107, https://doi.org/10.1016/j.hitech.2014.07.003 Radulescu, I.G., Panait, M., & Voica, C. (2014). BRICS Countries Challenge to the World Economy New Trends. Procedia Economics and Finance, 8, 605-613, https://doi.org/10.1016/S2212-5671(14)00135X Romanov, E.V. (2017). What capitalism does Russia need?: methodological guidelines for "new industrialization". Economic and social changes: facts, trends, forecast, 10 (2), 90-108, https://doi.org/10.15838/esc.2017.2.50.5 (in Russian) Ryazanov, V.T. (2014). New Industrialization of Russia: Strategic Goals and Current Priorities. Economic revival of Russia, 40, 17-25 (in Russian). Seleznev, P.S., & Sosnilo, A.I. (2016). The Sixth Technological Stage and Industrialization. Power, 22(10), 14-23, https://www.jour.fnisc.ru/index.php/vlast/article /view/2720 (in Russian) Semyonov, E.V. (2019) State Science and Technology Policy in Modern Russia: Concept and Implementation. Science Management: Theory and Practice, 1 (1), 52-71 (in Russian). Shayganmehr, M., Kumar, A., Garza-Reyes, J.A., & Moktadir, Md.A. (2020). Industry 4.0 enablers for a cleaner production and circular

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148 economy within the context of business ethics: A study in a developing country. Journal of Cleaner Production, 125280, https://doi.org/10.1016/j.jclepro.2020.125280 Suslov, V.I. (2011). Innovative processes in Russia: a view from Siberia (ambitions and realities). Innovations, 11, 3-9. https://cyberleninka.ru/article/n/innovatsionnyeprotsessy-v-rossii-vzglyad-iz-sibiri-ambitsii-irealii (in Russian) UNESCO (2015). UNESCO Science Report: towards 2030 – Executive Summary, http://web.nioch.nsc.ru/library/doc1/235407r.pdf (in Russian). Uskov, V.S. (2018) Formation of digital economy in Russia in conditions of the fourth industrial revolution and new economic reality. Bulletin of The Vladimir State University. Series: Economic Sciences. 17, 182-197, http://vestnik-

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es.vlsu.ru/fileadmin/No17/Vestnik_No_17.pdf (in Russian) Wang, J. (2018). Innovation and government intervention: A comparison of Singapore and Hong Kong. Research Policy, 47 (2), 399-412, https://doi.org/10.1016/j.respol.2017.12.008 Wanga, P. & Lic, F. (2019). China's organization and governance of innovation – A policy foresight perspective. Technological Forecasting & Social Change, 146 (C), 304–319. https://doi.org/10.1016/j.techfore.2019.05.029 Wilson, D. & Souitaris, V. (2002). Do Germany’s federal and land governments (still) co-ordinate their innovation policies? Research Policy, 31(7), 1123-1140, https://doi.org/10.1016/S0048-7333(01)00181-0 World Economic Forum (2019). The Global Competitiveness Report 2019. Geneva, http://www3.weforum.org/docs/WEF_TheGlob alCompetitivenessReport2019.pdf

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DOI: https://doi.org/10.34069/AI/2021.42.06.14 How to Cite: Zverev, A., Mandron, V., Rebrina, T., Mishina, M., & Karavaeva, Y. (2021). Investment policy of the banking sector: data from Russia. Amazonia Investiga, 10(42), 149-162. https://doi.org/10.34069/AI/2021.42.06.14

Investment policy of the banking sector: data from Russia Инвестиционная политика банковского сектора: данные из России Received: April 6, 2021

Accepted: June 12, 2021

Written by: Alexei Zverev61 https://orcid.org/0000-0003-2434-6252 Victoria Mandron62 https://orcid.org/0000-0002-3048-3125 Tatiana Rebrina63 https://orcid.org/0000-0001-7715-4794 Maria Mishina64 https://orcid.org/0000-0001-9265-3081 Yulia Karavaeva65 https://orcid.org/0000-0002-8882-1318 Abstract

Аннотация

The growing investment activity of banking sector organisations is an important condition for securing diversification of assets and obtaining additional sources of income, as well as maintaining the required level of liquidity. Economic crises and instability of stock markets affect the investment policy of a bank, the quality of its investment portfolio, and the scope of investment transactions with securities. The purpose of the research is to carry out a comprehensive analysis of the investment mechanism of the Russian banking sector and its organisation, to characterise the investment policy and risks connected with investment activities, to determine the criteria for financial instruments included in the structure of investment portfolios of Russian credit institutions. The authors used the analytical, regulatory, comparative, and statistical methods of research to define the dynamics, composition, and structure of investment portfolios and risks involved in the business of financial and credit institutions, in the course of the formation of investment policy. It was concluded, as a result of the

Рост инвестиционной активности организаций банковского сектора является важным условием обеспечения диверсификации активов и получение дополнительных источников дохода, и сохранение необходимого уровня ликвидности. Экономические кризисы и нестабильность фондовых рынков влияют на инвестиционную политику банка, качество его инвестиционного портфеля и объемы совершаемых инвестиционных сделок с ценными бумагами. Цель исследования – провести комплексный анализ организации инвестиционного механизма российского банковского сектора, дать характеристику инвестиционной политики и рисков, связанных c инвестиционной деятельность, определить критерии финансовых инструментов входящих в структуру инвестиционных портфелей российских кредитных организаций. Для определения динамики, состава и структуры инвестиционных портфелей и рисков, связанных с работой финансово-кредитных институтов при формировании

PhD in Economics, Associate Professor, Department of Finance and Statistics, University, Russia. 62 Ph.D. in Economics, Associate Professor, Department of Finance and Statistics, University, Russia. 63 PhD in Pedagogy, Associate Professor, Department of Customs and Marketing, University, Russia. 64 PhD in Economics, Associate Professor, Department of Finance and Statistics, University, Russia. 65 PhD in Economics, Associate Professor, Department of Finance and Statistics, University, Russia.

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Bryansk State Academician I.G. Petrovski Bryansk State Academician I.G. Petrovski Bryansk State Academician I.G. Petrovski Bryansk State Academician I.G. Petrovski Bryansk State Academician I.G. Petrovski

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research, that enhanced performance, stability, and liquidity of credit institutions were conditioned by the structure and quality of portfolio investments. Improving the efficiency of the banking investment mechanism is a priority area of development, for strengthening the competitive positions of credit institutions in the national banking system. The article presents conclusions regarding the quality of investment operations and transactions with securities effectuated by banks at the present stage. The authors undertook a comparative analysis of indicators characterising the structure of investment assets of the banking sector, grouped by types of investment portfolio. Proceeding from the above, particular directions were developed for practical use, that allow for efficient selection of stock market instruments for inclusion in the investment portfolio of credit institutions in the conditions of high volatility and uncertainty of the financial market. Keywords: The Bank of Russia, banking sector, banking investments, investment policy, investment risk, investment portfolio.

инвестиционной политики использовались аналитический, нормативный, сравнительный и статистический методы исследования. В результате проведенного исследования установлено, что на рост результативности, устойчивости и ликвидности кредитных организаций влияет структура и качество портфельных инвестиций. Повышение эффективности банковского инвестиционного механизма является приоритетным направлением роста для укрепления конкурентных позиций кредитных организаций в национальной банковской системе. В статье представлены выводы, относительно качества совершаемых банками инвестиционных операций и сделок с ценными бумагами на современном этапе Проведен сравнительный анализ показателей характеризующих структуру инвестиционных активов банковского сектора, сгруппированных по видам инвестиционных портфелей. Исходя из этого, разработаны для практического использования направления, позволяющие осуществлять эффективный отбор инструментов фондового рынка для включения в инвестиционный портфель кредитных организаций в условиях высокой волатильности и неопределенности финансового рынка. Ключевые слова: Банк России, банковский сектор, банковские инвестиции, инвестиционная политика, инвестиционный риск, портфель ценных бумаг.

Introduction Investment operations, in particular, portfolio investments, represent one of the most profitable activities in the banking sector. Consequently, the organisations operating in the financial market and engaged in providing financial and credit services set sights on becoming participants of the stock market and forming investment security holdings. An important factor in setting the strategy of a commercial bank in the market of securities is the formation and approval of investment policy which may be characterised as a set of measures aimed at development and realisation of actions for managing security portfolios; identifying the optimal scope of investment resources; assessing the rise in incomes from investment in securities. The main condition for the efficient investment policy of commercial banks is the development of profitable strategy in the stock market and the formation of investment portfolios that will

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optimally combine the principles of cost effectiveness and profitability. The scope of resources allocated by the banks for the formation of investment portfolios is evaluated on the basis of mobilised resources gained from other types of banking activities. Investment operations of the banking sector represent one of the important areas of development of the national economy, which accounts for the relevance of the present research. The purpose of the study is to assess the efficiency of the investment policy and the investment potential of the Russian banking sector, as well as the benchmarks for the banks’ portfolio investments. The objectives of the research are as follows: 

substantiation of the relevance of investment business of the banking sector and characterisation of the investment process;

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   

assessment of investment operations trends in the Russian banking sector; analysis of the volume and structure of investment portfolios of organisations within the Russian banking sector; assessment of efficiency of Russian banks’ investment activities; identification of major problems affecting the efficiency of investment business of the Russian banking sector.

The condition status of the banks’ investment business at the present stage is assessed by the authors on the basis of quantitative, comparative, structural and factorial methods. The given research enabled the authors to evaluate the investment strategy and activity of the Russian banking sector in the stock market, as well as to assess the problems of Russian banks’ entering the stock markets as institutional investors. The Russian banking market is characterised by growing competition and increased monopoly of major players. The authors carried out a qualitative analysis of investment portfolios formed by the Russian banking sector, by assessing the volume and structure of borrowings and identifying the extent of their risk. The comprehensive systemic approach to the analysis of the banks’ investment activity trends made it possible to work out a number of recommendations for its improvement, which enabled the authors to identify the promising areas of research. Literature Review The stock market, with its extensive scope of investment instruments having high-quality investment parameters, is an important prerequisite and a key indicator of the condition of the banking sector. The banking system of the Russian Federation is one of the main sources of investment resources in the market of governmental, sub-federal, municipal, and corporate securities. Credit institutions, in order to diversify their activities, maintain the required level of accounting liquidity, obtain additional sources of income generation, and invest in various assets of the securities market (Brichkova, 2019). The main goal of bank investments is the formation of speculative income due to foreign exchange gain from the revaluation of securities within the formed portfolios; receipt of interest-, coupon- and discounted yield, dividend payments on equity securities, as well as obtaining other property and non-property income from participation in subsidiaries and affiliates (Mazhigova, 2018).

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The investment activity of the banking sector is influenced by a great number of factors. The major macroeconomic factors that have a significant impact on the investment market and the investment policy of the banking sector include:        

political and geopolitical situation, economic development of the country and priority sectors of the economy; stability of functioning and development of the national banking system; low volatility of marketed securities prices and stock market indicators; stability of the national currency; dynamics of prices in commodity markets; scope of transactions in the money market and capital market; monetary policy of the financial market regulator; prudential measures regulating the banking sector, etc. (Volodin and Borenko, 2018).

The investment activity of the banking sector is influenced by a number of microeconomic factors: 

 

scope, dynamics, and structure of the banking sector resource base, which determines the scale of investment activities of financial institutions; bank investment quality indicators assessed on the basis of risk, income, reliability, and liquidity of securities; costs connected with formation and monitoring of investment portfolios, etc. (Zagashvili, 2017).

The state of the economy has a key influence on the national stock market indicators. The declining macroeconomic development indicators; deteriorated industrial and financial performance of a large number of enterprises; contracted investment resources of both private and institutional investors – all of the above has negatively influenced the formation of the banking sector resource base and the quality of the credit institutions' assets (Volodin and Michalev, 2018). The investment activity of the banking sector is characterised by the following specific features: 1. 2.

The sources of bank investments are represented by internal and raised funds. Credit institutions face restrictions when choosing financial instruments for inclusion in their investment portfolios. These

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restrictions are necessary in order to reduce the risks and to maintain the required level of liquidity, to prevent large-scale bankruptcy of credit and financial institutions. The bank portfolio investment result is the formation of speculative and interest income (Aliev and Salmanov, 2015).

Credit institutions use various investment instruments in their investment practice, that are classified according to various criteria. Among the most overriding ones are debt instruments and shares traded in stock markets, included in the 1st and 2nd level quotation lists. Methodology Purpose of the research: 

to make a comprehensive analysis and to assess the structure and dynamics of the Russian banking sector's investments in stock market instruments, and to propose efficient measures for the optimisation of the investment policy, that would allow maintaining the investment activity in the conditions of uncertainty and instability of the national economy and the stock markets.

The research includes the following stages: 



the first stage is a study that includes a theoretical review of economic, regulatory, educational, methodological, and literary sources delving into the problems connected with investment processes of financial and credit institutions in stock markets. This section sets the goal, objectives, object, and subject of the research, presents general directions of the analytical work. the second stage represents an analytical assessment of the obtained results, which includes analysis of the dynamics, structure, and scope of investment in securities by credit institutions; types of formed investment portfolios; assessment of the efficiency of portfolio investments in the

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banking sector at the present stage. This involves outlining the directions for optimisation of the credit institutions' investment strategy, which makes it possible to secure stable profitability in conjunction with the acceptable extent of investment risk, while maintaining high investment activity, in the conditions of high risks and volatility of stock market indicators. The analysis of research papers on the problems of formation of investment policy and mechanisms for ensuring due banking investment processes shows that the analysis and prospects of investment activities of banking business have been described quite extensively. However, most of the essays deal with general issues of stimulating and developing investment activities in the banking sector, while the problems of adaptation mechanisms that allow banks to maintain high investment activity in the context of instability of the national economy and volatile indicators of the stock market have not been fully explored. In the course of the study of the investment activity in the Russian banking sector, an array of analytical data posted on the official website of the financial market regulator was used, along with the financial accounting data of particular credit institutions. The following was used in the process of exploring the posed problem: theoretical and empirical methods, including theoretical analysis, monographic survey, synthesis, analogy, scientific generalisation, the graphical method of economic research, assessment of the banking sector's investment activity results, and other methods. Results and Discussion The Russian banking sector demonstrates the following dynamics of assets and capital growth, as based on the official data published by the Bank of Russia in the form of analytical reports for the period from 2016 to 2018 (Figure 1).

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Figure 1. Banking sector assets and equity growth rates in the Russian Federation in 2016-2018 Source: Central Bank of the Russian Federation (2021) The situation in the financial market improved by the end of 2018-2019, which is characterised by the relative stability of the national currency exchange rate and other indices reflecting the efficiency of the pursued monetary policy (Abramov et al, 2020). The process of investment policy formation involves the accumulation and processing of information that reflects the macroeconomic situation, industry performance, issuer's profile, financial instrument quality rating (Belousova and Kozur, 2016). This analytical information is formed in blocks:  

dynamics of macroeconomic indicators and investment climate; dynamics of indicators of economic sectors' investment prospects;

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   

indicators of development for individual segments of the financial market; indicators of dynamics and quality of stock market assets; dynamics of securities issuers' behaviour; regulatory documents governing the investment process (Khasyanova, 2018).

The results obtained by specialists working for investment units and departments of credit institutions serve as guidelines for investment transactions and operations (Komolov, 2016). The key element of investment activity is the development of investment policy aimed at efficient management of the investment portfolio (Figure 2).

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154

Formation of common strategic goals in accordance with the general business policy of a bank

Outlining the best methods to realise the strategic goals of investment activities

Development of main directions of the bank's investment policy

Identifying investment formation sources

Detailing of investment strategy through development of tactical goals for investment activities and the mechanism for their realisation

Analysis and evaluation of the developed investment policy

Monitoring of the realised investment policy

Investment policy adjustments

Figure 2. The mechanism for the formation of the investment policy of a credit institution Source: authoring development Investment policy, as an element of organisational activities of credit institutions, is a set of measures related to the formation, monitoring, and diversification of investment portfolios formed by banks. The key line of a bank's investment policy is to provide the optimal scope and structure of investment instruments, stable growth of yield generated by them, with a minimum level of risks (Turunceva and Zyamalov, 2016). The key principle of banking investments is the optimal combination of risk and return on assets. The greater the security of a financial instrument, the lower the investment risk, respectively (Mandron et al, 2019).

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The banking investment portfolio includes the following structural elements:    

securities measured at fair value through profit or loss accounts; securities measured at fair value through another cumulative portfolio; securities measured at fair value; portfolio of participation in subsidiaries and dependent joint-stock companies, unit investment trusts (Kalyagin et al, 2017).

The dynamics of credit institutions' investment scope in the context of the formed investment portfolios that meet IFRS requirements are shown in Figure 3.

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Figure 3. Commercial banks' investment in securities in the context of the formed investment portfolios in 2016-2018, billion rubles Source: Central Bank of the Russian Federation (2021) The largest share in banking investments is represented by securities measured at fair value through other cumulative income. The share of this type of investment portfolio in 2016 amounted to 45.3% (or 5,104.00 billion rubles), in 2017 – to 49.6% (6,040.70 billion rubles), in 2018 – to 48.9% (6,343.20 billion rubles). The securities in the portfolio structure measured at depreciable cost accounted for 25.0% in 2016 (or 2,814.90 billion rubles), in 2017 –19.0% (or 2,315.40 billion rubles), in 2018 – 23.6% (or 3,065.60 billion rubles). The share of investment securities portfolio measured at fair value through profit or loss amounted to 15.9% in 2016 (or 1,789.60 billion rubles), in 2017 – to 16.8% (or 2,040.20 billion rubles), in 2018 – to 14.6% (or 1,887.20 billion rubles). The portfolio of participation in subsidiaries, dependent joint-stock companies, and mutual investment funds amounted to 13.7% by the end of 2016 (or 1,549.00 billion rubles), in 2017 – to 14.4% (or 1,747.00 billion rubles), in 2018 – to 12.4% (or 1,613.9 billion rubles).

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Commercial banks are classified as institutional investors and adhere to conservative investment strategies. Securities in the conservative portfolio are distributed by financial institutions in such a way that a larger share is represented by bond issues and only a small fraction is represented by equity instruments. The inclusion of a large number of bonds in the structure of a banking investment portfolio allows the bank to efficiently manage the risks connected with the high volatility of market rates; at the same time, investments in shares of major issuers provide for the formation of speculative gains (Volkova, 2018). Figure 4 demonstrates the scope of investment by the Russian banking sector in debt and equity markets instruments. Consequently, the Russian Federation banking sector adheres to conservative investment policy, so the overwhelming stream of investments is made in bond-secured loans – more than 80%, while the share of investing in shares is slightly over 3%. The data on investment in securities are given without regard for debt security market (bill market) instruments.

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156

Figure 4. Credit institutions' investments in debt and equity securities in 2016-2018, billion rubles Source: Central Bank of the Russian Federation (2021) In 2016, the investment in bond issues amounted to 83.9% (or 9,365.6 billion rubles) in the structure of banking investments, the investment in shares – 3.22% (or 357.4 billion rubles). In 2017, the banks invested 9,947.5 billion rubles in debt securities and 479.7 billion rubles in shares, which accounts for 81.7% and 3.94%, respectively in the structure of bank investments. In 2018, Russian banks made investments in bonds in the amount of 10,856.5 billion rubles, in shares – 494.4 billion rubles. In percentage terms, banking investments in bonds amounted to 85.72%, in shares – 3.9%. Thus, one can observe increased investment in equity and debt instruments by banking sector

organisations; however, credit institutions limit investments in equity securities, which is accounted for by high volatility of their marketable value, as well as by instant reaction of the stock market to changes in economy and geopolitics. Figure 5 shows the total investments in securities by the Russian banking sector. The chart demonstrates the dynamics of commercial banks' investment in stock market assets. These dynamics are connected with commercial banks' more active investment in debentures and equity instruments and with the income generated from participation in subsidiaries and dependent jointstock companies.

Figure 5. Dynamics of the Russian banking sector's investment in securities in 2016-2018, billion rubles Source: Central Bank of the Russian Federation (2021) In 2016, the banking investments amounted to 11,272.0 billion rubles, in 2017 – to 12,172.4 billion rubles, in 2018 – to 12,664.9 billion rubles. Over the period from 2016 to 2018, the scope of banking investments increased by 1,392.9 billion rubles or 12.36%.

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The investment activity of the Russian banking sector is characterised by a significant amount of funds allocated for bond-secured loans, while only a minor part is invested in shares of major Russian and foreign issuers (Mandron and Letyago, 2019; Zverev et al, 2018).

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

Bonds have certain investment parameters which serve as a basis for their inclusion in the structure of being-formed securities portfolios by credit institutions. These parameters are as follows: 



bond-secured loans are deemed to be an instrument of reliable assets traded in the organised and over-the-counter stock market; they assume the formation of interest and (or) discounted income, without fail, within the term set by the issuer; expected payments and proceeds are already known at the time of the investment transaction;

the bonds issued by first-class issuers with high credit rating are classified as guaranteed and liquid investment assets; the costs connected with monitoring of the securities portfolio and analysis of the stock market are reduced due to the low volatility of the market rate (Suchkova and Masterovenko, 2017).

The analytical data demonstrating the scope and structure of investment in debt securities by banking sector organisations are presented in Table 1.

Table 1. Scope and structure of investment in debt securities by the Russian banking sector in 2016-2018

Characteristic values Investments in debentures – total debt securities of the Russian Federation debt securities of the Bank of Russia debt securities of constituent entities of the Russian Federation and local authorities debentures issued by resident credit institutions debentures issued by other residents debt securities of foreign states debt securities of non-resident banks debt securities of other non-residents debt securities transferred without derecognition debt securities not retired on time

as of January 1, 2017 billion % of the rubles total 9365.6 100.0

as of January 1, 2018 billion billion rubles rubles 9947.5 100.0

as of January 1, 2019 % of the billion total rubles 10,856.5 100.0

3360.7

36.1

3554.3

35.8

3238.8

29.3

0.0

340.3

3.4

1 343.7

12.1

275.7

3.0

391.6

3.9

372.3

3.4

421.7

4.5

427.3

4.3

327.4

3.0

1412.8 129.9 75.5 1852.3

15.2 1.4 0.8 18.9

2013.0 69.2 43.2 1769.3

20.3 0.7 0.4 17.8

1974.0 63.1 60.0 1701.2

17.8 0.6 0.5 15.4

1758.5

18.9

1277.7

12.9

1930.0

17.4

14.6

0.2

31.0

0.3

55.9

0.5

Source: Central Bank of the Russian Federation (2021) Credit institutions pertain to the conservative group of institutional investors, therefore in 2018, the largest share in the structure of banking investment in debt instruments was represented by debt securities issued by the Central Government of the Russian Federation (2016 – 36.1%; 2017 – 35.8%, 2018 – 29.3%). By the end of 2018, investment in debt securities of the Bank of Russia amounted to 12.1%. In 2018, the banks invested 17.8% of the total portfolio investments

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in debt securities issued by residents (except for credit institutions). In 2018, the banks assigned 15.4% of their investment funds for nonresidents' debt securities (except for credit institutions). The banking sector's investment in shares is relatively insignificant. The data for analysis of investment in shares by the Russian banking sector are presented in Table 2.

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158 Table 2. Scope and structure of commercial banks' investment in equity securities in 2016-2018

Characteristic values Investments in equity securities – total including: credit institutions – residents other residents banks – non-residents other non-residents equity securities transferred without derecognition equity securities evaluated at cost

as of January 1, 2017 billion % of the rubles total

as of January 1, 2018 billion billion rubles rubles

as of January 1, 2019 % of the billion total rubles

357.4

100.0

479.7

100.0

494.4

100.0

2.4

0.7

10.3

2.1

58.0

10.7

160.1 1.9 44.9

47.4 0.6 13.3

223.1 14.5 48.3

46.5 3.0 10.1

194.3 28.6 67.7

35.7 5.3 11.9

18.5

5.5

1.9

0.4

19.0

3.5

109.7

32.5

181.8

37.9

179.4

33.0

Source: Central Bank of the Russian Federation (2021) The dynamics of investment in shares by credit institutions have an upward trend. By the end of 2018, commercial banks' investments in equity securities amounted to 494.4 billion rubles. Investments in securities of resident and nonresident credit institutions had a positive growth

trend throughout the analysed period. Equity securities transferred without derecognition decreased in number over the last three years. The data characterising the scope of credit institutions' investing in bill market instruments are shown in Figure 6.

Figure 6. Data on the dynamics of investment in bills by credit institutions in 2016-2018, billion rubles Source: Central Bank of the Russian Federation (2021) Investments in bills are decreasing with each analysed year. In 2016, the funds allocated for the purchase of bills amounted to 178.0 billion rubles, in 2017 – to 136.7 billion rubles, in 2018 – to 133.2 billion rubles. The reduction of investments in this type of non-equity formed-toorder financial assets amounted to 44.8 billion rubles or 25.2%. The credit institutions' investments in non-equity financial instruments decreased. Basically, Russian banks invest in bills of resident credit

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institutions (2016 – 49.3%, 2017 – 57.7%, 2018 – 61.7%) and in bills of other non-residents (2016 – 49, 3%, in 2017 – 41.0%, 2018 – 36.8%). The investments in bills of other non-residents are insignificant, their share in bill market instruments in 2016 amounted to 1.3% or 2.3 billion rubles, in 2017 – to 1.3% or 1.8 billion rubles, in 2018 – to 1.4% or 1.8 billion rubles. More detailed information on the structure of investments in bill market instruments by the Russian banking sector is shown in Table 3.

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Table 3. Dynamics and structure of investments in bill market instruments by the banking sector in 2016-2018

Characteristic values Discounted bills – total including: bills issued by federal executive authorities bills issued by executive authorities of RF constituent entities and local authorities bills issued by resident credit institutions bills issued by other residents bills issued by foreign authorities bills issued by non-resident banks bills issued by other non-residents

as of January 1, 2017 billion % of rubles the total 178.0 100.0

as of January 1, 2018 billion billion rubles rubles 136.7 100.0

as of January 1, 2019 % of the billion total rubles 133.2 100.0

0.0

0.1

0.0

0.1

87.8

49.3

78.9

57.7

82.4

61.7

87.7 0.0 0.0 2.3

49.3 0.0 0.0 1.3

56.0 0.0 0.0 1.8

41.0 0.0 0.0 1.3

49.0 0.0 0.0 1.8

36.8 0.0 0.0 1.4

Source: Central Bank of the Russian Federation (2021) Figure 7 presents the data showing the book profit from transactions with securities by the Russian Federation banking sector.

Figure 7. Income gained by the Russian Federation banking sector from transactions with securities, billion rubles Source: Central Bank of the Russian Federation (2021) The income from transactions and operations with securities in 2016 amounted to 1,337.30 billion rubles, in 2017 – to 1,207.20 billion rubles, in 2018 – to 1,286.3 billion rubles. The profitability of banking operations with securities decreased in the period from 2016 to 2017 by 9.73%, while it increased by 6.55% in the period from 2017 to 2018.



Based on the research results in respect of the scope, dynamics, and structure of investment in securities by credit institutions, the following trends were identified: 

first, one can observe steady growth in the banking sector's investing in securities throughout the whole analysed period, along with the extension of investment activity,

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

which confirms the fact of the stability of the national economic system; second, the banking sector adheres to conservative policy in the formation of portfolio investments, therefore one can see steady growth of investment in stock market instruments, with certain proportions maintained in the structure of the securities portfolio. Debt instruments in the investment portfolio in 2016 accounted for 83.09%, in 2017 – 81.71%, in 2018 – 85.72%. Equity instruments in 2016 accounted for 3.17%, in 2017 – 3.94%, in 2018 – 3.90%. The calculation of data was made without account of instruments of the bill market; third, the share of government bond-secured loans, bond issues of the Bank of Russia, and bonds issued by corporate issuers in the structure of formed portfolios decreased.

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160



The share of debentures issued by the Russian Federation Government decreased in the period under review from 36.1% to 29.3%; the investment in bonds of the RF Central Bank increased to 12.1%; in 2016, credit institutions did not invest in bonds issued by the financial market regulator. Investments in corporate bonds in the structure of debt securities increased from 15.2% to 17.8%, which testifies to the increased role of private issuers and further development of real sectors of the economy; moreover, this also shows that the stock market is on the path of stable development (Sidorov, 2019); fourth, the development of investment activities of commercial banks in the stock market leads to increased concentration of the banking sector, so investments in securities are made mainly by major commercial banks, the largest in terms of assets; the principal geography of investments is Moscow and St. Petersburg.

The efficiently structured investment policy that takes all existing economic and political factors into account is the main tool in the realisation of the investment mechanism (Zvonova and Kuznezov, 2017). It is important for credit institutions to comply with the following principles during the process of development and approval of their investment policy in the securities market, in order to maintain financial stability and prevent a decrease in profitability

from operations (Nikulina and Baklazhkova, 2016): 



  

 

focus of the developed and approved investment policy aimed at the realisation of strategic plans of the financial organisation and enhancement of financial stability; account of inflationary expectations in calculating the profitability of particular stock market instruments and investment operations of credit institutions; assessment of the expected economic efficiency of investment operations by commercial banks; monitoring the stock market and the instruments in the structure of the banking portfolio; account of financial market trends, the state of the national and world economy, when forming the structure of investment portfolio; evaluation of projects and investments in terms of their relevance and prognosticated efficiency; selection of reliable and preferably cheap sources and methods of bank investment funding (Khozyainov and Kvasov, 2015).

When developing an investment policy, it is necessary to take possible market risks into account (Figure 8).

Risk reduction and mutualisation Risk control

Use of derivative instruments

Risk assessment Bank's investment risk management

Risk hedging Dealing operations under a client's order

Risk analysis

Arbitration operations Risk identification Diversification of investments

Figure 8. Bank's investment risk management scheme Source: authoring development

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In the periods when stock and foreign exchange markets face financial crises, it becomes relevant for credit institutions to focus on the selection of instruments that fully meet the requirements of the approved investment policy, for inclusion in their investment portfolio (Aganin, 2020). The structural units in charge of the bank's investment business are actively working to study the key indicators characterising the state of the stock market; they identify due instruments, explore their investment parameters and criteria for inclusion in the portfolio structure (Milovidov, 2020). Consequently, the mechanism for the formation and structuring of investment securities portfolios of credit institutions is formed on the basis of the most reliable, profitable, and liquid securities against the minimum acceptable market risk level. Conclusions The main criteria for the selection and inclusion of securities in banks' investment portfolios should be as follows: their maturity period, discount rates for REPO transactions established by the financial market regulator for every issuer, risks identified in accordance with the developed and approved investment policy of a credit institution. The nominal level of profitability in the present-day economic conditions has minor importance for selecting securities and monitoring investment portfolios, since this parameter is not able to take into account the expected risk value comprehensively. The account of the above factors will enable commercial banks to realise a more efficient mechanism for the selection of financial instruments and will ensure the due formation of the optimal scope and structure of the investment and trading portfolio. This portfolio is supposed to meet the requirements of the actual investment policy and would make it possible to generate maximum speculative and interest income against minimal risk. This, in turn, will ensure the stability and liquidity of the banking sector, along with the stable inflow of investments in the real sector of the Russian economy and in governmental funds. Bibliographic references Abramov A.E., Radygin A.D., Chernova M.I., Entov R.M. (2020). The “dividend puzzle” and the Russian stock market. Part 2. Economics, (2), 59-85. https://doi.org/10.32609/0042-87362020-2-59-85 (in Russian)

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Aganin, A.D. (2020). Russian Stock Index volatility: Oil and sanctions. Economics, (2), 86100 https://doi.org/10.32609/0042-8736-2020-286-100 Aliev, B.K. and Salmanov, S.I. (2015). System approach to comprehensive monitoring of banking risks. Financial Analytics: Science and Experience, (17), 27-35. Retrieved from: https://cyberleninka.ru/article/n/sistemnyypodhod-pri-provedenii-kompleksnogomonitoringa-bankovskih-riskov/viewer Belousova, V.Yu. and Kozur, I.O. (2016). How Do Macroeconomic Indicators Influence Banking Profitability in Russia? Journal of the New Association, (2), 74-109. https://doi.org/10.31737/2221-2264-2016-30-24 Brichkova, A.P. (2019). Model of stock asset valuation using fuzzy data and application for the Russian stock market. Journal of the New Association, (3), 58-77. https://doi.org/10.31737/2221-2264-2019-43-33 Central Bank of the Russian Federation (2021). Statistical indicators of the banking sector of the Russian Federation. Retrieved from: https://www.cbr.ru/statistics/bank_sector/review / (in Russian) Kalyagin, V.A., Koldanov, A.P., Koldanov, P.A. and Pardalos, P.M. (2017). Statistical Procedures for Stock Markets Network Structures Identification. Journal of the New Association, (3), 33-52, https://doi.org/10.31737/2221-22642017-35-3-2 Khasyanova, S.Yu (2018). Countercyclical Capital Buffer for Banks: is There a Premise for its Application in Russia? Bulletin of the Moscow University. Series 6. Economy, (6), 2836. Retrieved from: https://www.econ.msu.ru/science/economics/arc hive/2018/6/#eng Khozyainov, M.S. and Kvasov, I.A. (2015). Risk management: semiempirical analysis. Problems of the modern economy, (2), 157-159. Retrieved from: http://www.meconomy.ru/art.php?nArtId=5391 Komolov, O.O. (2016). Monopolization of the banking system: risks and opportunities. Finance and credit, 22 (5), 23-35. Retrieved from: https://www.finizdat.com/journal/fc/detail.php?ID=68093 Mandron, V.V. and Letyago, E.S. (2019). Mechanism of organization of investment activity in the commercial bank. Economy. Sociology. Right, (2), 57-63. Mandron, V.V., Katruschenko, V.S. and Kozyrkina, N.N. (2019). Mechanism for forming the resource base of the banking sector of

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162 Russian Federation. Financial economics, (7), 286-290. Mazhigova, E.M. (2018). Modern Transformations of the Russian Banking Sector. Finance and Credit, 24(6), 1350-1365. https://doi.org/10.24891/fc.24.6.1350 Milovidov, V. (2020). Performative Trumponomics and Financial Market. World economy and international relations, 64(2), 2433. https://doi.org/10.20542/0131-2227-202064-2-24-33 Nikulina, O.V. and Baklazhkova, K.V. (2016). Developing new methods and instruments to manage the investment banking activity under global economic crisis. Finance and credit, 22 (21), 2-14. Retrieved from: https://www.finizdat.com/journal/fc/detail.php?ID=68991 Novikov, S., & Prosvirina, N. (2019). Сlusters classification in the modern innovation economy. Amazonia Investiga, 8(19), 620-630. Retrieved from https://amazoniainvestiga.info/index.php/amazo nia/article/view/277 Sidorov, A.A. (2019). The Measuring of Interest Rate Risk of Bond Portfolioю Journal of the New Association, 2(42), 49-69. https://doi.org/10.31737/2221-2264-2019-42-22 Suchkova, E.O. and Masterovenko, K.V. (2017). Methodology and Practical Implementation of Macroprudential Stress Testing of the Banking System. Bulletin of the Moscow University. Series 6. Economy, (1), 48-60. Retrieved from: https://www.econ.msu.ru/science/economics/arc hive/2017/1/#eng Turunceva, M.Yu. and Zyamalov, V.YE. (2016). Stock Markets under the Changing Terms of

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Trade. Journal of the New Association, (3), 93110. https://doi.org/10.31737/2221-2264-201631-3-4 Volkova, O.N. (2018). Fair Value in Finance: Fifty Shades of Fairness. Journal of the New Association, 3(39), 85-105. https://doi.org/10.31737/2221-2264-2018-39-35 Volodin, S.N. and Borenko, I.A. (2018). HighDividend Portfolios Filtered by Financial Performance. Bulletin of the Moscow University. Series 6. Economy, (4), 29-36. Retrieved from: https://www.econ.msu.ru/science/economics/arc hive/2018/4/#eng Volodin, S.N. and Michalev, A.G. (2018). Influence of Terrorist Acts on the Dynamics of World Stock Markets: Situational Analysis. Bulletin of the Moscow University. Series 6. Economy, (1), 62-78. Retrieved from: https://www.econ.msu.ru/science/economics/arc hive/2018/1/#eng Zagashvili, V. (2017). Political Risks of Foreign Investments of Russian Companies. World economy and international relations, 61(12), 2735. https://doi.org/10.20542/0131-2227-201761-12-27-35 Zverev, A.V., Mandron, V.V. and Mishina M. IU. (2018). Financial markets of modern Russia: peculiarities of regulation and development trends. Bulletin of Bryansk state University, (1), 226-234. Zvonova, E. and Kuznetsov, A. (2017). SupraNational Approaches to Regulation of Global Financial Disbalances. World economy and international relations, 61(6), 67-76. https://doi.org/10.20542/0131-2227-2017-61-667-76

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DOI: https://doi.org/10.34069/AI/2021.42.06.15 How to Cite: Nkpoyen, F., Archibong, E.P., Undelikwo, V., Obeten, U.B., & Ofem, N.O. (2021). Social welfare program and poverty eradication in sub-saharan region of Eket Senatorial district, Akwa Ibom State, Nigeria. Amazonia Investiga, 10(42), 163-175. https://doi.org/10.34069/AI/2021.42.06.15

Social welfare program and poverty eradication in sub-saharan region of Eket Senatorial district, Akwa Ibom State, Nigeria Programa de bienestar social y erradicación de la pobreza en la región subsahariana del distrito Senatorial de Eket, Estado de Akwa Ibom, Nigeria Received: April 4, 2021

Accepted: June 14, 2021

Written by: Nkpoyen Festus66 https://orcid.org/0000-0001-5110-2291 Archibong Esther P.67 https://orcid.org/0000-0002-7097-3006 Undelikwo Veronica68 https://orcid.org/0000-0002-6737-0335 Obeten Ude Bassey69 https://orcid.org/0000-0003-3457-8444 Ofem Nnana Okoi70 https://orcid.org/0000-0002-5458-7244 Abstract

Resumen

The study investigated development gap in social policy and social problem interaction by examining impact of National Poverty Eradication Programme (NAPEP) on rural communities in Akwa Ibom State, Nigeria. The specific objectives were to examine the relationship between non-participation of beneficiary communities in NAPEP project design at community level, corruption and policy implementation strategy on rural poverty reduction. The Ex-post facto research design was adopted to study communities in Oron and Udung Uko local government areas in Akwa Ibom State. Using a multistage sampling procedure, data were obtained from 400 respondents using Taro Yamene sample size determination formula. Data were analysed using Chi-square (X2) statistical technique. Main findings indicated that significant relationship exists between nonparticipation of beneficiary communities in NAPEP project design, corruption, policy implementation and poverty reduction in rural communities. The findings imply that NAPEP has not significantly achieved its goal of

El estudio investigó la brecha de desarrollo en la interacción de la política social y los problemas sociales mediante el examen del impacto del Programa Nacional de Erradicación de la Pobreza (NAPEP) en las comunidades rurales en el estado de Akwa Ibom, Nigeria. Los objetivos específicos fueron examinar la relación entre la no participación de las comunidades beneficiarias en el diseño del proyecto NAPEP a nivel comunitario, la corrupción y la estrategia de implementación de políticas para la reducción de la pobreza rural. El diseño de investigación ex post facto se adoptó para estudiar las comunidades en las áreas de gobierno local de Oron y Udung Uko en el estado de Akwa Ibom. Utilizando un procedimiento de muestreo de varias etapas, se obtuvieron datos de 400 encuestados utilizando la fórmula de determinación del tamaño de la muestra de Taro Yamene. Los datos se analizaron mediante la técnica estadística Chi-cuadrado (X2). Los principales hallazgos indicaron que existe una relación significativa entre la no participación de las comunidades beneficiarias en el diseño del proyecto NAPEP, la corrupción, la

Department of Social Work, University of Calabar, Nigeria. Department of Social Work, University of Calabar, Nigeria. 68 Department of Sociology, University of Calabar, Nigeria. 69 Department of Social Work, University of Calabar, Nigeria. 70 Department of Social Work, University of Calabar, Nigeria. 67

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Nkpoyen, F., Archibong, E.P., Undelikwo, V., Obeten, U.B., Ofem, N.O. / Volume 10 - Issue 42: 163-175 / June, 2021

poverty reduction in rural communities. It has failed to elicit economic wellbeing priorities directly from target communities. Poverty can be reduced through accommodative and humanistic arrangements by allowing communities to identify welfare projects and eligible recipients. Rural dwellers have not experienced poverty reduction because of NAPEP development strategy gap. Keywords: Social policy, Social problem; NAPEP, Rural communities, Poverty, Development.

implementación de políticas y la reducción de la pobreza en las comunidades rurales. Los hallazgos implican que NAPEP no ha logrado significativamente su objetivo de reducción de la pobreza en las comunidades rurales. No ha logrado obtener prioridades de bienestar económico directamente de las comunidades objetivo. La pobreza se puede reducir a través de arreglos humanísticos y acomodaticios al permitir que las comunidades identifiquen proyectos de bienestar y beneficiarios elegibles. Los habitantes de las zonas rurales no han experimentado la reducción de la pobreza debido a la brecha en la estrategia de desarrollo de NAPEP. Palabras clave: política social, Problema social; NAPEP, Comunidades rurales, Pobreza, Desarrollo.

Introduction The “world is making quantum efforts in conquering global poverty. Since 1990, a quarter of the world has extricated itself from extreme poverty with less than $1.90 per day. As households overcome the poverty trap, an individual’s social and economic lives experience qualitative improvement. Since 1990, the percentage of child mortality from preventable causes such as poverty, hunger and disease has drastically reduced “falling from more than 35,000 a day to under 15,000” (World Vision, 2019). “Although remarkable progress has been achieved in combating global extreme poverty, material deprivation and subjective wellbeing are still serious challenges in SubSaharan Africa. Even as poverty alleviation methods are still being implemented, poverty is exacerbated by conflict, poor governance, climate change and natural disasters, etc. SubSaharan African communities have consistency experienced rising incidence of people living in poverty” (World Vision, 2019) Available statistics showed that “in 2015, 10 percent of the world’s population lived on less than USD 1.90 a day, compared to 11 percent in 2013, and nearly 36 percent in 1990. In 2015, 736 million people lived on less than $1.90 a day. More than half of the extremely poor live in SubSaharan Africa. The number of poor people in this region rose by 9 million, with 413 million people living on less than USD 1.90a day in 2015, higher than all other regions combined. By 2030, almost 9 out of 10 extreme poor will be found in Sub-Saharan Africa” (World Bank Group, 2019). According to the 2018 Survey by the UN Development Programme, “1.3 billion in

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104 developing countries, accounting for 74 percent of global population live in a multidimensional poverty condition” (World Vision, 2019). Kazeem (2018) contended that the United Nations Sustainable Development Goals (SDG) to end extreme poverty by 2030 is not feasible due to Nigeria’s poverty condition. “The world poverty clock shows that Nigeria has surpassed India as the country recording the highest proportion of poor people in the world. Nigeria has the largest extreme poverty population” (World Bank Group, 2019). Available report by Toromade (2018) indicated that approximately 90.8 million Nigerians live on less than $1.90 (#684) per day. This state of poverty level exists in Nigeria even though the “approximated 643.35 million people subjected to extreme poverty globally has reduced to 592.7 million”. The “90.8 million Nigerians in extreme poverty constituted 46.4 percent of its estimated 195.6 million population in 2018 (Toromade, 2018). Most of the world’s biggest nations have managed to alleviate extreme poverty except Nigeria. The agenda to reduce extreme poverty globally as reported in the United Nations’ Sustainable Development Goals is already at risk of meeting the target in Sub-Saharan communities (Kazeem, 2018). Poverty in Nigeria poses one of the greatest challenges confronting our society. The 1995 World Summit for Social Development conceptualized absolute poverty as the condition characterized by severe deprivation of basic human needs including food, safe drinking water, sanitation facilities, health facilities, shelter, education and information (Nkpoyen, Nkoyo,

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and Bassey, 2013). Despite alternative development strategies, many rural communities continue to register poor socio-economic conditions, rising inflation, lack of access to basic social services. In Nigeria, a significant proportion of economically active poor people are known to reside in rural areas. The feelings of rural dwellers towards their plight is occasioned by the inability of governments and Non-Governmental Organizations (NGOs) to efficiently harness resources to better the quality of lives, address governance challenges, forestall policy somersaults, etc. The persistence of rural poverty continues to widen the income gap between the rich and the poor and with implication for social inequality of rural dwellers, thereby increasing the magnitude of social problems in both rural and urban environments (Nkpoyen, Nkoyo and Bassey, 2013). Poverty has been recognized as a universal social problem that must be eradicated if the world is to be humane, stable and just for the achievement of Sustainable Development Goals. While opening the World Summit for Sustainable Development (WSSD) in Johannesburg, South Africa in September 2002, Thabo Mbeki the then South African President, told delegates that “for the first time in human history, human society possesses the capacity, the knowledge and the resources to eradicate poverty and underdevelopment”. Kazeem (2018) had earlier observed that poverty is no longer inevitable and should not be tolerated; that its eradication is a practical possibility. Of those countries in the top ten in Africa living in extreme poverty, “only Ethiopia is on track to meet the United Nations’ SDG of ending extreme poverty by 2030. Outside the top ten, only Ghana and Mauritania are also on track with the SDG target. Of the 15 countries across the world where extreme poverty is rising, 13 are currently in Africa” (Kazeem, 2018). Poverty elimination is a major focus of important funding agencies of the United Nations Organization: UNDP and IFAD- rural poverty reduction; UNFPA-women, reproductive health and family planning; UNICEM-women empowerment; UNICEF- children and the Girl Child. At the 1995 Copenhagen Summit, global leaders agreed to follow-up on the action and implementation program in partnership with all stakeholders for the overall reduction of poverty substantially in the shortest possible time (Ekong, 2003).

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Nigerian governments have responded to issues of poverty reduction through policy pronouncements and implementation. Hence, several strategies have been designed by Nigerian governments for purposes of empowering and improving the quality of life of the inhabitants. Despite all these efforts, poverty still exists in all its multi-dimensional facets in the population. Some of Nigeria’s poverty alleviation social policies included: Operation Feed the Nation (OFN), National Accelerated Food Production Programme (NAFPP), Green Revolution, National Directorate of Employment (NDE,), Directorate of Food, Roads and Rural Infrastructure (DFRRI), Agricultural Development projects (ADB), Nigerian Agricultural and Cooperative Bank (NACB), National Fadama Development Programme (NFDP), The Nigerian Special Programme for Food Scarcity (SPFS), Family Support Programme (FSP, formerly Better Life Programme, BLP), People’s Bank, Structural Adjustment Programme (SAP), Oil Mineral Producing Area Development Commission (OMPADEC, now Niger Delta Development Commission- NDDC), Mass Transit Programme (MTP), Agricultural Development Project (ADP), Agricultural Credit Guarantee Scheme (ACGS) etc. The National Poverty Eradication Programme (NAPEP) policy framework was formulated in 2000 by the Obasanjo Administration. To achieve its objectives, NAPEP designated the following components: Youth Empowerment Scheme (YES) targeted at helping to address the problem of unemployment among the youths of Nigeria; Capacity Enhancement Scheme (CES) designed for people who have basic skills but need additional resources to avoid poverty and ensure wealth creation. Through CES, beneficiaries are provided with credit information and tools/equipment that may be needed for their trade, occupation or businesses; Community Enlightenment and Sensitization Scheme (COMESS) which is a collection of programs that employ various media to take the message of modest public support for self- help and active participation in poverty reduction and wealth creation activities to communities, using Radio, and Television programs, information brochure, workshops/seminars, and mobile video units; Social Welfare Service Scheme (SOWESS) is designed to promote projects that improve the social and personal well-being of Nigerians; Rural Infrastructure Development Scheme (RIDS) deals with the provision of potable and irrigation water, transport (rural and urban), rural energy and power supply; National

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166 Resource Development Scheme (NRDCS)”

and

Conservation

The “past social policies for alleviating poverty have not been successful because of the factors such as the exclusion of program beneficiaries from project design, corruption, poor implementation strategies and poor funding. Those multi-sectorial schemes have failed to transform and modernize rural communities in Akwa Ibom state of Nigeria. Rural communities in Udung Uko and Oron local government areas of Akwa Ibom State have remained in a perpetual state of impoverishment. The people in these communities lack access to such fundamental necessities of life such as health services, education, potable water supply, minimum nutrition requirement to stay alive, and comfortable shelter, etc. The communities face social infrastructural deficiencies and low standard of living amid government poverty eradication policy” (Nkpoyen and Bassey, 2012. The increasing incidence of poverty in rural areas has seriously hampered the optimal realization of rural dwellers potentials to embrace a better quality of life. Consequently, governments at all levels have planned, initiated and executed several social policies ostensibly aimed at alleviating poverty. Experience so far demonstrates that rather than transform and bring about improvement in the standard of living, the rural communities have contrary to the objectives of social policies of poverty alleviation, continued to be impoverished. The silent majority of the rural populace continue to become victims of neglect, deprivation, and exploitation. Existing poverty alleviation social policies have not translated into tangible social benefits in the form of improved welfare. As laudable as these social policies have been, observably, the people’s level of living has not positively changed. In other words, rural dwellers especially have not experienced “sustainable access to resources to tackle basic needs such as adequate access to food, potable water, health facilities, educational opportunities, housing, time for individual participation and social integration. Poverty situation seems to worsen as more policies aimed at alleviating it are initiated and implemented” (Nkpoyen and Bassey, 2012). Based on the issues above, the study was carried out to determine the extent to which the National Poverty Eradication Programme has been able to bridge the gap between social policy and social problems in rural communities of Akwa Ibom State, Nigeria.

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Literature survey Social Welfare Policy of NAPEP and Poverty Reduction Poverty eradication has remained dominant in the agenda of development scholars as demonstrated in its emphasis in the just concluded Millennium Development Goals (MDGs) and now Sustainable Development Goal (SDGs). Reducing poverty in Nigeria has always been an agenda of the government for the past decades. The poverty level in Nigeria rose from 0.28 to 0.43 percent between 1980 and 1992. The situation deteriorated in 1996 to an average of 0.66 percent (Aluko,2003). The effort to mitigate the poverty situation resulted in the establishment of the National Poverty Eradication Programme in 2001. The poverty reduction components of NAPEP included: “Youth Empowerment Scheme (YES), Rural Infrastructure Development Scheme (RIDS), Social Welfare Service Scheme (SOWESS) and Natural Resources Development and Conservation Scheme (NRDCS) (Antai and Anam, 2014). As part of NAPEP's implementation strategy in 2001, it received a take-off grant of ₦6 billion. The money was utilized to establish NAPEP structures in 36 states, including Abuja (Federal Capital Territory) and the existing 744 local government councils. The money was also used in NAPEP employment generation intervention which led to the training of 100,000 youth, attachment of 50,000 unemployed Graduates in various places of work, training of over 5000 people in fashion design, the establishment of rural telephone networks in 125 local government areas. Additionally, the money aided the delivery of KEKE-NAPEP three-wheeled vehicle involving 2000 units in all state capitals. Also, 147 youth information centers were established across the senatorial district and the delivery of informal micro-credit ranging from ₦10,000 to ₦50,000 to 10,000 beneficiaries mostly women” Adisa (2013) The “central aim of social welfare policies is to reduce poverty. Every major industrialized nation has a set of programs that transfer between 10% and 30% of the country's gross domestic product (GDP) among the populace, a key goal of which is to improve the well-being of those at or near the bottom of the income distribution. Do these programs work? Several analysts contend that social welfare policies do indeed help to alleviate poverty. But the past two decades have witnessed a growing chorus of criticisms about the actual impact of poverty reduction

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interventions in the rural environment. Some averred that too little of the income that is transferred reaches the poor. Others suggested that by providing a safety net, such programs sap the initiative of the poor and thereby creating a ‘poverty trap’. Existing arguments and evidence in rural communities of Sub-Saharan African support the view that social welfare programs have failed to reduce poverty particularly because the programs have been elitist, urban focus isolating the rural communities in conceptualization, design, and implementation. “Many reasons have been advanced for the negligible poverty-reduction impact of social welfare policies: non -involvement of beneficiary communities in poverty alleviation programs, failure to ensure the successful implementation of the various programs and policies, slow economic growth, economic mismanagement, infrastructural deficiencies, weak political commitment, undue incursion by political sentiments (World Bank Group, 2019). The policies also pay little attention to the framework of allocation of funds, sustainability aspects and the needed collaborative arrangement. Corruption has been implicated by Ajibola et al. (2018) as a cause of poor implementation of the poverty program in Nigeria (Nkpoyen, Bassey & Uyang, 2014a). Non-participation of communities in formulation/implementation reduction

beneficiary program and poverty

The success of social welfare policy depends on the level of community participation in such poverty alleviation projects. Asserted that most social welfare policies by various governments in Nigeria at different times have produced minimal results in spite of the huge amount of resources committed into them. Adisa (2013) realized from his study that past social welfare policies failed because the intended beneficiaries were not always involved in the program's designs. Participation enables poverty alleviation programs/projects to be erected on the strength, traditional beliefs and values of communities concerned (their social organizations, indigenous skills, aspiration, local leadership and energy potentials) thereby practically equipping villages with the capacity to handle their affairs on step by step basis. Participation implies that the poverty alleviation project has taken cognizance of the socio-cultural milieu of the community. It empowers communities in the sense of increasing their capacity to define and analyze poverty alleviation efforts in line with community felt needs (Ajibola et al, 2018).

