Vol 10 No 45 (2021)

Novikov, S.V., Veas Iniesta, D.S. / Volume 10 - Issue 45: 6-8 / September, 2021

DOI: https://doi.org/10.34069/AI/2021.45.09.0 How to Cite: Novikov, S.V., & Veas Iniesta, D.S. (2021). Editorial. Amazonia Investiga, 10(45), 6-8. https://doi.org/10.34069/AI/2021.45.09.0

Editorial Participation of Moscow Aviation Institute (National Research University) in internationalization processes

Written by: Sergey V. Novikov PhD in Economic Sciences, Associate Professor, Moscow Aviation Institute (National Research University), Moscow, Russia. https://orcid.org/0000-0001-6921-1760 https://www.elibrary.ru/author_profile.asp?id=807011 https://www.scopus.com/authid/detail.uri?authorId=57192318711 Daniela S. Veas Iniesta Senior Lecturer, Moscow Aviation Institute (National Research University), Moscow, Russia. https://orcid.org/0000-0002-8473-0670 https://www.elibrary.ru/author_profile.asp?id=1028345 https://www.scopus.com/authid/detail.uri?authorId=57204575922

To date, the processes of globalization are in many ways peculiar vectors of internationalization of education. In Russian and foreign literature the concept of "internationalization" is considered as a controversial and multidimensional concept.

Thus, in the works of S.L. Robertson internationalization is considered through the "processes of economic integration of higher education systems, giving importance to the analysis of the participants of the global educational market, focused on the promotion of educational programs and trade in educational services" (Robertson, 2017). In his turn, R. Shields writes that international flows of students are "closely connected with global trade" (Stier, 2004). A.N. Grigoriev and G.V. Korshunov focus their attention on the problem of building a "policy of educational services export" to the global educational market and training foreign students in Russian universities (Grigoriev & Korshunov, 2016).

The phenomenon of higher education internationalization has been known for a long time and is associated with the evolution of university activities (Bednyy, 2016). In Russia, the active stage of development falls on the second half of the XX century and is associated with an active cooperation in education with the countries of Central and Eastern Europe, Asia, Africa and Latin America (Beregovaya &

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Kudashov, 2019). At the same time, not all Soviet universities and institutes were able to actively attract students from abroad due to the specifics of their activities. With the collapse of the USSR, many educational institutions joined the processes of international cooperation, including internationalization among the priorities and tools of their strategic development.

In 1991, Moscow Aviation Institute (National Research University) (MAI) was opened for training of foreign citizens. In this connection the position of the Vice-rector for International Affairs was introduced into the structure of the Institute and the International Department was established. The key goals of these organizational activities were to start training foreign students, trainees and postgraduate students at MAI and to expand international relations in the field of scientific and educational contracts and agreements. As a part of the organizational arrangements, a preparatory department was opened to teach the Russian language to foreigners.

Today MAI actively cooperates with universities in 59 countries of the world, the largest training contracts are signed with Myanmar, Malaysia, Vietnam, Republic of Korea, People's Republic of China and Kazakhstan.

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At present, the university has 1 254 foreign people, including 1 183 students, 46 postgraduate and doctoral students and 25 interns (Fatkhullina & Guryanova, 2014). More than 95% of them study in technical specialties.

MAI joined the Bologna Club in order to integrate more deeply into the global educational space and to provide joint educational programs within the framework of the Bologna process, as well as to increase the number of international students. Departments and faculties attract foreign scientists to cooperate not only in joint research projects, but also for lecturing courses.

MAI also actively promotes academic mobility among students. Bachelor's, Specialist's and Master's full-time undergraduate students are invited to participate in the academic mobility program.

International academic mobility allows students to: participate in the content of their own educational trajectory in accordance with further employment and their own areas of interest; expand the acquired competencies (including the practical application of knowledge); expand the range of scientific, business and personal contacts.

The current participants of MAI academic exchange program are the following institutions of higher education: Shanghai Jiao Tong University.

Beihang University.

University of Science and Technology Beijing.

Hindustan Institute of Technology and Science.

Vel Tech Rangarajan Dr. Sagunthala R&D Institute of Science and Technology.

Bandung Institute of Technology.

Polytechnic University of Turin.

Sapienza University of Rome.

Polytechnic University of Milan.

Institut supérieur de l'aéronautique et de l'espace.

Institut Polytechnique des Sciences Avancées. École nationale de l'aviation civile.

Heilbronn University of Applied Sciences.

Ingolstadt University of Applied Sciences.

Technical University of Munich.

TU Dresden.

TU Wien.

MAI has been cooperating with the Ministry of Education of China in the field of international education since the middle of XX century. MAI is on the list of partners of the most prestigious

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universities of China, which allows the most active and motivated Chinese students to receive training grants. The cooperation program helps foreign students obtain two diplomas at once: the diploma of MAI and the partner university in their home country (Korotaeva, 2020).

In 2017, MAI together with Shanghai Jiao Tong University opened the Joint Institute. The purpose of this project is to form a talent pool for the Russian-Chinese project of a wide-body long-range aircraft (CRAIC CR929) (Fatkhullina & Guryanova, 2014). One of the fundamental tasks of the Joint Institute is to develop global thinking, learn foreign languages and acquire technical competencies for the subsequent implementation of Russian-Chinese projects.

All the curricula were developed with the assistance of such partner enterprises as United Aircraft Corporation, Sukhoi Civil Aircraft Company, United Engine Corporation, Commercial Aircraft Corporation of China and Aero Engine Corporation of China, which demonstrates that students obtain the competences required by potential customers of Russia and China.

The fundamental philosophy of MAI-Shanghai Jiao Tong University Joint Institute project is the two-way development of intercultural communication between Russia and China.

Within the large-scale pool of joint projects there is a shortage of highly qualified specialists in engineering specialization with a good level of technical English as well as understanding of cultural and mental peculiarities of the partnercountry representatives on the labor market.

MAI-Shanghai Jiao Tong University Joint Institute is a unique educational and scientific environment in which students from both countries study in joint groups for the entire period of study, which allows achieving high quality results in education and exchange of experience. These programs are a direct example of global education theory and have no analogues in Russia and abroad.

Thus, MAI actively participates in the processes of global integration and internationalization of education. At the same time it is very important to actively involve students and teachers in cooperation with foreign partner universities, because using the best practice and developing competences and skills increases the possibility to compete on the international educational market, increases scientific and innovation potential of the Institute. All this allows adapting

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8 more quickly to the constantly changing conditions of existence in the global world.

Bibliographic references Bednyy, A. B. (2016). Internationalization of Education: Conceptual Foundations and Practical Experience of Lobachevsky University. University Management: Practice and Analysis, 6(106), 18-25.

Beregovaya, O. A., & Kudashov, V. I. (2019).

Internationalization of higher education in the context of globalization. Prospects for Science and Education, 3(39), 31-43.

Fatkhullina, L. Z., & Guryanova, T. N. (2014).

Internationalization of Russian Higher Education: Problems and Prospects. Kazan Technological University Bulletin, 17(14), 482-485.

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Grigoriev, A. N., & Korshunov, G. V. (2016).

Internationalization of education as a direction of university activity. Higher education in Russia, 6(202), 135–141.

Korotaeva, I. E. (2020) Internationalization of education as a promising direction of development of Russian universities.

Problems of modern pedagogical education, 66(2), 175-178.

Robertson, S. L. (2017). Colonising the future: Mega-trade deals, education services and global higher education markets. Futures, 94, 24-33.

Stier*, J. (2004). Taking a critical stance toward internationalization ideologies in higher education: Idealism, instrumentalism and educationalism. Globalisation, Societies and Education, 2(1), 1-28.

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DOI: https://doi.org/10.34069/AI/2021.45.09.1 How to Cite: Ivaniuk, H., Oleksiuk, O., & Vyshnevetska, M. (2021). Sociocultural dominants of developing students’ value intentions: context of civilization challenges. Amazonia Investiga, 10(45), 9-19. https://doi.org/10.34069/AI/2021.45.09.1

Sociocultural dominants of developing students’ value intentions: context of civilization challenges Соціокультурні домінанти розвитку ціннісних інтенцій студентів: контекст цивілізаційних викликів Received: August 2, 2021

Accepted: September 25, 2021

Written by: Hanna Ivaniuk1 https://orcid.org/0000-0001-7758-5121 Olha Oleksiuk2 https://orcid.org/0000-0002-7785-1239 Maryna Vyshnevetska3 https://orcid.org/0000-0001-5830-6406 Abstract

Анотація

The study of the influence of sociocultural dominants on value intentions formation in young generation of specialists (teachers) is important for identifying useful ideas that can be implemented to improve axiological situation in the country and the world in accordance with civilization challenges. The article highlights a wide range of theoretical achievements and presents results of empirical research, which confirms positive dynamics of value intentions development in students of pedagogical and art specialties. Generalized conclusions about development of this important phenomenon in the context of declining demand for value dominants, are confirmed by statistics. The study was based on axiological, socio-cultural, systemic and interdisciplinary research. The research field consisted of educational institutions in Kyiv (Ukraine), the sample was 356 respondents (students of the first bachelor’s level). The adequacy of the applied experimental tools (questionnaires, Pedagogical essays) is proved. The experimental work was conducted online using Google services. The results of the study show positive dynamics of the value intentions development and a significant correlation between students’ motivation to value-oriented activities and sustainability of this direction in the future. The importance of sociocultural determinants in the development of value intentions in students of pedagogical

Дослідження впливу соціокультурних домінант на формування ціннісних інтенцій молодої генерації фахівців (педагогів) є важливим для виявлення корисних ідей, що можуть упроваджуватися для покращення аксіологічної ситуації в країні та світі відповідно до цивілізаційних викликів. У статті висвітлено широкий пласт теоретичних здобутків та подано результати емпіричного дослідження, що підтверджують позитивну динаміку розвитку ціннісних інтенцій у студентів педагогічних і мистецьких спеціальностей. Узагальнені висновки щодо розвитку цього важливого феномену в умовах зниження запитів на ціннісні домінанти, підтверджено статистичними даними. Дослідження ґрунтується на аксіологічному, соціокультурному, системнодіяльнісному і міждисциплінарному дослідженні. Дослідницьке поле становили заклади освіти міста Києва (Україна), вибірка становила 356 респондентів (студенти першого бакалаврського рівня). Доведено адекватність застосованих експериментальних інструментів (анкети, опитувальні аркуші, педагогічні есе). Експериментальна робота проводилась в онлайн режимі з використанням Гугл-сервісів. Результати вивчення показують позитивну динаміку розвитку ціннісних інтенцій та значну кореляцію між мотивацією студентів до

1

Doctor of Pedagogical Sciences, Professor, Head of the Chair of Pedagogy and Psychology, Borys Grinchenko Kyiv University, Kyiv, Ukraine.

2 Doctor of Pedagogical Sciences, Professor, Head of the Chair of Musicology and Music Education, Borys Grinchenko Kyiv University, Kyiv, Ukraine.

3 PhD Student, Borys Grinchenko Kyiv University, Kyiv, Ukraine.

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specialties based on sociocultural knowledge is proved.

Keywords: sociocultural dominants, values, value intentions, students of pedagogical specialties, interdisciplinary research.

цінніснозначущої діяльності і сталість цієї спрямованості у майбутньому. Вперше за результатами наукового пошуку маємо змогу зробити доконаний висновок про важливість соціокультурних детермінант у розвитку ціннісних інтенцій студентів педагогічних спеціальностей, що ґрунтуються на гуманітарних соціокультурних знаннях. Ключові слова: соціокультурні домінанти, цінності, ціннісні інтенції, студенти педагогічних спеціальностей, міждисциплінарні дослідження.

Introduction Formation of the cultural space of a person, a specialist involves synthesis of general scientific knowledge with the culture of the era (human civilization). In this context, we consider of primary importance the interpenetration of professional knowledge and human values, knowledge of the nature and technology and knowledge of man and sense of his existence.

Since modern civilization is largely technocratic, the purpose of education in general and art education in particular is to assimilate the values of the social environment culture. Sociocultural dominants constitute the basis of the value intentions of future teachers – specialists in musical art because they represent the following personal components: volitional (desire to perceive, act, create); desire (intention) for value self-improvement; emotional (evaluative).

Students of pedagogical and artistic specialties are a special age group which is characterized by a desire for dominant values: search for truth, charity in sociocultural centers, openness to aesthetics and spiritual practices. Therefore, in the educational process of universities it is important to cultivate values that are important for the social practices of future professionals and focused on the development of personal axiological intentions, and thus determine the vector of selfdevelopment of the student’s personality.

Note that sociocultural dominants are highlighted in the context of modern basic concepts of culture, as a set and enrichment of cultures in the space of human life. In the conditions of digital civilization and rapid globalization, the problem of preserving deep values, which are equally important for people of different cultures, becomes relevant. In the process of teacher training, we focus on the fact that a future specialist will work with children who will bring motives, needs and assessments that differ greatly from those established in previous generations.

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The aim of the article is to reveal the generalized results of scientific research on the formation of university students’ readiness to choose sociocultural dominants for the development of their value intentions on humanistic ideas that determine their self-affirmation and selfdevelopment.

The results of theoretical analysis have revealed various approaches of scientists to the study of the sociocultural component in the development of value orientations of student youth, which allowed to substantiate the concepts of “sociocultural dominants”, “value intentions” and their impact on professional development. The conducted interdisciplinary research confirms relevance of this direction due to the needs of modern human civilization. The highlighted results of empirical research in the context of the article made it possible to generalize the scientific and practical significance of students’ value intentions development based on sociocultural dominants and contributed to their self-improvement in personal and professional senses in civilizational shifts.

Literature Review Modern researchers argue that in the interdisciplinary dimension a prominent place occupy sociocultural dominants in the process of assimilation by the young generation of such eternal values as wisdom, truth, justice, freedom and equality, ethics, kindness and justice (Elior, 2011). We support the above considerations, given that they are characterized by longevity, rooted in the traditional sociocultural and modern cultural background.

In line with the problems of the article, valuable is interdisciplinary research in the field of social sciences (pedagogy, psychology) and arts, based on the classical understanding, according to

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which the vision of humanities is to form thinking open to everything new and respect for past as well as to create the society that supports value dominants of culture and ethics development. The study of various aspects of the influence of sociocultural dominants on value intentions development in future teachers ensures preservation of cultural ties between generations.

This idea was substantiated by the ancient Greek philosopher Plato, who considered the sciences of man to be related to the humanities and serve as a means of conscious comprehension of the meaning of life (Goldman, 2014).

A retrospective review of scientific sources has revealed that in the sociocultural dimension (from the historical period of Hellenic culture to today’s European culture) it was the sciences of man and his values that expressed the humancreating mission of civilization. In contrast to the current popularization of the technological education strategies, Western European history of education in previous periods (XIX-XX centuries) contains productive models built on the priority of studying the humanities, which were considered the key to human selfimprovement. The sciences of man and his values were a tool for achieving his goals and personal success. The study of different models of education in Western Europe suggests that the priority strategy is axiological, and therefore interdisciplinary research occupies a prominent place in human adaptation in a changing world (Rinon, 2014).

In the modern intercultural space, the issue of personal values and, above all, values of future professionals, has been studied multifacetedly. In particular, interesting are the studies presented in the monographs “Horizon of education spirituality” and “Ugdymo dvasingumas" on the spiritualization of the educational environment on the basis of anthropocentrism. The spirituality of the individual is considered by modern scholars in connection with culture. This approach makes it possible to highlight sociocultural dominants against the background of a wide cultural field (Kevishas & Otych, 2019). In line with the issues of the article, a prominent place belongs to research on the development of spiritual potential of the individual in post-classical art education on the basis of anthropological and interdisciplinary approaches – O Oleksiuk (Oleksiuk, 2019), J. Uchyła-Zroski (Uchyła-Zroski, 2016); value competences and their essence are revealed in the work of I. Bekh (Bekh, 2019).

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The issue of values is multifaceted. In the research of modern scientists, a significant place is given to the study of the values of professional and pedagogical activities, including the value attitude and motivation to the teaching career. Of scientific importance is the study of various aspects of the students’ humanistic orientation development by different types of values, general orientation and self-esteem (Orekhova et al., 2020); theoretical foundations and models of values development in higher education applicants of the specialty “Primary Education” (Panev, 2020); value regulation of the education managers’ activities (Zhussupova et al., 2020).

For our study, of particular interest is the impact of value orientation on the efficiency of the generation Z in the educational process, including gender dimension (Starecek et al., 2019). Important for the work are comparative approaches to the study of the similar problem, including foreign experience, – values of higher education applicants (González-Gijón et al., 2020).

In a number of works of modern scientists some aspects of the problems mentioned in the article are covered. Thus, the article “Formation of students’ values-based attitude to the future teaching profession as moral basis of pedagogical ethics” highlights the values of future teachers in line with modern social realities and culture of society (Orekhova et al., 2020).

Some ideas of the above article correspond to the conclusions of the present article. In line with its issues, the article “Value-centric education: A transcending approach” is of interest. Its author pays attention to revealing the essence of valuecentric learning in the context of a new educational philosophy that integrates modern experience and traditions (Lyberger, 2020).

The relevance of values development in current generation is revealed in the article “Value orientations of generation Z and their performance in education process”, which highlights the impact of value orientations on generation Z in the educational process and substantiates research tools that have revealed the relationship between the cognitive level and moral-value orientation of the personality (Starecek et al, 2019).

Of considerable interest is the article “Study of the values present in the students pursuing the degree of teacher in primary education in the public universities of Andalucia”, which reveals the essential aspects of social and aesthetic

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12 concepts of values in youth; educational needs for learning values in university training (González-Gijón, 2020). The results of the theoretical analysis have shown that despite numerous studies of various aspects of the theory and practice of values in pedagogical specialists training, the scientific problem of the sociocultural dominants of developing future teachers’ values in the context of civilizational challenges is not fully and systematically studied.

Methodology To ensure the completeness of research, we have chosen axiological, sociocultural, interdisciplinary, and systems-activity approaches. In the process of scientific research, we gave preference to the systems-activity approach, as the value intentions development is considered in the process of teaching students of artistic and pedagogical specialties, which envisages their personal value motivation, choice of dominant sociocultural values and valuepersonal activity. The scientific field of research constitutes a holistic dimension of value interests and motives, a cognitive level and ways of activity, the relationship between the acceptance of sociocultural dominants and changes in value intentions that affect the value development and self-development of the individual. This interpretation is based on the scientific ideas of L. Vygotsky (Vygotsky, 2000).

An interdisciplinary approach allows combining interdisciplinary components of art, literature, history, ethics, pedagogy in line with the humancreating philosophy of education (Gershunsky, 1998).

To implement a comprehensive study of the above scientific problem a set of methods was used, namely: theoretical (analysis, generalization, comparison, systematization) – to determine the degree of elaboration of the problem in scientific sources; empirical – testing, interviewing – to ascertain the formation of the studied phenomenon; pedagogical experiment; methods of mathematical statistics (quantitative and qualitative processing of research results and statistical verification of their objectivity by Pearson’s correlation using MS EXCEL (the function “Corel”). The choice of adequate methods for the purpose of the study is based on the results of theoretical analysis of the studies that reflect similar scientific problems.

The study was carried out in several stages. The purpose of the first stage of the study was to clarify the state of the problem, to identify in

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students-future teachers of the education and art field the value intentions based on sociocultural dominants.

To achieve the above goal, we used a group of empirical tools using the Google service and conducted: online surveys, interviews; analysis of products of students’ educational activity (pedagogical essay); real-time pedagogical observation. The different stages of the study involved 356 respondents, the age range was 1835 years. We did not divide respondents by gender and nationality.

Procedure: in the developed case study, the respondents were selected in accordance with educational-professional training programs, namely: “Primary education”, “Instrumental performance” (orchestral string, folk, wind and percussion instruments).

Research results According to the results of the study, the profile of students of pedagogical specialties, the relationship between the attitude to sociocultural dominants and intrinsic motivation for the development of value intentions and valuepersonal self-development are analyzed.

Therefore, we consider it expedient to single out the value-personal component of the content of future teachers training, which is based on the inner senses of the individual to conscious perception of himself in the profession, attitude to himself and others and is dominant in becoming a specialist. Note that pedagogical activity is multidimensional, it is expressed by psychophysiological, didactic, aesthetic, ethical determinants.

It is proved that in the sphere of human-human activity, which includes pedagogical and artistic education, value intentions are characterized by personal and professional components, and hence personal-value and professional content.

The results of the analysis of the content of educational programs in pedagogy, psychology, educational (psychological-pedagogical practices), professional methodologies allowed to establish the main interconnected tendencies: innovative and traditional (adaptation of separate practices of the past years to solving current tasks of specialists’ value intentions development in conditions of the transformation of the educational paradigms).

A set of methods was used to identify current values in future specialists in pedagogical and art

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education: surveys, interviews, pedagogical essays, mathematical statistics. Identification and generalization of the results of scientific research allowed to establish the following: 100 % of respondents (full-time and part-time students of the 1, 2 years study) considered important for themselves in the professional plane the values of goodness and justice; in the ranking of dominant values it was found out that 77.3 % preferred sociocultural and spiritual values; in second place there were family values (family, family care) – chosen by 54.5 % of respondents; 50 % of respondents preferred democratic values (freedom, justice, equality; respect for the individual); material values were paramount for 27.3 % of respondents. A comparative analysis of the responses of students with teaching experience and those without such an experience shows the following: teachers with five years of teaching experience or more pay more attention to their own professional development and connect it with digital and other innovative technologies, the axiological component of professional activity mostly remains in the last place. In contrast to this group of respondents, full-time students (without pedagogical experience) in the ranking process distinguish sociocultural values in the first group and characterize them as being fundamental to human communities.

Interpretation of the obtained results is based on innovation and traditionalism (as discussed above). Excessive focus on the performance of narrow-profile tasks in teacher training is characterized by the longevity of the usual knowledge-normative educational paradigm of previous periods. Hence, there is an obvious substitution of the visions for training, which contradict the current tasks of preparing the young generation for life in a multicultural environment and forming their readiness to learn throughout life. In line with innovative trends in teacher training, the main thing is integration of knowledge about man and his values as a humancreating factor. Thus, anthropological correction of pedagogical reality is carried out in the conditions of change of pragmatic strategy to axiological.

To examine whether there is a relationship between students’ positive attitudes toward sociocultural values and motivation to learn them, Pearson’s correlation coefficient was calculated. A significant positive correlation was found (p <0.01, r = 0.4). A positive correlation was also found in the sample of EPP “Primary Education” (p<0.01, r = 0.34) and in applicants for higher education of the first (bachelor’s) level in instrumental performance (p<0.05, r = 0.44).

Table 1.

Pearson’s correlation between the average ratio of sociocultural dominants and the average indicators of value intentions assimilation.

N

Pearson’s correlation

Total sample

256

0.4**

Students of the EPP “Primary Education”

153

0.34**

Students of the EPP “Instrumental performance” (orchestral string, folk, wind and percussion instruments)

103

0.44*

*p< .05, **p< .01 Source: own authorship (2021) Based on the obtained results, Pearson’s tests were performed for each selected position separately. There was a significant correlation between the attitude to sociocultural heritage and motivation to study literature (oral folk art), history of culture and arts, contemporary art,

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native and state languages, written memorabilia for each of the subjects separately. The highest ratio for the arts was found, while the study of written memorabilia (written historical and literary sources) received the lowest correlation.

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14 Table 2.

Pearson’s correlation between personal-value attitudes to education fields and the choice of value preferences EDUCATION FIELDS

Pearson’s correlation

Languages and literatures

0.43**

Oral folk art

0.4**

History

0.61**

History of arts, art

0.41**

Ethics *p< .05, **p< .01 Source: own authorship (2021) Regarding the question whether and to what extent there will be differences between those who have low and high academic achievements (grades) in motivation to study the sociocultural aspect of academic disciplines, we have identified three levels of students’ achievements – low, medium, high. A one-way ANOVA was performed. No significant difference between the levels of academic achievements of students was found – (F (3125) = 0.79; p = n.s.).

According to the results of the ascertaining stage of the study, the influence of sociocultural dominants on the development of value intentions of student youth is detected. Their content is increasingly filled with universal meaning and naturally affects the direction of students’ interests and needs. At the same time, in our opinion, it is right to consider it to be one of the types of values, the semantic whole, which unites motives, needs, interests, attitudes, and ideals. It is here that the law operates: the broader aesthetic interests, the more defined the needs for artistic creativity or communication with art, the more formed taste and aesthetic position, the fuller in terms of values becomes an aesthetic attitude, the more spiritually significant.

Based on these provisions, we have identified several types of value intentions that reflect the value attitude of student youth to different arts and future teaching.

In order to determine the trends in the development of values of student youth in modern sociocultural realities in Ukraine, we studied the influence of the sociocultural dominants on the development of these personal qualities in students of art and pedagogical specialties of several universities in Ukraine and traditions of its development, as well as the needs of society and the possibility of meeting them in the sociocultural environment. The study involved 450 first- and second-year students.

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0.29**

Methods of observation, questionnaires, interviews, ranking, testing, rating were used.

Students were asked to fill out the questionnaires consisting of the open-ended questions to explore their ideas about aesthetic qualities, ethics, culture of behavior, the pursuit of the ideal. Note that the answers to the questions were varied and almost not repeated. When asked why modern man should strive for the ideal, students answered that it was an opportunity to be something better than others; gaining experience and self-improvement; development. Future professionals would like to be role models for those who: want to be familiar with different genres of music; loves art; does not know what he wants from life. According to students, a cultured person should observe etiquette rules and speak languages, respect others and take control of himself, strive to acquire knowledge.

Respondents noted that a person had to do his job honestly, be purposeful, aware of the purpose of his activities.

Describing their aspirations in life, future professionals point out what they like; selfrealization and self-development; the desire for something new, for happiness and money, for the ideal. Aesthetic qualities are understood by students as the desire for beauty; love of classics in various arts; the ability to see beauty in everything around; obligatory features of the modern personality. Applicants form themselves as musicians; independent and decent personalities; qualities of a leader: resistance to life misfortunes, politeness, self-control.

Students believe that a person who has achieved respect, understands others, the world, everything, authority, has formed communicative qualities. They are grateful for the achievement of certain results to teachers of music schools and parents; other factors that

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contributed to it are: fruitful work; efforts to overcome laziness; the environment; motivation.

For students, the priority values in society are kindness, optimism; family; respect; money; moral values. In other people, students are attracted to such aspects as: the style of music that the person listens to; intelligence; independence, respect for others; responsibility for their words and deeds, sense of humor; ability to speak on “high topics”. Students reflect on cultural issues when they are addressed; when observing the rudeness and disrespect of people for others; when communicating with people who cannot express their opinion.

Students’ ideas about ethics are manifested in knowledge of etiquette and good manners; restraint; respect for each other; colors; people’s actions. In aesthetic culture, students are attracted by the beauty that everyone aspires to; thirst to see the new and unusual; colors and books; the height from which aesthetics “looks” at the world. Students believe that art for modern man is an opportunity to learn something new; new genres in music and new styles in dance, a combination of different arts; self-development and peace of mind; way to make the world a better place. According to the respondents, beauty will save the world under such conditions, if: it reaches the highest value; is able to solve problems; beauty, reason and moral values are combined; becomes a priority in society. When asked about their desires and dreams, the students answered that they would like to “play in a rock band”; “always be smiling”; “be more relaxed”; “sleep and see friends”; “be happy”; “succeed and self-realize”.

Getting into an inadequate situation, students try to: correct it; think adequately; quickly navigate and find a way out. Describing the decisions they regret, the respondents named situations when the actions: a) were, in their opinion, wrong; b) had bad consequences; c) did not bring the desired results. Memorable for students are those events that were “fun”; “caused strong emotions”; “full of bright and joyful moments”;

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“all were important”; “remain in photos and videos”; “evoke memories”.

Answering open-ended questions on the principle of “continue the sentence”, students formulated the following statements: to the question “Modern man should strive for the ideal to…” 30.4 % of them answered “improve yourself”. 17.4 % would like to be a role model for those who want to become better. 34.8 % of future professionals believe that a cultured person should observe the rules of etiquette, have moral values, knowledge and skills. To the question “Mandatory for a person in the activity is…”, 34.8 % of respondents answered “diligence”; 26.1 % of respondents in life want to start a family, work and get an education.

Aesthetic qualities are understood by 17.4 % of students as “something beautiful”. According to them, among the qualities that should be formed in the personality, 39.1 % noted respect for cultural heritage, pride in one’s culture and respect for other cultures; 21.7 % – willpower, determination, humanity. Students note that a person who has achieved respect, first takes control of himself (30.4 %). To the question “Why do students achieve certain results?” they single out the following factors: “diligence and perseverance” (43.5 %), “help and faith of parents” (26.1 %). Among the highest priority values in society, respondents note respect, kindness and honesty (69.6 %). Other students are attracted by the following traits and qualities: openness, appearance (30.4 %), humor and zest for life (17.4 %). Forming their ideas about ethics, students note that it is “norms of behavior, a set of moral rules” (34.8 %). Cognition (13.0 %) and worldview (13.0 %) for students is the embodiment of art. Faced with an inadequate situation, 34.8 % of students try to be calm, and 26.1 % try to find a way out. When asked about the decisions they regret, 13.0 % of students answered, “actions that could harm others”, and 21.7 % – “those that will not help them themselves”. The most memorable events for students are those that are accompanied by positive emotions (26.1 %). The results of the study are presented in table 3.

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16 Table 3.

The results of a survey of future professionals.

Sentences to be continued

Modern man should strive for the ideal to…

Mandatory for the person in the activity is…

I understand aesthetic qualities as…

Personality qualities that should be formed in a student…

A person who has achieved respect first of all…

What helps students achieve certain results?

The highest priority values in society…

Traits and qualities that attract you in others…

Your ideas about ethics…

Personification of art…

Getting into an inadequate situation…

What decisions do you regret?

Most memorable events…

Variants of students’ answers Improve oneself Be a role model for those who want to be better A cultured person must observe the rules of etiquette, have moral values and skills Hard work Creating a family, work and education

Percentage of answers from the total number of respondents 30.4 % 17.4 % 34.8 % 34.8 % 26.1 %

Something beautiful

17.4 %

Discipline, confidence, professionalism

39.1 %

Willpower, purposefulness, humanity

21.7 %

Takes control of himself

30.4 %

Hard work and perseverance Help and faith of parents

43.5 % 26.1 %

Respect, kindness, honesty

69.6 %

Openness, appearance Humor and zest for life Norms of behavior, a set of moral rules Cognition World perception Try to be calm Trying to find a way out About actions that could harm others Those that will not help them themselves Those that are accompanied by positive emotions

30.4 % 17.4 % 34.8 % 13.0 % 13.0 % 34.8 % 26.1 % 13.0 % 21.7 % 26.1 %

Source: own authorship (2021) The instability of economic development, the clash of globalization and regionalization, the prevalence of declarative moral norms in society over the existing ones affect the formation of a system of students’ value orientations, according to which the central link in the system of responsibility for performance is the individual.

Analysis of modern training strategies, as well as practices of the educational process in higher education institutions reveals several trends in the formation of the system of value intentions development in future professionals. These trends have a binary character: radicalism of innovations and conservatism of traditions, though with the changed content, sense, values and vectors of development; incomprehensibility in the use of world experience and orientation towards isolationism; expansion of the technocratic approach to the procedure of assessing the quality of education.

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It is known that tradition is always the value basis of any social system. First of all, the cultural tradition in which the values of society take place is important for art education. New forms of digital revolution, challenges and risks of network socialization affect the whole content of spiritual education, not only its individual components, namely: educational systems, theoretical ideas about the spiritual space of educational reality and its component – “space of spiritual education” (I. Kevishas).

Thus, we are currently witnessing modernization of value orientation in the fields of art and education (pedagogy), which is explained by intercultural globalization, penetration of digital technologies into all spheres of life and intensive development of the world educational space.

This trend is reflected in the increase of spiritual significance for students of classical and folk music, rock music and in the critical attitude to the pop hit, in the stable awareness of national

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and cultural identity, reflected in the evaluation of works of art and so on. Meanwhile, there is a decline in the culture of reading literature about art and Ukrainian classics. We can say that the Internet factor determines special prospects in training modern specialists in the field of art, in particular, in reading literature about art.

Experimental data on aesthetic qualities, aesthetic communication, ethics, culture of behavior, striving for the ideal turned out to be quite interesting. The most valuable were the value intentions of students for the profession, although there are some contradictions between the focus on the end result as a form (completion of higher education, obtaining a profession) and content (mastery of professional competences).

Experimental research has shown that in the modern system of art and pedagogical education there is a need to organize large-scale interdisciplinary cooperation of teachers of music schools, colleges and institutions of higher art education for the development of student youth in continuing art education.

Discussion Sociocultural reality is unique at a particular time and place, in relation to the general essence of human life and personal and professional meanings in the space of existence.

Theoretical analysis of research on the value dominants of human life, from abstract to concrete, throughout the history of culture leads to the conclusion that humanity seems to have woven the most important virtues, which are reflected in language, traditions, oral and written literature, philosophy, art, views on the upbringing of children and youth. The development of their value intentions is influenced by sociocultural dominants, which is constantly updated within human thought, with all its uniqueness and changing nuances.

Note that the interest in the sociocultural phenomenon today is due to the following circumstances: civilizational changes in the environment and social institutions; priority of the culture potential in the development of the individual and society. The difficulty of this reasoning lies in establishing links between the “personality-culture” dichotomy and overcoming the contradictions of the individual with various cultural and civilizational influences, including those generated by the dominance of technological consciousness.

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In the scientific discourse of the twentieth century, there are diametrically opposed views of scientists in the fields of psychoanalysis (S. Freud, C. Jung, E. Neumann (Freud, 2013; Jung, Neumann, Freud, 1996)), philosophical anthropology (E. Fromm (Fromm, 2017)), sociobiology (M. Ruse, E. O. Wilson (Ruse, 1985; Wilson, 1979)) on the place and role of culture in the development of man and society.

The conceptual ideas of our study are based on understanding the priority of sociocultural influence on the formation of personal and professional values of future specialists in the field of education and art. Sociocultural dominants are considered as factors influencing the formation of the inner world of the individual and his value intentions, which are decisive for both the individual and social units and society as a whole. Culture in the personal sense is correlated with conscious work to improve one’s own self-development and order all that surrounds a person. According to I. Kant’s (2019) ideas, culture is a way of setting and achieving one’s own goals, as well as the goals of moral improvement of society. The characteristic features of people’s behavioral experience in the social environment of knowledge, which serve to meet individual intellectual and emotional needs in the process of self-development and professional development of the future teacher, have been experimentally confirmed. Therefore, we consider the relationship of cultural determinants with social transformations and their impact on the subjectpersonal aspect of man in the process of becoming a specialist in the field of pedagogical and art education.

It was found out The influence of sociocultural dominants on the development of value intentions of future specialists in pedagogical and art education in the context of civilizational challenges corresponds to the understanding of the essence of future specialist own involvement in social development as a carrier and product of the social environment values and transformation of previously acquired values under the influence of cultural (technological, social) processes. In general, culture characterizes a person as an active subject in the process of social development; concentrates his experience in the creation of natural and social environments, which is the basis for the continuity of the human mentality. A person develops as a personality in the process of assimilating a cultural space that contains a kind of social memory of generations.

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18 It was proved: sociocultural dominants are the architecture of humanizing education and teacher training. The content and methods used by the humanities are the only ones that support and contribute to the preservation and increase of culture and democracy in various spheres of human life. The humanities occupy a prominent place in teacher training. The content of the humanities serves as a tool for value intentions development in students of pedagogical specialties, which is the basis for the formation of critical thinking, creativity and empathy. In the course of the experiment it was established the predominance of pragmatic value intentions that we observe today in youth circles is a process and result of education, based on technological paradigms. The departure from humanistic values in education and daily life of human communities leads to the devaluation of sociocultural dominants and the severance of ingrained cultural ties. Therefore, it may affect the young person’s perception of antisocial and anti-democratic values, formation of apathy to humanistic values. Since the personality is sociocultural in nature and individual and unique in the way of its existence, we consider its subjectivity in the course of the culturalhistorical process. To ensure the dynamism of the cultural process, man should be in constant development, based on socio-cultural dominants, and hence human civilization will be constantly developing.

The conducted experiment of this scientific problem in the context of preparation for professional activity of specialists in education and art gives grounds to say that the majority of students show a positive attitude to socio-cultural dominants that characterize universal meanings, namely: respect for man and his traditional culture, values of human health and life, traditional folk culture, etc. Agreeing that sociocultural dominants are the basic background of human culture, a significant number of respondents did not show readiness to study the culture of previous periods which indicates the contradictions of their perceptions. In this group of students mostly prefer modern pragmatic personal meanings – their own career, material security, leadership. We assume that the profile of graduates of pedagogical specialties of higher education institutions will be characterized by high cultural and professional status. To conduct the study, we have identified the following main issues that correspond to the profile of the higher education applicant of the (first) bachelor’s degree level: what are the dominant values relevant to the teaching career (primary school teacher, head of a group playing musical

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instruments); personal and value portrait of a modern teacher; ranking by students of value dominants which most essentially correspond to a pedagogical profession in the conditions of social transformations; influence of value differences on the motivation to study the humanities, personal development and selfdevelopment.

Conclusion The results of the study allow us to conclude that the humanities have not lost their human-creating potential in our time. It has been found that the young generation is motivated to develop their own moral sphere and they are value-centered.

However, pragmatically oriented young people cannot always find in the content of the humanities, which include disciplines of art, pedagogy, those segments that are aimed at the future, the development of values of future professionals depends on the content of the educational process in their training. Common to specialists training in pedagogical and art education is their involvement in the stage of study at the university in the human-centered sociocultural content, which is a factor in the development of value intentions of the individual. Note that the sociocultural component and its value dominants are of interest to young people when they see its prospects and future orientation. We did not focus in the study on identifying the deep processes of humanities education and limited the range of research to those values that are clear and acceptable to young people.

Bibliographic references Bekh, I.D. (2019). Component technology of ascent of a growing personality to spiritual values, The Horizon of Spirituality of Education, 39-55.

URL: https://lib.iitta.gov.ua/719526/1/Gorizont2.p df Elior, R. (2011). The struggle over the humanities, 25, 73-103.

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M.: Folio URL: https://www.yakaboo.ua/ua/nedovol-stvokulturoj.html?gclid=CjwKCAjwj8eJBhA5Eiw Ag3z0m7TIEUum4p_O6AdBKb56S1wEltQ

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KF6I5wfsjrXa6YMefl8d5FnjUDhoC7BoQA vD_BwE#media_popup_fragment Gershunsky, B.S. (1998). Philosophy of Education for the 21st Century. (In search of practice-oriented educational concepts). M.: Publishing house «Sovershenstvo».

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URL: https://www.firstthings.com/article/2014/01/ harvard-and-the-humanities González-Gijón, G., Martínez-Heredia, N., Amaro-Agudo, A.,  Soriano-Díaz, A. (2020). Study of the values present in the students pursuing the degree of teacher in primary education in the public universities of Andalucia. Formacion Universitaria, 13, 2, 1 February, 83-92. DOI: 10.4067/S071850062020000200083.

Jung, K.G., Neumann, E., & Froud, Z. (1996) Psychoanalysis and art. M.: Folio. URL: https://www.yakaboo.ua/ua/psihoanaliz-iiskusstvo-1561305.html Kant, I. (2019). Critique of Judgment. M.: Azbuka URL: https://www.yakaboo.ua/ua/kritikasposobnosti-suzhdenija2099818.html?gclid=CjwKCAjwj8eJBhA5E iwAg3z0m5s2GI8orWd42Bkx1Lyxgzct6HmpNrOTwfB_qvGqmLejxP3kUdxI BoCYaIQAvD_BwE#tab-attributes Kevishas, Y.  Otych, O. (2019). The Horizon of Spirituality of Education. Vilnius: Žuvédra.

URL https://lib.iitta.gov.ua/719526/1/Gorizont2.p df Lyberger, M.R. (2020). Value-centric education: A transcending approach. Sport Management Education Journal, 14, 1, 52-54. URL: https://journals.humankinetics.com/view/jou rnals/smej/14/1/article-p52.xml Oleksiuk, O.M. (2019). Development of the spiritual potential of the individual in postclassical art education. Kyiv: KUBG. URL: https://elibrary.kubg.edu.ua/id/eprint/29712/ Orekhova, Y.Y., Grebenkina, L.K., Zhokina, N.A., Kushnyr, L.A.,  Samotaev, P.I. (2020). Formation of students' values-based attitude to the future teaching profession as moral basis of pedagogical ethics. Periodico Tche Quimica, 17(34), 260-272.

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https://journals.indexcopernicus.com/api/file /viewByFileId/1018981.pdf Panev, V. (2020). Theoretical basis and models for developing students’ values in primary education. International Journal of Cognitive Research in Science, Engineering and Education, 8, 1, 81-91.

DOI https://doi.org/10.5937/IJCRSEE2001081P Rinon, Y. (2014). The Crisis in the Humanities.

Tel Aviv: Hakibbutz Hameuchad. URL: https://www.cambridgescholars.com/product /978-1-4438-9782-2 Ruse, M. (1985) Sociobiology: Sense or Nonsense? Netherlands: Springer. DOI: 10.1007/978-94-009-6438-9 Starecek, A., Koltnerova, K., Gyurak Babelova, Z., Caganova, D., Lovasikova, S.,  Ivic, M. (2019). Value orientations of generation Z and their performance in education process. ICETA 2019, 17th IEEE International Conference on Emerging eLearning Technologies and Applications, 9040060, 739-744. DOI: 10.1109/ICETA48886.2019.9040060 Uchyła-Zroski, J. (2016). The values of music education of children and youth in the perspective of tradition and modernity.

University of Silesia, 168(2). URL: https://integro.ciniba.edu.pl/integro/1927054 86331/uchyla-zroski-jadwiga/wartosciedukacji-muzycznej-dzieci-i-mlodziezy-wperspektywie-tradycji-iwspolczesnosci?_lang=en Vygotsky, L.S. (2000). Psychology. M.: EKSMO–Press.

URL: http://lib.mgppu.ru/opacunicode/app/webroo t/index.php?url=/notices/index/IdNotice:124 40/Source:default Wilson, E.O. (1979) On Human Nature. Harvard University Press.

URL: https://www.hup.harvard.edu/catalog.php?is bn=9780674016385 Zhussupova, Z., Seitenova, S., Yeleussinova, G., Baimakhanova, G., Bekeshova, G.,  Baimakhan, S. (2020). Value regulation of leadership behavior of education managers.

Talent Development and Excellence, 12, 1, 269-278.

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Makhachashvili, R., Bakhtina, A., Semenist, I. / Volume 10 - Issue 45: 20-30 / September, 2021

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DOI: https://doi.org/10.34069/AI/2021.45.09.2 How to Cite: Makhachashvili, R., Bakhtina, A., & Semenist, I. (2021). La función de la inteligencia emocional en la educación digital como el sustrato de la validez de la vida on-line. Amazonia Investiga, 10(45), 20-30. https://doi.org/10.34069/AI/2021.45.09.2

La función de la inteligencia emocional en la educación digital como el sustrato de la validez de la vida on-line Функція емоційного інтелекту в цифровій освіті як субстрат валідації онлайн-буття Received: August 10, 2021

Accepted: September 23, 2021

Written by: Rusudan Makhachashvili 4 https://orcid.org/0000-0002-4806-6434 Anna Bakhtina5 https://orcid.org/0000-0003-3337-6648 Ivan Semenist6 https://orcid.org/0000-0002-0847-8856 Resumen

Анотація

La Industria 4.0, cuyo sustrato es la introducción de la matriz ciberfísica en la producción mundial, ha realizado importantes ajustes en el sistema de los valores humanos, lo que ha llevado a una reorientación de la esencia ontológica de la humanidad. Esto afectó principalmente la misión y la visión de la educación. La reorientación se refiere a la transgresión de la "vida real" al formato digital. Partiendo de lo expuesto, nuestra investigación tiene como objetivo identificar la función y la importancia del funcionamiento de la inteligencia emocional en la educación digital como una condición previamente necesaria para el proceso evolutivo en el mundo. Con el motivo de explicar el núcleo del problema del funcionamiento de la inteligencia emocional en la educación digital, se realizó una encuesta empírica de los participantes en el proceso educativo (los estudiantes), que permitió inferir un modelo hipotético-deductivo de la percepción emocional del ser en línea en sus varios formatos.

El modelo se presenta aplicando un enfoque lógico-praxiológico (el principio de la explosión con la verificación mediante la tabla de verdad) y consiste en la contradicción entre el ser-ahí determinado físicamente y el ser en línea previsto tecnológicamente con la correspondiente transgresión de la actividad humana del Dasein al deadline.

Індустрія 4.0, субстратом якої є впровадження кіберфізичної матриці у світове виробництво, внесла важливі корективи в систему цінностей людини, що зумовило переорієнтацію онтологічної сутності людства. Першочергово це відобразилося на місії та візії освіти. Переорієнтація стосується трансгресії “фактичного життя” у цифровий формат. Таким чином, дослідження спрямоване на виявлення ролі та важливості функціонування емоційного інтелекту в цифровій освіті як передумові еволюційного процесу в світі. З метою експлікації проблемного ядра функціонування емоційного інтелекту в цифровій освіті проведено емпіричне опитування учасників освітнього процесу (здобувачів освіти), що дозволило вивести гіпотетико-дедуктивну модель емоційної перцепції on-line-буття в різних його форматах. Модель подається із застосуванням логіко-праксіологічного підходу (логічний принцип вибуху з верифікацією за допомогою таблиці істинності) і полягає в наявності протиріччя між фізикалістськи зумовленим тут-буттям та технологічно передбаченим on-line-буттям з відповідною трансгресією людської діяльності з Dasein у deadline.

4 5 6

Doctor habilitado, Profesor Asociado University de Kyiv Borys Grinchenko, Ucrania.

Estudiante de posgrado, Profesor Asistente University de Kyiv Borys Grinchenko, Ucrania.

PhD University de Kyiv Borys Grinchenko, Ucrania.

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Palabras clave: inteligencia emocional, educación digital, vida on-line, el ser-ahí, educación a distancia.

Ключові слова: емоційний інтелект, цифрова освіта, on-line-буття, тут-буття, дистанційне навчання.

Introducción La pandemia del Covid-19 hizo ajustes espontáneos a la dimensión de la existencia humana (Makhachashvili et al, 2020a), (DQ Global Standards Report, 2019), que adiaforiza la existencia fisica, transgrediéndola al ser en línea como el único ser permitido. El ser en línea es esencialmente una versión del ser-ahí (Heidegger y Hofstadter, 1988), ya que M. Heidegger enfatizó dos posiciones opuestas al mismo tiempo: por un lado, dice que el hombre moderno es tan conocido como nunca lo había sido antes. Por otro lado, el hombre mismo, según el filósofo, es más problemático que nunca. Todo esto se explica por la conclusión de Heidegger sobre la "disposición ontológica del hombre moderno" (Heidegger y Hofstadter, 1988, pág. 19). El siglo XXI ha transformado el concepto de este filósofo al subordinarlo a las condiciones de la cuarentena mundial. La búsqueda de la esencia existencial del hombre consiste en "captar explícitamente la movilidad definitoria de la vida actual" (Heidegger & Hofstadter, 1988, pp. 241), que determina el serahí con una visualización instantánea de la vida.

En primer lugar, esta visualización se refiere a uno de los factores principales que posibilita la evolución humana: la educación. Dado que la pandemia ha provocado una localización digital absoluta del espacio educativo, una condición necesaria es la introducción del concepto del ser en línea, en el que el Dasein (Heidegger & Hofstadter, 1988, pp.200) es relevante para el sustrato de la validez de la educación a distancia, cuyo concepto central es “deadline”. El ser en línea, a su vez, se caracteriza por una disonancia cognitiva (Damasio, 1994), que consiste en la colisión de las dos dimensiones opuestas: el infinito digital y la existencia física finita. Todo esto se refleja en la educación digital: el comunicante digital no solo debe validar sus actividades prácticas en la red, sino también aprender a transmitir emociones en el formato digital con el fin de adaptarse a la situación (la vida real) y estar en contacto con otro comunicante lo que sintetizará la posibilidad de evitar las barreras de la comunicación (Hymes, 1972), que son el sustrato de los conflictos, las colisiones, las guerras en la red, etc. y así promoverá la educación eficaz en el formato a distancia.

Nuestra tarea es explicar el núcleo problemático del funcionamiento de la inteligencia emocional

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en la educación digital, que, de hecho, visualiza la actitud del participante del proceso educativo hacia el formato de la educación a distancia que se realiza por las competencias cualitativas, válidas para la educación digital en el siglo XXI (Makhachashvili et al, 2020b), (Davies, Fidler et al, 2011), (Dos Reis, 2015). La encuesta empírica de los participantes en el proceso educativo (los profesores y los estudiantes) derivará en un modelo hipotético-deductivo de la percepción del ser en línea en sus formatos diversos, que se concluirá en una variante de un silogismo hipotético, cuyo significado verdadero es desconocido. Lo último verificará el campo problemático del funcionamiento ineficiente de la inteligencia emocional, explicando el ser en línea como verdadero y no verdadero (según el principio de explosión). Aunque en el razonamiento deductivo el valor de la verdad se transfiere a la conclusión, en nuestro caso la base son las hipótesis, y por lo tanto la conclusión del razonamiento hipotético-deductivo será probable, pero aprobado por los sistemas lógicos, cuyas reglas consisten en que los enunciados pueden deducirse de las contradicciones. Es decir, si permitimos las contradicciones, cualquier enunciado será la consecuencia de la contradicción.

Esta investigación explica el núcleo del problema del funcionamiento de la inteligencia emocional en la educación digital. Las cuestiones de la investigación fueron las siguientes: 1.

2.

3.

¿Cuál es función de la inteligencia emocional en la educación digital? ¿Cuál es la diferencia entre el ser-ahí y el ser en línea en la intersección de la búsqueda de la esencia existencial del hombre? ¿Cuál es la contradicción principal en la percepción humana de la educación digital?

La parte empírica de la investigación, relacionada con la obtención de los datos para su posterior procesamiento analítico, se llevó a cabo mediante un cuestionario ("Herramientas y prácticas de TIC para la evaluación de la calificación final en el marco de la cuarentena por la pandemia del COVID-19") para los profesores y estudiantes de la Universidad de Kyiv Borys Grinchenko: 59 encuestados participaron en una encuesta anónima basada en el cuestionario mencionado y un análisis más detallado de los

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22 resultados sobre el uso de varias herramientas de TIC en la educación digital, principalmente debido a la pandemia. Los resultados más detallados en varios aspectos se presentan en un ciclo de publicaciones del grupo de autores (Makhachashvili et al, 2020a), (Makhachashvili et al, 2020b), (Makhachashvili et al, 2021c).

La información se recopiló en el marco del protocolo de ética de la investigación y de la cultura corporativa de la Universidad de Kyiv Borys Grinchenko teniendo en cuenta la confidencialidad de los encuestados con su consentimiento previo para el siguiente procesamiento de los datos analíticos. La encuesta se centra en las tecnologías digitales utilizadas en el proceso de la educación digital en particular y en la educación a distancia durante la cuarentena provocada por la pandemia del COVID-19, lo que también fomentó la activación de una gran cantidad de las herramientas digitales: 1.

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E-mail Google Disc Google Forms LMS Moodle (or other learning management systems) Automated testing systems (LMS) Automated testing systems (online, cloud based) Hang Out Meet (Google video-conferencing service) Zoom (videoconferecing service) Android apps Microsoft Teams Adobe Connect Webex Online radomiser Screen sharing features Microsoft Office tools (Word, PowerPoint, Excel spreadsheets, etc) Speech to text interface Cloud based presentation tools (for e.g.

Prezi) Social Media platforms (Facebook, Telegram, Instagram, Twitter, etc.)

La evaluación de los encuestados de la importancia de estas actividades y de la aplicación de las tecnologías mencionadas de TIC en la educación digital contribuyó a la visualización de las características perceptivas de los encuestados de las herramientas, lo que identifica su emotio en la intersección de la implicación sujeto-objetiva de la actividad en la síntesis con la ratio, transgredido al ser en línea y automatizado por él.

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Marco Teórico o Revisión de literatura La integración de la educación al espacio digital ha separado dos factores fundamentales de la esencia existencial del hombre: 1) el ratio, cuya ventaja es la racionalidad sustantiva como un sistema generalizado de valores y estándares integrados en la cosmovisión (Weber et al., 1958); 2) el emotio, que a priori sigue siendo el sustrato del proceso psíquico, que implica la adaptación del sistema nervioso central a los cambios externos, asumiendo la exactitud de la percepción subjetiva de la cosmovisión racional (Bar-On, 1988), (Boyatzis, Goleman, 2001). Sin embargo, surge una pregunta lógica: ¿Es capaz de coexistir sinérgicamente el homo ciberneticus (Restian, 1981) con estos dos factores en el mundo digital? ¿No está aislado el ratio del emotio bajo las restricciones espaciales? ¿O seguimos observando la adiaforización de las fronteras (de la raza, de la especie, etc.), localizados en el universo virtual como la sustancia única? Notemos de antemano que, en nuestra opinión, la síntesis de la amorfia digital proporcionada por el sistema no lineal del tiempo-espacio en el ser en-línea y la deformación de la comprensión clásica de la educación se extiende a la síntesis amorfodeformada de la cultura como una forma atributiva de la autoidentificación del homo ciberneticus.

Los investigadores Muhammad Ayub Buzdar, Akhtar Ali y Riaz Ul Haq Tariq intentaron ir más allá de la comprensión clásica de la educación y exploraron los aspectos psicométricos de la preparación de los estudiantes para la educación digital. La atención se centró principalmente en la función de la inteligencia emocional para explicar las diferencias, desventajas y ventajas de la educación digital: «Examinamos cuatro aspectos de la preparación de los estudiantes para la educación digital y descubrimos que los estudiantes tenían una preparación comparativamente más fuerte en la motivación para el aprendizaje y el aprendizaje autodirigido.

Los estudiantes demostraron una capacidad de control casi promedio en un contexto en línea; sin embargo, la autoeficacia de la comunicación en línea y del uso del ordenador/Internet fue comparativamente inferior entre la muestra» (Buzdar et al., 2016, p. 154). Según los indicadores de la preparación de los estudiantes para la educación digital, que fluctúan en la nota media, lo que indica una disposición parcial para el aprendizaje en línea, los autores destacan la presencia de la inteligencia emocional en la educación digital como el sustrato del que dependerá la eficacia del aprendizaje:

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«Recomendamos hacer más investigaciones para desarrollar las estrategias istruccionales que promuevan la inteligencia emocional de los estudiantes con la intención de mejorar su preparación y el desempeño en los entornos del aprendizaje en línea» (Buzdar et al., 2016, p.

154).

A su vez, los investigadores de las comunicaciones digitales, Alexander J.A.M. van Deursen, Colin L. Bolle, Sabrina M.Hegner, Piet A.M. Kommers, según una encuesta de los 386 encuestados, dicen que el estrés social, por el contrario, tiene un efecto positivo en la adaptación humana a la vida en línea, desarrollando la competencia digital y, en consecuencia, la inteligencia emocional en este caso se desarrolla de forma más rápida y efectiva: «Las personas que utilizan ampliamente sus teléfonos inteligentes con fines sociales desarrollan los hábitos de su uso más rápidamente, lo que a su vez puede conducir a un comportamiento adictivo respecto a los teléfonos inteligentes. No encontramos una influencia de la inteligencia emocional en el comportamiento habitual o adictivo con los teléfonos inteligentes, mientras que el estrés social influye positivamente en el comportamiento adictivo con los teléfonos inteligentes, y un fallo en la autorregulación parece causar un mayor riesgo del comportamiento adictivo con los teléfonos inteligentes» (van Deursen et al., 2015, p.419).

Se realizó una investigación exhaustiva durante la cuarentena en India (abril-mayo del año 2020), que tuvo como objetivo analizar la percepción del estrés académico que experimentan los estudiantes en la educación digital y desarrollar las estrategias para superarlo con la ayuda de la inteligencia emocional. La autora Yamini Chandra realizó una doble encuesta utilizando dos cuestionarios en línea: "Percepción de la escala de estrés académico" y "Escala de la inteligencia emocional", cuyos resultados fueron analizados mediante una prueba χ². Los resultados mostraron que «Mediante el uso de la inteligencia emocional y el alejamiento del aburrimiento y los pensamientos depresivos, los estudiantes intentaban hacer frente a los efectos negativos derivados de la actual situación pandémica” (Chandra, 2020).

Así, es obvio que la percepción de los estudiantes de la educación digital difiere significativamente de la aceptación de la educación digital como una realidad del siglo XXI (el ser en línea) y su aceptación como la educación a distancia encerrada en la cuarentena por la pandemia del Covid-2019. Todo esto, a su vez, distingue las

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funciones y el desarrollo de la inteligencia emocional: el factor pandémico explica la falta de preparación para la educación digital, cristalizando de forma inmanente el factor del miedo; el factor de la realidad del siglo XXI, por el contrario, elimina las barreras psicológicas.

De hecho, nos centraremos más en esta contradicción.

Sin embargo, el ser en linea plantea otro tema problemático, que es la discusión sobre el desarrollo de la inteligencia emocional (Davis et al, 1998), (Conte, 2005), (Keefer et al, 2018) en el espacio digital educativo: ¿qué eficiencia tiene la inteligencia emocional en la intersección de la interdependencia de la tecnología, donde el enfoque principal de los estudiantes y los profesores se traspasa al objetivo de la cámara?

La cuestión de la inteligencia emocional en la educación aparece a priori como un punto de dificultad. Los científicos enfatizan la colisión de la tradición y de la innovación en la educación, que sintetiza la inteligencia racional y emocional: "...la promoción de la inteligencia emocional en las escuelas ha demostrado una búsqueda controvertida, desafiando los puntos de vista tradicionales "racionalistas” de la educación.

Además, los resultados de la investigación en esta área han sido, en el mejor de los casos, inconsistentes” (Humphrey et al., 2007, p. 245).

M. Radford deduce su propio concepto de la función de la inteligencia emocional en la educación, y concluye que hay un «Resurgimiento de dos comprensiones en la relación con una perspectiva actual sobre la naturaleza de la inteligencia emocional. La primera comprensión es de carácter dualista, viendo las emociones como eventos internos sujetos a la introspección. La segunda ve las emociones como fuentes de energía o tensión que pueden aliviarse en el proceso de la articulación, es decir, una especie de dimensión terapéutica en un contexto "confesional". Estas dos comprensiones en su conjunto forman una perspectiva que puede denominarse la hipótesis "introspectiva/confesional". Con esta hipótesis se revisan algunos de los problemas filosóficos tradicionales y se ofrece una perspectiva alternativa de las emociones. Esta perspectiva alternativa considera que nuestras vidas emocionales se desarrollan dentro de un contexto social y cultural, como esencialmente públicas y abiertas a la objetivación, lo que podría denominarse una hipótesis 'objetivista/constructivista'» (Radford, 2006, p. 227). Según el investigador, la inteligencia emocional es la función más relevante y práctica

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24 de la educación en la dimensión moderna, lo que es especialmente cierto en la educación digital, donde las relaciones de "sujeto-sujeto" son reemplazadas por las de "sujeto-objeto", en las cuales el actante principal ("el posibilitador") del ser en línea no es una persona, sino un deadline.

Los investigadores Adel Zahed-Babelana y Mahdi Moenikia han considerado los problemas de la función de la inteligencia emocional exclusivamente en la educación a distancia. Las conclusiones de los científicos, basadas en la parte experimental, confirman que «Los dominios afectivos como las habilidades interpersonales, el manejo del estrés, la adaptabilidad y el modo general se están fusionando lentamente en los diseños instruccionales de la educación a distancia. Las características psicológicas son vistas como las características necesarias de los estudiantes eficientes en los programas de la educación a distancia y su continuidad en estos programas» (Zahed-Babelan & Moenikia, 2010, p. 1160).

Así, partiendo de que la educación digital no se realiza en el espacio interpersonal, sino en el intrapersonal, los profesores y los estudiantes se convierten en los funcionales del actante principal del ser en línea. De lo último, a su vez, se deduce que el ser en línea es verdadero y falso al mismo tiempo, porque para un comunicante digital el deadline implica el ser en línea (para el profesor), y por lo tanto está controlado, mientras que para el otro (para el estudiante) solo se proporciona en el ser en línea, y, como consecuencia, no está guiado, sino subordinado a la vida real (al ser-ahí). En tales colisiones ontológicas se produce la verificación emocional del "hombre moderno sin disposisión", que raya en la búsqueda de uno mismo no solo en la dimensión educativa, sino también en la dimensión existencial en general: «En la educación a distancia, existe una brecha entre el profesor y el alumno, por lo que el alumno debe aceptar el grado superior de la responsabilidad en la realización del programa de aprendizaje. El alumno autónomo necesita poca ayuda del profesor, que puede ser más un respondedor que un director» (Zahed-Babelan & Moenikia, 2010, p. 1162).

Metodología El análisis de la investigación se basa en un enfoque lógico-praxiológico. La síntesis de ambos enfoques es una complementariedad

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sinérgica del plan de contenido del objeto de la investigación. El aspecto praxiológico es una forma específica de analizar la actividad humana en la explicación de su relevancia para el propósito de la acción, la racionalidad, la eficiencia, que se correlaciona con la "vida actual" del ser-ahí, transgredido en el ser en línea.

Esto revela la esencia de la organización de las actividades, abarcando tres grupos de los problemas: descripción analítica, caracterización, clasificación y sistematización de las acciones prácticas, así como el estudio de las condiciones y las leyes que determinan la eficacia de las acciones. El enfoque lógico permite formalizar los datos obtenidos empíricamente, localizando los resultados en el nivel estructural (ascendente), lo que es una condición necesaria para validar el nivel fenomenológico regulado por la psicología humana, incluida la inteligencia emocional. Ante todo, la lógica es nuestra herramienta, y el principio de explosión (del latín ex falso quodlibet) reconstruirá hipotéticamente el concepto del conjunto de los mundos (el ser-ahí, el ser en-línea) y, por lo tanto, el conjunto de las verdades, lo que presupone la educación digital no como el estrés/la impotencia/la imposibilidad, sino como una regularidad de la realidad óntica del siglo XXI, normalizando así la eficacia de la inteligencia emocional.

La creación de un silogismo hipotético contribuye al establecimiento de un modelo hipotético-deductivo implícito del núcleo del problema del funcionamiento de la inteligencia emocional en la educación digital. Por analogía, comparamos el ser-ahí y el ser en línea transfiriendo las propiedades del primero al segundo, en particular en el proceso educativo, trazando así la correlación entre los dos objetos.

Por extrapolación, traslademos los datos hipotéticos obtenidos a las tablas analíticas de la lógica intuicionista con la idea de establecer una proposición de cierto/falso en las premisas y en la conclusión sobre la eficacia de la inteligencia emocional en la educación digital.

Resultados y discusión Las respuestas a la pregunta "Identifique todas las herramientas TIC que tuvo que emplear a lo largo del proceso de la evaluación digital de la calificación" mostró que todas estas herramientas son más o menos utilizadas por los encuestados en la educación digital (fig. 1)

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Figura 1. Herramientas TIC utilizadas por los encuestados en la educación digital.

Fuente de datos: Investigación propia (Makhachashvili et al, 2021c) Para la educación digital efectiva es importante la competencia praxiológica de un estudiante, que cuenta con tres factores para asegurar la adaptación digital: motivación (contribuye a la formación de nuevas metas y su consecución); flexibilidad (la capacidad de controlar sus estados internos, la capacidad de gestionar los cambios en el entorno social, la capacidad de actuar y tomar decisiones en el estrés); conciencia (la capacidad de asumir la responsabilidad de las tareas y su desempeño, la capacidad de disfrutar de cumplir de sus obligaciones). Todos estos factores en su

conjunto codifican las especificidades de la comunicación digital, donde el concepto de la comunicación como tal pasa a primer plano (y el principal) de la autorrealización humana en el ser en línea y la aprobación de sus acciones en el tiempo real. Así, según los resultados del análisis de las respuestas a la pregunta "Identifique las habilidades blandas (soft skills) más destacadas para las herramientas TIC que tuviste que emplear a lo largo del proceso de evaluación digital de la calificación" obtenemos una ventaja de la comunicación en las siguientes tecnologías de TIC (fig. 2):

Figura 2. Una ventaja de la comunicación en las siguientes tecnologías de TIC. Fuente de datos: Investigación propia (Makhachashvili et al, 2021c)

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26 Si las redes sociales a priori son creadas para la introducción y el desarrollo de la comunicación digital, en el proceso educativo el correo electrónico y las herramientas de video conexión actúan como convergentes, lo que reproduce miméticamente el propósito funcional de las redes sociales con la diferencia de que la convergencia inmanente forma un sistema de uso más complejo. Bajo esta condición, el estudiante

buscará en el ser en línea una salida al ser-ahí emocional, que consiste en la comprensión entre el sujeto (una persona) y el objeto (una máquina), y por tanto, la necesidad de la comunicación como una condición necesaria de la inteligencia emocional. Lo último ha predicho la selección de las TIC (fig. 3) específicas por la orientación comunicativa (sincrónica y asincrónica).

Figura 3. La selección de las TIC específicas por la orientación comunicativa (sincrónica y asincrónica).

Fuente de datos: Investigación propia Los resultados de la encuesta mostraron que la importancia de la inteligencia emocional en la educación digital supera a otras competencias, lo que asegura la existencia conjuntiva del ser-ahí y del ser en línea con "la captación explícita de la movilidad determinante de la vida real". Sin embargo, la facticidad de este último conduce a una contradicción, porque, a diferencia del Dasein, el ser en línea se caracteriza por la presencia de un deadline. Lo último, a su vez, se explica como un plazo (fecha y/o hora) límite para realizar una tarea determinada, incluida la comunicación. La contradicción se basa en la infinidad del espacio y la finitud del tiempo, lo que en muchos casos provoca un estrés académico. Sin embargo, de acuerdo con los

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resultados de la investigación, se concluyó que el enfoque de la educación digital en la comunicación es una validez de la necesidad de desarrollar la inteligencia emocional, que promoverá un aprendizaje efectivo. Se trata de la comunicación sincrónica y asincrónica con una ventaja natural de la sincrónica. Sin embargo, el propio hecho de la comunicación se convierte en una mimesis del actante del ser en línea (el profesor y el estudiante). Y dado que la educación digital está dirigida al espacio intrapersonal, la inteligencia emocional, a su vez, solo verifica y aumenta el valor del proceso de la autoidentificación en el ser en línea y la autorregulación de los procesos psíquicos y cognitivos (fig. 4).