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Participation by beneficiary communities serves as a vehicle for psychological satisfaction, motivation, and mobilization. By being involved in project decisions which concern their wellbeing, people can see that they have some control over the project and expected outcomes. This, in turn, makes it easier for local and external human materials to be tapped, pooled and mobilized for poverty reduction purposes. Antai & Anam (2014) argued that in spite of all the efforts by various governments to design social welfare policy, poverty continues unperturbed. The policies have been unsuccessful because the center point, the views of the people supposed to benefit are not considered in policy design and implementation strategies. In most parts of Nigeria, social policies by the federal government have been made to empower as many individuals as possible, yet the level of poverty has been sustained because the beneficiaries are neglected in program design and implementation. Adisa (2013) contended that “if poverty alleviation programs are to be successful, careful attention has to be given to some design issues. They suggested that all poverty-related programs/ policies should determine the form of poverty to be addressed, identify possible approaches to be adopted, apply suitable principles for selecting particular programs, determined how the intended beneficiaries are to be identified and involve them in such program design”. Policies and programs dealing with poverty should involve the grassroots, the beneficiaries through a kind of dialogue where it will involve majority and evaluation. This will make the people to be adequately informed of the objectives, plans and eventual execution processes. Several social welfare policies to address poverty have been introduced in the past decades without achieving any meaningful results. Several poverty reduction projects were expected to impact positively on the rural poor but were poorly designed and implemented because the prime beneficiaries were excluded (Aderomu, 2010) Poverty alleviation projects in which the people are involved and articulate their needs themselves have better chances of being understood, accepted, supported and maintained by the community. Ajibola et al. (2018) argued that the need for designing sustainability into poverty alleviation policies cannot be overemphasized. Policy sustainability has several dimensions- financial, institutional, political and environmental. Social welfare policies should permit active community participation in project identification, planning, implementation, and appraisal. The underlining

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168 assumptions are that people are willing to cooperate and work with one another; voluntarily contribute labor, time, materials. Moreover, people organize best around problems or needs they consider important. The level of success of social welfare policy depends on the extent it meets people felt needs. Corrupt practices and poverty reduction Many social welfare policies have failed because those that are to manage such programs are either misappropriating or mismanaging the funds. “Government officials embezzle funds meant for poverty reduction programs and often make the program a family affair. This makes beneficiaries to suffer unduly. NAPEP (National Poverty Eradication Programme) and YES (Youth Empowerment Scheme) have been very lofty in its outlook but more often, it is a badly implemented strategy. Many officials in the National Poverty Eradication Council (NAPEC) without proper documentation, release huge funds to non-existing beneficiaries, unrecognized and ghost persons. It is on record that in some local government areas, many people benefit from the money made available to the area without having anything to show. They do this in connivance with the officials. Corruption is a direct hindrance to an effective poverty reduction strategy in Nigeria. Corruption is generally acknowledged as having adversely affected previous poverty alleviation efforts in the country” Abdullahi, 2004; Okhira & Obadeyi (2015) Omoniyi (2013) stressed “that the manifestations and problems associated with corruption and other sharp practices affecting social policies are overwhelming. The effect of corruption is both direct and indirect on poverty increase. The direct effect follows from the reduction or misapplication of resources which lowers growth rates and there are no outputs and incomes to redistribute, so poverty escalates. The indirect effect is that the poor are denied resources and access to facilities that could have been provided through the judicious application of siphoned/diverted resources”. Obadan (1997) observed “that the earliest poverty alleviation programs were the 1972 Gen. Yakubu Gowon’s National Accelerated Food Production Programme and the Nigerian Agricultural and Cooperative Bank devoted to funding agriculture. The Operation Feed the Nation of Obasanjo in 1976 expended much money and effort in getting ill-prepared university undergraduates to go to the rural areas

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to teach the peasant farmers how to farm”. Aliu (2001) asserted that the 1979 Shagari’s Green Resolution Programme had the twin objectives of curtailing food importation while boosting crop and fiber production. Many senior civil and military officers benefited. When the program ended in 1983, 2 billion naira taxpayers' money was wasted. Anriquez & Stamoulis (2007) stated that in 1966, Babangida established the Directorate of Food, Roads and Rural Infrastructure (DFRRI) for rural development. The project gulped N 1.9 billion (about N 80 billion today’s value) without Nigerians benefiting from them. Various projects were set up for poverty alleviation purposes such as the Peoples Bank of Nigeria and the Community Bank of Nigeria. Babangida wasted more than N 100 billion in phantom projects. Neither did these financial institutions lived up to their expectations nor did they actualize their aims. Babangida’s wife set up the Better Life Programme and ended up making millionaires out of the BLP officials and friends. Better Life for rural women became the better life for rich women”. Omoniyi (2013) stated that corruption is a problem in social welfare policy design and implementation for poverty reduction. He reported that if Buhari had been honest in his management of the Petroleum Trust Fund (PTF) the number of financial resources at his disposal would have been enough to alleviate poverty tenfold. “Buhari had an average of N 52 billion every year to spend. At the end of the PTF program, Nigeria's poverty and underdevelopment levels worsened. WilsonOsigwe & Oluwole (2016) maintained that corruption and abuse of positions and privileges have long been features of past and present poverty reduction strategies. Fukada-Parr (2003) argued that corruption is behind the rising incidence of poverty reverberating in rural areas. Nkpoyen, Bassey, and Uyang (2014b) contended “that corrupt practices have led to the implementation of badly-designed social welfare policies with no economic or commercial viability. Cost escalation has resulted in pricing policies which have kept the services beyond the reach of the ordinary masses who were expected to be the beneficiaries”. In some cases, “projects have been abandoned, both completed and uncompleted after substantial public funds have been expended” (Ihejiamaizu, 2002). Many projects have been abandoned at “communities and local governments, even in our universities. The reason being that funds were diverted to serve private or group interest. Therefore, these

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factors have perpetuated a vicious circle of poverty and underdevelopment in Sub-Saharan African Communities. Scarce resources instead of being allocated are wasted on projects without direct bearing on poverty reduction” (Ihejiamaizu, 2002). Poor Policy Implementation and Poverty Reduction The effectiveness of social welfare policy has been constrained by poor implementation brought about “by inadequate funding from local government areas and lack of equipment and trained manpower” (Aliu, 2001). The failure to ensure successful implementation of the various policies has deepened the incidence of poverty. Poverty alleviation policies have failed “because of poor management of the nation’s resources. There have been instances of glaringly poor execution of government policies especially those aimed at the provision of social welfare services and those aimed at the provision of economic infrastructure”.(Aliu, 2001). Many poverty reduction programs suffer a lot of setbacks due to undue incursion by political sentiments. Toromade (2018) maintained that until issues of poor implementation of policies and programs in Nigeria are given urgent attention, rural areas will continue to be affected by abandoned poverty alleviation projects. In the views of most implementers of policies associated with poverty often do it without experience. As observed by Omoniyi (2013) most poverty reduction policies are not implemented due to lack of strong political commitment to the poverty reduction goals Corroborating Agwu & Kadiri (2014) conclusions, Ajibola et al. (2018) argued “that for there to be a meaningful impact of social welfare policy on poverty, poverty reduction programs and measures need to be implemented within the framework of rapid broad-based economic growth with equity, sound economic management, and good governance. He recommended that attention be given to poverty alleviation objectives in national development plans with strategies and measures integrated into the country's overall development/policy management framework”. Poor implementation of social welfare policies has plagued Nigeria for many years now (Abdullahi (2004)). Aderomu (2010) observed that given the present accelerated and concerted efforts at fighting the menace of poverty in Nigeria, poverty reduction strategies will continue to fail. The implementation strategies

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have failed to enhance the quality of productive life. As commented by Agboola (2008), “social welfare policies are constrained by the absence of effective collaboration and complementation among the three tiers of government”. These policies have failed to meet the expectations of Nigerians due to poor implementations occasioned by partisan considerations, corruption or other malpractices. The success of these social policies has been particularly constrained by its top-bottom planning. This engineering planning model has been the bane of social policies. To be successful, the social welfare policy should aim to address the specific needs of people, interpret them in the context of their knowledge, design what should be done, offer technical advice and plan for specific activities that would meet the needs of the people. Omoniyi (2013) averred that facilitating the success of social welfare policy lies in its proper conception and a firm commitment to its cause and course. Theoretical framework Human Development (capability) approach The United Nations Development Programme (UNDP) launched the Human Development Report to shift focus from development as economic growth to development in terms of core values. Development goes beyond the level of income to “embrace the extent to which people utilize the income to attain satisfaction in life. Human development addresses poverty reduction, sustainable development, gender inequalities and governance” (Fukada-Parr, 2003). Human Development is associated with Sen’s capability approach that addresses development challenges from the perspective of inequality. The capability approach conceptualizes human life in terms of functioning; it examines the quality of life by assessing its capability to function. “An assessment of the quality of life translates to a functioning and the capability to function. Human Development is people-centered. In improving people's condition of existence, their choices must be enlarged” (Streeten, 1994). The functioning of human beings is guaranteed through potentiality to escape morbidity and mortality, adequate nourishment, knowledgeable and ability to achieve self-respect and participate in community life. Development strategies must be capable of fostering better life by dismantling obstacles such as illiteracy, ill-health, inability to access resources and lack of political freedom to choose between alternative ways of living (Fukada-Parr, 2003). This means that social

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170 welfare policy such as the National Poverty Eradication Programme (NAPEP) has the potential to enhance economic wellbeing and improve the overall living conditions of people. NAPEP is expected to operate on the reality that people are both the means and end in the process of development. Hypotheses 1.

Non-participation of beneficiary communities in poverty eradication project design and implementation at the community level has no significant association with poverty reduction in rural areas of Akwa Ibom State. Corruption has no significant association with poverty reduction in rural communities of Akwa Ibom State. Poor policy implementation strategy has no significant association with poverty reduction in rural communities of Akwa Ibom State.

Methodology Study area Oron local government area is located between longitude 80 14’ E and 80 16’E and latitude 40 47'N in the Akwa Ibom state of Nigeria. It has a population of over 142, 640 people (National Population Commission NPC (2006), and a land area of 123,917 square meters. The forest is rich in cedar, iroko, mahogany and camwood trees. There are four clans namely: Afaha Okpo clan, AfahaUbodung clan, Afaha Ibighi clan and Idua clan. Out of these, Afaha Okpo has ten (10) villages, Afaha Ibighi one, Afaha Ubodung one while Idua clan has five (five) villages Aderomu (2010).Udung Uko local government area was created out of Oron local government area of Akwa Ibom state on 6th December 1996. It has a total area of about 112,000 square kilometer excluding the territorial waters. It has a population figure of 106,000 (NPC, 2006). Its headquarters is Eyo-fin. There are two clans namely; the AfahaOkpo clan and Ubodung clan. Emanating from the clans are twenty-eight villages out of which twenty-four belong to Afaha Ubodung clan. The forest serves as a habitat for wildlife which includes parrots, monkeys, crocodiles, cobra and python. In both local government areas, secret societies constitute an integral part of the government. Ekpe Society was employed in pre-colonial days as an instrument for the enforcement of traditional authorities in both local government

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areas. Akata is an important society that equally plays a key political role in society. Another society is the women's secret society called IbanIsong. Also, is Nka Society made up of young men with the same age range? Both local government areas have landed as the mainstay of their economy. The land in which they occupy is an area of fertile forest which makes its exploitation rewarding. The land is a communal property resulting from close kinship and friendly ties. “The people are predominantly farmers and fishermen. Production is backed by the need for subsistence and little surplus for exchange”. Stockbreeding is practiced including goats, sheep, poultry and hump fewer cattle. Some proportion of the population is engaged in fishing, hunting, plaiting, carpentry, and production of local gin. There is a welldeveloped market system. The people have a strong belief in witchcraft (Ifot). Research design The researcher purposively selected these two local government areas based on prior knowledge of non-involvement in NAPEP activities. Thus the sample population comprised all communities in Oron and Udung Uko local government areas. The study adopted a multi-stage sampling procedure. Firstly, the 6 clans formed the six strata of the study. There are 4 clans and 17 villages in Oron local government area (Afaha Okpo clan- 10 villages, Afaha Ubodung clan- 1 village, Afaha Ibighi clan- 1 village and Idua clan- 1 village). There are 2 clans in UdungUko local government area (Afaha Okpo clan-4 villages, Ubodung clan-24 villages). The researcher purposively studied all the clans with 1 village, which is the only village in Afaha Ubodung and the only village in Afaha Ibighi were purposively studied. For the clans with more villages, the researcher adopted a hat and draw method of simple random sampling to select 2 villages each. Thus, from Oron local government area, 10 villages were selected, from Udung Uko local government area, 10 villages were selected. This amounted to 20 villages and the 20 villages formed the 20 clusters of the study. To select the actual respondents for the study, a systematic sampling procedure was adopted. The researcher enumerated the living houses in the villages and selected only oddnumbered houses. Through this method, 40 households were selected from each village. Only one adult male or female in each household participated in the study. Altogether there were 48 participated in the focus group discussion

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(FGD). Therefore, 400 respondents participated in the questionnaire study while 48 were involved in the FGDs. The total number of subjects who took part in the study were 448. The main research instruments were Assessment of National Poverty Eradication Programme Scale (NAPEPS), a 26- item questionnaire and a 13 item FGD guide. The research instrument was a Yes or No response scale. Chi-Square analytical technique was used to analyze the data.

4. 5.

Limitations 1.

The study was conducted in the wet season. The difficult terrain and the deplorable nature of the road prolonged the duration of data collation. The cultural festivals of the community constrained women from participating in the study initially. It was necessary to wait for such cultural festivals to end to enable women to participate to foster gender balance.

Major Findings 1.

local level has affected poverty reduction in rural areas of Akwa Ibom State, Nigeria. Corrupt practices in NAPEP is responsible for its failure to reduce poverty in rural areas of Akwa Ibom State, Nigeria. Poor policy implementation strategy has significantly affected NAPEP’s effort of poverty reduction in rural areas of Akwa Ibom State, Nigeria There is a gap between social policy and social problem remediation in Nigeria. Development strategy gap can be bridged by eliciting social welfare priorities directly from target communities; allowing them identify projects and eligible recipients; expanding resources available to the poor (through credit, social funds, capacity building.etc.

Analysis/results Hypothesis 1 There is no significant association between nonparticipation of the beneficiary community in project design/implementation at the community level and poverty reduction.

Non-participation of beneficiary communities in NAPEP intervention at the

Table 1. Contingency table showing association between non-participation of beneficiary communities in project design/implementation at the local level and poverty reduction. Cell

O-E

(O-E)2

(O-E)2/E

46.85

66.4225

1.42

2 3 4

35 30 70

43.15 52.05 47.95

-8.15 -22.05 22.05

66.4225 486.2025 486.2025

1.54 9.34 10.14

41.64

6.64

44.0896

1.06

6 7 8 total

45 70 25 365

39.36 49.4520.55 45.55

6.64 422.3025 -20.55

44.0896 8.54 422.3035

1.15 9.27 42.46

Calculated (X2) value = 42.46 Critical (X2) value = 7.81 Degree of freedom = 3

alternate hypothesis (Hi) will be accepted signifying a positive relationship between the variables of the hypothesis. But if otherwise accept the null hypothesis (Ho) and reject the alternate hypothesis.

Level of significance

Conclusion

Decision Rule

Since the calculated (X2) valve of 42.46 was found to be greater than the critical (X2) valve of 7.81 needed at 0.05 level of significance, with 3 degree of freedom, the null hypothesis which states that there is no significant association between non-participation of beneficiary

Source: field survey. 2019

If the calculated (X2) valve is greater than the critical(X2) valve, at 0.05 level of significance with specified degrees of freedom, the null hypotheses (Ho) will be rejected while the

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172 communities and poverty reduction promotion among rural dwellers in terms of improved income was rejected in favor of the alternate hypothesis. This means that the non-participation of beneficiary communities has a significant association with the poverty reduction among rural dwellers. It also implies that through the participation of beneficiary communities, the socio-economic wellbeing of the rural dwellers in terms of income has been improved.

Hypothesis 2 There is no significant relationship between corruption (in terms of embezzlement of funds, funds poorly channeled or misapplied, funds released to non-existing beneficiaries, misapplication of resources, denial of access to resources by the poor, weak accountability) and poverty reduction.

Table 2. Contingency table showing an association between corruption and poverty reduction. Cell 1 2 3 4 total

O 165 30 20 150 365

E 98.84 96.16 86.16 83.84

O-E 66.16 -66.16 86.16 66.16

(O-E)2 4377.1456 4377.1456 4377.1456 4377.1456

(O-E)2/E 44.29 45.52 50.80 52.21 192.82

Source: field survey, 2019 Calculated (X2) valve = 192.82 Critical (X2) valve =3.84 Degree of freedom = 1 Level of significance = 0.05 Decision rule If the calculated (X2) valve is greater than the critical (X2) value, at 0.05 level of significance with a specified degree of freedom, the null hypothesis (Ho) will be accepted signifying a positive relationship between the variables of the hypothesis. But if otherwise accept the null hypothesis (Ho) and rejected the alternate hypothesis. Since the calculated (X2) valve of 192.82 was found to be greater than the critical (X2) valve of

3.84, needed at 0.05 level of significance with 1 degree of freedom, the null hypothesis which states that there is no significant relation between corruption- in terms of embezzlement of funds, funds poorly applied or misapplied, funds released to non- existing beneficiaries, misapplication of resources, denial of access to resources by the poor, weak accountability has no significant association with poverty reduction was rejected in favor of the alternate hypothesis. This means that corruption has a significant association with socio-economic wellbeing of rural dwellers Hypothesis 3 Poor policy implementation has no significant association with poverty reduction.

Table 3. Contingency table showing association between poor policy implementation and poverty reduction. Cell

O-E

(O-E)2

(O-E)2/E

1 2 3 4

130 85 55 95

108.97 106.03 76.03 73.97

21.03 -21.03 -21.03 21.03

442.260 442.260 442.2609 442.2609

4.06 4.17 5.82 5.98

Source: field survey. 2019

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Calculated (X2) valve = 20.03 Critical (X2) valve = 3.84 Degree of freedom = 1 Level of significance = 0.05

and energy) thereby practically equipping villagers with the capability to handle their affairs on step by step basis. Corruption and poverty reduction

Decision rule If the calculated (X2) valve is greater than the critical (X2) valve at 0.05 level of significance with specified degrees of freedom the null hypothesis (Ho) will be rejected while alternate hypothesis (Hi) will be accepted signifying a positive relationship between the variables of the hypothesis. But if otherwise accept the null hypothesis 9Ho) and reject the alternate hypothesis (Hi) Conclusion Since the calculated (X2) valve of 20.03 was found to be greater than the critical (X2) valve of 3.84 needed at 0.05 level of significance, with 1 degree of freedom. This means that the null hypothesis which states that poor quality implementation- in terms of failure to target the poor specifically, lack of targeted mechanisms for the poor, political /policy instability, inadequate coordination of program/ overlapping functions, budgetary/management problems and inappropriate program design has no significant association with poverty reduction was rejected in favor of the alternate hypothesis. Discussion

The result of the analysis of hypothesis two indicated that a significant association exists between corruption (manifested in embezzlement of funds, funds diverted or poorly channelled, funds released to non-existing beneficiaries, misapplication of resources, denial of access to resources by the poor, weak accountability) and poverty reduction. These findings support Ihejiamaizu (2002) “that much money has been spent on NAPEP and its Youth Empowerment Scheme (YES) to no avail. Corrupt practices have led to the implementation of badly designed projects. Scarce resources instead of being allocated and judiciously used on alleviating poverty are wasted if not outrightly diverted on projects that have little or no direct bearing on poverty reduction”. The findings agree with Apata et al (2010) that projects are bound to be poor because the contractor or consultant who has not been forced to spend so much on bribes to secure the job will try to recover his money by using cheap and inferior materials on implementing the project. The findings are in tandem with that the problem of poverty reduction programs in Nigeria is corruption and embezzlement. Olamola & Carim (1999) observed that NAPEP has been on the line for many years without recording any satisfactory result because of corruption.

Non-involvement of beneficiary communities in poverty program formation at the local level and poverty reduction

Poor policy implementation and poverty reduction

The result of the analysis of hypothesis one revealed a significant association between the non-involvement of beneficiary communities in poverty alleviation program formulation at the local level and poverty reduction. These findings support Ntui (2005) that NAPEP and past social welfare policies of poverty reduction have failed because the intended beneficiaries are not always excluded from project conception and implementation. The findings agree with Omoniyi (2013) who observed that social policies to alleviate should be seen as an entire process in which people concerned to take part in the initiation and implementation of decisions. The findings validate Okhira & Obadeyi (2015) conclusion that participation of beneficiaries enable social welfare policies to be erected on the strength, traditional beliefs and values of communities (their social organizations, indigenous skills, aspiration, local knowledge,

The statistical analysis of hypothesis three revealed that a significant association exists between poor policy implementation and poverty reduction. The findings are in harmony with Wilson-Osigwe & Oluwole (2016) who stated that until issues of poor implementation of policies and programs in Nigeria are given urgent attention, poverty alleviation projects will continue to be abandoned. Similarly, Olamola & Carim (1999) reported “that the incidence of poverty remains very high notwithstanding the existence of various social welfare policies. Policies have failed because of lack of targeted mechanisms for the poo; political and policy instability have resulted in frequent policy changes and inconsistent implementation” Apata et al (2010) findings have been confirmed by this study too. Apata et al observed that the effectiveness of poverty reduction programs in Nigeria has consistently been hampered by

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174 inadequate funding and overlapping functions ultimately leading to institutional rivalry and conflicts. Conclusion and recommendation The study concluded that NAPEP as a social welfare policy has been ineffective in poverty reduction especially in rural communities because it is constrained by the non-involvement of beneficiary communities in project design, corruption, and poor implementation. Most communities are not even aware of the existence of NAPEP. Hence, the reduction of rural poverty rests on the commitment of the ruling/governing elites in ensuring the availability of an effective monitoring mechanism at the community level controlled by the community itself. Poverty cannot be eradicated but governments and civil society organizations can try to reduce the incidence and severity through various accommodative and humanistic arrangements such as eliciting social welfare priorities directly from target communities; allowing communities to identify welfare projects and target recipients. The socio-cultural environment of benefiting communities must be factored into the design of poverty alleviation programs by adopting the bottom-top approach. The government should be committed to the due process approach to ensure that corrupt practices in Poverty Reduction Programmes are eliminated. Again, resources available to the rural poor should be expanded through credit, social funds, capacity building. Civic capacities of communities should be strengthened by nurturing organisations that represent them. Future Scope of Study 1.

Development is both political and community decisions. The intellectual elites have a significant role to play in rural poverty reduction. Macro social factors determine many of the problems, successes, and failures of rural reconstruction and poverty alleviation. The interaction between the characteristics and the attitudes of the governing elites, the existing communitybased organizations and the willingness of community members can determine the rate of poverty reduction in rural communities. The tripartite linkage can determine the success or failure of rural poverty reduction efforts. Leaders' positive inclination, level of commitment and sincerity together with indigenous development associations and community participation may be necessary conditions for rural poverty reduction. This

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tripartite linkage should be the future scope of the study. The rural environment's incapability to mobilize its resources for its development, the extent to which it can influence the center in policymaking and resource allocation and the extent to which it is organized to create a collective consciousness for assertiveness and participation in the process of rural development for poverty reduction is a sufficient condition for poverty reduction policy failure. Rural Sociologists would need to explore this dimension

Acknowledgments Many thanks to the University of Calabar for creating an enabling environment for research and knowledge advancement. I also appreciate my co-authors, scholars whose works are cited in this article, the good people of Akwa Ibom State and the editorial Team of this Journal. Conflict of Interest The authors declare no conflict of interest. References Abdullahi, M. (2004). The Design and Management of Poverty Alleviation Projects in Africa. Washington D.C.: Economic Development Institute. Aderomu, J. A. (2010). Local Government and Poverty Eradication in Rural Nigeria. Canadian Social Science, 6(5), 200-208 Adisa, B. O (2013) Assessing the contribution of Community-Based Natural Resources Management Programme to environmental sustainability in Ondo State, Nigeria. African Journal of Environmental Science and Technology, 7(10), pp. 932-937 Agboola, T (2008) The participation of the rural poor in rural development: a theoretical construct. The Nigerian Journal of Social Studies, 30(2), 15-25 Agwu, M. E. & Kadiri, K. I. (2014). Analysis of critical strategic factors for successful implementation of poverty alleviation programmes in Nigeria. International Journal of Computational Engineering & Management, 17(1), 1-9 Ajibola, A., Loto, M. & Enilolobo, O. (2018) Poverty and Inequality in Nigeria: Implications for Inclusive Growth. Nile Journal of Business and Economics, 4(9), https://journal.nileuniversity.edu.ng/index.php/ NileJBE/article/view/160

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Aliu, A. (2001). National Poverty Eradication Programme (NAPEP): Completion, Implementation, Coordination and Monitory; Abuja, NAPEP Secretariat. Aluko, M. A. O. (2003). Strategies for poverty reduction in Nigeria. Journal of Social Sciences, 7(4), 255-266. Retrieved from https://www.tandfonline.com/doi/abs/10.1080/0 9718923.2003.11892388 Anriquez, G & Stamoulis, K (2007) Rural development and poverty reduction: is agriculture still the key? Electronic Journal of Agricultural and t www.fao.org/es/esa/eJADE Development Economics, 4 (1), pp. 5-46 Antai, A. S. & Anam, B. E. (2004). National Poverty Eradication Programme and poverty reduction in Nigeria: empirical investigation of the programme impact in Cross River State. International Journal of Human Resource Studies, 4,3, 269-279 Retrieved from http://www.macrothink.org/journal/index.php/ij hrs/article/view/5629 Apata, T. G., Apata, I, O, Igbalajobi, O. A. and Awoniyi, S. M. O. (2010) Determinants of rural poverty in Nigeria: Evidence from small holder farmers in South-western, Nigeria. Journal of Science and Technology Education Research, 1(4), pp. 85 91, http://www.academicjournals.org/JSTER Ekong, E. E. (2003). An Introduction to Rural Sociology, Uyo: Dove Education Publishers. Fukada-Parr, S. (2003). The human development paradigm: operationalizing Sen’s ideas on capabilities. Feminist Economics 9, 2-3, 361317. Ihejiamaizu, E. C (2002) “Sociology of Nigerian Rural Society” Mbaise Rd. Owerri Imo-State, Nigeria: African Scholars publishing company. Kazeem, Y. (June 25, 2018). Nigeria has become the poverty capital of the world. Quartz Africa. Retrieve from: https://qz.com/africa/1313380/nigerias-has-thehighest-rate-of-extreme-poverty-globally/ National Population Commission (NPC) (2006) Nigeria National Census: Population Distribution by Sex, State, LGAs and Senatorial District: 2006 Census Priority Tables (Vol. 3). http://www.population.gov.ng/index.php/public ation/140-popn-distri-by-sex-state-jgas-andsenatorial-distr-2006 Nkpoyen, F. & Bassey, G. E. (2012). Microlending as an empowerment strategy for poverty alleviation among women in the Yala local government area of Cross River State, Nigeria. International Journal of Business and Social Science, 3(18), 233-241. Nkpoyen, F., Bassey, G. E. & Uyang, F. A. (2014a). Health capital and poverty reduction in

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rural Cross River State, Nigeria. International Journal of Education and Research, 2 (5), 357-372. Nkpoyen, F., Bassey, G. E., & Uyang, F. A. (2014b). Entrepreneurship, corruption and the challenge of development in Nigeria. European Journal of Business and Social Sciences, 3 (3), 104-112. Nkpoyen, F., Nkoyo, E.I. & Glory, E. B. (2013). Impediments to sustainable rural development in materially backward economy of Uyo local government area, Akwa Ibom State, Nigeria. Research Journal of Social Sciences and Management, 3(4), 49-60. Ntui, O. E (2005) Assessment of the level of community participation in rural development projects within the support zone of Cross River National Park (Unpublished M.Sc. thesis submitted to Graduate School), University of Calabar, Nigeria. (pp 157) Obadan, M. I. (1997). Analytical framework for poverty reduction: issues of economic guide versus other strategies: In annual conference of Nigerian Economic Society, Obaseki (ed). Nigerian Economic Society, Ibadan. Okhira, O. A. & Obadeyi, J. A. (2015). Poverty, an African epidemic: Empirical evidence of Nigeria. Developing Country Studies, 5(6), 2939 Omoniyi, V. A. (2013) Policy implementation and rural poverty reduction in Nigeria (an analysis of the National Poverty Eradication Programme (NAPEP) in Ado-odo Ota local government area, Ogun STATE) being a paper presented at 1st Annual International Interdisciplinary Conference, AIIC 2013, 24-26 April, Lagos State University, Streeten, P. (1994). Human development: means and ends. American Economic Review, 84, 2, 232-237. Toromade, S (2018) Benue crisis. What you need to know about Fulani herdsmen, Anti-open Grazing Law. Miyetti Allah. Freedom online Wilson-Osigwe, M. & Oluwole, O. A. (2016) Implications of policy on extreme poverty and hunger in Nigeria from 1999 to 2015: prelude to post 2015 sustainable development programmes. Journal of Policy and Development Studies (JPDS) Vol. 10 (4) World Bank Group (2019). Poverty. IBRD IDA IFC MIGA ICSID. https://www.worldbank.org/en/topic/poverty World Vision. (2019). Global poverty: facts, FAQS and how to help. Retrieve from http:www.worldvision.org/sponsorship-newsstories/global-poverty-facts.

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DOI: https://doi.org/10.34069/AI/2021.42.06.16 How to Cite: Goncharova, A.V., Fursa, S.Ya., Chuikova, V.Y., & Hrybachova, I.P. (2021). Reception of definitions of hereditary transmission and hereditary representation in modern legal systems. Amazonia Investiga, 10(42), 176-185. https://doi.org/10.34069/AI/2021.42.06.16

Reception of definitions of hereditary transmission and hereditary representation in modern legal systems РЕЦЕПЦІЯ ПОНЯТЬ СПАДКОВОЇ ТРАНСМІСІЇ ТА СПАДКОВОГО ПРЕДСТАВЛЕННЯ В СУЧАСНІ ПРАВОВІ СИСТЕМИ Received: May 12, 2021

Accepted: July 10, 2021

Written by: Alina V. Goncharova71 https://orcid.org/0000-0002-9815-0394 Svitlana Ya. Fursa72 https://orcid.org/0000-0002-3023-5287 Valentina Y. Chuikova73 https://orcid.org/0000-0002-2239-8377 Iryna P. Hrybachova74 https://orcid.org/0000-0002-5075-5773 Abstract

Анотація

The article examines the problems of legal formation of the institution of hereditary transmission and hereditary representation. One of the most relevant topics in the study of modern jurisprudence is the problem of forming a single European legal space, the inclusion of national legal systems, the establishment of relationships between European integration and national law. The dialectical method and the analysis of theoretical developments of world scientists and general notarial practice show that a number of questions arise related to the correct distinction between the concept of hereditary transmission and hereditary representation. The purpose of this article is to determine the historical and legal nature of the institution of inheritance by hereditary transmission and the right of representation, to clarify the nature and features of application in practice, to refine concepts received from Roman private law and adaptation to international law. The main task of the study is to systematize and analyze the reform of the idea of origin and improvement

В статті досліджуються проблеми правового становлення інституту спадкової трансмісії та спадкового представлення. Однією з найактуальніших тем дослідження сучасної юридичної науки є проблема формування єдиного європейського правового простору, включення в його межі національних правових систем, встановлення взаємозв’язків між європейським інтеграційним та національним правом. Діалектичний метод та аналіз теоретичних напрацювань світових науковців та загальної нотаріальної практики, свідчить, що виникає низка питань, пов’язаних з правильним розмежуванням поняття спадкової трансмісії та спадкового представлення. Метою цієї статті є визначення історичної та юридичної природи інституту спадкування за спадковою трансмісією та правом представлення, з’ясування сутності та особливостей застосування на практиці, доопрацювання рецепійованих з римського приватного права понять та адаптація під міжнародне законодавство. Основне завдання

Candidate of Science in Law, Associate Professor at the Department of Criminal Law and Procedure, Sumy State University, Sumy, Ukraine. 72 Doctor of Science in Law, Professor, Professor at the Department of Notarial, executive process and advocacy, prosecutor’s office, judiciary, Taras Shevchenko National University of Kyiv, Kyiv, Ukraine. 73 Candidate of Science in Law, Associate Professor at the Department of Civil law, Yaroslav Mudryi National Law University, Kharkiv, Ukraine. 74 Candidate of Science in Law, Associate Professor at the Department of Criminal Law and Procedure, Sumy State University, Sumy, Ukraine.

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of the procedure for the transfer of inheritance rights, legal consolidation, as well as development and regression in modern conditions. The article considers the legal constructions that guarantee the transfer of the right to inherit from the deceased heirs who did not have time to inherit to their descendants. It is concluded that it is important to improve the legislative delimitation of the procedure of inheritance transfer by hereditary transmission and hereditary representation. It is noted that these contradictions can be eliminated or reduced by harmonizing the law, which provides for the use of not only international agreements but also other instruments of regulation in order to achieve a certain degree of uniformity of norms. Keywords: inheritance, hereditary transmission, heir, testator, roman private law.

дослідження полягає у систематизації й аналізі реформування ідеї виникнення та вдосконалення процедури переходу прав на спадщину, нормативно-правового закріплення, також розвиток та регресія в сучасних умовах. У статті розглядаються юридичні конструкції, що гарантують перехід права на прийняття спадщини від спадкоємців, які померли, та не встигли прийняти спадщину до їх нащадків. Робиться висновок про важливість вдосконалення законодавчого розмежування процедури переходу спадщини за спадковою трансмісією та спадковим представленням. Зазначено, що усунути чи зменшити ці суперечності можна шляхом гармонізації права, що передбачає використання не тільки міжнародних договорів, але й інших інструментів нормативної регламентації з метою досягнення певного ступеня одноманітності норм. Ключові слова: cпадщина, спадкова трансмісія, спадкоємець, спадкодавець, римське приватне право.

Introduction

Methodological

Inheritance by the right of representation and hereditary transmission was already known in Roman law. Still, even though it was adopted to a certain degree by the latest civil law systems, it remains controversial both in the doctrine of civil law and in practical application. Over the last period, world civil law has been supplemented by research on individual (namely, general) issues of the institution of inheritance. At the same time, in Ukraine, there is still not a single fundamental research proving a comprehensive study of inheritance by transmission and by the right of representation. An analysis of theoretical studies, in which the consideration of this issue has begun, indicates that scientists have shown scientific interest in developing this topic at different times. This article aims to determine the historical and legal nature of the institution of inheritance by transmission and by the right of representation to clarify the essence and features of their application in practice. The study’s main objective is to systematize and analyze the reform of the idea of the emergence of the term “inheritance by the right of representation” and “inheritance by transmission”, their normative legal consolidation, and development and regression in modern conditions.

Сompiled approved general scientific and special methods of cognition, developed by legal and philosophical sciences, and, above all, general scientific methods. Among them is the dialectical method of cognition of legal reality, which made it possible to consider the essence of law inheritance in the area of personal (civil) rights, arising from the duty of the state to protect the family, motherhood, fatherhood and childhood. On the basis of this method, the advantages and shortcomings of various approaches to determining the legal nature of law inheritance, in particular as an element of private property law, guarantees of this right. When writing the article, we also used methods of formal logic: description, comparison, classification, analysis and synthesis, etc. For this study, the formal legal method. Promotes identifying and clarifying the meaning of the general categorical apparatus in the area under consideration, which is important for the constitutional understanding of concepts such as "the right of inheritance", "freedom of will", "Inheritance", "mandatory share", etc., and to clarify them interpretations in order to avoid ambiguous interpretations. The historical method made it possible to identify a sequence of approaches to understanding the content of the right of inheritance in a particular historical the period of development of the Ancient States. Achievement of the set goal the method of

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178 comparative jurisprudence also contributed. Based on it analyzed a significant array of foreign legislation and international legal acts regulating public relations in the field of hereditary succession. Literature Review The following scientists pay attention to the issues of hereditary transmission and hereditary representation Hedlund, R. (2021), Zaika, Y., Oleksandr Ye. Kukhariev, Volodymyr L. Skrypnyk, Aliesia A. Mytnyk (2021), Dibarrart, M.J. (2020), Tarasyutina E. (2020), Creteau E., Rostovtseva, N. (2020), Zaika Y.O. (2020), Carrillo Pozo, L.F. (2018). In Roman law, an inheritance could be passed on according to the rules of intestate or testate succession. The Roman law of succession presents people with an enormous display of legal ingenuity (Humfress (2017)). The first precedent for transmission was the transmissio ex capite infantiae case, when the inheritance was opened before the child reaches one year (later seven years), the father had the right to receive the inheritance for the child. If the infants died before the father had time to accept the inheritance, the father could arrange the inheritance for himself. Additionally, the Gnomon provides a better insight into the develop pment of the Roman law of succession; this historical perspective has been lost in the Justin ianic transmission of the Roman legal texts, but is of importance for the fiscal dimension of the law of succession, the different functions of the fideicommissum familiae relictum, the rules on incapacity contained in the lex Iulia et Papia, as well as for the legal status of both women and soldiers in matters of inheritance (Babusiaur (2018)). Notes, for the most part, the transmission occurred in favor of the heirs of the person who did not use his or her ability to inherit. Sometimes the transmission occurred in favor of the paterfamilias.

the inheritance, then the heirs could receive the inheritance (Baynes, (1926)). If the heir did not know about the opening of the inheritance to him or her until the death, then the year was considered from the date of the death (Maas (1986)). In addition to the general transmission, the transmissio ex capital in integrum restitutionis and transmissio ex jure patvio were established. In the first case (transmissio ex capite in integrum restitutionis), if the heir could not receive the inheritance for a reason that gave ground to ask for in integrum restitutio in case of loss of the ability to receive the inheritance (for example, due to the absence of rei publicae causa), and then died without receiving the inheritance for this reason, the heirs could instead ask for in integrum restututio and receive the inheritance upon themselves. The second case arose in the case of transmissio ex jure patvio, if the inheritance was opened to a subject under control and he refused to receive it against his father’s will, then his paterfamilias could receive the inheritance. An analysis of Roman private law sources asserts that prototypes of modern cases of the transfer of inheritance rights were born in the Roman Empire. As for the inheritance by representation, the term “inheritance by representation” was unknown in Roman law, but in cases of death of any of the heirs, the right to inherit passed on to his descendants in a direct descending line (children, grandchildren, great-grandchildren). These persons inherited by independent inheritance law, receiving that part of the inheritance that belonged to their ancestor (Hedlund (2021)). In contrast to representation, the term transmission first appears in Roman private law (Aldunate (1905)). Results and Discussion

Under Theodosius II, the rule was that if the testator’s descendants are intended as heirs in the will and these heirs die before the opening of the inheritance, then their own descending heirs could receive the inheritance on their behalf (De Figueiredo (2020)).

It is formulated as transmissio delationis – the transfer of the right to receive the inheritance to the heirs of the person intended to receive the inheritance, but not having time to do this before death. The term itself was accepted by almost all legal systems of the world and has not undergone radical changes in the process of historical formation of law.

Finally, during the time of Justinian, the general rule on the personal nature of the right to inheritance was leveled. If the heir died without taking advantage of the opportunity to inherit, and not yet another year had passed from the moment the heir was notified of the opening of

Notes, for the most part, the transmission occurred in favor of the heirs of the person who did not use his or her ability to inherit. Sometimes the transmission occurred in favor of the paterfamilias. In legal science, freedom of will is understood as the inalienable right of any

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citizen to designate a list of persons who, according to his will, will receive property after the death of the testator (Borshcheniuk, Semerianova, Filatova, & Karpovich. (2019)). Special rules of inheritance are established in cases when the heir intended to receive the inheritance, both by law and by will, dies, not having time to exercise the right to accept the inheritance. In this case, it concerns the transfer of an unfulfilled right to inherit. For the application of these rules, two circumstances matter: the deadline for accepting the inheritance has not expired and the heir intended to receive the inheritance has not submitted an application for acceptance or rejection of the inheritance within the established time limit or has not performed any actions indicating the acceptance of the inheritanc. (Zaika, Kukhariev, Skrypnyk, & Mytnyk (2021)). There are cases very similar to transmission, but, they are fundamentally different: 1) if the heir, within the period established for the acceptance of the inheritance, managed to accept the inheritance, then the accepted inheritance is included in his own inherited property and passes to his heirs according to general rules; 2) it is not about the transfer of the right to accept the inheritance in the case when the heir did not express his will to accept the inheritance but died after the expiration of the established period. In this case, even before the death, the person lost the right to accept the inheritance, and it is not advisable to raise the issue of extending the time limit for accepting the inheritance by the heirs. It has also been recognized that the effects of said disposition acts are, in reality, uncertain, since in the partition of the inheritance it is possible that the heir who alienated his quota is not awarded, ultimately, the singular asset to which he referred his hereditary quota at the time of disposing of it, but, on the contrary, it is awarded to another community member or to a third party (Dibarrart (2020)). The transfer of the right to accept inheritance is defined by the term “transmission”. This term is officially used in the current legislation, namely in Part 1 of Article 1276 of the Civil Code of Ukraine: if the heir by will or by law died after the opening of the inheritance and did not have time to accept it, the right to accept the share of the inheritance, except for the right to accept the obligatory share in the inheritance, passes on to the heirs (inheritance transmission) (Civil Code of Ukraine (2003)). According to Part 1 of Article 1276 of the Civil Code of Ukraine, inheritance transmission is the

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transfer of the right to accept the inheritance, when the heir intended to receive the inheritance by will or by law died after the opening of the inheritance, not having had time to accept it within the period established by law (Civil Code of Ukraine (2003)). In this case, the right to accept the inheritance that belonged to the deceased after the opening of the inheritance to the heir is transferred by transmission to his or her heirs by will or to heirs by law. At the same time, the right to accept the inheritance by transmission is not included in the inheritance, which opened after the death of the heir who did not have time to accept the inheritance, and is an independent subjective civil right. This follows primarily from the fact that the legislator imperatively enshrines the rule according to which the right of the heir to accept part of the inheritance as a compulsory share does not pass on to his or her heirs. The right to a compulsory share in the inheritance is a personal property right that cannot be transferred to other persons for any reason, including through transmission. As for the definition of transmission, we consider it apt and reflecting the essence of the phenomenon itself. The concept of transmission is borrowed from the Latin word transmission, which means the transmission, forwarding of something. It provides for the possibility for heirs to acquire the rights of transmissars, i.e., they transfer the right to become heirs (legal successors) after the death of the primary testator, as well as the right to inherit the transmitent. The deceased heir in these relations is referred to as the “transmitent”, and the heir, to whom the right to accept the inheritance passes, is called the “transmissar”. The first step is to determine the circle of people who are intended to inherit by transmission, only the heir who has accepted the inheritance is the legal successor of the rights and obligations that can be inherited (Zaika, Kukhariev, Skrypnyk, & Mytnyk (2021)). We do not agree with this statement regarding transmission, because in European countries, if the heir by will or by law died after the opening of the inheritance and did not have time to accept it, the right to accept the share due to him or her passes to the heirs. The heirs are not subjects of these relations. Therefore, at the time of death, legal competence and legal capacity are lost. However, the legal nature of these exceptions, according to supporters of the concept of universality of hereditary legal succession, does not allow to attribute the succession of separate rights of the deceased to the hereditary legal succession,

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180 considering them not as hereditary, but as other legal relationships – legally binding (Kostruba (2019)). The conditions for the transfer of the right of inheritance are: 1) the opening of the inheritance; 2) the death of the person intended to receive the inheritance (Tarasyutina (2020)). Death, obviously, should be equated with the recognition of a person as missing. During the transfer of inheritance rights, two persons appear: the heir who died after the opening of the inheritance, who did not have time to exercise his or her rights to accept the inheritance or refuse it, and his or her own heir. Biologically, the embryo is not considered a human life, and current case law would deem the embryo to be, at most, potential and not actual life (Estrada. (2020)). The transfer by inheritance of the right of inheritance does not require the person to whom the right of inheritance is transferred to know that the inheritance has been opened (Viarengo (2016)). There is a general rule: a transmissar who has accepted the inheritance by transmission is responsible within the value of this inherited property only for the debts of the testator to whom this property belonged, and are not answerable with this property for the debts of the heir who did not have time to accept the inheritance, from whom the right to accept the inheritance passed to him or her. In our opinion, this statement is absolutely correct and corresponds to the realities of life, protecting the rights of the transmissar. After the death of the transmitent, the inheritance can also be opened. In this situation, it is about two inheritances: the inheritance opened after the death of the primary testator, and the inheritance opened after the death of the transmitent. The heir of the transmitent has the right to accept the inheritance by transmission (as a transmissar) and to accept the inheritance opened after the death of the transmitent. These are two independent rights that can be exercised independently of each other. The heirs of the deceased transmitent may accept the inheritance by transmission and refuse his or her inheritance, or, conversely, may accept the inheritance after the death of the transmitent and refuse to accept the inheritance by transmission, they may accept both inheritances or refuse to accept both inheritances. The commorientes are individuals, entitled to inherit, reciprocally, to each other and

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considered to have died at the same moment, from the inheritance’s point of view. The commorientes do not inherit reciprocally. (Creteau, & Rostovtseva. (2020). Moreover, the number of heirs who can be intended to inherit by transmission, on the one hand, and immediately after the death of the transmitent, on the other, do not always coincide. The fact is that in the case of transmission, heirs are called in the form of a general rule by law. Only if all the property is bequeathed by the transmitent, the right to accept the inheritance by transmission also passes to the heirs by will. Therefore, if the transmitent has disposed of only part of his or her property, the heirs by will are not called to inherit by transmission. Acceptance of inheritance by transmission is carried out in the same ways as acceptance of the main inheritance (Guliyev (2017)). Since there are two independent inheritances, two independent acts are necessary to accept them. Therefore, the submission of an application for acceptance of inherited property belonging to the transmitent, or its actual acceptance, cannot be considered as acceptance of inheritance by transmission. Independent actions must be taken regarding the acceptance of this inheritance: an application has been submitted or the primary testator’s inheritance has actually been accepted. At the same time, an application for acceptance of each of the inheritances or one application for acceptance of both inheritances can be submitted independently. The current legislation defines the mode of transfer of the right to accept the inheritance. It is established that this right is not part of the transmissar’s inheritance. This means that in the event of the death of a transmissar who did not have time to exercise the right to accept the inheritance, this right cannot pass to his or her heirs. In this case, if there are other transmissars, the share of the deceased transmissars in the right to accept the inheritance will pass to them, and in the absence of other transmissars – to the heirs intended to inherit together with the transmitent after the death of the main heir. The right to accept the inheritance by transmission does not arise if another heir is assigned to the heir who died before accepting the inheritance within the established time limit, i.e. a potential transmitent. In this case, priority is given to the additionally assigned heir. In this regard, it should be recalled that the additional assignment of the heir, i.e., the

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appointment of another heir in case the main heir cannot inherit for any reason, is one of the orders that the testator has the right to make. At the same time, the law provides an exhaustive list of conditions, in case of which the additionally assigned heir is called to inherit. These conditions include the death of the heir who did not have time to accept the inheritance. Thus, if a list of heirs is formulated in a general way in the will, i.e., the grounds for the disappearance of the intended heir are not specified, then as a result of the disappearance of the main heir, for any reason, the additionally assigned heir will be called to receive the inheritance; if the death of the heir who did not have time to accept the inheritance is the ground in the will, the same consequences occur. However, if the additional assignment is established for any other specific case (recognition as unworthy, death before the opening of the inheritance, etc.), the transfer of the right to accept the inheritance by transmission will occur.

who missed the deadline can accept the inheritance, should be determined taking into account the peculiarities of transmission.

The right to accept inheritance by transmission is exercised by heirs on a general basis, with one exception. Since the right to accept inheritance passes to the heirs of the transmitent after the heir’s death, who was previously called for the inheritance, the remaining period during which this right can be exercised will always be less than the six months established by law. However, if the remaining period is less than three months, it is automatically extended to three months (Zaika (2020)). Failure to exercise the right to accept inheritance by transmission is equivalent to non-acceptance of inheritance by the heir whose right has been transmitted.

Sometimes in the legal literature, with reference to the need not to confuse the transfer of inheritance rights by representation, an analysis of the features of each of these grounds for inheritance is provided. However, the difference between the two institutions is obvious. The heir who has not accepted the inheritance dies after opening it. Having acquired the inheritance right, he transfers it to his or her heirs. On the contrary, the right of representation occurs when the eventual heir dies before the death of the testator. He or she cannot receive the inheritance and does not transfer any insurance rights to his or her heirs since they did not acquire them. His or her heirs are only called to receive the inheritance instead of him, but completely independently and directly.

A court may restore the term if the court recognizes that the reasons for missing the term were valid, if the heir applied to the court no later than six months from the date when the reasons for missing the term disappeared. As for missing the deadline for accepting the inheritance by inheritance transmission, the law does not mention the second possibility of accepting the inheritance after the expiration of the term: provided that all other heirs who have accepted the inheritance agree to this, i.e., in an undisputed manner. We believe that the absence of an indication in this regard in the law does not exclude the application of general rules governing the acceptance of inheritance after the expiration of the established period. There is no reason not to admit the inclusion of the person who missed the deadline to the circle of heirs who have accepted the inheritance if other heirs agreed. However, it should be borne in mind that the circle of heirs, with whose knowledge the heir

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Thus, if the right to accept inheritance has passed to several transmissars, then all of them must express their consent in writing. For example, the son of the deceased testator died without having time to accept the inheritance, and the right to accept the inheritance passed to his wife and two sons, one of whom missed the deadline for accepting the inheritance. For the inclusion of the person who missed the deadline in the circle of heirs, the consent of his mother and brother is required. If the right to accept the inheritance passes to one heir who has missed the deadline, the consent to accept the inheritance may be given by heirs who are called to inherit together with the transmitent after the death of the main heir. The certificate of inheritance rights is issued within the period calculated from the date of death.

Transmission should be clearly distinguished from inheritance by representation. First, if inheritance by representation arises only in the case of inheritance by law, then transmission occurs in the case of inheritance by will. Second, inheritance by representation occurs only when the heir dies before the inheritance is opened. Transmission occurs when the heir called to receive the inheritance dies after the opening of the inheritance but before its acceptance. Third, in the case of inheritance by representation, the inherited share of the deceased heir is transferred to persons specifically determined by law – the grandchildren, nephews, or grandfather and

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182 grandmother of the testator. In the case of inheritance transmission, the right to accept the share that the deceased should have received is transferred to his or her heirs. According to Article 1062 of the Civil Code of the Republic of Belarus, the share of an heir who died before the opening of the inheritance passes to his or her descendants by representation and is distributed in equal shares. The heirs of an ascending relative will not inherit if he or she was recognized as an unworthy heir under (Civil Code of the Republic of Belarus (1998)). These articles of the Civil Code of the Republic of Belarus actually repeat each other in terms of the definition of the concept, subjects, conditions, and order of inheritance by transmission and representation. The capitalist countries of continental Europe have a model of building inheritance relations similar to the Ukrainian one, differing only under the influence of some national traditions. The inheritance law of capitalist countries unites the division of all heirs into four stages:    

descending relatives (children, grandchildren, great-grandchildren); parents, siblings; incomplete siblings; and other relatives.

The transfer of the right to inheritance by transmission is not mentioned in the German Civil Code (German Civil Code (2013)). We are referring to the term itself. The legal successors of the deceased are given a period to exercise their rights by submitting an appropriate application. Transmission is used in the case of inheritance by will. The German scientist, revealing the concept of “freedom of testament”, points out that freedom of testament gives the right to the testator without specifying a reason to deviate from the legal order of inheritance – this is the core of inheritance law. According to Section 2024 of the German Civil Code, if the property was bequeathed to several heirs in such a way that the heirs were eliminated by law and one of the heirs lost the opportunity to inherit, his or her share passes to the shares of other heirs (German Civil Code (2013)). The descendants do not have any succession. The principle of universal legal succession applies: both the rights and obligations of the testator pass to the heirs.

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Having studied the internal rules of law on inheritance in European states, it can be stated that the law of foreign states regulates inheritance relations in different ways (Pfeiffer (2016)). Thus, the grounds, the principles of inheritance by transmission are somewhat different. These contradictions are the cause of the emergence and development of conflicts in private international law. It is possible to eliminate these contradictions and inconsistencies through the harmonization of law, which provides for the use of international treaties and other instruments of regulation to achieve a certain level of uniformity (Lerdo De Tejada (2019)). However, whatever the real convergence of the inheritance law of states, no matter how identical the norms of inheritance would be, the conflicting issues of inheritance by inheritance transmission and inheritance representation in private international law remain. These contradictions can be eliminated or reduced by harmonizing law, which provides for the use of international treaties and other regulatory instruments to achieve a certain degree of uniformity. However, whatever the real convergence of the inheritance law of European states, no matter how identical the norms of inheritance would be, the conflicting issues of inheritance by inheritance transmission and inheritance representation in private international law remain. This institution of inheritance law is quite complex and problematic in notarial practice. One of the most relevant research topics of modern legal science is the problem of forming a single European legal space, including national legal systems within its borders and establishing interrelations between international, European integration, and national law. The formation of a common system of legislation of the European Union, namely in terms of regulating inheritance – legal relations, features of inheritance by transmission and representation, is associated with a range of problems, primarily historically determined (Carrillo (2018)). Traditionally, inheritance law is considered a national branch. Inheritance law is a universal system of legal constructions borrowed from Roman law. Roman civil law became the basis of modern civilization worldwide – in some legal systems to a greater extent, in others less. By accepting this law, Europe built its civilization on its foundations (Sarvarian (2016)). Analysis of the historical development of inheritance law shows

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that it has always occupied one of the dominant places in private international law. An essential feature of regulating these relations is that the norms of inheritance law do not contain a direct answer, a direct instruction on how to resolve the case (Deininger, Jin, Nagarajan, Xia. (2019)). These rules only indicate which legislation should be applied (Viglione (2018)). Conclusions Discussions around the definition of the subject of international inheritance law boil down to the fact that the authors understand different things under this subject. Thus, some scholars define the subject of international inheritance law, an independent branch of law, as relations with a foreign element governed by international law. In contrast, others believe that the subject of this law is the legal norms governing civil relations with a foreign element. In the international scientific literature, the range of norms that make up international inheritance law is ambiguously determined, which is explained by different approaches to its nature and essence. Usually, the norms of international inheritance law include conflict of laws, special material norms, and norms of international civil procedure. The doctrine of international inheritance law attempts to justify the application of foreign law on the territory of the state. We argued that the legal system of the state attaches importance to the norms of a foreign legal system because legal norms are considered attached to the objects of the material world, in this regard, the law of a certain state should provide legal regulation of relations, depending on what objects of the material world they are attached to. At the present stage of the development of hereditary legal relations, a significant place in civil law is occupied by the concepts of transmission and hereditary representation, which originated in ancient times of the formation and development of law as a branch of science. The issue of the fate of the private property of a deceased person is relevant for the harmonious existence of society. Unfortunately, all that we have, be it rights or responsibilities, we leave as a memory of ourselves for our descendants. Analyzing all the provisions of inheritance law as a separate institution of civil law, we dwell on the analysis of current legislation and trends in the development of inheritance law with the possibility of simultaneously harmonizing this process with improving the quality of notarial procedure and legislation on notaries. Therefore, the process of

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improving legislation should be distinguished not only by a quick reaction to changes in social relations but also by the external and internal arrangements of norms. The main attention is focused on the links between the norms of substantive and procedural legislation. This area of research provides an opportunity to thoroughly analyze both the theoretical provisions of inheritance law and the process of inheritance. The inheritance process cannot be free from the objective criterion of perfection of civil proceedings. When considering cases in court, the imperfection of modern legislation and the theory of inheritance law is revealed. Thus, court cases in which the subject of consideration is inheritance by hereditary transmission and the right of representation is an object for scientists to analyze the perfection of the relevant legislation or its compliance with real public relations. Therefore, the process of improving legislation should be distinguished not only by a quick reaction to changes in social relations but also by the external and internal arrangements of norms. Bibliographic references Aldunate, B. S. (1905). El estudio del Derecho Romano y reforma de su programa-Tomo III, 93119. Anales de la Facultad de Derecho. Available at: http://web.uchile.cl/vignette/analesderecho/CD A/an_der_completa/0,1363,SCID%253D998%2 526ISID%253D18,00.html Babusiaur, U. (2018). Roman law of inheritance in the Gnomon of the Idios Logos. Journal of the Savigny Foundation for Legal History. Romance Department, 135(1), 108-177. Available at: https://docplayer.org/194542533-Roemischeserbrecht-im-gnomon-des-idios-logos.html Baynes, N. H. (1926). Alexandria and Constantinople: a study in ecclesiastical diplomacy. The Journal of Egyptian Archaeology, 12 (3–4), 145-156. Available at: https://journals.sagepub.com/doi/abs/10.1177/03 0751332601200129 Borshcheniuk, V., Semerianova, N., Filatova, U., & Karpovich, O. (2019). Freedom of will and its limitations: Comparative study of legal norms in Russia and the USA. Innovative Technologies in Environmental Science and Education, 135. Available at: https://www.researchgate.net/publication/33773 7882_Freedom_of_will_and_its_limitations_co mparative_study_of_legal_norms_in_Russia_an d_the_USA Carrillo, L.F. (2018). The European regulation 650/2012 and the change of paradigm of the

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184 succession law. Boletin Mexicano De Derecho Comparado, 51(151), 51-83. Available at: http://www.scielo.org.mx/scielo.php?script=sci_ abstract&pid=S004186332018000100051&lng=pt&nrm=iso&tlng=e n Civil Code of the Republic of Belarus № 218-Z. LLC "YurSpektr", Nathional Center for Legal Inform, Republic Belarus, Minsk, 2008 Civil Code of Ukraine № 435-IV. Vidomosti, Ukraine, Kyiv, Marсh 10, 2003 Creteau, E., & Rostovtseva, N. (2020) The concept of commorientes in french and russian inheritance law. Russian Law Journal, 8(1), 4 – 24. Available at: https://cyberleninka.ru/article/n/the-concept-ofcommorientes-in-french-and-russianinheritance-law/viewer De Figueiredo, D. (2020). Memory of the Performance of the Emperor Theodosius II in the Nestorian Controversy (5th Century AD). Historia (Brazil), 39, 1-26. Available at: https://www.scielo.br/j/his/a/599MJ3Zy7HxnkZ 3S87hF8Mh/?lang=pt Deininger, K., Jin, S., Nagarajan, H.K., & Xia, F. (2019). Inheritance Law Reform, Empowerment, and Human Capital Accumulation: SecondGeneration Effects from India. Journal of Development Studies, 55(12), 2549-2571. Available at: https://openknowledge.worldbank.org/handle/10 986/32601 Dibarrart, M.J. (2020). Heirs require no consent of the other heirs in order to transfer their hereditary quota referred to a real estate, 47(3), 915-923. Available at: https://www.scielo.cl/scielo.php?script=sci_artte xt&pid=S071834372020000300915&lng=pt&nrm=iso&tlng=p t Estrada, S.I. (2020). Frozen embryos versus inheritance law. Vergentis, 1 (10), 201 – 218. Available at: https://core.ac.uk/download/pdf/233101291.pdf German Civil Code № 2. Federal Law Gazette, Part I, January 08, 2002 Guliyev, K. (2017). Local custom in international law: Something in between general custom and treaty. International Community Law Review, 19(1), 47-67. Available at: https://brill.com/view/journals/iclr/19/1/articlep47_3.xml Hedlund, R. (2021) Peculiarities of protection of rights and interests of heirs: theoretical aspects. Legal Studies, 41, 55-72. Humfress, C. (2017). Gift-giving and inheritance strategies in late Roman law and legal practice. Donations, Inheritance and Property in the Nordic and Western World from Late Antiquity

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until Today, 9-27. Available at: https://researchrepository.standrews.ac.uk/bitstream/handle/10023/16641/H umfress_Inheritance_pre_publication_.pdf?sequ ence=1&isAllowed=y Kostruba, A. (2019). Hereditary legal succession in the civil law of Ukraine: problematic and theoretical aspect. Journal of the National Academy of Legal Sciences of Ukraine, National Academy of Legal Sciences of Ukraine, 26 (3), 135-149. Available at: https://hal.archivesouvertes.fr/hal-02411634/document Lerdo De Tejada, M. E. (2019). Equality by reason of filiation and succession law. Actualidad Juridica Iberoamericana, 10, 336-365. Available at: https://idibe.org/wpcontent/uploads/2019/08/336-365.pdf Maas, M. (1986). Roman History and Christian Ideology in Justinianic Reform Legislation. Dumbarton Oaks Papers, 40, 17-31. Available at: https://www.jstor.org/stable/1291527?seq=1 Pfeiffer, M. (2016). Legal certainty and predictability in international succession law. Journal of Private International Law, 12(3), 566586. Available at: https://www.tandfonline.com/doi/abs/10.1080/1 7441048.2016.1261848?journalCode=rpil20 Sarvarian, A. (2016). Codifying the law of state succession: A futile endeavour? European Journal of International Law, 27(3), 789-812. Available at: https://academic.oup.com/ejil/article/27/3/789/2 197251?login=true Tarasyutina, E. (2020). Practices of notarial system and mechanisms inheritance law in the 1920s in USSR. Istoriya, 11 (6). Available at: https://ras.jes.su/history/s207987840010131-31-en Viarengo, I. (2016). Choice of law agreements in property regimes, divorce, and succession: Stress-testing the new EU regulations. ERA Forum, 17(4), 543-554 Viglione, F. (2018). The influence of fundamental rights on the law of succession. European Business Law Review, 29(5), 773789. Available at: https://www.researchgate.net/publication/32860 0419_The_influence_of_fundamental_rights_on _the_law_of_succession Zaika, Y. (2020). Directions of updating the inheritance legislation of Ukraine Journal of the National Academy of Legal Sciences of Ukraine 27(1), 84-99. Available at: http://visnyk.kh.ua/web/uploads/pdf/%D0%92% D1%96%D1%81%D0%BD%D0%B8%D0%B A%20%D0%9D%D0%90%D0%9F%D0%A0% D0%9D%D0%A3_%D1%82%D0%BE%D0% BC_27_1_2020_84-99.pdf

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Zaika, Y., Kukhariev, O, Ye., Skrypnyk, V.L., & Mytnyk, A.A. (2021) Peculiarities of protection of rights and interests of heirs: theoretical

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aspects. International Journal of Criminology and Sociology, 10, 355-362.

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Panova, L., Tsurkanu, S., Synieokyi, O., Dilna, Z., Prymachenko, I. / Volume 10 - Issue 42: 186-195 / June, 2021

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DOI: https://doi.org/10.34069/AI/2021.42.06.17 How to Cite: Panova, L., Tsurkanu, S., Synieokyi, O., Dilna, Z., & Prymachenko, I. (2021). Liability in the field of digital payment systems and cryptocurrencies: mission is (im)possible? Amazonia Investiga, 10(42), 186-195. https://doi.org/10.34069/AI/2021.42.06.17

Liability in the field of digital payment systems and cryptocurrencies: mission is (im)possible? Юридична відповідальність у сфері цифрових платіжних систем і криптовалюти: місія (не)можлива? Received: May 13, 2021

Accepted: July 3, 2021

Written by: Liydmyla Panova75 https://orcid.org/0000-0002-9524-7529 Siuzanna Tsurkanu76 https://orcid.org/0000-0001-5851-5996 Oleh Synieokyi77 https://orcid.org/0000-0002-1419-4964 Zoriana Dilna78 https://orcid.org/0000-0002-6066-1279 Ivan Prymachenko79 https://orcid.org/0000-0003-1908-4278 Abstract

Анотація

An electronic payment system is a system of settlements between different organizations and Internet users when buying or selling goods or services over the Internet. The relevance of the research topic is that electronic payment systems are used widely at the present stage of the development of society. This area has not escaped criminal activity. Penalties for digital payment systems and cryptocurrencies should be commensurate with the level of damage caused. The article analyzes the international legal establishing liability for this type of crime. At the instant, it remains an open question for further study of the legal status of cryptocurrency in different countries and the settlement of penalties for violations in the field of digital payment systems and cryptocurrency. Research methods: comparison, observation, analysis, synthesis, analogy, the system method, generalization method, and formallegal method. According to the results of the study, the international comparative aspect of the types of liability for offenses in the field of

Електронна платіжна система являє собою систему розрахунків між різними організаціями та Інтернет-користувачами під час купівлі-продажу товару чи послуги через мережу Інтернет. Актуальність теми дослідження полягає в тому, що на сучасному етапі розвитку суспільства широко використовуються електронні платіжні системи. Цю сферу не оминула злочинна діяльність. Покарання за правопорушення у сфері цифрових платіжних систем та криптовалюти повинно відповідати рівню завданої шкоди. У статті проведений аналіз міжнародного законодавства, що встановлює відповідальність за даний вид злочину. Наразі залишається відкритим питанням для подальшого вивчення саме правовий статус криптовалюти у різних країнах та врегулювання покарання за порушення у сфері цифрових платіжних систем і криптовалюти. Методи дослідження: порівняння, спостереження, аналізу, синтезу, аналогії, системний метод, метод

Ph. D., Associate Professor of Civil Law Department, Taras Shevchenko National University of Kyiv, Kyiv, Ukraine. Ph. D., Associate Professor of Department of International Law and Comparative Law, International Humanitarian University, Ukraine. 77 Doctor of Social Communications, Professor of the Department of Philology and Publishing, Faculty of Law, Humanities and Social Sciences, Kremenchuk Mykhailo Ostrohradskyi National University, Ukraine. 78 Ph. D., Associate Professor of the Department of Criminal-legal Disciplines of Lviv State University of Internal Affairs, Ukraine. 79 Candidate of Economic Sciences, Associate Professor of the Department of National Economy of National University “Odesa Law Academy”, Ukraine. 76

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digital payment systems was analyzed; the issue of criminal liability for offenses in the field of digital payment systems and cryptocurrencies, as a key punishment for these actions; identified means of protection of payment systems; the issue of legal regulation of cryptocurrency in different countries. Keywords: legal liability, offenses, digital payment systems, cryptocurrency, cybercrime.

узагальнення, формально-юридичний. За результатами проведеного дослідження проаналізовано міжнародний компаративістський аспект щодо видів відповідальності за правопорушення у сфері цифрових платіжних систем, було досліджено питання кримінальної відповідальності за правопорушення у сфері цифрових платіжних систем та криптовалюти як ключового покарання за вказані діяння, виокремлено засоби захисту платіжних систем, проблематику правового регулювання криптовалюти у різних країнах світу. Ключові слова: юридична відповідальність, правопорушення, цифрові платіжні системи, криптовалюта, кіберзлочинність.

Introduction Today, there are a large number of payment systems that differ in different countries. Payment systems are the central means by which shocks are transmitted in domestic and international money and other markets. If the risks that may arise during the operation of the payment system are not averted, a crisis may occur that threatens the stability of these markets. Therefore, efficiency, effectiveness, and security are the main requirements for both the payment system of an individual country and the global financial system as a whole. These requirements can be met by electronic payment systems that use the latest advances in technology. Currently, most commercial transactions have moved to the Internet. Relevant changes in economic relations have led to the formation of a new sphere of public relations – e-commerce. Experts attribute the emergence of e-shops and a new form of payment – e-money – to its appearance. The specifics of this area of public relations have caused a number of problems that need to be addressed. In particular, the question of the legitimacy of electronic money and payment systems, in which they are used as a means of payment needs to be clarified. Offenses in the field of digital payment systems and cryptocurrencies belong to the field of cybercrime. Today, many foreign countries have a system of cooperation, due to the need to share experiences at the international level. The COVID-19 pandemic with its risks of restricting human rights (individual) has become a challenge, necessitating more attention to

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defining a person's status as an individual and ensuring his or her rights (Kharytonov, Kharytonova, Kolodin, & Tkalych, 2020). These issues are coordinated by each country in accordance with the developed and current cybersecurity strategy: The United States and most EU member states in their strategies put the fight against cybercrime at the forefront. The United States was the first country to pass a law and create a National Cyber Security Strategy (Petrovsky, & Livchuk, 2019). Foreign countries use the following main areas of crime control: the creation of political programs to combat crime; regulatory regulation of the information sphere; establishment of criminal liability for cybercrime; international cooperation in the field of combating cybercrime; creation of special bodies for the prevention and detection of cybercrime. Liability for digital payment systems and cryptocurrencies is a pressing issue around the world, as evidenced by the numerous cases of such crimes. In particular, it is possible to give the following examples of offenses: 

in 2018, one of Japan's largest digital currency exchanges, Coincheck, reported losing a cryptocurrency worth about $ 534 million due to a hacker attack on its network. As a result, Coincheck has temporarily suspended deposits and withdrawals for all cryptocurrencies except bitcoin (ВВС. News Ukraine, 2018);

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188 

one of the world's largest cryptocurrency exchanges Binance reported a "large-scale hacking" by hackers and theft from its platform for more than $ 40 million. To steal these funds, hackers used phishing, virus attacks, and other techniques to steal bitcoins. The hackers managed to obtain valuable data from a large number of customers, including two-factor identification codes (Economic truth, 2019).

The study aims to analyze the types of liability for offenses in the field of digital payment systems and cryptocurrency in the international comparative aspect. Theoretical Framework or Literature Review During the study, articles, monographs, textbooks, and regulations were analyzed. For comprehensive disclosure of the topic of the article used the work of scientists who formed the theoretical basis of the main material. These include Alekseev (1999), Serdyuk (2010; 2011), Zaychuk and Onishchenko (2008), Rabinovich (2007), Berlach (2012), Skakun (2001), Lipinsky (2004), Ivanenko (2007), Azemsha (2012), Lukyanets (2004), Shemelynets (2017), Musatkina (2006), Romanyuk (2019), Grin and Donchenko (2015), Dmitriev, Polyansky, and Trofimov (2008), Zayats (2012), Vovchak, Shpargalo, and Andriykiv (2008), Spindler and Summers (1994), Usoskin and Belousova (2010), and Pyrih (2008). The topic of legal liability in the context of this study needs to be disclosed as a fundamental category. Among the scientists who studied the essence of legal responsibility, it is possible to Alekseev (1999), Serdyuk (2010; 2011), Zaychuk and Onishchenko (2008), Rabinovich (2007), Skakun (2001), Lipinsky (2004), and Ivanenko (2007). Thus, based on their work, approaches to understanding legal responsibility, its understanding in general, were analyzed. Regarding the separation of types of legal liability, this element of the study was analyzed based on the works of Azemsha (2012), Lukyanets (2004), Shemelynets (2017), Musatkina (2006), Romanyuk (2019), Grin and Donchenko (2015). This issue is a pluralism of opinions, which expands the possibilities for a comprehensive analysis of the types of legal liability in legal doctrine.

As for the issues of legal regulation of digital payment systems and cryptocurrency in different countries of the world, it was necessary to refer to the regulatory framework of European Union organizations dealing with payment systems and cryptocurrency, namely to the European Central Bank (Kokkola, 2010) and the Payment and Settlement Systems Committee of the Bank for International Settlements (Committee on Payment and Settlement Systems, 2003). To analyze the legal regulation, including liability for violations in the field of digital payment systems and cryptocurrency, electronic resources were analyzed, which contain, in particular, information on innovations in countries related to the legal regulation of cryptocurrencies. These appeals are appropriate in this research topic, as cryptocurrency is a new phenomenon, and the world is undergoing constant changes in its functioning. Also, the international aspect of the study of liability for offenses in the field of digital payment systems and cryptocurrency has been studied by such scientists as Golubeva (2017), Yushchenko, Savchenko, Tsokol, Novak, and Strakharchuk (1998), Lapta (2017), Orlov and Onishchenko (2014), Bilobrov (2020), in particular, Golubeva (2017) studied the essence of cryptocurrency on the example of bitcoin in such countries as Denmark, China, and other countries; Bilobrov (2020) and Orlov and Onishchenko (2014) investigated the responsibility for violations of digital payment systems and cryptocurrencies on the example of international experience, etc. Despite the extensive system of scientific papers on cybercrime, the topic of diversification of liability for offenses in the sphere of digital payment systems and cryptocurrency, their legal regulation, and protection need further detailed study. Methodology The methodological basis for the study of types of liability in the field of digital payment systems and cryptocurrency in the international comparative aspect is a set of methods and techniques of scientific knowledge, the use of which is due to the legal regulation of digital payment systems and cryptocurrency in different countries. Following the goal in the research process, the following general scientific methods were used: 1) system method. This method was used to study the practice of legal regulation of

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digital payment systems and cryptocurrencies in the United States, Britain, France, Germany, Denmark, Russia, etc. This allowed to form an idea of the legal regulation of cryptocurrency activities and payment systems in the world; comparison method. To compare the experience of foreign countries in regulating digital payment systems and cryptocurrency, it was necessary to identify the general principles of the legal status of the subject of study, which allowed to find a general algorithm in building a system to combat cybercrime and punishment for such crimes; method of observation. This method is used to comprehensively characterize both the theoretical and practical side of the object under study, which manifested itself in its active perception, during which results are obtained on approaches to its understanding, essence, and content; method of analogy. With the help of this method, it became possible on the example of Ukrainian civil law to distinguish civil liability for offenses in the field of digital payment systems and cryptocurrency; synthesis method. Its use allowed from all the variety of doctrines about the nature and content of digital payment systems and cryptocurrencies to distinguish the content that contributed to the establishment of their functions, means of protection, etc.; method of analysis. This method contributed to the detailed disclosure of the specifics of the research topic by identifying certain parts of the field of digital payment systems and cryptocurrency, namely the practical and theoretical side; generalization method. This method was utilized to identify key elements in the study, and by summarizing international experience, problematic aspects in the legal regulation of digital payment systems and cryptocurrencies were clarified; formal-legal method. The use of this method allowed to establish the need to improve the legislative regulation of public relations that arise in the operation of digital payment systems and cryptocurrency, and; method of ascent from the abstract to the concrete. This method helped to solve the problem of a small number of doctrinal teachings in the field of studying liability for offenses in the field of digital payment systems and cryptocurrency.

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Results and Discussion In the scientific legal literature, there is no single approach to the definition of legal liability. Scholars are divided into two camps: supporters of the monistic and dualistic approaches. The first approach is characterized by the understanding of legal responsibility only in the negative (retrospective) aspect, excluding lawful conduct from the institution of legal responsibility. Thus, according to Alekseev, legal liability should be understood as the application to the guilty person of measures of state coercion for the offense (Alekseev, 1999); russian lawyers Senyakin and Chernykh expand the interpretation of legal liability by highlighting the legal relations arising from the offense between the state in the person of its appropriate bodies and the offender, who is obliged to suffer appropriate deprivation and adverse consequences for the offense, for violation of the requirements contained in the law (Serdyuk, 2010); according to Serdyuk (2011), legal liability can not be associated only with law enforcement relations, as it can also be carried out within the regulatory relationship, which is characteristic of the branches of private law. Additionally, statements about the monistic understanding of legal responsibility are shared by Rabinovich (2007). The dualistic approach is characterized by the presence along with the retrospective aspect of the prospective, i.e. one that is characterized by positive legal responsibility. Positive legal responsibility can be interpreted as responsibility, which is defined by incentives, positive consequences in the form of, for example, a cash prize, promotion, announcement of gratitude (Berlach, 2012). Proponents of the dualistic approach are Skakun (2001), Lipinsky (2004), Ivanenko (2007), and Onishchenko (2008). In the context of this study, it is advisable to use the division of legal liability into types by industry. Thus, according to this criterion are criminal, administrative, civil, constitutional, and international law (Azemsha, 2012). Lukyanets (2004) divides administrative responsibility into financial, transport, and economics.

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190 Table 1. The division of legal liability into types. Information provided by Shemelynets (2017), Musatkina (2006), Romanyuk (2019), Grin and Donchenko (2015), Dmitriev, Polyansky, and Trofimov (2008), Zayats (2012), Gashchin (2021), Koverznev and Koverzneva (2016), and Tkachenko (2013). Type of responsibility

The most characteristic features public-law nature; occurs for violation of financial legislation; application of measures of financial and legal coercion, the external form of expression of which are financial and legal sanctions; the subjects are the offender and the state represented by the competent authorities the legal form of criminal liability is a court conviction; entails the application of a specific measure of criminal law influence provided by the law on criminal liability; occurs for violation of criminal law grounds for the occurrence-administrative offense; has a public state-binding character; manifested in the imposition of certain types of administrative penalties on violators; the subject composition is characterized by relations of subordination compensatory nature; aimed at the property of the offender and does not affect his status; occurs only for violation of civil rights and obligations grounds for occurrence – international offense, the presence of international legal regulations; Occurs as a result of illegal behavior (noncompliance by state bodies with its international obligations, which manifests itself in violation of the rights of other states, international organizations, individuals, or legal entities) provided by the coercive force of the state ; availability of special sanctions (for example, early reform or disbandment of the controlled body); most of its manifestations take place in the political and legal sphere of society; the legal grounds for its occurrence are contained in the constitutional legislation; the onset of consequences for its subjects is aimed primarily at protecting the constitution, constitutional order, fundamental rights, and freedoms of man and citizen

Financial

Criminal

Administrative

Civil-legal

International-legal

Constitutional

To ensure the most complete disclosure of the research topic, it is advisable to determine the essence of digital payment systems and cryptocurrency. At the international level, the payment system is interpreted as a tool or set of procedures that allow the transfer of funds from the payer to the

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payee (European Central Bank) (Kokkola, 2010), a set of payment instruments, banking procedures, and, as a rule, interbank funds transfer systems. provides money circulation (Committee on Payment and Settlement Systems of the Bank for International Settlements) (Law 4/26, 2013).

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There is a large number of opinions in the scientific literature on the essence of payment systems. Vovchak, Shpargalo, and Andriykiv (2008) gives the following definition of the payment system: a set of payment instruments, banking procedures, and, as a rule, interbank money transfer systems, the combination of which provides money circulation together with institutional and organizational rules and procedures governing the use of these instruments and mechanisms. Usoskin, Belousova, and Spindler reduce the essence of the payment system to a set of specific tools that serve the efficient functioning of the country's economy (Spindler, & Summers, 1994; Usoskin, & Belousova, 2010). With the development of Internet technologies and a wide range of subjects of its use, electronic (digital) payment systems are emerging. Among them, it is possible to single out the most famous:      

E-Gold; PayPal; PayCash; WebMoney; CyberPlat; Systems that use Smart-card (Mondex and VisaCash).

The functions of electronic payment systems are as follows (Pyrih, 2008):     

the ability to open and maintain virtual customer accounts; the client's ability to withdraw funds from the payment system in cash; transactions between customer accounts, storage of transaction data; ensuring the protection of customer information and account security; advisory customer support, etc.

Electronic payment systems are based on a new form of money – the so-called "electronic money", which is a monetary value that is stored electronically on a technical device and can be used to make payments. Cryptocurrency is a type of digital money that uses distributed networks and publicly available transaction logs, and the key ideas of cryptography are combined with a monetary system to create a secure, anonymous, and potentially stable virtual currency (Popov, 2017). Legal regulation of cryptocurrencies in different countries is not the same, which can be explained

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by a relatively new phenomenon for payment systems. In the United States, some bodies regulate and control cryptocurrency activities: the Financial Crimes Enforcement Network – manages all issues except tax. It is this body that issues licenses for cryptocurrency transfer activities; the US Internal Revenue Service - regulates taxation (Eurasian Commission, 2017). Cryptocurrency in the UK is currently still considered a unique combination of numbers, which is the result of complex mathematical calculations and algorithms. Therefore, cryptocurrencies do not fall under the financial legislation of the United Kingdom. However, Her Majesty's Revenue and Customs (HMRC) defines cryptocurrencies as assets or private money. Moreover, HMRC may levy several types of taxes on transactions involving cryptocurrencies (Perma.cc, 2018). Moreover, cryptocurrency is not yet used in any way in Russian law. The country has been found to be illegal, but there are some precedents where the use of cryptocurrency is seen by law enforcement as an illegal legalization activity (CryptoMagic, 2018). In 2013, in Denmark, the Financial Supervision Authority (FSA) stated in an official statement that such a cryptocurrency as bitcoin is not recognized as a currency and, in this case, there is no need for its legal regulation (Golubeva, 2017). India wants to ban cryptocurrency ownership and trading at the legislative level. Such actions are subject to criminal liability (Kunytskiy, 2021). In China, bitcoin is considered a commodity, not a currency. Bitcoin transactions are prohibited for banks but allowed for individuals (Golubeva, 2017). Uncertainty of the legal status of cryptocurrency in the legislation of many countries makes it impossible to protect it from the state and establish responsibility for the relevant offenses. In the specialized literature, there are methods of protection of the rights of users and owners of the payment system (Yushchenko, Savchenko, Tsokol, Novak, & Strakharchuk, 1998); Tchaikovsky, 2006). Thus, it is possible to single out the following:

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192 

legal – measures that regulate the functioning of payment systems and establish liability for their violation; moral and ethical measures – norms of behavior of participants of calculations and service personnel; administrative measures – measures of an organizational nature, which regulate in detail the process of functioning of the payment information processing system, the use of its resources, staff activities, etc.; physical measures – protection and bypass mode of buildings in which the central computer equipment is located; protection of payment system key generation and certification centers; physical protection of payment system service personnel and creation of safe working conditions.

Investigation (FBI) a key role in combating cyber threats (Lapta, 2017).

Illegal seizure of cryptocurrency in the way of hacking cryptocurrency exchanges and hacking attacks on cryptocurrency wallets is a cybercrime (Koziy, 2018).

The shortcomings of the system for combating digital payment systems and cryptocurrencies in the EU member states are the lack of a single European system for responding to cyberattacks, differences in cybersecurity standards in different countries, low level of information exchange on cyber incidents between member states, etc. (Petrovsky, & Livchuk, 2019).

 



The United States is considered one of the most computerized countries in the world. Accordingly, the development of information technology has also contributed to the emergence of cybercrime. Crimes related to cryptocurrency include a hacker attack on the Bitfinex exchange in the summer of 2016, which resulted in the theft of 119,756 bitcoins from customer accounts, which at that time amounted to about 70 million US dollars, as well as hacking in June 2018 cryptocurrency exchange in South Korea, Bithumb, which stole $ 32 million in cryptocurrencies. In 1979, the United States passed the Protection of Computer Systems Act, which established liability for entering intentionally incorrect data into a computer system, illegal use of computer equipment, making changes to the process of information processing or violation of these processes, theft of funds, papers, services, property, valuable information, conducting using computer technology or computer information. An improved act in the form of § 1030 in Title 18 of the U.S. Code is currently in force. Thus, according to this act, criminal liability is provided for trade in stolen or counterfeit means of access that can be used to obtain money, goods, or services (Law 4/26, 2013). To combat such offenses in the United States in 2016 adopted the National Cybercrime Plan and Presidential Policy Directive-41 (PPD-41), which defines the Federal Bureau of

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As for the European Union, the EU Cyber Security Strategy was adopted in 2013, covering various aspects of cyberspace, including the internal market, justice, domestic and foreign policy. Moreover, it is worth to note the problem of corruption in this sphere. To prevent this problem, UN Convention against Corruption (United Nations, 2003) was adopted in New York on October 31, 2003. It establishes the necessary international legal framework to combat corruption offenses, in particular, identifies vectors of theoretical and practical developments in combating corruption (Kolomoiets, Tkalych, Melnyk, Panchenko, & Tolmachevska, 2021).

In 2015, France adopted a National Information Security Strategy. It aims to support the transition of French society to digital technologies and to address the new challenges posed by the changing use of digital technologies and the threats posed by them. It identifies five areas of work: ensuring state sovereignty; effective response to malicious actions in computer systems and networks; informing the general public; transformation of information security into a competitive advantage of French enterprises; increasing the influence of France in the international arena (Bilobrov, 2020). In 2008, the two special services of the Central Directorate of General Intelligence and the Directorate of Territorial Surveillance were merged. As a result of their unification, the Central Directorate of Internal Intelligence was created, one of the functions of which is the fight against cybercrime (Orlov, & Onishchenko, 2014; Shulga, 2013). In the United Kingdom, the Organized Crime Agency has been set up to fight cybercrime, which includes the Cybercrime Unit. It should be noted that offenses related to the misuse of computer technology are punishable in the UK, imprisonment for a term of 10 years (Orlov, & Onishchenko, 2014).

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In Germany, the fight against cybercrime is carried out by the Federal Criminal Police, as well as the National Center for Cyber Defense, which is responsible for the timely detection and prevention of hacker attacks (İCT NEWS, 2011). If we talk about cryptocurrency as an object of civil rights, liability for offenses related to its operation can be considered by analogy with the mutual liability of the bank and the depositor. Civil liability arises in case of late crediting to the account of funds received by the client, their unreasonable write-off by the bank from the client's account or violation by the bank of the client's order to transfer funds from his account, the bank must immediately after detecting the violation credit the appropriate amount to the client's account or the appropriate recipient, pay interest and reimburse damages, unless otherwise provided by law (Article 1073 of the Civil Code of Ukraine Law No. 435-IV, 2003)). Therefore, it is a question of full responsibility for the commission by the bank of the specified infringements. However, it should be noted, that the legislation contains rules that indicate that, in some cases, the principle of full responsibility does not apply. Given the above types of legal liability, it should be noted that such types as constitutional, administrative, international, financial liability are not used in the legislation of foreign countries. Criminal liability as the most severe type of punishment in retrospect corresponds to the consequences of the offense in the field of payment systems and cryptocurrency, which is applied, in particular, in countries such as the United States, France, Britain, and Germany. Conclusions According to the results of the study, it is possible to draw the following conclusions: 

Offenses in the field of digital payment systems and cryptocurrencies should be classified as cybercrime. According to the theoretical analysis of legal liability in general and its practical side, which is manifested in the onset of criminal liability for violations in the field of digital payment systems and cryptocurrency, countries such as the United States, Britain, France, and Germany have a system for combating cybercrime has been created, which consists in the functioning of specialized bodies: the Federal Criminal Police and the National

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

Center for Cyber Defense (Germany); the Cybercrime Unit of the Organized Crime Agency (UK); General Directorate of Internal Intelligence (France); Federal Bureau of Investigation, Financial Crimes Enforcement Network (USA); by analyzing the legal regulation of cryptocurrency in the United States, China, Russia, India, Denmark, Great Britain revealed the uncertain legal status of cryptocurrency, which makes it impossible to unify the international experience of liability in this area. security measures for users and owners of payment systems were identified: legal, administrative, moral-ethical, and physical.

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2.8$%3C.%3E%29&Z21ID=&S21SRW=dz&S 21SRD=DOWN&S21STN=1&S21REF=10&S2 1CNR=20 Orlov, O.V., & Onishchenko, Yu. M. (2014). Generalization of the international experience of creating a state system of prevention and prevention of crimes on the Internet. Theory and practice of public administration, 2, 212-219. Recovered from http://nbuv.gov.ua/UJRN/Tpdu_2014_2_32 Perma.cc. (2018). Advarsel mod virtuelle valutaer (bitcoin m.fl.). Recovered from https://archive.org/details/perma_cc_UZ2EG7S7 Petrovsky, O.M., & Livchuk, S.Yu. (2019). Problems of combating cybercrime: international experience and Ukrainian realities. A young scientist, 12(1), 55–59. Popov, V. (2017). What is a "cryptocurrency"? Radio Svoboda. Recovered from https://www.radiosvoboda.org/a/details/287422 78.html Pyrih, S.O. (2008). Payment systems. Kyiv: Center for Educational Literature. Recovered from https://www.studmed.ru/pirg-so-platzhnsistemi_305a094.html Rabinovich, P.M. (2007). Fundamentals of the general theory of law and the state. Lviv: Krai. Recovered from https://lvivpravo.at.ua/_ld/3/312__.-2007_____-2.pdf Romanyuk, Y. (2019). Financial responsibility as a category of financial law. Entrepreneurship, economy and law, 2, 231-235. Recovered from http://pgpjournal.kiev.ua/archive/2019/12/44.pdf Serdyuk, I.A. (2010). Fundamentals of the theory of law enforcement relations. Dnepropetrovsk: Lira LTD. Serdyuk, I.A. (2011). Methodological analysis of modern interpretations of the concept of "legal responsibility". Bulletin of the Ministry of Justice of Ukraine, 1, 30-35. Recovered from http://nbuv.gov.ua/UJRN/bmju_2011_1_6 Shemelynets, I.I. (2017). On the question of classification of types of legal liability. Transcarpathian legal readings. Irpin: Dumka.

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Recovered from https://dspace.uzhnu.edu.ua/jspui/handle/lib/134 19 Shulga, M.V. (2013). Features of legal responsibility in land law. Kharkiv: National Academy of Sciences of Ukraine. Recovered from https://dspace.nlu.edu.ua/handle/123456789/720 0 Skakun, O.F. (2001). Theory of State and Law. Kharkiv: Consum. Recovered from http://www.dut.edu.ua/uploads/l_948_39072050 .pdf Spindler, J.E., & Summers, B.D. (1994). The Central Bank and the Payment System. The Payment System: Structure, Governance, and Control of the IMF. Washington: Lei. Tchaikovsky, J.I. (2006). Payment systems. Ternopil: Carte Blanche. Tkachenko, Yu. V. (2013). Features of constitutional and legal responsibility Law Forum, 3, 652-656. Recovered from https://dspace.nlu.edu.ua/bitstream/123456789/5 151/1/Tkachenko.pdf United Nations. (2003). Convention against Corruption. Retrieved from https://www.unodc.org/unodc/en/treaties/CAC/. Usoskin, V.M., & Belousova, V.Yu. (2010). World trends and development of payment systems. Money and Credit, 11, 39-48. Recovered from https://www.imemo.ru/publications/info/globaltrends-payment-systems-development Vovchak, O.D., Shpargalo, G.E., & Andriykiv, T. Ya. (2008). Payment systems. Kyiv: Knowledge. Yushchenko, V.A., Savchenko, A.S., Tsokol, S.L., Novak, I.M., & Strakharchuk, V.P. (1998). Payment systems. Кyiv: Lybid. Zayats, R. Ya. (2012). The concept and signs of administrative responsibility. Scientific notes of Lviv University of Business and Law, 8, 17-20 Recovered from http://nbuv.gov.ua/UJRN/Nzlubp_2012_8_6 Zaychuk, O.V., & Onishchenko, N.M. (Eds.). (2008). General theory of state and law. Kyiv: Jurinkom Inter.

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DOI: https://doi.org/10.34069/AI/2021.42.06.18 How to Cite: Pryimachenko, D., Ivanskyy, A., Lipynskyi, V., Matvieiev, O., & Povoroznik, A. (2021). Counteracting illegal border crossing and human trafficking: comparative analysis. Amazonia Investiga, 10(42), 196-205. https://doi.org/10.34069/AI/2021.42.06.18

Counteracting illegal border crossing and human trafficking: comparative analysis Протидія незаконному перетину кордону та торгівлі людьми: порівняльне дослідження Received: May 29, 2021

Accepted: July 12, 2021

Written by: Dmytro Pryimachenko80 https://orcid.org/0000-0001-8504-2450 Andriy Ivanskyy81 https://orcid.org/0000-0003-3500-7870 Vladyslav Lipynskyi82 https://orcid.org/0000-0002-4373-3330 Oleksii Matvieiev83 https://orcid.org/0000-0002-1725-6489 Artem Povoroznik84 https://orcid.org/0000-0002-2286-8033 Abstract

Aннотація

Freedom of expression, personal integrity, respect for honor and dignity, the right to an adequate standard of living, living conditions, and health care are among the fundamental human rights in the civilized world. Ignoring these opportunities in such criminal activities as human trafficking is an unacceptable phenomenon for today's reality. Yet, it exists. It is a challenge for researchers in various humanities, for policy- and decision-makers to create a system of effective counteraction to the violation of the inviolability of state borders and the fight against human trafficking. In this study, we focused on the relationship between the illegal border crossing and the analysis of the phenomenon of trafficking in persons, as well as their comparative characteristics and legislation to combat these phenomena. The subject of the study is public relations regarding illegal border crossing and human trafficking. Research methods are general scientific and special scientific methods, in

Свобода волевиявлення, особиста недоторканність, повага до честі й гідності, право на достатній рівень життя, умов проживання та охорони здоров'я є одними з фундаментальних прав людини в цивілізованому світі. Ігнорування цих можливостей при такій злочинній діяльності як торгівля людьми є неприпустимим явищем для реалій сучасності. І тим не менше, воно існує. Для дослідників різних гуманітарних дисциплін, for policy- and decision-makers є викликом створення системи ефективної протидії порушення недоторканності державних кордонів та боротьби з торгівлею людьми. У цьому дослідженні ми зосередили свою увагу на взаємозв’язку незаконного перетину кордонів та аналізі явища торгівлі людьми, а також їх порівняльній характеристиці і актах законодавства стосовно протидії цим явищам. Предметом дослідження є суспільні відносини щодо нелегального перетину кордону та торгівлі

Doctor of Law, Professor, Vice rector of scientific work, University of Customs Service and Finance, Ukraine. Doctor of Law, Professor, Honored Jurist of Ukraine, Main scientist researcher of the Scientific research Institute of informatics and law of the NALS of Ukraine, Ukraine. 82 Ph.D., Associate Professor, Head of the Educational and Scientific Institute of law and international legal relations of the University of Customs and Finance Ukraine, Ukraine. 83 Head of Aggressive Action Department of the Main Operational and Search Department of the Odessa Border Detachment, Lieutenant Colonel Ukraine, Ukraine. 84 Master of law, Chief of the subdivision of the state border guard service of Ukraine, Southern regional directorate, Odessa Border guard detachment, Separated check point Odessa Ukraine, Ukraine. 81

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particular, systemic, historical, comparative, and statistical. The study characterized the genesis of international regulation of combating trafficking in persons; found commonalities and differences between the phenomena of illegal border crossing and trafficking in persons; described the signs of trafficking in persons, particularly, as a crime; provided relevant legislation regarding illegal border crossing and human trafficking. Keywords: human trafficking, counteracting trafficking in persons, illegal migration, illegal border crossing, human rights.

людьми. Методами дослідження є загальні наукові та спеціальні наукові методи, зокрема, системний, історичний, порівняльний та статистичний. У результаті дослідження було охарактеризовано генезу міжнародного регулювання протидії торгівлі людьми, знайдено спільні та відмінні риси між явищами нелегального перетину кордону та торгівлі людьми, наведена характеристика ознак торгівлі людьми, зокрема, цього явища як кримінального правопорушення. Ключові слова: торгівля людьми, протидія торгівлі людьми, нелегальна міграція, незаконний перетин кордону, права людини.

Introduction Unfortunately, forced movement of people across borders is not a new phenomenon, but the technological tricks used to conceal human trafficking and the illicit benefits of human exploitation make us wonder whether we are doing enough to address this issue (Belser, 2005; Feingold, 2005). When establishing restrictions on movement, determining the order of work, treatment, first of all, the collective interest is taken into account, the imperative method of legal regulation is applied, and the principles of public law are applied (Kharytonov, Kharytonova, Kolodin, & Tkalych, 2020). The very concept of human trafficking did not appear surprisingly. For example, the International Congress against Trafficking in Women, which took place in London in 1899, officially declared the existence of a serious problem of human trafficking on a global scale (Limoncelli, 2010; Attwood, 2015, 2016; Lammasniemi, 2017; Panichevska, 2017). At the same time, guided by moral and ethical principles and ideals, the National Vigilance Association (NVA) began to play an important role in lobbying and further enforcing antislavery laws in England and Europe. Additionally, the International Bureau for the Suppression of the White Slave Traffic (the International Bureau) participated in the development of international agreements against white slavery, namely the Agreement for the Suppression of the White Slave Traffic in 1904 and the International Convention for the Suppression of the White Slave Traffic in 1910. In 1899, the London Conference of the International Bureau resulted in the development of international treaties. At that time, the International Bureau was campaigning for progressive reforms and engaging with government institutions. A resolution of the

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International Congress held in 1899, chaired by the International Bureau and headed mostly by men, proposed a draft international agreement criminalizing human trafficking. In this regard, it also proposed measures to control borders and ports. At that time, England was the main hub of trade to the west. It was home to the main passenger ports of Hull, London, Southampton, and Liverpool. In these places, women could be recruited for sexual exploitation, brothel work, prostitution, etc. (Bartley, 2000; Laite, 2012). Much of this trafficking took place in London's East End, home to most Eastern European Jews, who at the time had the status of the largest group of migrants in the country. Cities like Manchester, Liverpool, and Leeds also trafficked people as they hosted a large number of migrants. Influenced by these processes, human rights groups emerged in England. One of them was the aforementioned NVA and the other was called to oversee the Jewish sector of anti-trafficking at home and abroad through the Gentlemen's Committee, which was part of the International Bureau (Attwood, 2016). Following the establishment of the United Nations, the Convention for the Suppression of the Traffic in Persons was adopted in 1949 (Lukach, 2015, 2016). Despite its shortcomings, it has played a leading role in the international anti-trafficking regulation for a long time. Thus, there was a need for a new list of rules that would consider previous mistakes and respond to current challenges. The adoption of the Protocol to Prevent and Suppress Trafficking in Persons, Especially Women and Children (United Nations, 2000b) (also known as the Palermo Protocol), which supplemented the United Nations Convention against Transnational Organized Crime, is considered to be the beginning of modern regulation against human

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198 trafficking. It was adopted and opened for signature, ratification, and accession by General Assembly resolution 55/25 on November 15, 2000 (Heinrich, 2010; Scarpa, 2010). Currently, this document is the most comprehensive international legal act regarding the fight against human trafficking. As for the data, more than 230,000 Ukrainians have been trafficked since 1991 according to the International Organization for Migration (IOM). Unfortunately, it is one of the highest rates of modern-day slavery victims’ origin in Europe (Official Website of the International Organization of Migration in Ukraine, 2021). Since 2000, more than 15,000 Ukrainians have applied to non-governmental organizations involved in the protection and assistance to victims of trafficking (Official Website of the Ministry of Education and Science of Ukraine, 2021). During 2000-2018, more than 15,300 victims of trafficking received assistance from IOM. 86% of those who turned to IOM for help in 2018, experienced human rights violations and labor exploitation in construction, industrial production, and agriculture. Characteristically, the perpetrators hardly used advertisements in newspapers, on the street, and through employment agencies to recruit victims of human trafficking. Recruitment occurred mainly at the place of residence through personal contact (76%) and the Internet (8%) (according to IOM statistics for 2018) (Mydlovets, 2019). According to the Ministry of Social Policy of Ukraine, in 2019, 185 citizens were officially recognized and registered as victims of human trafficking. Among them: 53 women, 119 men, and 13 children (3 boys and 10 girls). During this period, 65 people suffered from human trafficking in Ukraine, 120 people – from human trafficking abroad. 85 people suffered from labor exploitation, 40 people were involved in criminal activities, 37 people suffered from sexual exploitation, 17 people were used in armed conflicts, 3 people were used in pornography, 1 person was involved in begging, 1 person was a victim of mixed exploitation (labor and sexual exploitation), 1 child was trafficked to third parties. The aim of the study was to analyze and characterize the relationship between the illegal border crossing and human trafficking, as well as the legal framework for combating these phenomena. Given the above, as well as taking into account the scale, severity, the moral, ethical, and social content of the problem, in this study we examine

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the relationship between the illegal border crossing and the main signs of human trafficking as well as the legal norms to combat them. Theoretical Framework or Literature Review Over the past two decades, researchers have developed the necessary theoretical basis for analyzing the phenomenon of human trafficking. This problem is developed in the framework of various humanities such as political science, social theory, jurisprudence, economic theory, etc. There are thorough humanitarian studies in the field of human rights as well as international public and criminal law. For example, Feingold (2005) explored common myths about human trafficking in his report. The author concludes that simple solutions such as deporting victims or suggesting that poverty is the only reason of trafficking is not enough to combat it effectively. Borders tightening neither can help the issue. Thus, on the basis of analytical materials of international organizations and the scientific evidences, the author calls to consider a new complex framework on combating human trafficking rather than operating towards fast and simple decisions. Furthermore, Lukach (2015) analyzed the conceptual foundations of combating human trafficking in Ukraine in her article. From her standpoint, the regulation considering human trafficking should improve in the following aspects: 1) improving the mechanisms of legal influence and the work of law enforcement agencies; 2) paying attention to the legal status of persons and providing support to risk groups; 3) conducting educational work among the people, and; 4) protection and assistance to the victims of human trafficking. In her Ph.D. thesis, the author developed these ideas by exploring the institutional mechanisms of counteracting the global problem of the modern slave trade (Lukach, 2016). Finally, Lammasniemi (2017) reviewed the historical experience of developing legislation to combat trafficking in persons. For example, she pays special attention to the genesis of English laws on combating trafficking in women. Methodology For this study, we used general scientific and special scientific methods such as systemic, historical, comparative, and statistical.