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Figura 4. El enfoque de la educación digital en la comunicación.

Fuente de datos: Investigación propia (Makhachashvili et al, 2021c) De acuerdo con los resultados de la investigación, extrapolamos datos hipotéticos a la fórmula del principio de explosión.

consecuencia de la contradicción. Extrapolando el ser-ahí y el ser en línea a un conjunto (ser), podemos asumir que hay dos premisas: 1) si todo ser es T; 2) y si no todo ser es T, entonces es cierto que cualquier ser es F o X:

 :     

    F  

Como ya se mencionó, PE en la lógica clásica e intuicionista consiste en que cualquier enunciado puede deducirse de la contradicción. Es decir, si se identifica una contradicción, entonces cualquier enunciado y su negación serán

Mediante los pasos posibles de la derivación (negación, conjunción, disyunción e implicación condicional) deducimos la tabla de verdad final:

Tabla 1.

La verificación final de los modos opositores del ser educativo.

F T v v v v v f v f f v f v f f f f Fuente de datos: Investigación propia La tabla de verdad es correcta y, por tanto, la contradicción de dos seres (de un conjunto) adquiere un significado verdadero, que consiste en la presencia de la disonancia cognitiva en la http:// www.amazoniainvestiga.info

Resultado v v v v v v v v

X v f v f v f v f

intersección del ser-ahí y del ser en línea, que, según la encuesta, se explica por la importancia de la inteligencia emocional para adiaforizar las barreras comunicativas en la relación sujetivoISSN 2322 - 6307

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28 objetiva (hombre-máquina). Sin embargo, la cuestión de las estrategias para incrementar la inteligencia emocional en la educación digital se queda abierta, porque hoy la conciencia digital de los estudiantes está dominada por el factor de espontaneidad y brusquedad provocada por la pandemia del Covid-19, y por tanto parametriza las condiciones de la autoidentificación humana como homo ciberneticus en un contexto particular, sin permitir considerar el objeto de la investigación en un rango más amplio.

La encuesta creada por el grupo de la investigación tuvo como objetivo la obtención de los datos empíricos de la "vida real" en el espacio digital, lo que facilitará el análisis y procesamiento de la información ante los problemas que existen en la educación digital.

Habiendo estudiado un número significativo de las fuentes, hemos señalado previamente la importancia de la inteligencia emocional, cuyo funcionamiento es necesario durante el aprendizaje en línea. El experimento involucró a los profesores y los estudiantes de la Universidad de Kyiv Borys Grinchenko, que desde el 12 de marzo del año 2020 hasta el final del año escolar estaban en la cuarentena por la pandemia del Covid-19. Esta razón espontánea fomentó la digitalización de todo el proceso educativo. Por lo tanto, la primera pregunta planteada por el equipo de la investigación fue una duda hipotética: ¿se verá obstaculizada la objetividad de los resultados por el factor de la cuarentena que llevó la digitalización en gran parte forzada, la cual, como muestran los resultados de otros científicos, parametrizó la educación a las condiciones llamadas autoaislamiento? Y lo último, a su vez, ha provocado un estrés académico, la depresión e incluso la implementación del término "fatiga de zoom" como una enfermedad psicológica que se manifiesta por la pérdida de energía debido a las multitareas de videoconferencias, lo que puede hacer concentrarse excesivamente, controlar cada movimiento y preocuparse cómo esto puede ser interpretado por los interlocutores. Sin embargo, la estrategia y la misión de la Universidad de Kyiv Borys Grinchenko adiaforiza estas dudas. Primero, la universidad tiene un sistema digital extenso y bien establecido, cuya implementación y desarrollo había empezado mucho antes de la pandemia.

Así, la ética corporativa de los profesores y los estudiantes apegados a la digitalización está orientada al uso activo de las TIC en la educación. En particular, esto se refiere al sistema educativo Moodle, conectado a través de los correos electrónicos corporativos creados para los profesores y los estudiantes por el

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Departamento de la Informatización de la Universidad. Así, enfatizamos en que el aprendizaje combinado que se realiza mediante la disponibilidad obligatoria de un curso relevante en el sistema Moodle y tiene en cuenta tanto el aprendizaje presencial como el cumplimiento de una parte de trabajo en el curso electrónico ya está disponible en la Universidad de Kyiv Borys Grinchenko durante mucho tiempo. La generación de los estudiantes modernos a priori es una generación digital, lo que está acondicionado por las realidades del siglo XXI, y, a su vez, supone la presencia y el desarrollo de una característica importante para la digitalización: la flexibilidad como el factor de la adaptación rápida a lo que nombramos el ser en línea. Por lo tanto, dada la contribución de la universidad a la educación digital mucho antes de la pandemia, los estudiantes de la Universidad de Kyiv Borys Grinchenko ya tenían un grado significativo de la preparación para la educación digital a distancia.

Todo lo anterior mencionado determinó la exactitud y la objetividad de las respuestas de los encuestados. La pandemia, a su vez, como otros elementos, es explicada, en particular por nuestro equipo de la investigación, desde el punto de vista del concepto filosófico del "Cisne Negro" que define los factores sociales como espontáneos pero tales que pueden ser clarificados e implementados lógicamente (Taleb, 2010).

Notamos que la importancia de la inteligencia emocional en general y en la educación en particular es natural: hoy tenemos una gran cantidad de los estudios en la neuropsicología, anatomía, lingüística y otras ciencias, lo que a priori aumenta su importancia en la educación digital. Sin embargo, en este último caso, tenemos un sistema de la investigación más complicado, ya que el objeto traspasa a una dicotomía hombre-máquina, lo que cambia significativamente el sistema de valores humanos, así como los valores y las funciones de la educación.

Conclusiones De tal modo, la investigación tuvo como el objetivo identificar las funciones y la importancia del funcionamiento de la inteligencia emocional en la educación digital.

Sin embargo, dada la orientación tecnogénica del sistema de valores de la humanidad, la educación digital, sus presuposiciones y factores fueron considerados como una parte evolutivamente prevista del todo, que denominamos el ser en

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línea. Lo último, según nuestras observaciones, es una transformación regular del ser-ahí, pero al mismo tiempo es su contradicción principal, porque la vida actual, asi como la existencia en el tiempo real, en el ser en línea es disonante al repensar el paradigma existencial en los niveles estructural y fenomenológico. Los cambios tan significativos en el paradigma ontológico hacen que se preste más atención a la importancia del funcionamiento de la inteligencia emocional como el sustrato que determina una adaptación positiva a las formas innovadoras de la autoidentificación humana.

Con el motivo de analizar y explicar el núcleo del problema del funcionamiento de la inteligencia emocional en la educación digital, nuestro equipo de la investigación realizó una encuesta empírica de los participantes en el proceso educativo (los profesores y los estudiantes). Esto nos permitió derivar un modelo hipotético-deductivo de la percepción del ser en línea en sus formatos diversos. El modelo, de acuerdo con los resultados del enfoque lógico-praxiológico y de la metodología correspondiente, consiste precisamente en la contradicción entre el ser-ahí determinado físicamente y el ser en línea determinado tecnológicamente, donde la concepción principal del último, que es el infinito digital y la finitud fisica, es la causa del énfasis excesivo del sistema nervioso central de los humanos en el proceso de la adaptación. Bajo tales realidades, la inteligencia emocional se localiza en la intersección de la "reconocibilidad" del hombre y su "disposición ontológica" al mismo tiempo, lo que se agrava especialmente en el ser en línea. La razón de esto es la "captación explícita de la movilidad determinante de la vida actual", que transgrede del Dasein al deadline, lo cual se valida por la presencia de los límites concretos del tiempo.

Sin embargo, como mostraron los resultados del experimento, una función inherente, según los encuestados, para todas las herramientas TIC es la presencia de la comunicación. Y en este caso estamos hablando de la comunicación en general, es decir, tanto de tipo síncrono como asincrónico de la comunicación digital, y por tanto, dada la validez de la comunicación en diferentes tipos de las tareas educativas digitales, donde la comunicación se explica como un acto de la comprensión y empatía entre los comunicantes para adiaforizar cualquier barrera, la inteligencia emocional se supone inmanente como una condición necesaria de la efectividad de la educación digital.

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La contradicción entre el ser-ahí y el ser en línea, como el núcleo problemático del funcionamiento de la inteligencia emocional en la educación digital, se verifica mediante el principio de explosión - la fórmula de la lógica clásica e intuicionista según la cual ambos seres fueron extrapolados al conjunto explicado como verdadero y falso al mismo tiempo. Es decir, uno que periódicamente está en disonancia cognitiva debido al problema de la autorregulación psicológica y cognitiva y la transmisión digital de los sentimientos humanos (en el nivel de las relaciones sujetivo-objetivos entre el hombre y la máquina). La verificación de la tabla de verdad confirma la contradicción de dos seres (de un conjunto) y obtiene el significado verdadero, que consiste en la existencia de la disonancia cognitiva en la intersección del ser-ahí y del ser en línea, lo que es extrapolado principalmente a la misión y a la visión de la educación digital como un fundamento de la evolución en el mundo.

Referencias Bibliográficas Bar-On, R. (1988) The Development of a Concept of Psychological Well-being.

(Unpublished doctoral dissertation) Rhodes University South Africa, http://vital.seals.ac.za:8080/vital/access/man ager/Repository/vital:2928?site_name=Glob alView Boyatzis, R.E. & Goleman, D. (2001) Emotional Competence Inventory – University Version.

Self-assessment Questionnaire, Profile and Interpretive Notes Hay Resources Direct London.

Conte, J.M. (2005) A review and critique of emotional intelligence measures Journal of Organizational Behaviour 26 433–440 Damasio, A.R. (1994) Descartes’ Error: Emotion, Reason and The Human Brain. New York: Harper Collins.

Buzdar, M. A., Ali, A., & Tariq, R. U. H. (2016).

Emotional intelligence as a determinant of readiness for online learning. International Review of Research in Open and Distributed Learning, 17(1), 148-158.

Chandra, Y. (2020). Online education during COVID-19: perception of academic stress and emotional intelligence coping strategies among college students. Asian Education and Development Studies, 10(2), pp. 229-238 Davies, A., & Fidler, D. et al (2011). Future Work Skills 2020. Institute for the Future for University of Phoenix Research Institute.

Retrieved from: https://www.iftf.org/uploads/media/SR-

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30 1382A_UPRI_future_work_skills_sm.pdf (accessed October2020).

Dos Reis, A. (2015). To Be a (Blended) Teacher in the 21st Century-Some Reflections.

International Journal of Research in Elearning, 1(1), 11-24.

DQ Global Standards Report (2019). World’s first global standard for digital literacy, skills and readiness launched by the Coalition for Digital Intelligence. Retrieved from: https://www.dqinstitute.org/ (accessed July 2020).

Heidegger, M., & Hofstadter, A. (1988). The Basic Problems of Phenomenology, Revised Edition (Studies in Phenomenology and Existential Philosophy) (Revised ed.).

Indiana University Press.

Hymes, D.H. (1972). Communicative competence. In Pride, J.B., & J. Holmes, J. (Eds.) Sociolinguistics: selected readings. (pp. 269-293). Harmondsworth: Penguin.

Keefer, K., Parker, J., & Saklofske, D. (2018).

Emotional intelligence in education.

Integrating research with practice. Cham, Switzerland: Springer.

Davis, M., Stankov, L. & Roberts, R. (1998) Emotional intelligence: In search of an elusive construct. Journal of Personality and Social Psychology, 75, 989–1015 Makhachashvili, R., Semenist, I., & Bakhtina, A. (2020a). Digital Skills Development and ICT Tools for Final Qualification Assessment: Survey Study for Students and Staff of European and Oriental Philology Programs.

Electronic Scientific Professional Journal “OPEN EDUCATIONAL EENVIRONMENT OF MODERN UNIVERSITY”, (9), 54-68. https://doi.org/10.28925/2414-0325.2020.9.5 Makhachashvili, R., Semenist, I., & Bakhtina, A. (2020b). ICT Tools and Practices for Final Qualification Assessment in the Framework of COVID-19 Lockdown. Innovative Educational Technologies, Tools and

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Methods for E-learning Monograph.

University of Silesia in Katowice, Poland, Katowice, pp. 183-194.

Makhachashvili, R., Semenist, I., Shtaltovna, Y. & Bakhtina, A. (2021c). Soft Skills and ICT Tools for Final Qualification Assessment in Universities of Ukraine and India in COVID19 Framework. Psychology and Education Journal, 58(2), 849–861. https://doi.org/10.17762/pae.v58i2.1959 Radford, M. (2006) Book Review: A Passion for Teaching. Theory and Research in Education, 4(2), pp. 227-229.

Humphrey, N., Curran, A., Morris, E., Farrell, P. & Woods, K. (2007) Emotional Intelligence and Education: A critical review, Educational Psychology, 27(2), 235-254, DOI: 10.1080/01443410601066735 Restian, A. (1981). Homo ciberneticus. Scientific and Encyclopedic Publishing House.

Taleb, N. N. (2010). The Black Swan: Second Edition: The Impact of the Highly Improbable: With a new section: “On Robustness and Fragility” (Incerto) (2nd ed.).

Random House Trade Paperbacks. https://www.penguinrandomhouse.com/book s/176226/the-black-swan-second-edition-bynassim-nicholas-taleb/ Van Deursen, A. J., Bolle, C. L., Hegner, S. M., & Kommers, P. A. (2015). Modeling habitual and addictive smartphone behavior: The role of smartphone usage types, emotional intelligence, social stress, self-regulation, age, and gender. Computers in human behavior, 45, 411-420.

Weber, M., Gerth, H. H., & Mills, W. C. (1958).

From Max Weber: Essays in Sociology.

Oxford University Press (Galaxy imprint).

Zahed-Babelan, A., & Moenikia, M. (2010). The role of emotional intelligence in predicting students’ academic achievement in distance education system. Procedia-Social and Behavioral Sciences, 2(2), 1158-1163.

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DOI: https://doi.org/10.34069/AI/2021.45.09.3 How to Cite: Sheremet, O.S., Voluiko, O.M., Posmitna, V.V., Poda, T., & Bidzilya, Y.M. (2021). Sociocultural dominants of developing students’ value intentions: context of civilization challenges. Amazonia Investiga, 10(45), 31-41. https://doi.org/10.34069/AI/2021.45.09.3

Political and legal aspects of the information warfare Політико-правові аспекти інформаційної війни Received: July 20, 2021

Accepted: September 15, 2021

Written by: Oleg S. Sheremet7 https://orcid.org/0000-0002-9512-991X Oleksii M. Voluiko8 https://orcid.org/0000-0002-0894-5004 Victoriia V. Posmitna9 https://orcid.org/0000-0001-8719-1767 Tetiana Poda10 https://orcid.org/0000-0001-9662-1204 Yuriy M. Bidzilya11 https://orcid.org/0000-0001-5134-3239 Abstract

Анотація

This article describes the technological features of information warfare and possible lawful mechanisms to counter information attacks. The aim of the article is to analyse the political and legal features of information warfare. The tactics of the aggressor state’s behaviour in a hybrid war was substantiated using the case of the information war between Russia and Ukraine.

The channels of information dissemination, which are most often used for disintegration and disinformation purposes, were studied.

Problematic issues of the domestic public space that most often appear in the perspective of disinformation attacks on the Internet are determined: the activities of the Armed Forces of Ukraine, cooperation between Ukraine and the EU, reforms in Ukrainian society, temporarily occupied territories and annexed Crimea, corruption in Ukraine. The tactics of confrontation between countries in the information space was analysed — attempts to establish their “security belt” from other actors in international relations and to maintain their own

У цій статті описано технологічні особливості інформаційної війни та можливі законні механізми протидії інформаційним атакам. Метою статті є аналіз політикоправових особливостей інформаційної війни. Тактика поведінки держави-агресора в гібридній війні була обґрунтована на прикладі інформаційної війни між Росією та Україною. Вивчено канали розповсюдження інформації, які найчастіше використовуються для дезінтеграції та дезінформації. Визначаються проблемні питання вітчизняного публічного простору, які найчастіше виникають у перспективі дезінформаційних атак в Інтернеті: діяльність Збройних Сил України, співпраця між Україною та ЄС, реформи у Українське суспільство, тимчасово окуповані території та анексований Крим, корупція в Україні. Проаналізовано тактику протистояння між країнами в інформаційному просторі - спроби встановити свій "пояс безпеки" від інших суб'єктів міжнародних відносин та зберегти

7

Doctor of Law, Associate Professor of the Department of Law, Philosophy and Political Science of O.M. Lazarevskyi Institute of History and Socio-humanitarian Disciplines of Taras Shevchenko National University "Chernihiv Collegium", Ukraine.

8 PhD in Juridical Sciences, Head of the Department of Legal Support of Military-combat Activity of the Kyiv Faculty of the National Academy of the National Guard of Ukraine, Ukraine.

9 PhD in Philological Science, Associate Professor of the Department of Legal Support of Military-combat Activity of the Kyiv Faculty of the National Academy of the National Guard of Ukraine, Ukraine.

10 PhD in Philosophy, Associate Professor of the Department of Philosophy, Faculty of Linguistics and Social Communications, National Aviation University, Ukraine.

11 Doctor of Social Communications, Professor, Head of the Department of Journalism, Faculty of Philology, Uzhhorod National University, Ukraine.

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dominant influence in certain regions by spreading misinformation. Promising areas of further research will be the analysis of the peculiarities of the national legal systems’ development in order to counter misinformation in the context of the continuous development of democracy in the world.

власний домінуючий вплив у певних регіонах шляхом поширення дезінформації. Перспективними напрямами подальших досліджень буде аналіз особливостей розвитку національних правових систем з метою протидії дезінформації в контексті постійного розвитку демократії у світі.

Keywords: Information war, misinformation, political and legal aspects, mental aggression, media development, mass media, social networks.

Ключові слова: Інформаційна війна, дезінформація, політичні та правові аспекти, психічна агресія, розвиток ЗМІ, ЗМІ, соціальні мережі.

Introduction Information war is the most common form of modern confrontation, targeting human consciousness (Easton & Almond, 2016; Batyuk, 2017). It is based on the ability to control and manipulate public opinion, that is playing up to the human will. People live in the information space and receive information from the Internet, press, radio and television programmes on a daily basis. In a symbolic world that is separate from reality, they may even conflict with their own interests. Reality has receded into the background. People are not free in this sense, especially because there are many ways to effectively influence information. There is the term “brainwashing”, which can create a passive, flexible person and turn his/her into a controlled group. Overcoming the threats posed by information wars is a factor in national security.

Information wars lead to the destruction of the unified information space of the state, manipulation of public consciousness, illegal use of special means of influencing public consciousness, as well as intensification of international competition for the possession of information technology and resources.

One of the factors contributing to the emergence of information wars is the inadequate regulation of relations in the information sphere, as well as insufficient practice of law enforcement in disinformation processes. This determines the topicality of this research. The formation of public consciousness with the help of the subjects of information war using the methods of psychological influence is becoming the most effective way of control and manipulation both within the state and abroad. It all depends on who actually determines the information content.

Russia’s political and information war against Ukraine has become a long-term factor affecting the country’s national security. It is necessary to develop an effective concept of information security to combat this impact.

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Therefore, the aim of this work is to explore the political and legal aspects of information warfare and the mythologising of public consciousness that accompanies this process. This aim involves fulfilment of the following research objectives: 1) analysis of the features of information wars, misinformation and mediatisation of political consciousness to ensure the goals of individual policy actors; 2) identification of problems of active involvement of states in the processes of counteracting threats in the information space.

Literature review There are three main goals in the information war: control over the information space and ensuring the protection of one’s information from hostile actions; use of control over the information space for information attacks on the enemy; increasing the overall efficiency of information functions. According to a number of theorists, continuing to stop broadcasting proRussian TV and radio channels and disseminating anti-Ukrainian information, quickly refuting false information about Russia in the Ukrainian media, reporting on government agencies in the most transparent way and improving media literacy of the Ukrainian people are effective means of levelling threats to Ukraine (Saakov, 2018; Bennett & Iyengar, 2010).

According to modern theorists, one of Russia’s main tasks in the political, legal and information war against Ukraine are the following (Blank, 2016; Dodonov, 2015):  

creating an atmosphere with a negative attitude to the cultural and historical heritage of Ukrainian society; manipulation of public opinion and political orientation of the Ukrainian people to create political tension and chaotic country;

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

destabilization of political relations between political parties, associations and movements in order to incite conflicts, arouse distrust, suspicion, aggravate hostility and struggle for power; discrediting the behaviour of top public servants of Ukraine; initiation of protests and disobedience; undermining the country’s international prestige and cooperation with other countries; creation or strengthening opposition organisations or movements, especially the extreme right or the extreme left; discrediting the national history and national identity of Ukrainians; initiation of changes in worldviews and value systems; minimisation of information on achievements recognised in science, technology and other fields, focusing on shortcomings, consequences of wrong actions and unqualified government decisions; undermining the morale of the population (fatigue from war, political scandals, disbelief in victory) and, as a consequence, the reduction of defence capabilities and combat potential of the army; damage to critical infrastructure (hardware, software, protection tools and protection regime against unauthorised leakage).

(dissemination of selective information), thereby preventing politicians from adequately responding to the impending threat (Simons, 2021). Information systems are used by actors who want to undermine state institutions and political systems and create political upheavals by compromising public information systems (Desouza et al., 2019).

Other theorists include the formation of preconditions for economic, mental or military disruption, loss of readiness to fight and win, destructive information-psychological, information-technical and ideological influence (Bukkvoll, 2016; Cassiday & Johnson, 2016).

It is worth noting that according to the classical approach expressed in the book of the ancient Chinese strategist Sun Tzu — The Art of War — the nature of any war is deceptive. Therefore, most citizens of the country who have been attacked by political information are usually disoriented by large volumes of contradictory information, and do not understand the immediate scale and dangers for the whole country.

      





The field of information warfare promotes the free flow of information. All actions in information conflicts are necessary to achieve the intended political priorities over the enemy.

Information warfare implies the following actions: gaining social control, manipulating information, disinformation, propaganda (Bielawski & Radomska, 2017). Such influences can lead to political results, to a change in the political views of the enemy in an information war.

Regime change as an operational policy is supported by the control of selective information to create a comfortable perception of events and create a sense of legitimacy. The modern approach to political regime change and information warfare is to unleash an all-out attack through the information sphere

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Between 2018 and 2021, the EU recorded more than 11,000 cases of misinformation, most of which concerned Ukraine. According to the representative of the European Commission, the spread of false information is increasing, which is a threat to democracy and damages the reputation of the media. Therefore, appropriate mechanisms should be developed to detect false information. We can say that a full-scale war is being waged against Ukraine: the form is “political” and the content is “asymmetric”.

Thus, it is necessary to create special legislation aimed at legal support of information security, and the effective application of existing legislation, the rules of which often make it possible to effectively guarantee information security (Kharytonov et al., 2019). Given that information wars can lead to global threats and security, the need to develop a convention in accordance with international law to regulate the arena of information warfare becomes an urgent issue (Qureshi, 2019).

The Internet has become a disseminator of false information. The more people depend on social networking sites, the more likely they are to unknowingly come across information that could change their point of view and influence political behavior (Asri & Sualman, 2019). But it should be noted that other (traditional) media have also been involved in spreading misleading information about a certain population in certain countries and defending certain actions. First, they are not very effective, and electronic media can report fake news today. Second, publications in print media are documents, so both the author and the publication can be prosecuted. Due to its nature, radio is not suitable for disseminating

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34 such information. Nowadays, television has gained unprecedented power, but there are two reasons why forgery may occur: negligence, unconfirmed information, incompetence of reporters and the decisive influence of the government on the national information policy of electronic media (Snegovaya, 2018; Gerbner, 2018).

For example, in Ukraine there are many publications that actively disseminate information of dubious quality, sometimes misinformation. For example, publications such as the false statement by Supreme Allied Commander Europe (NATO), General Breedlove about air strikes against Russian troops in Ukraine (published on the National Anti-Corruption Portal page) (Calha, 2015; Galeotti, 2017; Kurian, 2011). However, the number of fake news from Russian TV channels and Internet sources is very large. With the help of the Russian media, Vladimir Putin’s regime has launched a real political war against Ukraine.

Political war usually targets young people.

Therefore, the emphasis on the spread of fake messages is concentrated in social networks, which are very popular among young people. To this end, the Russian authorities have set up the so-called “Internet troll factory” in St. Petersburg — young people who pretend to be real members of the Internet, widely concentrating and disseminating provocative and outrageous information. The purpose of this action is psychological treatment of citizens of Ukraine and other countries, including Internet users in Russia. The principle of operation of the “Troll Factory” is that “repeated lies become a fact”, when users do not want to follow alternative opinions on any issues. An example of this activity is false information about the demolition of a giant Mother Homeland Monument on Pechersk Hill in Kyiv.

Methods and materials

Methods Well-known methods were used at the preparatory stage. Methods of qualitative data processing were used, which include statistical data of information sources on false media data, classification of methods. Theoretical research method allowed identifying the political and legal characteristics of information war. To strengthen it, empirical methods of scientific research were used: observations and generalisations, which involved obtaining facts about the information war, forecasting trends in the intervention of some states in the affairs of other states.

Qualitative methods of focus group interviews were used. This approach allowed getting a wide range of opinions and creating group dynamics to update and problematise issues related to countering information threats from different target groups.

Sample Transcripts of 2 focus groups were obtained in the course of the field stage. A total of 2 focus group interviews were conducted: 1) with media representatives (8 respondents); 2) with representatives of public organisations and active citizens (8 respondents).

Both meetings took place online because of a pandemic. The study also used the method of secondary analysis of sociological data.

Sociological surveys were used, which claim to be determined as mass and national. The sampling method was used in the process. The sample population was representative of the whole of Ukraine. The stratification principle was applied when building the sample. The strata were the regions of Ukraine, there are respondents from all regions of Ukraine.

Confidence probability (accuracy) — 95%, error 2-3%.

Research design The research procedure involved 2 stages: 1.

2.

The preparatory stage included content analysis of scientific literature on the selected topic, review of news headlines of the largest news media, secondary analysis of empirical data from analytical reports of international organisations.

The field stage involved conducting qualitative sociological research in the form of focus groups.

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A secondary analysis of the results of sociological survey was used to substantiate the functional threats of disorientation policy. In the course of the research, mass sociological surveys (Social Communications Research Center, Socis (https://socis.kiev.ua/ua), etc.) were analysed with a representative sample by gender, age, and territorial attributes. The general population in such studies averaged more than 2,000 people, with an error of no more than 2.5%.

Thus, the methodology of analysis of the subject of research is used, aimed at reflecting the

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pluralistic positions of two important stakeholders, participants in the political and legal process. The behavioural approach, which connects the active position of the media and civil society in the context of information confrontations, has proved fruitful for the analysis of procedural aspects of information warfare.

Results and discussion A cross-cutting line among the factors of the information war was the problem of insufficiently high abilities of citizens to think critically. Political, informational, media literacy is an important factor in counteracting real and potential information attacks (see Table 1).

Table 1.

Aspects of improving political and information literacy.

Item No.

Aspects

Description

1.

Verification

2.

Exposure

3.

Checking for correspondence to reality

To maintain trust in the official or recognised media, Internet users need to take precautionary measures to avoid falling victim to misinformation. It is necessary to check any content received online, especially if you are going to use it and distribute it further. Verification technologies based on the help of volunteer users are becoming increasingly popular. Communities such as Bellingcat and #DigitalSherlocks, Stopfake view the verification and geolocation of volunteers as important team activities.

One of the problems that users need to consider is “inflation” of false stories — whether the misinformation is spreading further and even more as a result of the exposure of facts and publication of results, whether it does not give them too much publicity.

Analyse the articles of journalists who study suspicious statements and verify the facts, answering questions from the audience.

One of the best ways to stop the spread of misinformation is to spread information which helps the audience to critically evaluate the information they read on social networks.

Source: compiled by the authors 4.

Media literacy

An example of resistance in the information confrontation was the new project Information as a Weapon. Materials for the development of media literacy are published daily on the official website of the organization Svoboda. These materials reveal the essence of information war, principles of behaviour, tasks, classification of information weapons, features and methods of its use. Ukraine’s Strategic Plan brings together politicians, experts, analysts, journalists and public figures to improve Ukraine’s national security. The purpose of its activities is to

participate in the formation and decision-making on national security issues to improve Ukraine’s defence capabilities, reform the national security and defence sector in accordance with NATO standards, promote Ukraine’s integration into the Euro-Atlantic security framework.

At the same time, in countries with totalitarian political regimes, television is the main focus of the most powerful, impressive, accessible and widely used media (Table 2).

Table 2.

Political and informational trust of citizens in the media.

Item No. Type of information resource 1.

Television 2.

Web-site news 3.

Social networks 4.

Radio 5.

Print media 6.

Television news Source: compiled by the authors

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Ration in % 82% 55% 52% 28% 23% 30%

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36 The television, which will rank first for a long time, was preferred by 82% of respondents (Zozulia, 2020). In the course of the research, we asked the same question in two focus groups — with representatives of the media and representatives of civil society institutions, active citizens — “What should be the actions of citizens in the information war”? We received the same answers in both focus groups: check

information, reveal false stories, continuously improve information literacy.

During the focus groups (see Table 3), media representatives and active citizens strongly argued that national information security should now become a fundamental component of the national security strategy.

Table 3.

Generalised results of the focus groups conducted by the author (survey of media and civil society representatives on the topic of information war) Question

Focus group with representatives of civil society institutions

Focus group with media representatives The state’s role is important, but it can weaken without the efforts of the public sector and an active position in the application of critical thinking by citizens

In your opinion, what is the role of the state in counteracting misinformation?

Determinant — the state is responsible for the safety of citizens, including in the information sphere

In your opinion, what is the participation of the media in counteracting information attacks?

Today’s media does not always provide a fair and objective coverage of events. Therefore, their participation may entirely support information attacks or resist them

Determinant — the media with maximum responsibility are involved in the process of countering information attacks

In your opinion, what is the significance of the participatory role of civil society in counteracting information wars?

Civil society must be active and not indifferent to national security issues. But the state carries the main load in counteracting information threats. Citizens pay taxes, the state guarantees “information well-being”

Determinant — citizens set the pitch to the entire public discourse. The presence or absence of “information noise” in public discourse largely depends on their choice of which media to prefer, which topic to cover in this media, or to share certain information on social networks.

Source: compiled by the authors Given the rapid development of information technology and the growing influence of the media, social networks, and other Internet monitoring resources, news agencies are used as the most common means of information warfare (information aggression).

International legal acts on information security provide for restrictions on freedom of speech to protect the rights and reputation of other person and/or to protect national security and public order, health and morals. On May 16, 2011, the UN Special Rapporteur on the Promotion and Protection of the Right to Freedom of Opinion and Expression, Hoffman (2014), submitted a report to the UN Human Rights Council on the main trends and problems of people in finding and transmitting information and ideas via the Internet.

This report also sets out general methods for restricting access to the Internet: 1) the law should provide for clear restrictions; 2) restrictions should be applied only to protect the

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rights and reputation of other persons and/or to protect national security and public order, health and morals (Article 19, paragraph 3, of the International Covenant on Civil and Political Rights); 3) the need to restrict freedom of speech must be proven. The application of the provisions requires prior confirmation of the facts of information aggression of one state against another, which can result in armed conflict, terrorist acts, sabotage, thousands of wounded, increased internal migration, number of refugees, and so on.

Given the urgent need to protect the national information space, the Parliament of Ukraine adopted, revised and amended some regulations.

Thus, Article 5 of the Law of Ukraine “On Ensuring Civil Rights and Freedoms, and the Legal Regime on the Temporarily Occupied Territory of Ukraine” recognizes the Russian Federation as the occupying power. It should be noted that although there is much evidence that Ukraine still does not recognize Russia as an aggressor, there is reason to talk about a hybrid

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nature of the confrontation (part of which is a targeted misinformation campaign) (Law No. 1207-VII, 2014).

Laws and draft laws on the establishment of a system for the protection of the national information space complement national legislation. In particular, it is the Decree of the President of Ukraine on approval of the decision of the National Security and Defenсe Council of Ukraine “On National Cybersecurity Threats and Emergency Measures to Eliminate Threats" and “On the Doctrine of Information Security of Ukraine” (February 2017) (Decree of the President of Ukraine № 47/2017, 2017); “On the Application of Personal Special Economic and Other Restrictive Measures (Sanctions)” (April 2017) (Decree of the President of Ukraine №133/2017, 2017); “On the Threat to National Cyber Security and Emergency Measures to Eliminate these Threats” (August 2017), the Law of Ukraine “On Basic Principles of Cyber Security of Ukraine” (October 2017) (Law No. 2163-VIІI, 2017).

These provisions have provoked a negative reaction of not only the media, but also practitioners and scholars in the legal field and other areas related to the provision of information. International Security Experts Pazyuk and Mitsik (2019) conducted a detailed legal analysis of the Decree of the President of Ukraine based on the decision of the National Security and Defence Council “On the Implementation of Certain Special Economic Measures and Other Restrictive Measures (Sanctions)”. Experts concluded that some of the above provisions and other provisions of information laws and regulations do not take into account the technical components of the country’s information security system. This directly affects the level of effectiveness of measures to ensure the national information field security, their implementation and management.

The complexity of this situation increases the urgency of developing the legal aspects of modern information wars.

The actual situation of legal liability for violation of freedom of speech always has certain socioeconomic consequences.

Therefore, the Presidential Decree “On the Application of Personal Special Economic and Other Restrictive Measures (Sanctions)”, which prohibits Internet service providers from providing resources to Internet users, does not comply with the principles of legality and legal grounds of such restriction. From a legal point of view, blocking Russian Internet resources is also a somewhat

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controversial step. Joining the “club” of countries that block Internet resources (Russia, North Korea and China) is a very controversial decision.

Prohibition is always the simplest and most unpleasant choice. This is not the right strategy for a country that seeks to implement European integration intentions. The view of the international community on this issue is undoubtedly negative. Blocking information resources can help rather than hinder propaganda. As a rule, it is difficult to provide a good confrontation without falling to the aggressor’s level. In order to protect their democratic values, centuries-old traditions and achievements in the field of human rights, European countries are forced to find ways to restrict freedom of speech in order to protect this type of democracy. In fact, the effects of information aggression far outweigh the capabilities of conventional means, and it encourages temporary restrictions on democracy in order to uphold democratic values in the future. According to the focus groups, the opinion of representatives and active citizens was divided by about 50% to 50%: one half of the respondents were in favour of blocking Russian information resources in Ukraine, the other half were strongly against such radical steps at the state level.

Usually, measures in the field of information security include: formulation and implementation of information security strategy of Ukraine; introduction of a public register of owners/managers of Internet resources; creation of special state institutions to respond to information aggression; implementation of educational programmes of media literacy; creating favourable conditions for the promotion, development and accessibility of domestic book publishing, television and film production, education and culture; forced use of antivirus software; strengthening responsibility for the use of unlicensed software.

Analysis of the experience of the United States and European countries on legislation and regulations on information war shows that the main tools to combat the information disorientation campaign are the following: 1) the development of social information culture; 2) development of social information culture, introduction of specialised state and interstate institutions to combat and prevent cyberattacks; 3) creation of cyberpolice; 4) introduction of state registrars of Internet resources for dissemination of unreliable information

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38 (misinformation, hostile propaganda, etc.); 5) development of national media education programmes; 6) introduction of economic sanctions on relevant entities in the information market; 7) a ban on the use of simulation tools and other information technology tools designed to manipulate public awareness in elections; 8) the obligation to disclose sources of funds for political advertising/advocacy in the media and social networks; 9) creation of software based on artificial intelligence technology for detection, identification and marking of false information; 10) creation of databases of information resources, analytical centers, tools for verifying information and messages, etc.

There were 90% of the respondents in the focus groups of media representatives and civil society institutions who agreed with the urgency and importance of such a step to ensure that information challenges in modern Ukraine are addressed within the legal field. The need to adopt the Information Code of Ukraine should be noted. This idea is enshrined in the Basic Principles for the Development of InformationOriented Society in Ukraine for 2007-2015 (Zozulia, 2020; Stadnyk, 2017).

The study found that 90% of journalists and civic activists surveyed in the focus group considered the issue of consistent legal regulation to ensure the country’s information security to be No. 1 problem. For a democracy, it is the most important tool for countering disinformation attacks by other countries. However, civil society is showing a tendency towards a somewhat paternalistic position of the state in ensuring information security. Media representatives have demonstrated a more proactive stance on their own responsibility to counter misinformation campaigns.

These views of the respondents are fully summarised with the positions of modern theorists. According to Barabash and Kotelenets (2016), the ability to influence public communication channels currently has a decisive impact on the level of legitimacy of government.

Kalpokas (2017) extends this opinion. In his works, he analyses the phenomenon of Internet branding and its importance in increasing threats to national security and political instability.

According to the author, the state, which is considered as a brand, should project its image to both domestic and foreign audiences. However, when building a brand, states are vulnerable to “sofa warriors” — ordinary people who are involuntarily “recruited” by hostile actors to

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spread (through social media or other platforms) a counter-brand that is harmful to the state.

According to Akimenko, and Giles (2020), with the growing level of digitalisation in the modern world, the challenges of information wars will become more pronounced, political elites will identify them in the list of the most pressing threats to national unity.

Bilan (2016) considers it necessary to introduce Ukrainian information law. Today, the issue of improving Ukrainian information legislation in the creation, dissemination and use of information is very important in accordance with modern needs and challenges. According to domestic lawyers, this improvement should be done through codification, formulation and adoption of the Information Code of Ukraine. In particular, the famous Ukrainian scientist and politician Gorbulin supports this idea. This code would be especially important for the regulation of socio-political processes both for the population suffering from information confrontation and for the regulation of the state’s position in the international community (Zozulia, 2020; Karber, 2015). In the case of Ukraine, we are dealing not only with hostile propaganda, but also with a “semantic (value-based, meaningful) war” correctly described by intelligence experts.

The whole set of information communication is used to retransmit these values. The main structural element of this war is imitation images, which do not really exist. Examples of such imitations are “fascists in Kyiv”, “cruelty of punitive forces”, “punished guys” and the use of prohibited weapons in Ukraine. The strategic goals of the operation of these simulators are to replace the objective ideas of the target groups about the nature of the conflict with the “information phantoms” that the aggressor needs.

The introduction of alternative concepts, meanings and imitations has led to the fact that this hybrid method of war has divided public opinion in Ukraine into more pro-Russian or more anti-Russian. The decree on blocking Russian Internet resources theoretically confirms that war is a war in the media. If the media usually cover military operations, the battle of values will have the opposite picture. The armed forces complete an operations launched by the media. As a result, the citizens of Ukraine postponed the actions of the armed forces in the conflict zone in protest against their participation in hostilities.

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The description of the famous Russian political scientist Yakovlev is also interesting. Reading Russian scientific articles for five years, Yakovlev noted with interest that the people who coordinate the introduction and interpretation of Russian news studied the same textbook (Zozulia, 2020; Kriesi, 2013). The human psyche is arranged as follows: as soon as the accusation becomes the subject of public discussion, its “supporters” and “opponents”, “experts” and “sofa experts” inevitably appear. A “big lie” can cause deep emotional trauma for the listener or viewer, which will determine their point of view over a long period of time, which contradicts any arguments of logic and reason.

The “40 by 60” method was invented by Goebbels. It is to create media that cover 60% of their information in the enemy’s interests.

Having thus earned his trust, the remaining 40% they use for extremely effective, thanks to this trust, misinformation (Lilleker, 2006; Snyder, 2010). Instead of proving something, the information is presented as something obvious, self-evident, and therefore unquestionably supported by the majority of the population.

Despite its apparent simplicity, this method is incredibly effective, because the human psyche automatically responds to the opinion of the majority, seeking to join it. However, it is important to remember that the majority must be overwhelming, and its support must be absolute and unconditional. If these conditions are met, the number of supporters of the “majority position” begins to grow gradually, but steadily and increases exponentially over time (mainly due to members of the lower social strata, who are most vulnerable to “joining influence” effect).

One of the classic ways to support the “absolute obviousness” approach is to publish the results of various surveys that demonstrate absolute social consensus on specific issues. “Black” propaganda technology does not require that these reports be in any way related to reality. A lot can be said about all these methods, because their list is huge. However, there are other important things. The method of “black” propaganda influences the audience through a deep psychological mechanism, so that the consequences of this influence cannot be eliminated by ordinary logical arguments.

Usually, this is impossible for the joining effect not to occur. However, if these conditions are met, the number of supporters of the “majority position” begins to grow gradually but steadily, and increases exponentially over time (mainly due to members of the lower social strata, who

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are most prone to the “joining effect”) (Lilleker, 2006; Popescu, 2015).

However, the information war, in which Ukraine is significantly weaker than Russia, is also important. Therefore, the following objectives are important: building the political culture of Ukrainians, influencing the public consciousness of the population by creating effective countermyths, demythologising consciousness, including the population of Eastern and Southern Ukraine, systemic rational explanations, counterarguments, even humour, and, of course, building a single state positive myth.

Demythologisation of mass consciousness is possible on the basis of the evolutionary development of national and civic worldview, strengthening critical attitudes in society, development of independent media, raising the level of education of the population, changing the philosophy of life of the average Ukrainian and state elite.

All methods of special propaganda are united by a single goal. It is to weaken the enemy’s army by introducing internal enmity, mutual hatred and distrust to each other. The result they lead to is the one they were created to achieve. However, mutual hatred and internal enmity do not arise in the enemy’s army, but in the homes and families of citizens. It seems that special propaganda works against its own population even more effectively than against enemy soldiers. Probably because the civilian population, unlike the enemy soldiers, cannot defend themselves.

Over the last ten years, there have been countless discussions on the need to adopt the Information Code of Ukraine and determine its importance for lawful settlement of problematic aspects of information security. This code should be based on the concept of national information policy.

Conclusions Modern democratic society is forced to find a balance between certain extremes. In order to protect their democratic values, centuries-old traditions and achievements in the field of human rights, European countries have to find ways to restrict freedom of speech in order to protect the foundations of a democratic political regime. In fact, the effects of information aggression far outweigh the capabilities of conventional weapons, and it encourages temporary restrictions on democracy in order to maintain democratic values in the future.

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40 In this case, temporary restrictions on democracy should be seen as a way to preserve democratic traditions in the future. Democracy can be limited only to the period of eradication of threats to its further existence. At the same time, these measures can be applied only in countries with a stable democratic system that are able to resist the abuse of power by the ruling elite. On the one hand, there is no democracy without freedom of speech, while on the other hand, there is a danger of using freedom of speech to manipulate public consciousness.

Prospects for further research involve scientific substantiation of the creation of an effective mechanism for confronting information threats in different national contexts. It is important to analyse the needs of citizens, what information they choose, from what sources, standards of their reliability, which will affect the consciousness, emotional expression, the relationship between citizens and the media. In order to withstand misinformation and manipulation spread through social networks and other communication channels in such conditions, each state needs consolidation and trust in the government. On the other hand, a large-scale rapid-response information policy with the use of modern technologies is important.

At the same time, citizens must properly filter information, think critically, analyse, pay attention to sources of information, media owners, because as awareness increases, manipulation decreases.

In addition, the possibility of imposing international sanctions in the field of information should be considered separately, namely: 1) the requirement for media companies to geocode their Internet content and encode Russian satellite TV channels; 2) a ban on European satellite/cable TV providers to provide services to media companies in countries that have not yet introduced geocoding of web content and encoding of satellite TV signals.

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Bilan, M. (2016). Ukraine declares war on journalism. The New York Times. Retrieved from https://www.nytimes.com/2016/06/01/opinion/ ukraine-declares-war-on-journalism.html.

Blank, S. (2016). Russia, hybrid war and the evolution of Europe. Second line of defense.

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https://www.president.gov.ua/documents/1332 017-21850 Desouza, K. C., Ahmad, A., Naseer, H., & Sharma, M. (2019). Weaponizing information systems for political disruption: The actor, lever, effects, and response taxonomy (ALERT). Computers & Security, 101606. https://doi.org/10.1016/j.cose.2019.101606.

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Popescu, N. (2015). Hybrid tactics: neither new, nor only Russian. ISS European Union. Retrieved from https://www.iss.europa.eu/content/hybridtactics-neither-new-nor-only-russian Qureshi, W. A. (2019). Information Warfare, international law, and the changing battlefield.

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Snegovaya, M. (2018). Russia report I. Putin’s information warfare in Ukraine. Soviet origins of Russia’s hybrid warfare. Washington, DC: Institute for the Study of War. Snyder, T. (2010). Bloodlands: Europe between Hitler and Stalin. New York: Basic Books.

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Grani, 20, 5(145), pp. 10-15.

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Atamanchuk, V., Atamanchuk, P. / Volume 10 - Issue 45: 42-51 / September, 2021

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DOI: https://doi.org/10.34069/AI/2021.45.09.4 How to Cite: Atamanchuk, V., & Atamanchuk, P. (2021). Modelling the personage’s fictional consciousness in the play by Igor Kostetskyi “The twins will meet again”. Amazonia Investiga, 10(45), 42-51. https://doi.org/10.34069/AI/2021.45.09.4

Modelling the personage’s fictional consciousness in the play by Igor Kostetskyi “The twins will meet again” Моделювання фікційної свідомості персонажа у п’єсі Ігора Костецького “Близнята ще зустрінуться” Received: July 15, 2021

Accepted: August 25, 2021

Written by: Viktoriia Atamanchuk12 https://orcid.org/0000-0002-5211-2480 Petro Atamanchuk13 https://orcid.org/0000-0002-3646-8946 Abstract

Анотація

The objective of the article is to outline the correlations between the usage of the elements of the absurdist aesthetics, different artistic paradoxes and methods of modelling the fictional consciousness of personage. The aim of research is to define internal and external dimensions of personage’s fictional consciousness construction with the help of the cognitive literary studies methodology. The methodology of cognitive literary criticism is the basis for the analysis of modelling principles, applied in the research of personage’s fictional consciousness in I. Kostetskyi’s play “The Twins Will Meet Again”. Thus, the study of the play is based on actualization of cognitive phenomena and establishing their correlations with forms of artistic reflection. The cognitive method is used to determine the theoretical foundations of the functioning of the character’s fictional consciousness in the dramatic work. The poetics of the absurd in a drama defines agglutinative forms of reflection of the personages’ fictional consciousness.

Метою статті є окреслення кореляцій між використанням елементів абсурдистської естетики, різними художніми парадоксами та методами моделювання фікційної свідомості персонажа. Завдання дослідження полягає у визначенні внутрішніх та зовнішніх вимірів побудови фікційної свідомості персонажа за допомогою методології когнітивного літературознавства. Методологія когнітивного літературознавства є основою для аналізу принципів моделювання фікційної свідомості персонажа у п’єсі І. Костецького «Близнята ще зустрінуться». Таким чином, вивчення п’єси ґрунтується на актуалізації відображених когнітивних явищ та встановленні їхніх кореляцій із формами художнього відображення. Когнітивний метод використовується для визначення теоретичних основ функціонування вигаданої свідомості персонажа у драматичному творі. Поетика абсурду в драмі визначає аглютинативні форми відображення вигаданої свідомості персонажів.

Keywords: drama, dramatic action, personage, personage’s fictional consciousness, a play.

Ключові слова: драма, драматична дія, персонаж, фікційна свідомість персонажа, п’єса.

Introduction Kostetskyi’s dramatic works, which represent a complex, multifaceted phenomenon that accumulates various stylistic features (from expressionism to surrealism), absorbs

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multidimensional artistic phenomena (paradox, absurdity), attracts the attention of many literary critics. Scholars Bila (2006), Stekh (2005) has studied the stylistic features of the writer’s

Doctor of Philological Sciences, Leading Researcher, National Centre “Junior Academy of Sciences of Ukraine”, Ukraine.

Doctor of Pedagogical Sciences, Professor, Kamyanets-Podilsky Ivan Ohienko National University, Ukraine.

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drama; Barabash (2018), Zaleska Onyshkevych (1997) has analyzed his work in the context of modernism; Batsevich (2017), Kovaliv (2010), Lyubenko (2005), Matvienko (2001) has identified the experimental levels in the playwright’s work, etc. The artistic complexity of I. Kostetskyi’s dramatic works creates preconditions for multifaceted interpretations, the relevant means of synthesis of which are cognitive literary methods.

A playwright’s dramaturgy represents the comprehension of new art forms that contribute to the semantic and artistic complication of plays, the transformation of their content, the rethinking of the role and significance of the structural components of drama. O. Lyubenko notes the role of I. Kostetskyi in the creation of artistic innovations in Ukrainian drama: “The emergence of a real experimental Ukrainian drama was due to I. Kostetskyi…” (Lyubenko, 2005: 36). The writer identified the horizons of the development of Ukrainian drama in the new ideological and artistic coordinates. For example, it is difficult to imagine the developments of contemporary Ukrainian drama, which is the object Virchenko and Kozlov’s (2021) research without the I. Kostetskyi’s achievements in the sphere of drama.

The artistic multidimensionality and innovation of the writer’s dramatic works provide grounds for outlining various stylistic parameters.

I. Kostetskyi’s dramaturgy appears as a complex artistic phenomenon that provides various possibilities for interpretation. In dramatic works, the writer uses elements of the theater of the absurd (breaking the logical, structural connections at different levels of the structure of dramatic works); surrealism (eclectically combining disproportionate qualities, processes, events, etc.).

Stylistic features that contribute to the strengthening of artistic conventionality, significantly affect the forms of modelling the personage’s fictional consciousness in the dramatic works of the writer. Fictional consciousness defines the artistic space of a playwright’s plays in which the action takes place, embracing the perceptions of different personages, forming variable and multiple focalizations. Fictional consciousness appears as a way of switching between different states, spaces, forming a whole entity of disparate fragments, connecting them in complex artistic combinations, which ultimately leads to the formation of a single artistic meaning generated

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by different interactions of diverse artistic and structural correlations.

The aim of the study is to determine the correlations between the use of artistic paradoxes and methods of modelling the fictional consciousness of personage, in particular to outline the internal and external dimensions of constructing fictional consciousness of characters using the methodology of cognitive literary studies. Cognitive literary studies cover a significant number of theories (cognitive narratology, cognitive rhetoric, cognitive poetics, conceptual integration, etc.), each of which is characterized by the study of certain cognitive parameters, which are transposed to specific literary problems, such as modelling of personage’s fictional consciousness.

Theoretical Framework T. Cave’s scientific work outlines the principles of cognitive research of literary works. The researcher notes that literature can reflect such cognitive activities as emotions, imagination, nonverbal reactions, interaction with other people and the world in general (Cave, 2016).

The scientist emphasizes the need to form an interdisciplinary paradigm of literary cognitive studies. An important aspect of the study, the researcher considers “the way human cognition works – its capacities, its constraints, its deficits” (Cave, 2016: ix), because the scientist perceives fiction as a “product of human cognition” (Cave, 2016: ix), which “illustrates its functioning at an especially complex level” (Cave, 2016: ix). In T. Cave’s concept, fiction appears as an artistically transformed space, the elements of which are correlated by cognitive processes in the form of mental construction, imagination, perception, communication, and so on.

The researcher’s ideas form the basis for the analysis of various plans of the artistic depiction in a literary work on the basis of a cognitive approach, which includes ways of reflecting cognitive processes in fiction; artistic means used to reproduce the cognitive activity of the heroes of the literary work; the cognitive processes that appear in the form of the results of multilevel modelling, due to the interaction of the intentions of the author, who encodes, and the reader, who decodes, the artistic information embodied in the text. The theory of T. Cave structures the main principles of the cognitive approach to literary analysis, which emphasizes the intratextual dimensions of works of fiction from a cognitive perspective.

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44 Many theoretical developments in cognitive literary studies have been made in the field of cognitive narratology. The object of scientific works in cognitive narratology of L. Herman, B. Verwick (2001), D. Cohn (1978), A. Palmer (2004), B. Richardson (2007), M. Fludernik (2005) and others were the prose works, but the theoretical generalizations made by them are relevant for trans-generic research. The inclusion of drama in the field of narratology allowed literary critics to extrapolate the theoretical achievements of cognitive narratology to the study of dramatic works.

M. Fludernik’s scientific work “Towards ‘Natural’ Narratology” is devoted to substantiating the expediency of studying drama with the help of narratological methodology. The researcher formulates a new definition of narrative “in terms of cognitive (“natural”) parameters” (Fludernik, 2005: ix). She views narrativity as “experientiality, namely by the quasi-mimetic evocation of ‘real life experience’” (Fludernik, 2005: 9). The author explains the term experientiality: Experientiality can be aligned with actantial frames, but it also correlates with the evocation of consciousness or with the representation of a speaker role. Experientiality, as everything else in the narrative, reflects a cognitive schema of embodiedness that relates to human existence and human concerns. (Fludernik, 2005: 9).

The researcher outlines various forms of narrative, but emphasizes the similarity of the reflection the processes of consciousness in different types of verbal, theatrical, dramatic and cinematic art. She defines the universal cognitive mechanisms that function in works of art, regardless their genre affiliation. M. Fludernik states that film and drama are narratives, to which the same system of cognitive parameters is applied, and they depend on the same frames of perception as prose texts (Fludernik, 2005).

Important theoretical observations that testify the relevance of the narratological studies of drama are performed in the work of Nunning, Sommer (2008) “Diegetic and Mimetic Narrative: Some Further Steps towards a Transgeneric Narratology of Drama”. Scholars point to “dramatic narratives that imitate language and action (mimesis)” (Nunning, Sommer, 2008: 337). Researchers distinguish dramatic and epic narratives, while identifying universal theoretical aspects for the formation of narrative approaches to the study of drama, as they consider the dramatic text in the form of reproduced

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statements and actions of the characters as one of the types of narratives.

Scientific works devoted to the study of narratology of drama indicate the formation of trans-generic dimensions of research, which contributes to the adaptation of the achievements of cognitive narratology to the analysis of drama and at the same time contributes to the creation of universal narratological instruments. The scientists substantiate expediency of narratological research of drama by considering the concept of “experientiality”, by studying the narrative elements embodied in the plot of the drama, although in general the narrative is not a characteristic feature of the drama; by analyzing the vicissitudes, actions of the characters in dramatic works, which embody certain stories; by research of features of creation the images of characters; by study of temporal and spatial features, by formation of causal relationships and possible models of further development. Also scientific works, among which are Fludernik (2005) “Narrative and Drama”, Sommer (2010) “Drama and Narrative”, Hunn and Sommer (2014) “Narration in Poetry and Drama”, Richardson (2007) “Drama and Narrative”, etc., outline the interference phenomena that can be traced at the level of drama theory and transgeneric theory.

As has been mentioned above, the relevant scientific studies in cognitive narratology, with the prose works as the object of study, play an important role in the learning the problem of the personages’ fictional consciousness reflection in dramatic works. The analysis of these researches’ works gives the chance to define the general and specific principles of the analysis the construction of personages’ fictional consciousness in literary works. In this context, the scientific work of Palmer (2004) is important, because the theoretical generalizations of the researcher are relevant for the formation of methodological parameters for studying the ways and means of representing the personages’ consciousness in fiction. The theoretical foundations of fictional consciousness construction, defined by the researcher, become the basis for specification of general scientific principles that are acceptable for the analysis of drama.

The following theoretical positions of Palmer (2004) are important for studying the process of modelling the personage’s fictional consciousness in drama: consideration of fictional consciousness as the main element of literary theory; determination of the fictional

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consciousness of the hero through individual and social manifestations, delineation of levels and ways of their interaction; classification of types, means, methods, construction of the hero’s consciousness (linguistic expression, ways of focalization, character creation, originality of the plot organization, methodological comprehension of the theory of possible worlds, the theory of reader’s reception, etc.); study of the fictional consciousness of the character through the analysis of his statements, actions and deeds. The problem of intersubjective interaction, which, according to Palmer, occurs at the level of characters’consciousness, forms particular vectors for the study of dramatic conflict.

The article of Richardson (2007) “Fictional Minds: Natural and Unnatural” contains important theoretical observations regarding the nature and various interpretations of the concept of consciousness in fiction. The researcher determines the external approach to the analysis of consciousness manifestations, pointing to its limitations. He distinguishes fiction and nonfiction on the basis of the ability to reproduce internal processes in the minds of others. From the standpoint of studying the uniqueness of fictional consciousness modelling in drama, Richardson’s statements about the artistic reflection of internal processes occurring in the minds of characters through the reproduction of various mental and emotional states are important. The scientist formulates the general methodological principles of the fictional consciousness functioning: the representativeness of the reproduction and study of consciousness in fiction, the creation of the consciousness of the characters through interiorization.

The comprehension of important elements of cognitive structures is carried out in the work of Turner (1996) “The Literary Mind”. The author considers ways to build mental structures as important components of the consciousness functioning through the formation of abstract models, the study of their components and ways of their interaction. The researcher outlines the theoretical foundations of the various mental constructions formation. His theoretical generalizations determine the consideration of literary texts as a form of functioning of the author’s consciousness, express patterns, principles, mechanisms of creation of mental and figurative constructions in consciousness, their semantic content, artistic implications, their functioning as structures of consciousness.

Methodological principles and theoretical

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conclusions of the scientist are important for the study of fictional consciousness of the character, as it determines the similarity of the processes of real thinking and thinking realized in the literary text, in terms of interiorization. Ways of forming schemes, creating projections, originality of organization, functioning, interaction of mental spaces, which the author of the work investigates, form an important theoretical principles of the fictional consciousness studying. The main principles of meaning creation and its various embodiment, which are considered by Turner, are necessary components of the analysis of the consciousness of the hero, constructed in the literary text.

In the context of cognitive literature, mentioned researchers pay attention to: the reproduction of internal processes in the minds of the characters through the use of internal speech and the reflection of possible states of the characters through the external manifestations; study of the principles of various interactions of characters in literary works, which are determined by the states of their consciousness, and at the same time determine these states; research of artistic texts, understood as two-way processes of creation of artistic reality and expression of consciousness, from the standpoint of their reception; formation of various figurative schemes as ways of creating mental projections that structure the space of a literary work; analysis of ways to build mental spaces.

Theoretical positions formulated by scientists create a basis for outlining the methodological principles of studying the forms, means, methods of modelling the fictional consciousness of the character in drama.

Methodology The research is based on theoretical principles that cover the correlations between real and fictional consciousness; structural dimensions of character consciousness modelling; artistic and semantic dimensions of modelling the fictional consciousness of the personage. The study of the problem of modelling the personage’s fictional consciousness is carried out on the basis of the following theoretical principles: the consciousness of the personage is constructed by taking into account the fundamental patterns of the consciousness functioning; these patterns are modified in accordance with the peculiarities of the embodiment of the fictional consciousness of the personage within the artistic reality; correlations of the personage’s fictional consciousness and the consciousness of the author are determined by the basic schemes of

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46 functioning of the personage’s consciousness, which are created by the author; the fictional consciousness of the personage is created by multilevel artistic virtualization, which is determined by the boundaries of fictional reality, formed as a result of the action of the author’s consciousness.

The analysis of the problems of modelling the personage’s fictional consciousness in I. Kostetskyi’s play “The Twins Will Meet Again” is carried out by using the methodology of cognitive literary criticism, which determines the study of literary works based on actualization of cognitive phenomena and establishing their correlation with forms of artistic reflection. The cognitive method is used to determine the theoretical foundations of the functioning of the personage’s fictional consciousness in the dramatic work. The study is based on the definition of fictional consciousness: Fictional consciousness of the personage appears in the form of the constructed by the author ability of the hero to realize internal and external realities in complexes and systems of their correlations, which determine the identification and the personage’s actions within the fictional world. (Atamanchuk, 2020: 115).

connections. The principles of different focalization of fictional consciousness embodied in the drama “The Twins Will Meet Again” by Kostetskyi (1963), which has the author’s definition of the play in masks.

The constant use of masks in the dramatic work creates the effect of multidimensional projections, the meanings of which are revealed through the alternate concentration of attention on various aspects, which ultimately form a single integrity in which the initial information presented to actors and viewers is gradually refined with the development of action and significantly changes in the finale of the play.

The composition of the dramatic work has rhizomorphic characteristics. A prologue performs an important role in the play, in prologue the manager of the ball gives an explanation of the peculiarities of the perception of disparate episodes in the drama, eclectically combined multilevel fragments of the literary work. This character explains the hidden essence of theatrical processes, as well as possible variants of their interpretation, drawing clear parallels with the phenomena of fictional consciousness of individual characters and with the principles of organization of dramatic action in the play.

Results and Discussion I. Kostetskyi’s artistic experiments with form (transformation of the essence of structural elements in plays, rethinking the role and significance of structural connections between constituent parts of literary works at different levels, etc.) and content (building new structural and semantic relations from the standpoint of destruction of logical patterns, eclectic combination of multidimensional events, processes, characteristics, etc.). Artistic conventionality, which becomes a fundamental factor in constructing a fictional world in a writer’s plays, determines the ways in which the protagonists’ fictional consciousness is modelled.

Fictional consciousness determines the space of dramatic action in the dramatic works of the writer, including the perception of characters, which creates different ways of focusing on the perception of fictional reality. In I. Kostetskyi’s plays, fictional consciousness serves as a means of switching between many spaces, phenomena, and internal states, combining the perception of individual parts into an integrity by demonstrating complex artistic and semantic combinations and their structural and semantic

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Lysenko, Kovaliov emphasize the originality of the composition of the play. Literary critics note: “The external frame of the play The Twins will Meet Again, its structural construction has no analogy with the previous Ukrainian dramatic tradition” (Lysenko & Kovaliov, 2016: 179). The compositional arrangement of parts of the literary work contributes to the maximum expression of such processes of fictional consciousness as instantaneous or gradual transitions between different mental spaces, which reflect different aspects of definite phenomena depending on the chosen angle.

The prologue determines the whole tonality of the dramatic work and provides hints on the appropriate reception of the whole action, which will unfold both in front of the characters and the audience. One of the important guidelines for the further development of events is the instruction of the ball manager on the final loss of semantic marks in the theater, which is also perceived as a way of worldview, due to the comprehension of all possible forms of its representation.

Beginning with the prologue, the playwright combines the many dimensions of artistic reflection, blurring as much as possible the

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boundaries between reality, fictional reality and fictional consciousness.

The ball manager acts as a figure, through the perception of which the play is incorporated as a real literary phenomenon into the artistic scope of the same play, while transforming the author himself into its character. The writer uses the techniques of a play with meanings to emphasize the role of the author-character, which is formed through the perception of the ball manager, which no longer takes an active part in the development of action, but creates a basis for self-organization and self-movement of dramatic action.

The fictional consciousness in the play appears in the form of a perception space, which functions in certain conditions on the basis of certain principles, according to which any processes comprehended by the fictional consciousness are transformed in the process of their comprehension. The playwright absolutizes the perception of the characters and reproduces the different ways of interpreting the fragments of fictional reality that they contemplate, while emphasizing the integrity of the space of their existence. The author creates the effect of multidimensional inclusion of some structures, processes, planes in other patterns by forming a complex network of multilevel connections between them, namely by specific organization of dramatic action with different temporal characteristics and a specific kind of constructed causal order; as well as through numerous semantic dimensions of the text of the play.

In this context, Lotman’s statement is relevant: “Switching from one system of semiotic awareness of the text to another on some internal structural boundary becomes in this case the basis for generating meaning” (Lotman, 2001: 589). The playwright constructs the artistic space of the work in such a way that the ambiguous semantic parameters that are formed and simultaneously comprehended by the fictional consciousness of the characters are simultaneously, but with varying degrees of explicitness, shown to the spectators as participants in the dramatic action.

The paradoxical implications of the prologue are determined by the reflection of the complex relationship between the author and the play created by him, which includes the depiction of the author himself as a character in his literary work, performing a cameo role; demonstration of the alienation of the dramatic work from the playwright and its subsequent functioning and

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transformation in a new virtual environment; reproduction of the relatively real interaction of the author with the dramatic actors involved in the play, which is an element of the architectonics of the literary work; reproduction of actors’ demonstrative comments about the play addressed to the author; showing the nonlinearity and deliberate disorder of parts of the play. The artistic techniques used by I. Kostetskyi, which increase the paradoxical nature of the dramatic depiction, at the same time emphasize the fragmentation and multiple focalization of the characters’ fictional consciousness, owing to which a confusing multicomponent virtualized integrity is eventually formed.

The prologue combines the following parts of the play, providing the necessary integrated perception of the fragmented segments of the play. The writer represents the fictional world through the prism of characters’ perception – the reactions of the protagonists become catalysts for the disclosure of hidden meanings, which confirms the thesis of Tarnashinska: “A new meaning is supposedly a stranger out of nowhere” (Tarnashinska, 2008: 5). The playwright paradoxically combines fragments of the characters’ dialogues by breaking down logical connections and then replacing them with semantic relations based on specific absurdist patterns. The whole dramatic action is interspersed with fragments of conversations of five couples of characters, which reproduce their mood and experience (fear, expectations, admiration), that determines the general atmosphere of the play.

I. Kostetskyi forms a kind of theatrical simulation, in which he synthesizes the real and the imaginary things and processes in the form of a masquerade, one-level and multilevel theatrical play, forming a complex artistic concept determined by multifaceted artistic and semantic relations, interrelations. The writer emphasizes the correlations of the real and the imaginary planes: various imaginary representations are demonstrated as manifestations of the reality in the play, and imaginary forms create the appearance of reality for the characters involved in the theatrical production. In theatrical simulation, with the help of a play, pretense, disguise, which paradoxically hide (until a certain point in the development of dramatic action and the course of dramatic conflict) and reveal (during turning and unexpected episodes in the development of dramatic action) various aspects of virtualized perception of characters and spectators, a complex hierarchy of numerous

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48 dimensions of the artistic depiction with different degrees of semantic diffusion is defined. Masks are used to create the appearance of certain situations, events, etc., as well as to conceal the real phenomena, which determines the new parameters of the dramatic action and the inner experiences of the characters.

The compositional order of the play is determined by the prologue, three dramatic parts and two interludes, which contributes to the complexity of artistic and semantic implications by forming different levels of perception, as the prologue, dramatic parts, interludes perform different functions from the standpoint of multilevel artistic conventionality. The writer combines individual dramatic episodes with interludes, presented in voluminous explanations by the ball manager, who is a participant of the dramatic action, but at the same time he distinguishes himself as an outside observer. In the play, this character plays the important role of a commentator, who observes and evaluates the events that unfold before him, and, if necessary, intervenes in the course of events.