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The systemic method presented such a complex phenomenon as human trafficking in the set of its interrelated features and forms of manifestation. In particular, it was demonstrated what constitutes trafficking in persons in political, socio-economic, and legal dimensions with their complementarity. Thus, to understand human trafficking as a system, it is necessary to explore it as a set of social relations at different levels of manifestation, in which a mandatory element is violence against victims of carriers and/or exploiters. The systemic method helps to determine how human trafficking occurs, what is related to it, what factors affect its intensity, what reasons it, etc. Using the systemic method, we can analyze the network of entities involved in trafficking. As an example, it can be the relationship between the recruiter, carrier, and exploiter (operator/recipient/beneficiary), the role of other entities in this chain, for example, corrupt locals or law enforcement agencies, third parties, etc. Moreover, the systemic method is useful for the study of the factors that influence the phenomenon of trafficking. Additionally, these factors must be investigated in their entirety and mutual influence on each other. We also used a systemic method to demonstrate how the antitrafficking regulation is organized. With its help, we pointed out that this regulation is characterized by a system of measures to prevent, counteract, and to protect and assist victims of trafficking.

discrepancy is that human trafficking is not always carried out through cross-border transport, which can be legal or illegal. In contrast, it is an entirely illegal phenomenon in the case of illegal border crossing. Moreover, illegal border crossing and human trafficking are different types of crime. Their objects of encroachment do not coincide since the object of the crime of illegal crossing of the state border is the state interest in terms of public order and migration rules (for example, the principle of inviolability of state border). The object of human trafficking is a specific person – its will, body or parts thereof, its health, honor and dignity, the ability to work. Thus, a common feature remains the objective side of these criminal offenses, which can manifest itself in the form of crossing the state border. We used the statistical method to demonstrate the manifestation of trafficking in persons among the population of different social groups of Ukraine. In particular, statistics are contained in the introductory part of the study. In addition, we point out the importance of statistics on human trafficking, the complexity of its collection and processing. For example, the figures can indicate which type of exploitation is prevailing (labor exploitation), whether the intensity of trafficking increases over a set period, what the gender division of trafficking is, etc. Results and Discussion

We used the historical method to demonstrate the genesis of the legal regulation of combating trafficking in persons. In the introduction, we describe how human rights organizations for the victims of trafficking were born in England. They lobbied for the interests of victims and campaigned for progressive reforms to ban white slavery. The results of their activity were reflected in the further development of international legal instruments to combat trafficking in persons. It acquired modern features of unified legislation after the creation of the United Nations and the approval of relevant conventions culminating in the adoption of the Palermo Protocol in 2000 (United Nations, 2000b), which is currently the main international legal act to combat trafficking in persons. We used the comparative method to figure out the differences and commonalities between the phenomena of illegal border crossing (transportation of persons across the state border) and human trafficking. In particular, we presented in the main part of the study that border crossing is often only part of a complex phenomenon of human trafficking. A significant

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What is the relation between illegal border crossing and human trafficking? According to Lukach (2016), there is a difference between illegal border crossing and human trafficking. They differ in several criteria, including the presence of consent, the fact of crossing the border, the nature of the client relationship between victims and perpetrators/carriers, the use of violence, the object of the crime, and its consequences. For example, illegal migration occurs with full or conditional consent and there is always the fact of illegal border crossing. Additionally, customer relationships arise between the carrier and the illegal migrant. Under such conditions, illegal migration is a violation of migration laws and regulations, but it is not a violent crime. Accordingly, it harms the national public interests and the legal order of the state. In regard of illegal migration, a person has a greater degree of freedom than a victim of trafficking, because migrants can act at their discretion. Their freedom is not limited by coercion or violence by the exploiter. In contrast, there is no room for

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200 informed consent when human trafficking takes place as the consent to sell oneself into slavery contradicts the basic principles of law, in particular, the invalidity of a transaction to alienate one's fundamental rights. There are additional factors such as manipulation, deception, fraud, psychological and physical or other coercion, which deny the informed consent of a person if one becomes a victim of trafficking. Crossing the border is not necessarily part of human trafficking as it can take place within the country. At the same time, crossing the state border can be both legal and illegal. Customer relations are formed between the "supplier" of the "product" and the exploiter. The ultimate goal of their relationship is to put the victim into operation. Human trafficking is a violent crime as violence accompanies this crime in various forms to force the victims to obey. The victim of this crime is a specific person. Its basic rights and freedoms are grossly violated, in particular, the rights to free movement and freedom of expression are restricted; the rights to a sufficient standard of living, living conditions, and health care are violated; there is a disrespect for its honor and dignity, etc. As a result, victims get in a subjugated position, which negatively affects their physical and mental health (Tsutsumi et al., 2008; Oram et al., 2012; Richards, 2014). What are the characteristics of human trafficking? Bales, Trodd & Williamson (2011) point out the signs of the modern slave trade. According to their book, modern human trafficking is a globalized process. It is an illegal activity. It is short-termed compared to the past. At the same time, the ethnic character of the victims is not important nowadays. The "market price" for the exploitation of human resources is insignificant. It also brings high profits and is short-lived compared to how long slaves were in master’s possession in the past. According to Feingold (2005), there is a set of common misunderstandings in the public discourse regarding human trafficking. For example, the author questions the thesis that most victims of trafficking fall into sexual exploitation. He points out that labour trafficking is more common. In this sense, the argument is that the labour market is much larger and more dynamic than the sex market. It is also not to be expected that statistics clearly and reliably reflect the facts about the "end-use" of illegal labour. For example, Thai trafficking statistics did not consider men as victims of this crime. Additionally, a 2005 International Labour

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Organization (International Labour Organization, 2005) study found that of the approximately 9.5 million victims of forced labor in Asia, less than 10% were trafficked for sexual exploitation (Belser, 2005; Feingold, 2005; Laczko & Gozdziak, 2005; Danailova-Trainor & Belser, 2006; Rafferty, 2007). According to this data, less than half of human trafficking worldwide accounted for sexual slavery. As Feingold (2005) points out, the legalization of prostitution can help in this regard only if a system of implementation of such reforms is provided, i.e., its proper enforcement, because blind faith in legalization and hopes that everything will be resolved on its own is not enough. Feingold (2005) continues that the authorities' efforts to strengthen border controls only exacerbate negative trends, as this leads to an increase in the demand for illegal traffic, which then has dire consequences for victims of various types of illegal exploitation. In the process of such travel, dependence on the carrier increases, which is an additional risk factor for becoming a victim of trafficking. Feingold (2005) indicates that it is possible to become a victim of trafficking in childhood or by being kidnapped. Although, it usually happens during travel and illegal border crossing. The profile of a typical trafficker is not definite. It can be truck drivers, locals, corrupt police officers. It is a small criminal activity rather than big criminal syndicates specialized in human trafficking. If large organized groups operate in this area, then this is not the main part of their business. According to Feingold (2005), the intensification of the prosecution of traffickers does not bring the desired effect since criminals are at the regional level, so another trafficker in the transportation chain easily takes the place of the convicted subject. Another myth is the expansion of sanctions, for example, in their international dimension. In this respect, the principle of encouragement applies, as strengthening sanctions against countries that do not respect human rights at all is counterproductive. In contrast, encouraging countries that work to combat human trafficking can yield positive results. In this regard, the declarative strengthening of sanctions in the absence of mechanisms for their implementation is also criticized. Feingold (2005) points out that it is not always effective to repatriate victims of trafficking, as they may again be at risk from those involved in their abuse. In this aspect, it is important to provide victims with a legal status, which they often do not have from birth (lack of legal status due to lack of legally registered birth, lack of citizenship). In conclusion, Feingold (2005) notes that poverty combined with horrific

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migration policies does not always lead to transnational trafficking, as this crime can take place within a country. For example, in China, Brazil, and Côte d'Ivoire, where cheap labor is valued in gold mines of Amazon (Brazil), cocoa harvesting plantations (Côte d'Ivoire), or forced marriage (China) (Lim, 1998; Laczko & Gozdziak, 2005). The phenomenon of human trafficking is complex. It may include various types of criminal activity. For example, when buyers receive the attributes of ownership on the person as their "thing". It occurs also when a person is sold for exploitation in customary slavery. Another example is the sale of a child for illegal adoption or the use of the embryo or human fetus for any gain. Alternatively, it can be trafficking in persons for illegal removal of their organs, etc. (Levchenko, Kovalchuk, Udalova et al., 2011). Trafficking offenses are complex and multifaceted. It is not easy to solve them. Additionaly, surveillance tools require a systematic and comprehensive approach and interaction between different parts of law enforcement agencies. In this regard, operational and investigative activities carried out by border control authorities play a significant role (Biletsky, 2013). Nevertheless, one of the biggest problems remains the collection and analysis of reliable data on the phenomenon of human trafficking to expose criminals (Migration Data Portal, 2021). There are several stages of trafficking in persons. The first is establishing control over a person by recruiting and/or kidnapping. In the second stage, a person is transferred to the place/country of destination. It is followed by the transfer to the exploiter and further exploitation (Koots & Orlean, 2007). Among the international institutions combating human trafficking are the following: the UN, Interpol, the Council of Europe, the OSCE, the EU. This rank also includes numerous nongovernmental organizations. State governments, represented by relevant ministries and law enforcement agencies, are also involved in this fight (Lukach, 2015). Covering all regions and most countries, trafficking in persons is becoming transboundary. For example, there are some national legal systems in the European Union, and such diversity often causes problems when litigation transcends national borders. There are provisions on criminal liability for trafficking in

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persons in the criminal codes of most EU member states. Although, there are differences at the national level since national definitions may differ significantly both in terms of consent and border crossing. More and more EU countries are enacting specific provisions on assistance and protection for victims of trafficking. It allows them to stay (temporarily) in those countries and have access to refuge, medical, social, psychological, legal, or financial assistance. Some countries, such as Austria, Cyprus, the Netherlands, Germany, Lithuania, and Poland, have identified trafficking as a separate crime but limited it to prostitution or sexual exploitation (Lukach, 2016). The laws of most European countries, including the EU Member States, concerning prostitution (except for the Netherlands) are based on a prohibition model. Its main feature is that prostitution itself is not considered a crime, although criminal liability is provided for any "exploitation related to prostitution", which means the involvement of third parties. Recruitment for prostitution, aiding, abetting, pimping, brothel maintenance are prohibited. Norms of the national legislation of Ukraine on illegal border crossing and counteracting trafficking in persons The penalties for illegal border crossing are provided by Art. 332 of the Criminal Code (Law No. 2341-III, 2001) (“Illegal transfer of persons across the state border of Ukraine”). According to that norm, this crime means the organization of illegal transportation of persons across the state border of Ukraine, management of such actions or assistance in their commission by advice, instructions, provision of means, or elimination of obstacles. In contrast, under the provisions of Art. 149 of the Criminal Code (Law No. 2341-III, 2001), trafficking in person is prohibited, as well as recruitment, transfer, concealment, or receipt of a person committed for exploitation and with the use of coercion, abduction, deception, blackmailing, abuse of material, or other dependence of the victim, or its vulnerable condition, or bribery of a third party who controls the victim to obtain consent to exploitation. The note to the article explains what should be understood by exploitation of a person. Under the note, it includes all forms of sexual exploitation, porn business involvement, forced labor or forced provision of services, slavery or customs similar to slavery, enslavement, debt bondage, organ harvesting, human experiments without consent, adoption for profit, forced pregnancy or forced termination of pregnancy, forced marriage, forced beggarism involvement,

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202 involvement in criminal activity, involvement in armed conflicts, etc. The vulnerable condition is a condition of a person due to physical or mental properties or external circumstances, which deprives or limits the ability to realize actions (inaction) or manage them, make independent decisions, resist violent or other illegal actions, as well as the coincidence of difficult personal, family or other circumstances. Responsibility for recruiting, moving, hiding, transferring, or receiving a minor under Art. 149 of the Criminal Code (Law No. 2341-III, 2001) occurs regardless of whether such actions were committed with the use of coercion, abduction, deception, blackmailing, or vulnerability of the person or with the use or threat of violence, abuse of power, or committed by person on whom the victim was materially or otherwise dependent, or bribing a third party who controls the victim to obtain consent to exploitation. As follows from the comparison of the norms of Art. 332 and Art. 149 of the Criminal Code of Ukraine (Law No. 2341III, 2001), the main similarity between them is the manner of committing a criminal offense, which may be the movement of a person across the state border, as well as related organizational measures. However, trafficking in persons is not always carried out through cross-border movements. The Law of Ukraine Law No. 3739-VI (2001) deals with such concepts as "combating trafficking in persons", "counteracting trafficking in persons", and "prevention of trafficking in persons" (Art. 1). According to this document, the fight against human trafficking means a system of measures taken in the framework of combating trafficking in persons. These measures are aimed at detecting the crime of trafficking in persons, in particular, if it is unfinished, as well as identifying the victims. The objectives also include identifying and prosecuting individuals and/or legal entities involved in trafficking. The prevention of human trafficking is a system of measures aimed at identifying and eliminating the causes and conditions that lead to trafficking in persons. Counteracting human trafficking means a system of measures aimed at overcoming trafficking in persons and providing assistance and protection to the victims. The law defines the concept of trafficking in persons as the conclusion of an illegal agreement involving a person as an object, as well as the recruitment, transfer, concealment, or receipt of a person, with the use of deception, fraud, blackmailing, vulnerable condition of a person, or with the use or threat of violence, abuse of power, material or other dependence of a person, which is recognized as a crime under

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Art. 149 of the Criminal Code of Ukraine (Law No. 2341-III, 2001). The basic ideas on which the fight against human trafficking is based include ensuring human rights and freedoms, respect and tolerance for victims, the confidentiality of their personal data, voluntary assistance to victims and their non-discrimination, cooperation between authorities and law enforcement agencies, as well as public and international organizations (Art. 3.1 of the Law No. 3739-VI (2001)). If victims of trafficking or witnesses of trafficking are children, all actions applied to them are based on the principles set out in the Convention on the Rights of the Child (United Nations, 1989) and the Optional Protocol to the Convention on the Rights of the Child on the Sale of Children, Child Prostitution, and Child Pornography (Convention) (United Nations, 2000a) (Art. 3.2 of the Law of Ukraine No. 3739-VI (2001)). According to Art. 35 of this Convention, States Parties shall take all necessary measures at the national, bilateral, and multilateral levels to prevent the abduction of children, trafficking in children, or their smuggling for any purpose and in any form. Article 10 of the Optional Protocol (United Nations, 2000a) expands the provisions of Art. 35 of the Convention. If the age of a person is not determined and there are grounds to believe that this person is a child, it is considered so and the special protection is provided until the age is established (Art. 3.3 of the Law 3739-VI (2001)). The development and implementation of policies in the field of combating trafficking in persons belongs to the powers of the state. Such areas include prevention of trafficking in persons, which covers informational and educational work and the efforts to reduce the demand for illegal exploitation of human resources. It also means bringing people involved in human trafficking to justice and providing assistance and protection to the victims (Art. 4 of the Law 3739-VI (2001)). Anti-trafficking actors include the head of state, the government, central and local executive bodies, local governments, foreign diplomatic missions of Ukraine, as well as institutions to assist victims of human trafficking. Enterprises, institutions, and organizations, regardless of the form of ownership, as well as public organizations and individuals can also join the struggle against human trafficking (Art. 5 of the Law 3739-VI (2001)). The national coordinator in the field of combating trafficking in persons is the Ministry of Social Policy of Ukraine (Art. 6.1 of the same Law 3739-VI (2001)). The powers of the government cover determining the procedure for the establishment and operation of the Unified

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State Register of Crimes of Trafficking in Persons (Decree No. 303, 2012), which is administered by the Ministry of Internal Affairs (Art. 6.2, paragraph “c” of the Law No. 3739-VI (2001)). Moreover, the government has the right to approve the National Mechanism (Decree No. 783, 2012) of interaction of subjects carrying out measures in the sphere of combating trafficking in persons, as well as to monitor its implementation (Art. 6.3, paragraph “b” of the Law 3739-VI (2001)). Additionally, the government establishes (Decree No. 660, 2012) the procedure for payment of one-time financial assistance to victims of human trafficking (Art. 6.4 of the Law No. 3739-VI (2001)). When we talk about Ukraine authority system, it is worth mention that we have high level of corruption at all levels. Thus, considering the issue of prevention of human trafficking, it should be mentioned the UN Convention against Corruption (United Nations, 2003), which was adopted in New York on October 31, 2003. It establishes the necessary international legal framework to combat corruption offenses, in particular, identifies vectors of theoretical and practical developments in combating corruption (Kolomoiets, Tkalych, Melnyk, Panchenko, & Tolmachevska, 2021). Conclusions Trafficking in persons is certainly a terrible phenomenon that violates the fundamental human rights on which modern life is based. To combat this criminal activity, the international community has developed a relevant document designed to provide legal regulation for the effective fight against human trafficking – the Protocol to Prevent, Suppress and Punish Trafficking in Persons, Especially Women and Children (United Nations, 2000b). The national legislation of some countries, particularly, Ukraine, has implemented relevant bills aimed at promoting the implementation of the ideas set out in the Protocol in the form of an effective system of measures to combat trafficking in persons at the national level. At the same time, concerning the phenomena of illegal border crossing and human trafficking, it can be noted that there are differences that give grounds to consider them as separate crimes with a common feature of their commission, which may manifest itself in the form of illegal transportation across borders. Finally, further collection and processing of statistics is important to help identify trends and patterns and to develop effective measures to combat these criminal offenses. Such actions include prevention, counteraction, protection and

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assistance to victims, and informational and educational work among the population. Bibliographic references Attwood, R. (2015). Stopping the Traffic: The National Vigilance Association and the International Fight Against the “White Slave” Trade (1899-1909). Women’s History Review, 24(3), 325-350. Attwood, R. (2016). Looking Beyond ‘White Slavery’: Trafficking, the Jewish Association, and the Dangerous Politics of Migration Control in England, 1890-1910. Anti-Trafficking Review, 7. Recovered from https://www.antitraffickingreview.org/index.php /atrjournal/article/view/203/200 Bales, K., Trodd, Z., & Williamson, A.K. (2011). Modern Slavery: A Beginner's Guide. Simon & Schuster Bartley, P. (2000). Prostitution: Prevention and Reform in England, 1870-1914. London: Routledge Belser, P. (2005). Forced Labor and Human Trafficking: Estimating the Profits. Geneva: International Labour Office. Recovered from https://bit.ly/36xuYbq Biletsky, V.O. (2013). Operational Activities as a Component of Integrated Border Management. Public Administration: Improvement and Development, 7, 1-3. Recovered from https://bit.ly/3xNY95W Danailova-Trainor, G., & Belser, P. (2006). Globalization and the Illicit Market for Human Trafficking: an Empirical Analysis of Supply and Demand. Geneva: International Labour Office. In http://www.ilo.int/wcmsp5/groups/public/--dgreports/--integration/documents/publication/wcms_08175 9.pdf Decree No. 303, On Approval of the Regulations on the Establishment and Operation of the Unified State Register of Crimes of Trafficking in Persons. Bulletin of the Verkhovna Rada of Ukraine, Kyiv, Ukraine, April 18, 2012. Recovered from https://zakon.rada.gov.ua/laws/show/303-2012%D0%BF#n9 Decree No. 660, On Approval of the Procedure for Payment of One-Time Financial Assistance to Victims of Trafficking in Persons. Bulletin of the Verkhovna Rada of Ukraine, Kyiv, Ukraine, July 25, 2012. Recovered from https://zakon.rada.gov.ua/laws/show/660-2012%D0%BF#n9 Decree No. 783, On the Statement of the Order of Interaction of Subjects Counteracting Trafficking in Persons. Bulletin of the Verkhovna Rada of Ukraine, Kyiv, Ukraine,

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204 August 22, 2012. Recovered from https://zakon.rada.gov.ua/laws/show/783-2012%D0%BF#n10 Feingold, D.A. (2005). Human Trafficking. Foreign Policy, 26-32. Recovered from https://documentation.lastradainternational.org/l sidocs/feingold_think_again_human_tra_0109.p df Heinrich, K.H. (2010). Ten Years After the Palermo Protocol: Where Are Protections for Human Trafficking? Human Rights Brief, 18(1), 2-5. In http://digitalcommons.wcl.american.edu/hrbrief/ vol18/iss1/1 International Labour Organization (ILO). (2005). Forced Labour in Asia. ILO Fact Sheets on Forced Labour in Asia, 1-4. Recovered from https://ecommons.cornell.edu/bitstream/handle/ 1813/99623/Forced_labor_no__17_Forced_labo ur_and_human.pdf?sequence=1 Kharytonov, E., Kharytonova, O., Kolodin, D., & Tkalych, M. (2020). The Covid-19 Pandemic and the Rights of the Individual in Terms of Private and Public Law. Ius Humani. Law Journal, 9(2), 225-250. Recovered from https://doi.org/10.31207/ih.v9i2.253 Kolomoiets, T., Tkalych, M., Melnyk, P., Panchenko, B., & Tolmachevska, Y. (2021). Combating Corruption in Sport: Legal Aspect. Retos, 41, 746-755. Recovered from https://recyt.fecyt.es/index.php/retos/article/vie w/86975 Koots, V., & Orlean, A. (2007). Prosecutorial Means of Combating Human Trafficking. Kyiv: Varta. Recovered from https://www.osce.org/files/f/documents/d/d/758 90.pdf Laczko, F., & Gozdziak, E.M. (2005). Data and Research on Human Trafficking. International Organization for Migration Laite, J. (2012). Common Prostitutes and Ordinary Citizens: Commercial Sex in London, 1885-1960. London: Palgrave Macmillan. ISBN 978-0-230-35421-0. Recovered from https://www.palgrave.com/gp/book/9780230230 545 Lammasniemi, L. (2017). Anti-White Slavery Legislation and Its Legacies in England. AntiTrafficking Review, 9, 64-76. Recovered from https://www.antitraffickingreview.org/index.php /atrjournal/article/view/264/253 Law No. 2341-III, Criminal Code of Ukraine. Bulletin of the Verkhovna Rada of Ukraine, Kyiv, Ukraine, April 5, 2001. Recovered from https://zakon.rada.gov.ua/laws/show/234114/conv#n2649 Law No. 3739-VI, On Counteracting Trafficking in Persons. Bulletin of the Verkhovna Rada of Ukraine, Kyiv, Ukraine, September 20, 2011.

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Recovered from https://zakon.rada.gov.ua/laws/show/373917#Text Levchenko, C., Kovalchuk, L., Udalova, О. et al. (2011). Socio-Pedagogical Bases of Counteracting Human Trafficking and Children Exploitation. Kyiv: “Ukraine” Agency Lim, L.L. (1998). The Sex Sector: The Economic and Social Bases of Prostitution in Southeast Asia. Geneva: International Labour Organization Limoncelli, S.A. (2010). The Politics of Trafficking: The First International Movement to Combat the Sexual Exploitation of Women. Stanford University Press Lukach, N.M. (2015). Conceptual Basis of Preventing and Combating Human Trafficking in Ukraine. Scientific and Theoretical Almanac Grani, 18(7), 75-78. Recovered from https://grani.org.ua/index.php/journal/article/do wnload/249/236 Lukach, N.M. (2016). Conceptual Principles and Institutional Mechanisms for Counteracting the Global Problem of Human Trafficking (doctorate thesis). Ivan Franko National University of Lviv, Lviv. In http://www.chnu.edu.ua/res/chnu/chnu_news/Fe bruary/Dyser_LUKACH.pdf Migration Data Portal. (May 6, 2021). Human Trafficking. Recovered from https://migrationdataportal.org/themes/humantrafficking Mydlovets, I. (February 28, 2019). Human Trafficking in Ukraine. A Review. Recovered from https://mon.gov.ua/storage/app/media/pozashkil na/protydia-torgivli-luydmy/4-2019.ppt Official Website of the International Organization of Migration in Ukraine. (2021). Counteracting Human Trafficking. Recovered from https://iom.org.ua/ua/protidiya-torgivlilyudmi Official Website of the Ministry of Education and Science of Ukraine. (2021). Counteracting Human Trafficking. Recovered from https://mon.gov.ua/ua/osvita/pozashkilnaosvita/vihovna-robota-ta-zahist-pravditini/protidiya-torgivli-lyudmi Oram, S., Stöckl, H., Busza, J., Howard, L.M., & Zimmerman, C. (2012). Prevalence and Risk of Violence and the Physical, Mental, and Sexual Health Problems Associated with Human Trafficking: Systematic Review. PLoS Medicine, 9(5), e1001224. Recovered from https://doi.org/10.1371/journal.pmed.1001224 Panichevska, A.V. (2017). White Slavery as One of the Most Common Transnational Crimes. Young Scientist, 11(51), 972-975. In http://molodyvcheny.in.ua/files/journal/2017/11 /235.pdf

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Rafferty, Y. (2007). Children for Sale: Child Trafficking in Southeast Asia. Child Abuse Review, 16, 401-422. Recovered from https://doi.org/10.1002/car.1009 Richards, T.A. (2014). Health Implications of Human Trafficking. Nursing for Women's Health, 18(2), 155-162. Scarpa, S. (2010). Trafficking in persons: Modern Slavery. Oxford University Press Tsutsumi, A., Izutsu, T., Poudyal, A.K., Kato, S., & Marui, E. (2008). Mental Health of Female Survivors of Human Trafficking in Nepal. Social Science & Medicine, 66(8), 1841-1847. Recovered from https://cdn.icmec.org/wpcontent/uploads/2020/07/MH-of-femalesurvivors-of-human-trafficking-in-NepalTsutsumi-2008.pdf United Nations. (2003). Convention against Corruption. Retrieved from https://www.unodc.org/unodc/en/treaties/CAC/.

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United Nations (UN). (1989). Convention on the Rights of the Child. Recovered from https://www.ohchr.org/en/professionalinterest/p ages/crc.aspx United Nations (UN). (2000a). Optional Protocol to the Convention on the Rights of the Child on the Sale of Children, Child Prostitution and Child Pornography. Recovered from https://www.ohchr.org/en/professionalinterest/p ages/opsccrc.aspx United Nations (UN). (2000b). Protocol to Prevent and Suppress Trafficking in Persons, Especially Women and Children. Recovered from https://www.unodc.org/documents/treaties/Spec ial/2000_Protocol_to_Prevent_2C_Suppress_an d_Punish_Trafficking_in_Persons.pdf

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Tigrov, V., Tolstenko, A., Negrobova, L., Dobromyslova, O., Piminov, E. / Volume 10 - Issue 42: 206-216 / June, 2021

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DOI: https://doi.org/10.34069/AI/2021.42.06.19 How to Cite: Tigrov, V., Tolstenko, A., Negrobova, L., Dobromysl ova, O., & Piminov, E. (2021). Education, work and creation: ways for developing technological education of schoolchildren in Russia. Amazonia Investiga, 10(42), 206-216. https://doi.org/10.34069/AI/2021.42.06.19

Education, work and creation: ways for developing technological education of schoolchildren in Russia Образование, труд и творчество: пути развития технического образования среди школьников в России Received: June 7, 2021

Accepted: July 15, 2021

Written by: Vyacheslav Tigrov85 https://orcid.org/0000-0002-8115-994X Andrew Tolstenko86 https://orcid.org/0000-0001-5611-9113 Ludmila Negrobova87 https://orcid.org/0000-0003-1765-5110 Olga Dobromyslova88 https://orcid.org/0000-0002-6060-6691 Evgeny Piminov89 https://orcid.org/0000-0002-9634-4021 Abstract

Аннотация

The authors touch upon the problem of the development of additional technological education in Russian schools by comparing it with the situation in Western countries. Aim: strong requirements for inventions of schoolchildren should be established, a clear sequence of their teaching in invention and creation should be developed. Methods: methodology for teaching schoolchildren to invent and create something that has not existed before in different age groups is presented; a patent for a utility model developed jointly with schoolchildren participating in the system of additional technological education in Lipetsk seem to be important results of this study. Results: the authors considered ways to improve the effectiveness of teaching schoolchildren to invent in the field of additional technological education, taking into account current problems and trends. The systematic training of schoolchildren from elementary grade to middle and senior grades normally gives a positive result during the formation of divergent thinking, which translates into the child's ability to generate a

Авторы затрагивают проблему развития дополнительного технологического образования в российских школах, сравнивая ее с ситуацией в западных странах. Цель: установить четкие требования к изобретениям школьников, разработать четкую последовательность их обучения изобретательству и творчеству. Методы: представлена методика обучения школьников изобретательству в разных возрастных группах; патент на полезную модель, разработанный совместно со школьниками, участвующими в системе дополнительного технологического образования г. Липецка, также представляется важным результатом исследования. Результаты: авторами рассмотрены пути повышения эффективности обучения школьников изобретательству в сфере дополнительного технологического образования с учетом актуальных проблем и тенденций. Систематическая подготовка школьников от начального до среднего и старшего классов обычно дает положительный результат при формировании дивергентного мышления, что

(Prof., DSc), Lipetsk of State Pedagogical University, Russia. (Docent, DSc), Lipetsk of State Pedagogical University, Russia. 87 (Senior Lecturer), Lipetsk of State Pedagogical University, Russia. 88 (Senior Lecturer), Lipetsk of State Pedagogical University, Russia. 89 (Senior Lecturer), Lipetsk of State Pedagogical University, Russia. 86

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variety of ideas for improving technical objects and creation as such. Attracting the capabilities of enterprises to organize an authentic educational process is relevant, too, as long as the project activities are designed to form the skills of independent work, creative and research activities. Keywords: creation, invention, metaphysics of technology, technological education, school.

выражается в способности ребенка генерировать различные идеи для улучшения технических объектов. Привлечение возможностей предприятий для организации аутентичного образовательного процесса весьма актуально, поскольку проектная деятельность направлена на формирование навыков самостоятельной работы, творческой и исследовательской деятельности. Ключевые слова: творчество, изобретение, метафизика техники, технологическое образование, школа.

Introduction As the history of many countries shows, in any era, the society technological progress is inextricably connected both to the technical capabilities in a specific time period and with the need for training specialists who are able to generate novel ideas aimed at improving the devices and technologies used, and to develop something principally new, opening previously unknown technological vectors. In this respect Russia is no exception, and as any state is faced with the need to meet the requirements of the time, to take dynamic actions to develop technologies in general, and to train specialists in demand in various areas of production in particular. The experience indicates that the training of future workers in the technical sphere is a strategic issue that determines the dynamism of the country's development, its success in the world market and the ability to export both technical innovations and marketable as well as significant production technologies, showing its own competitiveness and independence. In this regard, an objective fact can be considered the need for technological training of future specialists at all levels of education, starting from school age, and involving the system of compulsory and extracurricular education for this. As philosophers say, technology is the most important way to discover the deepest properties of human being (Mitcham, 1994; Skrbina, 2014). It allows you to reveal what is hidden in him, must be guessed and presented in a genuine face. In acts of technical creativity, people realize contact with transcendental “things-inthemselves” of technical objects. Consciousness enters the metaphysical level and encounters the realm of given solutions to technical problems. The mind picks up technical ideas, which are something like the thoughts of God. That is, technology is the real participation of man in creation. From a theological perspective, technology is a mission, a mandate from a

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Creator who uses a person to realize his own purposes (Dessauer, 1956). The idea of technology, which we are accustomed to perceive as something rigid, rational, soulless, having nothing to do with spiritual truths, was formed quite recently. A century ago, as well as thirty centuries ago, people saw in technology an act of pure spiritual creativity (Dessauer, 1983). According to Heidegger, a person transforms things, transferring them from the state of “availability” to the state of “handiness” (Heidegger, 1977). Technique grows out of natural material, but it enters into the existential structure of human being, who has the ability to object to his designs. Technique, according to Heidegger, goes deep into the realm of truth. The technical is not a consumer attitude, like the idea that it is necessary to “take”, to take everything as if it already exists only for that purpose, as if there is no secret of creation. Instead of seeing technology as a means for turning everything (including ourselves) into resources, one should see technology as art. In reality, the technical contains something of art. Craftsmanship is a way of revealing the hidden, something fateful for human survival and that cannot be reduced to mass production. That is why a realignment of people's thinking is required to overcome the modern crisis tendencies. The severity of the above problem was recognized at all times of state existence, in connection with which actions were taken in the education system to develop the line of technological learning (Dessauer, 1959). Thus, the purpose of the research is to form a model of current technological education of schoolchildren within the educational concept being implemented (strong requirements for inventions of schoolchildren and a clear sequence of their teaching in invention and creation), taking into account the identified trends and prerequisites for further development.

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208 Literature Review Our study covers the analysis of the state of technological education in the last decades of the recent history of Russia, since this period becomes a platform for the current stage of its development. The relevance of the above is especially noticeable at the present time in connection with accelerating technical progress and growing “uncertainty” in the life of individual citizens and society as a whole, which leads to the need to transform the existing “industrial” paradigm of education, and its adaptation to conditions of new time (Ankiewicz, 2019; Ardura and Pérez-Bitrián, 2019; Susanto, Rachmadtullah and Rachbini, 2020; Tolstenko, Baltovskij and Radikov, 2019). In general, drawing parallels between the development history and the current state of technological education in Russia in relation to other states, we can talk about similar trends. Firstly, meeting the today's requirements, many countries are reforming the education system, and one of the mandatory subject is the “technology”, the task of which is to form students' competencies that are relevant for the developing technological civilization (Botleng, Brunel and Girard, 2019; Bushueva and Bushuev, 2018; Chai, Jong, Yin, Chen and Zhou, 2019; Cropley and Cropley, 2010; Hrybiuk, 2019). Secondly, an objective feature of the development of technological education in different countries is the reforms implementation taking into account the wellknown pedagogic principles of natural conformity, cultural conformity, continuity and gradation. In accordance with them, the complexity of school technological education programs increases from the initial level, where acquaintance with simple mechanisms and technologies occurs to the middle and senior level, where the tasks are the mastering of advanced technologies of various industries, the use of computer technologies and the formation of competencies necessary for adaptation in modern process environment. And training programs are built as part of guidelines for national-specific features and foundations, cultural traditions and branches of the public economy (Ihde, 2006; Skytt-Larsen, 2018; Sundqvist, 2020). Thirdly, the modern educational sphere of different countries in general, and the system of training in the sphere of technology in particular, are faced with the following obvious contradiction. On the one hand, the modern system is still based on the “industrial” educational paradigm, in accordance with which teaching is standardized and oriented towards conformism (Solé Blanch, 2020). On the other hand, in the conditions of a progressive

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“situation of uncertainty” of the recent epoch, a person is required to have divergent thinking, which must be taught, and as a result of which a person will be able to put forward and implement not only standard solutions to known problems, but will creatively rethink them and, when run into problems, suggest a variety of options for their solution (Danilaev and Malivanov, 2020; Nigmatov and Nugumanova, 2015; Smirnova, 2018). To successfully overcome such contradictions in future development of the field under consideration, an “education paradigm shift” will be required (Dakers, 2006). Herewith, existing in the given conditions, the education systems of different countries shall provide the society with the required result already now, within the existing paradigm, which gives rise to the need to revise the resources available to teachers and involve all existing opportunities. It is necessary to take into account the significant conservatism of the pedagogic system associated with its location on previous experience and national cultural traditions, which requires a careful and attentive approach. Otherwise, one may lose the old without forming the new. And then the educational sphere may meet with an even deeper crisis – depersonalization (Tigrov and Negrobova, 2018; Tolstenko, Baltovskij, Radikov, 2019; Kondratiev, Rudneva, Tolstenko, 2021). Methodology How should the technological education system change in the nearest future based on the aforesaid? We see that new requirements are imposed on education for workers capable of innovative activities with the active progress of society and the production development (Duggan, 1996; Thayer-Bacon, 2019). That is, specialists of the recent and future time must have “thinking divergence” and competencies, both in the field of ideas generation and in the sphere of their execution and practical implementation (Hursen, 2017). Whereby, the wishes regarding the process and the final result of schoolchildren teaching change (Portnova, 2016): the child must be taught the activity bases, the product of which is the development of objects having innovative potential (Hallström, 2020; McLain, Irving-Bell, Wooff and MorrisonLove, 2019). And then, one of the important spheres, where such quality can be formed, is a technological education. Moreover, since school education is rather rigidly standardized, to a greater extent such prospects are implemented in the system of extracurricular technological education, which is not so strictly bound by the framework. As a result, it is here where it is

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possible to form the necessary competencies and successfully solve the above tasks within the existing paradigm, teaching schoolchildren to invention. The material for the theoretical study was data on the development of the technological education system in the 20th century in the USSR and the Russian Federation (papers by Kachnev, 1990, Kaner, 2016, Kolotilov, 1989, Nikulin, 1994), as well as the similar papers of foreign colleagues. The experimental part was carried out based on the Center for Youth Innovative Creativity “Novator” (CMIT Novator) in Lipetsk, which belongs to the extracurricular education system. During the work, the following methods were used: a. Analysis of the goals and forms of extracurricular technological education for schoolchildren at different stages of its development in the 20th century and identification of the main problems in the area under consideration; identification of trends in its further development with the definition of the respective prerequisites. b. Development of content, choice of forms, determination of the sequence of schoolchildren teaching to inventive work in the system of extracurricular technological education, taking into account the identified problems and trends. c. Implementation of activities (classroom studies and excursions to production facilities) to teach schoolchildren to invention, taking into account the identified prerequisites; analysis of the results obtained. The practical part carried out during the study included the following stages: 1) development of training content, selection of forms and methods of work; 2) involvement of schoolchildren to inventive work and forming of student groups; 3) work on teaching schoolchildren with subsequent presentation of materials at exhibition sites, patenting of inventions. Results (1) Within the current study on the organization of schoolchildren teaching invention based on the platform of extracurricular school education, it was found that the essential components of the pedagogical model of current technological education of schoolchildren should be the following: students mastering of methods for activation of decision making in creative problems that form the methodological toolkit of

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the future inventor; the availability of advanced equipment that makes it possible to practically implement inventive ideas and reduce the time for actions performed; close relationship of students with the enterprises of the region, giving an idea of specific industries, their equipment, process and products, as well as the range of technical problems to be solved. An important trend in teaching students in this context is the allocation of a small time share to mastering “manual” process operations at the initial stages of training, and the active mastering of work with complex process equipment in senior classes; and the desired result is the schoolchildren ability to create objects both with subjective and objective novelty (Sasova, 2011). (2) The study made it possible to identify several groups of prerequisites that allow transferring technological education to a new level, where the schoolchildren education will result in the development of inventive skills and the ability to produce objects with objective novelty. In our opinion, the very need of transition to innovative project activities in the sphere of technological education of children and teen-agers dictated by the time and the current stage of society development belongs to the first group of prerequisites. In this regard, it is necessary to understand that with the accelerating technical progress, the range of tasks to be solved in the technological sphere will constantly grow. And for a competent specialist, important skills are, firstly, the ability to see such a problem, secondly, to propose ways to solve it, and thirdly, to find opportunities to implement the proposed ideas into production. The second group of prerequisites is the presence of widely known and well-proven methods for activation of creative activity, such as the theory of inventive problem solution, brainstorming, synectics, etc. (Gordon, Aber and Berliner, 2012; Nesterenko and Terekhova, 2017). An important aspect for students herein is the availability of information sources that provide knowledge both on paper and in the form of electronic media. The third group of prerequisites is the availability of advanced high-tech equipment for students. It is possible to organize the work of schoolchildren with such equipment through provision of workshops and laboratories of educational institutions, and in the course of cooperation with organizations and enterprises that have the necessary appliances. This will provide opportunities both for studying the technical equipment of the region's production facilities, and for implementing inventive ideas, and, at the same time, saving the inventor's time. The fourth most important prerequisite is the possibility for

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210 schoolchildren to get in contact with the enterprises in the real sector of the economy, including the organization of excursions to production facilities and remote online communication. (3) We implement the practical stage of the presented study based on the Center for Youth Innovative Creativity “Novator” (CMIT Novator) in Lipetsk, where groups of children studying invention are formed annually. Moreover, there is a steady interest of children and parents in the development of invention skills in schoolchildren, which makes it possible to easily form groups of both the initial and subsequent stages of education. The experience of this activity has shown that work related to schoolchildren teaching the invention can cover all age groups, from primary grades to senior ones, which makes it possible to build educational trajectories (paths) of schoolchildren in this sphere in the system of continuous education. This made it possible to determine the syllabus and the sequence of its implementation at different levels and to form three ways of development for different age groups. The first path concerns the initial stages of work, in which children of elementary grades are involved. Here a series of lessons is implemented to attract them to invention and mastering the methods of inventive work by solving creative problems. During the first class, children perform tasks that help to overcome psychological inertia. During the subsequent classes they get acquainted with such inventive methods as searching for analogues and brainstorming and solve problems using these methods. The result of this stage is the formed schoolchildren' understanding of the meaning and importance of inventive work, as well as mastering the necessary methods of working. At the next stage – in the mid-level, the second trajectory is built. Here, inventive skills are taught through the performance of abstract tasks that adopt solutions with elements of objective novelty; as well as acquaintance with the basic computer-generated graphics required to work with advanced hightech equipment. For example, to print out an object sing 3-D printer, which was firstly drawn in the Compass program, without which it is impossible to work with this type of equipment? The third trajectory is implemented at the senior level. At this stage, the following become obligatory: schoolchildren mastering of communication online technologies (for remote communication with enterprises); acquaintance with real production facilities during visits to the

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enterprises in Lipetsk, innovative projects.

implementation

The key aspect of activities implementation in this way is the establishment of the mutual relationship with the technological education of schoolchildren, part of which is teaching inventive work with the real production of enterprises in the region. Moreover, our proposed actions are capable of making such interaction mutually beneficial. Schoolchildren get some unsolved technical problem for development and make an invention. This, firstly, makes the work of students meaningful and practically significant, secondly, it allows learning based on objective examples, and thirdly, it leads to a result important for children – an invention for which a patent is issued. Enterprises, having the opportunity to use the result of the invention, become sponsors of the academic mobility program for young inventors, owing to children can present their work at exhibition areas of various levels – from municipal to international. Visits to enterprises and the possibility of personal communication with representatives of production facilities become an important element at this stage. Field trips as a form of work in pedagogy have been known for more than a decade (Steenekamp, Van Der Merwe and Mehmedova, 2018), and many issues of their organization are well-developed (Stage, Eriksson and Reestorff, 2019). In this connection, we have defined the classification category of schoolchildren' visits to the enterprise as follows: 1) in terms of goals and content – educational thematic, since schoolchildren get acquainted with the production features of the enterprise; 2) on site – production technological; 3) in terms of participants – intended for an organized homogeneous group of schoolchildren; 4) on site – city, since the enterprises to be planned to visit are located in the city; 5) in terms of travel mode – pedestrian; 6) in terms of duration – within 60 minutes. It is objective that visits in teaching invention are part of a multicomponent process and are part of a complex aimed at achieving a common goal (Thompson, 2017). Herewith, in fact, all work with young and middle students can be considered to be pre-visiting to production facility, since the formed understanding of the essence of inventive work and the acquirement of knowledge and skills in the field of invention will be confirmed at the enterprise, since it is there that children will see examples of the invention results (equipment and technologies) and

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technological problems, the solution of which will lead to new inventions. To conduct an excursion and implement innovative designengineering projects for students at CMIT Novator, we chose an enterprise “LLC Profoborudovanie-L” in Lipetsk. The excursion activity was carried out in several stages. 1) The first stage is preliminary preparation. The excursion preparation solves a number of important issues that determine the success and productivity of all subsequent work. These include: goals and objectives formulation; acquaintance with the site, objects selection for study and determination of the excursion route, determination of information content and methods of working. The purpose of our excursion was to get acquainted with the production of a particular enterprise; tasks – study of production equipment; acquaintance with the process of this production; students’ search for ideas for their own developments with objective novelty – inventions. 2) Second stage. Excursion tour. The purpose and objectives of the event were explained to the schoolchildren immediately before visiting the enterprise. At the enterprise, during the introductory conversation, before the immediate entering the route, the following was specified: tasks, excursion procedure, reporting form, as well as rules of conduct and safety measures. The work on the excursion route contained the following: students acquaintance with the structure and operation of complex process equipment: advance milling and turning NC machines; monitoring the assembly process of a roll forming mill. Over a period of work, the students were listening to the explanation of the guide (enterprise’s employee) about the features of technical equipment at production, the equipment purpose and the process stages. 3) Third stage. Summing up the excursion results. During the final stage, a conversation was held with the children,

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summarizing the information obtained and allowing all participants in the excursion to share their impressions. 4) Object development. The next stage was implemented in the classroom of CIMIT Novator. All the observed at the enterprise, the choice of ideas for the collective development of an invention, the search for technical solutions by brainstorming method, the creation of sketches and drawings of a new invention were discussed during subsequent classes. A combined potato digger was taken as the basis for the development, the disadvantage of which was the low productivity of the sorting unit; in this regard, the children were set on suggesting possible ways to increase its operation efficiency. The choice of this machine as an idea for subsequent searches in increasing productivity is justified by the fact that the Lipetsk Region is not only an industrial region, but also an agricultural area. And potatoes cultivation is an important part of crop growing here. In this case, it is necessary not only to grow and take the harvest, but also sort tubers as efficiently as possible, which should be facilitated by the developed invention. The result of the inventive work at this stage was the improvement of the sorting unit and execution of a patent for a useful model of the combined potato digger (patent 180327 RF, IPC A01D17/14 A01D33/08 (2006.01) Combined potato digger / V.P. Tigrov, V.V. Tigrov, A.A. Lazukin, A.P. Shubin, P.P. Klishin, V.A. Chigorsky, M.A. Sokolskikh et al.; applicant and patentee FSBEI of Higher Education Lipetsk State Pedagogical University named after P.P. Semenov-Tyan-Shanskiy – No. 2017121720). A working model of the proposed sorting unit was made at the enterprise “LLC ProfoborudovanieL” and consisted of spirals connected into a single cylindrical structure with different step lengths (from shorter to longer) between the turns in different sections (see Figure 1 and Figure 2).

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Figure 1. An enlarged view of the sorting unit. 1 - sorting unit, 2 - sorting area for small potatoes, 3 - sorting area for medium potatoes, 4 - sorting area for large, 5 - biters, 6 separation unit, 7 - container for small potatoes, 8 - container for medium potatoes , 9 - container for large potatoes, 10 - loading tray.

Figure 2. Cross-sectional view of the sorting unit (along arrow A in Figure 1) The principle of device operation involves the potatoes movement along the spirals axis, where the tubers pour out between its turns in the following sequence: at the beginning they are small – less than 60 mm in size, then – medium size, and last – all large tubers. Falling down, all the fractions fall into the respective bunkers – for small, medium and large potatoes respectively.

development of divergent thinking of students when they generate more than one solution to the problem under consideration, their ability to creatively process the presented material, offer various options for solving technical problems, which finally forms competencies currently relevant. Discussion

The current invention model which had been implemented on the basis of the enterprise – a participant in our project, owing to its support, and was presented at the All-Russian television competition of inventors “The Invention Factory. Ideas for Russia (Moscow)", at the site of the International Salon of Inventions “Archimedes” (Moscow), at the All-Russian exhibition of Scientific and Technical Creativity of the Youth (Moscow). The result of the pedagogical process within the presented field is the inevitable

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Based on the foregoing, we can talk about an objective relationship between the development level of technological education in therm of national situation and the tasks set within the state policy for training specialists in this sphere. In this regard, today, it is fair to say that, on the one hand, the need to change the educational paradigm is becoming more acute; on the other hand, the potential of the currently existing industrial concept has not been fully exhausted.

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Within its framework, important prerequisites are currently being formed that create conditions for the development of divergent thinking and relevant competencies when teaching children to invent and develop their skills in developing objects that have objective novelty. A practical example of this is the formation of three educational paths (trajectories) which are implemented at the site of the Center for Youth Innovative Creativity “Novator” in Lipetsk. Here, while recruiting elementary grade students into groups for teaching inventions, we are planning the further work with them at subsequent stages of the increasingly complex program. Our experience has shown that teaching inventive work to schoolchildren can be carried out starting from the initial level, for which the first path has been developed. Here, children master the methods of inventive work, and the result is, firstly, the schoolchildren understanding by of the meaning and importance of inventive work; secondly, the experience of using methods such as analog search and brainstorming.

devices, which in practice was implemented in the development of the improved sorting unit for the potato digger, and was obtained a patent for a useful model, where children became part of the author's team. And thanks to the close relationship with the industrial enterprise in Lipetsk, schoolchildren had the opportunity to present this invention at all-Russian and international invention exhibitions and competitions. The results obtained allow us to state that schoolchildren teaching invention in extracurricular technological education has a positive effect and forms important process competencies necessary in the present-day world. And the proposed algorithm of actions is able to smooth over differences that have arisen currently in the educational system, in the technological field, and become a useful option for school education during the search for more relevant concepts and the formation of new educational paradigms. Conclusion

The second way is realized in the middle level, where children perform more complex tasks and learn to analyse technical problems, offering solutions with elements of objective novelty, as well as the basic computer-generated graphics and the skills of using complex equipment such as a 3-D printer. This trajectory prepares schoolchildren for direct inventive work, developing skills in generating and analysing ideas, preparing sketches and drawings on their basis, and performing 3-D mocking-up. The third way involves working with older students. At this stage, the skill formed in children becomes the mastery of communication on-line technologies, which make it possible to freely and efficiently communicate with representatives of the production sector in the region. And the key element is excursions to production facilities, where children get acquainted with the enterprises of the region, production methods and process lines. And what is really important – with really existing technical problems, solving which, children participate in the development of their own innovative projects. As a result, consistent and methodical work within the existing industrial educational paradigm, which implements the schoolchildren activities on three trajectories, gives them the opportunity to master the necessary skills of inventive work and create objects with objective novelty. In our experiment on teaching invention, this led to the development of schoolchildren ability to generate ideas for updating technical

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Thus, the analysis of historical materials allowed us to identify the relationship between the trends in the technological education development with the changing situation in the country, as well as the imminent need to change the industrial educational paradigm. However, in case of education system conservatism, the formation of new concepts takes time and a careful approach. Consequently, the emerging problems shall be solved within the established traditions. In this regard, as the main modern trends in technological education, it is possible to emphasize a response the response to the state's request for training specialists with divergent thinking and skill in the field of inventive and innovative activities; as well as building the educational process, starting with the children mastery of the necessary techniques and the simplest process operations at the initial stages of training to the subsequent work mastery using complex process equipment and participation in inventive work at the senior level. We also identified the prerequisites that allow us to build a model of current technological education, capable to achieve the goals set by the state within the existing educational paradigm. These are the need to transfer to innovative design activities in the field of technological education for children and teen-agers; accessibility of methods for enhancing creative search and advanced high-tech equipment to students; the possibility for schoolchildren

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214 contact with enterprises of the real economy sector. Today, it can be argued that there is a steady interest of children and parents in the development of inventive skill by schoolchildren. This allows forming groups of children studying invention every year within the extended technological education on the basis of CMIT Novator in Lipetsk. The implemented research gives us the opportunity to form a model of current technological education of schoolchildren within the educational concept being implemented, taking into account the identified trends and prerequisites for further development. As for the developed model, we included sequential work with children on three trajectories: the initial level – the middle level – the senior level, and the subject and methodological content for each of them. The organization of the educational process with children made it possible to build a sequence of classes including a system of tasks on each trajectory. On the trajectory of the initial level, tasks are aimed at mastering the methods of inventive work, in the middle level – at performing tasks that involve solutions with elements of objective novelty and studying the basic computer-generated graphics; on the senior level trajectory – at the development of communication online technologies, getting acquainted with production and implementation of innovative projects. It is important that work with children proposes the obligatory use of excursions to industrial enterprises of the city along with the generally accepted methods and forms of work in teaching invention. Therefore, the excursion is an important stage in the inventive work of schoolchildren, linking theoretical knowledge with their practical application. This allows arranging the educational process and effective teaching children to invent, achieving positive results, which is proved by the inclusion of students in the authors' team when obtaining a patent (patent for a combined potato digger) and participation in conferences and exhibitions (“The Invention Factory”, “Archimedes”, “Scientific and Technical Creativity of the Youth”). Practical work carried out within the framework of the problem posed based on CMIT Novator for several years makes it possible to assert that consistent work with each child from elementary grade to middle and senior grades gives a consistently positive result in the formation of inventive skill, and in addition, important inventive skills and thinking divergence. As a result, it can be said that. Using the potential of extracurricular technological education for

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schoolchildren, within which it is possible to teach children to invention, is able to smooth out the growing problems of the existing industrial educational paradigm in the “Technology” subject. The systematic training of schoolchildren in this system complicating and extending the program during the transition from the educational trajectory of the primary level to the middle and senior levels, the use of current methodological, informational and technical capabilities, as well as close relationship with the enterprises of the region and the solution of objective problems, normally gives a positive result during the formation of divergent thinking, which translates into the child's ability to generate a variety of ideas for improving technical objects and forming competencies currently relevant. References Ardura, D., & Pérez-Bitrián, A. (2019). Motivational pathways towards academic achievement in physics & chemistry: A comparison between students who opt out and those who persist. Chemistry Education Research & Practice, 20, 618–632. https://doi.org/10.1039/C9RP00073A Ankiewicz, P.J. (2019). Andrew Feenberg: Implications of critical theory for technology education. In J.R. Dakers, J. Hallstrem & M.J. De Vries (Eds.). Reflections on Technology for Educational Practitioners: Philosophers of Technology Inspiring Technology Education. Boston, MA: Brill. Botleng, V.J., Brunel, S., & Girard, P. (2019). Learning through design and make: Producing originally thought-out products versus producing pre-designed products downloaded from data files. In S. Pulé & M.J. De Vries (Eds.). Proceedings PATT 37, Developing a Knowledge Economy through Technology and Engineering Education, Msida, Malta,. Msida: University of Malta. https://www.iteea.org/File.aspx?id=157700&v= e94e5d51 Bushueva, V.V., & Bushuev, N.N. (2018). Comparative analysis of domestic and foreign activation methods of technical creativity. Advances in Economics, Business and Management Research (Proceedings of the 2018 International Conference on Economy, Management And Entrepreneurship – ICOEME 2018), 70, 31–35. https://doi.org/10.2991/icoeme-18.2018.6 Chai C.S., Jong, MS-Y., Yin, H-B., Chen, M., & Zhou, W. (2019). Validating and modelling teachers’ technological pedagogical content knowledge for integrative science, technology,

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216 schools. Asian Social Science, 11(8), 207–214. http://doi.org/10.5539/ass.v11n8p207 Nikulin, S.K. (1994). Development of technical creativity of vocational education students in the period of transition to the market: The managerial aspect (PhD thesis). Institute of General Education, Moscow, https://search.rsl.ru/ru/record/01000102672 Portnova, T.V. (2016). Structural features of theatrical excursions (methodology based on theatre museum expositions. IEJME: Mathematics Education, 11(8), 2963–2973. https://www.iejme.com/article/structuralfeatures-of-theatrical-excursions-methodologybased-on-theatre-museum-expositions Sasova, I.A. (2011). Technological education or labor training? Russian Education and Society, 53(6), 49–65. https://doi.org/10.2753/RES10609393530604 Skrbina, D. (2014). German metaphysical insights Dessauer, Juenger, Heidegger. In D. Skrbina, (2014). Metaphysics of Technology (Ser.: Routledge Studies in Social and Political Thought, vol. 94) (pp. 70–93). New York: Routledge. https://doi.org/10.4324/9781315879581 Skytt-Larsen, C.B. (2018). The influence of the early formation of human and social capital on inventiveness: Perspectives from a Swedish case study. Geojournal, 83(6), 1181–1192. https://doi.org/10.1007/s10708-017-9826-3 Smirnova, E. (2018). Control capability of environmental safety in the context of green construction paradigm. Espacios, 39(22), 40. https://www.revistaespacios.com/a18v39n22/a1 8v39n22p40.pdf Solé Blanch, J. (2020). El cambio educativo ante la innovación tecnológica, la pedagogía de las competencias y el discurso de la educación emocional [The educational change in front of the technological innovation, the pedagogy of competences and the discourse of the emotional education. A critical approach]. Una Mirada Crítica Ediciones Universidad de Salamanca, 32(1), 101–121. http://doi.org/10.14201/teri.20945 Stage, C., Eriksson, B., & Reestorff, C.М. (2019). Understanding cultural participation

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through participation – inventiveness, multivalence and epistemic modernization. Cultural Trends, 29(1), 1–16. https://doi.org/10.1080/09548963.2019.1692183 Steenekamp, K., Van Der Merwe, M., & Mehmedova, A.S. (2018). Enabling the development of student teacher professional identity through vicarious learning during an educational excursion. South African Journal of Education, 38(1), 1–8. https://doi.org/10.15700/saje.v38n1a1407 Sundqvist, P. (2020). Technological knowledge in early childhood education: Provision by staff of learning opportunities. International Journal of Technology and Design Education, 30, 225– 242. https://doi.org/10.1007/s10798-019-095000 Susanto, R., Rachmadtullah, R., & Rachbini, W. (2020). Technological and pedagogical models: Analysis of factors and measurement of learning outcomes in education. Journal of Ethnic and Cultural Studies, 7(2), 1–14. http://doi.org/10.29333/ejecs/311 Thayer-Bacon, B.J. (2019). Redefining work and education in the technological revolution. Studies in Philosophy and Education, 38, 581–590. https://doi.org/10.1007/s11217-01909649-0 Thompson, K. (2017). Changing Education Paradigms. Revise Sociology, https://revisesociology.com/2017/07/30/kenrobinson-changing-education-paradigms/ Tigrov, V., & Negrobova, L. (2018). Nature excursion as a means of developing schoolchildren’s creative thinking and solving inventive problems. International Journal of Civil Engineering and Technology, 9(11), 2561– 2568. https://www.researchgate.net/publication/32973 9057_Nature_excursion_as_a_means_of_develo ping_schoolchildren's_creative_thinking_and_s olving_inventive_problems Tolstenko, A., Baltovskij, L., & Radikov, I. (2019). Chance of civic education in Russia. Sage Open, 9(3), 1–16. https://doi.org/10.1177/2158244019859684

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DOI: https://doi.org/10.34069/AI/2021.42.06.20 How to Cite: Atencio Bravo, E.A., Rojas Hernández, L.M., & Piñero Landaeta, L. del V. (2021). Competencias del investigador en el contexto tecnológico y su correspondencia con las políticas públicas en ciencia, tecnología e innovación. Amazonia Investiga, 10(42), 217-225. https://doi.org/10.34069/AI/2021.42.06.20

Competencias del investigador en el contexto tecnológico y su correspondencia con las políticas públicas en ciencia, tecnología e innovación Researcher competencies in the technological context and its correspondence with public policies in science, technology and innovation Received: May 30, 2021

Accepted: July 12, 2021

Written by: Eduardo Alfonzo Atencio Bravo90 https://orcid.org/0000-0003-0294-5289 Lucia Magdalena Rojas Hernández91 https://orcid.org/0000-0003-4416-9206 Liliana del Valle Piñero Landaeta92 https://orcid.org/0000-0002-1767-5106

90 91 92

Resumen

Abstract

Este estudio presenta el análisis de las competencias del investigador en el contexto tecnológico y su correspondencia con las políticas públicas venezolanas de ciencia, tecnología e innovación. Metodológicamente, se asumió un tipo de investigación analítica mediante un diseño documental bibliográfico, tomando como referencia los perfiles de competencias generales de instituciones universitarias públicas y privadas de la Subregión Costa Oriental de Lago-Estado Zulia, al igual que las disposiciones regulatorias del Sistema Nacional de Ciencia, Tecnología e Innovación. La información se recopiló mediante la técnica de revisión documental apoyada en una matriz de registro como instrumento, dando lugar al uso de la técnica de análisis de contenido para el establecimiento de categorías y subcategorías emergentes del proceso efectuado desde una perspectiva hermenéutica cualitativa. Los resultados permitieron concluir que existe una desarticulación entre las competencias investigativas prescritas en los perfiles de egreso y las políticas públicas estudiadas, lo que indica la necesidad de formular criterios de desempeño orientados al fortalecimiento de las capacidades nacionales de CTI directamente

This study presents the analysis of the researcher's competences in the technological context and its correspondence with the Venezuelan public policies of science, technology and innovation. Methodologically, a type of analytical research was assumed through a bibliographic documentary design, taking as a reference the profiles of general competencies of public and private university institutions of the Eastern Coast Sub-region of Lake-Zulia State, as well as the regulatory provisions of the System National Science, Technology and Innovation. The information was collected using the document review technique supported by a registration matrix as an instrument, giving rise to the use of the content analysis technique for the establishment of emerging categories and subcategories of the process carried out from a qualitative hermeneutical perspective. The results allowed to conclude that there is a disarticulation between the investigative competencies prescribed in the graduate profiles and the public policies studied, which indicates the need to formulate performance criteria aimed at strengthening national STI capacities directly from the intentions declared in the university curriculum, specifically for engineer training.