Batsevich notes: “The author largely shows such traditional formal and semantic elements of drama as prologue and interlude from unusual point of veiw” (Batsevich, 2017: 24–25).

Paradoxical depiction is determined by the roles of the ball manager, who transforms from a play’s character into a fragment of the play’s structure. Such projections of the image of the character at different levels of the artistic structure of the literary work form diverse semantic variations – from the alternate dominance of different incarnations of the character to their one-moment paradoxical combination.

The functions of the prologue and interludes are determined by the interpretation of the text of the three phenomena of the play, which creates a prognostic effect in the interpretations of the actors’ roles in the play and the artistic meanings they perform in their acting. The writer accumulates artistic paradoxes by reflecting excessive contradictions in the comments of the ball manager, who denies what he has said, distorts its meaning, consciously makes mistakes, provokes and incites actors to certain actions, presents hypertrophied emotional characteristics that significantly affect the perception of a play.

The ball manager forms new meanings by changing the essence of the play with a message about the actor playing the roles of both twins,

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and mixing the stage space, which is characterized by complicated theatrical conventions, and the off-stage space. The characters demonstrate the ambivalence of fictional consciousness, which has different manifestations: the actors are simultaneously at different levels of artistic reflection in the theatrical production; actors move between different levels of artistic conventionality and / or combine them, which creates new dimensions of perception. The problem of duality, to which the author attaches system-forming significance, maximally intensifies the uncertainty and ambiguity of those processes and situations in which the actors participate. The playwright correlates the phenomenon of duality with the formation of opposite mental spaces in the fictional consciousness, which later acquire a materialized form.

In I. Kostetskyi’s play the phenomenon of duality is also based on semantic diffusion, as twin brothers are not only the bearers of opposite character traits, but at the same time they try on uncharacteristic for them roles, which partially blurs the contours of their determined identification and at the same time promotes the expression of moral principles, on the basis of which their differentiation takes place. The playwright constructs the phenomenon of duality by gradual convergence from ignorance to gradual recognition, which includes the meeting of twins for the first time, their subsequent substitution, the subsequent disclosure of their family ties, divergence of their paths and anticipation of the following meeting. The process of substituting twin characters plays an important role in the dramatic work, as it reveals significant contradictions in the fictional consciousness of other characters, which are formed as a result of complex internal experiences and chaotic vicissitudes.

The playwright emphasizes different planes of the depiction in the play – for the audience and the characters. In the prologue, the ball manager informs the spectators about the twins and their replacement. Instead, the characters gradually learn about the main intrigue during the development of the action in manifestation of three parts of the play. The highlight of this intrigue is the colonel’s phantasmagoric story about the twins, who turn out to be his sons from different mothers, which the author breaks into fragments and places them in the first (before the twins are replaced) and third (after revealing all the secrets) parts, which forms a single plot axis of all bizarre and intricate collisions.

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The image of Sviatoslav Togobochnyi is the unifying center in the first part, around which constantly changing events are structured. The conversation between the colonel and Teresa ends with a story about this character and his next appearance; then there are dialogues of Sviatoslav with his father and Teresa, which are interspersed with fragmentary dialogues of five couples of actors, who also talk about this character. In the conversation between Sviatoslav and Teresa, attention is focused on the differences in the course of events, as the actors show different degrees of emotional involvement.

The dialogue is conventionally divided into two segments, according to the roles that both characters play in it. In the first segment of the dialogue the dominance of Teresa is shown; she informs Sviatoslav about her hypertrophied feelings for him, and his reactions are mechanical; in the second segment of the dialogue, the main role is played by Sviatoslav, whose statements directly or indirectly deny Teresa’s fantasies or have no points of intersection with her picture of the world. The conversation of the characters, each of which is in its airtight interior space, indirectly activates the disclosure of the mystery on which the development of the whole dramatic action is based. Teresa notices a radical change in the worldview of Sviatoslav, which is a kind of hint of the character replacement, but her observations are non-essential to the exalted feelings of the heroine.

The dramatic work represents various aspects of the phenomenon of camouflage. Partial disclosure of information causes the further accumulation of contradictions. By removing the mask, Sviatoslav even more complicates the dramatic situation. At the same time, the author demonstrates correlations between the phenomena of masking and duality. If camouflage allows a character to hide his personality or some of its facets, to test someone, to learn certain secrets, etc., then the duality is determined by the simultaneous coexistence of opposite intentions of one character or different twin characters. For example, the colonel views duality as the result of an over-absolutization of Sviatoslav’s ideas, and Teresa indirectly demonstrates his duality by commenting on Sviatoslav’s new ideas, which he did not actually express. The concept of duality is mirrored in the concept of bifurcation, as new ideas voiced by the twin brother, form a completely different image of Sviatoslav.

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The writer presents different angles of two reflections of one situation in the conversations of four characters, namely, Sviatoslav Togobochnyi and Peter Togobochnyi, Sviatoslav Tuteshnyi and Peter Tuteshnyi, who symmetrically reflect ideological opposites, with the help of absurdist aesthetics. At the same time, in the play the absurd acquires conceptual significance, as it determines the features of modelling the personages’ fictional consciousness, which covers the whole process of characters’ perception, as well as the process of their self-representation, formation and expression of judgments. External conflicts are also built on the principles of the absurdist aesthetics: Sviatoslav Tuteshnyi, a ruthless underground activist, organizes his substitution to test his bride; he inadvertently, at the moment of disguise, gives his ideological opponent and double Sviatoslav Togobochnyi an explosive device, and then tries to find this device during a masquerade ball.

Pavi determines the semantic content of the process of disguise in the drama, which serves as a means of revealing certain aspects of the depicted phenomenon through comparison. The researcher states: “The ideological and dramatic functions of disguise are extremely diverse, although they usually lead to thoughts about the reality and obviousness (Marivo), human identity (Pirandello, Genet), the display of truth” (Pavi, 2006: 243). At the same time, the apotheosis of the absurd in I. Kostetskyi’s play is the episode that is the result of the intervention of the ball manager in the development of the action, in which the characters foolishly throw a jacket with an explosive device.

The absurdity in modelling the personage’s fictional consciousness can be clearly seen in the example of Teresa. The heroine tries to combine the opposite ideological postulates of both Sviatoslavs, perceiving them as one person. She tries to rationalize her own feelings, as a result of which she comes to the conclusion that it is expedient to give up herself. The author constructs the fictional consciousness of the heroine by depicting absurd concepts: Teresa expresses her readiness to go through moral deformations for the sake of Sviatoslav, who in fact turns out to be a completely different person with different ideological beliefs. In the process of rationalization, the heroine justifies her own absurd ideas, which are formed under the influence of Sviatoslav’s provocations and her own painful fantasies.

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50 Conclusions Modelling the personage’s fictional consciousness in the play by I. Kostetsky “The Twins will Meet Again” is carried out at different levels of the artistic structure of the dramatic work, which provides multidimensionality of both depicted processes and phenomena, and the concept of fictional consciousness itself, which appears as a space of perception with multifocal projections. The playwright emphasizes the relativity of the depiction with the help of artistic paradoxes, elements of the absurdist aesthetics, surreal components that blur the boundaries between fictional consciousness (personages, spectators) and the fictional world (stage, offstage).

The author transforms the various plans of artistic reality by mixing them, their interactions and transitions, as a result of which the personages’ fictional consciousness becomes the space that covers the levels of artistic reflection and provides switching between them. The play identifies agglutinative forms of fictional consciousness, involving the combination of the realities of different personages and the formation of their hybrid configurations, which include a combination of realities of different personages / actors and their artificial interpenetration, which generates unpredictable irrational meanings; a combination of heterogeneous parts of dramatic action, which form a multifaceted correlations with the artistic integrity; constructing a complex dramatic conflict in which chaotic combinations of disparate components in the process of their numerous combinations are combined into a multilayered unity.

The sphere of fictional consciousness of the personage, which focuses on the projections of internal and external realities, that are shown from unexpected and unusual angles, becomes a space of dramatic action and performs the action in this space, which is fragmented into different versions of personages’ fictional consciousness and forms an interference field, defining a new essential artistic integrity.

Bibliographic references Atamanchuk, V. P. (2020). Modelling of personage’s fictional consciousness in Ukrainian drama of the 20–50s of the XX century. (Doctoral thesis). Taras Shevchenko National University of Kyiv, Kyiv. Retrieved from

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http://scc.univ.kiev.ua/abstracts/?PAGEN_1 =12 Barabash, Yu. (2018). Enfant terrible, or “Alien” among the majority (Igor Kostetskyi. On the way to the Ukrainian pattern of modernism).

Word and Time, 9, 18–32. Available at http://dspace.nbuv.gov.ua/handle/123456789 /166544 Batsevich, F. (2017). Techniques of surprising depiction of a dramatic work (based on the play by Igor Kostetsky “The Twins Will Meet Again”). Studia Ucrainica Varsoviensia, 5, 15–26.

Available at http://cejsh.icm.edu.pl/cejsh/element/bwmet a1.element.ceon.element-28d72b24-02083c57-8f00-b8eb45380a1c Bila, A. (2006). Ukrainian literary avant-garde: searches, stylistic directions: monograph.

Kyiv: Smoloskyp.

Cave, T. (2016). Thinking with Literature.

Towards a Cognitive Criticism. New York: Oxford University Press.

Cohn, D. (1978). Transparent Mind. Narrative Modes for Presenting Consciousness in Fiction. Princeton, New Jersey: Princeton University Press.

Fludernik, M. (2005). Towards a ‘Natural’ Narratology. London; New York: Taylor & Francis e-Library.

Herman, L., & Vervaeck, B. (2001). Handbook of Narrative Analysis. Linkoln; London: University of Nebraska Press.

Hunn, P., & Sommer, R. (2014). Narration in Poetry and Drama. Peter Hunn, Jan Christoph Meister, John Pier, Wolf Schmid (Eds.).

Handbook of Narratology, 2nd edition.

Berlin; Boston: Walter de Gruyter, 1, 419– 434.

Kostetskyi, I. (1963). Theater in front of your doorstep. Munich: On the Mountain.

Available at http://irbisnbuv.gov.ua/ulib/item/0001755 Kovaliv, Yu. (2010). Experimental surprising depiction of I. Kostetskyi. Literary Studies, 29, 191–201.

Available at http://www.library.univ.kiev.ua/ukr/host/viki ng/db/ftp/univ/ls/ls_2017_51.pdf Lotman, Yu. (2001). Text in the text. Maria Zubrytska (Ed.). Anthology of world literary criticism of the XX century. 2nd edition (p. 581–595). Lviv: Litopys.

Lysenko, N. V., & Kovaliov, R. D. (2016). “The art to love” in the works of modernist writers of AUM. Young Scientist. Philological sciences, 10 (37), 178–181. Available at http://molodyvcheny.in.ua/files/journal/2016 /10/41.pdf Lyubenko, O. (2005). Experiment in Ukrainian drama: the phenomenon of Igor Kostetskyi.

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Word and Time, 6, 32–41. Available at http://dspace.nbuv.gov.ua/handle/123456789 /171747 Matvienko, S. (2001). Experiment with language. Interpretation of the works of Igor Kostetskyi. Courier of Kryvbas, 145, 167– 183.

Available at http://lab.chass.utoronto.ca/rescentre/slavic/ ukr/1412/Matvienko-Ekperyment.pdf Nunning, A., & Sommer, R. (2008). Diegetic and Mimetic Narrativity: Some Further Steps towards a Transgeneric Narratology of Drama. John Pier, Jose Angel Garcia Landa (Eds). Theorizing Narrativity. Berlin; New York: Walter de Gruyter.

Palmer, A. (2004). Fictional Minds. Lincoln and London: University of Nebraska Press.

Pavi, P. (2006). Dictionary of Theater. Lviv: Ivan Franko National University. Available at https://shron1.chtyvo.org.ua/Pavis_Patrice/S lovnyk_teatru.pdf Richardson, B. (2007). Drama and Narrative.

Herman D. (Ed.). The Cambridge Companion to Narrative. New York; Cambridge: Cambridge University Press.

Available at https://www.worldcat.org/title/cambridgecompanion-to-narrative/oclc/76794778 Sommer, R. (2010). Drama and Narrative. David Herman, Manfred Jan & Marie-Laure Ryan

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(Eds). Routledge Encyclopedia of Narrative Theory. London; New York: Taylor & Francis e-Library, 119–124. Available at https://salahlibrary.files.wordpress.com/201 8/03/routledge-encyclopedia-of-narrativetheory.pdf Stekh, M. R. (2005). Search. Kostetsky I. The whole world belongs to you. Selected works (p. 7–19). Kyiv: Krytyka. Available at https://shron1.chtyvo.org.ua/Kostetskyi_Ihor /Tobi_nalezhyt_tsilyi_svit_zbirka.pdf?

Tarnashinska, L. (2008). Presumption of expediency. The outline of the modern literary conceptology. Kyiv: Publishing House “Kyiv-Mohyla Academy”. ISBN 978966-518-463-8 Turner, M. (1996). The Literary Mind: The Origin of Thought and Language. New York; Oxford: Oxford University Press. ISBN 0195-12667-X Virchenko, T., & Kozlov, R. (2021). Ukrainian Intellectual Drama of the 2000s. Amazonia Investiga, 10 (38), 39–50, https://amazoniainvestiga.info/index.php/am azonia/article/view/1541 Zaleska Onyshkevych, L. (1997). Dramaturgy of the Ukrainian Diaspora. The twins will meet again. Anthology of drama of the Ukrainian diaspora (p. 9–32). Kyiv–Lviv: Chas Publishing House. ISBN 966-7007-04-9

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Marysyuk, K.B., Komnatnyi, S.O., Grygor`yeva, V.V., Prystai, T.M., Mital, O.H. / Volume 10 - Issue 45: 52-62 / September, 2021

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DOI: https://doi.org/10.34069/AI/2021.45.09.5 How to Cite: Marysyuk, K.B., Komnatnyi, S.O., Grygor`yeva, V.V., Prystai, T.M., & Mital, O.H. (2021). Public-private partnership as a new form of social responsibility and a mechanism of decentralization of public administration. Amazonia Investiga, 10(45), 52-62. https://doi.org/10.34069/AI/2021.45.09.5

Public-private partnership as a new form of social responsibility and a mechanism of decentralization of public administration Державно-партнерські відносини як нова форма соціальної відповідальності та механізм децентралізації державного управління Received: August 17, 2021

Accepted: September 25, 2021

Written by: Kostyantyn B. Marysyuk14 https://orcid.org/0000-0002-7483-3836 Serhii O. Komnatnyi15 https://orcid.org/0000-0002-2124-2047 Viktoriya V. Grygor`yeva16 https://orcid.org/0000-0002-4997-803X Tatiana M. Prystai17 https://orcid.org/0000-0001-6180-2785 Olena H. Mital18 https://orcid.org/0000-0002-4101-3081 Abstract

Анотація

The need to attract resources to socially significant infrastructure facilities, decentralize authority, market orientation of public services, efficiency and competition requires the search for a combination of opportunities for cooperation between the public and private sectors. A public-private partnership has become one of the modern approaches to the implementation of socially important projects.

The study identified the degree of impact of the partnership between the state and business, as a mechanism of decentralization of public administration, on the factors of social responsibility. The methodological approach involved the analysis of the existing research on social responsibility of public-private partnership by identifying and comparing key factors of social responsibility; determination of variables that describe them, and conducting econometric analysis of established variables. It is proved that in addition to overcoming the budget deficit, contributing to economic performance, public-

Потреби в залученні ресурсів у соціально важливі інфраструктурні об’єкти, децентралізації функцій управління, ринковій орієнтації публічних служб, результативності та конкуренції вимагає пошуку поєднання можливостей співпраці державного та приватного сектору. Одним із сучасних підходів до реалізації соціально важливих проектів стало державно-приватне партнерство. У дослідженні було визначено ступінь впливу партнерства держави та бізнесу, як механізму децентралізації державного управління, на фактори соціальної відповідальності. В якості методологічного підходу використано аналіз змісту існуючих досліджень соціальної відповідальності державно-приватного партнерства шляхом виявлення та порівняння ключових чинників соціальної відповідальності; визначення змінних, які їх характеризують, та проведення економетричного аналізу встановлених змінних величин. Доведено, що крім подолання дефіциту бюджету, створення економічних

14

Doctor of Law, Professor at the Department of Criminal Law and Procedure, Institute of Jurisprudence, Psychology and Innovative Education, Lviv Polytechnic National University, Lviv, Ukraine.

15 PhD in Pedagogy, Senior Lecturer of Department of Civil Law Disciplines, National Academy of Internal Affairs, Kyiv, Ukraine.

16 PhD in Law, Associate Professor at the Donetsk State University of Management, Department of Special Law Disciplines, Faculty of Law and Public Administration, Donetsk State University of Management, Mariupol, Ukraine.

17 PhD in Law, Associate Professor at the Department of State Legal and Branch Legal Disciplines, Kyiv University of Law of NAS of Ukraine, Kyiv, Ukraine.

18 PhD in Economy, Associate Professor at the Department of Hospitality Industry and Sustainable Development, V.I. Vernadsky Taurida National University, Kyiv, Ukraine.

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private partnership involves social responsibility.

The activity of public-private partnerships (private investment in infrastructure projects) is found to have impact on innovation, the environment, health care, the rule of law, and unemployment rates. There is a need to conduct further research with an expanded number of countries and factors that describe social responsibility of public-private partnership.

Keywords: decentralization of authority, publicprivate partnership, social responsibility, state.

результатів діяльності, державно-приватне партнерство може нести соціальну відповідальність. Виявлено, що результати діяльності державно-приватного партнерства (приватні інвестиції в інфраструктурні проєкти) мають певний вплив на інновації, екологію, охорону здоров’я, показники верховенства закону, зниження безробіття. В подальшому є необхідність проведення досліджень з розширеною кількістю країн та чинників, які характеризують соціальну відповідальність державно-приватного партнерства. Ключові слова: децентралізація управління, державно-приватне партнерство, соціальна відповідальність, держава.

Introduction The aim of the system of public administration is to influence public relations within its functional capabilities. Society development entails new needs, requirements, values aimed at improving the standard of living and its quality, improving the indicators associated with human life.

Reforms in the public administration system are based on the processes of defining goals, organization, changes in the structure of society, combining the possibilities of public and private property. Such mechanisms enhance joint activities, increase efficiency, and provide the necessary results for society.

Public administration relies on law enforcement that allows implementing public issues, achieve social goals and joint decision-making within the authority of public institutions and disposal of public property. In recent decades, public administration has found innovative approaches to strengthening its capabilities. One of these areas is the decentralization of public administration. State resources are not enough to solve an increasing number of social problems.

As a result, hybrid forms of governance are emerging that allow delegating some of the state’s functions to those who can perform them more effectively, namely — the private owner.

The aim of this study is to determine the degree of influence of the partnership between government and business, as a mechanism of decentralization of public administration, on the factors of social responsibility. The study is to identify the features of public-private partnership as a mechanism for decentralization of public administration; analyse the definition of “social responsibility”; identify factors of social responsibility of PPP projects using existing approaches and research; determine the degree of dependence between private investment in PPP

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projects and the factors of social responsibility that have been established before.

Literary review The concepts of the New Public Management became the ideas of this approach, which is based on minimizing the role of the state, decentralization of management functions, market orientation of public services, contracting, efficiency, competition. The new public management promoted public-private partnerships (PPPs) as a tool that combines the best benefits of public and private sectors in providing infrastructure, thereby reducing the financial burden on the state and achieving efficiency in project implementation. Under the New Public Management paradigm, the rule of law, capacity and trust create an institutional environment for the development of PPP projects (Casady, Eriksson, Levitt & Scott, 2019).

Public-private partnership is seen as “a long-term contract between a private party and public authorities for the provision of public property or services, in which the private party bears significant risk and responsibility for management, and the reward is performancebased” (World Bank, 2019). PPPs are essentially a collaboration between public and private actors for mutual benefit (Sheppard & Beck, 2016).

The implementation of public services in the course of public-private partnership has become widespread in the world, as it has shifted the emphasis of state dominance in the creation and distribution of public services. The goal of the PPP should be to increase the efficiency of the use of public funds through competitive management, sharing of risk and responsibility.

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54 In a situation of public finance shortage, infrastructure depreciation, increasing infrastructure deficits, and provided requirements for achieving the UN Sustainable Development Goals for infrastructure, countries currently face problems of infrastructure development (Mota & Moreira, 2015). Today, the PPP model is used to meet the growing needs for infrastructure in many countries (Malik & Kaur, 2020).

In addition to reducing the fiscal burden of countries, PPPs offer other benefits: attracting private funds, save money and time, helping to achieve better value for money and ensuring proper risk allocation (Rocca, 2017). PPP agreements provide for cooperation as well as distribution of responsibilities, and the main goal is to accumulate resources to build infrastructure.

PPPs can be used to finance infrastructure in the “energy sector, transport, information and communication technologies, water supply and sanitation, as well as the social sector” (Malik & Kaur, 2020). Due to these benefits, they are actively used to finance sustainable infrastructure (Casady et al., 2019).

Innovative approaches in the adoption of new technologies of public administration involve decentralization of public administration, that is reducing the boundaries of formation and realization of public authority through partner entities (business environment, nongovernmental institutions), as well as the realization of common interests, which provides for overcoming the negative consequences with excessive management costs, bureaucracy, centralization, etc. The logical evolutionary path of public-private partnership should be the introduction of mechanisms for the decentralization of power based on the joint implementation of state functions. This will strengthen the possibilities of state regulation, strengthen the development policy of various sectors of the economy, providing tools for public control. The proposed approaches will increase macroeconomic stability, standards of living, and social responsibility.

Although the economic factors produced by PPP projects are determined as key and measurable, the social component can be determined as significant contribution of public-private partnership. Implementation of PPP projects produces social effects that can affect unemployment, health care and other important factors. Given the importance of PPP for society, a necessary aspect of the study is the concept of “social responsibility”. Social responsibility is

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seen as a commitment of business to contribute to sustainable economic development by working with employees, the local community and society as a whole to improve their lives in ways that benefit business and development (Popa, 2015). Social responsibility not only promotes sustainable development and local development, but also improves cooperation and relationships between society and organizations.

PPP researchers focus on the economic results of the partnership, and the study of social responsibility is not widespread enough in scientific literature. Today, social responsibility interpreted as “a theoretical approach to social and corporate governance, aimed at implementing the widely supported concept of ‘economic growth for all’ and the gradual overcoming of social inequality in modern societies” (Mulej, O’Sullivan & Štrukelj, 2021, p. 97). Social responsibility is a concept that should be followed at the state level (social responsibility of the state). Social responsibility at the state level, also called social responsibility of the state, is the ability of legislation of a particular country “to ensure a high level of social welfare, economic and environmental sustainability, without further deepening of income inequality and violation of human (economic and social) rights” (Mulej, O’Sullivan & Štrukelj, 2021, p. 35). Of the three foundations of sustainability — economic, environmental and social — it concerns only social sustainability.

Responsibility is realized through ethical behaviour that promotes, among other things, sustainable development, improved health care and social well-being (Hinson, Avomyo, Kuada & Asante, 2017).

The study of social responsibility factors in PPP projects (Yu et al., 2018) identified 38 social responsibility factors, which were further analysed and classified according to various aspects of responsibility. The most widely reported factors of social responsibility in PPPs are: “creating a system of environmental management”, “innovation” and “ensuring accountability, legality and transparency”. In addition, factors related to healthcare, labour protection and safety, human rights, and providing jobs were identified. A similar list of social responsibility factors developed in (Yu et al., 2018) was taken as a basis for another study (Osei-Kyei et al., 2019).

In addition, the study (Chen et al., 2019) developed a model that can be used to assess the levels of sustainability of PPP projects. Four categories of social responsibility factors

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included in this model and they are: economic, environmental, social and people-oriented factors. Social factors received the highest coefficient in the PPP resilience index equation.

This study identified factors related to PPP social responsibility: innovation, environmental management, ensuring accountability, legality and transparency, healthcare, and human rights.

PPP projects have a significant impact on the environment, citizens and society during their long life cycle; thus, social responsibility became critical in their development. As project companies seek to make a sufficient profit, they have to make significant efforts to propose social measures and promote sustainable development measures. In recent years, PPPs have used a variety of social responsibility factors, and these factors often focus on areas such as healthcare, education, sanitation, and philanthropy (Yu et al., 2018). Most of the social responsibility initiatives often adopted under the PPP focus on such areas as environmental protection, sanitation, education and transparency (Patil, Tharun & Laishram, 2016).

Methods The methodological approach of the study will be based on several stages: identification of key factors of social responsibility in PPP projects using existing approaches in modern research of the said factors; identification of indicators that can describe the established factors of social

responsibility and econometric analysis to identify a significant set of factors.

Using the studies of social responsibility in public-private partnership (Chen et al., 2019; Osei-Kyei et al., 2019; Yu et al., 2018), the following factors of social responsibility were selected, which are important implications of PPP projects: innovation, environmental protection (ecology), healthcare, accountability and legality (rule of law) and unemployment reduction (providing jobs).

The number of PPP projects and PPP investments as a percentage of GDP are considered as important aspects of PPP activities (Yurdakul, Kamaşak & Öztürk, 2021). The study focused on the amount of investment in PPP projects. In order to determine whether there is a dependence between social responsibility factors and the results of PPP development, we used the following data as variables: the total amount of investment in PPP projects (1990-2019), the Global Health Security Index, Environmental Performance Index, Global Innovation Index, Rule of Law Index and Unemployment Rate. The available complete data on these factors allowed studying the indicators of 69 countries. Data are taken from open sources from the World Bank, the Private Participation in Infrastructure Database, the Global Health Security Index, the Environmental Performance Index, the Global Innovation Index, and the Rule of Law Index (Table 1).

Table 1.

Variables Summary.

Variable PPPI

Full description The total amount of private investment in PPP projects (19902019)

GHS

Global Health Security 2019

EPI

Index, 2020 EPI rank

GII

Global Innovation Index 2020 rankings

RLI

Rule of Law Index 2020

UNT

Unemployment rate 2020

Measuring USD million (World Bank, 2019).

The Global Health Security Index measures countries’ security and health capabilities for six categories and 34 indicators. All data are rated on a scale from 0 to 100, where 100 is the best health care condition (Economist Intelligence Unit, 2020).

The Environmental Performance Index is an assessment of the state of the environment and the viability of ecosystems around the world. Using 32 performance indicators for 11 problem categories, the index assesses 180 countries. Indicators are rated on a scale of 0–100, from worst to best (Wendling et al., 2020) The Global Innovation Index classifies innovation performance in more than 130 countries. Indicators are rated on a scale of 0-100, from worst to best (Dutta, Lanvin, & Wunsch-Vincent, 2020).

The Rule of Law Index provides an assessment of the rule of law in 128 countries, providing ratings based on 8 factors. Indicators range from 0 to 1, with 1 indicating the highest level of observance of the rule of law (World Justice Project, 2020).

Unemployment, total (% of total labour force) (ILO (International Labour Organization) simulated estimate (World Bank, 2020).

Source: author’s development

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56 To determine the functional dependence of у = ƒ(х1, х2,…хn) + ε of the resultant attribute (y), namely the development of PPPI on factor attributes (х1, х2, … хn), which are characterized by indicators (GHS, EPI, GII, RLI, UNT) (Table 1), it is necessary to conduct a regression analysis, which has a theoretical form: Y = β0 + β1X1 + β2X2+ … + βnXn+ε

Results Based on the theoretical model, we build equation (2), which is an econometric model that determines the degree of dependence of the development of PPP (the amount of private investment) on the factors that describe social responsibility:

(1) ln PPPI = β0+β1 ln GHS +β2 ln EPI +β3 ln GII+β4 ln RLI+β5 ln UNT +ε

In equation (1) β0, β1, … βn are vectors of dimension of unknown parameters, ε is a member of a random error in equation. Functional dependence calculations will be performed using the Gretl software package.

(2)

where ln PPPI, ln GHS, ln EPI, ln GII, ln RLI, ln UNT – logarithms of values of the studied indicators.

Using the Gretl software package, the proposed model was evaluated using the least squares method (LSM). The results of the model values are given in Tables 2 and 3.

Table 2.

Model: OLS, Using Observations 1-69; Dependent Variable: l_PPPI

const l_GHS l_EPI l_GII l_RLI l_UNT

Coefficient −13.7468 2.66163 −1.70846 −4.26068 4.43431 0.577544

Std. Error 4.71647 1.18327 1.20144 1.77431 1.27343 0.319684

t-ratio −2.915 2.249 −1.422 −2.401 3.482 1.807

p-value 0.0049 0.0280 0.1600 0.0193 0.0009 0.0756

*** ** ** *** *

Table 3.

The results of Values for the Model Mean dependent var

8.433947

S.D. dependent var

2.052781

Sum squared resid R-squared F(6, 62) Log-likelihood Schwarz criterion

167.1605 0.416636 8.998869 −128.4340 282.2727

S.E. of regression Adjusted R-squared P-value(F) Akaike criterion Hannan-Quinn

1.628908 0.370337 1.71e-06 268.8680 274.1861

The results of testing the hypothesis of insignificance of the coefficients are as follows: The Global Health Security Index, the Global Innovation Index, the Rule of Law Index and the Unemployment Rate were significant. Moreover, * means that the indicator is significant at the level of p <0.1, ** — at the level of p <0.05, and *** — at the level of p <0.01. The Environmental Performance Index in this model is not significant. The Global Innovation Index is negative, indicating an inverse dependence: as investment in PPPs increases, innovation performance deteriorates.

value 0.194135; Shapiro-Wilk test W = 0.973755, p-value 0.154638; Lilliefors test = 0.096997, p-value = 0.11; Jarque-Bera test = 2.58503, p-value 0.274579. For these criteria at the level of significance α = 0.05, the null hypothesis about the normality of the distribution of regression residuals is not rejected.

Let us check the normality of the distribution of regression residuals based on the Chi-square criterion. The frequency distribution for the model is shown in Figure 1 and Table 4. Null hypothesis — normal distribution: Chi-square (2) = 3.278, p-value = 0.1941.

Test results of tests for the normal distribution of the model: Doornik-Hansen test = 3.2784, p-

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0.35

relative frequency N(-1.6734e-015,1.6289)

Test statistic for normality: Chi-square(2) = 3.278 [0.1941] 0.3

0.25

Density

0.2

0.15

0.1

0.05

0 -4

-2

0

2

4

uhat1

Figure 1. Frequency Distribution for the Model, Observations 1-69 Table 4.

Frequency Distribution for the Model, Observations 1-69 Interval

Midpt

Frequency

Rel.

Cum.

< -3.4604 -3.4604 - -2.5444 -2.5444 - -1.6284 -1.6284 - -0.71240 -0.71240 - 0.20359 0.20359 - 1.1196 1.1196 - 2.0356 2.0356 - 2.9516 >= 2.9516

-3.9184 -3.0024 -2.0864 -1.1704 -0.25440 0.66159 1.5776 2.4936 3.4096

2 5 4 8 13 21 11 3 2

2.90% 7.25% 5.80% 11.59% 18.84% 30.43% 15.94% 4.35% 2.90%

2.90% * 10.14% ** 15.94% ** 27.54% **** 46.38% ****** 76.81% ********** 92.75% ***** 97.10% * 100.00% *

Let us estimate the matrix of paired correlation coefficients. It is believed that significant correlation coefficients in absolute terms exceeding 0.7-0.8 indicates multicollinearity.

The results of the evaluation of the correlation matrix between the variables are shown in Table 5. As we see, the correlation coefficients exceed the values of 0.7-0.8.

Table 5.

Correlation Coefficients, Observations 1 - 69. 5% Critical Values (Bilateral) = 0.2369 for n = 69 l_GHS 1.0000

l_GII 0.1864 1.0000

l_RLI 0.6428 0.4844 1.0000

Using data of two indicators (l_PPPI, l_RLI) for 69 countries with different levels of economic development, it is possible to build a graphical model that shows the relationship between

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l_UNT 0.0237 0.5087 0.2719 1.0000

l_EPI 0.3766 0.4160 0.6143 0.4777 1.0000

l_GHS l_GII l_RLI l_UNT l_EPI

private investment in PPP and the Rule of Law Index (Figure 2). The Rule of Law Index in the presented model received the lowest P-value — 0.0009.

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Figure 2. The Relationship between Private Investment in PPPs and the Rule of Law Index The results obtained in the study require additional explanations regarding their reliability and comparison with similar approaches or studies described in scientific literature.

Rule of Law Index and Unemployment Rate). It is advisable to use other indicators and expand their range in subsequent studies.

Discussion Analysis of the dependence of the factor that indicates the level of PPP development in the country (the amount of private investment in PPP projects) on the factors that describe social responsibility proves the importance of certain indicators. Regarding the features of the study, it should be noted that the available input data (Global Health Security Index, Environmental Performance Index, Global Innovation Index, Rule of Law Index and Unemployment Rate) were taken for 2019-2020 and do not take into account data for past periods. Given the incomplete set of data by countries for each of the variables, it was not possible to fully consider the countries, so we used data on 69 countries, which are mostly low-level or developing countries. The question arises on the need to expand the data set for most countries in terms of obtaining empirical data, which involves, first of all, calculations for individual countries where the relevant data are not available.

In addition, the considered factors of social responsibility of PPP projects, obtained from research (Chen et al., 2019; Osei-Kyei et al., 2019; Yu et al., 2018) should be expanded in future similar works, which may be an objective for researchers of this issue.

The next limitation is the author’s selection of indicators that can describe the social responsibility factors identified in the study (Global Health Security Index, Environmental Performance Index, Global Innovation Index, www.amazoniainvestiga.info

In an increasingly globalized economy, governments continue to transfer public service management to private entities through publicprivate partnerships, thus implementing mechanisms for decentralizing public administration. In the New Public Management paradigm, PPPs are seen as a New Public Management tool used by public sector bodies to activate third parties to implement infrastructure projects, organize and maintain relevant agent networks throughout the project life cycle.

Although recent research has examined in detail the main institutional factors contributing to the successful development of PPPs, there have been few attempts to “combine the conceptual foundations of PPP institutional maturity (legitimacy, trust and potential) with the broader theoretical paradigm of the New Public Management” (Joudyian et al., 2021, p. 7).

The PPP agreement requires each stakeholder to take the initiative on certain issues, and therefore PPP management should anticipate that the leading role in the decentralization of management shifts from one party to another depending on changing situations and circumstances. PPP agreements can last for many years, and it is extremely important for partners to trust each other, as this is the basis for their willingness to negotiate at any time during the term of the agreement to help each other. In addition, as PPPs exist in a project management environment, PPP arrangements require each stakeholder to assume certain management ISSN 2322 - 6307

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functions within the decentralization of public administration. Therefore, trust will help to smooth the process of shifting leadership from one party to another (Som, Omar, Ismail & Alias, 2020). Many governments begin to realize their responsibilities and require companies which implement projects that have a huge impact on society to develop strategies and become proactive to ensure sustainability and achieve the Sustainable Development Goals (Aarseth et al., 2017).

The main feature of social responsibility is the company’s readiness to implement social aspects in the decision-making process, to be responsible for the consequences of their solutions on society. The important measures in the social sphere are labour protection and safety of their employees, effective employment policy, training, employment of people with disabilities in the labour market, the adoption of the principle of equal opportunities (Mulej, O’Sullivan & Štrukelj, 2021).

Social responsibility also influences the factors that contribute to the quality of life, combining these ideas with the concept of sustainable development. Sustainable development is an idea whose guiding principles should lead to an improvement in the quality of life. Creating a quality of life involves responsibility for the results of activity, which should serve stakeholders, not just business owners or shareholders (Mulej, O’Sullivan & Štrukelj, 2021).

Social responsibility integrates social, environmental and ethical human rights, as well as consumer issues into the process (Reshma, 2017). Social responsibility is an important issue of PPPs, as it has become a program of many governments to promote sustainable development that meets the needs of today without compromising the ability of future generations to meet their own needs (Patil & Laishram, 2016). The concept of social responsibility “has become important in PPP projects because many past projects have not had sufficient social benefits, such as employment opportunities, reliable service delivery, environmental protection, and accessibility” (Osei-Kyei & Chan, 2016, p. 175).

The category of environment refers to the conservation and management of resources, as well as the promotion of environmental protection at the project site (Bjärstig, 2017). The study by Raza Shah and Yousufi (2021) shows that investment in particular PPP projects

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degrades the ecological parameters of the environment. At the same time, there are studies proving the positive impact of PPP on the ecological condition (Pan, Chen, Zhou & Kong, 2020). Thus, it is still difficult to find unambiguous convincing arguments in the existing scientific literature about the direct relationship between the development of PPP and the ecological condition. This dependence is traced in some projects, while in others we have an adverse data. The results of the study confirm the thesis that there may be no clear link between investment in PPPs and the ecological condition.

The high level of institutional quality reflected in the country’s regulatory framework, ensures that PPP projects make optimal use of available resources and work efficiently (Deep, Kim & Lee, 2019). Transparency increases public confidence in civil servants and improves the overall positive perception of social responsibility arrangements under PPP projects (Osei-Kyei & Chan 2017). Ensuring transparency and the fight against corruption is crucial to gaining a positive perception of PPPs by the general public (Osei-Kyei, Chan, Javed & Ameyaw, 2017).

Important success factors for PPPs include regulation, transparency, clear political leadership, the right to vote and accountability, government efficiency, and the fight against governance-related corruption (Pérez-D'Oleo et al., 2015). Countries that have improved the quality of regulation and anti-corruption policies may gradually attract more investment in PPPs. Adequate legal framework reduces management uncertainty for PPPs (Fleta-Asín, Munoz & Rosell-Martınez, 2020). The study confirmed the highest dependence between investing in PPPs and indicators that describe the rule of law.

Although such studies as Carbonara and Pellegrino (2020) note that PPPs cannot be considered a panacea for innovation, there is growing support for research into the links between the sustainability of innovation in PPPs (Ma et al., 2019). It is necessary to dwell on the result obtained in the study that investment in PPPs has a reverse effect on innovation. This may indicate a shortage of funds, and PPP funding provides only a standard approach to project implementation. The development of innovations requires constant R&D funding, and in a situation of resource shortage this leads to a choice — by increasing the funding of PPP projects, innovation development will experience a funding gap. Diyamett and Diyamett (2019) present a similar understanding

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60 of the situation. Roumboutsos and Saussier (2014) showed that investment in innovation is directed at those areas that have a direct impact on the benefit of the private party, mainly by reducing operating costs and maintenance costs.

Thus, it is possible to assume that innovation processes are intensified in the case of redistribution of funds by reducing funding of PPP projects.

The Global Health Security Index assesses the security and capabilities of countries in the health sector. There is a positive correlation between data on the level of health care and the development of PPP, which is confirmed by PPP research in the health care system (Joudyian et al., 2021).

The researchers Kruhlov and Tereshchenko (2019) identified positive impact of PPP development on job creation. As a result of the creation of more jobs over long periods of development, unemployment should theoretically decrease. The expected result of the study is that PPP is a catalyst for job creation through active infrastructure projects (Matsolo, 2018), and the results of PPP projects reduce unemployment (Geraghty, 2018), as demonstrated by the results of our study.

As we can see, the processes of decentralization of public administration, implemented in the course of public-private partnership, not only have a positive impact on economic indicators, but also can produce social results using social responsibility approaches. The study identified a relationship between investment in PPP development and social responsibility factors (innovation, environment, health, rule of law and unemployment reduction), which were characterized by the following indicators: The Global Health Security Index, the Environmental Performance Index, the Global Innovation Index, the Rule of Law Index and the Unemployment Rate. But this approach requires further elaboration of the results of the study of social responsibility under public-private partnership.

Conclusions Thus, when implementing PPP projects, the state mainly tries to solve the economic issues, namely: attract the necessary resources, create modern infrastructure, implement sustainable development goals.

The public-private partnership relies on the approach that involves reducing public impact, changing the emphasis of public administration by decentralizing powers between the parties to economic and legal

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relations. Most research on public-private partnerships looks at the private sector as partners in the supply of services and participants in infrastructure construction.

This approach limits the opportunities for the private sector in public administration. The transfer by the state to private partners of rights (property, resources, finances) and powers (profit, risks) should additionally take into account models that expand the functions of the state - administration, control, regulation.

The study proves the need to consider indicators of social responsibility in the course of publicprivate partnership. It was identified that important factors of social responsibility are innovation, environmental protection, health, accountability and legality, and unemployment reduction. Econometric analysis of the factors used as indicators of social responsibility showed some dependencies: a significant correlation between the development of PPP and the rule of law, as well as the inverse correlation between private investment in PPP and innovation. The results of the analysis prove the relevant effects of PPP activities, but the features of such effects may be related to lack of funds, reduction of operating costs, the specifics of infrastructure projects, and other factors. In the future, the state policy of PPP development as a mechanism of decentralization of power in the governance system should focus on further deepening the opportunities for social responsibility, which play an important role in achieving the Sustainable Development Goals, improving quality of life and solving many socially important issues.

Bibliographic references Aarseth, W., Ahola, T., Aaltonen, K., Økland, A., & Andersen, B. (2017). Project sustainability strategies: A systematic literature review.

International Journal of Project Management, 35(6), 1071–1083. https://doi.org/10.1016/j.ijproman.2016.11.0 06 Bjärstig, T. (2017). Does collaboration lead to sustainability? A study of public-private partnerships in the Swedish mountains.

Sustainability (Switzerland), 9(10), 1685. https://doi.org/10.3390/su9101685 Carbonara, N., & Pellegrino, R. (2020). The role of public private partnerships in fostering innovation. Construction Management and Economics, 38(2), 140–156. https://doi.org/10.1080/01446193.2019.1610 184

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DOI: https://doi.org/10.34069/AI/2021.45.09.6 How to Cite: Andrusiv, U., Kossak, V., Mykhayliv, M., Fedina, N., & Zabzalіuk, D. (2021). Grounds and consequences of waiver of the contract on the provision of tourist services. Amazonia Investiga, 10(45), 63-72. https://doi.org/10.34069/AI/2021.45.09.6

Grounds and consequences of waiver of the contract on the provision of tourist services Підстави та наслідки відмови від договору про надання туристичних послуг Received: August 1, 2021

Accepted: September 23, 2021

Written by: Uliana Andrusiv19 https://orcid.org/0000-0003-2300-5114 Volodymyr Kossak20 https://orcid.org/0000-0002-8699-9200 Mariya Mykhayliv21 https://orcid.org/0000-0002-1702-7432 Nataliіa Fedina22 https://orcid.org/0000-0002-7521-9635 Dmytro Zabzalіuk23 https://orcid.org/0000-0002-1041-0148 Abstract

Анотація

The purpose of the article is to clarify the legal nature, grounds, realization mechanism and consequences of waiver of the contract on the provision of tourist services. The research was conducted using such methods of scientific knowledge as dialectical, comparative, formallegal, logical-legal. Based on the analysis of doctrinal approaches and regulations, it is established that the refusal of the agreement on the provision of tourist services is a measure of operational influence and a means of protecting the civil interest. The grounds for unilateral waiver of the contract differentiated into unconditional and those that are a consequence of violation of its terms. At the same time, it is stated that this subjective right is exercised in out-of-court procedure by sending a written (electronic) notice to the counterparty. In the context of the COVID-19 pandemic, it is proposed to give tourists the opportunity to choose between postponing the trip to another term and exercising withdrawal from the agreement. Particular attention is paid to the

Метою статті є з’ясування правової природи, підстав, механізму реалізації та наслідків односторонньої відмови від договору про надання туристичних послуг. Дослідження проведено із використанням таких методів наукового пізнання як діалектичний, порівняльний, формально-юридичний, логіко-юридичний. На підставі аналізу доктринальних підходів та нормативних приписів встановлено, що відмова від договору про надання туристичних послуг є заходом оперативного впливу та засобом захисту цивільного інтересу. Підстави односторонньої відмови від договору диференційовано на безумовні та такі, що є наслідком порушення його умов. Водночас констатовано, що це суб’єктивне право реалізується у позасудовому порядку, шляхом скерування контрагенту повідомлення в письмовій (електронній) формі. В умовах пандемії COVID-19 запропоновано надати туристу можливість обирати між перенесенням подорожі на

19

Candidate of Law, Associate Professor, Associate Professor of the Civil Law Disciplines Department, Institute of Law, Lviv State University of Internal Affairs, Lviv, Ukraine.

20 Doctor of Law, Professor, Head of the Civil Law and Process Department, Faculty of Law, Ivan Franko National University of Lviv, Lviv, Ukraine.

21 Candidate of Law, Associate Professor, Associate Professor of the Civil Law and Process Department, Faculty of Law, Ivan Franko National University of Lviv, Lviv, Ukraine.

22 Candidate of Law, Associate Professor of the Theory of Law, Constitutional and Private Law Department, Institute of Specialist Training for National Police Units, Lviv State University of Internal Affairs, Lviv, Ukraine.

23 Doctor of Law, Associate Professor, Head of the General Legal Disciplines Department, Institute of Law, Lviv State University of Internal Affairs, Lviv, Ukraine.

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Andrusiv, U., Kossak, V., Mykhayliv, M., Fedina, N., Zabzalіuk, D. / Volume 10 - Issue 45: 63-72 / September, 2021

general and special consequences of lawful refusal. Based on the study, the authors made generalizations and conclusions about the state and prospects of improving the mechanism for exercising the right to unilateral waiver of the contract on the provision of tourist services.

Key words: contract on the provision of tourist services, unilateral waiver of the contract, measure of operative influence, means of protection of civil interest, legal and factual grounds, termination of the agreement, actually incurred costs.

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інший строк та відмовою від договору. Особливу увагу приділено загальним та спеціальним наслідкам правомірної відмови. На основі проведеного дослідження авторами зроблені узагальнення та висновки щодо стану та перспектив удосконалення механізму реалізації права на односторонню відмову від договору про надання туристичних послуг. Ключові слова: договір про надання туристичних послуг, одностороння відмова від договору, захід оперативного впливу, засіб захисту цивільного інтересу, юридичні та фактичні підстави, розірвання договору, фактично понесені витрати.

Introduction Tourism, as a generator of economic growth of the state, is an important part of modern people life. The key legal mean of achieving the main goal of tourism, which is to provide tourists with quality tourist services, is a civil agreement.

The purpose of the article is to clarify the legal nature, grounds, realization mechanism and consequences of unilateral refusal of contractual obligations that mediate the provision of tourist services, identify shortcomings in the legal regulation of this institution and make suggestions for their elimination.

When concluding an agreement on the provision of tourist services, it is impossible to predict all possible scenarios. In practice, there are often cases when in certain circumstances the execution of the agreement becomes impossible or one of the parties loses interest in it. In order to normalize such situations and prevent negative consequences for the contractors of the contractual obligation, the institution of waiver of the contract is enshrined in law.

Refusal of the agreement is a fairly common reason for termination of obligations on provision of travel services. The application of this institute became especially important in the conditions of the COVID-19 coronavirus pandemic, when due to the established restrictions on movement and closing of borders tourists are forced to refuse the ordered and paid tourist services.

However, the mechanism of realization of the right to unilateral waiver of the contract on the provision of tourist services, the consequences of such actions in practice create serious obstacles associated with insufficient elaboration of these

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issues, as well as incompleteness inconsistency of legal norms.

and

In view of this, issues related to the termination of contractual obligations on provision of tourist services due to the refusal of them need deep scientific and theoretical comprehension and solutions.

Literature review Problematic issues of legal regulation of tourism relations, in particular contractual constructions used in the field of tourism, have repeatedly been the subject of scientific research of Ukrainian and foreign civilians. A significant contribution to the study of contractual obligations for the provision of tourist services made in their dissertations V. O. Kokhanovskyi (2018), R. I. Yavorskyy (2015). However, scholars have focused on elucidating their legal nature, content, and termination. The issue of lawful unilateral refusal of the agreement on the provision of tourist services, as a legal basis for changing or terminating the contractual relationship, has not received adequate coverage.

At the general theoretical level, regardless of the specifics of tourist services, the institution of waiver has been studied by such scientists as L. M. Baranova (2015), T. V. Bodnar (2012), R. V. Grynko (2014), I. V. Spasibo-Fateeva (2021), G. O. Urazova (2015), etc.

The absence of special scientific investigations, which would comprehensively consider the features of unilateral waiver from the agreement on the provision of tourist services, causes legal uncertainty at the stage of law enforcement, which is reflected in the controversial legal

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nature of the refusal, distinguishing of this category from other grounds for termination of obligation, which mediates the provision of tourist services, as well as in determining the grounds and consequences of refusal of it.

summarize that the institution of waiver of the contract for the provision of tourist services is one of the effective mechanisms for protecting the rights and legitimate interests of participants in tourism relations.

Based on the above, we conclude that a comprehensive theoretical and applied generalization of the application features of the institution of refusal of the contract on the provision of tourist services is urgent and necessary.

Results and discussion

Methodology In the process of research, general and special methods of scientific cognition are used in their combination. The dialectical method helped to reveal the grounds and consequences of the waiver of the contract on the provision of tourist services. With its help, we differentiated the legal and factual grounds of the refusal, and also established that the general consequence of the exercise of this right is the change or termination of a binding legal relationship.

Using such logical techniques as synthesis and analysis, we found that by its legal nature, the waiver of the contract is a unilateral lawful action of the authorized party. Depending on whether the application of the waiver is associated or not related to breach of contract, it should be interpreted as a measure of operational influence or a means of protection of civil interest.

The use of the formal-legal method contributed to the disclosure of the mechanism for exercising the right of the refusal of the contract for the provision of tourist services and the separation of its constituent elements. Thus, we have established that the party who waives of the contract exercises this subjective right by sending a notice to the counterparty without recourse to the authorities.

The comparative-legal method was used in a comparative analysis of Ukrainian legislation that governs tourism relations with the legal field of foreign countries and the European Union. As a result, it is proposed to implement in national legislation alternative mechanisms for reimbursement of package tours in a state of emergency, in particular the COVID-19 pandemic.

The logical-legal method helped to formulate the conclusions and generalizations and to determine the consistency of the expressed judgments and concepts. Thus, this method allowed us to

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The concept and legal nature of the institution of waiver of the contract on the provision of tourist services Refusal of the agreement must be understood as defined by law or contract the possibility of a person to commit a conscious lawful action aimed at achieving organizational and legal consequences, ie termination or change of the contractual relationship, without recourse to the authorized jurisdictional body.

General provisions on waiver of the contract are regulated by Art. 651 of the Civil Code of Ukraine. As follows from the provisions of Part 3 of this rule, the agreement may be terminated in the event of unilateral waiver of the contract in full or in part, if the right to such waiver is established by agreement or law. This regulation corresponds to Art. 310, 525 of the Civil Code of Ukraine, which enshrines the prohibition of unilateral waiver of obligations, its execution, except when the right to such waiver is established by agreement or law (Law No. 43515, 2003).

One of such exceptions is regulated in a special law governing tourism relations. In particular, Art. 20 of the Law of Ukraine «On Tourism» (Law No. 324/95-ВР, 1995) provides the possibility of each of the parties to the contract on the provision of tourist services to unilaterally refuse to execute it or to require changes to it.

A number of European countries also use legal constructions, which are analogous to the unilateral refusal of a contractual obligation in the field of tourist services. For example, the right to withdraw from the package travel contract is provided in Art. L211-14 of the French Tourism Code (Law No. 92-1341, 1992), § 651h of the Civil Code of the Federal Republic of Germany (Law No. 2909, 2002), Art. 41 Legislative decree No 62 of the Italian Republic (2018).

By its legal nature, a unilateral refusal to execution of an agreement is a legal fact in which the unilateral expression of the will of the authorized party is sufficient to change or terminate the contractual obligation. This legal

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66 fact should be interpreted as a simultaneous waiver of rights and obligations.

to change or terminate the agreement is not required.

We support the position of those scholars who, given the nature of the will of the entity exercising the right to unilateral withdrawal from agreement, as well as the consequences of such refusal, qualify it as a unilateral legal act (Bodnar, 2012; Baranova, 2015).

It is not established at the legislative level in what way and in what form the counterparty is notified about the refusal. In this regard, it is appropriate to support the opinion expressed in the literature that such a message should be made in written form (Yavorskyy, 2015), including the use of means of electronic communication.

In the case of unilateral refusal, the authorized party has a subjective civil right, which is dominated by the right to lawful active action – to terminate or unilaterally change the rights and obligations of the parties to the contractual obligation. That is, for the commission of such a legal act it is sufficient to have a civil interest of only one party of the contract, which by law or agreement is endowed with the right to change or terminate the legal relationship unilaterally. This right corresponds to the obligation of the passive party not to interfere with its realization.

A. B. Grinyak (2013), disclosing the legal nature of unilateral waiver of contract, emphasizes the expediency of defining the right to unilateral refusal as secondary rights, as the creditor’s right does not correspond to a clearly defined obligation of the debtor, so the latter must only «suffer» actions of the creditor on realization of the right and their corresponding consequences.

That is, the secondary right of the tourist is the possibility of his active behavior associated with the waiver to voyage and the ability to demand a refund of the paid contract price.

The exercise of this subjective right does not require the filing of a lawsuit to annulment or amend the agreement. Therefore, by this unilateral legal act, the agreement is changed or terminated without recourse to a jurisdictional body, ie out-of-court settlement.

Grounds and procedure for exercising the right to waiver of the contract on the provision of tourist services The exercise of the right to unilaterally refusal of the agreement on the provision of tourist services is expressed through active conduct. The party who decides to waiver of the contract must notify the other party. Such notification is a constitutive element of the mechanism of realization of this subjective right.

It is necessary to emphasize that although the will of the party who are refusal of the contract must be accepted by the counterparty, but its consent

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The legislator has not determined the moment from which the contract, which was unilaterally refused by one of the parties, is considered amended or terminated.

The prevailing approach among experts in civil law is that the contract terminates from the moment of informing the counterparty under the agreement about the decision of another party to waiver of contract in due form (Grynko, 2014). It is noteworthy that the notice of refusal acquires legal significance from the moment of its receipt by the addressee, ie, as rightly noted by G. O. Urazova (2015), the principle of «delivery» is to be applied.

Therefore, in case of unilateral waiver of one of the parties of the contract on the provision of tourist services, the contractual relationship is considered changed or terminated from the moment when the counterparty found out about such refusal, ie received the appropriate notice.

Taking into account the above, we reach a reasonable conclusion that the mechanism for exercising the right to withdrawal from the contract on the provision of tourist services includes the following components: out-of-court procedure for changing or terminating the contractual obligation; the party who refusal of the contract notifies the counterparty by sending a notice in written (electronic) form; the contractual relationship is considered changed or terminated from the moment of receipt of the notice by the other party.

From the systematic analysis of the provisions of Article 20 of the Law of Ukraine «On Tourism» (Law No. 324/95-VR, 1995) it is seen that the legislator identifies three grounds for refusal of a tourist of the contract on the provision of tourist services. Thus, the tourist is guaranteed the opportunity to refusal of the agreement in case of increase in the price of the tourist product by 5 percent compared to the original price. Also, the customer has the right to waiver of the contract without compensation to the tour operator (travel agent) in connection with changes in the essential

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terms of the agreement and the circumstances that guided them during the concluding of the contract. In addition, the tourist may refuse to execute the contract before the trip (regardless of the reason for such refusal) subject to reimbursement to the tour operator (travel agent) of the actually incurred documented expenses related to the refusal.

legal fact («unconditional refusal») (SpasiboFateeva, (Ed.) 2021). The provisions of Part 10 of Art. 20 of the Law of Ukraine «On Tourism» visually illustrate the unconditional refusal, which implies that a tourist may at any time waiver of the agreement without stating the reason, ie the reasons for such expression of will have no legal significance.

With regard to the latter prerequisite for the waiver of the tourist of the contract on the provision of tourist services, it should be noted that in accordance with Art. 12 of the EU Directive on package travel and linked travel arrangements (Directive No. 2015/2302, 2015) the traveler also has a analogous right to terminate the contract unilaterally at any time before the start of the trip. In addition, by notifying the organizer (tour operator) no later than seven days before the start of the package tour, he has the right to transfer the rights and obligations under the contract to another person (Art. 9). A similar provision is in Art. 651e of the Civil Code of the Federal Republic of Germany (Law No. 2909, 2002).

However, in most cases, the exercise of the analyzed subjective right requires a legal fact, which may be an action (for example, an increase by tour operator of the price of a tourist product by 5 or more percent) or an event (for example, a significant change in circumstances).

Unfortunately, it should be noted that at the national level such a provision has not been regulated. In our opinion, the legislative enshrinement of such a subjective right for tourists will not only help create legal guarantees to protect their interests, but also will help protect against possible conflict situations and will ensure compliance with the requirement of «quality» of the law as one of the integral elements of the rule of law (Maikut, Andrusiv, Yurkevych, Dutko, & Zaiats, 2020).

At the same time, the tour operator or travel agent has the right to withdrawal from the agreement only if the tourist is fully reimbursed for damages caused by the termination of the contract, confirmed in the prescribed manner, unless it was the fault of the tourist. In the above cases, the refusal of the agreement on the provision of tourist services is the right of the party, which it exercises at its discretion.

Refusal of the agreement on the provision of tourist services is characterized by certain features. Yes, it can be unconditional or caused by a breach of obligations by one of the counterparties, if it is provided by contract or law.

In the specialized literature, it is well-established that unilateral waiver of the contract can be an independent ground for its termination only in cases where such a refusal does not require any

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According to such a criterion as reason for occurrence the waiver of the contract on the provision of tourist services should be differentiated into: 

waiver, which applies regardless of the breach of contract by the counterparty and any other circumstances.

Legitimate prerequisites for such a legal action are regulated by Art. 907 of the Civil Code of Ukraine, which enshrines the right to unilateral waiver of the contract on the provision of services, which is not related to the breach of agreement by another party. This general rule is detailed in Art. 20 of the Law of Ukraine «On Tourism», which describes the possibility of a tourist to refusal of the agreement due to a significant change in circumstances, as well as unconditional refusal. In these cases, the waiver of the contract must be qualified as one of the means of civil protection of the legitimate interest of the authorized party, the existence of which is not related to the likelihood of the offense and the presence of any circumstances (factors). 

refusal of the authorized party, which is a consequence of breach of obligations by the counterparty.

The right to unilateral waiver, as one of the legal consequences of breach of obligation, is provided by the provisions of Art. 611, 615 of the Civil Code of Ukraine. Such refusal shall apply only in cases established by contract or law.

In case of breach of the obligation by the party, the waiver of the agreement should be considered as a measures of operational influence, which in the doctrine means legal measures of law enforcement nature, provided by law or agreement, applied in contractual obligations to

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68 the person who violated or poses a real threat of breach of civil rights and obligations directly by the authorized person without recourse to the protection of the right to the relevant state bodies (Polnyi, 2020). Given that such remedies are used by the party to the agreement which is entitled to refuse independently without recourse to the jurisdictional body, they belong to the methods of self-defense.

In obligations on the provision of tourist services in the event of their unilateral termination there are such ways of self-defense as change or termination of the legal relationship.

The above allows us to state that the tourist can exercise the right to refuse both in case of breach of agreement by the counterparty, and when the refusal is not related to the fact of breach. In the first case, the refusal should be interpreted as a measures of operational influence on the violator, ie self-defense of civil law, and in the second – a means of protecting the civil interest of the party entitled to refuse.

It should be noted that experts, considering the grounds for waiver, rightly differentiate them into legal (enshrined in the Civil Code of Ukraine and special legislation rules or terms of the contract) and factual (specific circumstances, the presence of which entitles the authorized party to waiver of the contract) (Lukasevych-Krutnyk, 2019). Both of these grounds create legitimate preconditions for the exercise of the right to withdrawal from the contract on the provision of tourist services.

Features of realization by the tourist of the right to waiver of the contract in the conditions of a coronavirus COVID-19 In the context of the researched issue, the question arises about the possibility of realization of a tourist’s right to waiver of the contract on the provision of tourist services in a coronavirus pandemic. The COVID-19 pandemic has changed the established world order, affecting all spheres of public life, including tourism.

It should be noted that the Ukrainian legislation does not provide special mechanisms for the protection of tourists in extraordinary circumstances, in particular in terms of ensuring their safety, and does not regulate the possibility of unilateral refusal of the customer to execute the agreement in case of their occurrence. Tour operators, based on force majeure – the establishment of quarantine due to the spread of coronavirus COVID-19, offer consumers of

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travel services only one option – postponement of travel, refusing to return the money.

Therefore, customers of travel services can terminate the contract only in court.

In our opinion, under the current circumstances, when tourists are forced to cancel tourist trips due to restrictions imposed worldwide, they should be given alternative rights like to refuse a tourist trip without compensating the tour operator and refund all funds for the unprovided service, or to postpone the date of travel to a later date.

This approach correlates with the provisions of Art. 12 (2) of EU Directive No. 2015/2302 (2015), which states that the traveler shall have the right to terminate the package travel contract before the start of the package without paying any termination fee in the event of unavoidable and extraordinary circumstances occurring at the place of destination or its immediate vicinity and significantly affecting the performance of the package, or which significantly affect the carriage of passengers to the destination.

In the current situation with the coronavirus pandemic, the European Commission suggests EU Member States to take a common approach, giving tourists whose package travel and transport services have been canceled the right to choose between a refund and other forms of reimbursement, including vouchers for future trips (European Commission, 2020).

In addition, some EU Member States have introduced alternative mechanisms for reimbursing package tours, which customers (tourists) can claim after the termination of an contract in connection with a coronavirus pandemic. Іn Italy in Law Decree no. 9 of March 2, 2020 and in France in Order 2020-315 of March 25, 2020 such special alternative means of protection include: refund to the traveler full amount of money paid under the package tour contract; issuance of a voucher which can be used within a specified period; replacement of a package tour with another package of equivalent or higher quality (De Berti Jacchia Franchini Forlani Studio Legale, 2020).

Given the above, in order to make formal and legal certainty in these relations, as well as to ensure the effective realization of the tourist’s right to unilaterally waiver of the agreement and prevent abuse by tourism entities, we consider it appropriate at the legislative level to enshrine the following provisions: «In the event of circumstances that indicate the emergence in the

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country (place) of temporary stay of the tourist or in the immediate vicinity of the threat to the safety of his life or health, as well as extraordinary circumstances that do not depend on the tourist and make it impossible to travel, he has the right to waiver of the agreement on the provision of tourist services (before or during a tourist trip) or to choose other forms of compensation. Upon termination of the contract on the provision of tourist services in connection with the occurrence of these circumstances, the tourist/customer is refunded an amount proportional to the cost of non-provided tourist services.». Such legislative innovations ensure a fair balance between the interests of tourism entities and the more vulnerable party to the contract – the consumer of tourist services.

Legal consequences of waiver of the contract on the provision of tourist services In accordance with Part 3 of Art. 651 of the Civil Code of Ukraine in case of waiver of the agreement in full or in part, if the right to such a waiver is established by contract or law, the agreement is terminated or changed accordingly (Law No. 435-15, 2003). Therefore the consequences of the refusal of the contract on the provision of tourist services depend on whether the refusal was complete or partial. Partial refusal of the agreement causes a change of its terms, while a complete refusal leads to the termination of the obligational relationship. In the latter case, the debtor is released from the obligation to fulfill obligations in kind.

Termination of the contract on the provision of tourist services as a result of its waiver not only terminates the rights and obligations of its counterparties, but also entails the occurrence of other special legal consequences designed to protect their subjective rights and interests.

In case of termination of the agreement on the provision of tourist services at the initiative of the tour operator, he is obliged to fully reimburse the customer (tourist) for damages caused by the unilateral termination of the contract.

The tourist has the right to waiver of the contract unilaterally, provided that the tour operator pays the costs associated with the provision of tourist services or with the preparation for their provision. At the same time, it should be noted that the costs of the tour operator must be determined by his actions to fulfill the contractual obligations, as well as documented.

Only if these requirements are met the costs

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acquire the status of «actually incurred» and are subject to reimbursement.

To confirm the amount of such costs, the tour operator may submit agreements concluded with direct providers of tourist services, provide documents proving payments to third parties for booking in the name of a particular tourist, including payment of penalties to these parties for cancellation of a hotel reservation, return of tickets, etc. When determining the amount of actual costs incurred, it is necessary to proceed from whether they are necessary for the execution of the contract on the provision of tourist services.

In addition, it should be noted that the tour operator, having received notification from the tourist about the waiver of the agreement, may conclude a new agreement on the provision of tourist services with other persons, thereby minimizing their costs. Of course, this fact should also be taken into account when determining the amount of actual costs. Article L211-14 of the French Tourism Code (Law No. 92-1341, 1992) stipulates that when calculating the amount of costs reimbursed by the traveler for the termination of the contract, the amount of savings and income received by the tour operator from the re-provision of travel services is deducted. We consider it appropriate to implement this regulation in national law, supplementing Part 10 of Art. 20 of the Law of Ukraine «On Tourism» with the following sentence: «If after the tourist’s waiver of the contract tour operator (travel agent) sells this tourist product to another customer, when determining the amount of actual costs, the amount of savings and income received by entity that sells the travel product from the reconclusion of the contract is deducted».

The tourist must apply to the tour operator for a refund, as this is the entity that sells the travel product, while the travel agent only acts as an intermediary between the executor and the customer, selecting and booking the tour. In view of this, intermediaries are not reimbursed for any actual costs.

Contractual practice abounds with examples of the inclusion by tour operators in the agreement terms about the collection of interest penalties from tourists for unilateral refusal of the contract (up to 100 percent of the tour cost depending on the waiver period), the use of which is explained by the need to reimburse costs (EXPRESSVOYAGE, 2021).

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70 In our conviction, the agreement terms about collecting from the tourist part of the money paid under the contract, in the form of a fixed amount, including as a percentage of the cost of the service, are contrary to the provisions of Art. 20 of the Law of Ukraine «On Tourism» and legislation in the field of consumer protection (Article 18 of the Law of Ukraine «On Consumer Rights Protection» (Law No. 3161-IV, 2005)), as they are unfair and restrict the rights of tourists as consumers of tourist services.

Tour operators unreasonably consider the waiver of the contract as a violation of the tourist’s obligation. The following judgments lead to such a conclusion.

A fixed interest rate as the amount of reimbursement of expenses actually incurred is by its nature a penalty, which must be applied in the manner prescribed by law as a measure of liability for breach of obligation by the party, in proportion to the consequences of its violation (Article 549 of the Civil Code of Ukraine).