Postdoctor en procesos de la ciencia y la investigación. Doctor en Ciencias mención Gerencia. Universidad Euroamericana. Panamá. Doctora en Ciencias Gerenciales. Universidad del Sinú. Colombia. Universidad Euroamericana. Panamá. Doctora en Ciencia de la Educación. Universidad Euroamericana. Panamá.

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Atencio Bravo, E.A., Rojas Hernández, L.M., Piñero Landaeta, L.d.V. / Volume 10 - Issue 42: 217-225 / June, 2021

desde las intencionalidades declaradas en el currículo universitario, específicamente para la formación del ingeniero.

Keyword: Skills profile, technological researcher, public policies, science, technology and innovation.

Palabras clave: Perfil de competencias, investigador tecnológico, políticas públicas, ciencia, tecnología e innovación. Introducción La precipitada trasformación digital que se experimenta en la aldea global, ha develado la necesidad de trascender a nuevos patrones tecnocientíficos que procuren explicar, comprender y transformar la dinámica de la realidad, donde el desarrollo de las competencias investigativa juega un papel preponderante frente a la resolución de las complejidades que dibujan la coyuntura social, económica, política, educativa, científica y cultural de estos tiempos. De tal manera, se asume la formación del recurso humano en investigación como eje medular para el incremento del capital intelectual con base a las capacidades y recursos que son condicionantes para la generación y transferencia del conocimiento desde el seno de las instituciones de educación superior, eventualidad que apunta a la formación integral del investigador en alineación con las necesidades de desarrollo en el campo de la ciencia, tecnología e innovación, según las prioridades de cada país o región. Siendo así, el esfuerzo estratégico de gran parte de las universidad de la latitud por desarrollar el pensamiento crítico del estudiante desde la formación investigativa, pero además, incrementar la producción y visibilidad de la investigación en términos de la inversión pública, los planes nacionales de ciencia, tecnología e innovación, las miradas y diálogos conjuntos que configuran mecanismos de acción, y no obstante, los estímulos que promueven la investigación, desarrollo e innovación (I+D+I), ha sido una tarea impostergable desde el anhelo de un aparato socioprouctivo nacional en constante crecimiento desde la inventiva, desarrollo, transferencia e innovación tecnológica, y consecuentemente, el escalamiento industrial que desde programas curriculares de naturaleza aplicada encuentran una marcada acentuación. Sin embargo, la formación del talento humano en investigación y su vinculación con las Actividades de Ciencia, Tecnología e Innovación (ACTI) desde los escenarios de la educación superior, cada día resultan un nudo crítico en lo que respecta formación, desarrollo y transferencia de nuevos procesos, productos y/o

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servicios tecnológicos, convirtiéndose de tal manera en una situación que convoca a centrar la mirada en la calidad de los procesos formativos curriculares y su pertinencia frente a la realidad nacional que dictamina la política nacional en Ciencia, Tecnología e Innovación, y el mercado ocupacional al cual se insertará el futuro profesional. Lo anterior, se argumenta desde los planteamientos de Atencio (2017), quien precisa según la Red Iberoamericana e Interamericana de Ciencia y Tecnología (RICyT) que: En América Latina y el Caribe para el año 2012, se ha asumido una inversión en actividades de Ciencia, Tecnología e Innovación (CTI) en relación al Producto Interno Bruto (PBI) del 1,15%, destinando a su vez un 0,74% para las actividades de Investigación y Desarrollo (I+D). Sumado a ello, para el año antes mencionado el continente tratado presenta un total de 382.961 investigadores; 95.690 becarios de I+D / Doctorado, y 21.275 patentes otorgadas, cifras que denotan un alto interés por la gestión pública ante el campo tecno-científico, aun cuando la I+D demanda mayor infraestructura. (Atencio, 2017) Desde este marco estadístico se logra evidenciar que los gobiernos de los países de Latinoamérica están evolucionando drásticamente en la formulación y desarrollo de políticas, instrumentos e instituciones que fortalezcan las capacidades nacionales en el sector de la ciencia, tecnología e innovación, y una muestra de ello lo constituye el (Decreto N° 1411, 1986), publicado en Gaceta Oficial Extraordinaria N° 6.151, quien mediante su artículo 4, expresa que: “la autoridad nacional con competencia en materia de ciencia, tecnología, innovación y sus aplicaciones debe formular la política pública nacional de ciencia, tecnología, innovación y sus aplicaciones, basada en el Plan Nacional de Desarrollo Económico y Social de la Nación, la sustentabilidad de la producción…” (p. 16)

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Según Atencio (2014), hoy día, cuando se le ha asignado mayor relevancia a los procesos vinculados con la ciencia, tecnología e innovación, cobra importancia la formación del talento humano, espacio que tal vez se podrá visibilizarse desde el desarrollo de competencias en quienes hacen vida académica en los diversos recintos universitarios, mediante modelos curriculares adaptados a las necesidades del entorno, que realmente respondan a las necesidades de investigación definidas por el Ministerio del Poder Popular para la Ciencia y Tecnología de Venezuela (2011), entre las cuales se encuentran: ambiente, energía, telecomunicaciones, política, sociedad, educación, vivienda, hábitat y desarrollo urbano, salud colectiva y finalmente seguridad y soberanía alimentaria. Al respecto, Bozo de Carmona, Camacho, Carillo, Casilla, Inciarte, Morales, Rincones, y Parra (2009), refieren que en algunas universidades del contexto venezolano se ha dado inicio al diseño curricular de perfiles académicos profesionales desde el enfoque por competencias, como producto de la incorporación del Proceso de Bolonia, el cual planteó la creación de un sistema de grados académicos flexibles y comparables desde el reconocimiento de estudios, el fomento de la movilidad estudiantil, docente e investigativa, en búsqueda de lograr la calidad de la enseñanza e incursionar en la propuesta del Espacio Europeo de Educación Superior, fundamentalmente por influencia de la difusión del Proyecto Tuning en Venezuela en el año 2000, cuyas implicaciones se inclinan al desarrollo de titulaciones comparables y comprensibles que contribuyan a la inserción de todo estudiante o profesional en el mundo académico y/o laboral. En este orden de ideas, las referidas autoras señalan que los modelos curriculares de las universidades nacionales han incorporado el enfoque por competencias reconociendo las repercusiones del mismo en la concepción, práctica y evaluación de la formación profesional, partiendo de las líneas decretadas en la declaración y proyecto antes citado, pero es preciso señalar que los esfuerzos que han hecho las universidades con relación al currículo por competencias se encuentran en su mayoría en la fase de diseño. Por lo antes expuesto, es imperante la necesidad de orientar el diseño curricular bajo el enfoque competencial centrado en la investigación, el cual según Perilla (2018),

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Corresponde a un proceso de construcción que debe trascender las dinámicas de imposición, para asegurar pertinencia desde las características de cada contexto específico. De este modo, antes de diseñar un currículo deben ser identificados los antecedentes del mismo y ellos pueden estar delimitados desde un nivel macro hasta un nivel micro; evitando de esta manera empezarlo desde la perspectiva de qué hacer, para centrarse en un para qué encaminado a dotar de utilidad la formación. (P.34) En el caso particular de las instituciones universitarias de carácter públicas o privadas del estado Zulia, específicamente de la Subregión Costa Oriental del Lago de Maracaibo, estas han orientado la transformación curricular de sus programas académicos mediante el abordaje del mencionado enfoque de competencias, donde la investigación, innovación y el desarrollo, suelen considerarse como competencias genéricas o generales que transversalizan el proceso de formación profesional en todos sus componentes, proporcionando al estudiante universitario, herramientas, conocimientos y valores necesarios para la transformación de la realidad mediante procesos investigativos, con miras a la solución de problemas prácticos y la producción de conocimientos científicos y tecnológicos. Sin embargo, se debe acotar que dichas competencias centradas en la investigación, tal vez se encuentran desarticuladas de las exigencias políticas nacionales en materia de ciencia, tecnología e innovación, debido quizás a debilidades y falta de énfasis en los procesos para el desarrollo e innovación tecnológica. Sumado a ello, resulta que tales competencias carecen de pertinencia y adecuación a las situaciones actuales que demanda el entorno, en lo que respecta a procesos de inventiva popular, escalamientos industriales, generación de prototipos, registros de patentes, entre otros aspectos que demandan un currículo universitario pertinente y centrado en la investigación, el desarrollo y la innovación, fundamentados en perfiles académicos cónsonos a la realidad del contexto y de la profesión. De allí que la postura curricular que aboga por un perfil de competencias investigativa recobra fuerzas ante la congruencia de la formación profesional que se amerita en el campo tecnológico, cuyos espacios formativos se deben al desarrollo de tales competencias, sin desvirtuar las intencionalidades curriculares que terminan promoviendo el desarrollo de procesos investigativos conforme a los parámetros de otras ciencias como las del campo humanístico social, que si bien es cierto, son complementarias ante la

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220 resolución de problemas prioritarios que requieren capacidad nacionales de ciencia, tecnología e innovación. Es por todo lo anterior que el presente estudio se centró en analizar las competencias del investigador en el contexto tecnológico y su correspondencia con las políticas públicas venezolanas de ciencia, tecnología e innovación, con el fin de responder la siguiente interrogante: ¿En qué medida se corresponden las competencias investigativas del futuro profesional del contexto tecnológico con las políticas públicas de ciencia, tecnología e innovación, y la resolución de problemas del contexto social venezolano?. Revisión de literatura Currículo universitario, políticas públicas

investigación

Comprender la dinámica curricular y los cambios vertiginosos que supone la formación profesional en contextos caracterizados por la incertidumbre, representa un reto para quienes intervienen en la ardua tarea de responder a los compromisos para con la sociedad actual, cuyas formas de interactuar, construir el conocimiento, comunicarse, y por sobre todo, de aprender han cambiado exponencialmente, promoviendo nuevas estructuras con base a la investigación y la articulación flexible entre teoría-experiencia, dando lugar ecosistemas de formación universitaria imaginables. No obstante, parece ser una lección no aprendida que el currículo es mucho más que simples contenidos normativos, y que estos encuentran pertinencia y esencialidad en la medida de la significatividad que le otorgue el estudiante, y desde ella, logre transferirlo a partir de la integralidad de saberes que propenden al desempeño idóneo esperado frente a la resolución de problemas complejos. En ese sentido, según Atencio (2014). El currículo como sistema complejo y dialógico de articulación sociocultural entre la universidad y el contexto que lo rodea, ha trascendido los diversos enfoques pedagógicos que pretenden reinventar la praxis educativa, partiendo del hecho didáctico mediante un conjunto de componentes cónsonos para su propio diseño, el cual busca la integralidad de saberes (conocer, ser, hacer, convivir y emprender), para la formación pluridimensional del ser humano, tomando en cuenta la concepción de hombre a formar, las normativas de diseño curricular vigentes, y por ende las necesidades del entorno, a las cuales se busca responder con el desempeño

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idóneo de profesionales que demuestren competencias y disposición ética para el afrontamiento de la vida, mediante la vinculación con todos los actores que hacen vida académica en los recintos universitarios (2014). En consonancia a lo anterior, Inciarte y Canquiz (2008), refieren que uno de los retos fundamentales, que ya se han venido delineando es la integralidad en la formación, la cual solo será posible en la medida que se dé la pertinencia, entendida esta como la repuesta filosófica, científica, social, personal, laboral e institucional. En este sentido, las autoras plantean que para que se haga realidad dicha concepción, la acción debe orientar el currículo hacia la satisfacción de expectativas del contexto social, científico e institucional, además de la congruencia interna de los elementos estructurales. En el mismo orden de ideas, para las autoras, tanto la integralidad como la pertinencia hacen exigencias a los actores fundamentales del currículo, los cuales deben reconocer que la educación no representa una serie de aprendizajes definitivos, sino una búsqueda permanente, en la que todo tiene un sentido y puede cambiar; por lo que entonces el aprendizaje, el egresado, el conocimiento, la tecnología, como productos del currículo, no son productos acabados sino en continua generación y transformación. Desde la postura de los investigadores, el currículo se conceptualiza como un macrosistema que argumenta la concreción del proceso formativo en todas sus instancias, atendiendo a los planteamientos de un marco filosófico, unas concepciones originarias de hombre, sociedad, cultura y educación, y un marco teórico curricular sobre el cual se edifican las intencionalidades del diseño curricular, y desde este, el plan de estudio, perfiles académicos profesionales, programación analítica y un conglomerado de instrumentos metodológicos que idóneamente buscan responder a las demandas de la sociedad y el mercado ocupacional, sumado a las necesidades detectadas frente a la formación profesional y las competencias técnicas y humanas que este requiere para el mundo globalizado. En consonancia a dicho planteamiento, Castillo y Cabrerizo (2006), precisan que el diseño curricular, se concibe como: Un proceso dinámico y estático que genéricamente se concibe como el conjunto de pautas, orientaciones o prescripciones que,

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estructurados en fases, tienen como fin elaborar o diseñar la enseñanza de una determinada materia, área o asignatura universitaria, considerando las necesidades sociales, la práctica educativa, el ejercicio profesional y los sujetos de la instrucción-formación. Por su parte, Tobón (2010), señala que el diseño del currículo desde el enfoque socioformativo, busca implementar estrategias que faciliten en todos los miembros de la institución educativa un modo de pensamiento complejo, basados en aspectos esenciales tales como la autorreflexión, la autocrítica, la contextualización del saber, la multidimensionalidad de la realidad, la comprensión de aquello que se quiere conocer e intervenir, y el afrontamiento estratégico de la incertidumbre. En ese marco de reflexión, el diseño curricular bajo las aproximaciones del enfoque tratado por Tobón, promueve que los integrantes de la comunidad educativa se formen de manera plena, con un proyecto ético de vida sólido, emprendimiento creativo y competencias, con base en el apoyo de cuatro principios clave del pensamiento complejo: auto-eco-organización, recursividad organizacional, dialógica y hologramática, los cuales se ponen en acción a través de ciclos propedéuticos, proyectos, prácticas y pasantías. Volviendo la mirada a la concepción del currículo como sistema complejo, se entiende que éste, ha de estar constituido por diversos componentes curriculares, los cuales son indispensables para abordar su confección. Desde este punto de vista, la concreción del dicho diseño se debe asumir dialógica y reflexivamente bajo la ruta que el curricultor diseñe o adopte, y, que considere pertinente para el logro de un currículo que se corresponda con las vigencias del entorno social, desde el delineado de competencias congruentes y pertinentes con los planes de ciencia, tecnología e innovación que apalancan el desarrollo del país y la sociedad en general. Sobre este escenario, Rincones (2007), plantea que el transcurrir del diseño curricular responde a tres estadios. El primero de ellos, denominado Macrocurriculo, el cual se orienta al diagnóstico contextual de la institución como proyecto organizacional, la definición de ser humano que se pretende formar, y la presentación y justificación del modelo teórico curricular que se asumirá. En segunda instancia, se tiene el Mezzocurriculo, centrado en la elaboración de perfiles académicos

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profesionales, plan de estudio y malla curricular con todos sus indicadores cuantitativos. Finalmente, la autora asume el Microcurriculo, como instancia para elaborar los programas formativos de cada unidad curricular concebida en el plan de estudios, precedido de las estrategias formativas y de evaluación. Ahora bien, para quienes abordan el hecho del diseño curricular bajo el enfoque de formación humana basado en competencias, debe estar claro que dichas competencias son consideradas como dispositivos de articulación de saberes que orientan al individuo a un desempeño basado en el mejoramiento continuo, contribuyendo a solventar problemas del contexto con responsabilidad social y compromiso éticomoral. Dado estas características, todo perfil académico profesional contentivo de las competencias genéricas y específicas a demostrar por el futuro profesional, debe inducir a un proceso formativo a fin de consolidar los conocimientos, actitudes, valores, capacidades, habilidades y destrezas requeridas por el estudiante durante el trayecto en su ciclo básico y de especialidad. Visto así, la investigación ha sido considerada como una competencia genérica o general que transversaliza el proceso de formación profesional en el contexto tecnológico, situación que se evidencia en los diseños curriculares de las universidades públicas y privadas de la Subregión Costa Oriental del Lago (COL), como en el caso de la Universidad del Zulia y el Instituto Universitario Politécnico Santiago Mariño extensión COL Cabimas. De ahí que el término competencias investigativas en el campo de las ciencias aplicadas según Atencio (2014). Se asocia con la actuación integral asumida por los estudiantes de programas académicos de naturaleza tecnológica, la cual se identifica con la capacidad del ser humano para afrontar y resolver los problemas del contexto, mediante la generación de procesos de mejoras, propuestas (modelos, metodologías y sistemas) y visibilidad del conocimiento científico, para trascender la brecha existente entre el sector tecnológico e industrial, proporcionando bienestar común para el colectivo en general. En este sentido, resulto imprescindible analizar dichas competencias investigativas formuladas en los perfiles académicos profesionales de las instituciones universitarias mencionadas con anterioridad, en el marco de las políticas públicas

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222 de ciencia, tecnología e innovación prescritas por el estado venezolano, a fin de develar la pertinencia de las mismas frente a la satisfacción de necesidades del tejido social. En torno a las políticas públicas, Atencio (2017), indica que su análisis tiene como objeto de estudio el conjunto de dispositivos conformado por: los objetivos colectivos que el Estado considera como deseable o necesarios, incluyendo el proceso de definición y de formación de estos; los medios y acciones procesadoras, total o parcialmente, por una institución u organización gubernamental; y los resultados de estas acciones, incluyendo tanto las consecuencias deseadas como las imprevistas. En palabras del mismo autor, las políticas públicas en el campo de la ciencia, tecnología e innovación, se precisan como:

tecnológica, enmarcándose en los planteamientos del Plan Nacional de Ciencia, Tecnología e Innovación (2005-2030), y en la Ley Orgánica de Ciencia, Tecnología e Innovación (2014). En virtud de ello, previa revisión documental de los referentes mencionados anteriormente, se etiquetaron como categoría de análisis las siguientes políticas públicas de ciencia, tecnología e innovación: acceso universal a las tecnologías de la información; organización del poder popular para la construcción del nuevo modelo productivo socialista; apoyo a la inventiva, creatividad, innovación y conocimiento aplicado al servicio del pueblo, y la apropiación social de la ciencia, tecnología e innovación para satisfacer las necesidades del entorno. Metodología

Un dispositivo articulador de esfuerzos públicos orientados a la formulación, ejecución y evaluación de proyectos y programas que buscan satisfacer las necesidades comunes de la región, mediante la armonización de herramientas e instrumentos si se quieren legales centradas en la participación colectiva de los actores sociales, para el fortalecimiento de la infraestructura científica y tecnológica, vinculando su compromiso con la sociedad, el ambiente, el crecimiento económico y la estructura de organización implícita en la gestión pública local con miras al desarrollo (Atencio, 2017). Partiendo de lo anterior, Sánchez (2003), refiere que desde la creación del antiguo Concejo Nacional de Investigaciones Científicas y Tecnológicas (CONICIT), se asumió la agenda, como un instrumento para el diseño y la formulación de una política pública interactiva para la generación de conocimientos, tecnologías e innovación, con miras de dar soluciones a problemáticas complejas de carácter socioeconómico, político y ambiental a través de la investigación. En este orden de ideas, se tiene que el antiguo Ministerio de Poder Popular para Ciencia, Tecnología e Innovación desde el año de su creación (2001) hasta hoy día desde su unificación con el Ministerio del Poder Popular para la Educación Universitaria, ha venido delineando diversas políticas orientadas a fortalecer el Sistema Nacional que rige la actividad científica, tecnológica y de innovación en Venezuela, procurando masificar el conocimiento y los saberes populares para la suprema felicidad y el logro de la independencia

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La investigación se abordó mediante una tipología analítica desde un enfoque cualitativo con diseño documental bibliográfico, partiendo de la revisión de textos escritos (Informes de gestión, libros, documentos online, reglamentos, entre otros) que se asocian a la problemática tratada, lo que permitió derivar categorías y subcategorias orientadas a la comprensión de las competencias del investigador en el contexto tecnológico y su correspondencia con las políticas públicas venezolanas de ciencia, tecnología e innovación. Como unidades de análisis se asumieron los perfiles académicos curriculares del campo tecnológico (Competencias generales), de instituciones universitarias públicas y privadas de la Costa Oriental del Lago de Maracaibo (Universidad del Zulia e Instituto Universitario Politécnico Santiago Mariño, extensión COL Cabimas), al igual que documentos que orientan el Sistema Nacional de Ciencia, Tecnología e Innovación en Venezuela; lo que implicó el diseño de una matriz de registro como instrumento de recolección de datos, apoyado en el uso de la técnica de revisión documental. En cuanto al tratamiento de los datos, se asumió la técnica de análisis de contenido sobre la base de una triangulación de fuentes, lo que permitió la contrastación de posturas sobre el fenómeno abordado, y desde esta, la interpretación de unidades discursivas que permitieron la estructuración de categorías emergentes. Resultados y discusión

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Partiendo del ejercicio hermenéutico efectuado sobre la base de los documentos que sirvieron

como unidad de análisis, siguientes hallazgos.

se obtuvieron los

Tabla 1. Matriz de Hallazgos. Competencias Investigativas en Perfiles Académicos Curriculares. CATEGORIA DE ANALISIS

Acceso universal a las Tecnologías de la Información

Construcción del nuevo modelo productivo socialista

Inventiva, creatividad, innovación y conocimiento aplicado al servicio del pueblo

Apropiación social de la ciencia, tecnología e innovación para satisfacer las necesidades del entorno

COMPETENCIAS GENERICAS LUZ (2007) Las Tecnologías de Información, se contemplan como una competencia genérica desvinculada de la investigación, aun cuando se presencia que para dicho proceso se requiere que del acceso y dominio de las misma, dado que se busca que el futuro profesional maneje fuentes de información documentales, para que posteriormente logre discriminar dichas fuentes. Las competencias genéricas de LUZ, requieren que el futuro profesional lidere grupos de trabajo para integrar esfuerzos, y de tal manera, establecer vínculos y relaciones con el objeto de estudio, reflexionando sobre la realidad social y el ambiente que lo rodea para transformarlo; lo que le conlleva a gestionar procedimientos para la producción de cambios en su entorno, y de tal manera, lograr explicar y comprender los hecho y fenómenos espacio-temporales. Solo se hace énfasis en la producción del conocimiento bajo un esquema lineal, mediante la observación, descripción, explicación y predicción. Es de suma importancia señalar, que las competencias genéricas analizadas obvian en su totalidad los procesos vinculados con la investigación tecnológica, y sus productos derivados, entre ellos: diseño de prototipos, sistemas o modelos; registro de patentes, escalamientos industriales y la creatividad, inventiva e innovación como procesos que se complementan. Se presencian competencias orientadas a valorar la función social de la investigación; sin embargo, no se evidencian competencias para la divulgación y promoción de la ciencia, tecnología e innovación en espacios de reflexión comunitaria, como mecanismo para la apropiación social del conocimiento y tecnologías generadas.

COMPETENCIAS GENERALES IUPSM COL (2011) La competencia de Investigación, Innovación y Desarrollo, se deslinda del uso de las tecnologías de la información para el abordaje del proceso metodológico en su carácter tecnológico, aun cuando, es preciso notificar que las competencias generales del egresado de esta institución, reconoce la tecnología de la información y comunicación como otra competencia fuera de la analizada. Se manifiestan criterios de desempeño actitudinal que implican demostrar la capacidad del egresado para tomar en cuenta las necesidades y exigencias presentes en el entorno en la creación de ideas o productos innovadores partiendo del trabajo colectivo. Sumado a ello, se refleja que el futuro profesional debe demostrar competencias para motivar a su equipo a participar proporcionando ideas innovadoras. Visto así, es preciso acotar, que no existen criterios de desempeños conceptuales y procedimentales orientados a fortalecer la política categoría de análisis. En un sentido de totalidad se presencian criterios de desempeños que conllevan al futuro profesional demostrar capacidades para desarrolla productos, técnicas, herramientas, sistemas, cultura o servicios novedosos, útiles y competitivos, en los cuales se trabaja a partir de una idea generada por necesidades detectadas en el entorno, tomando en cuenta sugerencias, innovando y fomentando la participación proactiva y el liderazgo eficaz. Sumado a ello, se hace énfasis en la producción de conocimiento para generar bienestar al colectivo social. Se hace énfasis en competencias que implican demostrar dominio y seguridad del futuro profesional ante la socialización de los hallazgos derivados del estudio realizado, reconociendo el de la investigación como fuente generadora de nuevos conocimientos. Sin embargo, no se evidencian competencias orientadas a la vinculación social con las comunidades.

Fuente: Elaboración propia (2021)

Vale la pena destacar la gran brecha que se refleja entre los hallazgos emergente del análisis efectuado y los planteamientos de Atencio (2014), quien precisa que hoy día, cuando se le

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ha asignado mayor relevancia a los procesos vinculados con la ciencia, tecnología e innovación, cobra importancia la formación del talento humano, espacio que tal vez se podrá

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224 visibilizarse desde el desarrollo de competencias en quienes hacen vida académica en los diversos recintos universitarios, mediante modelos curriculares adaptados a las necesidades del entorno. Por su parte, la mirada es imperante volver la mirada a los planteamientos de Inciarte y Canquiz (2008), quienes refieren que uno de los retos fundamentales, que ya se han venido delineando es la integralidad en la formación, la cual solo será posible en la medida que se dé la pertinencia, entendida esta como la repuesta

filosófica, científica, social, personal, laboral e institucional. Siendo así, se estima entonces que las competencias del investigador en el contexto tecnológico son poco pertinentes al obviar requerimientos específicos que desde la política nacional se orientan al desarrollo e innovación tecnológica como mecanismo para el crecimiento socioeconómico nacional. A continuación se muestra el abordaje cualitativo que desde la triangulación de fuentes sintetiza las categorías emergentes que encuentran lugar desde el ejercicio de hermeneusis documental emprendido.

Figura 1. Graficación del Abordaje Cualitativo. Fuente: Elaboración propia (2021) Conclusiones Partiendo del análisis contentivo en la matriz de hallazgos emergentes, se puede decir que existe una escueta correspondencia entre las competencias del investigador del contexto tecnológico estudiado y las políticas públicas de ciencia, tecnología e innovación analizadas, lo que implica profundizar en criterios de desempeño orientados al acceso universal a las tecnologías de la información, construcción del nuevo modelo productivo socialista, inventiva, creatividad, innovación y conocimiento aplicado al servicio del pueblo, y por ende a la apropiación social de la ciencia, tecnología e innovación para satisfacer las necesidades del entorno, con mayores niveles de congruencia desde la declaración que se precisa en los perfiles académicos de competencias generales contemplados como unidades de análisis. Visto desde la perspectiva del perfil académico curricular de la Universidad del Zulia (2007), se evidenció que existe una parcial desvinculación de las Tecnologías de la Información con las

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competencias investigativas que se pretenden desarrollar durante el ciclo de formación profesional, aun cuando dichas competencias proporcionan la construcción del nuevo modelo productivo socialista nacional, a pesar de que se obvia la inventiva, creatividad e innovación como mecanismos articuladores entre la ciencia y la tecnología, procesos que no refieren criterios de desempeños para su promoción y divulgación. No obstante, desde la intencionalidad curricular parece estar implícito, pero no concreto para su operacionalización desde los espacios formativos contemplando para tal fin. Por otro lado, se tiene que el perfil académico de egreso del Instituto Universitario Politécnico Santiago Mariño – COL Cabima (2011), reporta competencias fundamentadas en el desarrollo del uso y dominio de la tecnología de la información y comunicación aislada de la competencia genérica de investigación, aun cuando el perfil analizado se destina a la construcción del nuevo modelo productivo socialista, precisando indicadores de desempeño conceptuales,

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actitudinales y procedimentales para el desarrollo del potencial creativo, inventivo e innovador, conducentes a la promoción y divulgación de los hallazgos determinados sobre la realidad. De todo lo anterior se puede contemplar como un gran punto de reflexión y convergencia, los esfuerzos curriculares que las universidades de la Sub Región Costa Oriental del Lago-Estado Zulia, Venezuela, han consumado a favor del desarrollo integral del futuro profesional del campo tecnológico, pero aun siendo así, se amerita de una alineación curricular que dé lugar a la innovación del currículo frente a las nuevas exigencias del contexto social y ocupacional, sin dejar de poner al estudiante como actor protagónico que se sitúa al centro de toda la dinámica de la vida universitaria. Referentes Bibliográficas Atencio, E. (2014). Competencias investigativas con énfasis en el campo tecnológico en estudiantes universitarios. REDHECS: Revista electrónica de Humanidades, Educación y Comunicación Social, 9(18), 143-161. Atencio, E. (2014). Generación de competencias investigativas con énfasis en el campo tecnológico para estudiantes universitarios (Tesis de maestría). Universidad Nacional Experimental Rafael María Baralt. Venezuela. Recuperado de: https://www.academia.edu/41958049/TESIS_DE_ MAESTR%C3%8DA_GENERACI%C3%93N_D E_COMPETENCIAS_INVESTIGATIVAS_CON _%C3%89NFASIS_EN_EL_CAMPO_TECNOL %C3%93GICO_PARA_ESTUDIANTES_UNIVE RSITARIOS Atencio, E. (2017). Políticas públicas de ciencia, tecnología e innovación. Aproximaciones latinoamericanas. Ciudad Maracaibo: Editorial Astro data. Bozo de Carmona, J., Camacho, H., Carillo, G., Casilla, D., Inciarte, A., Morales A., Rincones, L., & Parra, M. (2009). Proceso de Bolonia en América Latina. Caso Venezuela. Resumen provisorio “Proceso de Bolonia en la Educación Superior en América Latina”, Venezuela, Observatorio Internacional de Reformas Universitarias (ORUS). Recuperado de: http://www.slideshare.net/AsambleaESAP/elproceso-de-bolonia-en-la-educacion-superior-deamerica-latina

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Castillo, S. & Cabrerizo, J. (2006). Formación del profesorado en educación superior. Didáctica y Curriculum. España: Editorial McGraw-Hill. Decreto de rango, valor y fuerza de Ley Orgánica de Ciencia, Tecnología e Innovación. Gaceta Oficial Extraordinaria N° 6.151, Venezuela, 20092014. Decreto N° 1.411. Decreto con rango, valor y fuerza de Ley de Ciencia, Tecnología e Innovación. Gaceta oficial de la República Bolivariana de Venezuela, Caracas, Venezuela, 13 de Noviembre de 2014. Recuperado de: http://extwprlegs1.fao.org/docs/pdf/ven147980.pdf Inciarte, A, & Canquiz, L. (2008). Formación integral desde el enfoque por competencias. Venezuela, Colección Textos Universitarios: Ediciones del Vice rectorado Académico de la Universidad del Zulia. Instituto Universitario Politécnico Santiago Mariño COL Cabimas (2011). Competencias generales del egresado, Venezuela, Material mimeografiado. Recuperado de: https://www.academia.edu/50172048/PERFIL_AC AD%C3%89MICO_PROFESIONAL_DEL_EGR ESADO_DEL_IUPSM_COMPETENCIAS_GEN ERALES Ministerio del Poder Popular para la Ciencia y Tecnología de Venezuela (2011). Necesidad de investigación 2011. Recuperado de: http://www.ucv.ve/fileadmin/user_upload/facultad _humanidades/documentos/coordinacion_de_inves tigacion/2011/31.01.2011_necesidades_investigaci on_mppctii_1_.pdf Perilla, J. (Ed.). (2018). Diseño curricular y transformación de contextos educativos desde experiencias concretas. Ciudad Bogotá: Editorial Universidad Sergio Arboleda. Rincones, L. (2007). El Currículo Cooperativo Incardinado. Trama Teórica de Sustentación, (Tesis doctoral), Universidad del Zulia, Facultad de Humanidades y Educación. División de Postgrado, Venezuela. Sánchez. (2003). Política pública en ciencia y tecnología: las agendas de Conicit. Ciudad Caracas: Editorial CEDES. Tobón, S. (2010). Formación integral y Competencias: Pensamiento complejo, currículo, didáctica y evaluación. Colombia. 3ra edición. ECOE Ediciones. Universidad del Zulia (2007). Perfil de Competencias Genéricas, Venezuela, Material mimeografiado. Recuperado de: https://curriculoluzcol.files.wordpress.com/2015/0 2/competencias_generales_mayo_2007.pdf

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DOI: https://doi.org/10.34069/AI/2021.42.06.21 How to Cite: Gatseliuk, V., Strelbitska, L., Herasymchuk, O., Pavlyshyn, A., & Khrystiuk, V. (2021). The influence of religion on the norms of criminal law and process: an international-comparative study. Amazonia Investiga, 10(42), 226-235. https://doi.org/10.34069/AI/2021.42.06.21

The influence of religion on the norms of criminal law and process: an international-comparative study Вплив релігії на норми кримінального права та процесу: міжнародне компаративістське дослідження Received: June 2, 2021

Accepted: July 12, 2021

Written by: Vitalii Gatseliuk93 https://orcid.org/0000-0002-6958-2067 Lesia Strelbitska94 https://orcid.org/0000-0003-3657-2783 Oleh Herasymchuk95 https://orcid.org/0000-0003-4064-7653 Andriy Pavlyshyn96 https://orcid.org/0000-0002-9480-0791 Valeriia Khrystiuk97 https://orcid.org/0000-0002-2994-5097 Abstract

Анотація

Criminal law and process play a significant role in regulating public relations. It is expedient to study it in terms of the influence of religion in different legal systems, as religious norms are the broader regulators of public life. The study of the religious aspect of the formation and functioning of criminal law and criminal procedure relations in different countries is an open question that needs further consideration, as well as prospects for the development of legal institutions based on religious influence. The purpose of the research is to analyze and reflect the impact of religion on the rules of criminal law and process in a comparative international context. The subject of the research is religion and criminal law and process as interdependent phenomena, international comparative study of the influence of religion on the formation of criminal law and process. As a result of the study the mutual influence of law and religion was revealed, the influence of religion on the norms of criminal law and process in different countries was analyzed, it was determined that the religious legal system is most permeated by religious norms in comparison with the legal systems of European countries.

Кримінальне право та процес займають важливе місце у регулюванні суспільних відносин. Доцільним є його вивчення у аспекті впливу релігії у різних правових системах, оскільки релігійні норми є пер ширшими регуляторами суспільного життя. Вивчення релігійного аспекту формування та функціонування кримінально-правових та кримінальнопроцесуальних відносин у різних країнах є відкритим питанням, що потребує подальшого дослідження, так само як і перспективи розвитку правових інститутів з урахуванням релігійного впливу. Метою дослідження є аналіз та вивчення впливу релігії на норми кримінального права та процесу у порівняльному міжнародному розрізі. Предметом дослідження виступають релігія та кримінальне право та процес як взаємозалежні явища, міжнародне компаративістське вивчення впливу релігії на формування кримінального права та процесу. У результаті проведеного дослідження виявлено взаємний вплив права та релігії, проаналізовано вплив релігії на норми кримінального права та процесу у різних країнах, визначено, що релігійна правова

Ph.D., Senior Researcher of the Department of Criminal Law, Criminology and Judiciary of the Institute of State and Law named after V.M. Koretsky NAS of Ukraine, Ukraine. 94 Ph. D., Senior Lecturer of Departments of state-legal disciplines of National University of Ostroh Academy, Ukraine. 95 Ph. D., National University Ostroh Academy, Ukraine. 96 Ph.D., Associate Professor of Department of Criminal Procedure and Criminalistics, Ivan Franko National University of Lviv, Ukraine. 97 Ph.D. candidate of the Department of Branch Law of Kherson State University, Ukraine.

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Keywords: religion, religious norms, law, criminal law, criminal procedure.

система найбільш пронизана релігійними нормами у порівнянні з правовими системами європейських країн.

Ключові слова: релігія, релігійні норми, право, кримінальне право, кримінальний процес. Introduction In the study of the genesis of legal norms and systems, religious norms occupy an important place as the primary source of ordering public life throughout the millennial history of society. At the stage of the emergence of regulators of public relations, the first were religious norms. As a historically primitive social regulator, religion, by its authority, enshrines certain scales of permissible or undesirable behavior for society, giving them the character of proper. At this point, drew the attention of Sh.L. Montesquieu, pointing out that because certain relationships were considered "unclean" or forbidden, and at the same time necessary (it is a marital relationship), had to turn to religion, in some cases to legitimize them, and in others – to deny (Terzi, & Zastavska, 2012). Religious norms are formed on the basis of religious ideas. They are obligatory for subjects who profess a particular religion and have an indirect influence on the behavior of subjects of other religious denominations; the sources of religious norms are sacred texts (for example, the Bible, the Koran, the Torah and others); may be the result of regulatory activities of religious organizations; aimed at regulating the internal and external religious activities of the subjects of religious relations; axiomatic and axiological; form a sacred tradition; are stable. Religious and legal norms are varieties of social norms and are integral parts of legal systems. Secular and religious legal families are distinguished according to the degree of influence of religion on legal systems. Unlike secular states, religious states use the prescriptions of religious sources as the basic law, which contains basic provisions for regulating the legal status of the head of state, government, state bodies, citizens, the procedure for making and implementing important decisions, government, compliance with religious principles. Such imperativeness of religious norms is typical, in particular, for the following countries: Saudi Arabia, Qatar, and UAE.

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In European countries, the influence of religion on the formation of branches of law is less pronounced, as such countries are secular and have a legislative separation of church and state. It should be noted, that religious norms for the law of secular states are its system-forming element. The influence of religious norms is most pronounced in the field of criminal and criminal procedure law. Religious sources such as the Bible, the Qur'an, and the Sunnah contain fundamental provisions of a transcendental nature. Thus, according to Bible provisions such as “Thou shalt not kill! Don't steal! Thou shalt not bear false witness against thy neighbor. You shan't covet your neighbor's house” (Exodus. Chapter 20, 13–17), the basis of spiritual relationships is traced, they have become the basis of modern civilization because they have proclaimed the sanctity of human life and the inviolability of private property. Theoretical Framework or Literature Review The modern doctrine of studying the question of the influence of religious norms on the formation of legal systems is based on a large number of works. Among their authors, it is necessary to allocate: Sunegin (2017), Ter-Akopov (2001), Shturmak (2009), Vovk (2009, 2010), Tkachuk (2017), Tsebenko (2019), Zavgorodnya (2017), Mima (2012), Hackeri (2012), Haustova, and Lagutina (2019), Behruz (2012), Nazymko (2015), and Golovchenko (2019). Research in this area is based on earlier acquisitions of legal doctrine. Among them, it is expedient to pay attention to the views of C.-L. Montesquieu (1955), G. Grotius (1956). Thus, this paper analyzes G. Grotius' view of natural law, namely the unambiguity of its existence, regardless of whether God exists or not. Similarly, in the context of this study, it was necessary to turn to the heritage of the medieval thinker C.-L. Montesquieu, who divided religions and law, giving them a separate sphere of influence. He endowed religion with a certain normativeness for objective reasons.

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228 Sunegin (2017) concluded that complementary and interdependent normative systems such as law, morality, and religion. In particular, he noted that the value of law as a state social regulator is determined by the nature or degree of its interaction, interaction, and interdependence with morality and religion; legal rules enshrined in law are not perceived as certain restrictions on personal freedom when their content is consistent with internal moral and religious attitudes. Vovk (2019, 2010) devoted several works to the influence of religion on legal norms. In particular, in his work "The relationship between law and religion in the Christian legal tradition: the stage of post-secularization" the author concluded that the stage of the relationship between religion and law in Western civilization is determined by the impossibility of the phenomenon of religiosity; "Rehabilitation" of the religious paradigm in the understanding of the law; increasing interaction of legal and religious systems. An essential aspect in the context of this study is the analysis of the peculiarities of the legal systems of the world.

Nazymko (2013) “Peculiarities of application of criminal legal means of response to juvenile offenders under the legislation of the Islamic Republic of Pakistan", etc. These studies contain the main provisions on the characteristics of the religious legal system, the functioning of legal institutions, features of criminal and criminal law. Further study is needed to detail the disclosure of the formation of criminal and criminal procedure law in the religious aspect, the prospects for the development of legal institutions because of religious traditions. Methodology The methodological basis of the study is a set of techniques that allowed to comprehensively study the problematic aspects of the research topic, in particular, the role of historical stages for the formation of law and religion, their interaction, religious aspect in the functioning of legal systems. The following methods were used in the study: 

This issue is revealed by the following authors: 



Geley, and Rutar (2006) (consider the essence, structure, types, and functions of the political system, revealed the concept of the legal system, detailed political and legal systems of Western Europe, Southeast Asia, Latin America, Central, and Eastern Europe, India, Muslim countries, as well as countries with economies in transition, analyzed the problems, criteria, and factors of effectiveness of these systems); Zavgorodnya (2017) studied the general theoretical aspects of the religious legal family, analyzed changes that took place in the religious legal family on the application of legal norms, highlighted such an aspect of the development of the religious legal system as ensuring the development of the individual and the realization of his rights, etc.).

Regarding the direct impact of religious norms on the formation and use of criminal and criminal procedure norms in the literature, there are a small number of works devoted to this topic. This paper analyzes the study of H. Hackeri (2012) "The influence of Islam on criminal law", Vinogradova (2015) "The system of punishment of the Muslim world", Mammadov (2020) "Islamic criminal procedure law: human rights",

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

The historical method was used to reveal the genesis of the development of legal thought about the role of religion in the regulation of social relations at different historical stages, the views of individual thinkers who expressed views on the interaction of religion and law; the method of generalization allowed to draw logical conclusions about the influence of religion on the rules of criminal law and procedure; based on the study of relevant sources in general, the main features of religious and legal norms are highlighted; applying the method of analogy, a study of the impact of the Bible on the formation of criminal and criminal procedure law in the legal systems of European countries; the method of observation, which consists in allowing the researcher not to resort to continuous research (survey), to obtain generalized data that can legitimately reflect the characteristics of the whole set of objects or phenomena, helped to analyze the features of legal systems and the role of religious norms; comparative law method, as the main in comparative studies, was utilized during the formation of a single system of influence of religious dogmas on the law, in general, and criminal and criminal procedure law, in particular. The characteristic features of legal systems, for a better understanding of

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

the essence of the factors (that influenced their formation), are also identified; the system method made it possible to compile relevant scientific material concerning the interaction of law and religion, to consistently present the results of its analysis; the method of analysis let to decompose the central material of the study into its constituent parts, which, in turn, contributed to the disclosure of the topic of the work. the method of synthesis was needed during the collection of the necessary information base, which is to highlight the relevant aspects related to the subject; method of abstraction. The use of this method allowed to single out the features of legal systems given the influence of religious norms on their formation and development, to determine specific legal norms that were formed under the influence of religion, etc., and; the method of analysis of articles, monographs, and other sources allowed a comprehensive approach to the study of the stated topic, to trace the change of opinion on the development of legal norms under the influence of religion, to identify the most appropriate ideas in the context of research.

Results and Discussion In a general sense, religion is an objectively existing phenomenon of social existence, a special socio-normative system, norms, and principles based on divine revelation and faith in God or a higher supernatural principle and regulation as the relationship of man with God on the individual, public and state levels. And interpersonal relationships, regardless of their specific manifestation based on higher moral imperatives, the source of which is determined by God himself (Sunegin, 2017). The history of law traces the close connection between religion and law. Thus, many religious norms had a legal character, regulated some political, state, civil, and other relations. Medieval thinkers (Ambrose, Blessed Augustine) considered law and religion inextricably linked. The relationship between law and religion at that time was based on the following positions: 

religion was seen as a means of substantiating the origin and functioning of law and the state;

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

the divine legitimation of law and the state conditioned the subordination of the latter and their derivative nature from religion and church, respectively; religious means were used to study law. By interpreting the sacred books with logical inferences, religious philosophers sought to prove the dogmas of the faith. The divine nature of law meant the use of the Bible as its source.

During the Renaissance, the understanding of law and religion changed. In particular, there were ideas about their separation. Thus, according to G. Grotius (1956), natural law exists and can exist, even if we assume that God does not exist. Montesquieu (1955) explicitly stated that "what concerns human affairs should not be made the subject of the teachings of divine law, nor should what belongs to divine laws be decided by human law." Characteristic features of the understanding of law and religion of the XIX century is the rational, free from religious influence nature of law and politics, thinkers of this period produce concepts that somehow return their authors to transcendent categories. A striking example of this understanding of the law is the opinion of a representative of the historical school of law Pukhta, who saw the law as the common will of all members of the legal community, united by a common legal consciousness as a common language, a common religion in one union based on physical and spiritual kinship. The foundation of law is freedom, as a result of which a person becomes a subject of law. In this case, the meaning of human freedom is determined by the existence of the divine will, because the relation of human freedom to the infinite freedom of the almighty God gives its first meaning (Ol, 2005). In the modern legal literature, there is a pluralism of opinions on the understanding of the essence of law and religion, their relationship, and their role in the regulation of social relations. Thus, Maltsev (2011) notes that law has always been, is and will be a specific ideology, which not only opens the way to analyze the importance of religion for modern law but also makes it possible to some extent to "reconcile" legal and religious consciousness, without exaggerating the scientific component of the first in line with traditional research. Ter-Akopov (2001) believes that religion is associated with all social institutions, including law, exerting influence on it through the formation of social consciousness and morality. Shturmak's (2009) position on

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230 determining the ratio of legal and religious norms is characterized by a positivist trend – religious norms end their action where the norms of state law begin to operate.

prescriptions that have a traditional or symbolic meaning (enshrinement in the legislation of nonworking days on religious holidays, the obligation to take an oath on the Bible, etc.). Religious norms also introduce the character of humanization into law (prohibition of the death penalty, abolition of cruel and degrading punishments, mitigation of conditions of punishment, expansion of social human rights) (Vovk, 2010).

The influence of religion on law is manifested, in particular, in the influence of the church on public institutions and in the contradictions that arise between the rules of law and religion. Instead, the law, as the central regulator of social relations, can not determine the development of religion but only promotes its existence in various forms through the institution of freedom of conscience and the principle of ideological pluralism, and regulates mechanisms for exercising and exercising religious rights, the order of establishment and functioning of religious organizations (Vovk, 2009),

General aspects of the relationship between law and religion can be expressed in the table by highlighting their properties based on the analysis of the works of such scholars: Tkachuk (2017), Vovk (2010), and Tsebenko (2019) – Table 1.

Table 1. General aspects of the relationship between law and religion. Information provided by Tkachuk (2017), Vovk (2010), and Tsebenko (2019). Religion Religion is an individual value: the denial of the existence of transcendent reality leads to the loss of the influence of religious ideas on human consciousness and the deprivation of religion of regulatory qualities. The authoritarian nature of religious consciousness: the believer always feels the direction of divine authority. Religious precepts are aimed at regulating thoughts, designed to help in individual suffering, hope, repentance The norms of religion cover only the believing part of the country

Law

Consolidation of rules of conduct in religious sources

The rules of law are enshrined in law

Common features of religion and law are possibility of violating established norms; onset of liability for violation of norms (in case of religion – the court of God, law – secular court).

The right is a public value: the right does not lose its normativeness in case of non-recognition of its value by an individual. Autonomous nature of legal consciousness: freedom from external authority. The rules of law govern the external side of behavior

The rules of law are national in nature

the the the the

The interaction of legal and religious norms in the process of lawmaking is seen in the following: 1) separation and separation of religion and church from the state (for example, Latvia, Portugal, Turkmenistan, Ukraine, Croatia, Yugoslavia, Moldova, and Slovenia); 2) transformation and close relationship of church and religion with the state, when there is an indirect influence on state formation and law-making, proper support of the church of a certain religious current at the legislative level (for example, Argentina, Bolivia, Spain, Italy, and Poland);

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3) direct connection of religion and church with the state, official recognition and consolidation of the status of the state religion (for example, Greece, Great Britain, Denmark, Bulgaria, Georgia, and Lithuania); 4) the legal status of religion, church, religious organizations, institutions, and communities is not defined (for example, Hungary, Venezuela, Bosnia and Herzegovina); 5) a ban on the officiality or dominance of any religion in the country (for example, Albania, Slovenia, Estonia); 6) the secular nature of the state (for example, Turkey, France) (Mima, 2012). A separate type of interaction between legal and religious norms can be distinguished by analyzing the religious legal family, in particular, where Muslim law operates.