Instead, a waiver of an contract, as we have found, is a lawful act of one of the parties and therefore cannot be construed as a breach of an obligation. Refusing services, the tourist exercises his right to unilateral refusal of the agreement, regulated by Article 20 of the Law of Ukraine «On Tourism».

The legislative level does not provide for the possibility of collecting a penalty (fine) from a tourist in case the latter refuses of the contract, the only consequence for the tourist is the obligation to reimburse the tour operator for the actual costs incurred. That is, the tourist has the right to withdrawal from the contract without applying any sanctions to him.

Moreover, it is impossible to determine in advance in agreement the amount of actual costs incurred in case of refusal of the customer to execute the contract, because it is unknown when the tourist will declare such a waiver and what costs will be incurred by the tour operator till that moment.

Establishment of strict obligations for the tourist, disproportionately large amount of the fine, veiled under «reimbursement of actual expenses», without establishing the obligation of the tour operator to document them, indicates the existence of a significant imbalance of contractual obligations in favor of the entity that sells the travel product, which violates the rights of the tourist as a vulnerable party to the

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agreement, the importance of protecting the interests of which has been repeatedly emphasized by experts (Sanches Lima, 2018).

Conclusions On the basis of the conducted research we reach the following substantiated conclusions.

The institute of waiver of the contract on the provision of tourist services is one of effective mechanisms of protection of the rights and lawful interests of participants of tourist relations. By its legal nature, the refusal of the agreement is a unilateral legal act, for which the unilateral expression of the will of one of the parties is sufficient, and the consent of the counterparty to change or terminate the agreement is not required. Both the customer (tourist) and the executor of tourist services (tour operator) have such subjective right.

Unilateral waiver of the contract is a measure of operational influence, ie a way of self-defense, and a means of protection of civil interest, which the party to the contract can use both in case of breach of obligations by the counterparty and when the refusal is not related to breach and any other circumstances (unconditional waiver).

The grounds for lawful withdrawal from the tourist services agreement should be differentiated into legal and factual.

A party to an contract on the provision of tourist services may exercise the right to refuse only in cases established by contract or in the presence of certain circumstances specified in the law. The mechanism for exercising of this civil right includes the following elements: out-of-court procedure for changing or terminating a contractual obligation; the party who execute waiver of the agreement notifies the counterparty by sending a notice in written (electronic) form; the contractual relationship is considered changed or terminated from the moment of receipt of the notice by the other party.

In the context of the COVID-19 coronavirus pandemic, the tourist must be able to exercise one of the following rights at his/her own discretion: to refuse a tourist trip without compensating the tour operator and to return all funds for the unprovided service; to postpone the date of travel to another date; or choose other forms of reimbursement offered by the tour operator.

The consequences of waiver of the contract on the provision of tourist services are divided into

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general and special. The general consequence is a change or termination of the obligation relationship, depending on whether the refusal was partial or full. A special consequence of the refusal of the agreement by the tour operator is the full compensation of the tourist losses, and the customer – the payment to the tour operator actually incurred and documented costs associated with the provision of travel services or in preparation for their provision.

Bibliographic references Baranova, L. M. (2015). Оne-sided waiver of obligation as method of unjurisdiction form of defence of equitable civil rights. Theory and Practice of Jurisprudence, 2(8).

Recovered from http://nbuv.gov.ua/UJRN/tipp_2015_2_11 Bodnar, Т. V. (2012). Тһe Оne-sided refuse in contractual obligations. University scientific notes, 1 (41), 232–241. Recovered from file:///C:/Users/User/Downloads/Unzap_201 2_1_30%20(3).pdf De Berti Jacchia Franchini Forlani Law Firm (2020, April, 14). Coronavirus. Cancellation of travel packages and the balancing of remedies to keep the tourism industry alive in Italy and France. Recovered from https://www.dejalex.com/wpcontent/uploads/2020/04/ArticoloCoronavirus-Tourism.pdf Directive No. 2015/2302. On package travel and linked travel arrangements. Official Journal of the European Union, November 25, 2015.

Recovered from http://data.europa.eu/eli/dir/2015/2302/oj European Commission (2020, May, 13). Тourism and transport package. Recovered from https://ec.europa.eu/commission/presscorner /detail/en/QANDA_20_870 EXPRESS-VOYAGE (2021). Contract on the tourist services.

Recovered from https://cruisexpress.com.ua/upload/images/F iles/dogovor_tourist_ready.pdf Grinyak, A. B. (2013). Theoretical principles of legal regulation of contractual obligations in civil law of Ukraine. Kyiv: Research Institute of Private Law and Entrepreneurship of the Academy of Legal Sciences of Ukraine, Kyiv, Ukraine. ISBN 978-966-139-006-4 Grynko, R. V. (2014). Withdraw from the contract as a measure of the operational impact of a binding relationship. Scientific Bulletin of Uzhhorod University. Series «Law», 28(1), 115-118. Recovered from file:///C:/Users/User/Downloads/nvuzhpr_20 14_28(1)__30%20(1).pdf

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Kokhanovskyi, V. O. (2018). Obligations in the sphere of tourism. (PhD dissertation). Taras Shevchenko National University of Kyiv, Kyiv, Ukraine.

Recovered from http://scc.univ.kiev.ua/upload/iblock/4dd/dis _Kokhanovskyi%20V.O..pdf Law No. 435-15. Civil Code of Ukraine. Bulletin of the Verkhovna Rada of Ukraine, Kyiv, Ukraine, January 16, 2003. Recovered from https://zakon.rada.gov.ua/laws/show/43515#n1220 Law No. 2909. Civil Code of the Federal Republic of Germany. Federal Law Gazette (Bundesgesetzblatt), Bonn, Germany, January 2, 2002. Recovered from https://www.gesetze-iminternet.de/bgb/BJNR001950896.html Law No. 92-1341. French Tourism Code.

Legislative part. Official Journal of the French Republic, Paris, France. December 23, 1992.

Recovered from https://www.legifrance.gouv.fr/codes/id/LE GITEXT000006074073/ Law No. 324/95-ВР. On tourism. Bulletin of the Verkhovna Rada of Ukraine, Kyiv, Ukraine, September, 15, 1995. Recovered from https://zakon.rada.gov.ua/laws/show/324/95%D0%B2%D1%80#n291 Law No. 3161-IV. On Consumer Rights Protection. Bulletin of the Verkhovna Rada of Ukraine, Kyiv, Ukraine, December 1, 2005.

Recovered from https://zakon.rada.gov.ua/laws/show/102312#Text Legislative decree No 62. Official Journal of the Italian Republic, Roma, Italy, May 21, 2018.

Recovered from https://ec.europa.eu/info/sites/default/files/tr anslation.pdf Lukasevych-Krutnyk, I. (2019). Unilateral refusal refusal of transportation contracts as a consequence of violation of contractual conditions. Entrepreneurship, Economy and Law, 2, 30–35. Recovered from http://pgpjournal.kiev.ua/archive/2019/2/7.pdf Maikut, K., Andrusiv, U., Yurkevych, Y., Dutko, A., & Zaiats, O. (2020). Protection of the right to property in the case law of the European court of human rights. Amazonia Investiga, 9(28), 497-507.

DOI: 10.34069/AI/2020.28.04.54 Polnyi, D. (2020). Measures of operational influence applied by the parties to the lease agreement in the performance of their obligations at the expense of the counterparty. Actual problems of law, 4(24), 103–111. DOI: 10.35774/app2020.04.103.

Sanches Lima, M. G. (2018). Traveller Vulnerability in the Context of Travel and

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72 Tourism Contracts: A Comparison of Brazilian and EU Law. Cham, Switzerland: Springer. DOI: 10.1007/978-3-319-98376-9 Spasibo-Fateeva, I. V. (Ed.). (2021). Civil Code of Ukraine: scientific and practical commentary. V. 2: Objects. Legal acts.

Representation. Terms and conditions.

Statute of limitations. Personal non-property rights of an individual. Kharkiv: ECUS. ISBN 978-617-7934-03-4 Urazova, A. А. (2015). Category of waiver in the civil law of Ukraine. (PhD dissertation).

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Yaroslav Mudryi National Law University, Kharkiv, Ukraine.

Recovered from http://nauka.nlu.edu.ua/download/diss/Urazo va/d_Urazova.pdf Yavorskyy, R. I. (2015). Tourist services agreement. (PhD thesis). Kyiv Institute of the State of Law named after V. M. Koretskiy NAS of Ukraine, Kyiv, Ukraine. Recovered from http://idpnan.org.ua/files/yavorskiy-r.i.dogovir-pro-nadannya-turistichnihposlug.doc.

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DOI: https://doi.org/10.34069/AI/2021.45.09.7 How to Cite: Vоlоshchuk, O., Kоlеsnyk, V., Shevchuk, A., Yushchyk, O., & Krainii, P. (2021). Human rights protection in the context of combating terrorism: problems of finding the optimal balance. Amazonia Investiga, 10(45), 73-81. https://doi.org/10.34069/AI/2021.45.09.7

Human rights protection in the context of combating terrorism: problems of finding the optimal balance Захист прав людини в умовах боротьби з тероризмом: проблеми пошуку оптимального балансу Received: July 16, 2021

Accepted: September 21, 2021

Written by: Оksana Vоlоshchuk24 https://orcid.org/0000-0003-0991-5605 Viktоriia Kоlеsnyk25 https://orcid.org/0000-0002-0055-7920 Andrii Shevchuk26 https://orcid.org/0000-0003-4501-0440 Olena Yushchyk27 https://orcid.org/0000-0003-1371-3379 Pavlo Krainii28 https://orcid.org/0000-0002-1263-9392 Abstract

Анотація

The article examines the essence and nature of terrorism in the light of the problem of observance and protection of human rights, as well as analyzes the problems that arise in the implementation of anti-terrorist activities.

Emphasis is placed on the fact that it is difficult to find a balance in the observance of human rights in the implementation of various antiterrorist measures by law enforcement agencies and the investigation of crimes related to terrorist activities. It is concluded that the fight against terrorism and the protection of human rights are goals that cannot conflict with each other in a democratic society. They complement and mutually reinforce each other, so when taking measures to stop terrorist activities, states are obliged to adhere to key principles and norms of international law, as well as specific commitments made in connection with participation in international human rights agreements.

У статті досліджуються питання сутності та природи тероризму у світлі проблеми дотримання та захисту прав людини, а також аналізуються проблеми, які виникають при здійсненні антитерористичної діяльності. Акцентується увага на тому, що складно знайти баланс у дотриманні прав людини при здійсненні різного роду антитерористичних заходів правоохоронними органами та розслідуванні злочинів, пов’язаних із здійсненням терористичної діяльності. Зроблено висновок про те, що боротьба з тероризмом та захист прав людини - цілі, які не можуть конфліктувати між собою у демократичному суспільстві. Вони доповнюють і взаємно підсилюють один одного, тому при вжитті заходів, спрямованих на припинення терористичної діяльності держави зобов'язані дотримуватися ключових принципів і норм міжнародного права, а також конкретних

PhD in Law, Assоciatе Prоfеssоr, Hеad оf thе Dеpartmеnt оf Intеrnatiоnal and Custоms Law, Chеrnivtsi Institutе оf Law оf Natiоnal Univеrsity "Оdеssa Law Acadеmy", Ukrainе.

25 PhD in Law, Assistant Professor of the Dеpartmеnt оf Intеrnatiоnal and Custоms Law, Chеrnivtsi Institutе оf Law оf Natiоnal Univеrsity "Оdеssa Law Acadеmy", Ukrainе.

26 PhD in Law, Assоciatе Prоfеssоr of the Department of Criminal Law, Faculty of Law, Yuriy Fedkovych Chernivtsi National University, Ukrainе.

27 PhD in Law, Assоciatе Prоfеssоr of the Department of Criminal Law, Faculty of Law, Yuriy Fedkovych Chernivtsi National University, Ukrainе.

28 Assistant Professor of the Department of Public Law, Faculty of Law, Yuriy Fedkovych Chernivtsi National University, Ukrainе.

24

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Vоlоshchuk, O., Kоlеsnyk, V., Shevchuk, A., Yushchyk, O., Krainii, P. / Volume 10 - Issue 45: 73-81 / September, 2021

Key words: terrorism, terrorist activity, human rights, restriction of human rights, counteraction to terrorism.

зобов'язань, прийнятих у зв'язку з участю в міжнародних угодах з прав людини. Ключові слова: тероризм, терористична діяльність, права людини, обмеження прав людини, протидія тероризму.

Introduction Terrorism did not arise today or yesterday, but its scope in the third millennium is not just impressive, it is appalling. A few years ago, many hoped that with the advent of the 21st century, the era of universal peace and harmony that humanity had long dreamed of would finally begin on our planet. Such hopes were expressed not only by ordinary people but also by many famous politicians and statesmen. But, unfortunately, the following events soon convincingly proved that these were just dreams, the realization of which is still quite far. In particular, in the 21st century, the problem of terrorism has become more acute than ever. The new century began with large-scale bloody terrorist attacks with numerous victims: the tragic day of September 11, 2001 in New York or the events of October 2002 in Moscow, regarding "smaller" terrorist acts, the media reported about them almost daily.

In modern conditions, due to the main political, economic, social, and cultural contradictions of national and international life terrorism has been transformed into a large-scale and complex socio-political phenomenon of national (country), regional and international scope.

Nowadays confirm that terrorism, due to its specificity, as an accessible and often effective form of violence, tends to spread, expand, increase the number and sophistication of terrorist attacks. In recent years, there has been an escalation of terrorist activity in European countries. Accordingly, this leads to the formation of an appropriate regulatory framework in the field of counter-terrorism, as well as the establishment of effective cooperation between States and the development of common standards in this area within the European space.

Such processes take place in many foreign countries. However, the lack of common approaches to the understanding the essence of terrorism, the possible restrictions on certain human rights and freedoms during emergencies, as well as the proportionality and adequacy of these restrictions to the goal pursued by counterterrorism States, in various European countries has a negative impact on the coordination of law

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enforcement agencies in combating this negative phenomenon.

Literature Review The problem of terrorism has long remained open due to the complexity and ambiguity of the phenomenon itself. At the same time, it cannot be said that the problem of terrorism is unexplored.

In particular, among the thorough studies should be singled out the works of B. Jenkins (1975), W. Laqueur (1977), J. Alexander (1979), J. Bell (1978), B. Crozier (1974), L. Bonanate (1979), G. Newman & R. Clarke (2008), R. Jacquard (2002) and others.

In addition, there are now many works at the level of monographic research: P. Wilkinson (1987), "Trends in International Terrorism and America's Response", B. Hoffman (2003) "Inside Terrorism", V. Lipkan (2000) "Terrorism and national Security of Ukraine" and V. Antipenko (2005) "The fight against modern terrorism: international legal approaches", etc.

Despite such a large amount of researches on the phenomenon of terrorism, and the unconditional urgency of the problem of human rights in the context of the international legal fight against terrorism, in the legal literature, terrorism and human rights are usually considered separately.

Moreover, despite the development at the international level of scientific debate on the restriction of human rights in order to ensure the effectiveness of counter-terrorism activities of States, in the domestic legal literature there are almost no researches on this issue. Meanwhile, in our opinion, this is one of the most relevant theoretical and practical issues in the study of current trends in the fight against terrorism.

Methodology Any process of cognition is based on the fundamental choice of methods that can play a decisive role in its course and determine its ideological core and purpose.

The methodological basis of the study consists of philosophical, general scientific and special legal methods. Only the use of these methods in a

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system allowed to obtain complete, objective and promising results from the standpoint of integrated, systematic and other approaches.

The philosophical (dialectical) method, which allowed to comprehensively and fully formulate the main threats of terrorism for human rights, as well as to reveal the main problems of the democratic response to terrorism, became the one of the main methods of scientific research.

The use of the axiological method allowed to substantiate the importance of implementing coordinated actions of States in the fight against terrorism.

In order to analyze and find out the content of the relevant rules of international treaties and acts of international organizations in the field of research, certain methods of interpretation of law were applied.

It has long been recognized that terrorism strikes a direct blow at the values underlying the Charter of the United Nations and several other international treaties, in particular such as: respect for human rights; rule of law; rules of war that protect the civilian population; tolerance between peoples and countries; and the peaceful settlement of conflicts (Office of the United Nations High Commissioner for Human Rights (2008). Therefore, it can be said with confidence that terrorism is certainly a negative phenomenon, an anti-value of both international and domestic law, as it directly affects the most important (fundamental) human rights.

Destabilization of the situation in a country or region, undermining peace and security, law and order, and thus the destruction of civil society and democracy as a result of terrorist acts threaten the socio-economic development of states and have a strong negative impact on some groups. As a result, it negatively affects the observance of fundamental human rights.

Results and Discussion THE CONSEQUENCES OF TERRORISM FOR HUMAN RIGHTS Nowadays the world has entered a qualitatively new stage of its development, connected with the influence of universal regularities of the process of social transformation. Economic globalization and integration of States into a single world system is a manifestation of this transformation.

Globalization leads to the establishment of a single global socio-economic, political and legal space, the formation of a unified information system, the solution of common problems in the field of ecology, socio-economic development, the preservation of peace and the fight against terrorism in all its manifestations and so on (Tymoshenko., Maksymov., Makarenko., Kravchenko., & Kravchenko., 2021, р. 11).

In modern literary sources, it is increasingly possible to find the idea that terrorism at the turn of decades has become a universal disaster that knows no borders. And it really is. It poses one of the most serious threats to international peace and security, and it is a major threat to fundamental human rights, as it aims simply to eliminate human rights, democracy, and the rule of law. And this is confirmed by statistics.

Over the last decade, thousands of civilians have been killed or injured in terrorist attacks, millions have been displaced or forced to flee their homes, many women and children have been enslaved and subjected to violence, including sexual one (Zelinskaya, 2017, p. 491-492).

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As the UN Special Rapporteur on Human Rights and Terrorism, Kufa Calliopi, once has remarked: "In fact, there is probably no human right that is not adversely affected by terrorism" (Calliоpi, 2004, p. 15). The duty of the state to protect the rights of everyone under its jurisdiction is consistently observed by regional human rights courts and international organizations, including UN bodies working under the human rights treaty. By adopting resolutions against terrorism in accordance with Chapter VII of the UN Charter, the Security Council stated that States should be held accountable for non-compliance with international legal obligations to take active actions against terrorism. States must act against terrorism by all legal means and methods at their disposal. In this regard, V.A. Kartashkin notes, "The world today faces a dilemma: to ensure the security of states and human rights through compliance with the UN Charter and the strengthening of the UN or to combat terrorism and other human rights violations through unilateral action by force and further restriction of fundamental rights and freedoms of man and citizen. A secure world cannot exist without respect for human rights" (Kartashkin, 2003, p. 46).

In his report "Unity in the fight against terrorism: recommendations on a global counter-terrorism strategy" (United Nations, 2006) (A/60/825) Secretary-General of the UN rightly warned the international community that "the protection of human rights is an essential condition for the implementation of all aspects of the counter-

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76 terrorism strategy and stressed that effective measures to combat terrorism and protect human rights are goals that do not conflict with each other, but complement and mutually reinforce each other".

The legal literature usually emphasizes that there are three rather separate areas in which terrorism threatens social and political values, directly or indirectly related to the issue of full realization of human rights and fundamental freedoms: life, liberty, and dignity of the person; democratic society; social peace and public order.

Threat to life, liberty and dignity of the person The right to life is the basis for all other human rights, while individual freedom and dignity are the ultimate goal of human rights.

Art. 3 of the Universal Declaration of Human Rights (1948) states that everyone has the right to life, liberty, and security of person, and Art. 5 prohibits cruel, inhuman, or degrading treatment or punishment.

According to paragraph 1 of Art. 6 of the International Covenant on Civil and Political Rights (1966) the right to life is an inalienable right of every human being. Cruel, inhuman or degrading treatment or punishment is prohibited by paragraph 1 of Art. 7 of the Covenant. The right to liberty and security of person is enshrined in paragraph 1 of Art. 9 of the Covenant. Similar norms are contained in human rights documents at the regional level.

It should be emphasized that the consolidation of these rights implies not only a negative obligation of states to refrain from violating them but also, they (states) have a positive obligation to take measures to prevent their violation by anyone, including terrorists. Meanwhile, when committing terrorist acts, these rights are violated in the most direct way, because people die, are deprived of their liberty, other suffering is inflicted on them, their property is destroyed, and so on. This reveals the direct link between terrorism and human rights violations. As a pattern, in March 2012, the terrorist Mohammed Mera, a 24-year-old native of Algeria, committed three attacks, murdered seven people - 3 servicemen and 4 students of a Jewish school. 5 people were injured. These events were widely covered in the French and world media.

Demonstrations in memory of the victims of this terrorist attack took place in Paris and several other cities in France. Former French President Nicolas Sarkozy has even offered to increase

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responsibility for visiting extremist websites (RBC.UA, 2012).

Among the extraordinary examples is the tragedy experienced by the French in early 2015 as a result of the activities of Islamist terrorists. On the morning of January 7, several armed Islamists stormed the editorial office of the famous magazine Charlie Hebdo and opened fire.

As a result of this terrorist attack, 12 people were killed: 10 journalists of the publication and 2 policemen. The international reaction to the tragic events in the world was not long in coming - some countries decided to tighten security measures. Others expressed condolences to the French government and people (RFI, 2015).

Thus, in both the first and the second cases, there is a clear link between terrorism and human rights violations.

The threat to democracy In addition to the direct violation of human rights by terrorists, there is also an indirect link between terrorism and human rights violations. This is the case when States take harsh, incompatible human rights actions in response to the threat of terrorism. As K.K. Koufa notes, "an indirect link can be traced in cases where the state’s response to terrorism entails the application of strategies and methods that go beyond what is permitted by international law and leads to human rights violations, including, in particular, extrajudicial executions, torture, unfair trials and other forms of unlawful repression that violate not only the rights of terrorists but also innocent citizens" (Kalliopi, 1999).

In addition, terrorism can have the following negative consequences for a democratic society: undermine the foundations of legitimate state power; to put in place ideological and political mechanisms that contribute to the planting of a model of society favorable to terrorists; to prevent citizens from exercising their right to participate in decisions that affect their lives; undermine the principles of pluralism and the democratic order of society by creating unfavorable conditions for the application of constitutional norms; to stop the process of democratic development and democratization of society; to slow down the process of free political, economic, social and cultural development; lead to the destabilization of a democratic society even in cases where terrorism does not pose a real threat to the life of that society; create conditions for the expansion of terrorist activities and the growth of terrorists, etc.

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Thus, in countering terrorism, a democratic state faces an inevitable problem. It must effectively combat the terrorist threat to citizens and the state itself, without violating human rights, the democratic process, and the rule of law. On the one hand, a democratic government and law enforcement agencies must avoid the very harsh response that many terrorist groups deliberately seek to provoke to destroy democracy. On the other hand, the government's inability to enforce the law, protect people's lives and property, can undermine its authority and credibility. The fight against terrorism is further complicated by the fact that law enforcement agencies must comply with the restrictions imposed by human rights law, while terrorists are free from such restrictions. In any case, this does not give any grounds for abandoning democracy in the fight against terrorism.

Threat to the social world and public order Terrorism today is not only a de facto daily terrorist attack with a large number of victims but also a large-scale and complex socio-political phenomenon of planetary significance, which has a systemic basis due to the main political, economic, and social contradictions of international life (Bilyanska, 2013).

Terrorist acts inevitably create social and political chaos. Instilling fear and creating conditions conducive to the destruction of the existing social regime is one of the goals of terrorists.

In the long run, the negative impact that terrorism has on the social order can shake the foundations of the state system and pose a threat to the very existence of the state. This is particularly the case when terrorist activities involve drug trafficking, arms trafficking, political assassinations, and other activities of international organized crime, as well as when terrorism manifests itself in the form of fierce insurgency and the violent overthrow of the existing country regime. This puts the country in crisis, destabilizes the system of state power, which, in turn, endangers the international legal order.

The UN, first of all, the UN General Assembly and the UN High Commissioner, play a huge role in the formation of real protection mechanisms against the threat of terrorism. The 60th session of the United Nations discussed the protection of human rights and fundamental freedoms in the fight against terrorism and stated that any measures taken to combat terrorism should be ensure by states in compliance with their

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obligations under international law, in particular human rights law.

On an international summit on democracy, terrorism, and security, which was held in Madrid on 10 March 2005, the UN SecretaryGeneral outlined 5 elements of a strategy to respond to the threat of terrorism based on respect for human rights: 1. Protecting human rights in the fight against terrorism; 2. To carry out explanatory work among dissatisfied groups so that they do not choose tactics of terrorist actions; 3. Deprive terrorists of the means to carry out their attacks; 4. Deter states from providing support to terrorist groups; 5. Create potential in the state to prevent terrorism. UN Secretary-General Kofi Annan (2005) also noted that "measures taken by many States violate human rights and fundamental freedoms and warn that human rights violations cannot contribute to the fight against terrorism" (United Nation, 2006).

The special human rights bodies in the UN system pay close attention to the protection of human rights and the fight against terrorism within their respective mandates and resources.

For example, in May 2005, the Committee against Torture adopted two decisions that serve as an important guideline for the protection of human rights in the fight against terrorism. Both, the case of Agiza v. Sweden and Brady v.

France's, address the issue of deportation of convicts at risk to their lives and health.

The role of international human rights bodies and international courts has increased, due to various objective reasons, among which the growing importance of effective protection of human rights and freedoms and the need to address issues related to armed conflict and international terrorism. One of the most effective mechanisms for protecting the rights and freedoms of citizens are the activities of the European Court of Human Rights. The analysis of ECtHR decisions is of particular importance, including the application of Art. 15 of the Convention for the Protection of Human Rights and Fundamental Freedoms (Council of Europe, 1950), in which it is established that in the event of war or other extraordinary circumstances threatening the life of the nation, it is possible for the State to take measures that deviate from its obligations under the Convention, but only to the extent that the urgency of the situation so requires, provided that such measures do not conflict with other obligations of the State under international law.

And this even though the Convention as a whole

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78 has a "rigid" anthropocentric and humanistic orientation (Drozdov, 2018).

Quite often, law enforcement agencies in some countries, when confronted with persons accused of terrorist activities, do not always adhere to conventional safeguards. And this becomes the basis for the victims to appeal to the ECtHR for protection and restoration of justice. Thus, since 1961, there has been a fairly rich jurisprudence in which the Court has expressed its views on the treatment of detainees, gave an interpretation of the concepts of "terrorist activity" and "involvement in terrorism." For example, in the decision in the case of Ireland v. The United Kingdom (Ireland v. The United Kingdom, 1977), the ECtHR found that during the arrest, further detention and pre-trial investigation of Irish citizens suspected of terrorism, UK law enforcement officials significantly exceeded the powers granted to them. In particular, during interrogations, such means of mental and physical violence as standing under the wall, deprivation of food, drink and sleep, using the noise, which, in essence, is a violation of Art. 3 of the Convention ("Prohibition of Torture") (Council of Europe, 1950). The Court also issued a similar decision in the case of Aksoy v. Türkey (Aksoy v. Türkey, 1996).

Based on the case-law of the ECtHR on the application of paragraph 2 of Art. 15 of the Convention, it should be noted that the Court has consistently pointed out the impossibility of restricting, even in the context of special legal regimes, certain rights and freedoms which are absolute and enshrined in Articles 2, 3, 4 (§ 1) and 7 of the Convention, namely life; prohibition of torture; prohibition of enslavement; prohibition of conviction for actions or omissions that did not constitute a criminal offense at the time of their commission, prohibition of imposition of a heavier punishment than that applied at the time of its commission.

At the same time, the ECtHR highlights rights and freedoms that, on the contrary, may be restricted following certain provisions of the Convention, usually in the interests of national security and public order, the economic wellbeing of the country, to prevent riots or crimes, to protect health or morals or to protect rights and freedoms, other people. Such rights include the right to respect for private and family life, housing and correspondence; freedom of thought, conscience and religion; freedom of expression; freedom of assembly and association; the right to freedom of movement; prohibition of deportation of a foreigner-only for

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the execution of a decision made under the law.

Thus, the analysis of the case-law of the ECtHR allows us to conclude that the main criteria that guide the Court in exercising control are: a) the nature of the rights covered by the waiver; b) the grounds for imposing a state of emergency; c) the duration of the state of emergency.

Thus, it can be argued that today, scholars and politicians have given much thought to the challenges facing modern Western democracies in the field of human rights. Many opinion polls show that many citizens in some Western countries are aware of the need to empower governments to ensure their security and support the granting of broader rights to intelligence services. Proponents of restrictions on citizens' rights argue that measures taken to counter the terrorist threat are a temporary departure from the principles of liberal democracy that are permissible in an emergency. At the same time, libertarians ruthlessly criticize the oppression of civil liberties. In this sense, the government transforms democracies into police states (Shirоkоva, 2014, p. 30-31).

When it comes to terrorism, there is a possibility that there may be a serious conflict between two main areas of concepts of human rights and the fight against terrorism: the first concerns the act of terrorism itself; the second concerns those measures that may be taken by official bodies in the process of countering terrorism.

RESPECT FOR HUMAN RIGHTS IN CARRYING OUT ANTI-TERRORIST ACTIVITIES Modern problems of the democratic response to terrorism Terrologists often point out that with a democratic response to terrorism, democracy can be significantly harmed or destroyed altogether by an excessive response from the state. As a rule, with a relatively low intensity of terrorist violence, any restriction of democratic freedoms in society is perceived very negatively, as the use of the unfavorable situation of freedoms in order to increase its interference in the privacy of citizens, facilitate control over their actions and lower the bar of requirements for themself.

The centuries-old struggle of the progressive forces of society for the fundamental rights and freedoms of citizens has taught us to be extremely negative about any restriction, even temporary and forced. As Benjamin Franklin once remarked: "The one who sacrifices freedom

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for the sake of peace deserves neither freedom nor security" (Vоlоkh, 2014). At the same time, the right and obligation of states to use all possible means to protect society from criminal encroachments for the benefit of the latter has been recognized since ancient times. However, often the intensity of terrorist violence forces the state to take decisive action, which can cause ambiguity both within the state and in the international community. Particularly harsh is the reaction to such restrictions in societies that have survived totalitarian regimes.

However, as was noted above, according to the Convention for the Protection of Human Rights and Fundamental Freedoms (Council of Europe, 1950), the official imposition of martial law or a state of emergency, or the establishment of another public danger that threatens the life of the nation, may justify the suspension (restriction) of most of the relevant rights and freedoms. Art. 15 "Dеrоgatiоn in timе оf еmеrgеncy" says: "In timе оf war оr оthеr public еmеrgеncy thrеatеning thе lifе оf thе natiоn any High Cоntracting Party may takе mеasurеs dеrоgating frоm its оbligatiоns undеr this Cоnvеntiоn tо thе еxtеnt strictly rеquirеd by thе еxigеnciеs оf thе situatiоn, prоvidеd that such mеasurеs arе nоt incоnsistеnt with its оthеr оbligatiоns undеr intеrnatiоnal law" (Art. 15, Council of Europe, 1950). The Secretary General of the Council of Europe shall be informed of the relevant decision, the measures taken and the reasons for their adoption, as well as their repeal and renewal.

Thus, Art. 15 allows for restrictions only if the necessary conditions laid down in the Convention are met and in accordance with the established procedure.

The concept of "militant democracy" Recently, the very view of democratic measures to protect the state system has changed significantly. According to Professor E. Jesse, the concept of "militant democracy", which is supported in some countries and means the judicious use of force in the rule of law to protect democratic rights and freedoms, is based on the following principles: proclamation and upholding of priority values the majority of the population; reliable state protection of proclaimed values; preventive protection by legal and other means from possible threats (Khlobustov & Fedorov, 2000, p. 91-92).

As we can see, this concept has a preventive character - it provides for the restriction of democratic freedoms in case to protect the priority values of society (Moskalkova et al.,

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1998). In fact, the focus on the superiority of such values over individual freedoms and rights is enshrined in the Convention for the Protection of Human Rights and Fundamental Freedoms (Council of Europe, 1950), as well as in the Intеrnatiоnal Cоvеnant оn Civil and Pоlitical Rights (United Nations Human Rights Office of the High Commissioner, 1966) and Univеrsal Dеclaratiоn оf Human Rights (United Nations, 1948). Thus, the European Convention's rights to freedom of thought, conscience and religion (Art. 9), the right to freedom of expression (Art.10) and the right to freedom of peaceful assembly and association (Art. 11) may be subject to restrictions established by law and the need for a democratic society in the interests of public safety, public order, health and morals, or to protect the rights and freedoms of others. And the last two - also in the interests of national security and in order to prevent riots and crimes. In addition, restrictions on the rights related to freedom of expression may take place (if required by law) in the interests of territorial integrity, protection of the reputation or rights of others, to prevent the disclosure of information obtained in confidence, or to maintain the authority and impartiality of justice. As correctly noted by O.M. Khlоbustоv and S.G. Fedorov, similar grounds for restriction are established by the European Convention on Freedom of Opinion and Transfer of Information (Khlobustov & Fedorov, 2000, p. 96).

In general, the starting point in resolving the issue of restricting the rights of individuals, especially the right to privacy is the balance of interests of the individual and society. According to A.G. Spirkin, "law is a necessary condition for the exercise of freedom of free citizens in society.

But if a person wants to be free, he must limit his freedom to the fact of the freedom of others, and this is his own legal relationship. Law is something sacred because it is an expression of the idea of freedom, the idea of law and order in society" (Spirkin, 2001, p. 602).

In terms of restrictions on personal rights, European states have traditionally emphasized the importance and possibility of police and state interference in a person's private life if there is a greater threat to society. Accordingly, a culture of respect for government in Europe makes it possible to violate the rights of government rather than citizens.

It should be understood that the existing consensus in society in wartime in the face of a large-scale threat of possible restriction or suspension of civil rights and freedoms, in a

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80 situation of terrorism is much more difficult and depends on society's perceived level of threat from terrorism. According to Robert Pifotski, a former member of the Federal Trade Commission, one of the most active defenders of privacy, "September 11 has changed a lot. In a society that protects privacy, terrorists feel like fish in water. And if in order to identify them, it is necessary to give in to this inviolability, the majority is ready to say: "Well, we agree" (Mike., Heather. et al., 2001, p. 41).

The example of the United States and other Western countries in the face of the terrorist threat confirms the rule that violations of civil liberties must be investigated concerning the fundamental freedom of self-preservation and preservation of a political system within which these and other freedoms make sense. This implies that the relationship between terrorism, intelligence, and civil liberties is a matter of balance.

It must also be understood that the fight against terrorism and the protection of human rights are goals that cannot conflict with each other. These are complementary and mutually reinforcing goals, so when taking measures to stop terrorist activities, states are obliged to adhere to key principles and norms of international law, as well as specific commitments made in connection with participation in international human rights agreements. These principles, norms, and obligations define the limits of permissible lawful actions of the authorities aimed at combating terrorism.

Conclusions Thus, in view of the above, it can be argued that most researchers of terrorism conclude that terrorism today poses the most serious threat to international peace and security, and is therefore a major threat to fundamental human rights, especially natural rights and freedoms. Despite the fact that in this area every state is trying to develop an effective policy to protect its citizens from the threat of terrorism, it is often too severe, because there are violations of fundamental human rights - especially personal, access rights to information, freedom of the press and others, and in emergencies - special services are endowed with broad powers and have access to bank accounts, eavesdropping on conversations, monitor correspondence on the Internet, etc.

States forget that by pursuing their counterterrorism policies, they often violate the constitutional rights of citizens. The activity of the state in the fight against terrorism should

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consist not only of force, but also of preventive measures, which is extremely important in a legal democratic society.

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Tymoshenko, V. I., Maksymov, S. I., Makarenko, L. O., KravchenkoО. S., & Kravchenko, S. S. (2021). Threats to human rights in a globalized world. Amazonia Investiga, 10(39), 9-15.

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DOI: https://doi.org/10.34069/AI/2021.45.09.8 How to Cite: Goicochea Morales, L.B., & Kapustina, D.M. (2021). Particularidades de las réplicas en el proceso de la comunicación lingüística intercultural en la etapa inicial de la conversación telefónica, entre representantes de los países hispano y ruso-hablantes. Amazonia Investiga, 10(45), 82-87. https://doi.org/10.34069/AI/2021.45.09.8

Particularidades de las réplicas en el proceso de la comunicación lingüística intercultural en la etapa inicial de la conversación telefónica, entre representantes de los países hispano y ruso-hablantes Особенности ответов в процессе межкультурного лингвистического общения на начальном этапе телефонного разговора между представителями испаноязычных и русскоязычных стран Received: July 27, 2021

Accepted: September 12, 2021

Written by: Lorenzo Benjamín Goicochea Morales29 https://www.elibrary.ru/author_profile.asp?id=613601 https://orcid.org/0000-0002-2840-685X Daria M. Kapustina30 https://www.scopus.com/authid/detail.uri?authorId=57224223077 https://www.elibrary.ru/author_profile.asp?id=593275 https://orcid.org/0000-0001-7236-8937 Resumen

Аннотация

En el presente trabajo se lleva a cabo un análisis de la literatura sobre el problema de la comunicación intercultural, incluyendo la conversación telefónica, entre representantes de los países hispano y ruso-hablantes. Cobra especial relevancia el análisis de las peculiaridades de las réplicas en el proceso de la comunicación lingüística intercultural en la etapa inicial de una conversación telefónica, entre representantes de países hispanohablantes y de habla rusa, ya que contribuye a la interacción de las culturas y al enriquecimiento del acervo lingüístico de sus participantes. El objetivo del presente trabajo fue analizar las réplicas clave durante las conversaciones telefónicas entre representantes de varios países de habla hispana.

El autor utiliza réplicas de clichés en diferentes etapas de una conversación telefónica y describe las razones para elegir una u otra réplica.

Además, el autor presta especial atención a las réplicas usadas en el inicio de la conversación telefónica. El principal método de investigación para obtener información sobre el tema del trabajo fue la entrevista realizada con interlocutores hispanos sobre temas específicos.

Además, se realizó un análisis de contenido de las conversaciones telefónicas para identificar las réplicas más repetitivas.

В данной работе проводится обзор литературы по проблеме межкультурной коммуникации в том числе во время телефонного разговора между представителями испаноязычных и русскоязычных стран. Анализ особенности реплик в процессе лингвистической межкультурной коммуникации на начальном этапе телефонного разговора между представителями испаноязычных и русскоязычных стран становится особенно актуальным, так как способствует взаимодействию культур и обогащению лингвистического запаса у субъектов общения. Цель работы состояла в анализе ключевых реплик при телефонных разговорах с представителями различных испаноязычных стран. Автором проводится использование реплик-клише на разных этапах телефонного разговора и описываются причины выбора той или иной реплики. Особое внимание автор уделяет репликам, касающихся начала разговора. Основным методом исследования для получения информации по теме работы было интервьюирование, проводимое с испаноязычными собеседниками на заданные темы. Далее был проведен контент-анализ

29 30

Senior Lecturer, Moscow Aviation Institute (National Research University), Moscow, Russia.

PhD in Philosophy, Associate Professor, Moscow Aviation Institute (National Research University), Moscow, Russia.

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Palabras clave: comunicación intercultural, comunicación lingüística, lengua y cultura, conversación telefónica, réplicas, comportamiento del habla de una persona, diálogo.

телефонных разговоров с целью выявления наиболее повторяющихся реплик. Ключевые слова: межкультурная коммуникация, лингвистическая коммуникация, язык и культура, телефонный разговор, реплики, речевое поведение личности, диалогическая речь.

Introducción Una de las disciplinas más dinámicamente demandadas por la sociedad en el mundo moderno es la comunicación intercultural, que, junto con la sociolingüística, estudia la interacción entre lengua y cultura (Kurbakova et al., 2020). En las investigaciones modernas se enfatiza el hecho que en el transcurso de los últimos años, el desarrollo de la comunicación intercultural ha llegado a ser la dirección principal en la enseñanza de idiomas extranjeros (Yi, 2020).

La comunicación intercultural es estudiada a nivel interdisciplinario, por tales ramas del conocimiento como filosofía, culturología, psicología, lingüística, etnología, antropología, sociología, ciencias políticas, ecología de los medios de comunicación, etc. (Sinyachkin, 2017). El renovado interés en estas disciplinas se debe a la situación geopolítica del mundo (Prikhozhaya, 2019).

La comunicación se ha convertido en objeto de estudio independiente de las ciencias sociales gracias al desarrollo de medios técnicos de transmisión de información -principalmente la radio, desde comienzos de los años 20 del siglo XX. El desarrollo de la teoría de la comunicación fue facilitado por la formación de la cibernética, la informática y la semiótica; ciencias que con el término "comunicación" designan determinados canales técnicos y medios de comunicación. La comunicación se analiza como un sistema multicomponente, compuesto por elementos. El conocimiento comunicativo es interdisciplinario.

Por ello, la comunicación es objeto de disciplinas socio-humanitarias, naturales-científicas y científico-técnicas; cada una de las cuales elige de la comunicación su objeto y tema de investigación. Las disciplinas técnicas estudian las posibilidades y métodos de transferir, procesar y almacenar información. Las ciencias sociales (psicología, lingüística, psicolingüística, sociología, sociolingüística, teoría de la comunicación, ciencias políticas, estudios culturales, etnografía) investigan sus aspectos de la comunicación con sus características inherentes y específicas. Así, la lingüística se

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ocupa de los problemas de la comunicación verbal, la psicología y la psicolingüística estudian las razones, las barreras que impiden el proceso de comunicación, así como la motivación del comportamiento verbal y no verbal de los comunicantes (Artyushina et al., 2021).

El objetivo del presente trabajo fue analizar las réplicas clave durante las conversaciones telefónicas entre representantes de varios países de habla hispana. El autor utiliza réplicas de clichés en diferentes etapas de una conversación telefónica y describe las razones para elegir una u otra réplica. Además, el autor presta especial atención a las réplicas usadas en el inicio de la conversación telefónica.

Revisión de literatura En la actualidad, el aprendizaje de idiomas como medio para aumentar la conciencia intercultural y la comunicación, así como para promocionar el crecimiento profesional de los ciudadanos es uno de los principales objetivos de los sistemas educativos en todo el mundo (Palacios-Hidalgo et al, 2021).

Por esta razón, la tarea principal de la educación moderna es desarrollar las habilidades de los estudiantes para interactuar con otras culturas con éxito, así como responder eficazmente a las demandas, desafíos y oportunidades que surgen en situaciones interculturales (Tsymbalyuk et al., 2021).

Hoy en día, un gran número de trabajos está dedicado a los problemas de la comunicación intercultural (Ponyaeva, 2021; Nazartseva et al., 2019). La doctora Tinyakova E.A. señala que la comunicación lingüística generada por la actividad humana, puede convertirse en un factor capaz de controlarla. La diversidad y complejidad de la comunicación lingüística dificulta aún más los problemas sociales y culturales. Analizando los problemas de la comunicación intercultural, Schoenberger I.I. describe las razones de la ocurrencia de

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84 malentendidos a nivel lingüístico en el proceso de la comunicación intercultural (Shenberger, 2008). Vladimirova T.E. estudia la comunicación intercultural en un mundo globalizado, a través del prisma de la lingüística. En sus investigaciones, se observa un intento de analizar los conceptos de valor y el comportamiento del habla de una personalidad lingüística nacional como sujeto de comunicación y concluye dando importancia a la formación de una personalidad lingüística bilingüe durante la enseñanza de una lengua extranjera (Vladimirova, 2012).

Abdukadyrova T.T. y Tsutsashvili T.A. ofrecen una comprensión científica de los problemas metodológicos y teóricos del aspecto lingüístico en la comunicación intercultural. Sus trabajos se centran en el estudio de los aspectos lingüísticos que pueden influir en la comunicación entre hablantes de diferentes idiomas (Abdukadyrova and Czuczashvili, 2020). El aspecto lingüístico no se limita a identificar las particularidades semánticas de las palabras en diferentes idiomas.

También abarca la comparación de diversas situaciones comunicativas, las formas de dividir el mundo por medios lingüísticos, la comparación del comportamiento del habla de representantes de diferentes culturas (Abakumova, 2013). Teniendo en cuenta el componente sociocultural, la comparación de lenguas rusa y extranjeras, revela la profundidad de las diferencias entre lo que hay detrás de las palabras de estas lenguas, es decir, entre las ideas culturales sobre objetos reales y fenómenos de la realidad y entre los objetos y fenómenos en sí mismos (Vedenskaya, 2015).

En los trabajos de T.B. Radbil, se estudia el problema del análisis lingüístico de la especificidad nacional-cultural de las estrategias del habla-comportamiento, cuya expresión lingüística son las peculiaridades de la entonación y la prosodia frasal, las formas idiomáticas de expresar diferentes fuerzas ilocucionarias (intenciones comunicativas ) del hablante, así como los diferentes tipos de "palabras del discurso" (palabras introductorias y modales, partículas, interjecciones) y unidades de metatexto (Radbil, 2014). El diálogo intercultural como el componente más importante de la sociedad moderna, debe contribuir a la autoidentificación de la persona en el espacio cultural (Seregina et al., 2019).

En el centro de investigación de la lingüística moderna está el lenguaje en acción, en primer lugar, la consideración de los patrones de comportamiento del habla de una persona, que está estrechamente relacionado con el problema de la cultura del habla. Hablar por teléfono ocupa

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un lugar importante en la comunicación moderna (Krasilnikova, 2014).

La conversación telefónica es una de las variedades del habla dialógica, durante la cual tiene lugar una conversación bidireccional y no visual. En la lingüística moderna, se viene realizando una investigación intensiva sobre varios parámetros de una conversación telefónica, se lleva a cabo un análisis de los medios lingüísticos utilizados durante su realización. El enfoque que hacen los científicos del material (conversaciones telefónicas) como de un discurso oral, es legítimo y apropiado.

Permite analizar los rasgos fono-estilísticos del habla asociados a la posible influencia de factores extralingüísticos, para desarrollar un modelo tipológico de conversación telefónica, teniendo en cuenta las condiciones de comunicación y las características de los hablantes (Abakumova, 2013).

Se considera que la primera llamada telefónica fue realizada el 10 de marzo de 1876 por Alexander Graham Bell. De hecho, el teléfono fue inventado por el italiano Antonio Meucci, quien solicitó una patente para su invento allá por 1871, 5 años antes de que lo hiciera el científico escocés. La fama de A. Bell se explica por el hecho de que fueron él y la Bell Company que el mismo fundó, quienes contribuyeron a la popularización de la telefonía y al desarrollo generalizado de la industria telefónica. Bell hizo una demostración de transmisión eléctrica del habla al hacer una llamada a su asistente eléctrico, Thomas Watson. Se produjo entonces la primera conversación entre dos personas que se encontraban en salas distintas y fue recordada para siempre lo dicho: “¡Watson, ven! Te necesito aquí".

En Rusia, la primera conversación telefónica tuvo lugar en noviembre de 1879 entre las ciudades de San Petersburgo y Malaya Vishero.

En nuestros tiempos, este tipo de comunicación se utiliza en todo el mundo cada minuto y, gracias a las tecnologías modernas, puede conectar a personas que se encuentran en los rincones más remotos entre sí. También vale la pena señalar que hoy en día este tipo de comunicación se ha desarrollado aún más, gracias a las tecnologías modernas del Internet, ya que "el Internet y sus servicios se han convertido en una herramienta popular" (Krivova et al., 2021).

Cada uno de los participantes de la comunicación telefónica juega un cierto papel comunicativo: el que llama (denotado en otra terminología como "comunicador, emisor") y la persona requerida

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(destinatario, o receptor, que recibe el mensaje del que llama). También se permite la participación de un tercero en una conversación telefónica, que es denominado conectador o mediador. Su función es conectar al comunicador con el destinatario. En este tipo de comunicación se observa claramente que existe una determinada organización de la orientación comunicativa, y al igual que ocurre en la comunicación normal, es importante tener en cuenta el registro estilístico de la conversación.

Puede ser oficial, es decir, de trabajo y no oficial, implícito en la comunicación diaria. A. Lindström señala que el comienzo de las conversaciones telefónicas casi siempre es estándar y depende ligeramente de las especificaciones nacionales. Siempre contiene una llamada - una respuesta, una frasereconocimiento, un saludo y una pregunta sobre la salud o los negocios. Las diferencias en la etapa inicial de una conversación telefónica están relacionadas principalmente con el reconocimiento del interlocutor. Además, como bien lo señala T. Pavlidu, es al comienzo de una conversación cuando suelen darse las explicaciones del por qué no respondieron de inmediato, se disculpan por molestar y hablan de una mala audibilidad (Abakumova, 2013).

Gracias a que el comportamiento del habla está determinado por las normas que observan los hablantes, es bastante fácil determinar si una conversación telefónica es formal o informal.

Entre las características inherentes al habla telefónica, podemos destacar las siguientes: 1.

2.

3.

4.

Falta de contacto visual entre interlocutores, su ubicación remota; Limitación en el tiempo; Probabilidad de interferencia técnica (mala audibilidad); Los interlocutores se ven privados de la posibilidad de recibir y transmitir comunicaciones no verbales (en particular, elementos del habla cinética como los gestos y las expresiones faciales).

Métodos El principal método de investigación para obtener información sobre el tema del trabajo fue la entrevista realizada con interlocutores hispanos sobre temas específicos. Además, se realizó un análisis de contenido de las conversaciones telefónicas para identificar las réplicas más repetitivas. Se utilizó un conteo segmentario y temático.

El tipo de etnometodología estudiado parte del supuesto de que las conversaciones constituyen la base de otras formas de relaciones interpersonales. Esta es la forma más común de interacción, y cualquier conversación consiste en una matriz coherente de prácticas y procedimientos de comunicación socialmente organizados.

El muestreo consistió en 40 conversaciones en español de contactos personales de los autores con informantes en países como Perú, Argentina, Ecuador, Nicaragua, Cuba y España.

Resultados y discusión El análisis llevado a cabo de los estereotipos de réplicas mostró que entre ellos hay no pocos telefónico-especiales. Estos incluyen, por ejemplo, réplicas utilizadas en los países citados, como:        

Muy a menudo réplicas con incompletitud sintáctico-morfológica de expresión, en las que se omiten elementos semánticamente redundantes: 

Es indudable que los factores enumerados líneas arriba tienen un impacto directo en la implementación de herramientas lingüísticas y en la realización de los textos de los diálogos telefónicos. El principio comunicativo de la comunicación telefónica se centra en el estándar y la compresión. Son características del habla telefónica varias réplicas estereotipadas (clichés, modelos) (Formanovskaya, 2002).

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¡Aló! ¡Comuníqueme con …! ¿Quién habla? ¡Bueno! ¡Diga! ¡No cuelgue! ¡Bueno! ¿De parte de quién?

 

‘¿Con quién?’ (en lugar de ‘¿Con quién desea usted hablar?’); ‘Banco de Crédito del Perú’ (en lugar de ‘Contesta la secretaría del Banco de Crédito del Perú’); ‘¿Quién?’ (en lugar de ‘¿Quién habla?’).

Tales comentarios "fragmentarios" son especialmente abundantes en el registro informal de comunicación. Los comentarios a menudo utilizados, que confirman la aceptación de la información por parte del interlocutor, así como

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86 el fortalecimiento del contacto verbal en idioma español, son los siguientes:        

Ya, ya (Perú, España); ¡Vale! (España); Bueno, ¿qué más? (Ecuador); ¡No me digas! (Colombia); ¡Mira vos! (Nicaragua); ¡Ah, ya! (Perú); ¡Sí, sí! (Cuba); ¡Qué onda, amigo!, ¿Cómo andás? (Argentina).

En la comunicación diaria, estos comentarios suelen ir acompañados de un movimiento de cabeza o expresiones faciales. Al final de una conversación telefónica entre mujeres, a menudo, como etiqueta del habla (EH), se utilizan las siguientes réplicas: ¡Besos! ¡Besitos! ¡Abrazos!

El bloque de contenido-información de la comunicación suele incluirse en el segundo período de una conversación telefónica. El diálogo de este período está mucho más liberado de las fórmulas y expresiones estereotipadas que son inherentes a las etapas iniciales y final de la comunicación telefónica.

La variabilidad y el uso de claves-cliché también se utilizan en las conversaciones telefónicas. La elección de una u otra réplica entre las posibles, depende de muchas razones. En el sentido amplio, es la naturaleza estilística de la comunicación -es decir, puede ser formal o informal. Pero existe una serie de factores específicos, entre los que destacamos: 1.

2.

En caso de mala audibilidad, se utilizan tales réplicas repetitivas como:  

¡Sí, soy yo, Betty! (Perú); ¡Hola! ... ¡Hola! (Argentina).

En consecuencia, para el grupo temático de unidades de EH "hablando por teléfono", es típico utilizar no solo unidades de EH que atienden situaciones de EH más específicas (por ejemplo, trato o dirección, saludo, despedida, disculpa, gratitud), sino también unidades específicas inherentes a esta particular situación comunicativa. En el proceso de las conversaciones telefónicas, es necesario tener en cuenta algunos puntos esenciales que nos ayudarán a describirlos de manera más adecuada.

Refiriéndose a esta temática, el Doctor en Filología VE Gol’din señala que: "una característica de las conversaciones telefónicas es el marco comunicativo obligatorio, cuya parte inicial atiende la llamada del abonado, la identificación de quién está hablando con quién, la aclaración de si existe la posibilidad de entrar en comunicación telefónica en ese momento, la verificación del nivel de audibilidad y algo más" (Gol`din, 2009).

El llamado "marco comunicativo" de una conversación telefónica se puede representar mediante un esquema general aproximado, que consta de los siguientes períodos: 1.

2.

3.

Establecimiento del contacto inicial de la comunicación; Declaración del propósito de la llamada telefónica. A veces, los interlocutores discuten la información proporcionada; La etapa final de la comunicación telefónica.

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3.

4.

5.

Adónde llaman (a casa o a alguna institución); A quién llaman (situación y situación demográfica del destinatario); Quién llama (situación y situación demográfica del emisor); La naturaleza de la relación entre los interlocutores, su estado emocional, su grado de educación y tipo de personalidad mental); En qué país de habla hispana tiene lugar la conversación telefónica (importante para la selección de una serie de unidades lingüísticas).

La réplica característica de la etapa inicial de una conversación telefónica en respuesta a una llamada: la señal inicial para la comunicación, la primera réplica telefónica específica del lado de la persona que ha contestado a una llamada telefónica en los países de habla hispana puede ser una de las siguientes:              

¡Aló! - Алло! ¡Diga! - Говорите! ¡Sí! - Да! ¡Oigo! - Слышу! ¡Hable! (¡Habla!) – Говорите! (Говори!) ¡Hola!, (¡Holá!) – Привет! ¡Aquí! - Я тут! ¡Ajá! - Ага! ¡A ver! - Посмотрим! ¿Qué hay? - Что нового? ¡Bueno! -Хорошо! ¿Quién es? - Кто это? ¿Quién habla? -Кто это говорит? ¡Ordene! – Прикажите!

Conclusión Hoy en día se da una importancia creciente a los problemas de la comunicación intercultural, en

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diversos campos del conocimiento. La interacción intercultural entre diferentes países y naciones se está convirtiendo cada vez más en objeto de una atención especial por parte de investigadores y políticos. A lo largo de varios siglos, el diálogo intercultural ruso-español ha ido enriqueciendo el contexto lingüístico de las naciones, haciendo posible comprender mejor la estructura arquitectónica de la cultura y sus cambios profundos. En el mundo moderno, uno de los medios de comunicación intercultural más utilizados es la conversación telefónica. La presente investigación ha permitido identificar las principales réplicas-estereotipos que son usadas en el inicio de las conversaciones telefónicas de habla hispana.

Referencias Bibliográficas Abakumova, S. S. (2013). Characteristics of a business conversation on the phone (based on the material of Russian and German languages). Bulletin of the Volgograd State University. Series 2: Linguistics, 1(17), 137-141.

Abdukadyrova, T. T., and Czuczashvili, T.A. (2020). The role of the linguistic aspect in the implementation of intercultural communication. In Proceedings of the XI International Scientific and Practical Conference, 9-14.

Artyushina, G. G., Zhurbenko, N. L., and Sheypak, O. A. (2021). Individual educational path based on learning styles theory as a way to reach sustainable quality education goals. Revista Inclusiones, 8(1), 54-66.

Formanovskaya, N. I. (2002). Verbal communication: a communicative-pragmatic approach. Moscow: Russian language.

Gol`din, V. E. (2009). Conversion: theoretical problems. Saratov: Book House “Librokom”.

Krasilnikova, L. V. (2014). Genre varieties of modern telephone conversation. Bulletin of the Center for International Education of Moscow State University. Philology.

Culturology. Pedagogy. Methodology, 3, 40-44.

Krivova, A. L., Kalliopin, A. K., Korotaeva, I. E., Shafazhinskaya, N. E., and Ermilova, D. Y. (2021). Social Networks as a Means of Monitoring Students’ Progress. Propósitos y Representaciones, 9(SPE3), 1264.

Kurbakova, S. N., Starodubova, O. Y., Khristoforova, N. I., Sabekia, R. B., and Askarova, G. B. (2020). European antiquity in verbal expression: philosophical and

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cultural aspect. Revista Inclusiones, 7(S1), 337-349.

Sinyachkin, V. P. (2017). Intercultural communication. Study of sign linguistic and non-linguistic communication. Moscow: Peoples' Friendship University of Russia.

Nazartseva, E. A., Morya, L. A., and Zubanova, S. G. (2019). Teaching foreign students the vocation-related language.

Amazonia Investiga, 8(22), 338-343.

Palacios-Hidalgo, F. J., Huertas-Abril, C. A., and Gómez-Parra, M. E. (2021). Foreign and Bilingual Language Education in the UK and Spain: A Study of Similarities and Differences. Journal of Language and Education, 7(2 (26)), 243-255.

Ponyaeva, T. A. (2021). Innovations in pedagogical activity of higher schools.

Revista Inclusiones, 8(1), 97-105.

Prikhozhaya, L. I. (2019). Telephone etiquette in the aspect of intercultural communication.

Philological aspect, 1, 93-100.

Radbil, T. B. (2014). National models of communication in linguistic coverage: to the formulation of the problem. Communication Research, 1, 41-50.

Seregina, T., Zubanova, S., Druzhinin, V., and Shagivaleeva, G. (2019). The Role of Language in Intercultural Communication.

Space and Culture, India, 7(3), 243-253.

Shenberger, I. I. (2008). The causes of misunderstandings at the linguistic level in the process of intercultural communication.

Bulletin of Tomsk State University, 309, 24-27.

Tsymbalyuk, E. I., Romanenko, N. M., Romanenko, A. V., and Volkova, M. A. (2021). Psychological and Pedagogical Conditions Conducive to the Formation of Intercultural Competence Among Students from Different Countries. Journal of Language and Linguistic Studies, 17, 1392-1409.

Vedenskaya, T. E. (2015). The linguistic aspect of the problems of intercultural communication. In Language and text: structure, discourse, translation. Moscow: Moscow Aviation Institute (National Research University).

Vladimirova, T. E. (2012). Intercultural communication: linguistic aspect. Voronezh State University Bulletin. Series: Linguistics and Intercultural Communication, 2, 7-12.

Yi, X. (2020). A study on the cultivation model of intercultural communicative competence in foreign language teaching. In 2020 International Conference on Information Science and Education (ICISE-IE), 9-12.

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Kundi, G.M. / Volume 10 - Issue 45: 88-98 / September, 2021

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DOI: https://doi.org/10.34069/AI/2021.45.09.9 How to Cite: Kundi, G.M. (2021). Relationship between quality of work-life and individual work performance: Moderating role of organizational culture. Amazonia Investiga, 10(45), 88-98. https://doi.org/10.34069/AI/2021.45.09.9

Relationship between quality of work-life and individual work performance: Moderating role of organizational culture ‫ دور الوسيط للثقافة التنظيمية‬:‫العالقة بين جودة الحياة العملية وأداء العمل الفردي‬ Received: August 15, 2021

Accepted: September 25, 2021

Written by: Ghulam Muhammad Kundi https://orcid.org/0000-0003-3082-1611 31

Abstract The study aimed to find the contingent role of organizational culture upon relation and cooperation, and facilities provided to employees at the workplace to enhance individual’s work performance. A crosssurvey approach was adopted. A total of 400 complete questionnaires were used in the analysis. SPSS-25 was used for the analysis of data. Hierarchical multiple regression was employed to test the hypotheses. It was found that there is a significant moderating role of organizational culture upon relation and cooperation, and facilities provided to employees to enhance individual work performance. The study finds that there is an intense need to improve the quality of work-life and workplace of health professionals so they deliver their best to achieve organizational objectives. The study recommends that there is a need to a supportive culture because it plays an instrumental role in bringing the desired level of performance which ultimately leads the organization to success. This study was conducted in healthcare organizations; the findings of this study could only be generalized into the health sector.

Keywords: Facilities, Individual Work Performance, Organizational Culture, Quality of Work-Life. ‫نبذة مختصرة‬ ‫ والتسهيالت المقدمة للموظفين في مكان العمل لتعزيز‬، ‫هدفت الدراسة إلى معرفة الدور العرضي للثقافة التنظيمية على العالقة والتعاون‬ ‫ لتحليل‬SPSS-25 ‫ تم استخدام‬.‫ استبيان كامل في التحليل‬400 ‫ تم استخدام ما مجموعه‬.‫ تم اعتماد نهج المسح الشامل‬.‫أداء العمل الفردي‬ ، ‫دورا معتدالً مه ًما للثقافة التنظيمية على العالقة والتعاون‬ ً ‫ وجد أن هناك‬.‫ تم استخدام االنحدار الهرمي المتعدد الختبار الفرضيات‬.‫البيانات‬ ‫ وجدت الدراسة أن هناك حاجة ماسة لتحسين نوعية الحياة العملية ومكان العمل‬.‫والتسهيالت المقدمة للموظفين لتعزيز أداء العمل الفردي‬ ‫دورا‬ ً ‫ توصي الدراسة بأن هناك حاجة لثقافة داعمة ألنها تلعب‬.‫للمهنيين الصحيين حتى يقدموا أفضل ما لديهم لتحقيق األهداف التنظيمية‬ .‫ أجريت هذه الدراسة في مؤسسات الرعاية الصحية‬.‫أساسيًا في تحقيق المستوى المطلوب من األداء الذي يقود المنظمة في النهاية إلى النجاح‬ .‫يمكن تعميم نتائج هذه الدراسة في قطاع الصحة فقط‬ .‫ أداء العمل الفردي‬،‫ الثقافة التنظيمية‬، ‫ المرافق‬، ‫ جودة الحياة العملية‬: ‫لكلمات المفتاحية‬ Introduction Previously, the words happiness, well-being, and health were used to denote “quality of life” but these terms are now obsolete and have several problems while defining them in an absolute terminology since people were defining and using them with varying meanings on different occasions. Therefore, these words were substituted by a more comprehensive and absolute concept of “quality of work-life”. The

concept was first coined by Pigou in 1920 in his book “Economic Well-being”. Initially, this book was overlooked and constantly ignored till the end of World War II. After WWII, World Health Organization (WHO) further refined, redefined, and expanded the concept of health where social wellbeing was included in the definition of health inter alia the physical and psychological concepts. Then after WHO popularized the new

Department of Health Administration, College of Public Health and Health Informatics, Al-Bukayriyah Qassim University, Kingdom of Saudi Arabia.

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definition of quality of work-life (QWL) as an aim of individuals aligned with cultural and values system linked with hopes, living standards, and interests (Allworth, & Hesketh, 1999). This definition includes the physical, psychological, and social well-being of an individual, that how an individual makes relations with surroundings, and their level of independence, etc. The concept of quality of work-life got the attention of researchers, academicians, and practitioners since mid of the last century (Ruzevicius, 2012). Previously quality of work-life and quality of life was considered as material welfare and wealth but later on the concept of values was also added into the definition of quality of life and work-life thus, the concepts were modified. Based on those new models, theories, and instruments were developed by the researchers to measure the quality of work life. The quality of life was studied in the past studies, even still the life at the workplace was overlooked in these studies. This study is an effort to fill the gaps in the theories and models of quality of work-life (Ashford, 1986). The study is conducted to investigate the contingent role of organizational culture upon relation and cooperation, and facilities provided to employees at the workplace to enhance individual’s work performance.

Literature Review Theoretical Framework Analysis (TFA) was employed to review the existing sources of literature related to the relationship between quality of work-life (QWL), individual work performance (IWP), and organizational culture (OC) which suggest the use of several qualitative analysis models like: ‘thematic network analysis’

by Attride-Stirling (2001); ‘Grounded-theory’ of Glasser & Strauss (1967), ‘Framework-Analysis’

by Ritchie & Spencer (1994).

Quality of work-life Quality of work life is linked with organizational practices, it deals with enhancing a professional’s mental health, satisfaction, and safety. An increase in quality of work-life ensures the retention of a highly productive workforce (Almalki, Fitzgerald, & Clark, 2012). The increasing complexities and challenges at the workplace greatly influenced individual work performance, for example, awareness and knowledge management, rapid technology change is making the work environment more complex and difficult (Taher, 2013). With emerging challenges and complexities, health professionals are facing several issues related to

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the quality of work-life, due to lack of satisfaction, the individual work performance in healthcare organizations has recorded a decrease in their performance (Albejaidi, Kundi, & Mughal, 2020).

In this study, the researcher used quality of worklife as a predictor. Sirgy et al. (2001) have categorized quality of work-life into two groups i.e., higher-order needs and lower-order needs.

According to them, higher-order needs included self-esteem, self-actualization, and aesthetic needs, while lower-order needs consist of safety, health, and wellbeing, etc. Later on, Zare et al.

(2012) divided quality of work-life into four main attributes such as work-life balance, social factors, economic factors, and job content factors. Work-life balance includes fair and flexible working hours, permission to perform religious activities, the distance between personal life and work life. While social factors include social integration, social networking, respect to employees, self-esteem needs, likewise, economic factors include health, salary, job satisfaction, wellbeing, insurance, health services, and retirement, etc. Similarly, job content factors include teamwork, training and development, career growth, proper work environment, facilities, autonomy at work, and interpersonal relationship with colleagues and supervisors, etc. (Malik, Cao, Mughal, Kundi, Mughal, & Ramayah, 2020; Awan et al., 2014).