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Countries belonging to the Muslim type of society are mainly located in the Middle East, North Africa, and South Asia (Pakistan) (Geley, & Rutar, 2006). The right system, where Muslim law prevails, has the following features:   

dogmatism, which is seen in the immutability of religious and legal precepts; conservatism, for example, in the field of family relations and protection of traditional values; use along with religious legal texts and normative legal acts of international legislation. For example, in 1981, Muslim states adopted the Universal Islamic Declaration of Human Rights, in 1990 the Cairo Declaration on Human Rights in Islam was adopted, in 1994, seven Arab League states agreed to the Arab Charter of Human Rights, in 2012, the heads of the Association of Southeast States. Asia has adopted the Declaration of Human Rights (Zavgorodnya, 2017).

The influence of religion on the norms of Muslim criminal law can be described as follows. First, all the actions and thoughts of man are considered the will of Allah, but man independently chooses specific options for their behavior and is responsible for it. As a result, any serious action is considered a violation of Muslim prohibitions, the general meaning of which is to protect the five principal values: religion, life, reason, procreation, and property (Haustova, & Lagutina, 2019). Secondly, the crime is considered a manifestation of disobedience to the will of Allah and is considered not only a legally punishable act but also a sin for which the guilty person is responsible in the afterlife. The chief source of law in Muslim countries is the Qur'an. In the Qur'an, 30 verses are devoted to criminal law. The precepts of religious law in criminal law are limited to a few offenses, yet, all other punitive norms must be established by political power within the framework of Islamic principles. Thus, the following groups of blocks of crimes are distinguished (Hackeri,2012; Vinogradova, 2015). Crimes that have a fixed punishment, but they violate the rights not only of individuals (murder and bodily harm). In the case of murder, the offender is punishable by death, the relatives of the murdered have the right to choose the form of punishment for the murderer, including monetary compensation in the amount prescribed

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by law. In this case, the criminal is released from custody; hudud – crimes that are clearly defined in the Qur'an. Such crimes include theft, robbery in a public place, alcohol consumption, illegal sexual intercourse, and slander of illegal sexual intercourse. Tazir crimes are crimes that are not defined in the Qur'an or Sunnah, and for which the right to determine the composition of the crime and establish punishment in Islamic society is given to the state authorities. It is also possible to single out the principles contained in the precepts of the Qur'an, which are recognized in the criminal law of Muslim countries. These include (Hackeri, 2012): 



  

 

the principle of precedent ("O you who believe, do not consider forbidden those things which the Lord has permitted to you", "And We never punish without sending a messenger before"); prohibition of the retroactive effect of the law ("And never imposed punishment (on the people), without sending before (to him) a messenger" and "God does not demand from anyone more than what he is capable of", "God forgives the past; however, the one who stumbles again will be punished"); the principle of equality ("There is no other advantage of an Arab over a non-Arab, except his piety "); personal responsibility ("And no one will bear the burden of another"); proportionality ("However, for those who have committed a crime, the same punishment is prepared (as the evil act itself)", "Punishment for the crime will be the same great evil"); preventive effect of punishments ("Punishment is an obstacle before the act and intimidation after it"); the principle of ultimate proof (the integrity of the Islamic criminal process is protected by the fact that the rules of evidence are strict, which ensures that criminal sentences and punishments are executed only in cases of guilt.

Islamic law only allows the submission of evidence, that is considered to have an extraordinary degree of immediate reliability. An essential way of proving is the testimony of witnesses (Shahada alshohud). Witnesses are required to be reasonable, not dumb, not deaf, not blind, adults, and not to be punished for a grave action, and their virtue and sense of honor must be beyond criticism. They may not testify in matters relating to blood relations or if they are interested; the principle of a fair and speedy trial

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232 (the Prophet himself was commanded to judge fairly, for example: Surat al-Shura: "But say: I believe in the Book sent by God; and I am commanded to judge justly among you").

for Blasphemy came into force, and in 1981, liability was established for failing to fast during Ramadan (imprisonment for up to 3 months and a fine of up to Rs 500) (Nazymko, 2015).

Pre-trial detention and bail are generally not recognized in Islam. The Qur'an explicitly forbids the use of beatings, torture, or inhuman treatment to obtain a confession, as this violates the dignity of the accused and creates a risk of false confession. The prophet warned that "God will torture on the Day of Atonement those who torture people for life." (Mammadov, 2020).

Regarding the influence of religious norms on the norms of criminal law and procedure in European countries, it should be noted the dominance of Christianity in their territories. Christianity is professed by more than 1/4 of humanity, 3/5 of them – Catholics, 1/3 – Protestants, 1/10 – Orthodox. Catholicism is widespread in the countries of Southern Europe, as well as in France and Poland. Protestantism is practiced in Finland, Sweden, Norway, Denmark, and Iceland. Orthodoxy is followed by Greeks, peoples of southern Central Europe, CIS countries (Russians, Ukrainians, Georgians, etc.) (Religious Studies, 2011).

The right to a fair trial implies the establishment of requirements for a judge (kadi), who must be impeccable in his personal conduct (not to accept bribes or gifts, not to engage in commerce, etc.). Kadi is accountable to Allah in the performance of his duties, and the Holy Qur'an reminds him: "Strong, without rudeness, indulgent, but without weakness; such that a strong and influential man should not expect justice from him, and a weak man should not lose hope of his justice. He must be sober, intelligent ... pious and ... he must not be a tyrant and contemptuous" (Mammadov, 2020). When administering justice, a judge does not refer directly to the Qur'an, but books written by authoritative lawyers, theologians, and containing interpretations of the Qur'an.

Given the vast majority of states where the Christian religion dominates, the assessment of the impact of its norms on the rules of criminal law and the process should be carried out, taking into account religious sources. The source of the Christian religion is the Bible. It consists of two parts – the books of the Old and New Testaments.

In addition, the sectoral legislation of Muslim law consists of rules based on classical Islamic law, as well as borrowed from other legal systems, for example, the Law on Islamic Criminal Punishments of the Islamic Republic of Iran (Legal Center, 2008). The first and second parts of this Law have differences in terms of purely religious norms. This can be defined in Articles 12-17 of this Law, which provide for five types of punishment - hadd, kisas, vira, tazir and deterrent measures. Hudud – standardized punishments provided by Islamic religious law; kisas – a punishment imposed on the perpetrator of crimes against life and health, equivalent to the damage caused; vira (action) – material compensation for damages caused by a crime against life and health; tazir – penalties imposed by a court, the types and amounts of which are not established by Islamic religious law and are determined at the discretion of the judge. Hudd crimes include adultery, theft, unfounded accusations of adultery, alcohol use, an armed attack on public order, same-sex relationships, and prostitution (Behruz, 2012).

The Old Testament formulates rules of conduct that have all the hallmarks of legal norms – criminal law, civil law, administrative law, and procedure. It is no coincidence that one of the chapters of the Bible was called by the Jews the Torah (law). Old Testament rules established liability for crimes against the person, private property, and religion. The Bible attaches great importance to the problems of justice. The Bible condemns unjust judges: "But they that hate the accused in the gate, and shun him that speaketh truth, O ye that make a judgment and cast down righteousness to the earth!" (Amos, 5:7, 10). Biblical precepts establish responsibility for unjust justice (Amos 5:11, 14; Jeremiah 7:5) (Golovchenko, 2019).

On the example of Pakistan, it can be argued about the inclusion of the rules of Muslim tort law in secular law. In 1980, the Law on Liability



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In modern legal doctrine, it is possible to find the idea of the Bible as the source of criminal law, which is characterized by a clear procedure for determining the sinfulness (illegality) of the act and the establishment of principles of responsibility (Nazymko, 2013). This opinion is fair, given the following facts: In the precepts of the Bible, there is the first written mention of the crime. Thus, the first Book of Moses forbade actions that are

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dangerous to man, namely, the consumption of fruit from the "tree of the knowledge of good and evil," for the violation of which accordingly applied a certain punishment – death (Genesis, 2:17). In this case, the sinful act in the form of eating the fruit of the "tree of the knowledge of good and evil" is an illegal act, i.e. one of the formal signs of a crime. The Apostle John gives the following definition of "crime": "Whosoever committeth sin transgresseth also the law" (1 John 3: 4). For committing sin, the law of God contained in Exodus 20, and 21 establishes responsibility for the fact that a person commits a sin by placing it under a "curse" (Deut. 27:26) because in this case, it is a question of crossing limits of Godallowed behavior; 

in such precepts as "And if he touches something unclean, whether the corpse of an unclean beast, or the corpse of unclean cattle, or the corpse of an unclean reptile, but did not know it, then he is unclean and guilty" is the presumption of knowledge of God's laws, in other words, ignorance of which does not absolve from responsibility (the provisions of the Old Testament (Leviticus 5: 2));



The first mention of imprisonment is found in the Second Book of Chronicles during the imprisonment of the prophet Micah (18:2526); the provisions on unjustified sentences are seen as follows: "The case must be heard in the presence of two or three witnesses" (Deuteronomy, 19:15), and emphasizes that only on the basis of the testimony of two or three witnesses should a death row inmate die (Deuteronomy, 17: 6); The principle of equality and legitimacy can be found in the following provisions: Judge not the unrighteously poor (Exodus 23: 6), I curse those who misjudge a stranger, an orphan, or a widow (Deuteronomy 27:19), I command you to turn away from unrighteousness, and not to kill the innocent: for I will not justify the wicked (Exodus 23: 7).;

One way or another, the above provisions are contained in the criminal and criminal procedure legislation of many European countries. It should be noted, that it is characteristic of the legal systems of Western Europe that the law, without being identified with religion, at the same time, takes into account religious rules, giving some of them the quality of legal norms (Table 2).

Table 2. Provisions containing the influence of religious norms in different countries. Country Germany

France

Italy

Provisions containing the influence of religious norms According to the German Criminal Code, there is a connection between the formal definition of a criminal act and the principle of "nullum crimen sine lege", i.e. the prohibition of an act by criminal law and its punishment; among the signs of the crime stands out guilt, punishment (Yaroslav the Wise National University of Law, 2016) . The French Criminal Code preserves the institutions of civilized criminal law, which were developed in the XVIII century: the principle "no crime - no punishment without its establishment by law", three-member classification of crimes (crimes, misdemeanors and violations), responsibility only for outward acts and for the presence of moral guilt (Legal Services Online, 2021). The principle of legality as one of the criminal law principles enshrined in the Constitution of Italy. The provisions of the General Part of the Italian Criminal Code contain, in particular, rules on crime and punishment (Ignatova, 2021 ).



Conclusions Given the above material, it is possible to summarize the following: 

law and religion are interrelated phenomena, which is seen in the binding nature of regulations, the onset of punishment for violations of norms, the traditional pursuit of political processes, the formation of legal awareness;

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 

There are several countries where religion is the central source of regulation of public relations at the official state level. Such states include Iran, Pakistan, Algeria, Morocco, etc. The source of law is the Koran and Sunnah; for countries located in Europe, where Christianity is professed, the influence of the provisions of the Bible is typical; criminal and criminal procedure legislation has adopted the religious content of norms as

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234 fundamental principles in the system of regulation of public relations. Regarding further research, it is necessary to pay attention to the relationship between religion and lawmaking in foreign countries and to consider the role of punishment in religious countries. Bibliographic references Behruz, H. (2012). Religious and secular norms in the legal systems of Islamic states. Comparative Jurisprudence, 3(4), 120-129. Recovered from http://nbuv.gov.ua/UJRN/porpr_2012_3-4_12 Geley, S.D., & Rutar, S.M. (2006). Political and legal systems of the world. Moscow: Veče. ISBN 5-7838-0441-X. Recovered from https://www.twirpx.com/file/435364/ Golovchenko, V. (2019). Law and the Bible. Legal relations through the prism of Christian doctrine. Legal Bulletin of Ukraine, 10, 14-18. Grotius, G. (1956). On the Law of War and Peace. Moscow: Ladomyr. Recovered from https://www.civisbook.ru/files/File/Groziy_Kn1 .pdf Hackeri, H. (2012). The influence of Islam on criminal law. Journal of the National University "Ostroh Academy": Law series, 1(5), 1-9. Recovered from http://lj.oa.edu.ua/articles/2012/n1/12hhhnkp.pd f Haustova, M.G., & Lagutina, K.O. (2019). The influence of religious traditions on the legal system in the Islamic world. Comparative and Analytical Law, 1, 63-66. Recovered from https://dspace.uzhnu.edu.ua/jspui/bitstream/lib/3 5727/1/%D0%92%D0%9F%D0%9B%D0%98 %D0%92%20%D0%A0%D0%95%D0%9B%D 0%86%D0%93%D0%86%D0%99%D0%9D% D0%98%D0%A5%20%D0%A2%D0%A0%D0 %90%D0%94%D0%98%D0%A6%D0%86%D 0%99.pdf Ignatova, M.A. (2021). Criminal law of Italy: a textbook for universities. Moscow: Yurayt Publishing House. ISBN 978-5-534-10124-9. Recovered from https://urait.ru/bcode/470178 Legal Center. (2008). Islamic Criminal Penalties Law of the Islamic Republic of Iran. St. Petersburg: Legal Center Press. Recovered from https://iran1979.ru/wpcontent/uploads/2020/09/%D0%97%D0%B0% D0%BA%D0%BE%D0%BD%D0%BE%D0%B1%D0%B8%D1%81%D0%BB%D0%B0%D0% BC%D1%81%D0%BA%D0%B8%D1%85%D1%83%D0%B3%D0%BE%D0%BB%D0% BE%D0%B2%D0%BD%D1%8B%D1%85%D0%BD%D0%B0%D0%BA%D0%B0%D0

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%B7%D0%B0%D0%BD%D0%B8%D1%8F% D1%85%D0%98%D1%81%D0%BB%D0%B0%D0% BC%D1%81%D0%BA%D0%BE%D0%B9%D0%A0%D0%B5%D1%81%D0%BF%D1% 83%D0%B1%D0%BB%D0%B8%D0%BA%D 0%B8-%D0%98%D1%80%D0%B0%D0%BDz-lib.org_.pdf Legal Services Online. (2021). Criminal law of France and Germany. Recovered from http://yuristonline.com/ukr/uslugi/yuristam/literatura/krim_ pravo/114.php Maltsev, G.V. (2011). Social foundations of law. Moscow: Statut. Recovered from https://may.alleng.org/d/jur/jur886.htm Mammadov, Yu. (2020). Islamic criminal procedure legislation: human rights. Grani, 23(10), 47-57. Recovered from https://grani.org.ua/index.php/journal/article/do wnload/1561/1542 Mima, I.V. (2012). Religious norms as social and law-making factors of society. Almanac of Law, 3, 230-233. Recovered from http://dspace.nbuv.gov.ua/bitstream/handle/123 456789/63912/47-Mima.pdf?sequence=1 Montesquieu, C. L. (1955). Selected works. Moscow: Gospolitizdat. Recovered from http://lawlibrary.ru/izdanie1709.html Nazymko, E.S. (2013). Compliance with Christian values of the regulation of the institution of punishment according to the Criminal Code of Ukraine. European Perspectives, 10, 86-90. Recovered from http://nbuv.gov.ua/UJRN/evpe_2013_10_16 Nazymko, E.S. (2015). Peculiarities of application of criminal-legal means of response to juvenile offenders under the legislation of the Islamic Republic of Pakistan. Scientific herald of the Lviv State University of Internal Affairs, 1, 334-347. Recovered from http://repo.dli.donetsk.ua/jspui/handle/12345678 9/627 Ol, P. A. (2005). Legal understanding: from pluralism to dual unity. St. Petersburg: Legal Center-Press. Religious Studies. (2011). The population of the world and its confessional structure. Recovered from https://ru.osvita.ua/vnz/reports/relig/20846/ Shturmak, N.Z. (2009). Peculiarities of religious legal understanding in Ukraine and its role in world religious and legal processes. Jurisprudence: theory and practice, 8, 37-44. Recovered from http://nbuv.gov.ua/UJRN/utp_2009_8_5 Sunegin, S.O. (2017). Law, morality and religion as social regulators: objective and subjective

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dimensions. Legal State, 28, 145-163. Recovered from http://nbuv.gov.ua/UJRN/PrDe_2017_28_20 Ter-Akopov, A. (2001). Christian principles and their development in Russian law. Russian justice, 7, 67-68. Terzi, O.S., & Zastavska, L. Yu. (2012). Political and legal views of S. Montesquieu. Nauka. Religion. Society, 4, 110-113. Recovered from http://nbuv.gov.ua/UJRN/Nrs_2012_4_21 Tkachuk, I.D. (2017). Correlation of religion and law as forms of regulation of social relations. Journal of Kyiv University of Law, 4, 47-50. Recovered from http://nbuv.gov.ua/UJRN/Chkup_2017_4_12 Tsebenko, S.B. (2019). Legal and religious norms as regulators of social. Law and Society, 1, 35-39. Recovered from http://pravoisuspilstvo.org.ua/archive/2019/1_2 019/part_1/8.pdf Vinogradova, S.O. (2015). System of punishments of the countries of the Muslim world. Scientific herald of the Kherson state university. Series: Legal Sciences, 3(2), 61-63. Recovered from

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http://nbuv.gov.ua/UJRN/Nvkhdu_jur_2015_3 %282%29__17 Vovk, D. (2010). Correlation of law and religion in the Christian legal tradition: the stage of postsecularization. Bulletin of the Academy of Legal Sciences of Ukraine, 4(63), 58-67. Recovered from http://dspace.nlu.edu.ua/handle/123456789/617 9 Vovk, D.O. (2009). Law and religion. Kharkiv: Pravo. Recovered from http://library.nlu.edu.ua/POLN_TEXT/MONOG RAFII_2010/Vovk_2009.pdf Yaroslav the Wise National University of Law. (2016). Methodical recommendations and tasks for practical classes and term papers in the discipline "Comparative Criminal Law". Kharkiv: Yaroslav the Wise National University of Law. Recovered from https://dspace.nlu.edu.ua/bitstream/123456789/1 0323/1/Metod_Rec_150.pdf Zavgorodnya, Yu. (2017). Religious legal family in modern conditions: general theoretical aspect. Actual problems of domestic jurisprudence, 1(2), 11-13. Recovered from http://nbuv.gov.ua/UJRN/apvu_2017_1%282% 29__5

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Bazhenova, A., Desyatnik, A., Mudretska, H., Pakipova, I. / Volume 10 - Issue 42: 236-247 / June, 2021

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DOI: https://doi.org/10.34069/AI/2021.42.06.22 How to Cite: Bazhenova, A., Desyatnik, A., Mudretska, H., & Pakipova, I. (2021). Ensuring the detection of property in the institute of property seizure. Amazonia Investiga, 10(42), 236-247. https://doi.org/10.34069/AI/2021.42.06.22

Ensuring the detection of property in the institute of property seizure Забезпечення виявлення майна в інституті накладення арешту на майно Received: June 10, 2021

Accepted: July 13, 2021

Written by: Anastasiia Bazhenova98 https://orcid.org/0000-0002-4652-0330 Anatolii Desyatnik99 https://orcid.org/0000-0002-2930-5102 Hanna Mudretska100 https://orcid.org/0000-0002-8203-1710 Inna Pakipova101 https://orcid.org/0000-0003-2456-0515

Abstract

Анотація

The article is devoted to the study of certain issues of property detection in the institution of seizure of property. On the basis of comparative legal analysis, the possibility of ensuring the detection of property using search and seizure within the Criminal Procedure Code of the past and modern Criminal Procedure Code of Ukraine and foreign countries was assessed. The rights of the victim under the Convention for the Protection of Human Rights and Fundamental Freedoms are analyzed in terms of his/her right to a fair and public hearing within a reasonable time by an independent and impartial tribunal established by law to decide his/her civil rights and obligations. The application of the criminal procedural legislation of Ukraine is analyzed taking into account the practice of the European Court of Human Rights on the protection of human rights in relation to the rights of individuals or legal entities to peacefully own their property. Emphasis is placed on the fact that the previous provisions do not in any way restrict the right of the state to enact such laws as it deems necessary to exercise control over the use of property in accordance with the general interest. Scientific methods such as analysis,

Стаття присвячена дослідженню окремих питань виявлення майна в інституті накладення арешту на майно. На підставі порівняльно-правового аналізу оцінено стан регламентації кримінальним процесуальним правом можливості для сторони обвинуваченого забезпечення виявлення майна з використанням обшуку та виїмки в рамках КПК минулих часів та сучасних КПК України та іноземних держав. Проаналізовані права потерпілого у відповідності до Конвенції про захист прав людини і основоположних свобод в частині його права на справедливий і публічний розгляд його справи упродовж розумного строку незалежним і безстороннім судом, встановленим законом, який вирішить спір щодо його прав та обов’язків цивільного характеру. Проаналізовано застосування кримінального процесуального законодавства України з урахуванням практики Європейського суду з прав людини про захист прав людини щодо прав фізичних або юридичних осіб мирно володіти своїм майном. Акцентовано увагу на тому, що попередні положення жодним чином не

Investigator of the Investigative Division of the Police Department № 1 of the Odessa District Police Department № 1 of the Main Directorate of the National Police in Odesa Oblast (Region), graduate student of the Criminal Procedure Department of the Odessa State University of Internal Affairs (Odessa, Ukraine). 99 Head of the Monitoring Department of the Personnel Department of the Odessa State University of Internal Affairs, Police Colonel, Ph.D., (Odessa, Ukraine). 100 Associate Professor of the Department of Criminal Procedure, Faculty of Training for Pre-trial Investigation, Odessa State University of Internal Affairs, Ph.D. (Odessa, Ukraine). 101 Ph.D., Associate Professor of the Department of Criminal Procedure, Detective and Operational Investigation National University "Odessa Law Academy", Ukraine. 98

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synthesis, formal-legal and comparative-legal method became the methodological basis of the research. Keywords: investigator, prosecutor, search, seizure, temporary access to property and documents.

обмежують право держави вводити в дію такі закони, які вона вважає за необхідне, щоб здійснювати контроль за користуванням майном відповідно до загальних інтересів. Методологічною базою дослідження стали такі методи, як аналіз, синтез, формальноюридичний і порівняльно-правовий метод. Ключові слова: слідчий, прокурор, обшук, виїмка, тимчасовий доступ до речей і документів.

Introducción Ukraine, represented by state bodies, is implementing the strategic course of the state for full membership in the European Union, which corresponds to the provisions set out in Art. 85, 102, 116 of the Constitution of Ukraine (Law No. 254к/96-VR, 1996). In general, Ukraine is working consistently to bring national legislation in line with EU standards. One of the important steps was the adoption of the new Criminal Procedure Code of Ukraine (Law No. 4651-VI, 2012) nine years ago, which radically changed the rules of criminal proceedings. At present, many changes and additions have been made to the Criminal Procedure Code (Law No. 4651-VI, 2012), but a number of areas of procedural activity remain debatable and require further scientific development, consideration by the legislator and implementation in practice. An important issue so far is to identify ways to identify and search for property that may be seized. This is due to the interests of the victim, which must be taken into account in the context of compliance with regulatory requirements for the implementation of the tasks of criminal proceedings, defined in Part 1 of Art. 2 of the Criminal Procedure Code of Ukraine (Law No. 4651-VI, 2012). Paragraph 2 of Part 1 of Art. 170 of the Criminal Procedure Code (Law No. 4651VI, 2012) stipulates that the investigator and the prosecutor must take the necessary measures to identify and search for property that may be seized in criminal proceedings. But the wording that "the investigator, the prosecutor must take the necessary measures" may not sufficiently provide compensation to the victim. In our opinion, it is necessary to provide law enforcement agencies with the opportunity to use a wider range of legal methods to identify and search for property, i.e. to expand the possibilities of identifying property that can be seized.

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The purpose of the article is to analyze the problematic issues of property detection in the institution of seizure of property. The object of the study is the public relations that are formed during the detection of property in the institution of seizure of property. The subject of the study is Ukrainian and foreign regulations and the practice of their application, in particular, the European Court of Human Rights. In addition, the authors of the study concluded that an effective way to identify and search for property that can be seized is a search, as well as, in certain circumstances, temporary access to things and documents, which in the future can be transformed into a seizure institution. Based on the results of the study, amendments and additions to the Criminal Procedure Code of Ukraine (Law No. 4651-VI, 2012) are proposed. If the legislator will take them into account it will strengthen the possibility of identifying property that can be seized and further ensuring compensation by the prosecution through the institution of seizure of property. Theoretical Framework or Literature Review Certain problematic issues in the institution of seizure of property in criminal proceedings have been considered at different times by both scholars and practitioners. With the Criminal Procedure Code of Ukraine from 2012, problematic aspects of its application became apparent. Tatarov (2013) in the first year of the Criminal Procedure Code raised the issue of seizure of temporary confiscated property, and also drew attention to the need to provide in some cases the seizure of things and documents (seizures) that are relevant to criminal proceedings, by decision of the investigator, agreed with the prosecutor (Tatarov, 2013). Smokov and Lisnichenko (2014) considered the problematic issues that arose in law enforcement

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238 activities related to the temporary seizure of property, as a result of which practical recommendations were given on how to act during the temporary seizure of property during inspection, search and detention and a personal search of the offender. Rudenko (2015) touched upon the issue of disclosure of the concept and essence of seizure of property in criminal proceedings. Kutskir (2015) investigated the grounds and procedural rules for restriction and deprivation of property rights on the basis of a reasoned court decision on the seizure of property. Muzychenko (2016) described the procedure for the seizure of property, which is associated with the restriction of property rights during the pretrial investigation. Lepei (2017) considered some issues concerning the clarification of the concept of seizure of property in criminal proceedings, disclosure of the essence of seizure of property, clarification of grounds, purpose, subject of seizure of property, as well as the status of persons subject to this measure to ensure criminal proceedings. decision on seizure of property and its cancellation, clarification of the place and significance of seizure of property in the system of procedural decisions in criminal proceedings. In studying the legal mechanism for ensuring the inviolability of property rights in criminal proceedings, Drozd (2019) described the seizure of property as a way to limit and deprive property rights in criminal proceedings. Verkhoglyad-Herasymenko (2017) considered the norms of the Criminal Procedure Code of Ukraine, which determine the purpose, grounds and conditions of seizure of property of third parties in criminal proceedings. Hlovyuk (2017) considered several problematic issues related to the seizure of property, such as the seizure of property in criminal proceedings, including to ensure the preservation of material evidence. Also, Hlovyuk (2016) studied the problems of regulations and the practice of evidence in resolving the issue of seizure of property in the context of the prosecution as a subject of evidence. These and other scholars have made a huge contribution to the interpretation and clarification of the new legislation related to the seizure of property, assessed the effectiveness of the

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application of this legislation and proposed changes to it. At the same time, the issues of property detection in the application of the institution of seizure of property, which further provides compensation for damages by the prosecution through the institution of seizure of property, including compensation to the victim, remain incompletely studied. The article aims to study certain issues of property detection in the application of the institution of seizure of property, and one way to identify and search for property that can be seized is a search, as well as in certain circumstances the temporary access to things and documents. The latter in the future can be transformed into the institution of special seizure. Methodology The fundamental method of any scientific research is the method of analysis. It allows to know all the manifestations of the studied phenomenon and draw the necessary conclusions about its condition and further development. This article is not an exception to the general rule, as its authors used this method as the main one in the study of the detection and seizure of property of the accused by state officials in criminal proceedings for crimes. In particular, the method of analysis allowed to study the current criminal procedure legislation of Ukraine for compliance with the best models of European legislation and to draw sound conclusions about the directions of its improvement. Another general scientific method used by the authors of the article during their research was the method of synthesis. It is this method that made it possible to capture and summarize the problematic issues related to the detection and seizure of the accused's property, which became the basis for formulating the proposals of the authors of this article to amend the current criminal procedure legislation of Ukraine. With regard to formal-legal and comparativelegal methods, they can be attributed to special scientific methods. They are, among others, the basic methods in carrying out any serious scientific legal research. In this article, these methods allowed at a high professional level to analyze and compare domestic and foreign legislation governing the detection and seizure of property of a person accused of a crime. These methods also allowed the authors to make sound proposals for improving domestic legislation in the study area.

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The authors also used special research methods: comparative legal method – to investigate national and international legislation, current criminal procedure law relating to the institution of seizure of property, search, temporary access to property and documents, seizures; special legal method: logical-legal and systematic methods were used for the formulation of relevant conclusions. Results and Discussion Assessing the state of regulation by criminal procedural law of the possibility of ensuring the rights of the victim through the institution of search and seizure, it should be noted that the Criminal Procedure Code of Ukraine of 1960 (Law No. 1001-05, 1960), provided more opportunities for the accused party to use search and seizure to establish, seize the valuables and property of the accused or suspect in order to secure a civil lawsuit. Unfortunately, the current Criminal Procedure Code does not provide for the purpose of conducting a search, temporary access to property and documents, as securing a civil lawsuit. Given the above, in our opinion, the issue of protection of the victim from the consequences of a criminal offense in terms of compensation for damage, including the proper provision of a civil lawsuit, is given insufficient attention by the legislator. In connection with the above, it is appropriate to indicate that the victim has the right in accordance with paragraph 1. Art. 6 "Right to a fair trial" of the Convention for the Protection of Human Rights and Fundamental Freedoms (United Nations, 1950), according to which everyone has the right to a fair and public hearing within a reasonable time by an independent and impartial tribunal established by law to decide his rights and obligations of civil nature. In accordance with Part 5 of Art. 9 of the Criminal Procedure Code of Ukraine (Law No. 4651-VI, 2012), the criminal procedure legislation of Ukraine is applied taking into account the case law of the European Court of Human Rights. The judgment of the European Court of Human Rights in Zhushman v. Ukraine No. 13223/05 of 28 May 2009 states that "every natural or legal person is entitled to the peaceful enjoyment of his possessions. No one shall be deprived of his possessions". This decision is based on the provisions of Art. 1 "Protection of property" of Protocol No. 1 to the Convention for the Protection of Human Rights and Fundamental Freedoms (United Nations, 1952),

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which provides that every natural or legal person is entitled to the peaceful enjoyment of his possessions. No one shall be deprived of his possessions except in the public interest and subject to the conditions provided for by law and by the general principles of international law. However, the preceding provisions do not in any way restrict the right of a State to enact such laws as it deems necessary to control the use of property in the general interest or to ensure the payment of taxes or other charges or fines. In other words, property rights are not absolute and should not dominate state interests. The state itself, represented by the authorized bodies, has the right to establish and enforce such laws as it deems necessary to exercise control over the use of property in accordance with the general interest. Accordingly, ensuring a prompt, complete and impartial investigation and trial so that everyone who has committed a criminal offense is brought to justice, as defined in Part 1 of Art. 2 of the Criminal Procedure Code of Ukraine, is a general interest specified in the Protocol (№ 1) of the Convention for the Protection of Human Rights and Fundamental Freedoms of 1952. In accordance with Part 1 of Art. 170 of the Criminal Procedure Code of Ukraine (Law No. 4651-VI, 2012), the investigator, prosecutor must take the necessary measures to identify and search for property that may be seized in criminal proceedings, in particular by requesting the necessary information from the National Agency of Ukraine for detection, search and management of assets obtained from corruption and other crimes, other state and local government bodies, individuals and legal entities. The position of this article that the investigator discovers the property in particular by requesting the necessary information from the National Agency of Ukraine for Detection, Investigation and Management of Assets Obtained from Corruption and Other Crimes, other state and local governments, individuals and legal entities, is not fully meets the needs of practice and in our opinion should be expanded in order to allow law enforcement agencies to use a greater set of legal means of detecting such property, i.e. to expand the possibilities of detecting property. The question arises, how to identify and search for property? Thus, in our opinion, one of the ways to identify and search for property that can be seized is a search, as well as in certain circumstances and

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240 temporary access to property and documents. The latter in the future can be transformed into the institution of special seizure. This is explained by the fact that the investigator, the prosecutor, may legally enter the dwelling or other property of a person or part of during a search and temporary access to things and documents. Accordingly, during the search, temporary access to things and documents, the investigator, the prosecutor may directly identify the property listed in Art. 170 of the Criminal Procedure Code, namely in respect of which there is a set of grounds or reasonable suspicions that it is evidence of a criminal offense, is subject to special confiscation from the suspect, accused, convicted, third parties, confiscation from a legal entity to secure a civil claim, recovery from a legal entity illegal gain, possible confiscation of property. However, according to Part 1 of Art. 234 of the Criminal Procedure Code (Law No. 4651-VI, 2012), the search is conducted only for the purpose of:    

detection and recording of information about the circumstances of a criminal offense; finding the instrument of a criminal offense; finding property that was obtained as a result of its commission; establishing the location of wanted persons.

In this case, the search for a tool of a criminal offense – is the search for property in respect of which there is a set of grounds or reasonable suspicion that it is evidence of a criminal offense, according to Part 1 of Art. 170 of the Criminal Procedure Code (Law No. 4651-VI, 2012), the said property may be seized under Part 1 of Art. 170 of the Criminal Procedure Code (Law No. 4651-VI, 2012). Finding only the property that was obtained as a result of its commission does not cover the entire set of property that can be seized in criminal proceedings under Part 1 of Art. 170 of the Criminal Procedure Code (Law No. 4651-VI, 2012). The legislator ignored the property listed in Part 1 of Art. 170 of the Criminal Procedure Code (Law No. 4651-VI, 2012), which may be seized, namely property in respect of which there is a set of grounds or reasonable suspicions to believe that it: is subject to special confiscation from the suspect, accused, convicted, third parties; subject to confiscation from a legal entity, subject to

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securing a civil lawsuit; is subject to ensuring recovery from the legal entity of the received illegal benefit; subject to ensuring the possible confiscation of property. Summarizing the above, it can be noted that the main purpose of the search is not to identify property that may be seized. At the same time, the law obliges, namely Part 1 of Art. 170 of the Criminal Procedure Code (Law No. 4651-VI, 2012), that the investigator, the prosecutor must take the necessary measures to identify and search for property that may be seized in criminal proceedings. It is obvious that the Criminal Procedure Code (Law No. 4651-VI, 2012) has certain omissions in this part, which do not allow the prosecution to fulfill the specified regulatory requirements of Par. 2 Part 1 of Art. 170 of the Criminal Procedure Code (Law No. 4651-VI, 2012), as well as to comply with the regulatory requirements of Part 1 of Art. 2 of the Criminal Procedure Code on the tasks of criminal proceedings in terms of protection of the individual (including the victim), society and the state from criminal offenses, protection of rights, freedoms and legitimate interests of participants in criminal proceedings (including the victim), as well as ensuring prompt, complete and impartial investigation and trial so that anyone who commits a criminal offense is prosecuted to the extent of their guilt. To solve this problem, it is necessary to refer to the developments of the legislation of previous years, modern legislation of other countries, the practice of law enforcement of this legislation. For example, the wording of the provisions concerning the seizure of property in Art. 174 of the Criminal Procedure Code (Law No. 4651-VI, 2012) of the former Georgian SSR, approved on December 30, 1960, which is called "Seizure of property". It stated the following: "In order to secure a civil lawsuit or possible confiscation of property, the investigator must seize the property of the accused, suspect or persons legally liable for their actions, or other persons from whom the property acquired is located by criminal means (Part 1). Seizure of property can be carried out simultaneously with the seizure or search or independently" (Part 2) (Yskandyrov, 2010). For comparison, it is necessary to point out the possibility of conducting a search under the Criminal Procedure Code of Ukraine adopted in 1960. Thus, in accordance with the Law of Ukraine of June 21, 2001, Law No. 2533 "On Amendments to the Criminal Procedure Code of Ukraine", Art. 177 of the Criminal Procedure

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Code is set out in a new wording and was entitled "Grounds for the search and the procedure for consent to its conduct." According to the new wording, a search is carried out in cases where there are sufficient grounds to believe that the instruments of the crime, things and valuables obtained by criminal means, as well as other items and documents relevant to establishing the truth in the case or securing a civil claim are in a certain room or place or in any person. A search is also carried out when there is sufficient evidence that there are wanted persons, as well as corpses or animals in a certain room or place. The possibility of conducting a search in cases where there are sufficient grounds to believe that objects and documents relevant to securing a civil claim are located in a certain room or place or in any person under Article 177 of the Criminal Procedure Code of Ukraine in 1960 has existed since 2001 till the entry into force of the Criminal Procedure Code in 2012, but was not enshrined in the Criminal Procedure Code in 2012, which negatively affects the level of further securing of a civil claim and compensation for damages. The authors of the textbook "Criminalistics" referring to Part 3 of Art. 177 of the Criminal Procedure Code of Ukraine in 1960, on the eve of the new Criminal Procedure Code in 2012, stated that in urgent, extreme cases, a search may be conducted by order of the investigator, but with mandatory notification of the prosecutoer within 24 hours of the search and its results. The authors note that the search is often accompanied by such a degree of procedural coercion as the seizure of property, which is expressed in the prohibition of the person in whom the property is described to dispose of it (Blahuta, Sybirna, & Baraniak 2012). That is, in fact, the search was allowed to ensure a civil lawsuit in a direct statement, in contrast to the current version of Part 1 of Art. 234 of the Criminal Procedure Code of 2012. Unfortunately, the established legislative practice of using a search to secure a civil lawsuit was not taken into account by the legislator when adopting the Criminal Procedure Code in 2012, as well as during the 9 years of its further existence. The fact that the previous legislation allowed the seizure of property at the same time as the search and seizure needs to be noted. It is interesting that according to Part 2 of Art. 175 of the Criminal

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Procedure Code of the Russian RSFR (Law No. 3275, 1960), Part 3 of Art. 174 of the Criminal Procedure Code of the Byelorussian SSR (Law No. 29.12.1961, 1961), Part 2 of Art. 174 of the Criminal Procedure Code of the Georgian SSR (Central Committee of the Communist Party of Georgia, 1961), Art. 195 of the Criminal Procedure Code of the Lithuanian SSR (1972), Art. 175 of the Criminal Procedure Code of the Latvian SSR (1961) seizure of property may be carried out simultaneously with the seizure or search or independently. Thus, the authors of the textbook "Soviet Criminal Procedure" noted in the criminal process of the Russian RSFR that the seizure of property as an investigative action is carried out, as a rule, simultaneously with the seizure and search (Bozhiev, (1990). Such powers gave the investigator urgent and effective procedural opportunities in the use of search and seizure at the institution of seizure of property in order to carry out the tasks of criminal proceedings. It is noteworthy that despite some uniformity of criminal procedure legislation of the former Soviet republics, some Criminal Procedure Codes at the time had their own peculiarities, including the possibility of confiscating property during a search, seizure to secure a civil lawsuit or confiscation of property. For example Art. 137 of the Criminal Procedure Code of the Kazakh SSR (1969), Art. 196 of the Criminal Procedure Code of the Azerbaijan SSR (1971) provided that during the seizure and search only items and documents that are relevant to the case may be seized, as well as valuables or property in order to secure a civil lawsuit or confiscation of property. Art. 162 of the Criminal Procedure Code of the Armenian SSR (1971) provided that during a search or seizure may be seized items and valuables obtained by criminal means, items and documents relevant to the criminal case, as well as the values and property of the accused to secure a civil lawsuit or confiscation of property. Art. 174 of the Criminal Procedure Code of Georgian SSR provided that, if necessary, the seized property could be confiscated. When seizing money deposits, any transactions on them are stopped (Central Committee of the Communist Party of Georgia, 1961). The authors of the textbook "Criminology" edited by Belkin (2001) noted that the search tasks under Art. 168 of the Criminal Procedure Code of the RSFSR was to reveal property that could be confiscated or serve to secure a civil

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242 lawsuit. The investigator was obliged to seize the property of the accused, suspect or a person legally liable for his actions, as well as other persons who have property acquired by criminal means. The authors of the textbook "Investigative actions (procedural characteristics, tactical and psychological features)" (Ministry of Internal Affairs of the USSR, 1984) within the Criminal Procedure Code of the Russian Federation indicated the possibility of seizing property simultaneously with the search and seizure or independently. It was noted that in order to seize the property, the investigator makes a reasoned decision. Part 1 of Art. 186 of the Criminal Procedure Code of Ukraine of 1960 "Seizure of objects and documents" provided that during a search or seizure may be seized valuables and property of the accused or suspect in order to secure a civil lawsuit or possible confiscation of property. We consider it necessary to emphasize that in the Criminal Procedure Code of Ukraine of 1960 the procedure for search and seizure was regulated in Chapter 16 "Search and seizure". In our opinion, this is not accidental and is explained by similar tasks that are solved both during the search and during the seizure. Thus, in accordance with Part 1 of Art. 177 of the said Criminal Procedure Code "Grounds for conducting a search and the procedure for granting consent to conduct it", the search was conducted in cases where there are sufficient grounds to believe that the instrument of the crime, things and valuables obtained by criminal means, as well as other items and documents values for establishing the truth in the case or securing a civil lawsuit, are in a certain room or place or in any person. The seizure had similar tasks. In accordance with Art. 178 of the Criminal Procedure Code of Ukraine of 1960 "Grounds for seizure and the procedure for consent to seizure", seizure was carried out in cases when there was accurate evidence that items or documents relevant to the case are in a certain person or place. The difference between a search and a seizure is the degree of awareness of the location of objects or documents. That is, when searching for information about things and valuables, other items and documents are less specific and require search activities. At the same time, the legislator, in our opinion, unjustifiably in the Criminal Procedure Code of

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Ukraine in 2012 sections between search and related to the search temporary access to things and documents, this institution of temporary access is actually created based on the last seizure under the 1960 Criminal Procedure Code. Thus, according to the Criminal Procedure Code in 2012, the institution of temporary access to things and documents is classified as a measure of criminal proceedings, which are listed in Chapter II of the Criminal Procedure Code of Ukraine. Although, in essence, this institution is aimed at obtaining evidence through investigative (search) actions and should be placed next to the search, part of the regulation of the search and temporary access to things and documents should be placed in joint articles. It should be added, that, in general, we take the position that the institution of temporary access to things and documents should be transformed into a time-tested institution of seizure. These institutes of search and seizure in the framework of our study are of interest to us as tools for identifying property that can be seized. An essential feature of this legislation was that the investigator had some independence in deciding to seize property, including at the same time as seizure or search. In some countries of the European Union, the prosecution also has the right to seize property immediately if necessary, but with further notification to the court to further verify the validity and legality of the measures taken. Peculiarities of procedural regulation of the institution of seizure of property in other countries should be used in national legislation to improve the mobility of the institution, reduce the chain of the decision to seize property from the moment of need to conduct proper registration of results. To reject possible allegations that the provisions of the Criminal Procedure Code of 1960 are quite outdated, including in terms of searches, seizures, and other investigative actions, it is necessary to refer to the current versions of the Criminal Procedure Code of the European Union and other countries, that are listed as countries with a developed legal culture and to which there are no significant complaints about their criminal procedure legislation. The Criminal Procedure Code of these states, as well as the Criminal Procedure Code of Ukraine in 1960, the Criminal Procedure Code of the republics of the former USSR, do not have a complicated search procedure and allow them to be conducted in a short time from the need to conduct such a search until its completion, registration of results and notification to the court or to the prosecutor's

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office about the fact of its carrying out, for check of legality of its carrying out. In our opinion, the approach of the legislators of the Republic of Estonia to the search, including its purpose, is indicative. Thus, in paragraph 1 of Art. 91 "Search" of the Criminal Procedure Code of the Republic of Estonia (2003) stipulates that the purpose of the search is to find in the building, premises, vehicle or in a fenced area of the object, which is used as evidence or confiscated; a document, subject or person necessary for the consideration of a criminal case; property subject to seizure for confiscation or compensation for the damage caused by the crime, or a corpse, or detention of the wanted person. That is, in contrast to the Criminal Procedure Code of Ukraine, the purpose of a search of the Estonian Criminal Procedure Code is to identify property that is subject to seizure to confiscate or compensate for the damage caused by the crime. Paragraph 2 of this article stipulates that, unless otherwise provided by this Code, a search may be conducted at the request of the prosecutor's office based on a decision of a preliminary investigation judge or a court decision. Noteworthy is that according to paragraph 3 of Art. 91 of the Criminal Procedure Code of the Republic of Estonia (2003), a search may be carried out based on a prosecutor's order, except for a search at a notary or law firm, or a search of a person processing information for journalistic purposes, if there are grounds to believe that the suspect uses or used at the time of the crime or during the pre-trial proceedings, and the person is suspected of committing a crime referred to in part 2 of Article 126-2 of this Code. That is, the search is carried out without a complicated procedure of prior agreement with the investigating judge, as provided for in Articles 234-235 of the Criminal Procedure Code of Ukraine. It is of interest to search under the Criminal Procedure Code of the Republic of Estonia, including the possibility of detecting during the search of property to be seized for the purpose of confiscation or compensation for damage caused by the crime. Article 126-2 of the Criminal Procedure Code of the Republic of Estonia has a reference character and lists a number of articles of the Criminal Code of the Republic of Estonia. The specified list includes, for example, Art. 101 "Intentional homicide under aggravating circumstances", Art. 102 "Murder of the mother of her newborn child", Art. 108 "Intentional infliction of

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grievous bodily harm", Art. 110 "Infliction of particularly grievous bodily harm in excess of the limits of necessary defense", Art. 141 "Robbery", Art. 141-1 "Theft by misappropriation, embezzlement or abuse of office" of the Criminal Code of the Republic of Estonia (2003). The efforts of the legislators of the Republic of Estonia to reduce the procedure for approving a search in the event of an urgent need for it are worthy of positive assessment. So, in item 5 of Art. 91 "Search" of the Criminal Procedure Code of the Republic of Estonia stipulates that in urgent cases, when timely execution of the search warrant is not possible, under the conditions specified in part 3 of this article, the search may be carried out with the permission of the prosecutor's office. Paragraph 6 of this article stipulates that when conducting a search on the grounds specified in parts 3 and 5 of this article, the judge of the preliminary investigation shall be notified through the prosecutor's office during the first working day following the search. The judge of the preliminary investigation shall make a decision on declaring the search admissible by his decision, which may be made in the form of an accompanying inscription on the decision of the prosecutor's office. Part 7 of this article provides that in the case referred to in part 5 of this article (when applying a search to the person being searched, or an adult member of his family or a representative of a legal entity, state or municipal institution where the search is conducted) explained the circumstances referred to in paragraph 4 of this article and the reasons why the search is carried out on urgent grounds. The person shall sign the resolution to clarify the circumstances. In the absence of an appropriate person or representative, it is necessary to involve a representative of the local government. Part 10 of Art. 91 of the Criminal Procedure Code of the Republic of Estonia stipulates that during a search, all objects that are subject to confiscation or are obviously evidence in criminal proceedings may be seized if they were found without searching in a clearly visible place or during a reasonable search made to find the objects sought. Thus, the Republic of Estonia, which is a part of the European Union and whose legislation complies with the norms of the European Union, has more effective search mechanisms without a court decision, which takes some time to prepare and adopt, to identify property that is subject to seizure for confiscation or compensation for damage caused by the crime.

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244 Given the above, it is proposed Part 1 of Art. 234 of the Criminal Procedure Code to read as follows: «Article 234. Search 1.

It should be noted that following Part 1 of Art. 159 of the Criminal Procedure Code of Ukraine "General provisions of temporary access to things and documents", temporary access to things and documents is to provide the party to the criminal proceedings with a person in possession of such things and documents, the opportunity to read them, make copies and withdraw them their excavation). It must be acknowledged, that the current concept of temporary access to things and documents does not fully allow the use of this institution to identify property that may be seized, to determine the financial condition of the suspect, the accused. The way out of this situation is to change the concept of temporary access to things and documents and move to the classic seizure. To confirm this, it should be noted that in general, as of 2021, i.e. after 9 years since the Criminal Procedure Code of 2012, the problem of slow temporary access to things and documents has not been resolved. Thus, back in 2013, Tatarov pointed out that the content of Art. 163 of the Criminal Procedure Code of Ukraine, the investigating judge, after receiving a request for temporary access to documents, summons the person in possession of such documents (Part 1) and then considers such a request with the participation of this person (Part 4). (2) Thus, in fact, for example, to obtain a decision of the

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investigating judge on temporary access to information on open bank accounts, cash flows, credit files stored in banking institutions, it is necessary to wait for a representative of the banking institution to appear in court. At the same time, the appearance before the pre-trial investigation body and the court of such a representative of an institution that does not have a representative office in the region where the investigation is carried out seems doubtful (in no way guaranteed). Such a procedure wastes time, which is quite significant at the initial stage of the investigation when it is necessary to remove and provide a proper assessment of documents that directly or indirectly contain information indicating a criminal offense. Meanwhile, Part 2 of Art. 163 of the Criminal Procedure Code of Ukraine of Ukraine provides for the procedure for the investigating judge to request temporary access to things and documents, according to which the summons of the person in whose possession they are, is not mandatory, namely – if the investigator proves sufficient grounds to believe that there is a real threat of change or destruction of things or documents. However, it is not always possible to prove the existence of such a threat. In particular, this applies to proceedings that have just begun and have not yet been sufficiently investigated and covert investigative actions, the results of which could prove to the investigating judge that a person who is not a suspect and in possession of documents relevant to the investigation, may knowingly replace or destroy them to avoid liability (or assist others). No less problematic is the situation when a person who owns things or documents reports the impossibility of enforcing a court decision on temporary access to them, citing, including unreasonably, their absence. In this case, additional time is required to resolve the issue of searching (under Article 234 of the Criminal Procedure Code of Ukraine) to identify the necessary things or documents. The request to conduct a search to find them requires approval. Forced "stretching" during such a procedure does not exclude the possibility of destruction or substitution of essential things for the investigation and documents to the person who owns them. An option to resolve this issue is to simplify the legislative regulation of this procedure. It would be possible to provide in some cases for the seizure of things and documents (seizures) that are relevant to criminal proceedings, by decision of the investigator, agreed with the prosecutor. This would significantly reduce the time spent on obtaining evidence, will facilitate a rapid and complete investigation in ensuring compliance with the

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rights of citizens by approving such a decision of the investigator to the prosecutor. Tatarov's proposal to provide in the legislation for the possibility of seizing items and documents (seizures) relevant to criminal proceedings in certain cases, according to the decision of the investigator, agreed with the prosecutor, is appropriate and needs further development. According to the results of the study, the proposed changes and additions to the Criminal Procedure Code of Ukraine, taking into account which the legislator will strengthen the possibility of securing damages by the prosecution through the institution of seizure of property, will provide additional procedural opportunities to the victim and civil plaintiff. Conclusions Part 1 of Art. 234 of the Criminal Procedure Code to read as follows: «Article 234. Search 1.

A search shall be carried out for: identifying and recording information on the circumstances of the commission of a criminal offense; finding the instrument of a criminal offense; establishing the location of wanted persons; finding a property that may be seized following Art. 170-175 of the Criminal Procedure Code. During the search, only items and documents relevant to the proceedings, as well as valuables or property may be seized to secure a civil lawsuit, recover from the legal entity the illegal benefit, possible fine, and possible confiscation of property, subject to special confiscation from the suspect, accused, convicted person, third parties, confiscation from a legal entity. A search is also carried out when there is sufficient evidence that there are wanted persons, and corpses or animals in a special room or place». It must be acknowledged, that the current concept of temporary access to things and documents does not fully allow the use of this institution to identify property that may be seized, to clarify the financial condition of the suspect, accused. The way out of this situation is to change the concept of temporary access to things and documents and move to the classic seizure. It is necessary to provide in the legislation the possibility to carry out in some cases the seizure of things and documents (seizures) that are relevant to criminal proceedings, by

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decision of the investigator, agreed with the prosecutor. This would significantly reduce the time spent on obtaining evidence, will facilitate a rapid and complete investigation in ensuring compliance with the rights of citizens by approving such a decision of the investigator to the prosecutor.