Before this model, Hsu and Kernohan (2006) categorized the quality of the work-life model into 56 attributes with six main themes. These themes are demography, organizational aspect, socio-economic aspects, self-actualization, work aspect, and human relation aspect. In addition, Deb (2006) divided quality of work-life into job rotation, career development, job enrichment, and participation in the decision-making process.

Based on the above discussion, this study used work environment, relation and cooperation, training and development, facilities, job satisfaction, autonomy at work, salary, and facilities as predictors of individual work performance. On the other side, individual work performance was taken as criterion variables in the study. Azril et al. (2010) claimed a very weak relationship between quality of work-life and individual work performance, thus, there was an immense need to add some contingent variable.

Relation and Cooperation Every employee and every manager in one way or the other are involved in some kind of relationship in work settings. The relationship

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90 and cooperation with each other are sometimes positive and productive, while sometimes, it is negative when influenced by nepotism, favoritism, and cynical behavior, etc. is practiced. People work individually as well as collectively in groups to achieve some common goals and objectives, the hallmark of management Zare et al. (2012). A manager is given authority and control over the resources.

By using these two things, they get the work done by working with or working through the employees through command and direction to complete a specified task. A manager alone is unable to complete the task, therefore, s (he) uses human resources, here good and intimate relations between leaders and followers become significant and instrumental for managerial success and enhanced performance (Akhtar, Nazarudin, & Kundi, 2021a). Hsu and Kernohan (2006) asserts that their cooperation with each other in form of sharing knowledge, information and extending help to each other help the organization materializes its goals through timely completion of the assigned tasks. Babalola, Gbadegesin, & Patience, (2014) have reported that usually, this relation falls under the vertical category i.e., from manager-to-subordinate, also called superior-subordinate relationship, or master-servant relationship. The manager is responsible to identify, control and rectify the mistakes of employees at the workplace through timely directions and guidance. And this is possible only if effective communication is employed, therefore, (Albejaidi, Kundi, & Mughal, 2020). considered effective communication skills as a prerequisite for good and efficient management. Some managers have direct communication with their subordinates while others create power distance, both create a unique mindset among the employees in the organizations.

The concept of the subordinate-supervisor relationship is deeply rooted in the concept of leadership styles. Leadership is the process, and a leader is a person who can motivate their employees. A leader can come up with novel ideas and instill those ideas in each member of the team and motivate and satisfy them, cooperate with them to achieve their personal as well as organizational goals (Malik, Cao, Mughal, Kundi, Mughal, & Ramayah, 2020; Awan et al., 2014). According to Babalola et al (2014), there are four dimensions of superiorsubordinate communication relationship, i.e., positive communication relationship, upward openness communication, negative, and jobrelated communication. The positive relationship communication allows the employees to send

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feedback and queries about work in the organizations to the managers.

Managers are open to take feedback from employees, listen to their problems, solve them, and help them to participate in the decisionmaking process (Akhtar, Nazarudin, & Kundi, 2021b).

While upward communication relationship allows the employees to agree and disagree with their manager/supervisor. Negative relationship communication is used by those managers who do not leave any opportunity to criticize the employees, likewise, job-related relationships and communication include information, rules, policies, and supervisor feedback about the performance (Babalola, Gbadegesin, & Patience, 2014). Those leaders which allow their employees to participate in the decision-making process, listen to them, and help them to progress in their career are considered the most effective leaders, this kind of relationship and cooperation with employees falls under the category of transformational leadership styles.

Facilities According to Asmui, Hussin, and Paino (2012) facilities influence the mental and physical capabilities of the workforce. Healthy workplace such as human-centric office design, arrangement of furniture, state-of-the-art equipment, and provision of internet, Wi-Fi, pleasant lighting arrangement, stationery, and other facilities increase the productivity of employees. It is found that proper provision of needed facilities can reduce the level of physical and mental stress among the employees. They also argued that if organizations lack such facilities as a result it will increase safety issues, which also include stress, absenteeism, and decreased productivity. Work stress is defined as harmful emotional and physical responses, and it occurs when job facilities do not match the potential and capabilities of the employees.

Facilities deals with ergonomics, while the poor practice of ergonomics will lead to poor performance, thus, to deliver at their best, it is essential to facilitate the employees with the best working environment, conditions, and facilities.

An appropriate and comfortable human-centered working environment and facilities help the organizations to achieve the desired level of performance (Akhtar, Nazarudin, & Kundi, 2021ab). The nonalignment between human needs and facilities will lead to work-related musculoskeletal disorders. Daubermann et al.

(2011) have reported 12 twelve ergonomics principles to be followed by a health organization

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to achieve the desired level of employee performance against the standard and criteria.

These principles are (1). everything easy to reach, (2) proper heights for work, (3) excessive force must be reduced, (4) work in good postures, (5) repetition must be reduced, (6) reduce fatigue, (7) pressure on employees must be reduced, (8) allow the employees to get adjusted to the environment, (9) clearance and access, (10) provide a comfortable work environment, (11) improve understanding, (12) work organization must be improved. Furthermore, the physical work environment includes chairs, lighting, working hours, and humidity, etc.

Individual Work Performance (IWP) Individual work performance is an issue that has exclusively keep the organizations worried throughout the world, attracted the researchers to put efforts to investigate the issues faced by management related to wellbeing and employee performance. Various studies on individual work performance have been conducted with diverse methodologies on work, commitment, fulfillment, and identity of individual work performance (Koopmans, Bernaards, Hildebrandt, Schaufeli, de Vet Henrica, & van der Beek, 2011. However, literature is replete with varying approaches to study an individual work performance and to make the individual as productive as possible, likewise, organizational psychologists studied the influence of work engagement, satisfaction, and personality on the individual work performance in healthcare organizations. It is reported that individual work performance differs from job to job, therefore numerous measures have been used for the individual work performance measurement (Koopmans, Bernaards, Hildebrandt, Schaufeli, de Vet Henrica, & van der Beek (2011). Since work performance is a latent abstract construct that could not directly be measured, therefore, it is measured against its dimensions (Fay & Sonnentag, 2009). The universally accepted definition of work states that it is the behavior or action related to the objectives of an organization (Lennox & Mansfield 2011). The employee work performance is distinct from the productivity of work, whereas work productivity implies an input divided by output, which means that work performance is a broader concept than work productivity.

Organizational Culture Hofstede (1997) defined culture as values, beliefs, traditions of the society, organizations, or group of people and it plays a significant role in

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the success of any organization for which organizations needs culture must support the business. The internal stakeholders, their values, belief, and traditions greatly influence the decision-making process (Acar & Acar, 2014).

According to Zeqiri and Alija (2016) culture also has subcultures since all stakeholders come from different backgrounds, i.e., doctors might belong to cultures, where nurses come from other cultures, and the paramedical staff from another culture, once all these cultural differences met at one place they influence the overall culture of the organization in their way (Malik, Cao, Mughal, Kundi, Mughal, & Ramayah, 2020).

Anthropologists consider culture as rituals and customs, according to Zare et al. (2012), culture is a set of beliefs, values, norms, and assumptions that change the behavior of individuals, teams, groups in the organizations (Gatseliuk, Strelbitska, Herasymchuk, Pavlyshyn, & Khrystiuk, 2021). Hofstede (1997) defined culture as the programming of the mind which distinguishes one group different from another group. Organizations are made up of individuals and groups who share some common values and develop their own culture. Hofstede (1997) developed a model of organizational culture with six dimensions, which is widely considered by the researchers as a reliable and authentic model to understand the organizational culture. All studies point that culture plays a significant moderating role between the quality of work-life and individual work performance (Awadh & Saad, 2013).

Relationship between Quality of Work-life, Individual Work Performance, and Organizational Culture The theory of social exchange states an exchange is the trade of tangible and intangible activities that could be rewarding or non-rewarding between at least it involves two persons i.e., one is party ‘A’, and second is party ‘B’. Social exchange behavior describes that behavior of ‘A’ weakens or strengthens the behavior of ‘B’.

Cropanzano et al. (2017) state that this relationship is based on reciprocal gains and benefits, thus, in such a relationship, one party might repay the good or bad deeds at the cost of the other. Based on these notions therefore researcher has based this study on the social exchange theory recommended by (Bligh, 2017; Busari et al., 2019). The organizational culture moderates relationship between quality of worklife and enhance individual work performance.

Cameron and Quinn employed the theory of membership reaction in observing organizational culture and argued that a positive relationship

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92 exists between the quality of work-life and individual work performance (Akhtar, Nazarudin, & Kundi, 2021a).

Quality of work-life has the power to influence the feelings and individual performance of an employee in an organization. Studies enlist several factors that determine the quality of the work-life process of an employee like, the fair and adequate financial and fringe benefits, and opportunity for professional growth and development, etc. (Wahlberg, Ramalho, & Brochado, 2017). The relations between quality of work-life, and employee performance were studied by were Kanten and Sadullah (2012) they analyzed the consistency of the instrument that evaluates the quality of work-life. Similarly, a study by Warrick (2017) found that to develop a corporate organizational culture needs cooperation, which requires the development of leaders who undertake quality of work-life as a vital task with understanding to the aligning organization decision making with the cultural ideals. Warrick (2017) reported the relationship between organizational culture and components of quality of work-life on employee the health and safety of the workplace. Valizadeh and Ghahremani (2012) have found a direct and significant relationship between the quality of employees' work-life and organizational culture.

Awadh and Saad (2013) investigated the influence of organizational culture on employee performance and found that it is a significant predictor of job effectiveness. Furthermore, Kwahar & Akuraun (2018). in their study also reported a relationship between quality of worklife and organization culture, employees' job satisfaction. Malik, Cao, Mughal, Kundi, Mughal, & Ramayah (2020) contend that if top

management ensures their commitments and meets the employee’s expectations, this might reinforce the employee’s good judgment for trust and fairness in their organization and thus it results in a positive psychological contract between the employer and the employee.

Kanten and Sadullah (2012) also discussed the relationship between quality of work-life and individual work performance, organizational culture through the application of the theory of Quinn and Spreitzer membership relationship.

Zeqiri and Alija (2016) examined the perceived organizational culture and its influence on the employee’s performance concerning the quality of work-life, yet they reported a weak relationship. Parent & Lovelace (2018) studied the connections between employee performance, organizational culture, and an individual’s ability to adapt to ongoing organizational change, whereas Razak, Ma’amor, & Hassan (2016) have reported that there is a relationship between organizational culture and employee quality of work-life and has a positive effect on the individual’s performance.

Based on the well-documented relations between qualities of work-life, individual work performance, and organization culture, below two hypotheses, have been proposed (Acar & Acar, 2014).

H1: Organizational Culture has a significant moderating effect upon relation & cooperation and individual work performance.

H2: There is a positive significant moderating impact of organizational culture upon facilities provided at the workplace and individual work performance.

Figure1. Framework of the study based on Literature Review.

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Research Methods This study is explanatory, so a cross-sectional quantitative research design was adopted.

Nonprobability convenience sampling technique was used to collect through a structured. Since the population was big, therefore, Krejcie and Morgan's (1970) table was sued to select the sample size i.e., 400.

Measures The entire instrument was adopted in this study.

The quality of the work-life scale was adopted from Swamy, Nanjundeswara, & Srinivas (2015). It has 10 items measured on a five-point Likert scale. Five items for relation and cooperation and five for

facilities.

Similarly, the instrument for organizational culture was adapted from Lund (2003). All the items ranged from 1 (strongly disagree) to 5 (strongly agree). Likewise, the scale of individual work performance was adopted from Koopman et al. (2011), all its items ranged from 1 (strongly disagree) to 5 (strongly agree).

Results and Discussion SPSS 25 was employed for data analysis.

Descriptive statistics and inferential statistics including process file version 3 of Andrew, F. Hayes were also used for the analysis of moderation results. Cronbach alpha was used to check the reliability of the scale while hierarchical multiple regressions were used to test the hypotheses.

Table 1.

Demographic Information.

Variable Sector

Education

Designation

Gender

Characteristics

n

Percentage

Public Private Master M. Phil PhD Medical Superintendent Assistant Director Deputy Director Director Male Female

208 192 187 142 71 139 115 78 68 250 150

52 48 46.75 35.5 17.75 34.75 28.75 19.5 17 62.5 37.5

Source: Primary Data Survey.

Analysis of the demographic characteristics of the sample respondents in table 1 reveals that 208 (52%) were male respondents who participated in the survey while 192 (48%) were women.

Moreover, 187 (46.75) respondents were having master's degrees while 142 (35.5%) were having MPhil degrees and 71 (17.75%) respondents were holding doctoral degrees. This explains that the majority of respondents working in health organizations are young and having masters and

MPhil degrees.

Furthermore, regarding designation, the majority of the respondents 139 (34.75%) were medical superintendents, followed by assistant directors i.e., 115 (28.75%), deputy directors 78 (19.5%), and directors 68 (17%) out of a total of 400 respondents. The total 250 (62.5%) male respondents who participated in the study were 250 (62.5%) while 150 (37.5%) were female.

Table 2.

Reliability Analysis.

Variables Relation Cooperate Facilities Overall Individual Performance Organization Culture

No of Items 5 5 20 8

Items Deleted 0 0 3 0

Source: Primary Data Survey

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Cronbach Alpha 0.815 0.798 0.800 0.815

93

94 Table 2 reports the results for Cronbach alpha, the alpha score for relationship and cooperation was 0.815 as could be seen in column 4, and for facilities, it was reported 0.798. The Cronbach alpha for individual work performance was

0.800, and for organizational culture, it was 0.815. Since all values were above the minimum threshold value, therefore, it was decided that the instrument has the internal consistency and reliability to measure the responses.

Table 3.

Moderating Effect of Organizational Culture between Relation and Cooperation, and Individual Work Performance.

D.V IWP

I.V CONSTANT RC OC RC*OC ∆F ∆R2

R 0.7263

R2 0.527

F 110.14

T 80.19 5.80 8.38 2.30

β 2.98 0.276 0.291 0.091

5.314

p 0.000 0.000 0.000 0.021

LLCI

ULCI

0.0134

0.1698

0.0218

0.0085

Source: Survey Data Table-3 shows moderating results for organizational culture, relation and cooperation, and individual work performance. Hayes process file version 3 and model 1 for moderation were used. The result shows that before adding organizational culture as moderator R2=0.527, 52.7% variance was shown upon individual work performance by relation and cooperation with the goodness of fit F=110.14, p<0.05. Yet, after adding organizational culture as a moderator in the regression equation ∆R2=0.0085, mean 0.85% variance was shown and ∆F=5.314, p<0.05, there was no zero between lower limit confidence interval and upper limit confidence

interval and beta value of relation and cooperation upon IWP β=0.276, p<0.01 explained that 27.6% change could be observed in IWP due to 1 percent change in relation and cooperation, While organizational culture β=0.291, p<0.01, it means one percent change in organizational culture could bring 29.1% change in IWP, while interaction term β=0.091, p<0.05 means that 9.1% variation could be seen in IWP and it is significant due to interaction term.

Therefore, it is evident that there is a significant moderating effect as could be seen in table 3, thus, H1 is accepted.

Figure 2. Moderation Graph RC, Culture, IWP, Source: Survey Data.

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The moderation graph was plotted one standard deviation above and below the mean, the blue line shows a low level of organizational culture moderating effect, the red line moderate, and the green line shows the high moderating effect of organizational culture. The green, blue, and red lines are going upward from left to right, this explained that low, high, and moderate levels of supportive culture could increase the relationship

between relationship and cooperation and individual work performance. By providing a supportive culture, better work performance results will be the outcome, a more productive workforce, and better individual work performance. This means that three levels of culture help in enhancing the relationship and cooperation, and individual work performance in healthcare organizations.

Table 4.

Moderating Effect of Organizational Culture between facilities and individual work performance.

D.V

I.V

R

R2

F

T

β

p

IWP

CONSTANT

0.7234

0.523

144.88

103.14

2.87

0.000

Facilities

5.97

0.205

0.000

OC

12.14

0.329

0.000

4.65

0.132

0.000

F*OC ∆F

LLCI

ULCI

0.0766

0.1888

21.62

∆R2

0.026

Source: Survey Data Table 4 highlights moderating results for organizational culture, facilities, and individual work performance. Again, Hayes process file version 3 and model 1 were used for moderation analysis. Results indicate that before adding organizational culture as moderator R2=0.523, 52.3% variance was shown upon individual work performance, facilities, and the value for the goodness of fit was F=144.88, p<0.05, but by adding organizational culture as a moderator in the regression equation ∆R2= 0.026, mean 0.2.6% variance was shown and ∆F= 21.62, p<0.05, there was no zero between lower limit

confidence interval and upper limit confidence interval and beta value of facilities upon IWP β= 0.205, p<0.01 explain that 20.5% significant change could be observed in IWP due to 1 percent change in facilities. While organizational culture β=0.329, p<0.01 means that one percent change in organizational culture could bring 32.9% change in IWP, while interaction term β= 0.132, p<0.05 means that 13.2% variation could be seen in IWP, and it is significant due to interaction term. Therefore, table 4 reports a significant moderating effect, thus H2 is accepted.

Figure 31. Moderation Graph Facilities, OC & IWP, Source: Survey Data.

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96 Organizational culture significantly moderated the relationship between facilities provided at the workplace to health professionals’ which ultimately enhanced the performance. The moderating effect took place one standard deviation below the mean. It means that increase in the facilities to professionals will increase the performance and vice versa. Green line has higher steeper as compared to red and blue lines, which shows that a high level of care and facilities could result in high productivity and performance.

The purpose of adding the moderator was to strengthen the weak relationship among predictors and the criterion as reported in the previous studies by Kwahar & Iyortsuun (2018).

Organizational culture provides significant moderating results between relationship and cooperation, and facilities. The findings of this study are consistent with Zeqiri & Alija (2016) who reported a significant relationship among predictors and criterion variables. Likewise, Acar & Acar (2014) reported a significant moderating impact of organizational culture upon the quality of work-life and individual work performance in healthcare organizations. Similarly, Wahlberg, Ramalho, & Brochado (2017) also supported the results that development, supportive, and innovative culture enhances the quality of worklife and individual work performance of healthcare staff in healthcare organizations.

Conclusions Based on the literature reviews and findings of the study, it is concluded this model will help the management of healthcare institutions to use the results of this study with moderating effects of organizational culture on the relationship between QWL and IWP as a mean of developing as an understanding and management relationship. This study adds is an effort to test the variables of QWL, IWP and OC found in the literature to suggest a steadiness between QWL and IWP. The connecting of these three variables into a single construct is an expansion in the theoretical comprehension and knowledge of QWL, IQP and OC. It will nurture a better relationship and will contribute to the inclusive performance and experience. This study is new in the context of health sector organization in developing countries, earlier such study has not been conducted in developing countries in the sub-continent. Thus, study further concluded that there is an intense need to improve the quality of work-life and workplace of health professionals so that employees deliver their best and help organizations to achieve their objectives. Also,

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there is a need to establish and highlight the supportive culture at the workplace because culture plays a very important role in bringing the desired level of performance in the employees which ultimately leads the organization to success.

Bibliographic references Acar, A.Z. & Acar, P. (2014) Organizational culture types and their effects on organizational performance in Turkish hospitals. EMAJ: Emerging Markets Journal, 3, 18-31.

Akhtar, R., Nazarudin, M.N., & Kundi, G.M. (2021a). Empirical evidence on the mediating role of job satisfaction, commitment, trust in leadership, intention to leave between leadership styles, performance appraisal, and physical education teacher’s performance.

Psychology and Education, 58(4), 729- 38.

Akhtar, R., Nazarudin, M.N., & Kundi, G.M. (2021b). Reversing the paradigm: Empirical evidence of followership in shaping transactional leadership style: The mediating effect of trust, leader-member exchange (LMX). Psychology and Education, 58(5), 422- 433.

Albejaidi, F., Kundi, G.M., & Mughal, Y.H. (2020). Decision-making, leadership styles and leadership effectiveness: An AMOSSEM approach. African Journal of Hospitality, Tourism and Leisure, 9(1), 1-15.

Allworth, E., & Hesketh, B. (1999). Constructoriented biodata: capturing change related and contextually relevant future performance.

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Awan, K.Z., Qureshi, W., Akram, M., Shahzad, K. (2014). Mediation role of organizational commitment in the relationships of organizational politics and job involvement and employee performance.

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DOI: https://doi.org/10.34069/AI/2021.45.09.10 How to Cite: Paryzkyi, I., Humin , O., Matvieiev , S., Marchenko, O., & Chukaieva, A. (2021). Administrative offense as deterrent to prove objective aspect in criminal proceedings. Amazonia Investiga, 10(45), 99-104. https://doi.org/10.34069/AI/2021.45.09.8

Administrative offense as deterrent to prove objective aspect in criminal proceedings Адміністративний делікт як стримувальний чинник доведення об’єктивної сторони в кримінальному судочинстві Received: August 16, 2021

Accepted: September 29, 2021

Written by: Paryzkyi Ihor32 https://orcid.org/0000-0001-6835-5930 Humin Oleksii33 https://orcid.org/0000-0002-8016-945X Matvieiev Serhii34 https://orcid.org/0000-0002-0037-004X Marchenko Olha35 https://orcid.org/0000-0002-8945-7490 Chukaieva Alina36 https://orcid.org/0000-0001-8251-5187 Abstract

Анотація

The purpose of the article is to study administrative offense as a deterrent to proving the objective element in criminal proceedings.

The research methodology includes the use of general scientific and special methods of scientific cognition: dialectical, epistemological, logical and semantic, system and structural, normative and dogmatic, monographic, legal modeling methods. Research results: The article examines the problems of co-existence of administrative and criminal offenses. The signs of delimitation of these illegal acts are determined, as well as difficulties in defining and differentiating between administrative and criminal offences are established, which creates legal gaps and conflicts. The problem of administrative offense as a deterrent to proving the objective element in criminal proceedings is described. Practical implications: The main obstacles to legal accountability related to the consideration of administrative offenses are identified. Value / originality: The ways to overcome the above problems are proposed.

Метою статті є дослідження адміністративного делікту як стримувального чинника доведення об’єктивної сторони у кримінальному судочинстві. Предмет дослідження: Предметом дослідження є адміністративний делікт у кримінальному судочинстві. Методологія: Методологія дослідження включає використання загальнонаукових та спеціальних методів наукового пізнання: діалектичного, гносеологічного, логіко-семантичного, системно-структурного, нормативнодогматичного, монографічного методів, методу правового моделювання. Результати дослідження: У статті досліджено проблеми співіснування адміністративних деліктів та кримінальних правопорушень. Встановлено ознаки відмежування цих противоправних діянь та одночасно виявлено складність визначення та розрізнення адміністративних та кримінальних порушень, що створює правові прогалини та колізії. Охарактеризовано проблему існування

32

Doctor of Economics, PhD in Law, Professor of the Department of Marketing, Economics, Management and Administration, Vice-Rector for Strategic Development of the Higher Educational Institution "National Academy of Management", Ukraine.

33 Doctor of Law, Professor, Head of the Department of Criminal Law and Procedure of Lviv Polytechnic National University, Ukraine.

34 PhD in Law, Associate Professor, Dean of the Faculty of Law of the National Academy of Management, Ukraine.

35 Ph.D. in Law, Acting Associate Professor of the Department of Public Law Disciplines of the University of Modern Knowledge, Ukraine.

36 PhD in Law, Senior Lecturer of the Department of Information Technologies and Cybersecurity of the Educational and Scientific Institute №1 of the National Academy of Internal Affairs, Ukraine.

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Paryzkyi, I., Humin , O., Matvieiev , S., Marchenko, O., Chukaieva, A. / Volume 10 - Issue 45: 99-104 / September, 2021

Keywords: administrative liability, administrative offense, criminal liability, criminal offense, criminal proceedings.

адміністративного делікту як стримувального чинника доведення об’єктивної сторони в кримінальному судочинстві. Практичні наслідки: З’ясовано основні перешкоди у притягненні до юридичної відповідальності, пов’язані із розглядом адміністративних деліктів. Цінність / оригінальність: зЗапропоновано шляхи подолання вищевказаних проблем. Ключові слова: адміністративний делікт, адміністративна відповідальність, кримінальна відповідальність, кримінальне судочинство, правопорушення.

Introduction Nowadays, the legislation on administrative offenses is undergoing numerous changes, accompanied by the decriminalization of many illegal acts related to the abolition of criminal liability for certain offenses, as well as making criminal offences administrative offenses, because often the punishable acts (crimes and misdemeanours) are similar, the boundaries between these public law torts are blurred and difficult to define. This causes certain complications due to human rights violations, or failure to adequately protect violated rights. In view of this, the possibility of considering illegal acts as administrative offenses, rather than criminal offenses, is a deterrent to proving the objective element in criminal proceedings, which as the consequence of not incurring responsibility may have a significant public danger.

The fundamental differences that eliminate arised limits of administrative and criminal liability is the determination of different features (Statkienė & Granickas, 2017, p. 149). It should be noted that administrative liability is distinguished from criminal one on the following grounds: 1)

2)

administrative liability arises for the commission of an administrative offense, the composition of which is determined both by laws and by-laws (decisions of local governments). Criminal liability arises for the commission of a crime, the composition of which is determined exclusively by the provisions of the Criminal Code of Ukraine; the right to initiate cases on administrative offenses, as well as the right to consider such cases is endowed with a wide range of subjects of public administration. The right to initiate criminal cases is vested exclusively in the bodies of inquiry and

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3)

4)

5)

6)

preliminary investigation and the bodies of the prosecutor’s office with the power of review vested solely in the courts; only natural persons are held criminally responsible, and both natural and legal persons are held administratively liable; bringing a person to administrative responsibility and applying administrative sanctions do not lead to such consequences as criminal record, which is further manifested in certain limitations of his (her) legal personality (for example, free travel outside Ukraine); administrative liability is realized both out of court and in court; criminal liability is realized only in court; bringing a person to administrative responsibility takes place in a shorter time and under a simplified procedure.

At the same time criminal liability takes advantage over administrative liability.

According to the legislation of Ukraine administrative liability occurs if the nature of the violation does not make it a criminal offence under the law. Thus, the aim of the Article is to distinguish administrative offense from criminal offense and to study administrative offense as a deterrent to proving the objective element in criminal proceedings.

Methodology General and special methods of scientific knowledge were used as the methodological basis for the research. In particular, dialectical method helps to examine the problem of administrative offense in criminal proceedings as a separate and distinct issue. Epistemological method, as well as logical and semantic method are used to clarify the concepts of administrative offense and criminal offense. The application of

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system and structural method contributes to the investigation of the factors, which hinder proper consideration and bringing the perpetrators to justice in criminal proceedings. Normative and dogmatic method helps to examine legal acts, which regulate the issues connected with administrative and criminal offenses (the Code of Administrative Offenses and the Criminal Code of Ukraine). Monographic method allows to study the view of scientists on the problem of administrative offense in criminal proceedings.

The use of legal modeling method allowed to formulate the relevant conclusions.

Literature Review Clarification of the essence of the subject matter of administrative offense and criminal offense, establishing its objective nature, place and role in the structure of public relations, protected by appropriate sanctions, is of great importance for the correct administrative offense or criminal qualification and the correct imposition of administrative penalties or criminal charges. As Kirchengast (2008, p. 114) correctly notes “the separation of tort and criminal law is now affirmed by the institutionalisation of criminal prosecutions in a state authority and the severe limitation of victim power in the criminal courts”. Richards (2009), in his turn, stresses that “it is important to understand the parallels between criminal and administrative law, because most of the criminal prosecutions arise from administrative law problems”.

However, the distinction between administrative and criminal illegal acts has a number of difficulties, as administrative and criminal liability have common features; in particular the former is punitive in nature and does not differ substantially from criminal liability (except where a warning or injunction has been issued, which have no punitive effect). In this regard Paeffgen (1991, p. 247) notes that their coexistence, based on different legal concepts and serving different purposes, creates specific problems of interaction and even interference. In his turn Simons (2008, p. 720) adds that structural difference is sometimes given a more substantive gloss: criminal law prohibits "public" wrongs and tort law "private" wrongs. According to Dyson (2014) tort law and criminal law are closely bound together but their relationship rarely receives sustained and rigorous scrutiny There is increasing recognition in the legal and administrative literature that administrative offenses are criminal offenses by their nature, and administrative and tort liability derives from

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criminal one, given that it appeared in the legislation due to the decision of the Soviet authorities to separate certain socially dangerous encroachment from other crimes with the establishment of an administrative procedure for the consideration of the relevant cases (Onishchenko et al, 2013, p. 220; Kolpakov, 2005, p. 117).

Although many scientists (Khavroniuk, 2015, p. 252; Lukianets, 2013; Hryshyna, 2014; Hrytenko et al, 2021) believe that there are differences in object, degree of assault, procedural characteristics, the nature of the offense and punishment between administrative offenses and criminal offenses.

Results and Discussion Nowadays, there is a situation when it is impossible to distinguish administrative offenses from criminal offenses, as a significant part of criminal offenses that have nothing to do with public administration, provided for by the Code of Administrative Offenses (Law No. 80731-X, 1984) and other laws. On the contrary, the composition of administrative offenses is enshrined in the Criminal Code of Ukraine (Law No. 2341-III, 2001), and sometimes the same acts are envisaged in both of these Codes.

The norms of the special part of the current Code of Administrative Offenses of Ukraine envisage misdemeanors that are not related to the sphere of public administration (Khavroniuk, 2015, p.

252). For example, misdemeanors provided for in Article 51 “Petty theft of alien property”, Article 51-2 "Violation of intellectual property rights", Article 52 "Spoil and pollution of agricultural and other lands", Article 89 “Animal cruelty“, Article 104 “Poisoning of crops, damaging or destroying crops, damage to plantations of collective agricultural enterprises, other State and public or peasant (farmer) farms ", Article 173 “Petty hooliganism” and many others (Law No. 80731-X, 1984). Accordingly, criminal penalties are applied for administrative violations, and administrative fines and other administrative penalties are applied for criminal misdemeanors.

Thus, the combination of offenses in the area of public administration and offenses of a general criminal nature (petty theft, petty hooliganism, etc.), enshrined in our in the codified act do not correspond to the European concepts in the field of administrative offense law (Khavroniuk, 2020). Such torts are not directly related to the

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102 sphere of public administration, do not encroach on administrative legal relations, are not subordinate to public administration bodies and do not "fit" into the modern paradigm of administrative responsibility (Hurzhii, 2014), because some administrative offenses in Ukraine are criminal in their nature (e.g. infringements in the spheres of public safety and traffic, which are subordinate to the National Police of Ukraine).

This complicates the possibility of distinguishing between administrative and criminal violations and, accordingly, reduces the possibility of correctly establishing responsibility for the committed illegal acts.

Regarding the causes of this phenomenon, we agree with claim that it is not clear to distinguish between the offences under investigation in public law, because (Azarov, 2018): - public danger, as the capacity of an offence to cause substantial harm or create a threat of its infliction, is not a sign that distinguishes these types of offenses, as public danger is a rather subjective concept and is inherent in both criminal offences and administrative offenses.

Therefore, the transfer of the article on liability for a particular offense from the Criminal Code to the Code of Administrative Offenses does not change the ability of this offense to cause harm or create a threat of its commission; - the body authorized to impose penalties by law does not characterize the legal nature of the tort as well. Determining the jurisdiction of cases is largely a technical problem, the issue of rational use of State resources, the compliance with the procedural form of the essence of the offense; - the assertion that the imposition of an administrative penalty does not entail a criminal record is only correct only from a formal point of view. Although the Code of Administrative Offenses (Law No. 80731-X, 1984) does not contain the term “criminal record”, the main manifestation of a criminal record – its impact on the qualification of encroachment and punishment in the case of a new crime – is also applied to administrative liability. Repeated violation throughout the year is qualifying ground of many types of administrative offenses and a circumstance that aggravates liability for an administrative offense (Article 35 of the Code of Administrative Offenses).

Besides, the imposition of penalties for administrative offenses sometimes entails social restrictions, such as the inability to hold certain positions or engage in certain activities.

We believe that the emergence of such gaps and conflicts creates additional restrictions on the possibility of proving the objective element in criminal proceedings, because the consideration

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of offenses from the standpoint of administrative offense, rather than criminal misconduct and criminal offense creates opportunities for evasion.

Therefore, even the detection of the facts of offenses is not always a guarantee of their proper consideration and bringing the perpetrators to justice. This is facilitated by various factors: 1) lack of coherence between the Criminal Code of Ukraine and the Code of Administrative Offenses of Ukraine on the composition of the relevant offenses, as a result of which criminal offenses can often be considered as administrative offenses, taking into account low level of public danger of illegal acts; 2) poor collection of evidence leading to the dismissing of proceedings because of the absence of all the elements of administrative offense; 3) insignificant amount of sanctions provided for the commission of administrative offenses is also the factor that does not contribute to the fight and their prevention in the future. In many cases, judges’ decisions in cases of administrative offenses are reduced to a minimum administrative penalty (fine), which is considered not only a measure of responsibility, but also serves to educate the person who committed the tort. Besides, there is a practice of combining several cases into one proceeding and imposing a minimum fine within the sanction of the norm. This, on the one hand, relieves the courts, but on the other one it does not perform a preventive function, which contributes to legal nihilism that further generates new torts; 4) sometimes the courts release the offender from administrative liability, taking into account the facts of the case and the nature of the tort, as well as the fact that no serious consequences resulted from his (her) actions, making only an oral comment under the provisions of Art. 22 of the Code of Administrative Offenses (due to the insignificance of the offense); 5) delay and dismissal of the cases in connection with the expiration of the term of bringing to administrative liability or in connection with the expiration of the term of imposition of an administrative penalty; 6) return of case files for completion (rectification of defects) and their proper registration in local police departments and in the National Agency on Corruption Prevention. As a result, the proceedings

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usually end with the dismissal of the case due to the expiration of the term of administrative prosecution. This applies in particular to the improper execution of protocols on administrative offenses, which are often returned for completion because of the following reasons:



the essence of the administrative offence is missing (the fabulate is vague and it is not clear what exactly constitutes the offence); it is not specified which normative acts of Ukraine were violated; there is no information about witnesses of events or their absence in the column "witnesses" of the protocol on administrative offense; there is no date of the tort with reference to a specific number of months in the report on the administrative offense in the column "composition of the administrative offense”; the time of the offense is not specified; the report on the administrative offense does not specify which part of the article qualifies the alleged wrongdoing; the sentences of the protocol are not completed with a logical meaning, which deprives the court of the opportunity to establish the essence of a particular tort;



7) Obstacles to prosecution may also arise at the stage of consideration of cases in the administrative court, which in some cases revoke the judge’s decision and close the proceedings.

In order to address these gaps and harmonize administrative and criminal law, it is necessary to create an effective system for detecting and combating offenses, respect the rights and freedoms of those prosecuted, and establish clear criteria for distinguishing illegal acts, which makes it impossible to prove the objective element of criminal proceedings and avoiding offenders by improper incrimination. Therefore, we consider it is appropriate: 

 

to applicate the institution of criminal misdemeanor (Law No.2617-VIII, 2018) in the system of criminal law with the harmonization of administrative offense norms in administrative law; to implement of the correct qualification of violations of administrative offense and criminal law; to establish the signs of administrative offenses and offences and criminal misdemeanors and offenses, according to which it will be possible to distinguish these illegal acts in the relevant codes;

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

the distinction between crimes, criminal and administrative offenses should be made on the basis of such criteria as the degree of damage to public relations, the type of object of the offense, the objective element of the offense, the subject of jurisdiction, severity and type of penalties provided, the subject of the offense; to respect the rule of law when bringing to administrative or criminal liability, depending on the nature of the offense and reduce the possibilies of unfair actions on the part of relevant authorities aimed at minimizing the consequences of the crime in order to reduce sanctions. It should be noted that criminal liability takes precedence over administrative liability (Part 2, Article 9 of the Code of Ukraine on Administrative Offenses (Law No. 80731-X, 1984) states that administrative liability for offenses under this Code occurs if these violations are not criminal offences under the law of criminal liability). to harmonize administrative and criminal justice procedures.

Conclusion Based on the results of the study, the following conclusions can be drawn: 1) administrative offenses and criminal offenses have common features and are not clearly defined in the codified acts, so the correct definition of the subject matter of administrative offense and criminal offense, the establishment of their objective nature is important for unmistakable administrative or criminal characterization and proper imposition of administrative fines or criminal prosecution; 2) taking into account the problems of distinguishing administrative offense from criminal offense, the existence of legal gaps, the problem of proving the objective element in criminal proceedings and the probability of avoiding liability is exacerbated; 3) currently, despite amendments to some legislative acts of Ukraine to facilitate the pre-trial investigation of certain categories of criminal offences, introduce and allocate “criminal offense” into a separate category, there is a need to clearly develop universal criteria for all cases of delimitation of administrative offenses, formulate the rules for resolving conflict situation, which entails the need to improve the rules of domestic administrative and criminal law.

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DOI: https://doi.org/10.34069/AI/2021.45.09.11 How to Cite: Tarasenko, O., Shevchishen, A., Yermakov, Y., Mirkovets, D., & Diakin, Y. (2021). Use of intelligence tools of operational and search activities in pre-trial investigation. Amazonia Investiga, 10(45), 105-112. https://doi.org/10.34069/AI/2021.45.09.11

Use of intelligence tools of operational and search activities in pre-trial investigation Використання інструментарію оперативно-розшукової діяльності у процесі досудового розслідування Received: August 16, 2021

Accepted: September 16, 2021

Written by: Oleh Tarasenko37 https://orcid.org/0000-0002-3179-0143 Artem Shevchishen38 https://orcid.org/0000-0002-1342-6639 Yurii Yermakov39 https://orcid.org/0000-0002-9400-0604 Dmytro Mirkovets40 https://orcid.org/0000-0003-2539-2824 Yaroslav Diakin41 https://orcid.org/0000-0002-6943-0151 Abstract

Анотація

The purpose of the article is to determine the features and legal grounds for the use of tools of operational and search activities in the pre-trial investigation. Subject of research: The subject of research is covert investigative (search) actions and operational and search measures.

Methodology: dialectical method, formal logic methods, logical and semantic method, system analysis method, theoretical method, normative and dogmatic method, legal modeling method.

The results of the study: Distinguishing between investigation and search measures, we apply the following principle: if the object of operational activities is already known to law enforcement officers we are talking about search measures, if not – about investigation measures. Practical consequences: The possibility of legal regulation of the use of tools of operational and search activity at the stages of criminal proceedings is determined. Value / originality: It is concluded that the list of operational and search measures also includes those that have no analogues with the CISAs and therefore operational and search

Метою статті є визначення особливостей та правових підстав використання інструментарію оперативно-розшукової діяльності у процесі досудового розслідування. Предмет дослідження: Предметом дослідження є негласні слідчі (розшукові) дії та оперативно-розшукові заходи. Методологія: діалектичний метод, методи формальної логіки, логікосемантичний метод, метод системного аналізу, теоретичний метод, нормативнодогматичний метод, метод правового моделювання. Результати дослідження: Проаналізовано зміст понять «пошук» і «розшук» з точки зору їх суттєвих відмінностей. Виокремлено оперативні пошукові та розшукові заходи із застосуванням принципу: якщо об’єкт оперативної діяльності вже відомий працівникам правоохоронних органів – заходи розшукові, якщо ні – пошукові. Практичні наслідки: Визначена можливість правового регламентування використання

37

Candidate of Legal Sciences, Associate Professor, Associate Professor of the Department of Operational and Search Activity of the National Academy of Internal Affairs (Kyiv, Ukraine).

38 Doctor of Legal Sciences, Associate Professor, Professor of the Department of Criminal Procedure of the National Academy of the Internal Affairs (Kyiv, Ukraine).

39 Candidate of Legal Sciences, Associate Professor (Kyiv, Ukraine).

40 Candidate of Legal Sciences, Associate Professor, Associate Professor of the Department public law disciplines of Private Higher Education Institution «University of Modern Knowledge» (Kyiv, Ukraine).

41 Candidate of Legal Sciences, Leading researcher of the scientific laboratory on crime prevention of the National Academy of Internal Affairs (Kyiv, Ukraine).

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measures do not duplicate the CISAs, but perform the task of ensuring the possibility of fulfilling the investigator’s instructions to conduct the CISAs. Key words: pre-trial investigation, operational and search activity, covert investigation (search) action, operational unit.

інструментарію оперативно-розшукової діяльності за стадіями кримінального судочинства. Цінність / оригінальність: Робиться висновок про те, що до переліку оперативно-розшукових заходів, відносяться також ті, що не мають аналогів з НСРД і тому оперативно-розшукові заходи не дублюють НСРД, а виконують завдання забезпечення можливості виконання доручення слідчого щодо проведення НСРД. Ключові слова: досудове розслідування, оперативно-розшукова діяльність, негласна слідча (розшукова) дія, оперативнорозшуковий захід, слідчий, оперативний підрозділ.

Introduction The Criminal Procedure Code of Ukraine (hereinafter – the CPC of Ukraine) (Law of Ukraine No. 4651-VI, 2012) has introduced the concept of “covert investigation (search) actions” (hereinafter – CISA) into the pre-trial investigation procedure, the system and methodology of which, even before the Code was approved, had been the subject of scientific debate. According to Art. 246 of the CPC of Ukraine, CISA is a kind of investigative (search) actions, information about the fact and methods of which are not subject to disclosure, except as provided for in the CPC of Ukraine. CISA, enshrined in Chapter 21 of the CPC of Ukraine (Law of Ukraine No. 4651-VI, 2012), in the nature and content of the activities carried out are correlated with the operational and search activities, enshrined in Part 1, Art. 8 of the Law of Ukraine “Operational and Search Activities” (Law of Ukraine No. 2135-XII, 1992); both types of activities are conducted in cases, in which information about the offense and the perpetrator cannot be obtained in any other way and only in criminal proceedings for serious or particularly serious criminal offenses. However, the detection, cessation and investigation of serious and especially serious criminal offenses (especially latent ones) without the use of tools of operational and search activities are extremely difficult or even impossible. Nowadays, scientists are only trying to balance the possibilities of investigation (search) measures and CISA with operational and search measures within a fundamentally new model of criminal justice, as well as to determine the boundaries, grounds and conditions of their application during criminal and investigative proceedings (Aidemskyi 2014, p. 18). The formation of the institution of CISA, which occurs in the operation of the current CPC of Ukraine, is

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characterized by a number of controversial issues that complicate the activities of investigative and operational units in the detection and investigation of criminal offenses. In particular, the Law of Ukraine “On Operational and Search Activities” (Law of Ukraine No. 2135-XII, 1992) does not contain the list of operational and search measures, as well as the grounds and procedure for their implementation. This shortcoming is partially minimized by the list of rights of operational units, enshrined in Art. 8 of the above Law, which actually allows to understand that operational units have the right to conduct certain activities; however, it remains unclear, which of them are operative, and which belong to searching ones. Besides, there are references to the article of the CPC of Ukraine, which regulates a specific CISA, in most of the paragraphs of Art. 8 of the Law of Ukraine “On Operational and search Activities” (Law of Ukraine No. 2135-XII, 1992) (which specifies the rights of operational units); i.e. literally understanding the rule of law, the right of an operational unit can be realized only by conducting CISAs in criminal proceedings.

Accordingly, the question arises: in such a case, the activity is a criminal investigation or the participation of operational units in the pre-trial investigation on behalf of the investigator? That is, there are a number of inconsistencies regarding the use of tools of operational and search activities – operational and search measures during the pre-trial investigation, which necessitates the determination of the peculiarities of the legal regulation for their implementation.

Thus, the purpose of the article is to determine the features and legal grounds for the use of tools

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of operational and search activities in the pre-trial investigation Methodology The methodological basis for the Article is chosen given the goal, specifics of the object and subject matter of the research. The methodological basis for the article is dialectical approach to the determination of the features and legal grounds for the use of tools of operational and search activities in the pre-trial investigation.

The formal logic methods of scientific knowledge (abstraction, analogy, deduction, induction, synthesis) help to clarify the legal nature of covert investigative (search) actions and operational and search measures.

Logical and semantic method is applied to reveal the meaning of the concepts of “search” and “investigation”.

With the help of system analysis method the possibilities of legal regulation of the use of tools of operational and search activities at different stages of criminal proceedings are proposed.

Theoretical method makes it possible to study scientific literature on the issue under consideration.

Normative and dogmatic method is used to examine legal acts regulating to problem under investigation (Criminal Procedure Code of Ukraine, Law “On Operational and search Activity”).

Legal modeling method is applied in the process of the features of covert investigative (search) actions and operational and search measures.

Literature Review The scientists, who studied the issue under consideration, noted a number of problematic issues. For example, Tatarov (2013, p. 15) noted the uncertainty of the ratio and boundaries of operational and search measures and CISAs, namely: a problem in criminal proceedings is the conduct of such CISAs as audio and video surveillance of a person (Article 260 of the CPC) (Law of Ukraine No. 4651-VI, 2012); withdrawal of information from transport telecommunications networks (Article 263 of the CPC) (Law of Ukraine No. 4651-VI, 2012), because they should be preceded by investigation (search) actions aimed at identifying persons, as the permission to interfere in private communication is granted by the court only in

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respect of a particular person (this leads to a lengthy collection of information on such persons, therefore there is a risk of information leakage on the intentions of law enforcement agencies to expose this activity); besides, it is formally prohibited to carry out operational and search measures in criminal proceedings.

Karnaukh (2018, p. 164) states that the Supreme Court of Ukraine adheres to the position according to which the operational and search proceedings are limited to the preparatory stage of the crime; in case of an attempt or a completed criminal offense criminal proceedings should be carried out.

Pohoretskyi and Serheieva (2014, p. 138) prove that in contrast to the CISAs, the list of which is defined directly in Chapter 21 of the CPC of Ukraine (Law of Ukraine No. 4651-VI, 2012), certain operational and search measures, their grounds and procedure, providing results to the agencies conducting criminal proceedings, are enshrined in separate bylaws, which are not available to all actors of criminal procedure.

A number of other scientists believe that the practice has just begun to work out tactics for operational and search measures under current CPC of Ukraine and therefore, exploring the theoretical aspects of the application of these measures and CISAs in the new criminal procedure legislation, there was no opportunity to analyze the practice of their application. We partially considered this issue in the study of the process of formation of the institution of CISAs in the criminal justice system of Ukraine, resulting in the conclusion that: on the one hand, the use of CISAs results in criminal proceedings differs from similar simplified mechanism that eliminates the need for additional legalization and promotes the efficiency of the use of documents drawn up as a result of covert investigation (search) actions, but on the other hand – the lack of clear regulation of these procedures directly in the CPC of Ukraine significantly reduces the effectiveness of their implementation and use of the results obtained (Tarasenko et al. 2021, p. 469).

Thus, aim of the article is to determine the features and legal grounds for the use of tools of operational and search activities in the process of pre-trial investigation.

Results and Discussion Investigation (search) actions are procedural actions regulated by the criminal procedure law,

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108 aimed at collecting, recording and verifying evidence. The criteria for classifying any procedural actions are: their cognitive orientation, i.e. the focus on collecting, recording and verifying evidence; the procedural form provided by law, in accordance with which investigative actions are carried out; the possibility of violation of rights and legitimate interests of persons, that’s why some of them are carried out only after the permission of the court or with the sanction of the prosecutor; the possibility of using State coercion in their conduct.

CISAs do not fully meet these criteria, as they are operative in nature. According to the CPC of Ukraine, the possibility of using the CISAs is provided for the detection of the vast majority of criminal offenses, and, first of all, serious and especially serious ones. That is, the current criminal procedure legislation had led to changes in regulations governing operational and search activities, as a result of which operative measures in documenting the actions of criminals have obtained new specifics. According to Art. 41 of the CPC of Ukraine (Law of Ukraine No. 4651VI, 2012), operational units carry out CISAs in criminal proceedings on behalf of the investigator, prosecutor. Although, during the execution of these instructions the officer of the operational unit uses the powers of the investigator, but the employees of the operational units do not have the right to carry out these actions in criminal proceedings on their own initiative or to apply to the investigating judge or prosecutor. That is, on the one hand, operatives have the powers of investigator and on the other hand – this authority is truncated. Besides, operational units practically carry out operational and search measures when conducting CISAs, exercising their rights in accordance with the requirements of the Law “On Operational and Search Activities” (Law of Ukraine No. 2135XII, 1992).

We note the logical and semantic mistake in the defined ratios of operational and search measures and SICAs. Operational measures include the collection of information about the planned crimes, the behavior of specific individuals, the causes of certain crimes that require immediate action (Khyzhniak, Khankevych, Nazarenko, Pleskach, & Tretiak 2021, p. 39). In practice, operational search lies in obtaining primary information and its verification. There is a need to take a number of measures in the process of detecting criminal offenses in the absence of all elements of the criminal offense – this is due to the specifics of committing latent criminal

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offenses (at the time of commission of a criminal offence, a person may commit a number of legal acts, therefore, it is also impossible to claim that a person is preparing to commit criminal acts).

According to the Law of Ukraine “On Operational and Search Activities”, this activity should be carried out within the established operational and investigative case, and only the availability of sufficient information obtained in the manner prescribed by law, which requires verification by operational and investigative measures is the basis for its initiation (Shapovalov 2015, p. 175). Therefore, the Law of Ukraine “On Operational and Search Activities” allows to exercise the rights of operational units with the use of separate, clearly defined measures. Besides, when planning measures to verify primary operational information, it is necessary to take into account the possibility of drawing a clear line between information verification and documentation of criminal activity, as in the course of certain operational and search measures aimed at verifying primary information, criminal actions will be recorded. Shapovalov (2015, p. 175) notes that in fact, the measures of operational search ensure the implementation of the rights of operational units also when a check is made prior to the establishment of a criminal investigation file.

Formally, operational and search activities consist of a system of transparent and covert search and counter-intelligence activities carried out using operational and operational and technical means. Note that there are no “search measures” in this list of measures. Instead, the semantics of the term “covert investigative (search) actions” emphasizes that the actions are “investigative”, although these actions take place in the course the criminal process and the investigator does not search in the literal sense of the term, but gives instructions to operational units; in turn, they shoud exercise their rights to conduct operational and search measures during the execution of this order. One could suggest that investigative and search activities are one and the same. But the concepts of “investigation” and “search” have quite different meaning.

These differences lie in the degree of uncertainty of the subject’s knowledge of object being searched. When searching, the initial image of a person, material object, trace is revealed in the mind of the subject (investigator, operative) in the form of a plausible model of his (her) image, skills, properties and condition. When searching for specific features of the wanted object, the

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search ends with the identification of the wanted object; thus, the information on the identification features of the wanted person or object (identification tasks are solved after identifying the object) is of great importance for a successful search. Effective search requires knowledge of the traceability of a certain class(s) of offender, material objects, traces in the environment or in the environment that contributes to concealment.

Search is an independent activity of law enforcement agencies to identify persons and objects related to a criminal offense, which is carried out in a relatively unlimited space and time. Obraztsov (1992, p. 45) notes that the search is a method of procedural or nonprocedural activities, including covert ones, aimed at identifying the sources (carriers) of the information relevant to criminal proceedings. At the same time, it is correctly noted that search activity “is a necessary attribute, an important basic chain, an element of each stage of the investigation”.

This position, in our opinion, needs to be clarified, as the detection of a perpetrator, other object or its search are independent, but organically interconnected functional areas in the detection of criminal offenses. When searching for the image of a person, a material object is presented in the mind of the subject (operational worker) in the probabilistic model and for effective search requires knowledge of the traceability of a certain class(s) of offender, material objects, traces in the environment or in the environment that contributes to concealment.

Therefore, search is exclusively a process of operational and search activity. The researchers note that the level of search activity, the degree of “saturation” of search operations and activities of each of the traditional stages of the investigation process are different. The same conclusion can be made by analyzing the stages of disclosure of a criminal offense. Thus, at the beginning of the activity of the operational officer, it is of clearly search nature. At the next stage, provided that the search component is preserved, the main feature is the information and research orientation, that is, checking the primary information. With regard to the final stage, the activity is mainly procedural and systematizing in nature (transfer of materials to the investigative unit, provided that a criminal offence is being committed or has been committed; the establishment of operational and investigative cases and further operational proceedings). Besides, operational units are obliged to continue the search activity, due to the fact that it allows covert methods and means to

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obtain new information about episodes, accomplices or other circumstances that were previously unknown – that is, it is “search” and not “investigation”.

That is, distinguishing between investigation and search measures, we apply the following principle: if the object of operational activities is already known to law enforcement officers we are talking about search measures, if not – about investigation measures. This gives grounds to assert the following: since the definition of operational and search activities does not contain such a component as investigative measures, but instead it is present in the term “covert investigative (search) actions”, and operational units perform such activity independently (without the investigator’s instructions), it should be called “operational and search activity”. The search for persons performed within the pre-trial investigation after the beginning of criminal proceedings; if CISAs are used in the process of its application, then operational units, searching for a person on behalf of the investigator or conducting other CISAs, participate in pre-trial investigation operational search activities, identifying persons and facts of operational interest.

In addition to terminology, there are a number of problematic issues and inconsistencies in the legal regulation of operational and search measures, which significantly affect the effectiveness of combating criminal offenses and their investigation. In this regard, Bahanets (2012) notes that despite the significant differences between procedural evidence and evidence obtained as a result of CISAs and operational and search measures, the CPC of Ukraine actually combines operational and search activities and pre-trial investigation, giving the investigator uncharacteristic powers to conduct CISAs. The scientist believes that these activities have been carried out, are being carried out and should be carried out in the future only by specially authorized operational units that have the appropriate special tools, and most importantly – proper training, knowledge and skills. Partially agreeing with this opinion, we note that, indeed, operational units conduct operational and search measures both before the criminal proceedings and during the pre-trial investigation. But at each of these stages there are issues of legal admissibility of operational and investigative measures.

Nowadays, the procedure for obtaining information from official sources on the fact of committing criminal offense with registration in

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110 the Unified Register of pre-trial investigations and the beginning of criminal proceedings is clearly defined. However, a radically different situation occurs when the fact of committing a specific criminal offense is unknown, but, for example, there is information about the preparation for its commission on the basis of indirect signs (Vardanian 2015, p. 64). The latency of a significant part of criminal offenses leads to the absence of official statements and notifications, so one of the grounds for registration of information about the commission of a criminal offense in the Unified Register of pre-trial investigations is the detection of its signs by operational units. Operational officers receive primary information, which does not contain signs of all elements of the criminal offense. That is, it may be a subjective opinion of the operational officer on the possible signs, rather than the actual facts that indicate the commission of a criminal offense. However, it is necessary to pay attention to the wording of Part 2 of Art. 7 of the Law of Ukraine “On Operational and Search Activities” (Law of Ukraine No. 2135-XII, 1992), which states that in case of detection of signs of a crime, the operational unit should immediately send the collected materials (which recorded factual data on illegal actions of individuals and groups, the liability for which is provided by the Criminal Code of Ukraine) to the relevant body of pre-trial investigation to initiate and conduct a pre-trial investigation. That is, there is a logical discrepancy between the content (in terms of proof) of the identified “signs of a criminal offense” and “factual data”, which cannot be established “immediately”.

Considering the meaning of the term “fact of a criminal offense” it is clear that its use requires the presence of all elements of the criminal offense (object, objective aspect, subject, subjective aspect), without which it is impossible to talk about the fact of a criminal offense, but only about its individual features (Shapovalov 2015, p. 137).

But since the current legislation does not provide for such an inspection, the operational units use the opportunities provided by Part 3, Art. 7 of the Law of Ukraine “On Operational and Search Activities” (Law of Ukraine No. 2135-XII, 1992), which states that if the signs of an offense are detected in the course of ongoing operational and search measures, the termination of which may adversely affect the results of criminal proceedings, the unit that carries out such activities notifies the relevant body of pre-trial investigation and the prosecutor on detection of the signs of a crime, completes these measures, and sends the collected materials (which

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recorded factual data on illegal actions of individuals and groups, the liability for which is provided by the Criminal Code of Ukraine) to the relevant body of pre-trial investigation.

At the next stage (in the course of investigation) the investigator helps operation officers to carry out the necessary in such cases CISAs, search and detention of certain persons. A number of operational and search measures are performed after registration of an offense in the Unified Register of pre-trial investigations within criminal proceedings in the implementation of the CISAs. That is, in the presence of all necessary grounds (Nykyforchuk, Tarasenko, Lyzohubenko 2015, pp. 7 – 20) and the investigator’s order, the operational unit exercises its right by conducting both CISAs and operational and search activities, which do not require a court permission (decision) (for example, interviewing individuals with their consent). When executing orders for conducting CISAs, a necessary precondition for their implementation is the prior secret collection and verification of information about the person in respect for whom the CISA is planned, or other objects, information about which is necessary for their effective implementation.

The problem with obtaining such information is that the activities during active receipt involve interference with a person’s private life, but remains outside the legal regulation of the CPC of Ukraine. That is, on the one hand, the measures to obtain such supporting data are not procedural (because they are not regulated by the CPC), and on the other one – they are not formally operational and search (because they are carried out during criminal proceedings); therefore the question arises as to the validity of such actions, as they are carried out before the decision of the investigating judge. Part 3, Art. 8 of the Law of Ukraine “On Operational and Search Activities” (Law of Ukraine No. 2135XII, 1992) determines the possibility of carrying out investigative measures in accordance with the decision of the of the head of the body, operational unit or his (her) deputy, authorized to perform them, informing the prosecutor of the decision taken.

The scientists consider operational and investigative activities within certain blocks, distinguishing the legal justification for each of them (Nykyforchuk, Kravchenko, Kopylov 2013, pp. 175 – 176). Taking into account these views, we interpret the possibility of legal regulation of the use of tools of operational and

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search activities at the following stages of criminal proceedings, namely: at the stage of detection of criminal offenses a number of operational and investigative measures are aimed at obtaining primary information, the legal basis for which is Art. 7 of the Law of Ukraine “On Operational and Search Activities”, which states that operational units are obliged to take the necessary operational and investigative measures within their powers on timely detection of crimes. Analyzing the logic of the legislator, it becomes clear that when the operational unit reveals the actual data about the commission of a criminal offense (and not some of its features), it transfers this information to the relevant body of pre-trial investigation; the legal basis for conducting operational and search measures at the stage of obtaining primary information (which requires verification) about a criminal offense that is being prepared or a person who is preparing to commit it is Art. 8 of the Law of Ukraine “On Operational and Search Activities” (Law of Ukraine No. 2135-XII, 1992) (the rights listed in the paragraphs, which contain a reference to the specific article of the CPC, can be exercised only by conducting CISAs); at the stage when the information about the criminal offense that is being prepared or the person who is preparing to commit it is confirmed, the legal basis for conducting operational and search measures is Art. 6 of the Law of Ukraine “On Operational and Search Activities” (Law of Ukraine No. 2135-XII, 1992), which directly indicates the possibility of conducting operational and investigative measures, as well as Art. 9 of this Law, according to which an operational and search case is opened against the person suspected of preparing to commit a criminal offense; against unidentified persons who are preparing to commit it, as well as against the persons, for whom there is evidence of participation in the preparation of the commission. at the stage of pre-trial investigation in criminal proceedings in the presence of all necessary grounds and instructions of the investigator, the operational unit exercises its rights listed in Art. 8 of the Law of Ukraine “On Operational and Search Activities” (Law of Ukraine No. 2135XII, 1992) (which contain a reference to a specific article of the CPC of Ukraine), by conducting CISAs in the manner prescribed by the CPC of Ukraine. Besides, Part 3, Art. 8 of this Law determines the possibility of performing operational and search measures by the decision

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of the head of the body, operational unit or his (her) deputy, authorized to perform such activities informing the prosecutor of this decision. In the future, the protocol and material media of classified information obtained during the search operations may be declassified and transferred to the pre-trial investigation bodies or the court if they hold factual data that can be used in criminal proceedings (as the basis for initiating criminal proceedings or conducting urgent investigative (search) actions and CISAs. Conclusions Thus, operational and search activities can be carried out both before the pre-trial investigation and simultaneously; operational and search measures can be initiated before the pre-trial investigation and terminate during its conduct; operative and search measures do not terminate with the beginning of criminal proceedings, but continue further obtaining a different status; performing operational and search measures is aimed not only at fixing the facts of criminal offenses that are being prepared or the criminal actions of persons who are preparing to commit them, but also solves a number of other tasks in the course of pre-trial investigation; the list of operational and search measures also includes those that have no analogues with the CISAs and therefore operational and search measures do not duplicate the CISAs, but perform the task of ensuring the possibility of fulfilling the investigator’s instructions to conduct the CISAs. Bibliographic references Aidemskyi, E. (2014). Activities of operational units to detect and cease crimes in the gambling business. Law Forum, Num. 1, pp.

16–34. http://webcache.googleusercontent.com/sear ch?q=cache:HWuT3GmjazQJ:irbisnbuv.gov.ua/cgibin/irbis_nbuv/cgiirbis_64.exe%3FC21CO M%3D2%26I21DBN%3DUJRN%26P21DB N%3DUJRN%26IMAGE_FILE_DOWNLO AD%3D1%26Image_file_name%3DPDF/F P_index.htm_2014_1_3.pdf+&cd=2&hl=ru &ct=clnk&gl=ua Bahanets, O. (2012). Advantages and disadvantages of the new Criminal Procedure Code. Proposals for amendments to the new Criminal Procedure Code of Ukraine. http://baganets.com/blogsbaganets/perevagi-ta-nedol-ki-novogokpk.html.

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37-44. https://doi.org/10.34069/AI/2021.40.04.4. https://amazoniainvestiga.info/index.php/am azonia/article/view/1595/1638 Law of Ukraine No. 2135-XII. About operational search activity. Official Web site of the Verkhovna Rada of Ukraine, April 13, 2012. Available online. https://zakon.rada.gov.ua/laws/show/213512#Text Law of Ukraine No. 4651-VI. Criminal Procedure Code of Ukraine. Official Web site of the Verkhovna Rada of Ukraine, April 13, 2012. Available online. https://zakon.rada.gov.ua/laws/show/465117#Text Nykyforchuk, D., Kravchenko, A., and Kopylov, A. (2013). Problematic issues of operational and search measures and covert investigative (search) actions. Scientific Bulletin of the NAVS, No. 4, pp. 173–181.

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operational and search measures: the concept, essence and relationship. Fight against organized crime and corruption (theory and practice), 2(33), pp. 137 – 166. http://nbuv.gov.ua/UJRN/boz_2014_2_34 Shapovalov, O. (2015). Operational search for the signs of latent crimes in the sphere of economic activity. Prykarpattia Legal Bulletin, 3(9), pp.

183 – 187. http://www.pjv.nuoua.od.ua/v32_2015/42.pdf Tarasenko O., Tsutskiridze M., Shevchishen A., Yermakov Y., & Mirkovets D. (2021).

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Vardanian, H. (2015). Methods of investigation of crimes related to the production and treatment of non-compliant licensing and (or) falsified, substandard, unregistered drugs, medical devices or biologically active additives. (PhD Dissertation). Tula State University, Russian. https://xn--h1ap6b.xn-b1aew.xn-p1ai/upload/site138/document_file/CS0pDM rfvE.pdf

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DOI: https://doi.org/10.34069/AI/2021.45.09.12 How to Cite: Hryhorenko, A., Musiienko, O., Boiko-Dzhumelia, V., Sakovskyi, A., & Myrovska, A. (2021). Reconstruction as a method of crime investigation. Amazonia Investiga, 10(45), 113-119. https://doi.org/10.34069/AI/2021.45.09.12

Reconstruction as a method of crime investigation Реконструкція як один із методів розслідування злочинів Received: August 20, 2021

Accepted: September 30, 2021

Written by: Andrii Hryhorenko42 https://orcid.org/0000-0001-7563-3660 Oleh Musiienko43 https://orcid.org/0000-0001-6533-0359 Viktoriia Boiko-Dzhumelia44 https://orcid.org/0000-0002-7017-1935 Andrii Sakovskyi45 https://orcid.org/0000-0003-0762-859X Anna Myrovska46 https://orcid.org/0000-0001-5714-1873 Abstract

Анотація

The purpose of the article is to analyze the method of reconstruction as one of the general scientific methods of criminology used in the investigation of crimes. The subject of research is the method of reconstruction in forensic science. The research methodology includes the use of general scientific and special methods of scientific cognition: dialectical, historical and legal, formal and logical, comparative and legal, logical, system and structural methods, method of generalization. Research results. General scientific methods of criminology and their significance for crime investigation are considered. Reconstruction as a type of modeling method and its place in the system of forensic methods is defined. The signs of reconstruction and its features distinguishing from modeling are analyzed. The variants of reconstruction and their features are given. Practical meaning. The concept of reconstruction as an independent method of crime investigation and its implementation in the system of investigative (search) actions are proposed. Value / originality.

Emphasis is placed on the need for further study of reconstruction as a special method of investigating crimes.

Метою статті є аналіз методу реконструкції як одного із загальнонаукових методів криміналістики, що застосовується під час розслідування злочинів. Предметом дослідження є метод реконструкції в криміналістичній науці. Методологія дослідження включає в себе використання загальнонаукових та спеціальних методів наукового пізнання: діалектичний, історикоправовий, формально-логічний, системноструктурний, узагальнення, порівняльноправовий. Результати дослідження. Розглянуто загальнонаукові методи пізнання криміналістики та їх значення для розслідування злочинів. Визначено поняття реконструкції як методу моделювання та його місце в системі криміналістичних методів. Проаналізовано ознаки реконструкції та її відмінність від моделювання. Наведено різновиди реконструкції та їх особливості. Практичне значення. Визначення реконструкції як незалежного методу розслідування злочинів та її реалізація у системі слідчих (розшукових) дій. Цінність/оригінальність. Акцентовано увагу на необхідності подальшого дослідження

42

Postgraduate Student of the Yaroslav Mudryi National Law University, Ukraine.

Ph.D in Law, Associate Professor, Associate Professor of the Department of Criminalistics of the Yaroslav Mudryi National Law University, Ukraine.

44 Postgraduate student of the Department of Criminalistics of the National University "Odessa Law Academy", Ukraine.

45 PhD in Law, Associate Professor, Director of the Educational and Scientific Institute No. 2 of the National Academy of Internal Affairs, Ukraine.

46 PhD in Law, Associate Professor, Professor of the Department of Criminal Sciences and Forensic Medicine of the National Academy of Internal Affairs, Ukraine.

43

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Hryhorenko, A., Musiienko, O., Boiko-Dzhumelia, V., Sakovskyi, A., Myrovska, A. / Volume 10 - Issue 45: 113-119 / September, 2021

Keywords: expert, investigation (search) actions, methodology, modeling, reconstruction.