Bibliographic references Azerbaijan Soviet Socialist Republic (1971). Code of Criminal Procedure of the Azerbaijan Soviet Socialist Republic. Baku: Azerbaijan state publishing house. Recovered from https://books.google.com.ua/books/about/%D 0%A3%D0%B3%D0%BE%D0%BB%D0%B E%D0%B2%D0%BD%D0%BE_%D0%BF% D1%80%D0%BE%D1%86%D0%B5%D1%8 1%D1%81%D1%83%D0%B0%D0%BB%D 1%8C.html?id=XRxhzQEACAAJ&redir_esc =y Belkin, R.S. (2001). Forensics. Moscow: NORMA. Blahuta, R.I., Sybirna, R.I., & Baraniak V.M. (2012). Kryminalistyka. Kyiv: Atika. Bozhiev, V.P. (Ed.). (1990). Soviet criminal process. Moscow: Juridical Literature. Central Committee of the Communist Party of Georgia. (1961). Criminal Procedure Code of the Georgian SSR. Tbilisi: publishing house of the Central Committee of the Communist Party of Georgia. Recovered from http://lawlibrary.ru/izdanie3005.html Code of Criminal Procedure of the Armenian Soviet Socialist Republic. (1971). Erevan: Aiastan. Recovered from https://www.legislationline.org/download/id/4 261/file/Armenia_CPC_am2006_ru.pdf Code of Criminal Procedure of the Latvian Soviet Socialist Republic. (1961). Riga: Latvian state publishing house. Code of Criminal Procedure of the Republic of Estonia. (2003). Recovered from https://www.legislationline.org/download/id/6 462/file/Estonia_CC_as_of_2002_ru.pdf Criminal Procedure Code of the Kazakh SSR. (1969). Alma-Ata: Publishing house "Kazakhstan". Recovered from https://adilet.zan.kz/rus/docs/K590001000_ Drozd, A.V. (2019). Ensuring the inviolability of property rights in criminal proceedings: author's (ref. dis. ... cand. jurid. Science). Kharkiv National University of Internal Affairs, Kharkiv, 24 p. Recovered from http://dspace.univd.edu.ua/xmlui/bitstream/ha ndle/123456789/5881/aref_Drozd%20A%20 V_2019.pdf?sequence=1&isAllowed=y ISSN 2322 - 6307

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European Court of Human Rights. (2009). Judgment No. 13223/05 of June 28, 2009, in the case of Zhushman v. Ukraine. Recovered from http://hudoc.echr.coe.int/app/conversion/docx /?library=ECHR&id=00192774&filename=CASE%20OF%20ZHUSH MAN%20v.%20UKRAINE.docx&logEvent= False Hlovyuk, I.V. (2016). The prosecution as a subject of evidence in deciding on the seizure of property. Visnyk kryminalnoho sudochynstva, 3, 18-25. Recovered from http://nbuv.gov.ua/UJRN/vkc_2016_3_4 Hlovyuk, I.V. (2017). Some issues of seizure of property in order to preserve material evidence. Odessa: Informatsiine zabezpechennia rozsliduvannia zlochyniv. Recovered from http://dspace.onua.edu.ua/handle/11300/9402. Kutskir, H.M. (2015). The principle of inviolability of property rights: the concept, content and implementation in criminal proceedings. Odessa: Phoenix. Recovered from https://core.ac.uk/download/pdf/50594997.pd f Law No. 2533, On Amendments to the Criminal Procedure Code of Ukraine. Bulletin of the Verkhovna Rada of Ukraine, Kyiv, Ukraine, June 21, 1996. Recovered from https://zakon.rada.gov.ua/laws/show/253314?find=1&text=177#w1_3 Law No. 254к/96-VR, Constitution of Ukraine. Bulletin of the Verkhovna Rada of Ukraine, Kyiv, Ukraine, June 28, 1996. Recovered from https://zakon.rada.gov.ua/laws/show/254%D0 %BA/96-%D0%B2%D1%80#Text Law No. 29.12.1961, the Criminal Procedure Code of the Byelorussian SSR. Byelorussian SSR, December 29, 1961. Recovered from https://pravo.by/ImgPravo/pdf/UPK_BSSR_1 960.pdf Law No. 3275, the Code of Criminal Procedure of the RSFSR Russian. Soviet Federative Socialist Republic (RSFSR), October 27, 1960. Recovered from http://www.consultant.ru/document/cons_doc _LAW_3275/ Law No. 4651-VI, Criminal Procedure Code of Ukraine. Bulletin of the Verkhovna Rada of Ukraine, Kyiv, Ukraine, April 13, 2012. Recovered from http://zakon5.rada.gov.ua/laws/show/4651-17

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Law of Ukraine № 1001-05, Criminal Procedure Code of Ukraine of December 28, 1960 Date of renovation: 19.11.2012. Recovered from https://zakon.rada.gov.ua/laws/show/100105#Text (date of application: 16.06.2021). [in Ukrainian]. Lepei, M.V. (2017). Seizure of property in criminal proceedings. Kyiv: Istina. Recovered from http://elar.naiau.kiev.ua/bitstream/123456789/ 1527/1/lepej_avtoref.pdf Lithuania (1972). Criminal Procedure Code of the Lithuanian SSR. Lithuania: Mintis. Recovered from https://books.google.com.ua/books/about/%D 0%A3%D0%B3%D0%BE%D0%BB%D0%B E%D0%B2%D0%BD%D0%BE_%D0%BF% D1%80%D0%BE%D1%86%D0%B5%D1%8 1%D1%81%D1%83%D0%B0%D0%BB%D 1%8C.html?id=McI0AQAAIAAJ&redir_esc =y Ministry of Internal Affairs of the USSR. (1984). Investigative actions (procedural characteristics, tactical and psychological features). Moscow: Norma. Muzychenko, O.V. (2016). Implementation of the constitutional principle of inviolability of property rights at the stage of pre-trial investigation. Dnipro: Pravo. Recovered from https://dduvs.in.ua/wpcontent/uploads/files/Structure/science/rada/a uto/11/4.pdf Rudenko, A.E. (2015). Measures to ensure criminal proceedings, restricting the property rights of the suspect, accused and other persons. Kyiv: Istina. Recovered from http://elar.naiau.kiev.ua/bitstream/123456789/ 1400/1/rudenko_avtoref.pdf Smokov, S.M., & Lisnichenko, D.V. (2014). Temporary seizure of property: practice and problems of application. Pivdennoukrainskyi pravnychyi chasopys, 1, 148-152. Recovered from http://nbuv.gov.ua/UJRN/Pupch_2014_1_48 Tatarov, O. (2013). The application of some provisions of the new CPC of Ukraine needs to be standardized. Mytna sprava, 4(2), 182-187. Recovered from http://nbuv.gov.ua/UJRN/Ms_2013_4%282% 29__34 United Nations. (1950). Convention for the Protection of Human Rights and Fundamental Freedoms. Recovered from https://www.echr.coe.int/documents/conventi on_eng.pdf

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United Nations. (1952). Protocol (№ 1) to the Convention for the Protection of Human Rights and Fundamental Freedoms. Recovered from https://rm.coe.int/168006377c Verkhoglyad-Herasymenko, O.V. (2017). On the issue of seizing the property of third parties in criminal proceedings. Visnyk kryminalnoho sudochynstva, 1, 20-27. Recovered from http://nbuv.gov.ua/UJRN/vkc_2017_1_4

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Yskandyrov, V.B. (2010). The historical aspect of the development and formation of the seizure of property as a measure of coercion in Russia. Vestnyk YuUrHU, 8, 35–39. Recovered from https://cyberleninka.ru/article/n/istoricheskiyaspekt-razvitiya-i-stanovleniya-nalozheniyaaresta-na-imuschestvo-kak-meryprinuzhdeniya-v-rossii

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DOI: https://doi.org/10.34069/AI/2021.42.06.23 How to Cite: Kyrychenko, M., Nikitenko, V., Voronkova, V., Harbar, H., & Fursin, A.A. (2021). The search for new forms of personal expression in the era of postmodernism. Amazonia Investiga, 10(42), 248-254. https://doi.org/10.34069/AI/2021.42.06.23

The search for new forms of personal expression in the era of postmodernism Пошук нових форм самовираження в епоху постмодернізму Received: May 7, 2021

Accepted: July 10, 2021

Written by: Mykola Kyrychenko102 https://orcid.org/0000-0003-1756-9140 Vitalina Nikitenko103 https://orcid.org/0000-0001-9588-7836 Valentyna Voronkova104 https://orcid.org/0000-0002-0719-1546 Halyna Harbar105 https://orcid.org/0000-0003-4750-3361 Alexander A. Fursin106 https://orcid.org/0000-0002-4457-0350 Abstract

Анотація

The urgency of the studied problem is due to the fact that reveals one of the most popular and fashionable areas of philosophy of the XXI century - the philosophy of postmodernism, in the context of which the coronavirus discourse fits, which continues to deepen and fill with new content. Due to the huge number of problems of digital transformation of human existence, the concepts of postmodern society in the context of digitalization should be explored in order to overcome the negative consequences of coronavirus existence. The aim of the article is to conceptualize the philosophy of postmodernism, which unfolds, on the one hand, as a search for new forms of creative self-expression, and on the other, as a crisis of philosophical knowledge. The objectives of the study include the analysis of the concepts of postmodern reality, which is based on the formation of a new system of categories and concepts as a system of ways of constructing a new being - postmodernism,

Актуальність досліджуваної проблеми зумовлена тим, що розкривається один з найпопулярніших і наймодніших напрямків філософії XXI століття - філософія постмодернізму, в контекст якого вписується дискурс коронавірусу, який продовжує поглиблюватися і наповнюватися новим змістом. Через величезну кількість проблем цифрової трансформації людського існування, концепції постмодерного суспільства в контексті цифровізації повинні бути досліджені з метою подолання негативних наслідків існування коронавірусу. Метою статті є концептуалізація філософії постмодернізму, яка розгортається, з одного боку, як пошук нових форм творчого самовираження, а з іншого - як криза філософського знання. Завданнями дослідження є аналіз концепцій постмодернистської реальності, яка базується на формуванні нової системи категорій та концепцій як системи способів побудови

102

Department of Philosophy and Adult Education University of Educational Management of National Academy of Pedagogical Sciences of Ukraine Kyiv, Ukraine. 103 Department of Management of Organizations and Project Management Engineering Educational and Scientific Institute Zaporizhzhia National University, Zaporizhzhia, Ukraine. 104 Department of Management of Organizations and Project Management Engineering Educational and Scientific Institute Zaporizhzhia National University, Zaporizhzhia, Ukraine. 105 Department of Musical Arts Separate Unit of Mykolayiv Branch of Kyiv National University of Culture and Arts, Mykolayiv, Ukraine. 106 Department of Management of Organizations and Project Management, Engineering Institute of Zaporizhzhia National University (Ukraine, Zaporizhzhia).

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deconstructivism, simulacrum. This system of concepts includes a set of methods of cognition of reality - ontological-metaphysical, logicalaxiological, critical-existential to understand the essence and existence of man, understanding their correlations and attributive system parameters, structure, substrate, characteristic of understanding a complex society. An ambivalent and contradictory current is represented, which has spread to many areas - politics, religion, science in search of an assessment of the cognitive capabilities of man and his place in the modern world. The materials of the article are of practical value for in-depth understanding of postmodern philosophy, which is closely related to the problems of coronavirus and post-coronavirus life. It is concluded that postmodernity is a big process of losing the sensation of history and the meaning of a person, which led to the destruction of history, a crisis of philosophical knowledge in the era of digitalization, in which the original no longer makes sense, and the model of a veiled copy prevails. Keywords: postmodernism, simulacrum, "death of the subject", deconstructionism, philosophy, digitalization, modernism.

нової реалій постмодернізму, деконструктивізму, симулякри. Ця система понять включає сукупність методів пізнання дійсності - онтолого-метафізичного, логікоаксіологічного, критично-екзистенціального для розуміння сутності та існування людини, розуміння їх співвідношень та атрибутивних системних параметрів, структури, субстрату, характерних для розуміння складного суспільства. Представлена амбівалентна і суперечлива течія, яка поширилася на багато областей - політику, релігію, науку в пошуках оцінки пізнавальних можливостей людини та її місця в сучасному світі. Матеріали статті мають практичну цінність для глибокого розуміння філософії постмодернізму, яка тісно пов'язана з проблемами коронавірусу та посткоронавірусного життя. Зроблено висновок, що постмодерність - це великий процес втрати відчуття історії та сенсу людини, що призвів до руйнування історії, кризи філософських знань в епоху цифровізації, в якій оригінал вже не має сенсу, і переважає модель завуальованої копії. Ключові слова: постмодернізм, симулякра, "смерть суб'єкта", деконструкціонізм, філософія, цифровізація, модернізм.

Introduction The relevance of the problem stated in the article is due to the fact that the problem of the coronavirus world fits into the postmodern discourse that is in the process of deepening and being filled with new content. That indicates eliminating standards of classical philosophy and cultureand led to attempts of breaking with the traditional worldview concepts of modernism. The purpose of the article is to conceptualize the philosophy of postmodernism that evolves, on one hand, as a search for new forms of creative self-expression, and, on the other hand, is presented as a crisis of philosophical cognition. The focus of the article is on the analysis of the entire set of concepts in the philosophy of postmodernism - deconstructivism, intentionality of consciousness, “the world as chaos”. The tasks of the research include the analysis of the concepts of postmodernism resulted in the presented analysis of postmodern reality that led to the emergence of a new system of categories and concepts as a system of methods for constructing the new being. The leading method for the study of postmodernism concepts is the systemic method allowing to determine their integrity and to

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explicate associative connections between them as interactions and interconnections brought into the system of the concept. This system of concepts includes a set of methods for cognizing reality, namely ontological-metaphysical, logical-axiological, critical-existential for understanding the essence and existence of a person, “deepening stable correlations and attributive system parameters that are characteristicsto understand a complex societybeing, its concepts, structure, substrate (Swab, 2019). The postmodern philosophical system is considered fully defined if not only concepts, but also the structure and substrate of the system, facts, phenomena, problems that turn into applied categories and fill the modern society-being of a person are determined. Following methods are used for this purpose: analysis and synthesis, which means dividing an object-subject into elementary-component parts-components, combining the obtained results into a systemmodel and based on it identifying interconnection and correlation matrices of the components of the whole. Synthesis is the result of immanent-reflexive acts, due to which the

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250 parts of the whole are combined into a singleintegral process. Analysis and synthesis are reflections of the patterns of ontos-beingexistence of the postmodern worldinextricably linked with the acts of individual human life andrelying on anti-synthetic methods of cognition. Analytics is a characteristic of that part of logic that interprets phenomena, argumentation, evidence, definitions as a result of the anatomization of the object under study and the gnosticizing the component parts. The study of the problems of postmodern life using methods includes an arsenal of tasks, questions, projects produced at all stages of the cognitive process and result in the solution of the problem itself based on evidence for the solvability or unsolvability of the problem itself. Such philosophers as F. Jameson (2016), J. Baudrillard (2016), J. Lacan (1966), J. Derrida (1992), G. Bataille (1992), G. Deleuze (1998), J.F. Lyotard (2020), M. Foucault (1966), R. Barthes (1989), R. Rorty (1966) considered the problem of interpreting modern life that would result in re-coding the concepts and values of the postmodern system. The re-coding of the concepts and values of the postmodern system has led to the giving new content to the ways of constructing being, based on the game dynamics and simulacra. “In search of new meanings for the concepts of philosophy of postmodernism, scientists are trying to identify the conditions for creative selfexpression of aperson, the ways of selfperception of human life that led to the crisis of being” (Pinker, 2019). As a scientific novelty, we use the analysis of the problems of the coronavirus and post-coronavirus world completely absorbed by the philosophy of postmodernism, which caused the emergence of a new system of categories and concepts as a system of methods for constructing a new being, including post-coronavirus reality. “Therefore, the aspect of the analysis of the concepts of postmodernism we are considering includes their debatable aspect of analyzing the problem and its deepening from the point of view of understanding our contemporary life, including post-coronavirus being” (Sadovnicova & Kokiel, 2020). The philosophy of postmodernism Postmodernism as a philosophical and cultural trend and movement of Western philosophy was closely formed as the world perception in conjunction with such sciences as aesthetics, ethics, art history, as well as such branches of philosophy as metaphysics, ontology, axiology,

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hermeneutics, phenomenology that clearly evolved in the cultural consciousness of Western self-consciousness in the last decades of twentieth century. “The philosophy of postmodernism amounts to decanonization and defragmentation of all philosophical ideas, nonperception of universal modernist discourses, their denial, and forms a set of cultural theories, linguistic discourses, economic forecasts, and religious revival” (Don & Tepskott, 2019). The postmodern situation of the XXI century is a reflection of a new situation of “movement against the tide” where society and culture strive to reproduce new productive ties, traditions and innovations, an attempt to renew social forms of the person-society relationship. The epistemological uncertainty associated with the “crisis of authorities”, the collapse of scientific determinism and the cumulative nature of the changes resulted in radical transformation of knowledge. The postmodern situation is also growing in economic discourse, demonstrating that the imposed neoliberal ideology has led to deindustrialization, inequality, poverty, emigration of the population, excessive state debt dependence and addiction to palliative macrofinancial aid from the West. Concepts of the postmodern philosophical system of ideas, principles, attributes, characteristics. “The world as an autonomous context” caused eclecticization of rules, maxims, laws of logic, the prevalence of stylistics based on the recoding of concepts, creative editing and dismantling of subjectivity, which was replaced by the metaphysical idea of "presence" expressed in the categories of essence, existence, substance, transcendence. The proposed system of philosophical categories of postmodernism does not fully describe the essence of social processes, since a mobile army of metaphors and anthropomorphisms comes into forceresulting in truth equated to an illusion, “where the content comprises of the game function and rebellion against “philosophical totalitarianism”, and where the guiding principle of truth is an ironic collage and deciphering of the illusions of being” (Voronkova & Teslenko, 2020). The concepts of the philosophy of postmodernism are based on the convergence of ideas - philosophical, religious, ethical, aesthetic, art criticism. Its totality testify not to a strict system of thought, but to the fact that postmodernism is an ambivalent and contradictory trend and a phenomenon that has spread to other spheres - politics, religion, science in search of an assessment of the

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cognitive capabilities of a person and his/her place in the modern world. “This tendency led to the denial of positivist, technocratic and rationalistic universalism and to the constitution of the theatricality of modern life and philosophy” (Oleksenko, 2013). Denial of the traditions of modernism cultureas a kind of reaction to the monotony of the universal flow of the world in modernism and the manifestation of the general crisis of the era, as well as a reaction to conformism and consumerism of Western civilization that contributed to the emergence of a man - homo deconstructive - a man of the postmodern era.The main feature of modernist thinking of “homo deconstructive” is the loss of faith in such metanarratives as the dialectic of the Spirit, liberation of humanity from rationality, “Christian metanarrative, progressive expansion of freedom and the acquisition of political, spiritual, moral, religious, rational life borderline activity” (Voronkova et al., 2019). At the heart of postmodernism, the "the world as a game" concept is formed, the gameful attitude of a person to life and to everything that happens. Gaming led to the partial elimination of all being and replaced the adequate activity and reality of a person, designed to achieve the progress of society, to exercises in using the techniques of playing stylistics, poetics, subjective dismantling of reality. A similar collage took place in the context of mixing genres and attracting ideas of post-Freudianism, psychoanalytic models of the unconscious, semantic-semiotic and structuralist ideas and principles that obviate the hierarchy of various levels of consciousness and absolutize the function of language as an endless stream of combining cultural signs, symbols, texts and values resulting in mixing of genres - high and low style, stylistic syncretism J. Heyzinga (1992); J. Derrida (1992); “in certain understanding of life sense as irrational, unconscious, non-discursive and illogical, beyond the boundaries of reflection and contradicts the laws of logic” (Maltsev, 2020). The main concepts of the postmodern philosophy The concept of deconstructivism of cultural standards and their privileged positions acts as a textual activity that casts doubt on the metaphysical values of being and appeals to the playful ironic nature of language and linguistic myths. Such postmodern ideas are based on methodological plurality resulting in departure from evaluative judgments of values, denial of

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universal authorities, interpretive polyvalence, “destruction of hierarchical structures, an attempt to reveal the deep universal mental structures of a pluralistic universe” (Kyrychenko, 2019). The use of the means of postmodernism in projection onto the principles-postulates of the concepts of deconstruction of political, economic, information and other areas of life of society and man. Therefore, all spheres of life were influenced by irrationality, expanding their ideas to a wide range of phenomena of modern culture resulting in a positive irony of dissolution of the sovereign subjectivity of a person in the texts of culture, to the emergence of a new category - “death of the subject” (Lyotard, 2020). The concept of “intentionality of consciousness”, immanence and fusion of consciousness with the means of mass communication, immersion of a person by his actions in spontaneity, disorganization, uncertainty, complexity and variety of possibilities of being. This led to a change in the monotonous course of life with all the ensuing problems of experiencing the complexities of coronavirus and postcoronavirus world with its difficulties of being, an excessive number of politicians' mistakes, unprofessional approach to solving current problems, “illegal government actions resulting in mental and physical impairment of a person, his/her health and being, loss of his/her integrity, uncertainty” (Nikitenko, 2020). The concept of “the world as chaos” where there are no criteria for the values and semantic orientation of the world. It led to the aggravation of risk problems and the use of different methods of individual self-defense in connection with the deepening of coronavirus uncertainty and spontaneity, comprehending "the world as chaos" where the cult of the incomprehensible, fragmenitarization, unconsciously creative and unprofessional activities of politicians dominates at all levels - both at the top and locally. Their oligarchization and corruption, with the appeal of the refusal of universal protection of the population from the World Health Organization and at the same time understanding of contradictory national statisticsthat intoxicates and confuses the population, caused a “crisis of faith” and distrust in the authorities and their institutions (Voronkova et al., 2020). Simulacrum as an empty matrix or quasi-thing. A simulacrum is not an original, but a quasi-thing, an empty, zero matrix or artifact, just a transcendental object-model of a fictional world,

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252 witha real world of a person with all its problems and contradictions behind it. As a result, it is difficult for an unprepared person to exist in reality-authenticity after he/she visits Disneyland that represents a fictional reality. It is not by chance that the words “post-truth”, “postauthenticity” began to appear in the philosophical language, since today in the media space it is difficult to distinguish truth from lies, “truth from simulationin the media space” (Sinher, 2019). Simulacra demonstrate the absence of truth as a result of the erasure of cognition between reliable and irrational (supposed) knowledge; therefore, simulacrum is a secondary, surrogate one in correlation with multiholograms of the fictional world. Simulacra are polysemiotic structures of thinking that create surrogate continua for the formation of paradigms of mastering realitybased on primitive stereotypes and banal judgments that do not reveal correlations, principles, laws and maxims of being. The very post-coronavirus existence of a person is based on simulacra and simulations rooted in various clichés, labels that are exploited by mass culture. “They state the priority of the phantom over the metaphysical, thus, unfortunately, being the bearers of artistic, aesthetic, cultural degradation and primitivism, not the high culture” (Kyrychenko, 2019). The new values of a digital worldview Today one can observe the acceleration of the world of technological innovation, since humanity devotes a significant part of its time to digital artifacts, technology becoming the dominant component of the public sphere, the accelerated introduction of new products and services, the change of processes, “the emergence of a new entrepreneurial spirit mobilized by the capabilities of technology to fulfill human desires”. Simultaneously with the growth of the ICT sphere, postmodern humanity is increasingly aware of the existence of a significant number of problems causing the mankind to strivefor comfortable and sustainable existence. The speed of implementation of digital transformations requires the earliest adaptation to this type and way of being and the use of all reasonable and sustainable human potential. In connection with the huge number of problems of digital transformation of human existence, “it is necessary to investigate how to use digital technologies in the context of digitalization to overcome the negative consequences of coronavirus and post-coronavirus life” (Oleksenko, 2013, 2019).

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Today it is not clear what COVID-19 associated problems may arise in a non-competitive market space, since as a result of the concrete reality of the coronavirus, there has been a decline in economic life (and stagnation in Ukraine), and digital technologies are used in everyday life bypassing laws, labor agreements and fiscal systems and can lead to confrontation between countries. We agree with Prof. Lepskiy who says that “confrontation is turning into a trend, while the countries-subjects of crisis resolution (these are not always previous global players, but more often global and regional players) include systems of relations by “soft” and “smart” force, rather than “hard” force (Lepskiy, 2020). These global relations and influences enhance the dynamics of “whirlpools" in the local political and local economic spheres of the country, possibilities forglobal cataclysms (wars and revolutions). But, in any case, countries, international and global relations change their structures, functioning, institutions, communities (Nikitenko, 2019). The Digital Authorities Service has to introduce new technologies, which should completely rethink the digital development strategy in government. The concept of a sustainable digital development economy aims at increasing the well-being of the population and improving environmental situation. The indicator of "human well-being" describes, respectively, the average inhabitant quality of life of the planet, including both material and intangible components (Nikitenko et al., 2019) Postmodernism as a philosophical trend in the search for new forms of relations between a person and the world, for new values and criteria of truth, implies the theme of the exhaustion of the previous era of modernism and the search for a new problematic of a person in the deconstructivist era “homo deconstructivus”. The era of postmodernism, despite the uncertainty and fragmentation and its deconstructivism and nihilism, was, on the one hand, an expression of the crisis of the modern Western era associated with the categorical prohibition of modernist values, and on the other, the search for new forms of creative selfexpression of a person, his/her place in life, varied new ways of rethinking life, exploiting new values associated with the strengthening of the role of information technologies in the era of digitalization, dismantling of modern life and modern ideology, since the essence was veiled under the surface of facts and phenomena as presented by politicians. “New values require the formation of a digital worldview and consciousness. States should direct all efforts and

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opportunities to management that promotes the implementation of the concept of digital development” (Lepskiy, 2020). Postmodernists concluded that today there are no canons, since all truths have faded, all differences are equal, and truth has been replaced by the principle of complementarity. Conclusions and recommendations Summarizing the discourse, we note that the main goal of postmodernism is to eliminate rational discourse and proclaim the end of the general metadiscourse of rationalism. Postmodernity should be seen as the transplantation of aesthetic matrices into surrogate, illusory, eclectic ones, which veiled the real essence of phenomena and processes. “A person today is not a project endowed with individuality, as most philosophers claim, but rather a machine that consumes and reproduces these ideas and images that exist in the media, advertising, politics”. An example of such a hyperreality is the situation with the COVID-19 pandemic, since the principles of objectivity and concreteness are not applied to its analysis, since all statistics are paid, stretched, deceptive and the disease as a whole is programmed from above by global forces. A person continues to live in the “hyperreal world” of post-coronavirus reality, based on the sole purpose of consuming images and signs generated from above presented as simulacra. Simulacra are stereotypes, primitive matrixes that help a person to survive in this primitive fictional world and serve as an image of a virtualirrational reality that demonstrates some authenticity of an object and its difference from the original. Simulacra are viewed as an empty, zero matrix or artifacts, quasi-things, transcendental objectsmodels of the fictional world, with is the real world with its problems and contradictions behind it unfolding without the active role of the subject, but with the help of the global forces of our time. The idea of the “loss of the subject” and his active role in the modern world, which does not require a search for a deep cognitive essence of this world and reality, but only an adaptation to live or even survive in a phantom-illusory world, was confirmed. Postmodernity is “a big process of losing the sensation of history and human meaning” that led to the destruction of history, «crisis of philosophical cognition in the era of digitalization where the authentic essence, the original no longer makes sense, and the model of a veiled copy prevails”.

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It is necessary to analyze the postmodern situation where a person living in the world of hyperrelation develops, and, accordingly, to analyze the new problematics of a person of the deconstructivist era - homodeconstructivus, based on surrogate, illusory, eclectic forms of human self-realization. It is necessary to study the problems of the "hyperreal world" of postcoronavirus reality based on the consumption of simulacra, that are primitive matrices of virtualirrational reality. Simulacra caused a crisis of philosophical cognition, because the truths have faded, and the world is ruled by primitive matrices that help a person to survive in a primitive (fictional) world. The materials of the article are of practical value for in-depth understanding of postmodern philosophy closely related to the problems of coronavirus and post-coronavirus life. The world became disastrously confused, and the avantgarde of cultural evolution (the elite) proposed post-truth where truth does not exist. The elite could not fill all the niches and meanings of the post-coronavirus space, but filled it with nihilism, narcissism and a post-truth culture that is unable to solve a single problem of postmodern being. This indicates that the avant-garde of cultural evolution ceased to fulfill its functions and acquired unhealthy forms based of the false program of the avant-garde resultingin performance contradiction that, subsequently, caused an epidemic of aperspective madness, requiring the development of a mechanism for self-correction of being. The deeply contradictory position of postmodernism "truth does not exist" turned into the bankruptcy of the avant-garde of cultural evolution. It began to look for new outlets, new meanings and new values that could replace the surrogate ones with the real ones aimed at development, progress, freedom, greater inclusion, diversity, partnership. References Barthes, R. (1989). Selected works: Semiotics. Poetika. Moscow: Progress, 132 p. Bataille, G. (1992). Garden and the common man. Sovereign Man of the Garden. Moscow: Culture, 325 p. Baudrillard, J. (2016). Simulacra and simulations. Moscow: Ripol Classic, 320 p. Deleuze, J. (1998). Difference and repetition. New York: Columbia University Press, 312 p. Derrida, J. (1992). A letter to a Japanese friend. Questions of philosophy, 4, 53-57.

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254 Don, T., & Tepskott, A. (2019). Blockchain revolution. Lviv: Litopys, 492 p. Foucault, M. (1966). The order of discourse. Boston: Routledge & Kegal Paul, 317 p. Heyzinga, Y. (1992). Man playing. In the shadow of tomorrow. Moscow: Progress-Akademiya, 240 p. Jameson, F. (2016). Marxism and form: 20thcentury dialectical theories of literature. Princeton: Princeton University Press, 432 p. Kyrychenko, M. (2019). The impact of globalization on the development of digital technologies and innovations in the fourth industrial revolution 4.0. Humanities Studies: Collection of Scientific Papers, 2(79), 39-52. http://humstudies.com.ua/article/view/202747 Lacan, J. (1966). Writings. Paris: Editions du Seuil, 93 p. Lepskiy, M. (2020). Sociological observation of a pandemic: communication, panic, free crisis. German Scientific. Popular Science Bulletin "Results of Scientists: Sociology, Criminology, Philosophy and Political Science", 1(2), 27-40. https://sci-result.de/journal/article/view/18 Lyotard, J.F. (2020). The Interviews and Debates. London: Bloomsbury Publishing, 216 p. http://www1.lib.ru/CULTURE/LIOTAR/liotar.txt_ with-big-pictures.html#BMvved Maltsev, O. (2020). Methodology of Science. Abstract and applied categories of science. German Scientific. Popular Science Bulletin "Results of Scientists: Sociology, Criminology, Philosophy and Political Science", 1(3), 64-70. https://sci-result.de/journal/article/view/45 Nikitenko, V. (2019). The impact of digitalization on value orientations changes in the modern digital society. Humanities Studies: Collection of Scientific Papers, 2(79), 8094. http://humstudies.com.ua/article/view/202753 Nikitenko, V. (2020). Evolution of the concept of sustainable development (in the context of the documents of the Club of Rome). Journal of the Belarusian State University. Philosophy. Psychology, 2, 12-17. https://journals.bsu.by/index.php/philosophy/articl e/view/2722 Nikitenko, V., Andriukaitiene, R., & Punchenko, O. (2019). Developing corporate management to improve the quality of customer service. Humanities Studies: Collection of Scientific Papers, 1(78), 140–153. http://humstudies.com.ua/article/view/192035

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Oleksenko, R. (2013). Global problems of philosophy against antiquity up to the present day in the discourse of rink transformations. Prydniprovsky Social and Humanitarian Readings: in 6 Parts. Part 2: Materials of the Dnipropetrovsk Session of the II AllUkrainian Scientific-practical Conference with International Participation (pp. 148-151). Dnepropetrovsk: Dnipro National University named after Oles Honchar. Oleksenko, R. (2019). Position and role of modern economic education as thema in megatrend of innovative development of Ukraine. Humanities Studies, 2(79), 169-181. http://humstudies.com.ua/article/view/202767 Pinker, S. (2019). Enlightenment today. Arguments in favor of reason, science and progress. Kyiv: Nash Format, 560 p. Rorty, R. (1966). Coincidence, irony and solidarity. Cambridge: Cambridge University Press, 201 p. Sadovnicova, L., & Kokiel, A. (2020). Situational and normative approach as a method for identifying and improving business and personal qualities of a manager. Amazonia Investiga, 9(25), 153-159. https://amazoniainvestiga.info/index.php/amazonia /article/view/1118/1018 Sinher, P. (2019). War of likes. Weapons in the hands of social networks. Kharkiv: Klub Simeynoho Dozvillya, 320 p. Swab, D. (2019). Our creative brain. Kharkiv: Family Leisure Club, 463 p. Voronkova, V. & Teslenko, T. (2020). Formation and development of digital technologies as a factor in the implementation of the fourth industrial revolution. Journal of the Belarusian State University. Philosophy. Psychology, 2, 4-11. https://journals.bsu.by/index.php/philosophy/issue/ view/211 Voronkova, V., Metelenko, N., Nikitenko, V., & Silina, I. (2019). Systeman alysis of the economy of sustainable development as environmentally balnced and socially orientedone. Humanities Studies: Collection of Scientific Papers, 1(78), 8697. http://humstudies.com.ua/article/view/192001 Voronkova, V., Nikitenko, V., Teslenko, T., & Bilohur, V. (2020). Impact of the worldwide trends on the development of the digital economy. Amazonia Investiga, 9(32), 81-90. https://www.amazoniainvestiga.info/index.php/am azonia/issue/archive

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DOI: https://doi.org/10.34069/AI/2021.42.06.24 How to Cite: Borinshtein, Y., Stovpets, O., Kukshinova, O., Kisse, A., & Kucherenko, N. (2021). Phenomena of freedom and justice in the interpretations of T. Hobbes and J. Locke. Amazonia Investiga, 10(42), 255-263. https://doi.org/10.34069/AI/2021.42.06.24

Phenomena of freedom and justice in the interpretations of T. Hobbes and J. Locke Fenómenos de libertad y justicia en las interpretaciones de T. Hobbes y J. Locke Received: May 11, 2021

Accepted: June 28, 2021

Written by: Yevgen Borinshtein107 https://orcid.org/0000-0002-0323-4457 Oleksandr Stovpets108 https://orcid.org/0000-0001-8001-4223 Olga Kukshinova109 https://orcid.org/0000-0003-0470-6863 Anton Kisse110 https://orcid.org/0000-0002-7875-4617 Natalia Kucherenko111 https://orcid.org/0000-0002-5130-8238 Abstract

Resumen

This study gives a possible representation of T. Hobbes and J. Locke's visions of the essence of 'freedom' and 'justice' phenomena. The philosophic-historical analysis performed in the article made it possible to reveal the fundamental ideological conflict between statism and liberalism, between the utilitarian, entirely pragmatic understanding the nature of the social contract (in Hobbes's political philosophy), and moral-ethical accents on the essential foundations of a state-organized society (in Locke's political thoughts). Hobbes generally ignores the moral and ethical preconditions inherent to human nature, reducing the social contract ontology to purely utilitarian aspects. The freedom of the individual loses its absolute character, as each member of this socio-political community gives up a part of his freedom in favor of 'Leviathan' (i.e. the sovereign, the state). Beginning from this moment it is fair for each individual to comply with the terms of that universally binding social contract, and its

El artículo intenta representar la visión de T. Hobbes y J. Locke sobre la esencia de los fenómenos de libertad y justicia. El análisis histórico y filosófico realizado permitió revelar el conflicto ideológico fundamental entre el estatismo y el liberalismo, entre la comprensión utilitarista y puramente pragmática de la naturaleza del contrato social (en la filosofía política de Hobbes) y los acentos morales y éticos sobre los fundamentos esenciales del sociedad (en política y filosófica visiónes de Locke). Hobbes generalmente ignora las precondiciones morales y éticas inherentes a la naturaleza humana, reduciendo la ontología del contrato social a aspectos puramente utilitarios. La libertad del individuo pierde su carácter absoluto, pues cada miembro de esta comunidad sociopolítica cede parte de su libertad a favor del Leviatán, se compromete a limitar su libertad a cambio de bienestar y relativa seguridad. A partir de este momento, se considera justo que cada individuo cumpla con los términos de un contrato social obligatorio, y su violación por alguien

107

Doctor Hab. in Philosophical Sciences, Professor, head of the department of Philosophy, Sociology and Management of sociocultural activities, The state institution “South Ukrainian National Pedagogical University named after K.D. Ushynsky”, Ukraine. 108 Doctor Hab. in Philosophical Sciences, Professor of the Criminal and Administrative Law department, & Philosophy department, Odessa National Maritime University, Ukraine. 109 PhD in Legal Sciences, Associate professor, head of the Criminal and Administrative Law department, Odessa National Maritime University, Ukraine. 110 Doctor Hab. in Political Science, professor of the department of Philosophy, Sociology and Management of sociocultural activities, The state institution “South Ukrainian National Pedagogical University named after K.D. Ushynsky”, the People's deputy of the Verkhovna Rada of Ukraine. 111 PhD scholar, teacher, Philosophy dept., Odessa National Maritime University, Ukraine.

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violation by someone within the community deemed to be unjust. On the contrary, Locke forms an idea of the ethical basis of the human community. Locke's political anthropology is based on the close relationship between the principle of justice and the imperatives of reason. The latter ones approach the universal ethical and legal requirements to ensure equal opportunities in the implementation and protection of freedoms and interests of the individual living in society. Under such conditions, justice means that a person acquires the maximum opportunities to fulfill his own freedoms (in all its diversity), without violating the freedoms of others. Keywords: freedom, justice, social contract, state, Hobbes, Locke.

dentro de la comunidad considerado injusto. Locke, por otro lado, se forma una idea de la base ética y legal de la comunidad humana. La antropología política de Locke se basa en la estrecha relación entre los principios de justicia y los imperativos de la razón. Estos últimos abordan los requisitos éticos y legales universales para garantizar la igualdad de oportunidades en la implementación y protección de las libertades e intereses del individuo que vive en sociedad. La justicia significa que una persona adquiere las máximas oportunidades para ejercer su propia libertad, sin violar las libertades de los demás. Palabras clave: libertad, justicia, acuerdo social, estado, Hobbes, Locke.

Introduction Freedom and Justice are universal values that do not lose their relevance in any cultural and historical epoch. Philosophical attention to them is dictated by human nature itself. The constant interest in these general humanitarian phenomena is fueled by specific historical realities, and today it is becoming particularly acute. The polysemantic categories of "freedom" and "justice" provide space for multivariate interpretations of their content, and such interpretations are not always carried out in favor of a man, individual, personality. The purpose of this study is mainly to perform a retrospective analysis of the phenomena of Freedom and Justice, which obtained a deep conceptualization in the days of early modernity philosophy. Of course, almost every influential philosopher of this era did not ignore these universal values. However, considering the format of this study, we will limit ourselves to a historical and philosophical analysis of the relevant ideas of two thinkers who made a huge contribution to the development of philosophical and political discourse of the Modern Age: they are Thomas Hobbes and John Locke. Two main objects of this research are "Freedom" and "Justice" in those senses what were originally implicated in Hobbes' and Locke's doctrines, and their meaning for nowadays. The importance of research of such a multilateral notions as Freedom and Justice, as we think, is connected with different views on the role of the State and Civil society in contemporary political process, and a long-standing controversy between statism and liberalism. We believe that better understanding of the original

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content of these notions would contribute into modern social-philosophic, legal and political discussions on how they should be interpreted and unfold in modern social reality. That is the main reason why we decided to focus our attention on the contradictory aspects in "Freedom" and "Justice" phenomena's understanding by Hobbes and Locke. We hope, this attempt at a historical and philosophical representation of T. Hobbes's and J. Locke's visions will help to comprehend how these two concepts have changed since the days when the mentioned classical liberal thinkers lived. The current knowledge of the topic is not restricted only with the original works, as Hobbesian "Leviathan: Or the Matter, Forme, and Power of a Common-Wealth Ecclesiasticall and Civill" (Hobbes, reprint 2010) and other political works (Hobbes, 1991), or with Locke's "Essays on the Law of Nature" (Locke, reprint 2002), "Two Treatises of Government" (Locke, reprint 2003). There are some contemporary works aimed at the comprehension of Hobbes' ideas, for instance, the work "The Limits of Hobbesian Contractarianism" (Kraus, 1993). Locke's intellectual legacy was the matter of some later influential researches, among which was P. Laslett's "Introduction to Locke's Two Treatises of Government" (Laslett, 2003).

Theoretical and methodological framework Methodology of the research is based on formal logical methods of analysis and synthesis, on a comparative method, and an axiological

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approach. Methodologically important, to clarify the common and different in views by T. Hobbes and J. Locke on the phenomena of freedom, justice, and other related notions, we consider those studies, which cover the following issues: the historical context of writing Locke's "Treatises of Government" (Laslett, 1956); Locke's justification of private property (Day, 1966); the question of the transition from the "state of nature" to political society (Hardin, 1993); dialectics of the natural and the artificial in social space (Skinner, 1999); on some axioms in the realm of individual rights (Miller, 2011); issues of moral obligations to the law, as well as the natural right for freedom of association (Davis, 2012); the question of the so-called distributive justice (Olsthoorn, 2013); reconsidering Locke's 'jus naturale' tradition (Seagrave, 2015); the concept of materialism and its consequences for morality (Springborg, 2016); the question on the relationship between justice and fairness (Hoye, 2019); issues of stability and diversity in the discourse of social conventionalism (Moehler, 2019); the problem of morality and its implementation in life practice (Connolly, 2019); understanding the consequences of violating the political agreement (Fleming, 2020); current discussions on the nature of the sovereign (Apeldoorn, 2020); the problem of so-called "minimal state" in the discussions between liberalism and libertarianism (Bruner, 2020). The presentation of main ideas, results and discussion The appeal to the legacy of Thomas Hobbes and John Locke is due not only to the historical and philosophical interest in these figures of modern European philosophy. It is due to the great influence that Hobbes' and Locke's ideas expand on the development of modern social philosophy (and liberal theory, and the theory of justice – as the cornerstones of political philosophy). Both thinkers operated with the categories of "freedom", "justice", "property", "enforcement", "equality", "social agreement". For each of them, the question of the "state of nature" was a main starting point in all subsequent reflections on freedom and justice. However, each philosopher filled all these concepts with different meanings. Quite common is the notion in which Locke is associated with the development of the ideology of liberalism, and Hobbes, on the contrary, is presented as a harbinger of totalitarianism, who saw in the idea of absolute power the only real way to prevent mutual enmity between people by reconciling their interests. Therefore, from his

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earliest works, Locke distanced himself from Hobbes, criticizing the latter for the excessive utilitarianism and materialism that are actually read in Hobbes's political philosophy. Locke, on the other hand, believed that a purely conventional basis for ethical norms is alien, and that ethical substance itself is the basis of justice and freedom. Man, according to T. Hobbes, is both a physical and a spiritual being. Its spirituality is expressed in the fact that man is the creator of culture. The most important social value created by man is the state. Hobbes considered the doctrine of the state to be the main task of his philosophy, based on the concept of human nature. According to Hobbes, human nature is purely selfish (Hobbes, 1991, B. II). Hobbes' ethics stems from the "sensual nature" of a human. Hobbes considered the "natural law" as a basis of morality, meaning by that human desire for self-preservation and satisfaction of needs. Hobbes's doctrine of society and the state is a kind of result of all his philosophical research. Hobbes's political theory, detailed in his major work "Leviathan" (Hobbes, 2010), is based on the dialectic of collective, social-state and individual-personal principles. Hobbes believed that people are equal by nature, because nature endows all people with similar physical and spiritual gifts. From the potential equality of abilities arises the equality of hopes for achieving goals. That is why, if two people want the same thing, which however they cannot own together, then they become irreconcilable rivals, and because of mutual distrust a war arises (Hobbes, 1991, B. II: 93-94). It is possible to avoid a "war of all against all" by using the treaty. Contract theories, even before Hobbes, took place in ancient Chinese and ancient Greek philosophy. Plato points out that Glaucon was a supporter of contract theory (Platóno, 1962). However, these theories, significantly preceding the philosophy of the Modern Age, have not yet been so consistently developed. In addition, the very problem of justice (in the context of contract theory) is filled by Hobbes with new meaning, presenting new facets that allow us to understand better the essence of justice at the contemporary era. Hobbes develops the contractual theory of the origin of the state and the concept of justice based on the selfish essence of man. He is convinced that where there is no strong government capable of keeping everyone in control, people for some reason are not able to coexist peacefully and safely in the format of society. Three main causes

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258 of war are rooted in human nature itself: rivalry, mistrust, and ambition. Hobbes's interpretation of war takes on such a meaning that "... war is not only a battle or a military action, but also a period of time during which the will to fight, or acting by force is clearly affected" (Hobbes, 1991, B. II: 95). Speaking of Hobbes' concept of justice, it seems important to us to single out his idea that in the "natural state" (i.e. in a state of "war of all against each other") the concepts of legal and non-legal, just and unjust, simply do not exist yet. Where there is no supreme power, there is obviously no universally binding law. From this vision Hobbes concludes that the absence of law also does not give grounds to speak of "injustice", as no one violates any social law (just because of the absence of such). Proprietary discourse is added to this issue: “The mentioned condition is also characterized by the lack of property, of possession. Everyone considers as his own only those things, which the one is capable to obtain, to take, but only as long as he is able to hold it” (Hobbes, 1991, B. II: 96-97). In other words, the very concept of justice (which could be converted into 'legal equity' within a state), as well as property, arise, according to Hobbes, only in the space of a politically organized society. In "Leviathan", Hobbes argues that the natural inequality between people is not so great as to give anyone a clear advantage; and therefore all are forced to live in constant fear of violence or loss. This state of affairs is called "bellum omnium contra omnes". In this state (the pure state of nature, or "the natural condition of mankind") everyone has the natural right to do whatever he deems necessary to save his own life, however everyone's life is "... lonely, poor, ugly, cruel, and short" (Hobbes, 2010, Ch. XIIIXIV). Hobbes builds his contractual theory on the basis of natural law (natural right, or 'jus naturale') and natural laws (laws of nature, or 'leges naturales'), which derive from this law. The basic (first) natural law, according to Hobbes, urges man to seek peace and follow it. Everyone has a duty to seek peace if there is a hope of achieving it. If this is not possible, then a person has the right to use any means that will give him an advantage in war (Hobbes, 1991, B. II: 98-99). J. Locke, probably referring to Hobbes and his followers, criticizes those who equate the "law of nature" solely with concern for their own safety and well-being. Thus, in his work, which is an outline made before the writing of the "Second

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Treatise of Government", namely, in "Essays on the Law of Nature", Locke notes that in Hobbesian solution, any ethical obligations imposed on man are reduced to utilitarian benefits. Thus, according to Locke, if the "law of nature" is understood as the methodology of selfpreservation, then any virtue will be correlated not so much with human duty but with human benefits, so only what may be considered useful will be deemed as moral. In such case, observance of natural laws will not be a moral obligation or an indisputable imperative, but will directly depend on profit (Locke, 2002: 110). But for Locke, man is not only free and intelligent, but also morally oriented. And this position determines the specificity of Locke's understanding of the justice and essence of the social contract. For Locke, the essence of people is not reduced solely to a pragmatic interest, to satisfy which they are forced to form a system of state and legal institutions, and in the space of which it is only allegedly possible to talk about justice. Both Hobbes and Locke tend to characterize people as independent, equal (from the beginning), and free individuals. However, Locke's understanding of initial equality and freedom differs from Hobbes's. After all, for the latter, most individuals are minimally rational (Kraus, 1993: 35-36). And if for Hobbes initial equality is only the cause of the "war of all against each other" and a precondition for a social contract, then for Locke initial (natural) equality is not the cause of conflict over resources, but the basis of reasonable peaceful coexistence between people: "... Because all people are equal and independent, none of them should harm the life, health, liberty, or property of another ...” (Locke, 1988: 265). Eventually, in the very fact of this equality lies the moral obligation of the individual to protect both his personal freedom and property (the latter is interpreted by Locke expanded), and the freedom and property of another. According to Locke, man in his actions is guided not by fear, as Hobbes presents, but by rational imagination. In particular, "Essays on the Law of Nature" state that "... Not the fear of punishment, but a rational idea of what is right, binds us" (Locke, 2002: 118). It is about the inherent in the individual's ability to understand the natural law and the obligations of a moral and legal nature that flow from it. Moreover, these obligations, as Locke puts it, are the bonds of reason, which are universal in nature, because they are clear to all fully thinking subjects. Explaining his opinion,

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the philosopher notes: "If this law of nature is binding on at least a few people, it is obvious that it must be equally binding on all, because the grounds for the obligation are the same for all people, as well as the identical way of human cognition and their very human nature" (Locke, 2002: 125). It should be noted that the reconstruction of Locke's interpretation of the "law of nature", and the phenomena of freedom and justice, seems to be a rather difficult task. It is no coincidence that Locke's theory of the social contract is called "intolerable" by M. Nussbaum, because "... it contains heterogeneous elements that are extremely difficult to combine into a holistic picture" (Nussbaum, 2006: 41). And the point is not only that Locke's position changed somewhat during his lifetime, but also that such an important work in this context as the "Two Treatises of Government" was eventually composed of fragments written at different times and came to us in an unfinished form (in particular, the First Treatise). Later, Locke's liberal theory of justice, in terms of ethics, was somewhat supplemented by Rousseau and Kant (Rawls, 1999: 18). In the fourth book of "An Essay concerning Human Understanding" (Locke, 1836), justice is investigated in close connection with sociopolitical practice, and Locke sees it as the purpose of ethics, which, in his opinion, is aimed at finding the rules of human action that lead to happiness. However, Locke's interpretation of justice differs from how Hobbes interprets it (although it is known that Locke's understanding of justice in general was formed under the influence of Hobbes' philosophy). Locke's moral agreement between people precedes the socio-political agreement between them, and these agreements are based on universal rational principles, the most important of which are the principles of Justice and Freedom. This statement shows a fundamental difference in the views of Hobbes and Locke at the very moment of the "emergence" of justice. Among other things, the human race is a specific community. According to Locke, this community could probably be enough for people to live, only if human depravity did not make living conditions in the "natural state" pretty unfit, and this fact forces them to create a state by treaty (Locke, 2003: 351). This position brings Locke closer to Hobbes, for whom the realization of justice is possible only after the conclusion of a social contract (formation of the state), which

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defines the principles of socio-political relations. And since the contract has been concluded all these relations occur between fellow citizens. By the way, the issue of justice is relevant not only for European culture. However, in other cultures, this issue has a different specificity. For example, in the realm of Sinitic civilization there are another approaches applicable to the interpretation of justice (Svyrydenko & Stovpets, 2020; Stovpets, 2019; Stovpets, 2020: 63). Hobbes's natural law presupposes the freedom of every man to use his own powers at his own discretion to save his own life and, consequently, the freedom to do all that, in his opinion, is most suitable for this purpose. And here Hobbes inevitably touches on the actual category of freedom. The second natural law in Hobbes's concept presupposes the need for self-restraint. It is expressed in man's renunciation of the absolute right to all things (which one, according to Hobbes, was present in human beings in the "natural state") to the extent necessary in the interests of peace and self-defense. Thus the person should be satisfied with such degree of freedom in relation to other people, which he would allow for them in relation to himself, in case of the consent to these actions from others. Self-restraint is expressed in the refusal to prevent another person from benefiting from the right to a certain good. Here Hobbes speaks of the conciliation of interests: "The mutual transfer of law is what people call a contract" (Hobbes, 1991, B. II: 99-101). Hobbes' logic here is as follows: where there was no conclusion of a social contract, there no right was transferred; then each individual has an unlimited right to everything, and accordingly, no action can be considered unjust (because the criteria of justice have not been defined). The third natural law is justice, which has a contractual basis and is conditioned by a previous agreement (Hobbes, 1991, B. II: 115). People must abide by the agreements they have made, otherwise they continue to be at war. If the contract is concluded, then its violation becomes an injustice. Instead, fulfilling the terms of a voluntary agreement is just and moral, because it meets the basic interests of human. Note that Hobbes continues to develop the idea of Aristotle, according to which the measure of justice is law, and the fulfillment of justice is possible only in the state, only where there is supreme power, and binding and obligatory laws (Aristotle, 1983: 376-380). Hobbes himself says in this regard that "... agreements without a sword

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260 are only words that cannot guarantee human security" (Hobbes, 1991, B. II: 129). It is known that Locke does not accept many provisions of Hobbes' philosophy. In his works there are direct attacks against Hobbes and his followers, which allows many to present these two philosophers as antagonists. The emphasis is usually on the fact that these two thinkers interpret the natural state differently, as well as goals, pursuing which individuals enter into a social contract. Finally, the different attitudes of these philosophers to authoritarian rule are emphasized. However, to talk about the diametric opposite of the two teachings is hardly possible. In particular, reflecting on Locke's "Two Treatises of Government", P. Laslett notes: "... if Locke wrote his book as a refutation of Sir Robert Filmer, he could not have written it as a refutation of Thomas Hobbes ... It is a mistake to believe many in that Locke deliberately argues with 'Leviathan' in developing his theory of revolution” (Laslett, 2003: 67). Indeed, referring to the problem of freedom in the Second Treatise, Locke writes that 'freedom' is not what Filmer says: the freedom to do what you want and live as you please, without being bound by any law. Quite in the manner of Hobbes, Locke emphasizes that "... The freedom of people in the existence of a system of state power is to live according to a permanent law, universally binding on everyone in this society, and established by the legislative power formed within it" (Locke, 1988: 274-275). This example demonstrates the validity of Laslett's position that the contradictions between Locke and Hobbes are contradictions "within one party" (Laslett, 2003: 70), which was in the intellectual opposition to the ideologues of unlimited royal power, whose views were summarized by Filmer in "Patriarcha or the Natural Power of Kings" (Filmer, 2017). However, unlike Hobbes, in whose political doctrine the problem of state power was key, Locke focuses mainly on the system of social relations. And even in the Second Treatise we can see that the theme of the state is secondary to Locke being at the background of freedom and law problems. While Hobbes describes the genesis of Leviathan's power, Locke turns to the understanding of the principles that determine the relationship between people, and he finds them in the "rationalized" natural law – in justice. "Essays on the Law of Nature" states that justice is "the main law of nature and the connecting