реконструкції як особливого розслідування злочинів.

методу

Ключові слова: методологія; моделювання; подія; пізнання; криміналістика; процес відображення; слідчі (розшукові) дії.

Introduction An effective basis for crime prevention is appropriate ways to combat it, including improving their detection and investigation. This provision complies with the norms of the current Criminal Procedure Code of Ukraine (Law of Ukraine No. 4651-VI, 2012), which provides for prompt, complete and impartial investigation and trial (Article 2) on the basis of the facts and circumstances to be proved in criminal proceedings. The establishment of such facts and circumstances is carried out by criminal procedural evidentiary process, which lies in the collection, verification and evaluation of evidence (Klymchuk et al. 2021, p. 205).

Various methods of cognition, through which law enforcement agencies investigate criminal offenses, are widely used in modern criminology (the science on the laws of collection, research, evaluation and use of evidence). These methods can be divided into general, general scientific and specific ones.

The method of reconstruction (or modeling), which is often used by the investigators, is, in our opinion, one of the most important. With the help of this method it is possible to reproduce certain events, phenomena and processes that took place in the past and the establishment of which is important for the objective investigation of criminal offenses. However, the specifics of the use of the method of reconstruction in criminology in general and its place in the system of investigation (search) actions are not fully considered in scientific literature. That is why the purpose of our article is to analyze the method of reconstruction as one of the general scientific methods of criminology used in the investigation of crimes.

Methodology The methodology of the article is based on general and special methods of scientific knowledge, the use of which is determined by the purpose, object, and subject matter of the research.

The method of hermeneutics was used in the process of studying the texts of legislative acts

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and research materials on the issue under consideration.

Historical and legal method allows to trace the historical development of the studied phenomenon.

Formal and logical (dogmatic) method helps to analyze the norms of the current criminal procedural legislation, regulating the features on reconstruction method application and the practice of its application.

The application of logical method allows to formulate the concept of reconstruction as an independent method of crime investigation.

Legal and comparative method is used to compare the methods of reconstruction and modeling and to determine their common and distinctive features.

System and structural method is applied when identifying the types of reconstruction.

The method of generalization helped to draw relevant conclusions and suggestions.

Literature Review The development of methodology and characterization of forensic methods is the subject matter of research by many domestic and foreign scientists.

The issues of the methodology of criminology, the process of investigation, modeling during the investigation of crimes, the problems of criminological tactics and methods were investigated in the works by Luzhin (1981a). In particular, in his work “Reconstruction in the investigation of offenses”, the scientist stated that “reconstruction in the investigation has a double meaning; some types of reconstruction, such as an investigative experiment, is a tactical investigation, while the other types – reconstruction of the face on the skull, reconstruction individual items, etc., have only an independent meaning.

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Among modern researchers who have examined the issues of forensic modeling and reconstruction is Kolodina (2016). She considers the principle of forensic reconstruction one of the specific principles of forensics in her study “Principles of forensic methodology in the investigation of crimes”.

Nehrebetskyi (2018) notes that the reconstruction of the situation during on-site verification cannot be considered as a separate tactic, as only a set of tactics can ensure the realization of the goal of reconstruction.

Areshonkov (2021) examines modern methodology in terms of forensic research and their improvement by studying foreign experience. He also formulated the definition of previous forensic research, which is not procedural in nature and can be used by the carriers of such knowledge when conducting investigation (search) actions.

Siegel (2020) proves that criminalistics, which is the application of scientific methods to the recognition, collection, identification, and comparison of physical evidence generated by criminal or illegal civil activity, involves the reconstruction of such events by evaluation of the physical evidence and the crime scene.

Chisum (2007) believes that crime reconstruction is the observation of the results of an act or action then postulation of the cause of those results on the basis of physical evidence and documentation of the crime scene by competent personnel.

Paying particular attention to crime scene reconstruction Jankowski (2018) states that it is a method of solving a crime that starts with the creation of a theory of how it occurred.

Gupta et al. (2015), in their turn, investigated the issue of forensic facial reconstruction, which in their opinion, can be used to identify unknown human remains when other techniques fail.

Within the research the scholars examine various methods of manual facial reconstruction and decide, which ones are the most useful.

However, the specifics of the use of the method of reconstruction in criminology in general and its place in the system of investigation (search) actions were not fully considered in these works, which led to the purpose of our article.

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Results and Discussion Any independent science, including criminology, is characterized not only by a specific subject matter and object of study, but also by special methods of research of its tasks. Under the concept of methodology we understand the doctrine of the methods of cognition and transformation of reality, the principles of organization of cognitive and transformational activities, as well as the set of methods, techniques and research tools used in any science (Tsilmak 2017, p. 23).

The methodology of criminology is not only the theory of knowledge, but also the set of methods of practical (scientific) activity. The methods are an extremely important tool of cognition; the reliability of the obtained results depends on the correct choice of a particular method. The method in the narrow sense is a “path of cognition”; in the broad sense it is the way of cognition, research or practical implementation of the algorithm of actions during the pre-trial investigation of criminal offenses (Tsilmak 2017, p. 29).

Methods of criminology are the ways to solve scientific problems in the process of forensic research. There are different groups of methods of forensic research in the scientific literature, among which we can name philosophical, specific scientific and general scientific methods (Chornous 2018, p. 452).

Philosophical (or comprehensive) methods are based on materialist dialectic, which lies in the study of objects and phenomena of reality in motion, change, development and interconnection. Specific scientific methods are used to study the objects, phenomena, events and facts that make up the subject matter of a particular science. These include forensic, criminological, biological methods, etc.

The difference between the general scientific method and other ones is that it is used in many sciences and areas of practice and is based on the provisions of formal logic. If we talk about criminology, it is used to study the event of the crime, its consequences in order to establish the composition of the crime, the circumstances of its commission, the involvement of other persons, etc. (Kiian 2017, p. 444).

The methods of obtaining and verifying information are one of the groups of general scientific methods of cognition. They are: observation, experiment, modeling,

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116 identification, etc. There is a division of general scientific methods into sensitive and rational and mathematical ones in some sources, but we do not agree with this view and believe that the name “methods of obtaining and verifying information” is more appropriate, given the tasks they perform.

The method of modeling should be understood as the study of any phenomena, processes or objects by studying their "model", i.e. with the help of specially created analogues, when the analysis of the object, process or phenomenon is impossible or impractical (Lukianchykov et al., 2017, p. 65).

Reconstruction is a variant of modeling method.

But there is an opinion that the method of reconstruction is a separate independent general scientific method (Luzhin 1981b).

It should be noted that reconstruction is a cognitive method of modeling and has a limited scope in scientific and practical activities; besides criminology, it is used in archeology, architecture, paleontology. It is believed that its origin took place in 1914 with the publication of the work by Rudolf Martin (1928), who created the program for reconstruction of the face on the skull through the study of anthropological material. His followers confirmed that the shape and proportions of the skull allow to reconstruct the muscles and soft tissues, which further reproduce the face (Rathbun 1984, p. 347). In the early 80's of the 20th century reconstruction as a method of modeling was introduced in criminology by Luzhin (1981b).

Reconstruction in criminology is now understood as the reproduction of certain objects, processes, phenomena and actions that existed in the past, and the study of which is necessary to establish the circumstances of the crime. In the course of reconstruction the circumstances, events, processes, actions of the participants and other things that had occurred in the past are reflected (Grigorenko, 2019, p. 46).

The view of Ratinov (1967, p. 123) is following: “reconstruction is one of the types of modeling.

This is special investigative action – an investigative experiment (reproduction of the actions, circumstances and situation of the particular event), which is essentially a simulation, but is sometimes characterized as a reconstruction.

Having analyzed scientific literature, we came to the conclusion that reconstruction is one of the methods used to detect offenses. It is applied during inspections, searches, interrogations and other investigative actions and does not replace investigation.

This method of fighting crime is endowed with a number of features that distinguish it from the method of modeling. We propose to consider the following: 







Vasiliev (2002, p. 20) defines reconstruction as an activity that includes the current and final analysis of all collected information; reproducing the events of the past in the footsteps of the present.

Belkin (1964, pp. 83 – 84) considered reconstruction as one of the methods of crime investigation. He noted: "we are reconstructing the situation either for the purpose of its further review or to conduct an investigative experiment in artificial conditions."

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

the degree of analogy (similarity): when reconstructed, the analogy is limited to the restored feature frame and is incomplete, partial; at the same time, the simulation creates an analogue of the event (object or phenomenon) with the original features present; direction of cognition: reconstruction is always retrospective: the lost or changed properties of an object, event or phenomenon (which were in the past) are established, or the object itself is reproduced, which at the time of the study is not a single whole; modeling can also be forward-looking – perform predictive, planning functions, etc .; features of the object of study: the object of reconstruction is always existing in the past or actually existing (but already changed) object of reality (event, phenomenon, object); the model can be virtual, probabilistic or hypothetical; level of abstraction: any model is an abstraction, i.e. is the result of an imaginary deviation from a particular phenomenon, object or its properties for highlighting the most significant features. The material component is used for reconstruction together with the information component (the elements of the original), while modeling requires just a sufficiently high level of abstraction; type of reflection: the process of cognition during reconstruction comes from specific to general, as the studied fragment may retain its individual features, and the task of reconstruction is to determine and restore the original appearance of the object, i.e. to

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



establish the most common features that will characterize of one category (group or class); the process of cognition in modeling is the opposite – from specific to general; features of implementation: the essence of the reconstruction is a direct study of the original, its fragments, parts; new object is not created for this purpose, unlike modeling; status of the model: in the process of reconstruction the model acts as the final outcome of cognition. The renewable properties are first mapped using the imagination, which are then realized in the form of indications, diagrams, tables, layout of the object itself.

Most scientists share the view that the basis for the classification of research models is the ways and means by which a method is produced. That is why there are two types of reconstruction – material and ideal (mental) ones. Material reconstruction is devices, vehicles, models and other material objects that already exist, are specially created or built, and are used independently of the subject matter of knowledge. For example, this could be the closest possible creation of a scene for an investigative experiment to verify the testimony of a participant in criminal proceedings (Grigorenko, 2019, p. 46).

Material reconstruction also includes: 



model reconstruction – a tactical technique used during investigative (search) actions. It is not a kind of investigative experiment, but is used as an illustration to the conclusions of the expert. facial reconstruction to the skull – an independent expert study used to search for and identify a person (Herasymov 2010, p.

255), etc.

Ideal (mental) reconstruction includes various kinds of imaginary, mental, ideally existing systems, structures, constructions, study and research of which takes place in compliance with certain rules. For example, it may be the mental activity of the investigator, who models the mechanism of the crime on the basis of the facts obtained during investigation (search) actions.

Such reconstruction is a powerful foundation for advancing investigative versions.

Currently, the organization "Association For Crime Scene Reconstruction (ACSR)", which was established on September 18, 1991 by forensic scientists Henry O'Hara and Charles

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O'Hara (2003), is operating. They are considered the founders of the method "Crime Scene Reconstruction (CSR)" or Crime Scene Analysis (CSA).

The Author of the modification of this method on the territory of Ukraine is Afonin (“Reconstruction of the method (mechanism) of committing crime”); in the course of the application of this method he took into account the conditions of the pre-trial investigation of criminal proceedings by the National Police of Ukraine.

The content of this method is to establish the actions of the offender at the scene of the crime, their sequence or detection of staged actions, detailed study of the trace picture, systematic analysis of the information obtained and subsequent gradual reproduction of the mechanism of the crime.

Accordingly, scientists note that the method of reconstruction should be distinguished from other methods used, for example, during an investigative experiment. The investigative experiment is conducted by the investigator within the procedural limits of this investigative (search) action. The method of reconstruction should be applied by a special person – an expert analyst or reconstructor. The result of the work should be confirmed by an expert opinion (Tsilmak 2017, p. 218).

When applying the reconstruction method, the authorized expert should use only the information obtained as a result of the inspection of the scene (for example), from specialists in various fields of science and expert research, which are based on scientific methods.

It should be noted that the expert (analyst or reconstructor) should not be the specialist in all areas, as the method of reconstruction that he uses is just to establish logical, spatial, temporal relationships between the actors and the event.

Conclusion Thus, the main purpose of the method described above is to reconstruct, i.e. to reproduce the mechanism of the crime by analyzing all the data, establishing cause-effect relationships and completing a step-by-step trace.

The disadvantages of using this method in Ukraine are:

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 

differences in the application of the method of reconstruction in accordance with the rules of criminal procedure (lack of expert examination of the scene); lack of specialization of expert analysts (reconstructors) and proper software.

Summarizing, we can state that forensic reconstruction is a special process of reflection, reproduction of signs of missing or altered object associated with the investigated event on imaginary depictions, descriptions, testimony of witnesses, images or physical evidence important (essential) for the investigation resulting in a material object or model similar to the original, which is a source of evidence or contributes to its receipt during investigative (search) actions and forensic examinations.

The object recovered by this method can be used for further experiments, checks, discrepancies, etc. The process of applying the method of reconstruction in the investigation of criminal offenses remains unexplored, but continues to contribute to the to the fulfilment of the investigative priorities.

Bibliographic references Areshonkov, V. (2021). Theoretical, legal and praxeological principles of technical forensic research in the investigation of crimes.

(Doctoral Dissertation). National Academy of Internal Affairs, Ukraine, http://elar.naiau.kiev.ua/handle/123456789/1 8807 Belkin, R. (1964). Experiment in investigative, judicial and expert practice. Moskow: Legal Literature.

Chisum, J. (2007). Crime reconstruction. In: The Forensic Laboratory Handbook: Procedures and Practice (pp. 63 – 77), edited by: A. Mozayani and C. Noziglia. Totowa, NJ: Humana Press Inc. http://eknygos.lsmuni.lt/springer/658/6377.pdf Chornous, Yu. (2018).

Methodological principles of forensic support of crime investigation.

In the collection: Actual problems of criminology and forensic expertise of the interdepartamental scientific and practical conference. Kyiv: National Academy of Internal Affairs, pp. 450-454. http://elar.naiau.kiev.ua/bitstream/12345678 9/2841/1/%D0%9C%D0%95%D0%A2%D0 %9E%D0%94%D0%9E%D0%9B%D0%9E

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%D0%93%D0%86%D0%A7%D0%9D%D0 %86%20%D0%97%D0%90%D0%A1%D0 %90%D0%94%D0%98%20%D0%9A%D0 %A0%D0%98%D0%9C%D0%86%D0%9D %D0%90%D0%9B%D0%86%D0%A1%D0 %A2%D0%98%D0%A7%D0%9D%D0%9 E%D0%93%D0%9E%20%D0%97%D0%9 0%D0%91%D0%95%D0%97%D0%9F%D 0%95%D0%A7%D0%95%D0%9D%D0%9 D%D0%AF.pdf Gerasimov, R. (2010). Simulation in the investigation of crimes. Journal of Kyiv University of Law, No. 3, pp. 253 – 257.

Gupta, S., Gupta, V., Vij, H., Vij, R., & Tyagi, N. (2015). Forensic Facial Reconstruction: The Final Frontier. Journal of clinical and diagnostic research: JCDR, 9(9), ZE26–ZE28. https://doi.org/10.7860/JCDR/2015/14621.6 568 Grigorenko, A. O (2019). Reconstruction method as an innovative component of investigative activity. In the collection: Innovative methods and digital technologies in criminology, forensic science and legal practice of International “Round table” (Kharkiv, December 12, 2019). Kharkiv: Law, pp. 44 – 47. https://ivpz.kh.ua/wpcontent/uploads/2020/01/%D0%97%D0%B 1%D1%96%D1%80%D0%BD%D0%9A%D1%80%D1%83%D0%B3%D0 %BB%D0%B8%D0%B9%D1%81%D1%82%D1%96%D0%BB_%D 0%86%D0%BD%D0%BD%D0%BE%D0% B2%D0%B0%D1%86%D1%96%D0%B9% D0%BD%D1%96%D0%BC%D0%B5%D1%82%D0%BE%D 0%B4%D0%B8_2019%D0%97%D0%B1%D1%96%D1%80%D0 %BD%D0%B8%D0%BA.pdf Jankowski, P. (2018).

Crime Scene Reconstruction: Definition & Uses.

Study.com Retrieved from https://study.com/academy/lesson/crimescene-reconstruction-definition-uses.html.

Kiian, O. (2017). The concept and significance of forensic methods.

[PDF file]. http://dspace.onua.edu.ua/bitstream/handle/1 1300/10725/Kiyn_O.B._Kiyn_T.M.%20%D 0%A2%D0%BE%D0%BC%202_2017178.pdf?sequence=1&isAllowed=y Klymchuk, M., Marko, S., Priakhin, Y., Stetsyk, B., & Khytra, A. (2021). Evaluation of forensic computer and technical expertise in criminal proceedings. Amazonia Investiga, 10(38), 204-211. https://doi.org/10.34069/AI/2021.38.02.20. https://amazoniainvestiga.info/index.php/am azonia/article/view/1558/1551

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Kolodina, A. (2016). Principles of forensic methodology in the investigation of crimes.

(PhD Dissertation). National University “Odesa Law Academy”, Ukraine. http://dspace.onua.edu.ua/handle/11300/596 0 Law of Ukraine No. 4651-VI. Criminal Procedure Code of Ukraine.

Official Web site of the Verkhovna Rada of Ukraine, April 13, 2012. Available online.

In: https://zakon.rada.gov.ua/laws/show/465117#Text Lukianchykov, B., Luk‘ianchykov, Ye., & Petriaiev, S. (2017). Forensics: A Study Guide for Students. Kyiv: National Technical University of Ukraine“Igor Sikorsky Kyiv Polytechnic Institute”.

Luzhin, I. (1981a). Reconstruction in the investigation of crimes: textbook. Volgograd: publishing House of the Ministry of Internal Affairs of the USSR. http://lawlibrary.ru/izdanie6654.html Luzhin, I. (1981b). Modeling in the investigation of crimes. Lib.sale. https://lib.sale/uchebnikkriminalistika/sledstvennayarekonstruktsiya-kak-raznovidnost108424.html Martin, R. (1928). Textbook of anthropology: in a systematic presentation with special consideration of anthropological methods;

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for students, doctors and research travelers.

Jena: Fischer. https://digital.zbmed.de/physische_anthropol ogie/content/structure/557542 Nehrebetskyi, V. (2018). The use of forensic reconstruction method during the investigative experiment. Entrepreneurship, Economy and Law, No. 5, pp. 253−257.

O'Hara, Ch. and O'Hara, G. (2003).

Fundamentals of Criminal Investigation, Seventh Edition. Springfield (IL): Charles C. Thomas Publisher, Ltd. Rathbun, T. (1984). Personal Identification: Facial Reproductions. Human Identification: Case Studies in Forensic Anthropology.

Edited by Ted A. Rathbun and Jane E. Buikstra. Charles C. Thomas, Springfield, Illinois.

Ratinov, A. (1967). Forensic psychology for investigators. Moskow: NIiRIO VSh MOOP RSFSR. https://www.twirpx.com/file/989138/ Siegel, J. A. (2020, June 1). Forensic science. Encyclopedia Britannica. https://www.britannica.com/science/forensic -science Tsilmak, O., ed. (2017). Modern methods of pretrial investigation of criminal offenses: a textbook. Odessa: Feniks.

Vasiliev, V. (2002). Legal Psychology. SaintPetersburg: Piter.

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DOI: https://doi.org/10.34069/AI/2021.45.09.13 How to Cite: Romanov, M., Vasylynchuk, V., Grytsyshen, D., Melnyk, O., & Denysiuk, D. (2021). Organizational and legal framework for the functioning of the National Police investigation units. Amazonia Investiga, 10(45), 120-130. https://doi.org/10.34069/AI/2021.45.09.13

Organizational and legal framework for the functioning of the National Police investigation units Організаційно-правові засади функціонування підрозділів дізнання Національної поліції України Received: August 23, 2021

Accepted: September 30, 2021

Written by: Romanov Maksym47 https://orcid.org/0000-0003-2443-7744 Vasylynchuk Viktor48 https://orcid.org/0000-0001-5415-8450 Grytsyshen Dymytrii49 https://orcid.org/0000-0002-1559-2403 Melnyk Oksana50 https://orcid.org/0000-0003-1805-830X Denysiuk Denys51 https://orcid.org/0000-0002-9887-9783 Abstract

Анотація

The purpose of the article is a scientific interpretation of the concept, essence and general structure of the organizational and legal framework for the functioning of inquiry units of the National Police of Ukraine and their regulatory support. The subject of the study is the organizational and legal basis for the functioning of inquiry units of the National Police of Ukraine.

The research methodology includes the use of general scientific and special methods of scientific cognition: dialectical, logical, normative and dogmatic, logical and semantic, monographic, method of generalization.

Research results. The analysis of approaches to understanding the concept and essence of organizational and legal framework for inquiry units of the National Police of Ukraine is carried out. The notion and significance of normative bases, which are focused on providing organizational and legal support for law enforcement agencies in general and inquiry units of the National Police of Ukraine, in particular, are outlined. Practical implication.

Метою статті є наукове тлумачення поняття, сутності та загальної структури організаційно-правових засад функціонування підрозділів дізнання Національної поліції України та їх нормативного забезпечення. Предметом дослідження є організаційно-правові засади функціонування підрозділів дізнання Національної поліції України. Методологія дослідження включає в себе використання загальнонаукових та спеціальних методів наукового пізнання: діалектичний, логічний, нормативно-догматичний, логікосемантичний, монографічний, метод узагальнення. Результати дослідження. Проведено аналіз підходів до розуміння поняття та сутності організаційно-правових засад функціонування підрозділів дізнання Національної поліції України. Окреслено поняття та значення нормативних підстав, що орієнтовані на забезпечення організаційноправових засад загалом і підрозділів дізнання Національної поліції України, зокрема.

47

Senior Research Fellow of Public Law Problems Research Department of the Scientific Institute of Public Law, Ukraine.

Doctor of Law, Professor, Professor of the Department of Operational and Investigative Activities of the National Academy of Internal Affairs, Ukraine.

49 Doctor of Economics, Doctor of Public Administration Sciences, Professor, Dean of the Faculty of Public Administration and Law of Zhytomyr Polytechnic State University, Ukraine.

50 PhD in Law, Associate Professor, Associate Professor of Criminal Procedure Department of the National Academy of Internal Affairs, Ukraine.

51 PhD in Law, Associate Professor, Leading Researcher of the Scientific Institute of Public Law, Ukraine.

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The significance and elements of organizational and legal framework in the context of sustainable and stable functioning of inquiry units of the National Police of Ukraine are clarified. Value / originality. The problems are outlined and recommendations for their possible solution and improvement of the relevant institution are developed.

Key words: principles of functioning, regulatory framework, supervision, inquiry, connoisseur.

Практичне значення. З’ясувано значення та елементів організаційно-правових засад у контексті сталого та стабільного функціонування підрозділів дізнання Національної поліції України. Цінність/оригінальність. Окреслено проблеми та розроблено рекомендації щодо можливого їх розв’язання та вдосконалення відповідного інституту. Ключові слова: засади функціонування, нормативні основи, нагляд, дізнання, дізнавач.

Introduction The Constitution and laws of Ukraine regulate the chosen European integration course of the State. The vector of pro-European development of Ukraine and its citizens was chosen not by chance, because only such a way allows to reliably strengthen the functioning of the institution of human and civil rights and freedoms in a view of democratic values.

Thus, the aim of the article is scientific interpretation of the concept, nature and general structure of organizational and legal framework of the National Police of Ukraine in general and inquiry units in particular on the basis of the views of scientists, current regulations and statistics.

Methodology

Our country has a wide range of law enforcement agencies, one of the main tasks of which is to ensure proper observance of human and civil rights and freedoms, investigation of criminal offenses and prosecution of perpetrators.

However, given the large of criminal acts, the issue of their investigation needs and has always required differentiation.

The essence of this process is the distribution of powers between various public authorities to protect the rights and freedoms of an individual and citizen through investigating criminal offenses of various kinds. One of such bodies is the National Police of Ukraine, which conducts pre-trial investigation of criminal offenses under their jurisdiction, which constitute about 92% of the articles of the Criminal Code of Ukraine (Law of Ukraine No. 2341-III, 2001).

The institution of inquiry units of the National Police of Ukraine was introduced in order to relieve the pre-trial investigation bodies (namely, investigators of the National Police of Ukraine).

The activities of inquiry units is regulated by a number of normative and legal acts, which determine their bases of organization, direction of activity and separate elements of the mechanism of functioning. However, the issues of organizing the work of the relevant departments, regulatory and legal support of their organizational and legal foundations and fundamental aspects of the functioning generally remain open.

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The process of cognition, as the basis of any scientific research, is quite complex and requires a conceptual approach based on a certain methodology, the application of certain methods.

The method is a tool for solving the main task of science – the discovery of objective laws of reality. The method determines the need and place of application of induction and deduction, analysis and synthesis, abstraction, formalization, modeling, etc. The specifics of our research have led to the choice of the following methods.

Dialectical method helps to analyze the approaches to understanding the concept and essence of the organizational and legal framework for the functioning of the inquiry units of the National Police of Ukraine.

Using logical method, the concept and meaning of normative basis, which is focused on providing organizational and legal support for inquiry units of the National Police of Ukraine, are outlined.

Normative and dogmatic method is applied in the study of normative acts that regulate the issues of the concept, nature and general structure organizational and legal bases of the functioning of inquiry units of the National Police of Ukraine.

System and structural method is useful in creating legal framework for the functioning of

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122 inquiry divisions of the National Police of Ukraine, as well as for the determination of the main functions of inquiry units, which are enshrined in the relevant organizational and legal framework.

Logical and semantic method makes it possible to examine the concept of organizational and legal foundations of the functioning of the relevant police units.

Monographic method is used in the investigation of the views of scientists who have considered the issue under consideration.

Method of generalization helps to develop recommendations for possible solutions to the outlined problems and improve the relevant institution.

Literature Review According to a number of scholars, organizational and legal framework for law is the starting point that legally fixes the objective laws of social development (Bespalko 2018, p. 53).

Pursuant to Geneva Centre for the Democratic Control (DCAF, 2015, p. 7) legal framework in police activities is: constitutional and organic laws, policies and plans conform to national and international law.

In turn, the scholars who study the issues of organizational and legal support for public authorities pay attention to some special features of this category.

For example, Pryimachenko (2013, p. 60) argues that the organizational support of the judiciary is a set of administrative, financial, informational, organizational and logistical measures of influence implemented by the State Judicial Administration of non-procedural nature, which are aimed at creating and maintaining appropriate conditions for the effective functioning of the judiciary.

Studying the organizational support of the Prosecutor’s Office, Shahanenko (2015, p. 146), proposes to supplement the already reasoned list of features of the organizational support with: personnel measures (which, in our opinion, are absorbed by the administrative measures described by the abovementioned authors); informational and operational measures (which act as a narrow reflection of the previously mentioned informational and organizational measures).

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In our opinion, Zabroda (2013, p. 47) provides the most comprehensive and complete research on the essence of organizational and legal measures. He states that organizational and legal framework includes: 1) mandatory elements (legal basis (legislation); object of legal regulation; priority areas; principles; actors and their tasks, functions and powers, means (measures and methods), by which the public relations are regulated (including responsibilities and mechanisms of control and supervision) and 2) optional elements (organization of international cooperation) in the relevant area; information support; specifics of funding; features of interaction and coordination in a particular area.

Piotrowski et al. (2021) prove that there is a positive influence of organizational support and organizational justice on the work of a police officer. To substantiate this view, they have studied the relevant data and performed correlation analyses.

Boateng (2014) having studied the issue of organizational Support and police officer effectiveness, states that it has received considerable attention in the academic literature, but a little scholarly attention in police circles. To solve this problem, the scientist presents the relevant survey results on the officers’ perception of organizational support influence on the effectiveness in performing assigned duties.

Results and Discussion The urgency of the topic is due to Ukraine’s European integration efforts, which at the present stage of the State formation are implemented in a way to strengthen the institution of democracy and the rule of law as a basis for public authorities and local government.

One of the most comprehensive and effective steps to reform criminal justice and the structure of law enforcement agencies in the context of optimizing their work was the establishment of a system of inquiry units of the National Police of Ukraine.

One of the mandatory elements of the organizational and legal framework for the functioning of the investigation units of the National Police of Ukraine is the relevant regulatory framework.

Regulatory legal support is legal mechanisms that are enshrined at the national level, which are binding and compulsory and consist of national

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laws and regulations, contractual obligations (Geneva Centre for Security Sector Governance, 2021).

The normative bases for the functioning of inquiry divisions of the National Police of Ukraine consist of: 1.

2.

3.

4.

5.

6.

The Constitution of Ukraine (Law of Ukraine No. 254k/96-VR, 1996), which defines the basic provisions of respect for human and civil rights and freedoms, restrictions on law enforcement in terms of influencing human and civil rights and freedoms in criminal proceedings.

The Criminal Procedure Code of Ukraine (Law of Ukraine No. 4651-VI, 2012), which partially covers the basics of organizational and legal nature in relation to the inquiry units of the National Police of Ukraine; Law of Ukraine “On the National Police” (Law of Ukraine No. 580-VIII, 2015), which establishes the profound organizational and legal and constitutive principles, tasks, and algorithms of the National Police of Ukraine as the central body of State power authorized to prevent and combat crime in general and investigating criminal offenses in particular.

Law of Ukraine “On the Disciplinary Statute of the National Police” (Law of Ukraine No. 2337-VIII, 2018), which defines the general procedure for disciplinary proceedings against police officers of the National Police of Ukraine.

Law of Ukraine “On Amendments to Certain Legislative Acts of Ukraine on Simplification of Pre-trial Investigation of Certain Categories of Criminal Offenses” (Law of Ukraine No. 2617-VIII), which is the main organizational and legal basis for pre-trial investigation of criminal offenses by the inquirers and investigators of the National Police of Ukraine.

Regulation on the organization of the activities of inquiry units of the National Police of Ukraine (Order of the Ministry of Internal Affairs of Ukraine 2020, No. 405), which defines the basic organizational and legal principles of functioning of inquiry units.

Organizational and legal bases for the functioning of inquiry units of the National Police of Ukraine also consist of priority directions and principles.

There is no clear definition of the concept of direction in jurisprudence, however, its essence

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is reflected in part in philosophical categories, such as the concept of progress.

Scientists emphasize that the progress is based on increasing the level of organization, which is manifested in the ability to self-organization, self-regulation, self-management in the most highly organized forms of matter (Shynkaruk 1986, p. 539 – 540).

Therefore, when interpreting the concept of direction through the definition of progress, it should be noted that in the context of organizational and legal framework for the National Police of Ukraine, the direction is a vector of gradual movement towards progress or regress, characterized by self-organization, selfregulation and self-management.

The concept of task is also reflected in reference sources and is interpreted as a predetermined, planned amount of work, business or goal to which they aspire; what they want to achieve (Kunch 2005). According to the current legislation, the tasks of the National Police of Ukraine (Law of Ukraine No. 580-VIII, 2015) are to provide police services in the following areas: ensuring public safety and order (which can be implemented by the staff of the inquiry unit as a result of preventive actions and encouraging individuals and citizens not to violate public order and safety); protection of human rights and freedoms, as well as the interests of society and the State (which is fully realized in the main functions of the National Police of Ukraine: pre-trial investigation of criminal offenses, prosecution of perpetrators, protection and defense of the rights and freedoms of victims, suspects and others involved in pre-trial investigation); combating crime (which is fully reflected in the functions of the inquiry units and is implemented in their daily activities connected with pre-trial investigation of criminal offenses, which aims, in particular, to bring the perpetrators to justice); providing, within the limits prescribed by law, assistance to persons who need it because of personal, economic, social reasons or as a result of emergencies (which is reflected in the inquirers’ non-procedural activities, as the official is also a police officer with general duties as a law enforcement officer, including providing assistance to people).

Turning back to the principles, we can state that they are basic, original ideas, characterized by universality, general significance, higher

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124 imperative and reflect the essential provisions of theory, doctrine, science, domestic and international law, political, State or community organizations (humanism, legality, justice, equality of citizens before the law, etc.) (Skakun 2001, p. 258).

In turn, having considered these approaches to the interpretation of the concept of principles in law, it is necessary to investigate the issue of their interpretation taking into account the views of scientists and the principles of the National Police of Ukraine defined by the current legislation of Ukraine.

Kolodii (2012), considering the classification of the principles of law, notes that the general principles of law are universal, and specifically embodied in the principles of each area of law; the autonomous principles of lawmaking are embodied in law enforcement. The author emphasizes that the basic principles are divided into general and social and specific and legal (systemic and structural); among general and social one can highlight political, economic, social, ideological, moral foundations of law.

Thus, the author affirms the existence of the following structure: 1) the principles of the legal system: a) common law (basic) principles; b) intersectoral principles; c) sectoral principles; d) the principles of legal institutions.

At the same time, applying the obtained theoretical results to practical activities and the legal basis for the functioning of law enforcement agencies, the principles of the National Police of Ukraine are: rule of law (which is a basic and fundamental principle that directs the work of the agency solely in the interests of human and civil rights and freedoms defined not only by the Constitution of Ukraine and current international agreements, which the Verkhovna Rada of Ukraine agreed to be bound by, but also by the Criminal Procedure Code of Ukraine and the Law of Ukraine “On the National Police”); observance of human rights and freedoms (which lies not only in their protection during conducting organizational, official or procedural activities, but also in showing respect in other situations of official nature (while on duty, in public places, etc.); legality (which directs the work of the inquiry unit and its officials only in the manner and within the limits provided by applicable law); transparency (which means providing information to the authorities and the public by

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inquiry units about their activities in the area of protection of human rights and freedoms, crime prevention, public safety and order, as well as access to public information owned by the National Police of Ukraine in the manner and in accordance with the requirements specified by law); political neutrality (which is to ensure the protection of human and civil rights and freedoms, regardless of political beliefs and party affiliation); interaction with the population on the basis of partnership (which means cooperation and interaction with the population in its various forms (involvement of the public concerned in the conduct of investigation (search) as witnesses or as extras); continuity (which means continuous and roundthe-clock performance of tasks by the inquiry units of the National Police of Ukraine within the limits and in the manner prescribed by the Criminal Procedure Code) and is reflected in the right of an individual to seek help from the police or police officers.

Subjects, their tasks, functions and powers are another essential element of the organizational and legal framework for the functioning of inquiry units of the National Police of Ukraine.

The subjects of the inquiry units of the National Police of Ukraine are their structural elements (organizational and staffing units), which include: the Inquiry Department of the National Police of Ukraine; departments (sectors) of inquiry of the Main Directorates of the National Police; departments (sectors) of inquiry of territorial (separate) police units; investigators, as well as police officers of other units of the National Police of Ukraine, who are authorized to conduct pre-trial investigation of criminal offenses.

The tasks of these subjects are: protection of the individual, society and the State from criminal offenses (which lies in the implementation of a prompt, complete and impartial pre-trial investigation of criminal offenses in compliance with all legal procedures and objective factors); protection of the rights, freedoms and legitimate interests of participants in criminal proceedings (which is to respect the rights and freedoms of all participants in criminal proceedings and protect them from encroachment; ensuring prompt, full and impartial investigation of criminal offenses under the jurisdiction of the National Police of Ukraine (which lies in the

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implementation of the principle of inevitability of liability for offenses and compliance with pretrial investigation. The completeness of the investigation and disclosure of a criminal offense depend on how quickly the procedural actions are carried out, which will help to protect the legitimate interests of persons involved in criminal proceedings; completeness means that all circumstances to be proved in criminal proceedings are established. In this regard Shcherbakovskyi et al (2020, p. 123) note that errors and violations that take place at the stage of pre-trial investigation lead to the restriction of human rights and freedoms; ensuring compensation to individuals and legal entities for damage caused by criminal offenses (lies in the most effective implementation of criminal procedural and administrative tools by the inquirer to legally achieve the goals and objectives of pre-trial investigation and creating appropriate grounds for further compensation to individuals and legal entities for damage caused by criminal offenses); identifying the causes and conditions that contribute to the commission of criminal offenses, and taking measures to eliminate them.

Besides, the main functions of inquiry units are: the analysis of the practice of pre-trial investigation of criminal offenses, organization and results of the activities of the inquirers, and making proposals for efficiency gains (which can be implemented through systematic individual evaluation of inquirers, by rating, taking into account all objective, subjective factors); use of means to improve the quality of the inquiry and compliance with its deadlines; study, generalization of positive experience of inquiry, its introduction into the practice of inquiry units, development of modern methods of investigation of certain types of criminal offenses (which is expressed in borrowing international experience of units conducting pre-trial investigation of criminal offenses); organization of interaction of inquiry units with other units of the National Police, investigators and detectives of other law enforcement agencies, entities engaged in forensic activities, units engaged in operational and investigative activities, as well as prosecutors, who supervise compliance with the law during pre-trial investigation in the form of procedural guidance of pre-trial investigation (carried out directly by the inquirer in the pre-trial investigation, by drawing up procedural documents); studying the practice of application of legal norms by inquirers and development of proposals to improve the legislation of Ukraine (which is

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reflected in the creation of high quality methodological support for inquiry units of the National Police of Ukraine, formed using the practice of application of legal norms, statistics); ensuring selection, placement and education of personnel for inquiry units, improving their skills and professionalism (which serves as a basis for further development of the inquiry institution in Ukraine as a body authorized to investigate criminal offenses and is reflected in the development of training programs, training courses qualifications and professional skills, as well as trainings, seminars, workshops and the creation of other formats and algorithms for the training of inquirers and persons authorized for inquiry in the National Police of Ukraine); addressing and adjudicating on citizens’ appeals received in relation to the inquiries.

The powers, in contrast to the tasks and functions, are defined only for a few categories of inquirers, namely for the Head of the Inquiry Department of the National Police of Ukraine; Head of the Main Directorate of the National Police Inquiry Department (sector); Head of the Department (sector) of Inquiry of the Territorial Police Unit. In turn, these powers are generally formulated almost identically, duplicating and differentiating depending on the level of administrative importance of the post occupied by the relevant manager.

One of the most important elements of the organizational and legal framework for the functioning of any public authority is the mechanisms of responsibility and control, supervision of specific activities.

The most accurate in the context of the need to define the concept of responsibility of the inquirer as an official of the police and the procedural person carrying out pre-trial proceedings is the consideration of existing scientific provisions on the interpretation of the relevant category.

Legal liability arises precisely because the subject of the offense is in a general relationship of responsibility with the State, but breaks this connection by an act of irresponsible behavior.

This statement most accurately and clearly reflects the essence of the responsibility of the inquirer – the violation of previously assumed legal obligations, for which there is a necessary and inevitable legal consequence.

In order to prosecute officials of the National Police of Ukraine and persons authorized to conduct pre-trial investigations of criminal

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126 offenses, there is a system of bodies and legal bases for their activities in order to exercise appropriate control and supervision.

The scientists emphasize that the control function not only provides legality, compliance with mandatory requirements, but also involves conducting the test to ensure that the legal model is met, as well as analysis of the actual state of implementation of the rules of conduct, the results obtained (Horbova 2019, p. 39).

The control over the activities of employees of inquiry units in the system of the National Police of Ukraine in terms of compliance with discipline and legality is most effectively performed by the Personnel Inspection Department of the Personnel Department of the National Police of Ukraine.

The main reason for prosecuting a police officer is the violation of official discipline, which is expressed in non-compliance with the Disciplinary Statute of the National Police of Ukraine, which defines the essence of official discipline in the National Police of Ukraine, the powers of police officers and their superiors, the procedure for their application and appeal.

The observance of official discipline, in accordance with the Disciplinary Statute, is based on the creation of the necessary organizational and socio-economic conditions for honest, impartial and dignified performance of police duties, respect for the honor and dignity of police officers, education of conscientious attitude to police duties by the prudent application of methods of persuasion, encouragement and coercion.

It should be noted that bringing an inquirer to disciplinary responsibility is possible only for the act that violates the principles of discipline and legality in the activities of the National Police of Ukraine, as there is a separate mechanism for appealing procedural decisions, actions or omissions in the criminal process associated with procedural supervision.

At the same time, it should be emphasized that there is the concept of judicial control in the system of criminal proceedings, which is a direct part of the normative component of the organizational and legal framework for the operation of inquiry units of the National Police of Ukraine.

Judicial practice indicates that judicial control over the procedural actions and decisions of the inquirer is an extremely effective and efficient

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means of protecting legal rights and interests of participants in criminal proceedings. The function of judicial control in the domestic criminal procedural legislation during the pretrial investigation is entrusted to a new subject in the criminal process – the investigating judge (Kyslenko 2015, p. 178).

The concept of supervision is interpreted in many ways. The meaning of the term “supervision” is often revealed through the concept of “control”.

In this regard Busel (2005, p. 992) emphasizes that the meaning of these words is the same in the conventional sense.

However, it should be emphasized that the essence of these definitions is clearly distinguished by the subject of the relevant authority in relation to the supervision over the activities of inquiry units of the National Police of Ukraine. Supervision in this case is the function of the prosecutor’s office under current law; control is attributed to the powers of the inspection of the personnel of the National Police of Ukraine, and in terms of the exercise of procedural powers it is empowered to the functions of the court, the investigating judge. In any case, these elements are part of the organizational and legal framework for the operation of inquiry units of the National Police of Ukraine.

It should also be emphasized that in the context of globalization, mutual and systematic exchange of experience between law enforcement agencies around the world, the issue of international cooperation as an element of organizational and legal framework and one of the priorities of the latter is very important for sustainable development.

Etymologically, the term “cooperation” means joint activities, participation, partnership, interaction (Khomaiko 2018, p. 70). The researcher Kuznetsov and Tuzmukhamedov (2010, p. 207) believe that international cooperation is a joint action of the actors in any area of their common interests, interconnected activities to coordinate their views, actions, solve problems that have mutual significance for the adoption of mutually acceptable decisions.

Information and analytical support as an element of organizational and legal bases of functioning of inquiry units of the National Police of Ukraine is the most important optional direction from the point of view of rapid information progress of society.

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Regarding the concept of information and analytical support in the scientific space, there is a certain discussion, which is expressed in the controversial attribution of a number of features to this category.

Thus, according to Hlushkov (1973), the structure of information and analytical activities should include information support, information and analytical work, databases, including information retrieval, goals, motives, methods and techniques of their implementation. It should be noted that information and analytical activity is a product of intellectual, creative general civilization tendencies that characterize the development of mankind aimed at the formation of priorities for sustainable development of civilization and informatization (Zakharova and Filipova 2013).

It is appropriate to note that the National Police of Ukraine performs the following actions within information and analytical support: forms databases (banks) that are part of a single information system of the Ministry of Internal Affairs of Ukraine; carries out information retrieval and information and analytical work; uses databases (banks) of the Ministry of Internal Affairs of Ukraine and other public authorities.

We stress on the need to use the full range of information and analytical technologies in the activities of inquiry units, as it is necessary not only for the development, but also for the normal exercise of powers given the annual number of registered criminal offenses, rapid informatization of all spheres of public administration and social life, as well as improving digital literacy.

Conclusion Thus, we analyzed the most important, in our opinion, and essential elements of the organizational and legal framework for the operation of inquiry units of the National Police of Ukraine.

Therefore, on the basis of the analyzed approaches to understanding the concept of organizational and legal principles and regulatory support, highlighting their essence and research approaches to understanding the structural elements and essence, we have made the following conclusions: 1.

Organizational and legal principles of functioning are, in their general sense, original and legally fixed patterns of

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organization and streamlining the processes of ensuring the proper operation or functioning of anything.

2. Organizational and legal bases for the functioning of inquiry units of the National Police of Ukraine are normatively fixed initial laws of administrative, material, financial or any other nature in relation to the organization and streamlining the processes of maintenance of proper functioning of the corresponding institution.

3. The essence of the organizational and legal basis for the functioning of the inquiry units of the National Police of Ukraine is their importance for the development and expansion of opportunities for the implementation of the functions assigned to the relevant agencies. In turn, the structure of organizational and legal framework for the activity (functioning) is rather extensive and includes both mandatory and optional elements.

4. Normative support is the legal mechanisms established by the State as obligatory and compulsory for all individuals who are in its territory (except for the cases defined by law), consisting of national laws and other regulatory legal acts (acts of the President of Ukraine, resolutions of the Verkhovna Rada of Ukraine, resolutions and orders of the Cabinet of Ministers of Ukraine, other normative, organizational and administrative documents adopted in the manner prescribed by law).

5. The list of normative legal acts that ensure the functioning and organizational and legal support includes: the Constitution of Ukraine, the Criminal Procedure Code of Ukraine, the Law of Ukraine “On the National Police”, the Law of Ukraine “On the Disciplinary Statute of the National Police”, the Law of Ukraine “On the amendments to some legislative acts of Ukraine to simplify the pre-trial investigation of certain categories of criminal offenses”, Regulation on the organization of the activities of inquiry units of the National Police of Ukraine.

6. The mandatory elements of the organizational and legal framework for the operation of inquiry units of the National Police of Ukraine are: 6.1. Normative basis (in general: the Law of Ukraine “On the National Police”, the Law of Ukraine “On the Disciplinary Statute of the National Police”, Regulation on the organization of inquiry units of the National Police of Ukraine; in particular: Criminal Procedure Code of Ukraine, the Law of

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128 Ukraine “On Amendments to Certain Legislative Acts of Ukraine on Simplification of Pre-trial Investigation of Certain Categories of Criminal Offenses”, other normative and legal acts); 6.2. Subjects and their tasks, functions and powers (i.e. the activities in the system of law enforcement agencies of Ukraine of inquiry units as an institution authorized for pre-trial investigation of criminal offenses); 6.3. Priority areas, principles, which in this case are determined by the general principles of the National Police of Ukraine (public safety and order; protection of human rights and freedoms, as well as the interests of society and the State; crime prevention; providing assistance to persons who are in need) and by the basic principles (rule of law; respect for human rights and freedoms; legality; transparency; political neutrality; interaction with the population on the basis of partnership; continuity).

6.4. The mechanisms of responsibility and control, supervision of specific activities (for example, management of the inspection of personnel of the National Police of Ukraine (at the general level), and also the bodies of the prosecutor’s office and the court (in matters of purely procedural activities and the need to respect the rights and freedoms of all participants in criminal proceedings).

7.

Besides, the optional elements of the organizational and legal framework for the operation of inquiry units of the National Police of Ukraine consist of:

7.1. Organization of international cooperation, which lies in both organizational and procedural assistance in preventing the commission of criminal offenses by individuals and the establishment of a system of joint exercises for mutual exchange of experience, methods of training and retraining of other police officers to work in inquiry units; 7.2. Organization of information and analytical support as the system of training (retraining) of specialists for inquiry units using the latest information technologies and the use of various innovations (electronic databases, information and reference Internet resources, etc.) in the investigation of criminal offenses; The prospect for the further scientific research is, first of all, to expand a certain scientific position, its argumentation taking into account the views

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of a wider range of scientists, regulations of national and international jurisdiction, as well as experience in determining the organizational and legal framework of pre-trial investigation of criminal offenses.

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DOI: https://doi.org/10.34069/AI/2021.45.09.14 How to Cite: Pryimachenko, O., Babii, A., Shnarevych, O., Pavlenko, O., & Rakhlis, V. (2021). Emotional intelligence Vs normative behavior of juvenile male convicts. Amazonia Investiga, 10(45), 131-140. https://doi.org/10.34069/AI/2021.45.09.14

Emotional intelligence Vs normative behavior of juvenile male convicts Емоційний інтелект vs нормативної поведінки неповнолітніх засуджених осіб чоловічої статі Received: August 29, 2021

Accepted: September 30, 2021

Written by: Olesia Pryimachenko52 https://orcid.org/0000-0002-5499-603X Alla Babii53 https://orcid.org/0000-0002-9304-922X Olena Shnarevych54 https://orcid.org/0000-0002-0657-3091 Olena Pavlenko55 https://orcid.org/0000-0002-3868-3252 Vadym Rakhlis56 https://orcid.org/0000-0003-2223-5196 Abstract

Анотація

In recent years, the level of crime among young people has increased, so there is a need to improve the methods of education and correction of such persons, which is why the in-depth study of the emotional intelligence of the convict is relevant. Based on empirical data, the components of emotional intelligence of male juveniles with normative behavior and convicts were compared. The following research methods were used: semantic, sociological (observation, interviewing, psychodiagnostic testing), comparative analysis, and correlation analysis.

The study found that the level of emotional intelligence of juvenile convicts is lower than the emotional intelligence of normative behavior.

Convicts have a lower level of understanding and control of their emotions, reduced empathy, which is expressed in the inability to consciously interpret the emotional state of another person, and reduced control over their expression. The above directly proportionally affects the ability of juveniles to commit criminal offenses, so it is necessary to purposefully influence and develop emotional intelligence and emotional competence in juvenile male convicts. Based on

За останні роки збільшився рівень злочинності серед молоді, тому виникає необхідність вдосконалення методів виховання та виправлення таких осіб, само через це актуалізується поглиблене вивчення емоційного інтелекту засудженого. На підставі емпіричних даних здійснено порівняння компонентів емоційного інтелекту неповнолітніх чоловічої статі з нормативною поведінкою та засуджених. В роботі використано такі методи дослідження: семантичний, соціологічні (спостереження, інтерв’ювання, психодіагностичне тестування), порівняльний аналіз та кореляційний аналіз. За результатами дослідження виявлено, що рівень емоційного інтелекту неповнолітніх засуджених нижче, ніж емоційний інтелект представників нормативної поведінки. Засуджені мають нижчий ступінь розуміння та управління своїми емоціями, знижену емпатію, що виражено у нездатності усвідомлено тлумачити емоційний стан іншої людини, та знижений контроль власної експресії. Вищезазначене прямо пропорційно

52

Candidate of psychological sciences (Juridical Psychology), docent of the Department of Psychology, University of Customs and Finance.

53 Ph.D., Associate Professor of the Chernivtsi Institute of International Humanitarian University, Ukraine.

54 Candidate of Economic Sciences, Junior Researcher of the Ptoukha Institute of Demography and Social Studies of the National Academy of Sciences of Ukraine.

55 Dr.hab. (Pedagogy), Professor, Head of Foreign Philology, Translation and Professional Language Training Department, University of Customs and Finance, Ukraine.

56 PhD in Pedagogy, Senior Lecturer of the Department of Psychology and Social Work, West Ukrainian National University, Ukraine.

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Pryimachenko, O., Babii, A., Shnarevych, O., Pavlenko, O., Rakhlis, V. / Volume 10 - Issue 45: 131-140 / September, 2021

the constant analysis of the emotional intelligence of convicts, it is possible to more effectively identify and eliminate the causes and conditions that contribute to the commission of offenses and anti-social actions.

Keywords: emotional intelligence, emotional competence, juvenile convict, criminal offenses, normative behavior.

впливає на здатність неповнолітніх здійснювати кримінальні правопорушення, тому необхідно цілеспрямовано впливати та розвивати емоційний інтелект та емоційну компетентність у неповнолітніх засуджених чоловічої статі. На підставі постійного аналізу емоційного інтелекту засуджених є можливість більш ефективно виявляти та усувати причини і умови, що сприяють здійсненню правопорушень та антигромадських дій. Ключові слова: емоційний інтелект, емоційна компетентність, неповнолітній засуджений, кримінальні правопорушення, нормативна поведінка.

Introduction With the growing number of criminal offenses committed by adolescents, the study of the causes of juvenile delinquency and the psychological portrait of juvenile convicts remain relevant. To date, the most criminogenic age is 16-17 years. The subject of the offense is a male person, and there are no restrictions on social status, as juvenile offenders are both homeless and children from well-off, well-off families. According to neurobiologists, often a juvenile offender is formed by deep psychological aspects. Juvenile delinquents are characterized by aggression, anger, anxiety, negative behavior, high levels of impulsivity, which is associated with poorer skills to solve social problems, and poorer skills to solve social problems – with greater aggression, inability to consciously regulate emotions for personal growth and improvement of interpersonal relationships, low level of ability to understand the emotional meaning of the situation in a cognitive perspective, change and interaction of emotions, the reasons for their variability and changes over time, their determination by environmental events, reduced social adjustment, empathy and compassion. The above is an emotional component of a person. Many scientific papers, psychologists of the highest category emphasize that our actions are a product of our emotions, and as a result, at the end of the 20th century, the concept of emotional intelligence was developed.

Emotional intelligence is the ability to understand the true causes of their emotions, to correctly interpret their own behavior and the behavior of others, to have a productive influence on it, to understand the emotions, feelings, desires, goals of others, to know their strengths and weaknesses, avoid stress and be attractive. The study of the concept of emotional intelligence is gaining momentum

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as it is closely related to attempts to assess a person's adaptive abilities through his ability to successfully interact in society, analysis of the level of emotional competence of an individual allows to predict his reactions and behavior.

The above confirms the increased need to study and analyze the specifics of the emotional intelligence of male juvenile convicts. The results of such studies will confirm the hypothesis of the relationship between the emotional intelligence of the adolescent and his ability to commit a crime. Based on this relationship and the importance of increasing the emotional competence of the individual, the creation of programs of preventive measures for juvenile delinquency will be more productive, methods of re-education of juveniles more effective, and the general concept of optimizing interpersonal relationships, positive activities of adolescents in society, their self-realization level above.

Purpose: to consider the theoretical and practical provisions of emotional intelligence, different approaches to its interpretation. To investigate in detail the emotional intelligence of male juvenile convicts by comparing the components of emotional intelligence of juvenile convicts and juveniles with normative behavior. The results of the study should be presented as necessary for use in the field of crime prevention among young people and in the development of effective ways to correct convicts. The object of research is the phenomenon of emotional intelligence. The subject of research – features of emotional intelligence of juvenile male convicts.

Theoretical Framework or Literature Review

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In the process of studying the concept of emotional intelligence, the authors used the work of the following scientists: Andreeva (2008), Lusin (2006), Saenko (2010), Bar-On (2007), Mayer, Solovey, and Caruso (2003).

Throndike, Hagen and Sater (1986), Frolova (2018), Fedorenko, Belousova and Chetyrchinskaya (2020), Abrikosova, Aleksandrovskaya, Kudinova and Irgit (2019); Rakhlis and Pavlenko (2021).

Andreeva (2008) interprets the concept of emotional intelligence through emotional competence, namely: "it is a set of knowledge, skills, and abilities that are aimed at making adequate decisions and encourage action based on the results of intellectual processing of external and internal emotional information."

Methodology

Lusin and Ushakov (2004) understands emotional intelligence as a mixed construct, namely a combination of cognitive abilities and personal characteristics. The scientist identifies the following components of emotional intelligence: interpersonal, intrapersonal, understanding emotions, emotion management, understanding other people's emotions, managing other people's emotions, understanding one's own emotions, managing one's own emotions, controlling expression.

In his research on the essence of emotional intelligence, Saenko (2009, 2010) draws attention to such a component as the regulation of emotions, i.e. awareness of their emotional experiences and their biologically and socially appropriate use to achieve goals and meet needs.

Regulation of emotions involves the maximum possible external expression, the discharge of emotional states in constructive ways, i.e. in ways that do not violate the interests, rights, and freedoms of other people.

Bar-On (2007 2010) understands emotional intelligence as a set of non-cognitive abilities, competencies, and skills that affect a person's ability to adapt to different life situations. The scientist identifies 5 components of emotional intelligence (self-knowledge, communication skills, ability to adapt, manage stressful situations, the mood he is experiencing). Bar-On first introduced the concept of EQ – emotional quotient, the coefficient of emotionality, by analogy with IQ – the coefficient of intelligence.

Mayer, Solovey, and Caruso (2003) were the first to introduce the term "emotional intelligence" into psychological discourse. Scientists interpret this concept as the ability to effectively control emotions and use them to improve thinking.

The concept of emotional intelligence has also been studied by scholars such as McMurran and McGuire (2005), Salovey and Mayer (1994),

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The choice of specific research methods is determined by the goals and results that are expected to be obtained. The specifics of the emotional intelligence of juvenile convicts were studied using the following methods: semantic, sociological (observation, interviewing, psychodiagnostic testing), comparative analysis, and correlation analysis.

The semantic method of research is used to define the essence of phenomena, concepts, terms, and their etymology. This method is a tool for finding and discovering the meaning of words and phrases that denote the object and subject of research. With the help of semantic analysis, the essence of the conceptual and categorical apparatus is settled by establishing the meaning of the terms: emotional intelligence, the emotional component, emotional competence.

The behavior of juvenile convicts and lawabiding adolescents is a reflection of emotional intelligence and emotional competence. Given that behavior is a social phenomenon, sociological methods have become the basic research methods. Such methods include many empirical procedures: observation, interviewing, psychodiagnostic testing. The following methods are widely used: MSCEIT, SREIT, questionnaire Barchard, EmIn, EQ-i questionnaire by Ruven Bar-On. MSCEIT (The Mayer – Salovey – Caruso Emotional Intelligence Test) is a standard test for assessing emotional intelligence with a highreliability scale. This test is now the most reliable and effective method of assessing emotional intelligence as an ability. MSCEIT makes it impossible for the respondent to self-assess, as it consists of impersonal and objective tasks.

SREIT (Self Report Emotional Intelligence Test) - self-report test with 33 statements, which are divided into 3 scales: evaluation and expression of emotions, regulation of emotions, the use of emotions in solving problems. This test shows quite good psychometric indicators in the design: internal reliability (α Cronbach = 0.90), testretest reliability at 0.78, and obvious discriminant validity. The disadvantage of SREIT is the lack of protection from socially

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134 acceptable responses. The advantage of this technique is the ease of conducting a survey and processing the answers.

Bachard's questionnaire is a set of questions to measure the possible components of emotional intelligence: positive or negative expressiveness, attention to emotions, emotion-based decisionmaking, empathy for joy, empathy for unhappiness, the ability to understand other people's emotions.

Emin (Lucin's emotional intelligence questionnaire) is a self-reported psychodiagnostic technique designed to measure emotional intelligence (EQ) according to the author's theoretical ideas.

Emotional Quotient Inventory (EQ) is a questionnaire for measuring emotional intelligence, developed by Reuven Bar-On, who first introduced the concept of EQ – emotional quotinent, emotional coefficient, by analogy with IQ. The method of comparative analysis was used to compare the emotional intelligence of juvenile convicts and the emotional intelligence of lawabiding adolescents.

The correlation method revealed the interdependence between the deviant, antisocial behavior of convicts and their emotional intelligence.

The empirical basis of our study was the state institutions Kuryaz Correctional Colony, Kremenchug Educational Colony, and secondary schools in Dnipro. The study sample – 626 older male adolescents.

The subjects were divided into two groups. The first group consisted of 301 male juvenile convicts. The second group included 325 older adolescents with conditional normative behavior (who studied in secondary schools).

Results and Discussion The significance of such a psychological construct as emotional intelligence is that it provides basic coordinates for understanding how emotional states affect social functioning, and its prognostic value relates to real-life outcomes (Keefer, Parker & Wood, 2012).

Thorndike's social intelligence (ability to understand others and act intelligently in relationships) (Throndike, Hagen & Sater, 1986); Gardner's theory of multiple intellects (e.g., intrapersonal and interpersonal intelligence) (Gardner, 2011); practical intelligence (human ability to solve real problems) (Mayer, Salovey, & Caruso, 2003), and a state of alexithymia (which is characterized by difficulties in identifying one's own emotions, difficulties in describing the emotions of others, narrowed imaginary processes and a cognitive style focused on appearance, etc.).

The presence of modern models of emotional intelligence in modern psychological science, according to Lusin, determines the feasibility of simultaneous use to study and evaluate this psychological phenomenon of different methodological approaches in scientific research and applied research (Lusin & Ushakov, 2004).

Emotional intelligence is the ability to understand and control emotions; however, the content and boundaries of this construction remain unclear. Meyer and Salovey, who began to use the term, defined emotional intelligence as "the ability to perceive emotions, integrate emotions to facilitate thought, understand emotions, and regulate emotions to promote personal growth." They singled out two areas of EI: experimental (the ability to perceive, respond to, and manipulate emotional information without necessarily understanding it) and strategic (the ability to understand and manage emotions without necessarily perceiving feelings well or experiencing them fully) (Mayer, Salovey & Caruso, 2003).

The results of the study of emotional intelligence of juvenile convicts and juveniles with normative behavior, obtained by the MSCEIT method, are shown in Table 1.

It was found that juvenile convicts differ from juveniles with normative behavior by significantly lower indicators on three of the four scales of the MSCEIT methodology, namely, "Emotional facilitation of thinking" (respectively 0.24 ± 0.05 and 0.36 ± 0.03, t = 2.06, p ≤ 0.05), "Ability to understand and analyze emotional information" (0.26 ± 0.04 and 0.39 ± 0.05, t = 2.03, p ≤ 0.05), "Ability to consciously regulate emotions for personal growth and improvement of interpersonal relationships" (0.21 ± 0.02 and 0.29 ± 0.03, t = 2.22, p ≤ 0.05).

Emotional intelligence has been compared to several other psychological constructs, including

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Table 1.

Indicators of emotional intelligence of juvenile convicts and juveniles with normative behavior according to the MSCEIT method (M ± m). Own authorship.

Scales Identification of emotions Emotional facilitation of thinking Ability to understand and analyze emotional information Ability to consciously regulate emotions for personal growth and improve interpersonal relationships

1 group 0,27±0,03 0,24±0,05

2 group 0,34±0,05 0,36±0,03

t 1,20 2,06

p 0,05

0,26±0,04

0,39±0,05

2,03

0,05

0,21±0,02

0,29±0,03

2,22

0,05

The identified differences suggest that juvenile convicts are characterized by several features, the content of which will be disclosed below.

These subjects are less able to recognize emotions that are productive in the context of facilitation of a particular activity, to determine the degree of usefulness of various emotions in the current situation, to describe their own emotional experiences, i.e., generally characterized by less pronounced ability to use emotions to intensify not only thinking but and activities, facilitate thinking through emotions.

Representatives of this group are less able to understand the emotional meaning of the situation in a cognitive perspective, the transformation and interaction of emotions, the reasons for their variability and changes over time, their conditionality of the content of events; are less able to distinguish between ambiguous and contradictory feelings, awareness of a complex combination of emotions in one feeling, to accumulate experience of experiencing such emotions, i.e. are characterized by a less developed ability to understand and analyze emotional information.

Juvenile convicts are less successful in regulating their own emotions and maintaining a positive emotional state, in imagining themselves in the place of another person, in predicting the development of interpersonal interaction, emotional consequences of their behavior for others, regulation of their emotional states, and the ability to maintain positive relationships with them, reflecting a less perfect ability to consciously regulate emotions to ensure personal growth and harmonize interpersonal relationships.

The absence of probable differences on the scale "Identification of emotions" indicates that juvenile convicts and juveniles with normative behavior do not differ in the manifestations of the ability to perceive emotions, their evaluation, and expression of emotional experiences.

The use of some techniques based on self-report, allowed us to analyze the features of the ideas of the subjects concerning the manifestation of various components of emotional intelligence.

The results obtained using the method SREIT (Self Report Emotional Intelligence Test) are shown in Table 2.

Table 2.

Indicators of emotional intelligence of juvenile convicts and adolescents with normative behavior according to the method of SREIT (M ± m). Own authorship.

Scales Evaluation and expression of emotions Regulation of emotions Using emotions to solve problems In the group of juvenile convicts, the indicators on the scale "Regulation of emotions" (21.63 ± 1.07) are probably lower compared to the group of adolescents with normative behavior (28.58 ± 0.82), at t = 5.16, p ≤ 0.0001.

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1 group 34,97±1,44 21,63±1,07 29,08±0,63

2 group 38,31±1,16 28,58±0,82 37,26±1,57

t 1,81 5,16 4,84

p 0,0001 0,0001

Also, in this group, probably lower than in the second group, the indicators were on the scale "The use of emotions in solving problems" (29.08 ± 0.63 and 37.26 ± 1.57, t = 4.84, p ≤ 0.0001).

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136 Thus, juvenile convicts are less successful in regulating both their own and others' emotions, they are less aware of changes in emotional states and less effectively interpret the conditions that lead to such changes; less flexible in changing behavior to neutralize negative emotions; less variable in the use of adequate situations of strategies for regulating emotions and restraining impulsive behavior; and less able to solve problem situations using certain emotions appropriate to the content of such a situation.

ability to adequately express their emotions according to their condition, needs, and content.

To study in detail the emotional intelligence of juvenile convicts and juveniles with normative behavior, we used the questionnaire K. Barchard, which believes that emotional intelligence contains both personal and cognitive subcomponents.

This determines the multidimensionality of this psychological phenomenon, which was taken into account by the researcher in designing the appropriate psychodiagnostic techniques.

The subjects of both groups did not find differences in the indicators on the scale "Evaluation and expression of emotions", which reflects the ability to identify emotions in their verbal and nonverbal manifestations and the

The subcomponents of emotional intelligence of juvenile convicts and juveniles with normative behavior obtained in the study are given in Table 3.

Table 3.

Indicators of emotional intelligence of juvenile convicts and juveniles with normative behavior according to the method of K. Barchard (M ± m). Own authorship.

Scales Positive expressiveness Negative expressiveness Attention to emotions Making decisions based on emotions Empathy for joy Empathy for misfortune Empathy

1 group 25,09±0,42 28,35±0,52 28,46±1,34 26,92±0,26 25,74±0,91 23,25±0,37 24,03±1,13

Positive expressiveness shows a significantly higher expression in the group of juveniles with normative behavior in comparison with juvenile convicts (27.38 ± 0.17 and 25.09 ± 0.42, t = 5.95, p ≤ 0.0001), who, together with this, show a significantly greater tendency to show negative expression (28.35 ± 0.52 and 26.02 ± 1.01, t = 2.05, p ≤ 0.05).

Thus, subjects with normative behavior show a more pronounced tendency to nonverbally express positive emotions, while juvenile convicts, on the contrary, tend to nonverbally express negative emotions.

In contrast to juvenile convicts (28.46 ± 1.34), probably higher indicators were determined in the group of juveniles with normative behavior (32.17 ± 0.88) and on the scale "Attention to emotions" (t = 2.32, p ≤ 0.05).

2 group 27,38±0,17 26,02±1,01 32,17±0,88 23,64±0,53 31,36±1,65 26,23±0,49 29,25±1,02

t 5,95 2,05 2,31 5,56 2,98 4,85 3,43

p 0,0001 0,05 0,05 0,0001 0,005 0,0001 0,001

(26.92 ± 0.26) significantly higher indicators were established in comparison with the group of juveniles with normative behavior (23.64 ± 0.53), at t = 5.56, p ≤ 0.0001.