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basis of any society" (Locke, 2002: 110). Like Hobbes, Locke links justice to the rule of law. However, unlike Hobbes, he does not interpret the rule of law principle as arising from the conclusion of a social contract. Locke's political anthropology differs significantly from Hobbes's, which explains his another understanding of the natural state, and his different view of the need for a social contract. Locke demonstrates the close connection between equality, freedom and law. Equality of people by nature is not equality of talents or virtues, but the essence of "the equal right to natural freedom that everyone has", and, in turn, natural freedom is not to be bound by anything but the law of nature” (Locke, 1988: 292). Or, for example, he notes: "Man's freedom and freedom to act in accordance with his own will are based on the fact that man has a mind that is able to teach him the law by which he must govern himself" (Locke, 1988: 297). Locke distinguishes natural freedom from human freedom in society, and, as already noted, interprets freedom in the existence of a system of state power as a voluntary observance of socially established laws (guaranteed by the state). Thus, in contrast to Hobbes, Locke marks a fairly clear line between society and the state. Locke's concept of justice is largely due to his ideas about the ethical unity of people. As per Locke, this unity is explained by the equality of all human beings, by virtue of belonging to the human race, and therefore, each individual is guided by a single natural law. At the same time, the ethical unity of people, in Locke's view, precedes their political unity. Unlike the materialist and pragmatist Hobbes, who rejected any transcendent foundations of human action, Locke prefers to emphasize human morality as a kind of motivating force. This transcendent justification that Locke empowers with ethical and legal norms, plays an important role in his teaching, because, firstly, it provides some universalism and all-embracing nature of the "natural law", in oppose to the relativism of those laws that are established in the process of reconciling issues of public life. And, secondly, due to such a justification it becomes possible to talk about "pre-political" community of people (based on pre-conventional principles), which Locke calls the "natural state". On the other hand, given that the "law of nature" is unifying for all human beings, Locke's natural and political states do not oppose each other as radically as Hobbes says. That is why the "natural

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state" is not considered by Locke as a state of lawlessness. As noted earlier, it is not a state in which the relationship between individuals can be freed from being guided by the principles of justice. After all, justice, as stated in the "Essay concerning Human Understanding", is "... a kind of treatment of the person or property of another, consistent with the law" (Locke, 1836: 376). The difference between political and "pre-political" communities is only in the presence or absence of institutionalized mechanisms for implementing the principles of justice. However, justice itself as an ethical category was outlined, according to Locke, in pre-state times. Meanwhile, in the "political" state, justice is guaranteed by the legal system and the institutions of political and judicial power. Therefore, as it is reasonably stated, "... with becoming state-organized we have gained more justice, we have received better justice" (Harrison, 2003: 200), because here it is supported by a government established with civil consent. For Locke, the close connection between justice and force (coercion) is also obvious. And in this idea, he is similar to Hobbes. In addition, Locke says about the rationality of the principle of justice: "... the criteria of 'just' and 'unjust' appear in our souls as the product of a developed mind and deep reflection" (Locke, 1988: 506). However, here he recognizes that not every individual is guided by reason in their actions. Passions are often stronger than reason. That is why in the natural state, where there are no institutions forcing individuals to abide by the rule of law, there are no guarantees for justice to be fully realized. According to Locke, every individual has the natural ability to be a "judge" (i.e. to make judgments about what is fair and what is not, guided by the "law of nature"), but not everyone – for various reasons – can actually become a fair judge. Therefore, justice obviously needs more reliable and objective protection than the will and talents of individuals; and this is ensured only in the presence of the state. The key to Locke's theory of justice is the concept of property. Thus, in "The Oxford handbook of British philosophy in the seventeenth century" (Anstey, 2013) there is a description of Locke's theory as a "propertybased theory of justice". And the preconditions for such a definition exist, because Locke himself states: "where there is no property, there is no injustice" (Locke, 1836: 422). And in "Thoughts

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on Education" Locke writes that "teaching justice" is an important stage of education, which begins with the formation of children's understanding of what property is (Locke, 1988: 506). Locke's maxim about the connection between justice and property needs to be explained. As we noted earlier, the thinker interprets property in an expanded way. Under property, Locke understands not only the property belonging to man (estate), but along with it, "property" includes both human life and freedom. Protection of property (in its expanded sense) is the main goal of a justly organized society. In other words, Locke defines the task of the political community neither to ensure full estate equality, nor even to distribute benefits fairly (although this is important), but to create conditions for the individuals to use their property in different ways (Locke, 2003: 350). That means real opportunities to fulfill various interests of life, but taking into account the similar interests of others in society. Here we have to put a conditional point in our study of the phenomena of Freedom and Justice in the interpretations of Thomas Hobbes and John Locke. Of course, this issue seems hardly to be considered exhausted. Conclusions Summarizing the study, we note that we made an attempt at a historical and philosophical representation of T. Hobbes's and J. Locke's visions on the essence of the phenomena of freedom and justice. This analysis made it possible to identify the fundamental ideological conflict between statism and liberalism, between the utilitarian, entirely pragmatic understanding the nature of the social contract (in Hobbes' political philosophy), and the moral and ethical emphasis on the essential foundations of stateorganized society (in Locke's philosophical visions). Unlike Hobbes, whose doctrine of freedom and justice developed as a concept of realization of the person's particular interest, Locke focused on the common wealth, i.e. the public good. It is the criterion of legitimacy and justice when it comes to the need to use force by the political and judicial power of the state. At the same time, any actions of the authorities not aimed at achieving this good are considered as violating the agreement concluded between fellow citizens. Locke insists that the common good presupposes the preservation of each individual's identity,

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262 which is realized through guarantees of freedom, the right to fair treatment, and respect for personal and property rights. All the mentioned in its complex becomes the main goal of a politically organized community, and constitutes the content of a social agreement, acting as a guarantee of social solidarity and unity in equal opportunities. Besides that, as follows from Locke's works, full-fledged social integration is possible only under conditions of observance of the principles of justice. It becomes the main law of nature of any society. However, the specificity here is expressed in the fact that Locke connects justice with ensuring equality in the fulfillment of individual rights. Hobbes, without denying the above principles (however, most clearly articulated by Locke), emphasizes the key role of the state in consolidating free and selfish individuals into a single political community, within which there is such an emergent quality as "justice". The freedom of the individual loses its absolute character, as each member of this socio-political community gives up a part of his freedom in favor of 'Leviathan' (i.e. the sovereign, the state), agreeing to limit his freedom (which derives from "natural law" in Hobbes' sense) in exchange for welfare and relative security. Beginning from this moment it is fair for each individual to comply with the terms of that universally binding social contract, and injustice is to violate it accordingly by someone within the community. We guess, in Hobbes's political conception, a strong point is its realistic and pragmatic nature, in particular that Hobbes takes into account a marginal element – the reluctance of individual members of the community to self-restraint other than under pressure from society and the state. At the same time, Hobbes generally ignores the moral and ethical preconditions inherent to human nature, reducing the ontology of the social contract to purely utilitarian aspects. In addition, Hobbes's philosophy somehow ignores the problem of the possible usurpation of power by the sovereign himself, when this Leviathan becomes a totalitarian being, which itself violates social agreement, devaluing the interests of the whole community and each of the individuals. Then justice is obviously lost. Locke, on the other hand, forms an idea of the ethical and legal community of people, which, as its guarantee, needs institutions of political and judicial power based on the principles of justice. But fundamentally important, in the context of our study, is that Locke's political anthropology is based on the close relationship between the

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principles of justice and the imperatives of reason. The latter are not identified by Locke solely with the rational calculation of individual interest, but approach the universal ethical and legal requirements to ensure equal opportunities in the implementation and protection of freedoms and interests of the individual living in society. Justice, under such conditions, means that a person acquires the maximum opportunities to unfold his own freedom (in all its diversity), without violating the freedoms of others. Bibliographic references Anstey, P.R. (2013). The Oxford handbook of British philosophy in the seventeenth century. Oxford: Oxford University Press. Apeldoorn, L. (2020). On the person and office of the sovereign in Hobbes’ Leviathan. British Journal for the History of Philosophy, 28(1), 4968. https://doi.org/10.1080/09608788.2019.1613632 Aristotle. (1983). Works: in four volumes. Vol. 4. Translated and edited by A.I. Dovatur. Moscow: Mysl. Bruner, J.P. (2020). Locke, Nozick and the state of nature. Philosophical Studies, 177, 705-726. https://doi.org/10.1007/s11098-018-1201-9 Connolly, P.J. (2019). Locke's Theory of Demonstration and Demonstrative Morality. Philosophy and Phenomenological Research, 98(2), 435-451. https://doi.org/10.1111/phpr.12512 Davis, M. (2012). Locke on Consent: The 'Two Treatises' as Practical Ethics. The Philosophical Quarterly, 62(248), 464-485. https://doi.org/10.1111/j.14679213.2012.00045.x Day, J.P. (1966). Locke on Property. The Philosophical Quarterly, 16(64), 207-220. https://doi.org/10.2307/2218464 Fleming, S. (2020). A Political Theory of Treaty Repudiation. The Journal of Political Philosophy, 28(1), 3-26. https://doi.org/10.1111/jopp.12195 Filmer, R. (2017). Patriarcha, or the Natural Power of King; and Other Political Works. Ed. by P. Laslett. London: Taylor and Francis. Hardin, R. (1993). From Power to Order, From Hobbes to Hume. Journal of Political Philosophy, 1(1), 69-81. https://doi.org/10.1111/j.14679760.1993.tb00004.x Harrison, R. (2003). Hobbes, Locke, and confusion's masterpiece. An Examination of Seventeenth-Century Political Philosophy. Cambridge: Cambridge University Press. Hobbes, T. (1991). Works: in two volumes. Vol. 1, 1989. Vol. 2, 1991. Moscow: Mysl.

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Hobbes, T. (2010). Leviathan: Or the Matter, Forme, and Power of a Common-Wealth Ecclesiasticall and Civill. Ed. by Ian Shapiro. New Haven: Yale University Press. Hoye, M.J. (2019). Natural Justice, Law, and Virtue in Hobbes’s Leviathan. Hobbes Studies, 32(2), 179-208. https://doi.org/10.1163/18750257-03202004 Kraus, J.S. (1993). The Limits of Hobbesian Contractarianism. Cambridge: Cambridge University Press. Laslett, P. (1956). The English Revolution and Locke's "Two Treatises of Government". Cambridge Historical Journal, 12(1), 40-55. https://doi.org/10.1017/S1474691300000329 Laslett, P. (2003). Introduction to Locke's Two Treatises of Government. Cambridge: Cambridge University Press. Locke, J. (1836). An Essay Concerning Human Understanding. London: T. Tegg and Son. Locke, J. (1988). Works: in three volumes. Vol. 3. Moscow: Mysl. Locke, J. (2002). Essays on the Law of Nature. Locke J. Political Essays. Ed. by M. Goldie. Cambridge: Cambridge University Press. Locke, J. (2003). Two Treatises of Government. Ed. by P. Laslett. Cambridge: Cambridge University Press. Miller, D. (2011). Property and Territory: Locke, Kant, and Steiner. Journal of Political Philosophy, 19(1), 90-109. https://doi.org/10.1111/j.14679760.2010.00377.x Moehler, M. (2019). Diversity, stability, and social contract theory. Philosophical Studies, 176, 3285–3301. https://doi.org/10.1007/s11098-018-1174-8 Nussbaum, M.C. (2006). Frontiers of Justice. Disability, Nationality, Species Membership. Cambridge, MA: The Belknap Press of Harvard University Press.

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Olsthoorn, J. (2013). Hobbes's Account of Distributive Justice as Equity. British Journal for the History of Philosophy, 21(1), 13-33. https://doi.org/10.1080/09608788.2012.689749 Platón. (1962). The Statesman. Republic. Laws. Transl. and ed. by W.R.M. Lamb, H.N. Fowler. London: William Heinemann, 449 pages. Rawls, J. (1999). Theory of Justice. Cambridge, MA: The Belknap Press of Harvard University Press. Seagrave, A.S. (2015). Locke on the Law of Nature and Natural Rights. Chapter 19 in "A Companion to Locke" by Matthew Stuart. Hoboken: John Wiley & Sons, Inc., 584 pages. P. 371-393. https://doi.org/10.1002/9781118328705.ch19 Skinner, Q. (1999). Hobbes and the Purely Artificial Person of the State. Journal of Political Philosophy, 7(1), 1-29. https://doi.org/10.1111/1467-9760.00063 Springborg, P. (2016). Hobbes’s materialism and Epicurean mechanism. British Journal for the History of Philosophy, 24(5), 814-835. https://doi.org/10.1080/09608788.2016.1212699 Svyrydenko, D., & Stovpets, O. (2020). Chinese Perspectives in the “Space Race” through the Prism of Global Scientific and Technological Leadership. Philosophy and Cosmology, 25, pp. 57-68. https://doi.org/10.29202/philcosm/25/5 Stovpets, O. (2019). Chinese legal-philosophic syncretism and its influence to value orientations of the Chinese society. Skhid, 1(159), pp. 55-60. https://doi.org/10.21847/17289343.2019.1(159).157856 Stovpets, O. (2020). Sinitic civilization's worldview features and their system-forming role in the complex of social relations in modern China. Interdisciplinary Studies of Complex Systems, 17, pp. 59-72. https://doi.org/10.31392/iscs.2020.17.059

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DOI: https://doi.org/10.34069/AI/2021.42.06.25 How to Cite: Hrytenko, O., Prymachenko, V., Shablystyi, V., & Karikh, I. (2021). Criminal liability for cruelty to animals under the legislation of Ukraine: features of theory and practice. Amazonia Investiga, 10(42), 264-273. https://doi.org/10.34069/AI/2021.42.06.25

Criminal liability for cruelty to animals under the legislation of Ukraine: features of theory and practice Кримінальна відповідальність за жорстоке поводження з тваринами за законодавством України: особливості теорії та практики Received: June 3, 2021

Accepted: July 10, 2021

Written by: Oksana Hrytenko112 https://orcid.org/0000-0003-1376-6956 Web of Science researcher code: AAQ-5672-2021 Vitaliy Prymachenko113 https://orcid.org/0000-0002-9907-0820 Web of Science researcher code: AAQ-5686-2021 Volodymyr Shablystyi114 https://orcid.org/0000-0003-0210-1772 Web of Science researcher code: AAI-6473-2020 Ihor Karikh115 https://orcid.org/0000-0001-8209-2743 Web of Science researcher code: AAR-2469-2021 Abstract

Анотація

The study aimed to determine the characteristics of criminal liability for cruelty to animals. The object of the study is social relations arising in the field of morality protection. We used the following general scientific methods: dialectical, historical, descriptive, methods of scientific analysis and generalization. In addition to general scientific methods, we also used special methods: comparative legal and statistical. Having performed a retrospective analysis of criminal liability for cruelty to animals, we identified four historical stages in the formation and development of criminal legal standards for cruelty to animals. Having investigated the reasons for the social conditioning of criminalization for cruelty to animals, the authors identified a range of problems in the field of humane treatment of animals that require immediate solutions: the use of animals in scientific experiments, the manufacture of clothing from leather and animal fur, the activities of dog hunters and the use of animals in circuses. Factors affecting the cruelty of a person have been

Метою дослідження стало визначення особливостей кримінальної відповідальності за жорстоке поводження з тваринами. Об’єктом дослідження є суспільні відносини, що виникають у сфері захисту моральності. Предметом дослідження є кримінальна відповідальність за жорстоке поводження з тваринами. Нами було використано наступні загальнонаукові методи: діалектичний, історичний, описовий, метод наукового аналізу та узагальнення. Крім загальнонаукових методів, ми використовували також спеціальні методи: порівняльно-правовий і статистичний. Здійснивши ретроспективний аналіз кримінальної відповідальності за жорстоке поводження з тваринами, ми виділили чотири історичні етапи формування та розвитку кримінально-правових стандартів щодо жорстокого ставлення до тварин. Дослідивши причини соціальної обумовленості криміналізації за жорстоке поводження з тваринами, було виявлено низку проблем у сфері гуманного ставлення до тварин, що потребують негайного вирішення: використання тварин в наукових дослідах, виготовлення одягу з шкіри та хутра

112

Doctor of Law, Associate Professor, Professor of the Department of Criminal Law and Criminology, Odesa State University of Internal Affairs, Ukraine. 113 Candidate of Law Sciences, Associate Professor, Head of the Department of Criminal Law and Criminology, Dnipropetrovsk State University of Internal Affairs, Ukraine. 114 Doctor of Law Sciences, Professor, Head of the Department of Criminal Law Disciplines, Dnipropetrovsk State University of Internal Affairs, Ukraine. 115 PhD in basics of national security (political science), Senior Lecturer, Department of Criminal Legal Disciplines and Procedure, Sumy State University, Ukraine.

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also identified. The delimitation of corpus delicti from an administrative offense is carried out according to several main criteria: the degree of public danger and consequences. International experience in the context of criminal liability for cruelty to animals is diverse. Keywords: cruelty to animals, cruelty, criminal liability, international experience, delineation of offenses.

звірів, діяльність догхантерів та використання тварин в цирках. Також визначено чинники, що впливають на жорстокість особи. Відмежування складу злочину від адміністративного правопорушення здійснюється за декількома основними критеріями: ступінь суспільної небезпеки та наслідки. Міжнародний досвід особливостей кримінальної відповідальності за жорстоке поводження з тваринами є різноманітним. Зокрема, українське законодавство істотно відрізняється покаранням та віком суб’єкта злочину. Суворість покарання в майбутньому забезпечить не лише меншу кількість випадків жорстокого поводження з тваринами, а й дозволить максимально наблизити вітчизняне кримінальне законодавство у сфері захисту тварин до європейського. Ключові слова: жорстоке поводження з тваринами, жорстокість, кримінальна відповідальність, міжнародний досвід, відмежування правопорушень.

Introduction

Theoretical framework

Hunting is a widespread practice among human communities (Barbosa de Lima, de Oliveira Rebouças & Batista Santos, 2021). At the same time, humane treatment of animals is an obligation in most countries. This testifies both to the high moral values of society and to the sense of responsibility towards the environment. Unfortunately, the idea of protecting animals, which found its expression both in public speeches of citizens and in the clear steps of the domestic legislator, has not yet found its expression. Almost every day, social media posts containing signs of cruelty to animals are posted. Children with an immature psyche, taking an example, perceive violence against fauna as a common thing, which in the future often leads to serious problems. The focus on cruelty to animals is not accidental. Since 2017, the rate of registered crimes against animals has almost doubled. In addition, the reasons for the prevalence of this phenomenon include the lack of legislative regulation of this crime (Bayrachnaya, Nadtochiy, Isaev & Surenovna, 2018). Although cruelty to animals is common throughout the world, its true extent is largely unknown. (Glanville, Ford & Coleman, 2019). Therefore, research on criminal liability for cruelty to animals is important and relevant. The study aimed to determine the characteristics of criminal liability for cruelty to animals. The object of the study is social relations arising in the field of morality protection. The subject of the study is the criminal liability for cruelty to animals.

The study’s theoretical framework is the scientific works of domestic and foreign scientists who reveal the essence of cruelty to animals. In particular, according to Sinclair L, Lockwood R., cruelty to animals is a widespread phenomenon entailing serious consequences both for animal welfare and for individual and public welfare (Sinclair & Lockwood, 2005).

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R. Lockwood and P. Arkow note that acts of violence against animals in many cases are modeled on the same dynamics of power and control, which often denotes a trajectory of intimate partner violence, sexual violence, child abuse, and other violent antisocial behavior behaviors (Lockwood and Arkow, 2016). R. Osokin and A. Chibizov reveal the essence of cruelty to animals in more detail. They define them as beatings, torture, destruction of habitats, violation of zootechnical, zoohygienic, veterinary and sanitary rules, other actions (inaction) that entail injury, exhaustion from prolonged starvation or death of animals, the cruel killing of animals, and other actions that contradict the rules established by law and the norms of humane treatment of animals accepted in society (Osokin & Chibizov, 2011). It is feasible to focus on the study by R. Veresha, who concludes that cruelty to animals creates an even more dangerous phenomenon – cruelty to humans. This approach fundamentally changes the idea of the public danger of such an act, thus necessitating the application and development of

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266 the relevant norms of the criminal law (Veresha, 2014b). Methodology We used the following general scientific methods: dialectical (to determine the subject of the crime under investigation); historical method (to study the process of formation of liability for cruelty to animals), descriptive method (to reveal some concepts, conduct a general description of the elements of the crime); method of scientific analysis and generalization (to distinguish between crime and misconduct). In addition to general scientific methods, we used special methods: the comparative legal method (to compare criminal liability for cruelty to animals in different states); statistical method (to analyze statistical data related to this crime). Results and discussion Retrospective analysis of liability for animal cruelty The concept of cruelty to animals has been known long before Martin’s Act or creating the first animal welfare organizations. To systematize the periods that humanity has gone through in establishing legal standards for the problem of animal welfare under criminal law, we propose to highlight the relevant historical stages. The authors consider the early references to attitudes towards animals, which served as a further basis for issues of modern liability for cruelty to animals. One of them is the Bible, which states: “If you see the donkey of one who hates you lying under its burden, and you would refrain from helping it, you shall surely help him with it.” The Christian religion, the canons collected in the Holy Book, encourages people to care for and help animals, regardless of whether they own them. Another major work is the Laws of Manu. These laws contain the main provisions that shaped the further development of vegetarianism and non-violence: one of them is “the one who kills an animal, the buyer and seller of meat, the one who prepares food from it, serves it to the table, eats – they are all murderers” (Elmanovich, 2002). The provision prohibits killing and eating meat and condemns such actions, proclaiming such a person as a murderer, evokes condemnation on the part of society. It is worth noting that the ideas of ancient philosophers also influenced the development of relevant criminal science. One of the most striking examples is the hero of ancient myths –

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Triptolemus, guided by three commandments of a dignified life: treating parents with respect, giving gifts to the gods, preserving and protecting animals (Clark, 2000). The famous Greek philosopher Pythagoras believed that the souls of people and animals have a common origin from the spirit that permeates the whole world, and his students called on for observing the principles of humanity and moderation, selfrestraint and believed that a good attitude towards animals is the basis of human morality (Ziegler, 1995). Thus, the first stage in the specification of liability for cruelty to animals can be distinguished, which lasted from about the end of the third century BC to the third century AD. The peculiarity of this period is that the corresponding sources do not determine the punishment for a cruel attitude towards animals, but such actions entail moral condemnation from society. However, the use of animals as a labor force and their use for food remained the main means of subsistence. The next stage in the formation of criminal law standards for the treatment of animals is a wide period of time from the fourth to the seventeenth century AD. It is known from history that wars took place all over the world at that time. By the example of Ukraine, we note that the consequences of Greek colonization, the large settlement of the Slavs, the unification of the northern and southern lands, the introduction of Christianity, the division of the thrones of KievanRus, the unification of the Galician and Mongolian principalities, the Mongol invasion, the division of Ukrainian lands between various empires, joining the Grand Duchy of Lithuania – these events were aimed at solving political, economic or social problems. Therefore, careful treatment of animals was far from the forefront of established problems. Although KievanRus had animals that required special attention – birds that were considered sacred. Punishment was even provided for the destruction of nests, but on the part of a Christian or pagan god: for destroying a stork’s nest, a house can burn down, for destroying a nest of swallows, pockmarks will the face ugly (Skurativsky, 1995). Consequently, due to historical events, this period is characterized by a decline in attention to the issue of cruelty to animals. The real beginning of the struggle for protecting animals can be considered the moment of the creation of relevant regulatory legal acts and special organizations. Therefore, the next stage of forming criminal legal relations concerning

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the treatment of animals begins in the seventeenth century. In particular, the main events of this period are the adoption of the first animal welfare statute in North America in 1641. This code included 92 paragraphs, the last of which proclaimed that “no man should practice tyranny or cruelty against any creature of God, usually used for the benefit of man” (Francione, 1996). One of the most significant steps in animal welfare was the legislative consolidation of the 1822 Act, the so-called Martin’s Act. The provisions indicated a wide list of animals that were subject to this Act and the corresponding actions for which sanctions were imposed: “beatings, poor care or cruel treatment of any horse, mare, gelding, silt, donkey, bull, cow, heifer, sheep or other cattle” were punished with a monetary penalty (from 10 shillings to 5 pounds sterling) or imprisonment for a period of three months (7). In 1824, the first animal welfare organization, the Society for the Prevention of Cruelty to Animals, was created. After that, the corresponding trend spread in many European countries. In 1861, the First Russian Society for the Protection of Animals was created. In 1866, the Rules for the Treatment of Animals were published. The main provisions of which were: it is forbidden to use sick, lame and wounded animals in work; it is not allowed to hit animals with a hard or sharp object, and to hit on the stomach or head in general; it is forbidden to give the animal a load that is too heavy for it; it is not allowed to put on a lasso on a horse when the horse walks in yarn and slightly pulls the cart, etc. A significant contribution of such societies is also the fact that in 1871 these Rules were supplemented with some articles that had an imperative nature of prohibitions and established liability: “Art. 43-A. The perpetrators are subject to a monetary recovery not exceeding 10 rubles for inflicting useless torment on farm animals. Article 153 imposes arrest for 1 month or a monetary penalty not exceeding 100 rubles for the slaughter or maiming of other people’s animals.” Consequently, this stage lasted from the beginning of the 16th century to the middle of the 20th century and is characterized by the active attraction of attention to the issue of violence against animals, the creation of the first law aimed at protecting animals; the activities of protective organizations and their influence on the relevant legal framework. Thus, the third stage became a kind of engine that launched a mechanism for resolving the issue of cruelty to animals at the national level.

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Since the middle of the twentieth century, the fourth stage of forming the modern criminal law attitude to cruelty to animals begins. After the Second World War, the international community issues acts that introduce basic provisions on the attitude to and existence of animals. One of them is the European Convention for the Protection of Vertebrate Animals Used for Experimental and other Scientific Purposes dated March 18, 1986. The main purpose of this act is to protect animals that serve as experimental subjects in scientific research “if such a procedure can cause pain, suffering, anxiety, cause long-term harm” (European Convention No. 123, 1986). Another defining document at the international level is the European Convention for the Protection of Domestic Animals as of November 13, 1987. In particular, the basic principles of this convention proclaimthat “no one should cause unnecessary pain, suffering or oppression for a pet; no one should leave a pet” (European Convention, 2014). An important step to solve this problem was creating the World Society for the Protection of Animals. Society pays attention to important issues: keeping dolphins in captivity, slaughtering whales, etc. At this time in the Soviet Union, the Criminal Code was changed (Law No. 2001-05, 1960). Still, only the 1988 amendment established the liability for cruelty to animals: “the cruel treatment of animals, resulting in their death or injury, as well as torture of animals, committed by a person who was subjected to an administrative penalty for the same actions during the year, shall be punished with correctional labor for a term of up to six months or a fine of up to forty times the minimum amount wages” (Law No. 2001-05, 1960). Today in Ukraine, there are legal acts concerning the maintenance, care, and protection of animals: the Law of Ukraine On the Protection of Animals from Cruelty dated February 21, 2006; the Law of Ukraine On the Animal World dated February 13, 2001; the Law of Ukraine On the Protection of the Natural Environment of June 25, 1991; the Law of Ukraine On Veterinary Medicine of June 25, 1992, (Law No. 1264-XII, 1991) etc. Moreover, the Code of Administrative Offenses of Ukraine and the Criminal Code of Ukraine contain articles establishing liability for illegal acts against animals. Thus, we have identified the fourth stage in forming criminal law standards for the treatment of animals. Its peculiarity is the consolidation of the relevant acts of animal protection at the international level, creating global animal

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268 welfare organizations, and the active attraction of attention to the issues of cruelty to animals and the prohibition of the use of animals in the circus, and experiments on them. This period lasts from the middle of the twentieth century to the present day.

Social conditionality of criminalization of cruelty to animals

Although in Russkaya Pravda, for the first time in Ukraine, there was an attempt to introduce liability for violence against animals: “for deliberately slaughtering someone else’s horse or other cattle, the attacker pays 12 hryvnias to the treasury, and the owner – 1 hryvnia. For cut trees with pedigree beehives, the guilty person is obliged to contribute 3 hryvnias to the treasury. Although the need for legislative consolidation was first based on the protection of a person’s property. In addition, in the Law Code of Casimir of 1468, liability for cruelty to animals was not introduced because animals were recognized as movable things. One of the crimes against property was “the keeping of strayed or stolen cattle for more than three days” (Dovnar, 1995).

The need to introduce criminal liability for cruelty to animals appeared and developed for a long period of time. We propose to investigate them per the historical stages that we discussed above to find out all the conditions and reasons for the criminalization of the crime.

Such a crime was considered serious, and an appropriate sanction was established. If the amount of theft exceeded 30 Lithuanian money, the death penalty was applied to the perpetrator. Thus, at the second stage, the main prerequisite for animal protection was protecting property.

At the first stage, which lasted from the end of the third century BC and to the third century AD, there was a need to condemn such behavior rather than prosecute it. Neither the Bible nor the Laws of Manu determine the appropriate sanction. Considering that animals were the main source of food and labor in this historical period, it is logical that the reason for their protection was far from a sense of humanism. Religious and mythological beliefs were a basic need to protect oneself from the vengeance of the gods. Fear of punishment forced people to refrain from performing cruel actions against animals. For example, Jainism, a religiously philosophical doctrine widespread in India and Sri Lanka, professes the rule of non-violence. Any violent actions are prohibited. The highest religious duty is based on the fact that you cannot kill any living creature, and this should be expressed not only in actions but also in thoughts. During this period, in Europe, the attitude to animals was somewhat different. For example, in the myth of Ancient Greece “The Twelve Labors of Hercules”, the hero is glorified for brave deeds, the overwhelming majority of which involve killing animals. In addition, a common practice was a sacrifice – killing animals (sometimes people) to thank the gods. Therefore, the first reason for the protection of animals is the religious and mythical ideas of humanity.

At the third stage, the first legislative consolidation of the rules for treating animals took place. As already noted, the relevant regulatory legal acts prohibited the mutilation of animals. In our opinion, this step was due to a simple causal relationship because animals were still used as a means of farming and movement in any country (especially in rural areas) in the period from the sixteenth to the middle of the twentieth century. Therefore, it is logical that the injury of an animal can lead to partial and sometimes complete loss of performance of the animal. Another feature of this period is the creation of the first animal protection organizations. It was this step that was caused not by consumer needs but by the manifestation of humanity. By the beginning of the nineteenth century, the issue of cruelty to animals began to be publicly discussed. Public figures of that time were increasingly expressing opinions on the relevant topic. For example, Leonardo da Vinci, who was known for his love of animals and was a vegetarian, noted that morality towards animals should change to the inadmissibility of cruelty to them. Consequently, attention to the issue of cruelty to animals has become another reason for criminalizing the relevant crime.

Thus, analyzing the above, we have identified four main stages in forming criminal law standards concerning cruelty to animals. Each stage is characterized by the definition of time intervals and some features corresponding to the social development of that period.

As noted above, at the second stage of development (the fourth to sixteenth century AD) of the criminal law attitude towards cruelty to animals, the interest in this problem declined.

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Within the last period of development, which continues today, issues related to animals are actively discussed in society. One of the first problems facing humankind today concerning the attitude to animals is the problem of their use in research. Testing of cosmetics and medical products on animals is negatively evaluated by

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society. In particular, calls for the abandonment of such cosmetics are increasingly common on social networks. As for Ukraine, the relevant European Convention On the Protection of Vertebrate Animals Used for Research and Other Scientific Purposes dated March 18, 1986 was ratified only on January 9, 2014, but this act has not been implemented yet. The next reason for the protection of animals is the manufacture of leather clothing and fur coats. The conditions in which animals are kept and the methods of killing cause a lot of public indignation. In particular, the United States became the first country to ban the sale of fur clothing. In post-Soviet countries, including Russia, Ukraine, and Belarus, the activity of dog hunters has actively spread, which causes a flurry of criticism from both ordinary citizens and public figures. Dog hunters are persons who, to protect themselves and their loved ones from the attacks of stray dogs, kill them by food poisoning. In 2010, a website Вредителям.НЕТ was created, which promoted the relevant activities. In addition to these motives, supporters of the relevant policy often resorted to killing animals that are owned. Recently, a circus with animals has become a problem in Ukraine. Videos shown on social networks, TV channels, and journalistic investigations indicate that the authorities should immediately ban the display of animals in circuses. The reason for this is inappropriate conditions for keeping and training animals. The Ministry of Culture plans to ban the circus with animals until 2021. In Europe, a corresponding ban has long been established. Germany uses a modern method – the holograms of animals are used. A person’s tendency to cruelty depends on various factors. Home environment, attitudes in school or work, social impact. In particular, in most cases, minors are exposed to violent tendencies. It often happens that a child accidentally witnesses bullying of both humans and animals, which leaves an imprint on his or her psyche. An immature person tends to imperfectly distinguish between good and evil. Especially when one of the parents systematically uses violence against the other at home. Moreover, the influence of television, computer games, social networks, and other things lay the appropriate template for solving certain situations using aggression and force.

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The main reason for criminalizing the relevant crime was that cruelty to animals is a consequence of committing crimes that are more serious. This is confirmed by studies conducted at the Serbsky Center of Psychiatry – about 85% of criminals who have committed grave and especially grave crimes have previously cruelly treated animals (Lobov, 2000). A well-known case is the example of AnatoliiOnopriienko – a repeat offender-killer who was inclined to abuse animals in childhood. Thus, the social conditionality of criminalization consists in several aspects. Condemnation of cruelty to animals according to religious canons, recognition of ownership over them, inhuman and anti-moral behavior influences the formation of propensities for cruelty and aggression. In addition, in Ukraine, there are still many problems of animal exploitation that require immediate solutions and legislative consolidation. Delimitation of the corpus delicti “Cruelty to animals” from an administrative offense In addition to criminal liability for cruelty to animals, there is also administrative liability. Special attention should be paid to the separation of an administrative offense from a criminal offense because neither the Criminal Code of Ukraine nor the Code of Ukraine on Administrative Offenses defines clear boundaries. First, we consider the specifics of administrative liability. Thus, Art. 89 of the Code of Administrative Offenses of Ukraine defines such actions as cruelty to animals: “mockery of animals, inflicting beatings or committing other violent actions that inflicted physical pain on the animal, suffering and did not entail bodily harm, injury or death, including violation of the rules of keeping animals” (Law No. 8073-X, 1984). Thus, a crime and an administrative offense have common features: punishment, public danger, guilt, illegality. However, there are also certain differences. First of all, these are the actual grounds for liability. The grounds for administrative liability are expressed in the specific composition of the offense – an unlawful, guilty (intentional or reckless) action or inaction that infringes on public order, property, rights, and freedoms of citizens, on the established management procedure and for which the law provides for administrative liability. According to the Criminal Code of Ukraine, the only basis for criminal liability is the

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270 presence in the actions of a person of signs of corpus delicti (Law No. 2341-III, 2001). Turska V.A. states that the degree of public danger and its quantitative factor (repetition, relapse) is the main criterion for distinguishing between crime and administrative offense. Administrative offenses include actions characterized by a lesser degree of public danger and the absence of great harm to society (Turska, 2014). In particular, Article 89 of the Code of Administrative Offenses of Ukraine also defines the consequences, which is an important criterion for distinguishing the composition of offenses. As already noted, these actions did not lead to personal injury or death. Correlation of the disposition of Art. 89 of the Code of Ukraine on Administrative Offenses and Art. 299 of the Criminal Code of Ukraine immediately reveals some issues. First, the subject of the crime of cruelty to animals is vertebrate animals, and in an administrative offense – any animal. Such a discrepancy is unacceptable. After all, the question of fairness arises concerning nonvertebrate animals. This disadvantage can be interpreted by the fact that vertebrates experience great physical pain and have more advantages than all others have, which contradicts the Universal Declaration of Animal Rights, adopted on September 23, 1977, where it is defined in Art. 1 that “all animals have equal rights to exist within the boundaries of biological equilibrium” (World Declaration of Animal Rights, 1978). Second, causing bodily harm to an animal is not an act that contains signs of an administrative offense or crime. Art. 89 of the Code of Administrative Offenses of Ukraine states “did not entail bodily harm, injury or death,” i.e., the actions that led to these consequences contain signs of criminal liability. However, analyzing the disposition of Art. 299 of the Criminal Code of Ukraine, we define that cruel treatment of animals, which entails criminal liability, is the occurrence of such consequences as mutilation or death of the animal. Thus, causing bodily harm does not entail either administrative or criminal liability, which is unacceptable. The complexity of the distinction between an administrative offense and a crime is also found in the qualification of acts of cruelty to animals under Part 2 of Art. 89 of the Code of Ukraine on Administrative Offenses and part 1 of Art. 299 of the Criminal Code of Ukraine, namely the

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propaganda of cruelty to animals and public calls for the commission of acts that have signs of cruelty to animals. Art. 5 of the Law of Ukraine On the Protection of Animals from Cruel Treatment states: “It is prohibited to promote cruelty to animals, to call on for cruelty to them...” (Law No. 3447-IV, 2006), but there is no clear definition of these concepts, as in any other regulatory legal act governing the rules for the treatment of animals. In our opinion, the promotion of cruelty to animals is a way of influencing public opinion, which is expressed in the dissemination of facts, rumors, arguments, statements about the need to use cruelty to animals for one purpose or another, orally or in writing through communication with society in real or the virtual world. Public calls for cruelty to animals are an active appeal to society, demanding or asking for actions that contain signs of cruelty to animals, either verbally or in writing, through communication with society in the real or virtual world. It is worth noting that animal cruelty advocacy is a broader concept and includes public calls for cruelty to animals. Confirmation of the ambiguity of the judges’ decisions in cases of this nature is the example of case No. 679/917/19. Its essence is as follows: the person posted a publication in one of the groups on the Facebook network, expressing his civic position regarding stray dogs, namely, distributed a recipe for the poison. The court qualified such actions as an administrative offense under Part 2 of Art. 89 of the Code of Ukraine on Administrative Offenses, namely the promotion of cruelty to animals. The reasoning states that “his comments were public, promoted and called on publicly to commit acts that had signs of cruelty to animals” (Resolution of the Netishyn City Court of Khmelnytsky Region, 2019). Although, public calls for the commission of actions containing signs of cruelty to animals are already a basis for criminal prosecution. However, to prevent disagreements of prosecution for public calls for the commission of actions containing signs of cruelty to animals, we propose to classify such actions as signs of an administrative offense. Such actions carry less public danger compared to causing bodily harm, injury, and death of an animal. Moreover, this approach will reduce the burden on the pre-trial investigation bodies. Thus, now the differentiation of corpus delicti and an administrative offense is carried out according to several main criteria: the degree of public danger and the consequences, in

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particular, bodily harm, injury, and death of an animal. However, in the course of the study, significant shortcomings were found in Art. 89 of the Code of Ukraine on Administrative Offenses and Art. 299 of the Criminal Code of Ukraine. First, the lack of unambiguity concerning the subject of the crime; second, lack of liability for causing bodily harm to an animal; third, the difference in the interpretation and unambiguity of prosecution for the propaganda of cruelty to animals and public calls for the commission of acts that have signs of cruelty to animals. International experience in criminal liability for cruelty to animals Given the urgency of Ukraine’s integration into the European Union, the topic of implementing international standards in domestic legislation is crucial. European society pays great attention to the duty of humane treatment of animals at the legislative level. In particular, Germany became the first country to establish a constitutional ban on cruelty to animals. In turn, France defines two types of crimes against animals: cruelty and mistreatment of animals. Another feature is the obligation of each owner of the animal to register it, make the appropriate vaccinations every year, and even contact a zoopsychologist if changes occur in the animal’s behavior (Larkin, & Shepel, 2015). The definition of the subject of the crime for cruelty to animals is very different in various countries worldwide, namely, the age at which criminal liability occurs. In particular, in the Netherlands and Israel, the subject of a crime can be a person who has reached the age of 12; in Norway and Sweden – 15 years; Spain – 18 years old, and in Turkey, in general, criminal liability for cruelty to animals begins from the age of 11 (Veresha, 2014a). Indeed, in our opinion, it is advisable to establish a lower age for cruelty to animals in the Criminal Code of Ukraine – 14 years. The low rate of investigation of crimes for cruelty to animals leads to confidence in impunity. After analyzing and comparing statistical information on the state of crime for November 2019, it was found that of the registered criminal offenses under Art. 299 of the Criminal Code of Ukraine, only 13% of the proceedings were directed to the court, while the other 87% are the proceedings, decisions on which has not been adopted. Thus, the peculiarity and specificity of the investigation of crimes for cruelty to animals have a certain impact on future crime. The conviction of criminals that they will

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not be held accountable is reflected in the recurrence of the crime. In addition to the subject of the crime, domestic legislation also differs significantly in the sanction. For example, the Austrian Criminal Code specifies that cruelty to animals resulting in suffering, abandoning animals to their fate or setting them against each other is punishable by up to 1 year in prison. In addition, the following actions are also considered punishable: causing injury or death, keeping several animals without food or water. In Israel, the criminal law provides for imprisonment for 3 years for causing injuries, poisoning, causing bodily harm, killing an animal. In countries such as Ireland, Canada, and most US states, only the basic penalty of imprisonment is provided for cruelty to animals. On the other hand, Singapore’s criminal law defines punishment, imprisonment or a fine of up to $800. In Turkey, the sanctions for this crime can also be imprisonment for 2 years or a fine of up to $250. Interestingly, in Sweden, if a bystander sees an animal in a car with closed windows, he or she can break the window with impunity to provide access to air. Moreover, in Poland, Japan, Switzerland, Denmark, Bulgaria, South Korea, there is no criminal punishment for cruelty to animals. In our opinion, it is also worth paying attention to the sanction of Article 299 of the Criminal Code of Ukraine. In particular, today, under the first part of this article, a person is punished with arrest for a term of up to six months or restraint of liberty for a term of up to three years. Domestic legislation is quite loyal to the definition of the sanction of this crime. However, in practice, there are some pretty gruesome cases of cruelty to animals that, in our opinion, should be subject to more severe penalties. Analyzing the sentences that entered into force in 2019, we found that under Part 1 of Art. 299 of the Criminal Code of Ukraine, 70% of punishments were 1 year of restriction of freedom, and 30% – were other punishments. We believe that this type of punishment often does not fulfill its main goal – correction and re-education. Thus, taking into account the specifics of serving a sentence in the form of restriction of freedom and the degree of social danger of cruelty to animals, it can be argued that the sanction of Art. 299 of the Criminal Code of Ukraine requires improvement. In particular, it is advisable to replace the restriction of liberty for up to three years with a sanction in the form of imprisonment for a period of 1 year. It is the change in punishment to a more severe one that

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272 will reduce the incidence of cruelty to animals in the future. Demidova V.V. notes that one of the most progressive animal protection laws in Europe was the law adopted on May 27, 2004 in Austria. According to the relevant regulatory legal act, it is considered a crime to tie up livestock with tight ropes, keep chickens in tight cages, and cut off the ears and tail of dogs (Demidova, 2018). Sinoverskaya T. I. notes that the US legislation is among the most progressive animal protection legislations. Every state in the United States has the Animal Health Surveillance Program that regulates sterilization, trapping, licensing, animal walking, shelter activities, price per sale, and public awareness of animals. In particular, the United States has extremely high fines for cruelty to animals ($400-150,000) and imprisonment (from 90 days to 10 years). The punishment assignment depends primarily on the subjective side of the crime: ignorance, negligence, or willfulness (Sinoverskaya, 2019). Thus, analyzing the above, it is advisable to argue that the international experience of the features of criminal liability is extremely diverse. In particular, the Ukrainian legislation differs significantly in the sanctions and the perpetrator. In our opinion, to prevent the commission of a crime, it is necessary to replace the restriction of liberty for up to three years with a punishment in the form of imprisonment for a period of 1 year. Thus, the severity of punishment in the future will ensure a smaller number of cases of cruelty to animals and make it possible to bring the domestic criminal legislation in the field of animal protection as close as possible to the European one. Conclusions Performed a retrospective analysis of criminal liability for cruelty to animals, we identified four historical stages in the formation and development of criminal legal standards for cruelty to animals. At each stage, a time frame was identified, the conditions and features in which legal responsibility for cruelty to animals was formed. Conducting researchthe reasons for the social conditioning of criminalization for cruelty to animals, the authors identified a range of problems in the field of humane treatment of animals that require immediate solutions: the use of animals in scientific experiments, the manufacture of clothing from leather and animal fur, the activities of dog hunters and the use of animals in circuses. Factors affecting the cruelty of a person have been also identified. The

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delimitation of corpus delicti from an administrative offense is carried out according to several main criteria: the degree of public danger and consequences. International experience in the context of criminal liability for cruelty to animals is diverse. In particular, Ukrainian legislation differs significantly in terms of punishment and the age of the perpetrator. In our opinion, it is advisable to adjust the punishment for this crime: to replace the restriction of liberty for a period of up to three years with a punishment in the form of imprisonment for a period of 1 year. Thus, the severity of punishment in the future will ensure a smaller number of cases of cruelty to animals and make it possible to bring the domestic criminal legislation in the field of animal protection as close as possible to the European one. Bibliographic references Barbosa de Lima, J., de Oliveira Rebouças, P., & Batista Santos, C. (2021). Hunting and Use of Wildlife Species in the Semi-Arid Region of Brazil. Amazonia Investiga, 9(36), 9-21. https://doi.org/10.34069/AI/2020.36.12.1 Bayrachnaya, L., Nadtochiy, Y., Isaev, A., & Surenovna, N. (2018). The crimes that affect the animal and plant world: the problems of penalization. Amazonia Investiga, 7(16), 380390. Retrieved from https://amazoniainvestiga.info/index.php/amazo nia/article/view/425 Clark, G. (2000). Porphyry: On Abstinence from Killing Animals. London: Bloomsbury Academic. Demidova, V.V. (2018). Forensic characteristics of animal cruelty: concept and essence. Scientific Bulletin of Dnepropetrovsk State University of Internal Affairs, № 1, 169-173. Recovered from: https://er.dduvs.in.ua/bitstream/123456789/2609 /1/34.pdf Dovnar, T. I. (1995). Criminal law of feudal Belarus (XV-XVI centuries): textbook. allowance. Minsk.: Acad. Ministry of Internal Affairs of the Republic of Belarus. Elmanovich, S. D. (2002). Law Manu. Anthropology. Moscow: EKSMO-Press. European Convention No. 123 On the protection of vertebrate animals used for research and other scientific purposes. Official Gazette of Council of Europe. Strasbourg, France, March 18, 1986. European Convention No. 578-VII. On the protection of domestic animals. Official Gazette of Ukraine. Kyiv, Ukraine, October 08, 2014. Francione, G. R. (1996). Without Thunder: The Ideology of the Animal Rights Movement. Philadelphia: Temple University Press.

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Glanville, C., Ford, J., & Coleman, G. (2019). Animal Cruelty and Neglect: Prevalence and Community Actions in Victoria, Australia. Animals (Basel), 9(12). 10.3390/ani9121121 Law No. 1264-XII. Vidomosti of the Verkhovna Rada of Ukraine, Kyiv, Ukraine, October 08, 1991. Law No. 2001-05 Criminal Code of the Ukrainian Soviet Socialist Republic. Vidomosti of the Verkhovna Rada of Ukrainian Soviet Socialist Republic. Kyiv, Ukraine December 28, 1960. Law No. 2341-III Criminal Code of Ukraine. Vidomosti of the Verkhovna Rada of Ukraine, Kyiv, Ukraine, September 11, 2001. Law No. 3447-IV On protection of animals from cruel treatment. Vidomosti of the Verkhovna Rada of Ukraine, Kyiv, Ukraine, February 21, 2006. Law No. 8073-X Code of Ukraine on Administrative Offenses. Information of the Verkhovna Rada of the Ukrainian. Kyiv, Ukraine, December 7, 1984. Larkin, M. O., & Shepel, K. O. (2015). Criminological characteristics of animal cruelty. Journal of the Academy of Advocacy of Ukraine, №2 (27), 67-72. Recovered from: http://nbuv.gov.ua/UJRN/Chaau_2015_8_2_12. Lobov, I. I. (2000). Criminal liability for cruelty to animals. Moscow: NORMAPRAVA. Lockwood, R., & Arkow, P. (2016). Animal Abuse and Interpersonal Violence: The Cruelty Connection and Its Implications for Veterinary Pathology. Veterinary Pathology, Vol. 53(5) 910-918 DOI: 10.1177/030098 Osokin, R.B., & Chibizov, A.V. (2011). To The Question About Animal Abuse. TSU Bulletin, issue 9 (101), 361-365. Recovered from: https://cyberleninka.ru/article/n/k-voprosu-opredmete-zhestokogo-obrascheniya-szhivotnymi/viewer

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Resolution of the Netishyn City Court of Khmelnytsky Region. Case № 679/917/19, 2019. Recovered from: http://reyestr.court.gov.ua/Review/82521964 Sinclair, L, & Lockwood, R. (2005). Cruelty toward cats. In: August JR, ed. Consultations in Feline Internal Medicine. 5th ed. Philadelphia: Elsevier; 1, 693–699 Recovered from: https://www.wellbeingintlstudiesrepository.org/ cgi/viewcontent.cgi?article=1001&context=sota _2005 Sinoverskaya, T. I. (2019). International experience in the investigation of animal cruelty and directions of its introduction into domestic practice. Scientific Bulletin of Public and Private Law, № 1, 222-228. Recovered from: http://www.nvppp.in.ua/vip/2019/1/tom_1/40.p df Skurativsky, V.T. (1995). Didukh: sacred to the Ukrainian people. Kiev: Osvita. Turska, V. O. (2014). The problem of distinguishing between administrative and criminal liability for cruelty to animals. Scientific Bulletin of the International Humanities University. Jurisprudence Series, №8, 250-253. Recovered from: http://www.vestnikpravo.mgu.od.ua/archive/juspradenc8/68.pdf Veresha, R. V. (2014a). Historical-legal and comparative aspects of criminal liability for cruelty to animals. Journal of Civil and Criminal Procedure, № 4 (19), 113-121. Recovered from: http://nbuv.gov.ua/UJRN/Chcks_2014_4_11. Veresha, R. V. (2014b). The critical aspect of the relationship with the creatures (the legal aspect). Bulletin of the Academy of Advocacy of Ukraine, Vol. 11. No. 1 (29), 53–61 World Declaration of Animal Rights (1978). Recovered from: https://constitutii.files.wordpress.com/2016/06/f ile-id-607.pdf Ziegler, G.E. (1995). The spiritual world of animals. Moscow: Land and Factory.

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Articles inside

Vitalii Gatseliuk, Lesia Strelbitska, Oleh Herasymchuk, Andriy Pavlyshyn, Valeriia Khrystiuk

Dmytro Pryimachenko, Andriy Ivanskyy, Vladyslav Lipynskyi, Oleksii Matvieiev, Artem Povoroznik

Alina V. Goncharova, Svitlana Ya. Fursa, Valentina Y. Chuikova, Iryna P. Hrybachova

Festus Nkpoyen, Esther P. Archibong, Veronica Undelikwo, Ude Bassey Obeten, Nnana Okoi Ofem

Alexei Zverev, Victoria Mandron, Tatiana Rebrina, Maria Mishina, Yulia Karavaeva

Viktoriia Kovalenko, Viktor Syniov, Liudmyla Peretiaha, Halii Alla

Olena Ilchenko, Polina Tkach, Liudmyla Sinna, Oksana Kadaner, Olena Overchuk

Polina Sergienko, Alla Minyar-Beloroucheva, Olga Vishnyakova, Elizaveta Vishnyakova

Valentin Sharikov, Yulia Kireeva, Yulay Akchulpanov, Natalya Gribova, Lydia Berketova

Marianna A. Dudareva, Tatiana V. Shvetsova, Natalia E. Chesnokova, Marina A. Shtanko, Denis G. Bronnikov

Maxym Tkalych, Olga Melnychuk, Serhii Chumak