In addition, in contrast to respondents with normative behavior, juvenile convicts recorded significantly lower scores on the scales "Empathy for Joy" (25.74 ± 0.91 and 31.36 ± 1.65, t = 2.98, p ≤ 0.005), “Empathy” (23.25 ± 0.37 and 26.23 ± 0.49, t = 4.85, p ≤ 0.0001), “Empathy” (24.03 ± 1.13 and 29, 25 ± 1.02, t = 3.43, p ≤ 0.001).

The content of the differences allows us to say that the representatives of this group have a greater tendency to make plans and decisions based on feelings, rather than based on logic.

That is, the group with normative behavior is more characterized by the ability to track emotions – both their own and the experiences of others, and the ability to be aware of them.

In the presence of other people who rejoice or have fun, they are less likely than juveniles with normative behavior to experience similar feelings, and the presence of grieving people does not cause frustration, anxiety, or sympathy for those who are suffering.

According to the scale "Decision-making based on emotions" in the group of juvenile convicts

According to Saenko (2009, 2010), a negative experience is valuable because only by

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overcoming difficulties, a person develops and reaches true heights in understanding and accepting himself and the world around him. Any suffering ennobles, purifies the human soul; to the sufferer, new aspects of the relationship open up, one's own life and the lives of others are interpreted differently. Through the experience of loss comes an understanding of the value of human relationships. Experiencing suffering and grief is evidence of the ability to truly love and feel.

Lusin (2006), starting from the existing foreign concepts of emotional intelligence, offers his model. He interprets emotional intelligence as the ability to understand and control one's own and others' emotions. According to Lusin (2006) and colleagues, emotional intelligence has a dual nature and is associated, on the one hand, with cognitive abilities and, on the other hand, with personal characteristics (Table 4).

Table 4.

The structure of the abilities that make up emotional intelligence (according to the concept of Lusin (2006)) Ability group

Understanding emotions

Emotion management

Abilities - to recognize emotion, ie to establish the fact of the presence of emotional experience in yourself or another person; - identify the emotion, ie to establish what kind of emotion a person feels himself or another person, and find a verbal equivalent for it; - understand the reasons that caused this emotion and the consequences it will lead to; - to control the intensity of emotions, first of all to suppress excessively strong emotions; - control the external expression of emotions; - if necessary, arbitrarily evoke this or that emotion

The ability to understand emotions is determined by the fact that a person can recognize an emotion, i.e. to establish the fact of the existence of an emotional experience in himself or another person; can identify the emotion, i.e. establish what kind of emotion he or she is experiencing and find a verbal equivalent for it; understands the reasons that caused this emotion and the consequences it will lead to.

The ability to control emotions is determined by the fact that a person: can control the intensity of emotions; can control the external expression of emotions; may, if necessary, cause the appearance of a particular emotion (Lusin & Ushakov, 2004). The ability to understand and manage emotions can be focused on both one's own emotions and the emotions of others. Thus,

the author, following Gardner, speaks of intrapersonal and interpersonal emotional intelligence.

The author himself notes that his model of emotional intelligence is preliminary and needs empirical justification and clarification (Lusin, 2006).

We studied the features of interpersonal intelligence and intrapersonal intelligence in juvenile convicts and juveniles with normative behavior.

The results of the study of the partial characteristics of emotional intelligence by the method of "EmIn" Lusin study groups are shown in Table 5.

Table 5.

Indicators of partial characteristics of emotional intelligence of juvenile convicts and juveniles with normative behavior according to the method of "EmIn" (M ± m). Own authorship.

Scales people's emotions Managing other people's emotions Understanding your own emotions Understanding

other

Manage your own emotions

1 group

2 group

t

p

21,24 ± 1,44

27,01 ± 1,27

3,01

0,003

21,30±1,18

24,73±1,21

2,03

0,04

23,19±1,76

25,17±1,09

0.96

-

18,06±1,39

22,51±0,96

3,23

0,001

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138 Expression control

14,52±1,01

It was found that juvenile convicts differ from juveniles with normative behavior by significantly lower indicators on the subscale "Understanding other people's emotions" (21.24 ± 1.44 and 27.01 ± 1.27, respectively, at t = 3.01, p ≤ 0.003), but on the subscale "Understanding their own emotions" do not show differences in performance compared to the second group.

Concerning the subscales "Management of other people's emotions" and "Management of own emotions", juvenile convicts, in contrast to juveniles with normative behavior, show significantly lower scores on both scales (21.30 ± 1.18 and 24.73 ± 1.21, at t = 2.03, p ≤ 0.04 and 18.06 ± 1.39 and 22.51 ± 0.96, at t = 3.23, p ≤ 0.001).

Probably lower indicators, compared to the normative group, were found in the group of juvenile convicts also on the subscale "Expression Control" (14.55 ± 1.01 and 16.93 ± 0.63), at t = 2.02, p ≤ 0.04.

16,93±0,63

2.02

0,04

Thus, juvenile convicts have a less perfect ability, intuitively or based on external signs of emotions of others, to understand their emotional states; arouse various emotions in them, and neutralize unwanted experiences.

These subjects manage their own experiences less successfully, consider it less important to control their own emotions and their expressive manifestations, to evoke emotions that are subjectively or objectively desirable, as well as to suppress unwanted emotional states and censor the external manifestation of their experiences.

The subjects of both groups show similarities in the ability to understand their own emotions, the ability to understand and determine them, to find out the source of their origin, and to provide verbal definitions of their emotional experiences.

The results obtained on the general scales of emotional intelligence in the group of juvenile convicts and juveniles with normative behavior are given in Table 6.

Table 6.

Indicators of emotional intelligence of minors convicts and juveniles with normative behavior according to the general scales of the method "EmIn" (M ± m). Own authorship.

Scales Interpersonal emotional intelligence Intrapersonal emotional intelligence Understanding emotions Emotion management

1 group 42,54±2,62 55,77±4,16 44,43±3,20 53,88±3,58

It was found that on the scales “Interpersonal Emotional Intelligence” and “Emotion Management” the indicators in the group of subjects with normative behavior (51.74 ± 2.48 and 64.17 ± 2.80) probably exceed the indicators on the specified scales in juvenile convicts (42.54 ± 2.62 and 53.88 ± 3.58), at t = 2.55, p ≤ 0.01 and t = 2.26, p ≤ 0.02, respectively.

That is, in contrast to the normative group, juvenile convicts show less awareness of the emotional state of others, lack of understanding, and less ability to cause certain emotions in partners in interpersonal communication, as well as to transform their own feelings and emotions.

According to the method of EQ-i of Bar-On, the specifics of the main competencies of emotional intelligence in the studied groups were determined (Table 2.8).

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2 group 51,74±2,48 64,61±2,68 52,18±2,36 64,17±2,80

t 2,55 1,79 1.95 2,26

p 0,01 0,02

Bar-On, proposing the term "emotional factor", defines emotional intelligence as an interest in understanding oneself and others, in relationships with people, as well as in adapting to the immediate environment to more successfully combat environmental demands (Bar-On, 2007; 2010).

The model proposed by Bar-On combines knowledge and skills that are defined as mental abilities (i.e. the ability to solve problems) and those that can be described as personal qualities (optimism). This combination forms a mixed model.

We also draw attention to the fact that the conditions of stay of adolescents in the institutions of the state penitentiary service contribute to the exacerbation of aggressive behavior. Several teenagers live in one room at a time, which exacerbates the issue of personal

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space. Staying in populated areas increases irritability, hostility, isolation, and negativity (Abrikosova, Aleksandrovskaya, Kudinova & Irgit, 2019).

Given the above indicators, we emphasize that crime and the offender are a dialectical unity. The crime before incarnation in a socially dangerous act goes through a stage of deep psychological maturation. And decision-making, performing certain operations, realizing personal tasks and goals are closely related to feelings and emotions. This necessitates the allocation of a special kind of intelligence - "emotional intelligence". The results of the empirical study show the specifics of the emotional intelligence of male juvenile convicts, and a comparative analysis with adolescents of normative behavior shows a low level of emotional competence of convicted adolescents and the relationship between the causes of crime and emotional competence.

2.

3.

The obtained research results have a significant practical purpose. They can be used: −

−

−

for in-depth analysis of problems related to the psychological factors of committing illegal acts, with the psychological characteristics of male juvenile convicts. to create guidelines for teachers of schools, other educational institutions, psychologists to increase their knowledge about the need to teach children to recognize their own emotions, especially destructive (aggression, anxiety, anger), and manage them. for the development and implementation of measures for psychological support, correction of illegal behavior, and development of emotional competence of juvenile convicts in the bodies and institutions of the State Penitentiary Service.

Conclusions 1.

Emotional intelligence is a multicomponent phenomenon of human essence. This term was introduced by Meyer and Nightingale, who defined it as “the ability to perceive emotions, integrate emotions to facilitate thought, understand emotions, and regulate emotions to promote personal growth. Lucin interprets the concept of "emotional intelligence" as the ability to understand and manage emotions, the ability to interpret the nature of their own and others' emotional experiences, understand the true causes of emotions and predict the consequences that emotions can lead to. The study of the

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4.

concept of emotional intelligence is an urgent task, the development of methods and ways to increase emotional competence is a priority of modern psychology.

According to neurobiologists, juvenile offenders form deep psychological aspects.

According to the results of our study, obtained using popular psychological techniques (MSCEIT, SREIT, questionnaire K. Barchard, EmIn, EQ-i questionnaire Ruven Bar-On), it was concluded that juvenile convicts are characterized by the less pronounced ability to selfunderstanding and self-management; have less perfect skills of interaction with others and the ability to master stressful experiences, inhibit impulsive reactions; act variably according to the situation; less flexible and realistic in solving problem situations; less positive in the perception of life; less satisfied with it.

The lower level of emotional competence of juvenile offenders compared to adolescents of normative behavior revealed in the course of research allows confirming the hypothesis of the interrelation of emotional intelligence of the teenager and his ability to illegal activity. Given this relationship and the importance of enhancing an individual's emotional competence, juvenile delinquency prevention will be more productive, juvenile re-education methods will be more effective, and the overall concept of optimizing human relations will be higher. The development and implementation of measures to develop the emotional intelligence of adolescents is an essential tool for solving many social problems.

The presented results of the research should be used by the employees of the state penitentiary service for psychological and pedagogical support of male juvenile convicts for the convicts to acquire skills of emotional competence and successful socialization in the future.

Bibliographic references Abrikosova, O.A., Aleksandrovskaya, V.N., Kudinova, A.A., & Irgit, V.V. (2019). The psycho-emotional sphere of delinquent adolescents. Science and Society, 1, 19-23.

Recovered from https://cyberleninka.ru/article/n/psihoemotsi onalnaya-sfera-delinkventnyh-podrostkov Andreeva, I.N. (2008). On the history of the development of the concept of "emotional intelligence". Psychological issues, 5, 83–95.

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140 Bar-On, R. (2007). The Bar-On model of emotional intelligence: A valid, robust and applicable EI model. Organisations and People, 14(2), 27–34.

Bar-On, R. (2010). Emotional intelligence: an integral part of positive psychology. South African Journal of Psychology, 40(1), 54-62.

Recovered from https://tarjomefa.com/wpcontent/uploads/2017/06/6876-EnglishTarjomeFa.pdf Fedorenko, M.V., Belousova, M.V., & Chetyrchinskaya, T.V. (2020). The level of emotional intelligence as a predictor of destructive behavior in adolescents. Kazan Pedagogical Journal, 3(140), 261-266. DOI: 10.34772/KPJ.2020.140.3.037 Frolova, G.S. (2018). Scientific approaches to defining the phenomenon of "emotional intelligence". Journal "Theory and Practice of Modern Psychology", 1, 107-111. Recovered from http://www.tpspjournal.kpu.zp.ua/archive/1_2018/22.pdf Gardner, H. (2011). Frames of mind: The Theory of Multiple Intelligences. New York: Basic Books. ISBN-13: 978-0465024339. ISBN10:0465024335 Keefer, K.V., Parker, J.D.A., & Wood, L.M. (2012). Trait emotional intelligence and University Graduation outcomes: Using Latent Profile Analysis to Identify Students at Riskfor Degree Noncompletion. Journal of Psychoeducational Assessment, 30(4), 402–413. DOI: 10.1177/0734282912449446 Lusin, D.V. (2006). A new technique for measuring emotional intelligence: the EmIn questionnaire. Psychological diagnostics, 4, 3-22.

Recovered from https://www.researchgate.net/publication/31 1706448_Novaa_metodika_dla_izmerenia_e mocionalnogo_intellekta_oprosnik_EmIn

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Lusin, D.V., & Ushakov, D.V. (Eds). (2004).

EmIn's emotional intelligence questionnaire: new psychometric data. Social and emotional intelligence: from processes to measurements. Moscow: Institute of Psychology RAS. Recovered from http://creativity.ipras.ru/texts/books/social_I Q/Social_IQ.pdf Mayer, J.D., Salovey, P., & Caruso, D.R. (2003).

Measuring emotional intelligence with the MSCEIT. V2.0. Emotion, 3(1), 97–105. DOI: 10.1037/1528-3542.3.1.97 Recovered from https://pubmed.ncbi.nlm.nih.gov/12899321/ McMurran, M., & McGuire, J. (2005). Social Problem Solving and Offending: Evidence, Evaluation and Evolution. Chichester: John Wiley and Sons. Recovered from https://doi.org/10.1002/9780470713488 Rakhlis, V.L., & Pavlenko, O.O. (2021).

Negotiation and mediation: a textbook for training a professional negotiator. Dnipro: Dry-ant LLC. Saenko, Yu.V. (2009). The role of sadness and suffering in personality development.

Voronezh: VGPU. Recovered from https://ua1lib.org/book/3041941/4cbe13?id= 3041941&secret=4cbe13 Saenko, Yu.V. (2010). Emotion regulation: trainings for managing feelings and moods.

St. Petersburg: Speech. Recovered from https://www.twirpx.com/file/1321603/ Salovey, P., & Mayer, J.D. (1994). Some final thoughts about personality and intelligence.

Personality and intelligence. Cambridge, U.K. Cambridge University Press. Recovered from https://scholars.unh.edu/psych_facpub/432/ Throndike, R., Hagen, E., & Sater, J. (1986).

Stanford-Binet Intelligence Scale. Chicago: Riverside.

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DOI: https://doi.org/10.34069/AI/2021.45.09.15 How to Cite: Kozhyna, H.M., Zelenska, K.O., Viun, V.V., Khaustov, M.M., & Asieieva, Yu.O. (2021). Clinical specifics of stress-related disorders in volunteers whose activities are related to Joint Forces Operation. Amazonia Investiga, 10(45), 141-147. https://doi.org/10.34069/AI/2021.45.09.15

Clinical specifics of stress-related disorders in volunteers whose activities are related to Joint Forces Operation Кінічна спеціфіка стресасоціїованих розладів у волонтерів, діяльність яких пов’язана з ООС Received: July 20, 2021

Accepted: September 22, 2021

Written by: Kozhyna H.M.57 https://orcid.org/0000-0002-2000-707X Zelenska K.O.58 https://orcid.org/0000-0002-9190-8211 Viun V.V.59 https://orcid.org/0000-0001-8889-0228 Khaustov M.M.60 https://orcid.org/0000-0002-8613-2172 Asieieva Yu.O.61 https://orcid.org/0000-0003-3086-3993 Abstract

Анотація

A volunteer movement has emerged in Ukraine during the Revolution of Dignity and the events that followed it. Experts consider this event as an important component of civil society and the main driving force of the country’s reform.

The clinical structure of post-stress disorders among examined volunteers was represented by the following nosologic forms: F 43.2 adjustment disorders (32.7% of men and 28.1% of women), F 43.1 - post-traumatic stress disorder (27.6% of men and 22.9% of women), F 41.0 - panic disorder (22.4% of men and 29.1% of women), F 41.1 - generalized anxiety disorder (17.3% of men and 19.9% of women). According to the Scale of Severity of Traumatic Stress, 62.8% of respondents have complete manifestation and 37.2% clear manifestation of stress disorder.

According to the Hamilton Anxiety and Depression Rating Scale, 56.2% of subjects had a severe depressive episode, 62.1% had severe anxiety episode, 42.3% had moderate depressive

Під час Революції Гідності та подій, що сталися вслід за нею, в Україні відбулося виникнення волонтерського руху, який фахівці вважають важливою складовою громадянського суспільства і головною рушійною силою реформування країни. Клінічна структура постстресових розладів у обстежених волонтерів була представлена наступними нозологіями: F 43.2 розлади адаптації (32,7% чоловіків та 28,1% жінок), F 43.1 – посттравматичний стресовий розлад (27,6% чоловіків та 22,9% жінок), F 41.0 – панічний розлад (22,4% чоловіків та 29,1% жінок), F 41.1 – генералізований тривожній розлад (17,3% чоловіків та 19,9% жінок). За шкалою вираженості травматичного стресу 62,8% обстежених мають повний прояв та 37,2 % явний прояв стресового розладу. За шкалою тривоги та депресії Гамільтона у 56,2% обстежених відмічався важкий депресивний епізод у 62,1% важкий

57

Professor, Academician of the National Academy of Higher Education of Ukraine, PhD, MSc, MD Head of the Department of Psychiatry, Narcology, Medical Psychology and Social Work of Kharkiv National Medical UniversityUkraine, Ukraine.

58 Associate Professor, PhD, MD Associate Professor of the Department of Psychiatry, Narcology, Medical Psychology and Social Work of Kharkiv National Medical UniversityUkraine, Ukraine.

59 Associate Professor, PhD, MSc, MD Professor of the Department of Psychiatry, Narcology, Medical Psychology and Social Work of Kharkiv National Medical UniversityUkraine, Ukraine.

60 Associate Professor, PhD, MSc, MD Professor of the Department of Psychiatry, Narcology, Medical Psychology and Social Work of Kharkiv National Medical UniversityUkraine, Ukraine.

61 PhD, Head of the Department of General Scientific, Social and Behavioral Disciplines of the Odessa Institute of the Interregional Academy of Personnel Management, Ukraine.

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episode, and 33.4% had a moderate anxiety episode.

Severe clinical manifestations of PTSD were characteristic of volunteers who survived the fighting, with a high level of exposure to the traumatic event on all PTSD scales; excessive signs of stress disorder, severe or moderate depressive and anxiety episodes by the Hamilton Anxiety and Depression Rating Scale.

Keywords: PTSD, post-traumatic stress disorder, depression, anxiety, adjustment disorder, combat stress.

тривожний епізод, у 42,3% помірний депресивний та у 33,4% помірний тривожний епізод. Для волонтерів, які пережили бойові дії притаманні важкі клінічні прояві ПТСР, при цьому високий рівень впливу травматичної події відзначався за усіма шкалами ПТСР; надмірні ознаки стресового розладу, важкий або помірний депресивний та тривожний епізоди за шкалою Гамільтона. Ключові слова: ПТСР, посттравматичний стресовий розлад, депресія, тривога, розлад адаптації, бойовий стрес.

Introduction Since 2014, Ukraine has been involved in hostilities on the territory of its Eastern part (Donetsk and Luhansk regions). Thus, as a result of this hybrid war, about 14,000 people died.

Currently, all hostilities are taking place in the area called the Anti-Terrorist Operation Zone or the Joint Forces Operation Zone.

Volunteer movement is an important part of modern society. Volunteering is a voluntary, socially oriented non-profit activity for providing free assistance, and a volunteer, respectively, is a motivated person who by their own beliefs is engaged in this important socially useful work (Law of Ukraine «About volunteering» № 3236VI, 2011; Maruta & Markova, 2015; Markova & Kozyra, 2015; Chaban O.S., Bezsheyko, Khaustova, Ryvak & Kyrylyuk, 2018).

The most common type of modern volunteering in Ukraine is the support of combatants which involved in Joint Forces Operation. In conditions of armed conflict, volunteering is accompanied by additional physical, psychological and emotional stress, significant changes in life rhythm, and sometimes even life risks, which, in general, characterizes volunteering as extreme, stressful activity, that hides danger of possible stress-related disorders (Hlaholych & Markova, 2018; Yuryev & Yuryeva, 2015).

Modern research has shown that a third of volunteers show signs of severe professional maladaptation. In the structure of maladaptation phenomena with increasing signs of burnout, there is a shift from psycho-emotional disorders to sleep cycle disorders, somato-vegetative and psychosocial disorders, which indicates transition of reactions from the level of emotions

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to the level of psychosomatics (Hlaholych, 2016; Khaustova & Smashna, 2019; Maruta & Gichun, 2000) 32% of internally displaced persons in Ukraine suffer from post-traumatic stress disorder (PTSD) caused by the ongoing conflict in the east of the country. These are the findings of a study entitled “The Hidden Consequences of Conflict: Mental Health Problems for Internally Displaced Persons and the Availability of Psychological Assistance in Ukraine,” conducted by International Alert organization in cooperation with the Global Initiative in Psychiatry, the London School of Hygiene and Tropical medicine and Kiev International Institute of Sociology As part of the study, 2203 respondents were interviewed throughout Ukraine. As a result of the survey especially among the women surveyed, the prevalence of such mental disorders as depression (22%) and anxiety states (17%) was revealed. According to the researchers, the presence of these symptoms is associated with a violation of family ties, relationships with society, working capacity, and even such elementary functions as walking.

Among the surveyed internally displaced persons, 74% needed psychiatric help do not receive it, mainly because of the high cost of services and medicines. (Roberts, Makhashvili & Javakhishvili, 2017).

Theoretical Framework or Literature Review Combat mental injuries of volunteers, that received in the combat zone, can haunt them for a long time. They are also a major obstacle to adapting to a peaceful life after returning from the Joint Forces Operation zone (Yurieva,

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Shusterman & Likholetov, 2019; Aimedov, Asieieva & Tolmachov, 2016; Grinevich, Druz & Chernenko, 2019).

In addition to the positive trend of increasing civic activity and responsibility (for example, increasing the number of people involved in volunteering), experts also noted the emergence of a negative trend in the development of volunteers maladaptation and stress-related disorders (Druz & Chernenko, 2017; Kazmirchuk, Lashin, Druz & Chernenko, 2020; Maruta, Panko, Kalenskaya, Semikina & Denisenko, 2020).

During the Revolution of Dignity and following events a volunteer movement emerged in Ukraine. Experts consider it an important component of civil society and the main driving force of the country’s reform (Skrypnikov, Rakhman, Markova, Shpylovyi & Plevachuk, 2019; Schreiner, Trent, Prange & Allen, 2018; Maruta & Zavorotnyy, 2018).

According to USA experts, the overall "baseline" prevalence of PTSD among military conscripts there ranges from 3 to 6%. Estimates of US ground forces personnel in Iraq and Afghanistan (2004-2007) found a prevalence of acute stress or PTSD (PCL scores of 50 or higher) in the range of 10-20%, with a clear correlation to frequency and the intensity of hostilities. (Crumlish & O'Rourke, 2010) Also in the United Statesof America, the number of veterans seeking PTSD assistance from the U.S. Department of Veterans Affairs increased from 274,000 to 442,000 in 2004-2008.

(Buckley, Mozley, Bedard, Dewulf and Greif, 2004) A large meta-analysis states that female participants were more likely to meet the criteria for post-traumatic stress than male participants, although they were less likely to develop PTSD. Female participants were more frequently sexually abused and sexually violated in childhood. Male participants were more likely to be exposed to accidents, attacks of a non-sexual nature, witnessed death or injury, natural disasters or fires, hostilities or wars. Among the victims of certain groups, female participants showed a more pronounced post-traumatic stress disorder. All of this suggests that there are gender differences in the risk of exposure to certain types of stress disorders in male and female participants. (Tolin & Foa, 2006).

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The prevalence of PTSD in the world ranges from 1.3% to 37.4% in different countries, for Canada, this figure is 9.2%. (Van Ameringen, Mancini, Patterson & Boyle, 2008). For the above, The aim of our research was to study the clinical and psychopathological features of stress-associated disorders in volunteers who survived the fighting.

Methodology To achieve this goal, a comprehensive clinical, psychopathological and pathopsychological examination of 97 persons, was conducted in accordance with the principles of bioethics and deontology. All people were volunteers to support soldiers in combat zone for at least 1 year. Among surveyed were 57 women and 40 men with an average age of 30.6±4.7 years.

The work was performed in accordance with the research plan of the Department of Psychiatry, Narcology, Medical Psychology and Social Work of Kharkiv National Medical University of the Ministry of Health of Ukraine on the topic “To develop a prevention system of nonpsychotic mental disorders and rehabilitation of hostilities victims”, state registration No 0119U002902 Following examination methods were used in the study. Сlinical and psychopathological research was based on generally accepted approaches to psychiatric and narcological examination through interviews and observations, using diagnostic and research criteria ICD-10.

Psychodiagnostic method using the "Impact of Event Scale-Revised" (IES-R) (Weiss, D. S., & Marmar, C. R.,1996); Questionnaire on the severity of psychopathological symptoms of Derogatis (Symptom Check List-90-Revised SCL-90-R) (Derogatis, L. R., Rickels, K., & Rock, A. F., 1976) (according to Tarabrina, 2007); clinical scales - The Hamilton Anxiety Rating Scales (Hamilton, 1959); clinical scales The Hamilton Depression Rating Scales (Hamilton, 1960); Mississippi Scale for CombatRelated PTSD (Keane, Caddell, & Taylor, 1988), "The Combat Exposure Scale (CES)" by T. Keane (Keane T.M., Fairbank J.A., Caddell J.M., Zimering R.T., Taylor K.L., Mora C.A ,1989).

Results and Discussion As the results of the study showed, clinical structure of post-stress disorders among examined volunteers was represented by the following nosologic types: F 43.2 adjustment

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144 disorders (32.7% of men and 28.1% of women), F 43.1 - post-traumatic stress disorder (27.6% of men and 22.9% of women), F 41.0 - panic disorder (22.4% of men and 29.1% of women), F 41.1 - generalized anxiety disorder (17.3% of men and 19.9% of women).

respectively), sweating (39.8% of men and 40.1% of women). Between attacks, patients are anxiously awaiting its recurrence.

In the clinical picture of adjustment disorders in examined patients was a low mood and affect of sadness (64.8% male, 71.2 female patients), unreasonable anxiety, feelings of internal tension with inability to relax (67.1% and 62.1% respectively), feelings of inferiority (32.1% males, 39.2% females), apathy (32.8% and 33.1% respectively), various fears and obsessions (64.2% of men and 60.2% of women), anhedonia (35.8% and 36.1 % accordingly), asthenic symptoms (46.8% of men and 40.2% of women), increased vulnerability (25.8% and 33.1% respectively) in most cases.

Generalized anxiety disorder was characterized by persistent constant anxiety (99.9% of men and 100.0% of women), feelings of tension (89.9% of men and 91.1% of women), unmotivated bad feelings (56.6% of men and 58.2% of women), timidity, unwarranted anxiety for various reasons (89.2% of men and 91.0% of women), sleep disorders, especially process of falling asleep, caused by repeated "scrolling" in the head of previous day events (56.5% of men and 56.1% of women), restlessness, restless movements (68.8% of men and 71.1% of women), tremor (45.8% of men and 46.2% of women), constantly tense face (66.2% of men and 67.8% of women), psychogenic dyspnea (36.9% and 49.2% respectively).

Adjustment disorders included prolonged depressive reaction (21.1% of men and 31.2% of women), mixed anxiety-depressive reaction (33.2% and 45.2%), adjustment disorders with predominant disturbance of other emotions (45.7 % and 23.6% respectively).

Regular for all patients were sleep-wake cycle disorders, autonomic paroxysms, obsessive memories of combat events, decreased appetite, the desire to drink psychostimulants (coffee, strong tea, energy drinks and alcohol), avoid watching TV news.

It was found obsessive memories of hostilities that caused depressive feelings (65.8% of men and 63.3% of women), sleep disorders in the form of nightmares associated with combat stress, flashback effects (52.1% and 49.8% respectively), efforts to avoid memories and conversations related to combat trauma (41.1% of male and 45.6% of female subjects), psychogenic amnesia (28.1% and 31.1% accordingly), dysphoria (35.8% of men and 29.9% of women), apathy (38.5% and 35.6% respectively), feelings of alienation and distance from other people (55.1% of men and 56.2% of women), anxiety (66.8% and 69.9% accordingly) and depressive (55.2% of men and 52.2% of women) symptom complexes іn post-traumatic stress disorder.

According to the results of psychodiagnostic research, the indicators of signs of post-traumatic stress disorder on the Mississippi scale in the subjects exceeded the norm and amounted to 99.2 ± 2.2 points for men and 98.7 ± 2.2 for women, and their symptoms were ranked as follows (in descending order, score): prevention (41.1 ± 0.9 in men and 43.2 ± 0.9 in women), intrusion (22.6 ± 0.8 and 19.9 ± 0.6 points, respectively) , hyperactivity (23.3 ± 0.6 and 21.9 ± 0.6), guilt (11.5 ± 0.5 and 11.2 ± 0.5 points).

The clinical structure of PTSD was represented by anxiety (33.2% of men and 45.9% of women), dysphoric (38.5% and 8.9%) and asthenic (28.3% and 45.2%) syndromes.

Panic disorder was manifested by unpredictable attacks of severe anxiety (99.9% of men and 96.8% of women), extreme fear (66.8% and 68.5% respectively), feelings of insecurity, death threats (75.8% of men and 76.1% of women), psychogenic suffocation (69.2% and 70.1% accordingly), tachycardia (81.1% of men and 79.3% of women), cardialgia (49.8% and 49.2%

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Analysis of the Impact of Event Scale-Revised (IES-R) indicates a high level of traumatic event impact on the scale of invasion (68.9% of surveyed men and 71.1% of women), avoidance (61.1% and 58.1%, respectively) and physiological excitability (69.8% of men and 55.6% of women).

According to the Combat Exposure Scale 62.8% of respondents had a complete manifestation and 37.2% a clear manifestation of stress disorder.

According to the Hamilton Depression and Anxiety Rating Scales 56.2% of males and 55.6% of female subjects had a severe depressive episode, 62.1% of males and 66.5% females had a severe anxiety episode, 42.3% of males and 40.5% females had a moderate depressive

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episode, and 33.4% and 35.2% patients respectively had a moderate anxiety episode.

Analysis of the data obtained from the questionnaire on the severity of psychopathological symptoms (Symptom Check List-90-Revised-SCL-90-R) shows that the surveyed volunteers are characterized by high levels of somatization (45.6% of men and 51.1% of women), depression (62.1 % and 66%, respectively), anxiety (85.2% of surveyed men and 88.5% of women) and obsessive-compulsive symptoms (49.2% and 51.1% of respondents, respectively).

women).Volunteers who survived fighting are characterized by severe clinical manifestations of PTSD, with a high level of impact of the traumatic event was observed by all scales of PTSD; excessive signs of stress disorder, severe or moderate depressive and anxious episodes by the Hamilton Depression and Anxiety Rating Scales, high levels of somatization, depression, anxiety, obsessive-compulsive symptoms on the SCL-90-R scale and a medium-high level of severity of combat experience by the Combat Exposure Scale.

Bibliographic references

According to the psychodiagnostic study, the indicators of the Combat Exposure Scale in 65.9% of men and 65.2% of women were in the range of high severity of combat experience, indicating presence of repeated long-term situations of imminent life threatening, death and injuries of comrades during hostilities.

Thus, according to the study results, a high level of impact of a traumatic event, excessive signs of symptoms of intrusion, avoidance, physiological excitability; high levels of somatization, depression, anxiety, obsessive-compulsive symptoms on the scale SCL-90-R; severe depressive and anxiety episodes on clinical scales of anxiety and depression by Hamilton and medium-high severity of combat experience is prognostically significant in the formation of stress-related disorders in volunteers whose activities are associated with Joint Forces Operation.

A comprehensive system of medical and psychological support was developed for volunteers, based on the data obtained during this study.

Conclusions 1.

The clinical structure of post-stress disorders in the examined volunteers is represented by: adjustment disorders (with a predominance in men of mixed anxietydepressive reactions and adjustment disorders with predominant disturbance of other emotions; in women - prolonged depressive reaction and mixed anxietydepressive reaction); post-traumatic stress disorder (with a predominance in men of anxiety and dysphoric syndromes, in women - anxiety and asthenic syndromes), panic disorder (mostly in women) and generalized anxiety disorder (occurring with approximately equal frequency in men and

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Aimedov, K. V., Asieieva, Yu. O., Tolmachov, O. A. (2016). Contemporary diagnostic concept of post-traumatic stress disorder. Archives of Psychiatry, 22(2), 128-129. http://nbuv.gov.ua/UJRN/apsuh_2016_22_2 _43 Buckley, T. C., Mozley, S. L., Bedard, M. A., Dewulf, A. C., and Greif, J. (2004).

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146 https://uvnpn.com.ua/upload/iblock/d5f/d5ff 9f0f424f1cb3b0184302eaa31600.pdf Grinevich, E., Druz, O., & Chernenko, I. (2019) The traumatic events in the genesis of battle mental trauma in participants of local combat actions in ATO zone. Psychiatry, Psychotherapy and Clinical Psychology, 10(3), 397-407. https://psihea.recipe.by/en/?editions=2019tom-10-n3&group_id=item_0&article_id=line_2 Hamilton, M. (1959). The assessment of anxiety states by rating. Br J Med Psychol, 32, 50–55. https://dcf.psychiatry.ufl.edu/files/2011/05/ HAMILTON-ANXIETY.pdf Hamilton, M. (1960). A rating scale for depression. J Neurol Neurosurg Psychiatry, 23, 56–62. https://dcf.psychiatry.ufl.edu/files/2011/05/ HAMILTON-DEPRESSION.pdf Hlaholych, S. Iu. (2016). Clinical and social features of maladaptive states among volunteers, whose work is related to the support of military men in ATO zone.

Psychiatry, Neurology and Medical Psychology, 3, 2(6), 69-76. https://periodicals.karazin.ua/pnmp/article/vi ew/8331/7842 Hlaholych, S. Iu., & Markova, M. V. (2018).

State of the psycho-emotional sphere of volunteers whose activity is connected with assistance to the military in the area of armed actions. Psychiatry, Neurology and Medical Psychology, 1(9), 93-100, https://periodicals.karazin.ua/pnmp/article/vi ew/12108/11533 Kazmirchuk, А.P., Lashin, O.I., Druz, О.V., & Chernenko, І.O. (2020). Basic predictors of post-trauma stress disorder formation among combatants. World of medicine and biology, 72(2), 63-67, https://womab.com.ua/ua/smb2020-02/8443 Keane, T. M., Caddell, J. M., & & Taylor, K. L. (1988). Mississippi Scale for CombatRelated Posttraumatic Stress Disorder: Three studies in reliability and validity. Journal of Consulting and Clinical Psychology, 56, 85-90. doi: 10.1037/0022-006X.56.1.85 Keane, T.M., Fairbank, J.A., Caddell, J.M., Zimering, R.T., Taylor, K.L., & Mora, C.A. (1989). Clinical Evaluation of a Measure to Assess Combat Exposure. Psychological Assessment: A Journal of Consulting and Clinical Psychology, 1(1), 53-55. https://www.ptsd.va.gov/professional/article s/article-pdf/id01555.pdf Khaustova, O., & Smashna, O. (2019).

Diagnostic approaches to verification of the mild traumatic brain injury in patients with

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posttraumatic stress disorder. Psychiatry, Psychotherapy and Clinical Psychology, 10(3), 408–416. https://psihea.recipe.by/en/?editions=2019tom-10-n3&group_id=item_0&article_id=line_3 Markova, M. V., & Kozyra, P. V. (2015). Poststress deadaptive states against a background of social changes: the problem analysis.

Medical psychology, 1(37), 8-13. http://nbuv.gov.ua/UJRN/Mpsl_2015_10_1_ 4 Maruta, N., Panko, T., Kalenskaya, G., Semikina, E., & Denisenko, M. (2020).

Psycho-educational program in prevention of mental health of internally displaced persons.

Georgian medical news, 306, 92–98. https://cdn.websiteeditor.net/480918712df344a4a77508d4cd78 15ab/files/uploaded/V306_N9_September_2 020.pdf Maruta, N.A., & Gichun, V.S. (2000) Prophylaxis of the auto-aggressive behavior among military men of the forces of the Ministry of internal affairs of Ukraine.

European psychiatry, 15, 438-438. https://www.cambridge.org/core/journals/eur opean-psychiatry/article/p03427prophylaxis-of-the-autoaggressive-behavioramong-military-men-of-the-forces-of-theministry-of-internal-affaires-ofukraine/005F9BEC5EC7E5159F3F7D8B8F 83EB9B Maruta, N.O., & Markova, M. V. (2015). The information in psychological war as a new challenge of our time: state of the problem and directions of its overcoming. Ukrainian Bulletin of Psychoneurology, 23, 3 (84), 21-28. https://uvnpn.com.ua/upload/iblock/9c4/9c4 5403744e5f705dc1616c59ad481f8.pdf Maruta, N.O., & Zavorotnyy, V.I. (2018) Clinical-psychopathological characteristics of clinical variants and types of the course of PTSD in servicemen of the armed forces, participants in military operations in Eastern Ukraine. European psychiatry, 48(S), 488. https://www.emconsulte.com/es/article/1219482/article/abstr acts Roberts, B., Makhashvili, N., & Javakhishvili, J. (2017). Issues of mental health and access to services among internally displaced persons in Ukraine. International Alert/GIPTbilisi/London School of Hygiene and Tropical Medicine, 32, https://www.internationalalert.org/sites/default/files/Ukraine_Hidden BurdensConflictIDPs_EN_2017.pdf

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Schreiner, E., Trent, S.B., Prange, K.A., & Allen, J.A. (2018). Leading volunteers: Investigating volunteers' perceptions of leaders' behavior and gender. Nonprofit management & leadership, 29 (2), pp. 241-260. DOI 10.1002/nml.21331 Skrypnikov, A. M., Rakhman, L. V., Markova, M. V., Shpylovyi, I. V., & Plevachuk, O. Yu. (2019). Focus on sleep problems in patients with somatoform disorders. World of medicine and biology, 69 (3), 147-152. https://womab.com.ua/en/smb-2019-03/8033 Tarabrina, N.V. (2007). A Practical Guide to the Psychology of Post-Traumatic Stress. Part 1.

Theory and methods. М.: Kogitо-Center, 208.

(Psychological tools).

ISBN: 9785893532081 https://www.twirpx.com/file/2046669/ Tolin, D.F., & Foa, E.B. (2006). Sex differences in trauma and posttraumatic stress disorder: a quantitative review of 25 years of research.

Psychological Bulletin, 132, 959–992. DOI: 10.1037/0033-2909.132.6.959.

Van Ameringen, M., Mancini, C., Patterson, B., & Boyle, M.H. (2008). Post-traumatic stress disorder in Canada. CNS Neuroscience &

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Therapeutics, 14, 171–181.

DOI: 10.1111/j.1755-5949.2008.00049.x Law of Ukraine № 3236-VI. Information Bulletin of Verkhovna Rada of Ukraine, Kyiv, Ukraine, April 19, 2011. https://zakon.rada.gov.ua/laws/show/323617#Text Weiss, D. S., & Marmar, C. R. (1996). The Impact of Event Scale - Revised. In J. Wilson & T. M. Keane (Eds.), Assessing psychological trauma and PTSD. New York: Guilford, 399-411. (NOTE: Includes measure in its entirety.)

Yurieva, L. M., Shusterman, T. Y., & Likholetov, Ye. O. (2019) Non-psychotic psychiatric disorders in persons who have experienced psychosocial stress in terms of military conflict. Medical perspectives, 24(4), pp.

112-120. https://doi.org/10.26641/23070404.2019.4.189601 Yuryev, A., & Yuryeva, L. (2015). Suicide mortality at time of armed conflict in Ukraine. European Journal of Public Health, 25(6), pp.

1069–1070. https://pubmed.ncbi.nlm.nih.gov/26420846/

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Zhura, S., Markin, V. / Volume 10 - Issue 45: 148-157 / September, 2021

148

DOI: https://doi.org/10.34069/AI/2021.45.09.16 How to Cite: Zhura, S., & Markin, V. (2021). Ways of improving tariff regulation efficiency. Amazonia Investiga, 10(45), 148-157. https://doi.org/10.34069/AI/2021.45.09.16

Ways of improving tariff regulation efficiency Пути повышения эффективности тарифного регулирования Received: June 27, 2021

Accepted: August 30, 2021

Written by: Svetlana Zhura62 https://orcid.org/0000-0001-5383-4971 Vladimir Markin63 https://orcid.org/0000-0002-7965-4968 Abstract

Абстрактный

The system of tariff regulation in the Russian Federation has been experiencing improvements since the beginning of the transition period and up until today. The issues of tariff regulation are given particular attention to both in the Russian Federation and abroad. At the time, tariffs do not form subsequent to certain economic waves, but are in most cases described by an annual regulation cycle and a quite limited range of regulation with regard to the long-term horizon.

The authors have analyzed average consumer prices (tariffs) for particular services along with producer price indices by types of economic activities and average annual producer prices for main energy resources in Russia over the last 20 years based upon the official statistical data. The authors conclude that it is necessary to introduce new ways of improving tariff regulation efficiency. Among the priority ways are the following: formation of an investment-worthy tariff and justification of the supporting tariff for crucial social projects; digital tariff modeling and etc. All these changes require methodological justification and further development of the variable supporting tariff theory in order to test new cyclic models of regulation matching the cyclic economy of the country.

Система тарифного регулирования в Российской Федерации совершенствуется с начала переходного периода и по настоящее время. Вопросам тарифного регулирования уделяется особое внимание как в Российской Федерации, так и за рубежом. В настоящее время тарифы не формируются после определенных экономических волн, но в большинстве случаев описываются годовым циклом регулирования и довольно ограниченным диапазоном регулирования в отношении долгосрочного горизонта. Авторы проанализировали средние потребительские цены (тарифы) на отдельные услуги, а также индексы цен производителей по видам экономической деятельности и среднегодовые цены производителей на основные энергоресурсы в России за последние 20 лет на основе официальных статистических данных. Авторы делают вывод о необходимости внедрения новых способов повышения эффективности тарифного регулирования. Среди приоритетных направлений: формирование инвестиционного тарифа и обоснование поддерживающего тарифа для важнейших социальных проектов; цифровое моделирование тарифов и т. д. Все эти изменения требуют методологического обоснования и дальнейшего развития теории поддерживающих переменных тарифов, чтобы протестировать новые циклические модели регулирования, соответствующие циклической экономике страны.

Keywords: cyclic development, differential tariffs, tariffs, tariff modeling, tariff regulation.

Ключевые слова: цикличность развития, дифференцированные тарифы, тарифы, тарифное моделирование, тарифное регулирование.

62

Candidate of Economic Sciences, Associate Professor of the Northern (Arctic) Federal University named after M. V. Lomonosov, Arkhangelsk, Russia.

63 Doctor of Economics, Chief Researcher Plekhanov Russian University of Economics, Moscow, Russia.

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Introduction Russian economy, just as other countries’ economies, is currently going through a crisis due to the latest global events. Oil prices on global markets have been falling and there has been a diminution in demand. Surges, crunches, crises and revivals has been long considered regular phenomena both for regional and national economies. Crises go beyond certain economic sectors and affect groups of countries or even entire continents translating into global financial crises with grave social consequences. Apart from being shocked with the pandemic and quarantine restrictions in 2020, Russian economy faced severe slump in oil demand and contracted at 3.1% annualized rate as of the end of the same year, in accordance with the first estimations made by the Federal State Statistics Service (Starostina, 2021).

In economics, it is common to differentiate between the short-term cycles lasting from 3 to 4 years, middle-term cycles of 6 to 13 years and long-term cycles with a duration of 40 to 60 years. Regardless of the cycle length, there is always an issue relating to their overlapping and multiplicative properties. At the same time, it shall be noted that tariffs do not form subsequent to certain economic waves, but are in most cases described by an annual regulation cycle and a quite limited range of regulation with regard to the long-term horizon. The tariffs are basically defined by linear regulation as far as their growth rates are concerned. It is very common to substantiate such linear character with social significance and predictability.

One specific feature of tariff regulation typical for Russia is considerable dispersion of prices and tariffs, which is conditioned by either regional peculiarities in organization of power generation and public utility systems, by strong regulation, or by inefficiency of infrastructure providers.

It shall be noted that the role of the state in defining price dynamics in the infrastructure sector (partly subject to government regulation) is obviously not limited to mere determination of price and tariff change rates.

Since the beginning of the transition period and up until today, the tariff regulation system in the Russian Federation has been experiencing improvements. The recent years have introduced some changes, of which the following are worth mentioning: long-term approach to the definition of criteria applying to change of regulated tariffs

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at the macrolevel, increased share of liberalized markets (in the fields of electric power industry, gas and heat supply), development of methodological tools used for regulation, and availability of information on the activities carried out by both regulated and regulating organizations. In most of the cases, the abovementioned transformations correspond to the trends observed in foreign tariff regulation practices. Yet there are differences. For instance, foreign countries demonstrate more intense involvement of regulating authorities. Among particular focus areas, one can distinguish tariffbased stimulation of product line extension and service quality improvement at the regulated companies, including services in the fields of energy efficiency and energy conservation, as well as tariff-based stimulation of cutting-edge innovations in the infrastructure sector. With regard to implementation of such tasks, Russia currently falls behind, which is expressed in the Report on the analysis of key trends in the field of state tariff regulation prepared by the Institute for Economics and Regulation of Natural Monopolies with contributions from the Institute of Competition Policy and Market Regulation at the National Research University Higher School of Economics (2020).

Literature Review The issues of tariff regulation are given particular attention to both in the Russian Federation and abroad, since the state regulates tariffs to protect the economic interests of consumers from monopolistic tariff increases in the first place, to ensure manufacturers’ equal access to energy markets in the second place and to align the interests of electrical and heat energy producers and consumers in the third place.

This domain is ruled by statutory instruments most of which are aimed at tariff regulation in certain fields, e.g. in electric power industry, public utility services, transport, communication services, gas supply, etc.

In the recent years, there has been some relevant scientific research carried out on the issue of tariffs. Specifically, several authors study the most appropriate tariff structure, which could encourage a regulated utility company to promote energy efficiency among its customers.

This research asserts that the most appropriate tariff structure also depends on the consumer’s effort value and on the substitution degree of

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149

150 consumer’s and company’s efforts (Abrardi & Cambini, 2015).

Much attention is paid to the issues of tariff differentiation.

Following the market segmentation, it is possible to identify different consumer categories to offer them any necessary services ranging in dependence to various social and economic factors (Di Vittorio, 1996).

As far as transport area is concerned, researchers note that cargo vehicles freight rates vary for different goods carried along the same route, equally as rates per unit of distance vary for the same goods traveling different routes, which is accounted for by the competitive behavior (Beilock, Garrod & Miklius, 1986). Researchers also look into the issues of tariff elasticity and level of service in the field of passenger carriage (White & Turner, 1991). Research into the matters of transport cost reduction is aimed at the development of improved methods allowing to search for the least time tracks within the traffic system, including those along the international transport corridors, by applying analysis and modeling of freight transport along road networks (Prokudin, Oliskevych, Chupaylenko & Maidanik, 2020).

Tariff study allows for rather important conclusions on interrelation between certain types of human activities. For instance, the analysis has shown that over the long term, the land rent decreases due to the increase in energy prices. Energy demand in the agricultural industry goes down if land and energy are renewable resources. Researchers throughly analyze all the factors influencing energy price formation and provide their arguments in favor of more efficient methods (Bhattacharyya, 1996).

A lot of emphasis is put upon the issues of energy efficiency. National policies, especially those of the European Union, foster state and private programs stimulating involvement into the energy-efficiency-above-all strategies. Such policies result in moderate energy demand and serves as a durable solution protecting households from price fluctuations and energy poverty, while at the same time allowing the population to reduce their environmental impact and save their money for many years to come (Cornelis, 2020).

Scientists conduct their research into the main trends and directions of antimonopoly regulation, analyze natural monopolies and hypothesize efficient implementation of methods and tools of antimonopoly and tariff regulation in Russia (Knyazeva & Svitych, 2015).

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Individual authors regard state tariff regulation from the positions of efficiency and transparency of regulation mechanisms and potential unreasonable conduct of Russian regulating authorities (Kuznetsov, 2019). Of particular interest are the studies revealing the mechanisms, which ensure engagement of consumers into the energy demand management (Lenyucheva & Matyunina, 2020).

There are many researchers who deal with the issues of tariff regulation efficiency in respect to certain areas, e.g. electric power industry (Mukhanova & Yolokhova, 2018), public utility services (Gudzhel, 2019), water supply (Agafonov & Kuznetsov, 2020), and others.

Some authors argue that the tariff setting model for the integrated use of traditional and alternative energy sources is based not only on the economic justification, but also on the dynamics of the use of alternative energy sources (Kapitonov & Patapas, 2021). The authors also analyze the impact of the regulation of green tariffs on the retail electricity price for industrial consumers (Costa-Campi & Trujillo-Baute, 2015). The authors investigate the impact of tariffs on waste management and conclude that optimizing the tariff structure reduces waste management costs (Di Foggia & Beccarello, 2020).

Relevant are the studies that are conducted in various countries and regions. Each country has its own characteristics and experience in tariff regulation, which generally helps to develop common solutions to problems. For example, tariff regulation challenges are explored from the experience of Brazil (Sampaio & Sampaio, 2020), tariff liberalization policy is explored through the example of Morocco (Ruckteschler, Malik & Eibl, 2021), сomparison of preferential tariffs and sold Green certificates is being investigated in the Spanish electric power system (Ciarreta, Paz Espinosa & Pizarro-Irizar, 2017), the analysis of tariff policy is studied on the experience in Argentina (Samper, Coria & Facchini, 2021).

Methods Within the framework of research into tariff regulation and the ways of improving its efficiency, the authors resort to the range of economic analysis methods. The method of economic statistics is used as a set of methods necessary for comprehensive description of a phenomenon development by means of mass digital data. The following methods of statistical

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data processing and analysis were used to evaluate the information: economic grouping, absolute and relative values, economical comparison, etc.

regulation of tariff activities. All the methods were used together and complemented each other in the research process.

In their study, the authors used official statistics from the Federal State Statistics Service to conduct the analysis for the period from 2010 to 2019. The use of official sources ensured the reliability of the indicators for the study. The researches had enough time to make an economic comparison in dynamics and draw more reliable conclusions about the phenomena occurring.

The grouping method made it possible to divide the studied number of objects into qualitatively similar groups according to the required characteristics (by services, by types of resources, by types of economic activity). The analysis of the groups presented in the study was carried out using the method of absolute values.

This method made it possible to evaluate quantitative phenomena and carry out their quantitative assessment. The use of the method of relative values made it possible to compare the studied groups with each other for a more accurate assessment of the indicators. These methods are the basis for using the method of economic comparison, on the basis of which conclusions are drawn about the trends in the development of processes related to the

Results The authors have analyzed the main parameters indicative of the tariff regulation in Russia (Federal State Statistics Service, 2020). Table 1 provides the analysis of average consumer prices (tariffs) for certain types of services over the last 20 years based upon the official statistical data.

Table 1.

Analysis of average consumer prices (tariffs) for certain services.

Roubles per one type of service Services

Times 2019 to 2010 (increase/ decrease)

2019 to 2000 (increase/ decrease)

2000

2010

2017

2018

2019

City bus fare, per trip

2.62

12.90

24.87

23.71

25.59

1.98

9.77

Tram fare, per trip

2.70

13.01

26.14

26.67

29.67

2.28

10.99

Trolleybus fare, per trip

2.58

12.36

23.94

26.02

28.61

2.31

11.09

Metro fare, per trip

4.31

20.50

36.92

36.44

38.36

1.87

8.90

1.30

14.28

28.87

31.10

30.48

2.13

23.45

…

…

26.64

28.08

29.47

-

-

Heating, per Gcal

…

…

1771.19

1818.60

1895.33

-

-

Gas (pipe line), monthly per person

5.66

43.81

73.04

75.59

77.94

1.78

13.77

Electricity supply, dwellings without electric stove, for minimum consumption, per 100 kWh

39.16

232.03

371.44

387.16

400.64

1.73

10.23

Cinema ticket

23.11

167.19

260.50

263.13

266.02

1.59

11.51

Theater ticket

33.60

278.17

659.41

673.13

726.22

2.61

21.61

Primary advising appointment with a medical specialist

62.97

341.30

683.90

724.61

780.86

2.29

12.40

Payment for housing in the state and municipal housing stock, per sq. m of total area Cold water supply, per cu. m

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151

152 The analysis of average consumer prices (tariffs) for particular types of services allows for the conclusion that all services has become more expensive over the recent years. There has been a significant increase in prices for accommodation in state and municipal housing stock: in 2019, the prices were 23.45 times as high as those in 2000. With regard to the sphere of arts, theater tickets became 21.61 times more

expensive over the same period. Pipeline gas prices increased thirteenfold and electrical energy became 10.23 times as expensive. Over the last 20 years, public transport fares have increased tenfold for virtually every means of transportation.

The authors have analyzed the producer price indices by types of economic activities (Table 2).

Table 2.

Producer price indices by economic activity economic activity Production of industrial articles Mining and quarrying Mining of coal and lignite Extraction of crude petroleum and natural gas Manufacturing Manufacture of food products Manufacture of textiles Manufacture of wearing apparel Manufacture of basic pharmaceutical products and pharmaceutical preparations Electricity, gas, steam and air conditioning supply Water supply; sewerage, waste management and remediation activities

percent 2014

2016

2017

2018

2019

106.1

104.3

107.6

111.9

102.9

106.7

100.3

115.2

125.1

103.2

99.6

115.0

136.5

106.9

95.6

110.2

97.0

117.5

135.3

102.3

105.9

105.0

105.7

109.3

102.5

108.1

106.0

98.3

101.1

104.0

103.9

107.0

101.3

102.3

104.0

102.9

105.6

102.2

102.5

103.4

106.2

105.2

101.8

101.9

104.7

106.6

106.9

105.7

103.9

104.1

…

…

109.5

103.1

103.9

Analysis of the producer price indices by types of economic activities allows to assert an average increase in production of industrial articles by 2.9% in 2019. There has been a rise in prices for virtually all types of commodities: prices for manufacture of basic pharmaceutical products and pharmaceutical preparations increased by 4.7%; prices for electricity, gas, steam and air conditioning supply went up by 4.1%; manufacture of food products and textiles became 4% more expensive; mining and quarrying prices grew by more than 3%; prices in manufacturing sector and in the field of

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extraction of crude petroleum and natural gas increased by more than 2%. It shall be noted, however, that the highest increase in producer prices by types of economic activities took place in 2018 (by an average of 11.9%) and in 2017 (by an average of 7.6%). The increase can be attributed to such systematic factors as weakening of the ruble against the background of falling oil prices and capital outflow.

The authors have analyzed average annual producer prices for main energy resources (Table 3).

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Table 3.

Analysis of average annual producer prices for main energy resources Average prices, Roubles energy resources Coking coal, per tonne Coal, excluding anthracite, coking coal and lignite, per tonne Crude oil, per tonne Natural gas, per thou. cu. m Motor gasoline, per tonne Diesel fuel, per tonne Heavy fuel oil, per tonne Electricity, per thou. kWh

Times 2018 to 2017 (increase, decrease)

2019 to 2018 (increase, decrease)

2019 to 2010 (increase, decrease)

2010

2017

2018

2019

1262

4073

4518

4121

1.11

0.91

3.27

718

1543

1815

1717

1.18

0.95

2.39

6631

14698

21186

21430

1.44

1.01

3.23

605

1950

1721

1912

0.88

1.11

3.16

15961

25251

29598

25152

1.17

0.85

1.58

13330

25469

33405

31649

1.31

0.95

2.37

7478

8483

12864

13137

1.52

1.02

1.76

647

998

1040

1063

1.04

1.02

1.64

Analysis of the average annual producer prices for main energy resources has revealed an increase in prices for heavy fuel oil (by 52%), crude oil (by 44%) and diesel fuel (by 31%) in 2018 as opposed to 2017. At the same time, the price for natural gas went down (by 12%). Not as many energy resources demonstrated price increase in 2019 as compared to 2018. In particular, natural gas price went up by 11%, which is explained by the fact that this resource did not go up in price in 2018, as noted above.

That said, prices for motor gasoline, coking coal, diesel fuel/coal decreased by 15%, 9% and 5%, respectively, which might be attributed to the slowdown in global economic growth caused by the global financial crisis. Generally speaking, there has been an increase in prices for all energy resources over the last ten years. The prices for coking coal and natural gas experienced a significant rise by more than three times, whereas diesel fuel became more than two times as expensive.

As previously noted, the analysis conducted has shown the tariff increase rates over the last twenty years. There has also been an increase in average consumer prices (tariffs), producer price indices by types of economic activities and average annual producer prices for main types of energy resources.

In Russia, tariff calculations provide for the establishment of the latter at a level, which would ensure the projected revenue from rendering

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services in the field of regulated activities in favor of the regulating authority in the amount necessary to cover their reasonable expenses.

The tariff structure shall also include taxes and other mandatory payments in accordance with the Russian Federation legislation. For instance, heat energy tariff rates are to a considerable extent affected by the expenses associated with the type of fuel (liquid and solid fuels are more expensive than natural gas), heating plants efficiency, as well as the way the heat energy is generated (if heat energy is generated by making use of the combined method, i.e. by power stations working in the mode of simultaneous heat (power) and electricity generation, the prime cost of such heat energy is much lower, which also influences the tariff rate). Differences in prices of services rendered by organizations conducting activities in the field of water supply and disposal are conditioned by the scope of such services, location of water supply and disposal facilities, spread and wear degree of water supply and disposal networks, technological characteristics of water treatment facilities and other factors.

Annual revision of tariffs for public utilities in connection with changing external conditions ensures seamless operation of utility companies along with quality and availability of public utility services for consumers.

The Government of the Russian Federation approved plans to increase the following tariffs

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154 for the public: electricity tariff by 5% from July 2021, gas tariff by 3% from July 2021, and passenger rail fares by 3.7% from January 2021.

According to the Ministry of Economic Development, increase of tariffs for heat supply, water supply and water disposal, as well as ultimate indices of changes in payments made by the population for utility services in the period from 2021 to 2023, will remain at the level set forth in September 2019 by the Forecast of Social and Economic Development of the Russian Federation up to 2024 with a focus on the inflation rate (Finmarket Information Agency, 2020).

The authors, however, are convinced that minimum linear growth within the ultimate index from year to year cannot be considered an appropriate strategy capable of respecting the interests of all market stakeholders, and not only consumers – especially those being the citizens (population) – which requires resorting to the new ways of improving tariff regulation efficiency.

Discussion It is the authors’ opinion that priority ways of improving the tariff regulation efficiency are as follows: 1.

Formation of an investment-worthy tariff and justification of the supporting tariff for crucial social projects

Efficiency in the perception of investments at various stages of an investment project is described in a number of academic papers.

However, there are only few references to the efficiency of investments along the entire project life cycle. Interrelation between varying life cycle efficiency and tariff regulation also remains an underdeveloped area. It is obvious that tariff guides all parties to the investment process and aligns the interests of different stakeholders in such a way as to achieve the maximum efficiency of a particular service over the long term. Yet this is only possible with due regard to the entire project life cycle in conformity with tariff flexibility at different stages.

Tariff regulation in the investment process can either function as an accelerator of both direct and indirect project investments, or stimulate application of investments towards the most desirable areas, e.g. recovery of engineering infrastructure displaying excessive wear.

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The authors are convinced that tariff regulation is able to foster investment raising and application of investments towards the essential focus areas.

Tariff regulation can control the process of a service prime cost optimization, while improving the overall service efficiency. However, investment appeal starts with respecting the investor’s interests with regard to repayment predictability and risk mitigation. In this scenario, tariff does not only define the return on investment in the project and its payback period, but it is also a key driver in a systematic approach to the rehabilitation of a certain industry. If that is the case, such tariff may be defined as a supporting tariff.

2.

Development of digital tariff strategies

In the near future, Federal Antimonopoly Service of Russia (FAS) is planning to strengthen the role of its Unified Information and Analytical System by enhancing it with an intellectual digital platform allowing to implement integration of data on prices and tariffs, including those in the field of electric power industry. At the time, it is planned to introduce a so-called Digital Tariff Signal Light, a system designed to control the decision-making process with regard to tariffs.

This mechanism will send a clear signal to the regulating authorities as to compliance of their decisions with legal requirements.

Implementation of this tool would allow to compare the expenses incurred by the regulated organizations with the reference values, and to monitor the decisions of the regional regulating authorities before they are made. In the long term, integration of macroeconomic data will provide for implementation of a whole number of other digital tools.

3.

Digital tariff modeling

In order to identify the priorities of the investment process to stabilize the prime cost within the tariff structure, it is necessary to be able to carry out digital modeling of tariff consequences. Such digital models make it easy to examine several scenarios underpinning the calculations for the most appropriate tariff strategy. It is necessary to develop a methodological strategy and mathematical tools to substantiate tariff efficiency at a particular stage of the cycle. It is also essential to determine the planning horizon with respect to the project cycle, and to develop guidelines on mitigation of negative consequences for all market stakeholders. Big data analysis is extremely important to be able to differentiate between the existing approaches to tariffs setting in

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dependence to the socioeconomic conditions in the region.

It is beneficial for suppliers to entice customers into consuming their resources at certain times.

4.

Elaboration of tariff structure and regulations applicable to the tariff formation process

For instance, hot and cold water supply tariffs can be set on a differential basis when the following parameters are taken into account:

Tariff is the only element of traditional marketing ensuring company's real income. Market tariff is not an independent variable, since its value depends on the values of other marketing elements, as well as on the level of competition in the market and on the general state of economy.

a)

The main purpose of tariff formation strategy for the market economy is gaining maximum profit while maintaining the sales targets. The tariff strategy has to ensure persistent satisfaction of customers’ needs by means of reasonable combination of internal development strategy at the company and external parameters within a single long-term marketing strategy. Hence, tariff strategy development requires each particular enterprise to define the main objectives thereof, e.g. maximizing revenue, tariff, sales, or competitiveness, while securing fixed return on investment.

The essence of this system lies in applying differential tariffs to one resource, which might be used in other sectors.

5.

Introduction of differential tariffs when regulating consumption of socially important resources Differential tariffs are used across a wide range of fields: customs, public utility services, logistics, and service sector. Differential tariff is also extensively used in the energy supply market. Depending on the region, as well as on the price of services, electricity tariffs vary across the country. Planned increases in price take place annually, yet price discrimination permits flat owners to save substantial amounts.

Being aware of how the multirate system works, people choose the appropriate meter and pay less for the rendered services starting from the following month.

There are two main stakeholders in this issue: suppliers and consumers of electricity. The benefits of multirate system might be obvious for individuals, yet there are subtleties when it comes to producers. For instance, peak electricity demand periods make it more lucrative for the suppliers to set higher prices for their services.

During the night, when most customers rest and do not use any electrical power, the tariff will decrease. Such calculation principle is explained by the achievement of desirable values in production and consumption of electrical energy.

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availability of several technologically unrelated centralized cold (hot) water supply systems; b) volumes of water consumption; c) conformity of drinking and hot water quality with the requirements set forth in sanitary rules and regulations.

Conclusion Thus, it can be said that cycle-like nature of economic processes predetermines the necessity of flexible (non-linear) tariff regulation fully corresponding to the market expectations and ensuring maximum efficiency of both budgetary and extra-budgetary investments. Investment appeal of the tariff becomes one of the main tasks on the way of renovation and major overhaul of a certain industry. Investment appeal of the tariff lies in the long-term tariff regulation, which is at least comparable to the project investment cycle.

Contemporary economic development underpinned by generating big amounts of data and their further management is impossible without digitalization followed by digital modeling and development of digital strategies.

Alongside this, real-time monitoring of both the strategy and tariff efficiency seems indispensable.

All these changes require methodological justification and further development of the variable supporting tariff theory in order to test new cyclic models of regulation matching the cyclic economy of the country.

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Freight charge variations in truck transport markets: price discrimination or competitive pricing? American Journal of Agricultural Economics, 68(2), 226-236.

Bhattacharyya, S. C. (1996). Domestic energy pricing policies in developing countries: why are economic prescriptions shelved? Energy Sources, 18(8), 855-874.

Ciarreta, A., Paz, Espinosa, M., Pizarro-Irizar, C. (2017). Optimal regulation of renewable energy: A comparison of Feed-in Tariffs and Tradable Green Certificates in the Spanish electricity system. Energy Economics, 67, 387-399. https://doi.org/10.1016/j.eneco.2017.08.028 Cornelis, M. (2020). Energy efficiency, the overlooked climate emergency solution.

Economic policy, 15(2), 48-67.

Costa-Campi, M.T., & Trujillo-Baute, E. (2015).

Retail price effects of feed-in tariff regulation. Energy Economics, 51, 157-165. https://doi.org/10.1016/j.eneco.2015.06.002 Di Foggia, G., & Beccarello, M. (2020). The impact of a gain-sharing cost-reflective tariff on waste management cost under incentive regulation: The Italian case. Journal of environmental management, 265. https://doi.org/10.1016/j.jenvman.2020.1105 26 Di Vittorio, A. (1996). Identifying, measuring and responding to different market segments: price determination in air transport. Journal of Vacation Marketing, 2(4), 315-325.

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Kapitonov, I.A., & Patapas, A. (2021). Principles regulation of electricity tariffs for the integrated generation of traditional and alternative energy sources. Renewable and

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Sustainable Energy Reviews, 146. https://doi.org/10.1016/j.rser.2021.111183 Knyazeva, I. V. & Svitych, N. Yu. (2015).

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Engagement of consumers into the energy demand management. In: I. G. Akhmetova, N. V. Rozhentsova, V. R. Ivanova (Ed.), Challenges and prospects in the development of electrical energy industry and electrical engineering. Proceedings of the 2nd National Research and Practice Conference, Vol. 1 (pp. 209-2014). Kazan: Kazan State Energy University.

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Estimation of efficiency of investment projects implemented by electricity distribution companies in electrical energy industry against the background of tariff regulation. Bulletin of the Perm National Research Polytechnic University. Social and economic sciences, 4, 183-196.

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Politics of trade protection in an autocracy: Evidence from an EU tariff liberalization in Morocco. European Journal of Political Economy, 69. https://doi.org/10.1016/j.ejpoleco.2021.1020 63 Sampaio, P.R.P., & Sampaio, R.S.R. (2020). The challenges of regulating water and sanitation tariffs under a three-level shared-authority federalism model: The case of Brazil.

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Samper, M., Coria, G., & Facchini, M. (2021).

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Energy Policy, 157. https://doi.org/10.1016/j.enpol.2021.112519 Starostina, Yu. (2021). Russian economy is going through the gravest economic slump in 11 years. Economics: RosBiznesConsulting.

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Harkusha, A.H., Koretsky, O.P., Pokataiev, P.S., Bukanov, H.M., Biliuk, A.V. / Volume 10 - Issue 45: 158-174 / September, 2021

158

DOI: https://doi.org/10.34069/AI/2021.45.09.17 How to Cite: Harkusha, A.H., Koretsky, O.P., Pokataiev, P.S., Bukanov, H.M., & Biliuk, A.V. (2021). The influence of the crisis on corporate governance and its legislative regulation: evidence from Ukraine. Amazonia Investiga, 10(45), 158-174. https://doi.org/10.34069/AI/2021.45.09.17

The influence of the crisis on corporate governance and its legislative regulation: evidence from Ukraine ВПЛИВ КРИЗИ НА КОРПОРАТИВНЕ УПРАВЛІННЯ ТА ЙОГО ЗАКОНОДАВЧЕ РЕГУЛЮВАННЯ: ДОСВІД УКРАЇНИ Received: July 16, 2021

Accepted: September 28, 2021

Written by: Alina H. Harkusha64 https://orcid.org/0000-0002-3299-8405 Oleg P. Koretsky65 https://orcid.org/0000-0002-2182-1436 Pavlo S. Pokataiev66 https://orcid.org/0000-0003-3806-2197 Hryhorii M. Bukanov67 https://orcid.org/0000-0002-5398-5953 Andrii V. Biliuk68 https://orcid.org/0000-0002-4348-8312 Abstract

Анотація

The crisis caused by COVID-19 pandemic has affected the world community, changed the usual way of operating and managing each organization. The article aims to outline possible ways to optimize corporate management in crisis conditions in Ukraine. Based on the statistical methods the influence of COVID-19 pandemic on the activity of organisations in these conditions in Ukraine was determined, thus, this period was characterized by enterprises’ income fall, growing share of dismissed employees, new challenges for administrative staff in the area of innovation and change management etc. The most significant factors influencing the organization's crisis management were classified: negative (economic loss, lack of working capital, lack of demand for the products of the company, reducing staff, closing the economic areas that affect the company's operations, interruptions in the work of contractors) and positive (ensuring the stability of wages, changes in labor legislation, management flexibility, development of new

Криза, спричинена пандемією COVID-19, торкнулася світової спільноти, змінила звичний спосіб роботи та управління кожної організації. Метою статті є окреслити можливі шляхи оптимізації корпоративного управління в умовах кризи в Україні. На основі статистичних методів було визначено вплив пандемії COVID-19 на діяльність організацій в кризових умовах в Україні. Отже, цей період характеризувався падінням доходів підприємств, зростанням частки звільнених працівників, новими викликами для адміністративного персоналу, інноваціями та змінами в управлінні. У результаті дослідження були класифіковані найважливіші фактори, що впливають на кризовий менеджмент організації: негативні (економічні втрати, нестача оборотних коштів, відсутність попиту на продукцію компанії, скорочення персоналу, закриття економічних сфер, які впливають на діяльність компанії, перебої в роботі підрядників) та позитивні (забезпечення

64

Associate Professor, Candidate of Juridical Sciences, Dnipropetrovsk State University of Internal Affairs, Dnipro city, Ukraine.

Associate Professor of Judiciary, Prosecutor's Office and advocacy Institution of higher education Lviv University business and law, Lviv, Ukraine.

66 Doctor of Science in Public Administration, Doctor of Laws, Professor, Classical Private University, Zaporizhzhia city, Ukraine.

67 Candidate of Political Sciences, Associate Professor, Zaporizhzhia Polytechnic National University, Doctoral Student, Department of Management and Project Management, Dnipropetrovsk Regional Institute of Public Administration of the National Academy of Public Administration under the President of Ukraine, Dnipro city, Ukraine.

68 Candidate of Science in Public Administration, Classical Private University, Zaporizhzhia city, Ukraine.

65

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forms of business, improving communication between the administration of the organization and the state). Determined that optimize crisis management organization possible through the implementation of management, economic and legislative measures. The optimization of crisis management of the organization will lead to economic development and preservation of human capital in the country.

Keywords: organizational structure, planning, factors, leader, activities, Ukraine.

стабільності заробітної плати, зміни трудового законодавства, гнучкість управління, розвиток нових форм бізнесу, покращення комунікації між адміністрацією організації та стан). Визначено, що оптимізувати кризовий менеджмент організації можливо шляхом впровадження управлінських, економічних та законодавчих заходів. Законодавчими заходами є прийняття закону "Про безпеку та стійкість критичної інфраструктури", внесення змін до законодавства про працю, створення уповноважених державних органів для стратегічного аналізу. Заходи управління полягають у проведенні корпоративних заходів, залученні зовнішніх кризових менеджерів, перерозподілі персоналу. В результаті оптимізація кризового управління організацією призведе до економічного розвитку та збереження людського капіталу в країні. Ключові слова: організаційна структура, планування, фактори, лідер, діяльність, Україна.

Introduction Nowadays, there are significant changes caused by the COVID-19 pandemic. In addition to the rapid spread of coronavirus infection, the world community has undergone significant changes in economic, political, cultural and social spheres.

The crisis caused by the COVID-19 pandemic has affected the world economy and international standards of activity. The introduction of quarantine measures may necessitate the search for new approaches to enterprise management to increase the efficiency of its activities. One of the distinguishing features of the current crisis is its uniqueness in terms of scale of spread and speed of spread. Therefore, the measures taken during the past crises (in 2008 and 2014), both in the social, economic and legal spheres, may not be sufficient to address the problems associated with the current crisis.

The crisis caused by the pandemic may affect not only the economic performance of organizations It can cause global changes, ranging from the organization’s activity format – the transition to distance work, online meetings and negotiations, to territorial mobility restriction because of borders closure. The changes could affect the leadership style of organizations heads, working conditions, the ability to interact with contractors.

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An important aspect of changing approaches to the corporate management is the legal support of activities, which can currently be characterized by shortcomings at both national and international levels. An urgent problem nowadays is the development of mechanism for the implementation of measures aimed at neutralizing and overcoming the crisis, as well as the legal regulation of use of such a mechanism.

Therefore, it is important to analyze the legal support of crisis management at the international and national levels to optimize the activities of organizations.

The article aims to outline possible ways to optimize corporate management in crisis conditions in Ukraine based on the analysis and systematization of theoretical experience, practical measures and legal support of crisis management.

Literature review The issue of organization management in a crisis situation is a research area of scientists in various fields - economics, management, law, psychology, sociology. L. Barton (2007) as a result of crisis management study developed a manual on preparation for crisis, sabotage and disaster. W.T. Coombs (2014) explores the issue of crisis communication. W. Johansen (2017)

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160 studies the practical and theoretical issues of crisis consulting. O. Lerbinger (2012) examines crisis management from the perspective of dealing with disasters, conflicts and weapons.

V.O. Shtejnyk (2017) notes the importance of management as one of the integral functions of any organized socio-economic system, designed to ensure the preservation and development of this system (p. 376). Fishhuk and Gholyshevsjka (2011) studied the dependence of the enterprise development level and the effectiveness of organization management on the provision of financial management. The concept of crisis is characterized as "an event with low probability and strong impact, which threatens the viability of the organization and is characterized by ambiguity of causes, consequences and solutions, as well as the belief that decisions should be taken promptly" (Pearson, Clair, 1998).

S. Hermann (1963) determined that the essence of the crisis is made up of three mandatory components, by which the crisis can be distinguished from other unpleasant events. We are talking about: 1) surprise; 2) threat; 3) lack of time required for reaction. Kostj (2010) identified the importance of taking into account the legal regulation and involvement of useful information resources to build an effective organization management system.

S.V. Stavchenko (2018) studies crisis situations as components of political governance.

of the world; lack of resources for expanded development.

The special properties of an effective crisis management system are (M.V. Metkin, 2004): flexibility and adaptability, ability to strengthen informal management, motivation of enthusiasm, patience, confidence, search for the most acceptable typological features of management in difficult situations, reduction of centralism in order to ensure timely situational response to emerging problems, strengthening of integration processes allowing to concentrate efforts and more effectively use the potential of competence.

1.

2.

3.

4.

5.

Hermann (1972) believes that a situation can be considered as a crisis when it is perceived as unexpected for the affected people, poses a threat to them and must be overcome in a timely manner. The current situation, which emerged in 2019 made the opportunity to work from home more popular than ever, putting a cloud over the future of travel and meetings, which are part of everyday business life. In view of this, it can be noted that the current crisis is characterized by unpredictability, and organizational mechanisms may be unable to forecast and prevent crisis consequences, which may threaten the existence of organizations, the lofty objectives of institutions (Gostin, Wiley, 2020).

O.V. Levchuk (2017) notes that the most pressing challenges of globalization, which can create numerous threats to the economic security of the state, are: the instability of the global financial system, which is accompanied by an imbalance in world trade and investment flows between the world's largest economic centers; expansion of world markets for certain types of products, goods and services; spread of crisis phenomena; expansion of the advanced countries

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6.

7.

G. Meyers., J. Holusha (1986) found that crisis benefits can be drivers for organization development. Researchers have identified the following benefits from the impact of crisis situations on organizations: 1. "Birth of Heroes".

Accelerating the process of internal and organizational changes (restructuring), which management is reluctant to go under normal conditions ("Union Carbide").

Awareness and recognition of existing problems that have previously been ignored ("Procter & Gamble", "Dalkon Shield").

Optimal redistribution of human resources in the process of change ("United Technologies", "Bamiff Airlines").

Implementation of new (revolutionary) strategies ("General Motors", "Caterpillar").

Focusing on early warning systems in the future ("Bank of Boston").

New competitive advantages (abilities and opportunities) after the crisis ("Levies", "Coca-Cola").

Considering the mechanisms of crisis management, A.Iu. Poghrebnjak (2015), interprets them as a set of interconnected and complementary elements, the coordinated interaction of which helps to identify, prevent and overcome the crisis, under the influence of external and internal factors. In the process of identifying the need for anti-crisis management, the main goal of anti-crisis measures is determined - the state in the future, that can change relative to the present and is worth, desirable or necessary to achieve.

L.O. Lighonenko (2001) notes that crises often take place in two phases, when after a sharp deterioration of the situation comes a period of gradual stabilization (adaptation).

COVID-19 changed the corporate management in three areas:

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1.

2.

3.

Companies become resistant to crisis conditions, focus on long-term goals.

Organizations integrating different types of capital (private, joint-stock, state, credit) are more likely to operate in a sustained way.

Nationalism is being revived in organizations, which can guarantee the absence of foreign property influence on the stable activity of the organization.

There is an expansion of corporate goals due to the uncertainty of the future economic environment condition (Gelter & Puaschunder, 2021).

implement effective crisis management (Buheji, & Ahmed, 2020).

With the spread of coronavirus infection COVID-19, countries of the world could face a number of problematic issues (O.O. Reznikova, 2020). These issues may include:   

According to a study by A.V. Vorfolomeeva (2020) the impact of the COVID-19 crisis on the activities of organizations in Ukraine is assessed:







  

the changes are not noticeable at all – 41 % of respondents; reduction of organization production – 37 % of respondents; ceasing organization activities – 21 % of respondents; increasing the organization production – 1 % of respondents (Vorfolomeev, 2020).

That is, according to research, 58% of companies have experienced the negative effects of the COVID-19 crisis. 82 Ukrainian manufacturing companies took part in this survey (Vorfolomeev, 2020).

In many countries, factories are closing, production is slowing down, sales are falling, and employment is reducing. Such COVID-19 effects can lead to a decline of the world economy to levels lower than it was expected in 2020 (Şenol & Zeren, 2020).

Vysocjka (2020) notes that the pandemic caused by the COVID-19 virus, could have the impetus for the manifestation of the global financial crisis, which has been brewing for years.

Employees can expect their organizations to be sensitive to them, while those who use the services and products of the organizations closely can monitor developments to minimize possible losses and not endanger their own health (Sasaki et al., 2020).

As a result, COVID-19 could disrupt companies' business practices. Business meetings and operations could be replaced by online operations, and work from home has become more important than ever during the quarantine period. Accordingly, many companies could create new organizational structures to

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



impossibility of early detection, assessment and prevention of the threat; lack of sufficient capabilities, reserves, alternative strategies in case of crisis; the absence or irrelevance of integrated response plans, uniform standards and agreed action protocols; insufficient level of readiness of medical staff and law enforcement agencies to act in a crisis situation and quarantine restrictions; unwillingness of government bodies, most enterprises and the population to work under quarantine conditions, including in the remote mode; slow response on the part of authorized state and local anti-crisis management bodies, low efficiency of coordination of measures at various levels, including due to shortcomings in the legislation and / or noncompliance; imperfection of the system of strategic planning and analysis in the state, including in terms of conducting a comprehensive assessment of the threat impact and appropriate response measures to various areas of national security, monitoring the effectiveness of response measures, etc.

Companies able to manage crisis situations with the help of their effective leaders can take advantage of opportunities staying afloat even during a period of crisis (Hıdıroğlu, 2020). With regard to COVID-19 crisis management, it has been observed that surviving companies are trying to implement anti-crisis management, which is based on a new organization, such as virtual organizations (Murat and Mısırlı, 2012).

Currently, the use of virtual communication is becoming an important part of new organization structures (Zhou, 2020). Flexibility of the organizational structure in terms of adaptation to change and development of the environment becomes very important when the crisis begins (Deverell, 2010). Therefore, participation of concerned persons is important. Leaders' approach to the crisis is very important for work in harmony with concerned persons with different interests, preferences and values (Taneja, 2014). Concerned persons, any group or community affected by an institution's activities, can also be identified as any person, group, or

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162 institution that may influence an organization's performance or goals (Stephens et al., 2005).

New strategic plans, new goals for employees, new funding requirements, a new supply chain management, new goals for subordinates, a new organizational structure, new applications of technological systems and implementations were needed in business organizations in the recent COVID-19 period (Ågerfalk et al.2020).

Anti-crisis management in modern conditions could be influenced by politicization. To avoid the negative consequences of politicization in anti-crisis management, it is possible to increase professional responsibility for rapid response to the incident. In this context formal accountability stands in the way of rapid response. Wellestablished operational plans and emergency processes can be one way to reduce the politicization of disaster response and recovery measures (Selves, 2003). In addition, attention should be paid to the complementarity of the relationship between the organization administration and the state (Dekker and Hansen, 2004). This perspective restores public confidence in the government and restores the law's confidence in the administration. Finally, managerial values and political control can be balanced during the anti-crisis governance under a constitutional safeguard as Rohr (1986) states.

In this case, crisis managers can be responsible subjects of crisis management.

Based on this, as well as taking into account the problematic issues, that were identified during the implementation of measures to combat the spread of coronavirus COVID-19 in the world, it is advisable to implement a number of urgent and promising measures: creation of a risk assessment system, improvement of crisis management, formation of state and international security centers (Reznikov, 2020).

Sjoma B.B. (2020) notes that crises caused by globalization can be mitigated by means of developing appropriate international, national, sectoral, regional programs and mechanisms to prevent, regulate and manage them. For example, in the United States, measures to combat the consequences of the spread of COVID-19 are developed and implemented by more than 100 federal authorities and agencies, as well as the Federal Reserve System within their competence. A key, but not the only guideline in the development of strategies to support the economy was a package of measures enshrined in the CARES Act – Coronavirus Aid, Relief and Economic Security Act, signed by the President

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of the United States on March 27, 2020 - 14 days after the declaration of a state of emergency in the country. The implementation of the proposed measures provides for the allocation of more than $ 2.2 billion to offset the negative effects of the pandemic in an extremely wide range of areas.

This example is appropriate from the point of view of the speed of response to the current situation in the context of a pandemic and a sufficiently large-scale involvement of the country's forces in solving urgent problematic problems.

Thus, for example, anti-crisis management in Austria and Germany, in the aspect of personnel management, involves the adaptation of rules to ensure access for workers who are in quarantine and cannot work remotely, on paid leave. So, workers in Austria continue to receive wages during 4-12 weeks, and in Germany during 6 weeks. In the UK, workers can self-isolate due to COVID19 virus at will and receive guaranteed sick leave payments, even in the absence of symptoms. Such measures in the field of personnel management and their regulatory support allow organizations to retain human resources in the company and to anticipate the emergence of conflicts in the organization.

O.O. Reznikova (2020) argues that the crisis situation caused by the spread of coronavirus COVID-19, may raise the issue of building national stability, the formation of an appropriate legal framework and organizational system, the development of its individual components, including crisis management. That is, the coronavirus could only become a catalyst that exposed the long-standing problems of the world economy, namely: 1.

2.

3.

Interdependence of national economies.

Disruption of trade flows, closure of transport links, blocking of economic activity due to the introduction of quarantine have become the reason for the decline in business activity.

Weakening of the role of the state.

Globalization processes have separated states from performing of certain functions in favor of transnational corporations. The pandemic made these functions necessary again. However, not all states are even capable of performing such functions as planning, management and control.

Lack of effective mechanisms of global interaction. The real threat has shown the inability of world leaders to act harmoniously in the interests not of an individual country, but of humanity as a

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whole. State leaders act exclusively in the national interest (as evidenced by cases of uncoordinated closure of borders, refusal to accept patients, pay contributions to the WHO, purchase of medical supplies for cash, etc.).

Anti-crisis management involves a lot of skills and experience, as it relates to the process of changing the reality and persuasion of public opinion from in the context of an organization, which protects its point of view and interests (Zamoum and Gorpe, 2018).

Methodology The research methodology used in this article included theoretical and statistical methods. The first group of methods was used to identify the main features of the object of study - crisis management, and the changes that have occurred in it as a result of the Covid-19 pandemic, as well as to summarize the main characteristics of corporate governance. At this stage of the study, using the method of classification and systematic analysis identified positive (development of leadership qualities, detection problems in corporate management, rational redistribution of human resources, innovation implementation, identification of competitive advantages of the organization, development of new forms of business, flexibility of management, cooperation within the organization, mobilization of resources, situational decision making, transition to remote working, ensuring stable labour remuneration of the company staff, amendments to labor legislation in terms of sick pay, changes in working hours and holidays, vacations, complementary communication between the organization administration and the state) and negative (lack of demand, impossibility to work remotely, change of legal processing, staff reduction, change of organizational structure, absence of staff on the workplace, lack of necessary documentation for processing of operations, interruptions in the activities of contractors, closing of premises, trading platforms, closing of areas on which organization depends, reduced availability of raw materials, transport and logistics difficulties, lack of social communication, lack of working capital, economic losses, socio-psychological instability in the organization) factors that affect corporate governance due to changes caused by new economic conditions.

Factors were selected based on statistical results of nationwide research conducted among Ukrainian organizations in 2020-20201 years

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(Global Recruitment & Consulting Ukraine, 2021; Ukrainian Marketing Group, 2021; Vorfolomeev, 2020).

Within the empirical method, the degree of influence of factors on corporate governance is determined by using the collective expertise technique. Each factor was rated an expert on a scale of 1 to 9, where 1 - the smallest influence factor on corporate governance 9 - most influence factor. Using the method of pairwise comparisons based on multidimensional scaling, the most significant factors influencing corporate governance during the crisis were identified. The algorithm of the study includes the following stages: 1) pairwise comparison of factors. The first factor is compared with the second, then the third one and so on, until the moment when all the factors are compared with each other; 2) calculation of the total value of the factor; 3) calculation of the general degree of influence of the factor in percentage; 4) ranking factors, determining the most influential of them.

Using abstraction and generalization in the final stages of the study, groups of factors whose impact should be minimized and groups of factors that contribute to effective corporate governance are identified.

Results and discussion Improving crisis management, taking into account the situation in the world, provides: 

 

ensuring the uninterrupted operation of organizations that produce goods and provide services that are critical to the needs of the population and the security and defense sector identification of measures to ensure the continuity of management functions at the international, national and regional levels: development of an action plan to ensure uninterrupted supply of resources in an emergency.

However, СOVID-19 pandemic made a shift in enterprises’ management system and its legal regulation due to a number of problems and changes caused by new conditions.

Thus, a large percentage of enterprises appeared unprotected under quarantine conditions and almost a third of them terminated their activity (29%). About a half of enterprises had resources

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163

164 and were able to maintain activity up to 1 month, a quarter of them – 2-3 months and only 3% of businesses were able to work for a long time

under special conditions (remote employment, changes in organizational structure etc.) (Figure 1).

Continue its activity

58%

29%

Terminate its activity

Not specified

13%

0

a)

10

20

30

40

50

60

70

Activity of enterprises in terms of quarantine

b) Time that the business can work and not go bankrupt Figure. 1. Activity of enterprises under the conditions of COVID-19 pandemic in Ukraine (% of respondents) Source: data of Union of Ukrainian Entrepreneurs, processed by Ukrainian Marketing Group Also, among the main consequences of quarantine conditions for many Ukrainian companies was the reduction of income and dismissal of employees. In particular, 33% of managers indicate that incomes have decreased by 91-100%, and 24% of them emphasize the

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decline of incomes by 51-75%. At the same time, only half of the enterprises (namely 52%) did not dismiss employees at all and were ready to work in new conditions, including the latest forms of work with the staff (distance work etc.) (Figure 2).

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currently no fall

165

5%

up to 10%

0%

10-25%

13%

26-50%

21%

51-75%

24%

76-90%

1% 33%

91-100% more than 100% (debts, unprofitable business)

1%

hard to say

1% 0

5

10

15

20

25

30

35

a) income fall since the beginning of quarantine

b) Share of dismissed employees Figure. 2. Losses of enterprises in Ukraine caused by COVID-19 pandemic in the period of quarantine (% of respondents) Source: data of Union of Ukrainian Entrepreneurs, processed by Ukrainian Marketing Group Analyses of pandemic influence on different professional areas (Figure 3) demonstrates that just administrative management (administrative staff) suffered a lot from COVID-19 pandemic (61%) along with such areas as production (66%) and sales (58%). As for top-management, the negative consequences on this professional group were lower (24%) and 13% of its representatives has even benefited from the conditions of pandemic (for example, developing strategic, crisis skills implementing innovations, using new methods of management etc.). The areas of jurisprudence and accounting, which ensure the

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normative and legislative part of corporate governance have remained mostly stable (option “didn’t change” 76% and 78% accordingly). This emphasize that improvement of corporate governance and its legislative regulation in Ukraine should be based not only on legal changes but also on enhancement and development of managerial and administrative skills of the administrative staff aimed at innovations and changes implementation in new social and economic conditions caused by COVID-19 pandemic.

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166

Figure. 3. Influence of COVID-19 pandemic on different professional areas (% of respondents) Source: data of Global Recruitment & Consulting Ukraine 

The development of the organization may depend to some extent on the management effectiveness and corporate management legal regulation.

Corporate management in the crisis period, including period of pandemics, such as COVID-19, is characterized by the following features:

Such results, caused by the СOVID-19 pandemic, have led to a shift in corporate governance and its legislative regulation towards crisis measures. The main aspects of the crisis emergence are the presence of three elements: unexpectedness, threat to the organization activity and the lack of time to solve problems caused by the crisis. Crisis Management aims to avoid and minimize the risks and negative effects of the crisis, involving information resources, making quick and timely decisions. In these conditions crisis management provides for measures aimed at:  

creation of a system of measures aimed at preventing possible future crisis periods.

     

identification of the consequences of the crisis; combating the effects of the crisis;

identification of organizational skills of managers; coordination of measures aimed at preventing the crisis and ensure the smooth operation of the organization; strengthening informal management of the company; reduction of centralism; the adoption of innovative solutions; flexibility of organizational structure.

The consequences of the management crisis can be positive and negative (Table 1).

Table 1.

Consequences of the Covid-19 crisis for the organization The positive consequences of the crisis for the management: 1. Manifestation of leadership qualities being able to bring the company to a new high level.

2. Detection of latent problems in the corporate management.

3. Rational redistribution of human resources.

4. Introduction of innovations in management.

5. Identification of competitive advantages of the organization.

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The negative consequences of the corporate management crisis: 1. Lack of time to solve problems of corporate management.

2. Economic losses.

3. Uncertainty of further activities of the organization.

4. Socio-psychological instability in the organization.

5. Loss of human resources.

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So, given all the above, it should be noted that the new economic conditions caused by the COVID19 pandemic have influenced the activities of organizations and the economic sphere in general. This influence caused the following:    

redistribution of human capital; change of the companies` organizational structure; a large number of organizations go online; legislative regulation of the organization activities is changing.

To develop the ways for increasing the efficiency of corporate governance in Ukraine it is necessary to identify factors (negative and positive) caused by COVID-19 pandemic as the

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new system of corporate governance in Ukraine should be aimed at decreasing of first ones and enhancement of the second.

As a result of theoretical analysis, the main factors influencing corporate governance in the new economic conditions caused by the COVID19 pandemic have been identified. Influence factors are divided into two main groups, according to the consequences they have on corporate governance - negative and positive.

The method of paired comparisons based on multidimensional scaling allowed to define groups of factors the most negative and positive impact on corporate governance. So, the following is an assessment of the detailed list of such factors using the method of paired comparison (Table 2 and Table 3).

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167

168

1

Lack of demand Impossibility to work remotely Change of legal processing Staff reduction Change of organizational structure Absence of staff on the workplace Lack of necessary documentation for processing of operations Interruptions in the activities of contractors Closing of premises, trading platforms Closing of areas on which organization depends Reduced availability of raw materials, transport and logistics difficulties Lack of social communication Lack of working capital Economic losses Socio-psychological instability in the organization

2 3 4 5 6 7

8 9 10

11

12 13 14 15

№ of factor

Rank

Factor

Root of the n degree of W Measure of factor influence

№

Total, W

Table 2.

Assessment of negative impact on organization activity caused by COVID-19 pandemic, influencing corporate governance in Ukraine.

1 1,00

2 7,00

3 7,00

4 2,00

5 6,00

6 8,00

7 8,00

8 3,00

9 5,00

10 2,00

11 7,00

12 8,00

13 1,00

14 1,00

15 6,00

72,00

1,33

0,0710

3

0,14

1,00

0,25

0,14

0,33

4,00

3,00

2,00

4,00

0,20

0,25

3,00

0,20

0,14

2,00

20,65

1,22

0,0653

11

0,14

4,00

1,00

0,20

1,00

2,00

1,00

0,50

0,33

0,33

0,33

6,00

0,20

0,33

6,00

23,36

1,23

0,0658

10

0,50

7,00

5,00

1,00

7,00

8,00

8,00

4,00

4,00

0,50

0,25

9,00

0,20

0,20

8,00

62,65

1,32

0,0703

4

0,17

3,00

1,00

0,14

1,00

3,00

4,00

0,14

0,25

0,14

0,20

7,00

0,14

0,14

5,00

25,32

1,24

0,0662

9

0,13

0,25

0,50

0,13

0,33

1,00

0,50

0,14

0,25

0,14

0,17

2,00

0,13

0,13

0,25

6,05

1,13

0,0602

14

0,13

0,33

1,00

0,13

0,25

2,00

1,00

0,14

0,14

0,14

0,14

4,00

0,13

0,13

0,50

10,16

1,17

0,0623

13

0,33

0,50

2,00

0,25

7,00

7,00

7,00

1,00

3,00

1,00

3,00

8,00

0,17

0,17

6,00

46,42

1,29

0,0689

6

0,20

0,25

3,00

0,25

4,00

4,00

7,00

0,33

1,00

0,20

1,00

7,00

0,17

0,17

6,00

34,57

1,27

0,0676

8

0,50

5,00

3,00

2,00

7,00

7,00

7,00

1,00

4,00

1,00

3,00

8,00

0,33

0,25

8,00

57,08

1,31

0,0699

5

0,14

4,00

3,00

4,00

5,00

6,00

7,00

0,33

1,00

0,33

1,00

7,00

0,33

0,20

6,00

45,33

1,29

0,0688

7

0,13

0,33

0,17

0,11

0,14

0,50

0,25

0,13

0,14

0,13

0,14

1,00

0,11

0,11

0,50

3,89

1,09

0,0584

15

1,00 1,00

5,00 7,00

5,00 3,00

5,00 5,00

7,00 7,00

8,00 8,00

8,00 8,00

6,00 6,00

6,00 6,00

3,00 4,00

3,00 5,00

9,00 9,00

1,00 1,00

1,00 1,00

7,00 8,00

75,00 79,00

1,33 1,34

0,0712 0,0714

2 1

0,17

0,50

0,17

0,13

0,20

4,00

2,00

0,17

0,17

0,13

0,17

2,00

0,14

0,13

1,00

11,08

1,17

0,0626

12

Total

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18,74

Volume 10 - Issue 45 / September 2021169

Total, W

Root of the n degree of W

Measure of factor influence

Rank

Table 3.

Assessment of positive impact on organization activity caused by COVID-19 pandemic, influencing corporate governance in Ukraine.

1

2

3

4

5

6

7

8

9

10

11

12

13

14

15

1,00

0,50

0,25

0,20

0,50

0,50

3,00

1,00

2,00

3,00

3,00

0,33

0,33

0,33

0,50

16,44

1,21

0,0654

11

2,00

1,00

0,50

0,33

1,00

0,50

0,33

0,50

0,50

0,33

3,00

0,14

0,20

0,33

0,25

10,91

1,17

0,0636

14

4,00 5,00

2,00 3,00

1,00 1,00

2,00 1,00

3,00 0,25

0,50 1,00

0,33 0,50

0,33 3,00

0,33 3,00

0,50 3,00

3,00 5,00

0,14 0,25

0,17 0,20

2,00 0,25

0,25 0,25

19,55 26,7

1,22 1,24

0,0662 0,0675

9 6

2,00

1,00

0,33

4,00

1,00

0,50

0,33

0,33

2,00

0,50

0,25

0,20

0,20

0,25

0,25

13,14

1,19

0,0644

13

2,00

2,00

2,00

1,00

2,00

1,00

2,00

2,00

4,00

3,00

1,00

0,50

0,50

2,00

0,50

25,5

1,24

0,0673

4

0,33 1,00 0,50 0,33 0,33

3,00 2,00 2,00 3,00 0,33

3,00 3,00 3,00 2,00 0,33

2,00 0,33 0,33 0,33 0,20

3,00 3,00 0,50 2,00 4,00

0,50 0,50 0,25 0,33 1,00

1,00 0,33 0,33 1,00 0,50

3,00 1,00 2,00 4,00 4,00

3,00 0,50 1,00 3,00 3,00

1,00 0,25 0,33 1,00 2,00

2,00 0,25 0,33 0,50 1,00

0,50 0,20 0,33 0,50 0,33

0,50 0,20 0,33 0,50 0,33

2,00 0,33 0,50 0,50 2,00

1,00 0,50 0,50 0,50 3,0

25,83 13,39 12,23 19,49 22,35

1,24 1,19 1,18 1,22 1,23

0,0674 0,0645 0,0641 0,0661 0,0667

3 12 15 10 8

3,00

7,00

7,00

4,00

5,00

2,00

2,00

5,00

3,00

2,00

3,00

1,00

2,00

3,00

2,00

51

1,30

0,0705

1

3,00

5,00

6,00

5,00

5,00

2,00

2,00

5,00

3,00

2,00

3,00

0,50

1,00

3,00

2,00

47,5

1,29

0,0702

2

3,00

3,00

0,50

4,00

4,00

0,50

0,50

3,00

2,00

2,00

0,50

0,33

0,33

1,00

0,50

25,16

1,24

0,0673

7

2,00

4,00

4,00

4,00

4,00

2,00

2,00

2,00

2,00

2,00

0,33

0,50

0,50

2,00

1,00

32,33

1,26

0,0684

5

Total

18,43

№ of factor №

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15

Factor

Development of leadership qualities Detection problems in corporate management Rational redistribution of human resources Innovation implementation Identification of competitive advantages of the organization Development of new forms of business (for example, online) Flexibility of management Cooperation within the organization Mobilization of resources Situational decision making Transition to remote working Ensuring stable labour remuneration of the company staff Amendments to labor legislation in terms of sick pay Changes in working hours and holidays, vacations Complementary communication between the organization administration and the state

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170 The results of ranking the factors indicate that the following of them have the greatest influence: negative impact – economic losses, lack of working capital, lack of demand, staff reduction, closing of areas on which organization depends, interruptions in the activities of contractors; positive impact – ensuring stable labour remuneration of the company staff, amendments to labor legislation in terms of sick pay, flexibility of management, development of new forms of business, complementary

communication between the administration and the state.

organization

The identified groups of factors can establish basic ways to improve corporate governance and minimize the negative effects COVID-19.

On this basis in the terms of unstable economic, social and political conditions which characterize the crisis COVID-19 period, it is necessary to identify grouped factors reducing the effectiveness of corporate governance.

Table 4.

Factors which may reduce the effectiveness of corporate governance.

Factor Indefinite duration of the crisis Territorial mobility restrictions Politicization of management

Possible adverse effect The rapid loss of crisis plan topicality Interruptions in the company's activities and resources supply Delays in decision-making, reduced efficiency of the company

Lack of an interaction model between the state and the organization

Taking ineffective decisions

The human factor

Psychological tension in the team, loss of human capital

Ensuring the uninterrupted operation of organizations may have a positive impact on the company's activities, but in the current COVID19 situation this may not always be implemented, which is due to the strengthening of quarantine restrictions and territorial mobility restrictions.

The implementation of an uninterrupted supply of resources for the organization activities is closely associated with decision-making at the national and international levels in terms of strengthening / weakening of restrictive quarantine measures.

Effective crisis management can be hampered by retardations and delays in the adoption of relevant regulations and politicization of management. Management decisions are more related to coordination at the documentary level, which can negatively affect the effective overcoming of the crisis negative consequences.

Therefore, it may be important for effective crisis management to establish a system for regulations adoption at the state level and optimize the documentation of decision-making at the organizational level.

However, establishing a model of the relationship between the organization and the state can be complicated by different forms of activity and structure of companies. In this respect, establishing standards of interaction

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between the state and companies, taking into account the organization type, size and structure, may be a possible solution.

Crisis management activities carried out on the level of one organization may be less effective than crisis management activities carried out at the state level for all organizations. Therefore, in the event of a crisis, it may be appropriate to establish standardized crisis management measures for all government organizations, which will be able to ensure the continual activity of companies and maintain economic stability.

The significance of the human factor for effective crisis management can also be a factor that adversely affects the company management. In times of crisis, the psychological instability of the staff and the company's manager can increase, which can reduce the speed of crisis response and decision-making. In this respect, it may be appropriate to conduct psychological training and instruction for the staff concerning effective behavior in times of crisis, which can positively affect the emotional and psychological climate in the company's team.

Given the above, it is possible to identify the ways to improve the efficiency of corporate governance in Ukraine.

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Table 5.

Possible ways to increase the efficiency of corporate governance in Ukraine.

Measures Involvement of third-party crisis managers in the organization Redistribution of staff within the company Management

Psychological trainings and corporate events for managers and staff Development of internal communication protocols of the company Reorientation to Ukrainian contractors

Economic

Saving wages Attracting funds to the organization from various sources (investors, public funds, credit institutions) Adoption of the law "On safety and sustainability of critical infrastructure"

Legislative

Amendments to labor legislation to preserve wages for workers who are temporarily out of work due to the effects of the pandemic Creation of a national network of authorized state bodies for strategic analysis

Human resources, which can be manifested in leadership skills (decision-making speed, flexibility of management, creativity) and reassessment of human resources of the company are of particular importance in crisis management. The ability to preserve human resources during a crisis can be important for crisis management. Crisis management includes a comprehensive combination of organizational, legal and personal changes. Organizational changes include the company management flexibility, coordination and cooperation within the organization - between the management and the staff, between structural authorities. Personal changes include opportunities to change a leadership style, accumulation of leadership skills of a corporate leader, able to maintain the social and psychological climate in the organization, make timely decisions and respond to any changes in the environment. Legal changes include the adoption of legal regulations providing the opportunity to make changes in the corporate management - the transition to remote working, ensuring stable labour remuneration of the company staff, making amendments to labor

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Results Development of a plan of activities to overcome the crisis Optimization of activity and preservation of human capital Reducing psychological stress and establishing an optimal socio-psychological climate Optimization of the communication and decisionmaking process Ensuring the continual activity of the company Ensuring the stability of the company Ensuring sustained funding Ensuring stable management of the organization at the legislative level Preservation of human capital in the organization and ensuring economic, social and psychological stability in collective The possibility of predicting the negative consequences of the crisis

legislation in terms of sick pay, changes in working hours and holidays, vacations.

In addition to enshrining organizational and legal changes in regulations, it is important to establish complementary communication between the organization administration and the state, which can help establish stability in the economic and social spheres and increase public confidence level in the state. Improving crisis management, both in Ukraine and in the world, includes the formation of relevant legislation. Thus, in Ukraine it is expedient to adopt the law “On security and sustainability of critical infrastructure” and the national network of authorized state bodies and scientific institutions on strategic analysis.

In view of the features and consequences of the COVID-19 crisis and measures of effective corporate governance, it is possible to determine that effective crisis management affects not only the organization development, but also provides for:

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172    

national economy development; preservation of human capital within the country; reduction of psychological tension among the population; political stability.

critical infrastructure" changes to labor legislation to pay employees, creation of a national network of authorized state bodies for strategic analysis). As a result, this will ensure the development of national economy and preserve the human capital in Ukraine.

Conclusion

Bibliographic references

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https://doi.org/10.34069/AI/2021.45.09.18 How to Cite: Ovcharenko, N., Sysoieva, S., Samoilenko, A., Chebotarenko, O., & Bohianu, K. (2021). Formation of prospective music art teachers’ readiness for inclusive educational activity. Amazonia Investiga, 10(45), 175-184. https://doi.org/10.34069/AI/2021.45.09.18

Formation of prospective music art teachers’ readiness for inclusive educational activity Формування готовності майбутніх учителів музичного мистецтва до освітньої інклюзивної діяльності Received: June 12, 2021

Accepted: July 30, 2021

Written by: Natalia Ovcharenko69 https://orcid.org/0000-0003-4874-1716 Svitlana Sysoieva70 https://orcid.org/0000-0003-0790-0581 Aleksandra Samoilenko71 https://orcid.org/0000-0002-2071-9587 Olga Chebotarenko72 https://orcid.org/0000-0001-8537-9264 Kateryna Bohianu73 https://orcid.org/0000-0001-7251-704X Abstract

Резюме

The article reveals the current problem of Ukrainian and foreign education - the preparation of present-day teachers to get engaged with learners with special educational needs. The objective of the study is to highlight the results of theoretical and experimental research on the formation of prospective music teachers’ readiness for inclusive educational activities, which is the result of students` professional training, prospective bachelors of music, determined by the level of music mastery, psychological-and-pedagogical, information and communication knowledge and skills along with technological ones regarding a system of humanistic and cultural values in the field of educational inclusion. To study this problem, the following scientific research methods were used, such as: scientific approaches (humanistic, sociopsychological, technological, competence), a set of theoretical, empirical, mathematical methods. The structure of readiness of prospective music art teachers for educational

У статті розкрита актуальна проблема української і зарубіжної освіти – формування готовності майбутніх учителів музичного мистецтва до освітньої інклюзивної діяльності. Метою статті є висвітлення результатів теоретичного й експериментального дослідження формування готовності майбутніх учителів музичного мистецтва до освітньої інклюзивної діяльності, яка є результатом професійної підготовки студентів, майбутніх бакалаврів музичного мистецтва, що визначається рівнем оволодіння музичними, психолого-педагогічними, інформаційнокомунікативними, технологічними знаннями і вміннями та системою гуманістичних і загальноультурних цінностей в сфері освітньої інклюзії. Для дослідження означеної проблеми були застосовані наукові методи дослідження, як: наукові підходи (гуманістичний, соціальнопсихологічний, технологічний, компетентнісний), комплекс теореичних, емпіричних і математичних методів У структуру готовності майбутніх учителів

69

Doctor of Pedagogical Sciences, professor of the Department of Methods of Musical Education, Singing and Choir Conducting, Kryvyi Rih State Pedagogical University, Ukraine.

70 Doctor of Pedagogical Sciences, professor, Academician-Secretary of the Department of General Pedagogy and Philosophy of Education, National Academy of Educational Sciences, Ukraine.

71 Doctor of Art Criticism, professor of the Department of the History of Music and Musical Ethnography, Vice-rector for scientific work of Odessa National Music Academy named after A.V.Nezhdanova, Ukraine.

72 Candidate of art criticism, associate-professor of the Department of musicology, instrumental and choreographic training, Kryvyi Rih State Pedagogical University, Kryvyi Rih, Ukraine.

73 Ppostgraduate, Kryvyi Rih State Pedagogical University, Ukraine.

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inclusive activities comprises the following components: motivation-and-value, psychological-communicative, musicalepistemological, inclusion-and-activity. The results of the pedagogical experiment proved the effectiveness of enriching the content of bachelor students` training with an educational and inclusive component and the introduction of author's pedagogical technology of inclusive music education for secondary school students, mastering of which enhances the readiness for inclusive education with prospective music art teachers.

Keywords: The author must establish 5 words that describe the content of the document in strict alphabetical order. These descriptors should be as standard as possible, thus guaranteeing searches in bibliographic databases and indexes.

музичного мистецтва до освітньої інклюзивної діяльності віднесено компоненти: мотиваційноціннісний, психологічно-комунікативний, музично-епістемологічний, інклюзивнодіяльнісний. Результати педагогічного експерименту довели ефективність збагачення змісту підготовки студентів-бакалаврів освітньо-інклюзивною складовою та впровадження авторської педагогічної технології інклюзивного музичного навчання учнів закладів загальної середньої освіти., опанування якою вплинуло на підвищення рівня готовності майбутніх учителів музичного мистецтва до освітньої інклюзивної діяльності.

Ключові слова:. Готовність, освітня інклюзивна діяльність, особи з особливими освітніми потребами, педагогічна технологія інклюзивного музичного навчання, майбутній учитель музичного мистецтва.

Introduction Undoubtedly, the modern world is characterized by a number of globalization processes, which are marked not only by g lobal economic, political, cultural or educational integration, but also known as environmental problems and socio-economic crisis, exacerbated by the coronavirus pandemic, which has negatively affected the general psychological state of society on the whole, but especially of those who have problems with communication and social inclusion. Therefore, today there is a growing need to humanize and culturize education and create a legislative and regulatory framework to ensure opportunities and equal rights to obtain it and improve its quality. One of the priority humanistic directions of educational policy in the world and, in particular, in Ukraine is to strengthen the state's attention to inclusive education of its citizens, as evidenced by the Laws of Ukraine "On Education" (2017), "On Complete General Secondary Education" (2020) and concepts "National Strategy for the Development of Inclusive Education for 20202030" (2020). Thus, inclusive education, in the Law of Ukraine "On Education" (2017), is defined as a system of educational services guaranteed by the state, based on the principles of non-discrimination, consideration of human diversity, effective involvement and inclusion in the educational process of all participants; "Inclusive education" as the inclusion of people with special educational needs in the general educational process. Special inclusive education is needed not only by children with disabilities, but also by other children in need of special educational services, in particular - high educational potential, which gives them the

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opportunity to finish school quickly (Order MES of Ukraine (2016).

The development of inclusive education requires engagement of an appropriately highly qualified teacher, whose training involves enriching the content, forms, methods, teaching aids in higher education with an inclusive component and creating new pedagogical technologies for their training to work with secondary school students with special educational needs. In this context, the problem of forming prospective music art teachers’ readiness for educational inclusive activities is of significant importance, which involves, in particular, students of Pedagogical University mastering innovative pedagogical technologies of music education to form their ability to provide quality educational services.

Theoretical Framework or Literature Review The analytical review of the scientific literature on the research problem showed that a wide range of political, epistemological and institutional aspects of inclusive education are widely covered in the scientific works of foreign scholars, presented as: the essence of special education, which is a set of educational services provided by enrolling such learners into classes with their age-appropriate peers (Mokter, 2012); the problem of substantiating the conceptual foundations of a differentiated approach in the joint education of students with and without disabilities (Strogilos, Tragoulia, Avramidis, Voulagka & Papnikolaou, 2017); features of the innovative technologies introduction, for example: communication technologies, which

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significantly contribute to the freedom of communication, increase mobility, offer different models of student interaction (Aitken, Fairley & Carlson, 2011; Januszewska-Warych, 2005); problems of the specifics of teacher training mode of working with people in need of educational inclusion (Cagran & Schmidt, 2011; Myung-sook Koh, Sunwoo Shin, 2017).

In the research works issued by Ukrainian scientists, special attention was paid to: substantiation of theoretical and methodological concepts of inclusive education (Kolupaeva & Taranchenko, 2016; Poroshenko, 2019; Sysoeva et al, 2020; Shved, 2015); identifying the healthpreserving potential of musical art, which should be used in work with children with special needs (Sinyov, 2003; Sinyovа, 2012; Fedorenko, 2012); determination of theoretical and technological bases of preparation of prospective music art teachers for educational inclusion (Sysoeva, Ovcharenko & Chebotarenko, 2020, etc.); disclosure of the essence of technological competence of the teacher, which is considered as a structural and functional component of professional competence, characterized by the ability of the prospective specialist to independently organize the educational process in school based on the use of general educational technologies (Koval, 2012; Ovcharenko 2019).

The recent numerous studies emergences are explained by a growing number of people with disabilities who need special educational services, which is associated with certain changes in socio-economic and environmental conditions of society. At the same time, the analysis of scientific works carried out by both foreign and domestic scientists revealed that the problem of forming prospective music art teachers’ readiness for inclusive educational activities has not been the subject of a separate scientific study yet.

Therefore, the purpose of our study is to highlight the results of theoretical and experimental research on the formation of prospective music art teachers’ readiness for inclusive educational activities.

Methodology To study this problem, the following scientific research methods were used, such as: scientific approaches: humanistic, which helped to determine the humanistic orientation of the content of inclusive music education on the basis of the principle of humanization; sociopsychological, which provided an opportunity to

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determine the psychological-communicative component of the structure of prospective music art teachers’ readiness for inclusive educational activities and the basic principles of pedagogical technology of inclusive music education (empathy, communication, tolerance); technological, aimed at developing, substantiating and determining the effectiveness of pedagogical technology of inclusive music education; competence, which helped to determine the musical-epistemological component of the structure of prospective music art teachers’ readiness for inclusive educational activities on the basis of the principles of cognitive activity and musical-creative effectiveness; a set of theoretical methods, such as: analysis, substantiation, concretization, generalization to identify the basic concepts of the study, determine the components of the structure of readiness and criteria for determining the formation of components; a set of empirical methods, namely: pedagogical experiment, diagnostic questionnaires and tests (Izard, 2008; Kortneva, 2004; Lusin, 2009; Leongard, 1981; Matiykiv, 2012; Pakulin & Ovchinnikov, 2010; Petrushin, 2008), creative tasks, conversations, debates, creative projects, competitions of instrumentalists and vocalists; mathematical methods for determining the quantitative and qualitative results of the study.

Results and Discussion Based on the theoretical analysis of modern scientific research, we have outlined the essence of the concepts "inclusive educational activity", "readiness of a prospective music art teacher for educational inclusive activity" and the structural components of such a phenomenon. Thus, "educational inclusive activity" is considered as a specific professional activity of a teacher aimed at forming, in people with special educational needs, knowledge and skills in a particular subject area and values to education. The concept of "readiness of a prospective music teacher for educational inclusive activities" we interpret as a result of professional training of a prospective music art teacher, which is determined by the level of students' mastery of music, psychological and pedagogical, information and communication, technological knowledge and skills and system of humanistic and cultural values in the realm of educational inclusion.

The structure of prospective music art teachers’ readiness for inclusive educational activities comprises the following components: motivation-and-value, psychologicalcommunicative, musical-epistemological,

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178 inclusion-and-activity - a set of which provides the ability of prospective teachers to successfully use innovative learning technologies for students with special educational needs. In accordance with the outlined components of the structure of the phenomenon under study, we have defined the criteria: motivational-demanding, emotionalempathic, musical-cognitive and activetechnological. These criteria contributed to the assessment and identification of low, medium and high levels of prospective music art teachers’ readiness for educational inclusive activities.

In order to form the readiness of prospective music art teachers for educational inclusive work with students, a pedagogical experiment was conducted, which included ascertaining, formative and resulting stages.

At the ascertaining stage of the experimental research, which took place in early 2020, the existing levels of formation of this phenomenon among prospective music art teachers to educational inclusive activities in the classroom and extracurricular forms of music education were estimated.

The study involved undergraduate students of Kryvyi Rih State Pedagogical University, namely: full-time department - control group, which included 15 people and correspondence (part-time) department - experimental group, which included 16 people.

To identify the level of formation of the structural components in prospective music art teachers’ readiness for educational inclusive activities, certain diagnostic methods were used, such as: methods of studying the students`

motivation in terms of pedagogical education institutions (Pakulina, & Ovchinnikov, 2010) to diagnose the level of motivation and value component of prospective music art teachers for educational inclusive activities; methods of "Differentiated scale of emotions" to determine students` emotional attitude to inclusive activities in general secondary education (modification of the method by Izard, 2008), method Emin (Lusin, 2009) to diagnose the emotional intelligence of prospective music teachers, self-assessment questionnaire emotional readiness for educational activities (Matiykiv, 2012) to diagnose the level of formation of the psychological-communicative component in the structure of prospective music art teachers’ readiness for inclusive educational activities; methodology "Cognitive and information culture of the prospective music art teacher" and the questionnaire "Professional selfimprovement of the prospective music art teacher in working with learners with special educational needs" to diagnose the level of musicalepistemological component of prospective music art teachers’ readiness for inclusive educational activities. "Scale of readiness for musical and creative activity" (S. Stepanov), method "Value attitude to creative and performing activity" (Modification of V. Petrushin's test), creative tasks on application of technologies of musical training learners with various educational needs (with psychological problems, visual impairments, musculoskeletal system) to diagnose the level of formation of the inclusiveactivity component in the structure of prospective music art teachers` readiness for educational inclusive activities.

CG

EG 12,5

13,3 46,7 40

low

50 37,5

average

high

low

average

high

Figure. 1. Comparison of the levels of prospective music art teachers` readiness in the control and experimental groups for educational and inclusive activities (ascertaining stage).

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According to the results of pedagogical diagnosis, it was estimated that with a low level of readiness for educational and inclusive activities there are 7 (46.7%) students in the control group (CG) and 8 (50%) in the experimental group (EG), the average level - 6 (40%) students of CG and 6 (37.5%) EG students. Only 2 (13.3%) CG students and 2 (12.5%) EG showed a high level of readiness (See Fig.1).

The observational stage of the experiment showed that students of CG and EG have almost the same indicators of readiness for educational and inclusive activities. During the conversation, prospective music art teachers noted that they consider it important to introduce a lecturepractical discipline "Fundamentals of Inclusive Music Education", the study of which would establish not only theoretical knowledge but also practical skills to work with learners with specific educational needs. Hence, the students emphasized the need to master various pedagogical technologies of inclusive music education.

The formative stage of the pedagogical experiment took place in the 2020-2021 academic year. The content of bachelor students` training was enriched due to the introduction of the discipline "Fundamentals of Inclusive Music Education" in the first semester of the fourth year of study (90 hours - 3 ECTS credits). This discipline includes two thematic blocks: Block 1.

Theoretical principles of inclusive music education (Topic 1.1. Historical stages of inclusive music education in Ukraine and abroad.

Legislative documents of Ukraine to ensure the rights of people with special educational needs; Topic 1.2. The essence and specifics of inclusive music education. Theme 1.3 Content, forms, methods and means of music education of persons with special educational needs) and Block 2. Organizational and methodical bases of prospective music art teachers` training for activity in the field of inclusive music education (Theme 2.1. Forms, methods and means of organizing the professional activity of a music art teacher taking into account the peculiarities of working with children with special educational needs and their parents; Topic 2.2. Music-andpedagogical technology for inclusive music education (for people with visual and hearing impairments, psychological problems and problems of the musculoskeletal system). The students were invited to mastering the innovative technology of inclusive music education of learners "Collective group music playing", the mastery level of which was assessed at the end of

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the course and in the course of pedagogical practice with children in general secondary education.

The pedagogical technology of inclusive music education developed by us is aimed at enriching the content of professional training of prospective music art teachers with an inclusive component to form cultural competence of children with special educational needs, their inclusion in the process of music education in general secondary education and contains an algorithm of inclusive activities for teaching the subjects of music education. The methodological basis of the technology mentioned are scientific approaches, such as: humanistic, sociopsychological, technological, competence approach as well as their ideas, which are implemented using the principles of: humanization, communication, tolerance, cognitive activity, empathy, musical and creative performance effectiveness. Thus, taking into account the principle of humanization implies focusing on music education in terms of the comprehensive development of a child with special educational needs, the formation of moral culture, the harmonization of their intellectual and emotional world; that of communicativeness - on socialization and communication in universal and artistic contexts, understanding of dialogical relations in the life of society, culture, art, the process of music playing; tolerance - a tolerant attitude to different cultures, phenomena in the art of music, specific features and characteristics of any individual, pluralistic thoughts; systematic content of education - the structuring of educational material for the accessibility of its perception by students; taking into account the areas of actual and immediate development of personality - to diagnose the existing general and musical level of development of personality and setting goals to achieve further results in the development of the child; cognitive activity - to enhance knowledge in the field of music; empathy - the ability to understand and perceive the meaning of musical art, the artistic and figurative essence of a musical work, the feelings of another person, etc.; musical and creative effectiveness - to intensify practical activities in music classes and in the course of extracurricular activities, the manifestation of creativity during the study of musical art, singing and playing musical instruments.

The aim of the technology of inclusive music education is to teach (educate) students with special educational needs (with psychological problems, physiological defects) in both

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180 classroom media and extracurricular activities, characteristic to a secondary school mode of education. The specifics of the proposed technology include its focus on teaching music to middle school students, i.e. – Years 5 - 8 (10- to 15-year-olds). This technology comprises four stages of implementation: preliminary, psychological-motivating, emotional-cognitive and creative-activity phase.

The special attention of prospective teachers was focused on establishing an open friendly atmosphere and students` tolerant attitude to those classmates who need educational inclusion.

To do this, a series of preparatory extracurricular conversations were delivered, some literary works films presented in order to promote universal values such as: love, kindness, mutual understanding, empathy, tolerance, etc. Each student of the experimental group, during their pedagogical practice in general secondary education institutions, tested the possible ways to apply the pedagogical technology of inclusive music education in an inclusive classroom engaging the four stages of implementation.

Hereby, at the preliminary stage, in terms of inclusive classes the following strategies were carried out: testing of children in Years 5 - 8 to identify existing special educational needs of children, their level of motivation to study music, development of their emotional intelligence, musical knowledge and skills, musical abilities, ability to socialize; proper educational and musical material, methods and tools for working in music lessons and in the school club "Musical Travels" were selected. To diagnose the formation of these qualities, the following techniques were apllied: Shmyshek's test to identify accentuation of personality; methods of diagnosing the motivation for success and fear of failure (Rean, 2001); questionnaire "Cognitive regulation of emotions" (CERO) (Garnefsky, Craig; adaptated by: Pisarev, Gritsenko, 2011); test to identify attitudes to specific musical activities (Petrushin, 2008); creative tasks to test the level of musical knowledge and skills, as well as musical abilities - performing practices, conducting a creative contest "Musicianperformer"; methods for diagnosing emotional intelligence - EmIn (Lusin, 2009); methods of measuring the level of formation of communication skills (Petrushin, 2008).

According to the results of the diagnosis, the problems of children with special educational needs were identified, which allowed prospective teachers to choose appropriate forms, methods and tools for their socialization, musical development in the process of collective music

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playing, to structure and prepare teaching materials so that all students were able to master it.

Psychologically-motivating stage of the technology application provided the use of optimizing forms in music art lessons: collective and group work in various types of musical activity, such as: performance of vocal and instrumental works, preparation of creative or independent task, and also – selected methods: acquaintance with the best samples of children's musical performance, performing interpretation, dramatization of musical works, making some drawings as a result of music post-listening phase, visualization and others. It was crucial, at the stage of motivation for musical activity formation, to provide psychological support from teachers and classmates to children with special physiological or psychological features, to create an emotional comfortable environment for them.

Students-interns were intended to involve all the participants of the educational process into collective and group forms of making music, trying to maintain their sense of self-confidence.

The student motivating means of music education was the use of musical instruments, sound amplification equipment, innovative music computer programs, multimedia board, visual aids in the form of posters, books, etc.

At the emotional and cognitive stage of technology implementation, children actively acquired general musical knowledge, skills and abilities (musical-auditory representations, fricative and musical-rhythmic sense, etc.), specific skills to navigate in different types of musical activities (playing noisy and simple musical instruments, singing, musical-motor activity and others), musical-auditory and musical-creative skills (improvise by voice or on noisy musical instruments with a phonogram; create a melody, perceive music in colours and reflect it in pictures, find poetic analogues to the listened music and others). To increase the level of children's knowledge of the content of music lessons, the teaching material was presented in a structured way based on empirical and then theoretical and empirical way of learning musical art, which required knowledge of key concepts (scale, major and minor, musical genre and style and others) and the basic elements of music theory, presented in vivid illustrations, using artistic presentations.

Therefore, a particularly positive emotional mood was characteristic to students of inclusive classes in group work as an extracurricular activity while mastering musical and performing

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skills. Therefore, in the course of training the schoolchildren were given elementary musical scores and collective music making was carried out with the use of musical tools, such as: bells, maracas, drums, a triangle, a rattle, spoons, plates, pipes and the like. Practising systematically, the most musically able children have mastered playing more complex musical instruments, such as: flute, metallophone and xylophone. It was also proposed to introduce an algorithm of vocal and vocal-choral music performance, which, at first, required teaching singing to students in a choir, then in a vocal ensemble and subsequently, further on, in group work as singers-soloists. The children learned to produce a true beautiful sound, singing breath, clear diction, phrasing, use of dynamics and accent (agogics) in singing, artistry and other vocal skills. At this stage, the following methods were used: solving music-theoretical puzzles, charades, crossword puzzles; conducting such competitions as "Guess the melody", "Guess the composer"; “physical education and music” minute break, vocal-dance and breathing trainings, trainings on learning to play musical instruments and singing.

The creative and activity stage of using the technology was aimed at increasing the student activity and creative activity in particular, which is manifested in their active participation in music lessons while doing homework, independent, search tasks and extracurricular activities - participation in rehearsals, concerts, competitions, etc. In the process of making music, children progressed using various means of musical expression, such as tempo, rhythm, strokes, register, dynamics, articulation, diction, and performed creative tasks, namely: invent

your own melody, continue the melody, change the rhythm or timbre of the melody. At this stage, the following methods were used: debates, creative projects, instrumentalists' competitions and vocalists' contests.

As the practice showed, students-interns creatively and successfully implemented the technology of music education for schoolers, which, in its turn, contributed to the socialization of children with psychological problems, adaptation of learners with visual and hearing impairments, activation and inner positive attitude setting for adolescents with musculoskeletal disorders.

The level of students' mastery of practical skills to apply the technology of inclusive music education was determined at the resulting stage of the pedagogical experiment. The study found that 6 (40%) students of the control group (CG) revealed a low level of readiness for educational and inclusive activities and no students of the kind were found in the experimental group (EG), the average level was shown by 7 (46.7%) students of the CG and 9 (56.2%) of the EG. Only 2 (13.3%) CG students and 7 (43.8%) EG students showed a high level (See Fig.2).

The diagrams show a significant difference in the results of students in the control and experimental groups. Mastering the skills to apply pedagogical technologies of music education to children in need of educational inclusion in practice contributed to the fact that EG students have only a medium and high level of readiness for educational and inclusive activities, while the performance of CG students has not changed significantly.

ЕG

CG 13,3 40

43,8 56,2

46,7

low

average

high

average

high

Figure. 2. Comparison of prospective music art teachers` levels of readiness for educational and inclusive activities in the control and experimental groups (resulting stage)

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182 According to the results of the inspection, the dynamics of prospective music art teachers` levels of readiness for educational and inclusive

activities in the control and experimental groups was determined (Table 1).

Table 1.

Dynamics of prospective music art teachers` levels of readiness for educational and inclusive activities in the control and experimental groups.

Levels of readiness formation stage (persons) CG / EG

Quantitative indicators ascertaining CG / EG

Quantitative indicators resulting stage

Indicator of changes

Low Average High

0.47/0.50 0.40/0.38 0.13/0.12

0.40/0 0.47/0.56 0.13/0.44

-0.07/-0.50 + 0.07/+0.18 0/+0.32

In general, the pedagogical experiment showed that the indicator of low level of readiness for educational and inclusive activities with EG students decreased by 50%, while in CG - only

by 7%; the average level in EG increased by 18%, in CG - by 7%; the high level in EG increased by 32%, and in CG remained unchanged (Figure. 3).

60 50 40 30 20 10 0 CG |C

EG |C iow

CG | R average

EG | R

high

Figure. 3. Comparison of prospective music art teachers` levels of readiness for educational and inclusive activities in the control and experimental groups (ascertaining and resulting stage) The data of the pedagogical experiment showed the effectiveness of the developed content to form prospective music art teachers’ readiness for educational and inclusive activities and pedagogical technology of music education of learners with special educational needs.

Conclusions Thus, the study of the formation of prospective teachers` readiness for inclusive educational activities made it possible to see the relevance and urgency of its solution not only for educational media in Ukraine but also in other countries and the growing interest of the academic community in this problem, as evidenced by numerous publications. The results of the theoretical study show that prospective

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music art teachers’ readiness for educational inclusive activities is the result of professional training of prospective music art teachers, which is determined by the level of students' mastery of music, their psychological and pedagogical, information and communication, technological knowledge and skills along with the system of humanistic and general cultural values in the field of educational inclusion. The structure of prospective music art teachers` readiness for educational inclusive activity features the following components: motivation-and-value, psychological-communicative, musicalepistemological as well as inclusion-and-activity one. To determine the level of formation of each component in the specified structure of the phenomenon under study, we have outlined the following criteria: motivational-demanding,

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emotional-empathic, musical-cognitive and active-technological. The conducted pedagogical experiment showed the effectiveness of enriching the content of bachelor students training for educational and inclusive activities, and the development and implementation of author's pedagogical technology of inclusive music education with secondary school students, which proved, in the experimental group, the appropriate level of prospective music art teachers` readiness for educational and inclusive activities.

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Social and emotional intelligence: from processes to dimensions. Moscow: Institute of Psychology, Russian Academy of Sciences. pp. 264–278. Retrieved from: http://creativity.ipras.ru/texts/books/social_I Q_2009/lusin_social_IQ_2009.pdf Matiykiv, I.M. (2012). The emotional competence training. Kyiv: Pedagogical Thought.

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Retrieved from: https://mon.gov.ua/storage/app/media/ inkluzyvnenavchannya/posibniki/inklyuziyavnz.pdf Rean, A.A. (2001). Practical psychodiagnostics of personality. St. Petersburg: St. Petersburg State University.

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DOI: https://doi.org/10.34069/AI/2021.45.09.19 How to Cite: Konstantinovich, E.V., Mikhailovna, T.L., Dormidontov, R.A., & Dolmatova, V.N. (2021). Assessment of the quality of inclusive education in general education organizations of Russia. Amazonia Investiga, 10(45), 185-197. https://doi.org/10.34069/AI/2021.45.09.19

Assessment of the quality of inclusive education in general education organizations of Russia Оценка качества инклюзивного образования в общеобразовательных организациях России Received: August 12, 2021

Accepted: September 20, 2021

Written by: Eliseev Vladimir Konstantinovich74 https://orcid.org/0000-0002-7607-911X E-Library ID: 317980 Tafintseva Lilia Mikhailovna75 https://orcid.org/0000-0001-7729-7656 E-Library ID: 828916 Roman Alexandrovich Dormidontov76 https://orcid.org/0000-0002-3464-7086 E-Library ID: 839226 Vera Nikolaevna Dolmatova77 https://orcid.org/0000-0001-9590-0826 E-Library ID: 828388 Abstract

Аннотация

The purpose of this work was an empirical study of assessing the quality of inclusive education in the regions of the Russian Federation. The article presents the results of monitoring the quality of the implementation of inclusive education in general educational organizations of the regions of the Russian Federation. The criteria for a comprehensive assessment of the quality of inclusive education are highlighted.

Discrepancies in assessments of the quality of individual parameters of inclusive education in the regions were revealed, ways of increasing its effectiveness were outlined.

Целью настоящей работы выступило эмпирическое исследование оценки качества инклюзивного образования в регионах Российской Федерации. В статье представлены результаты мониторинга качества реализации инклюзивного образования в общеобразовательных организациях регионов Российской Федерации. Выделены критерии комплексной оценки качества инклюзивного образования. Выявлены расхождения в оценках качества отдельных параметров инклюзивного образования в регионах, намечены пути повышениях его эффективности.

Key words: monitoring the quality of inclusive education, structural and psychological and pedagogical components of the quality of inclusive education, quality criteria.

Ключевые слова: мониторинг качества инклюзивного образования, структурные и психолого-педагогические компоненты качества инклюзивного образования, критерии качества.

The study was carried out with the financial support of the Ministry of Education of the Russian Federation as part of the execution of the state task for research, scientific project: "Psychology and Pedagogy of Inclusive Education: Assessment of the Quality of Inclusive Education in General Educational Organizations of Russia".

Agreement No. 073-03-2021-017 / 2 dated July 21, 2021 74 Doctor of Sciences in Pedagogy, Professor Lipetsk State Pedagogical University named after P.P. Semenov-Tyan-Shansky Lipetsk, Russia.

75 D.Sc. in Pedagogic Science, Associate Professor Lipetsk State Pedagogical University named after P.P. Semenov-Tyan-Shansky Lipetsk, Russia.

76 D.Sc. in Pedagogic Science, Associate Professor University named after P.P. Semenov-Tyan-Shansky Lipetsk, Russia.

77 D.Sc. in Pedagogic Science, Associate Professor University named after P.P. Semenov-Tyan-Shansky Lipetsk, Russia.

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Konstantinovich, E.V., Mikhailovna, T.L., Dormidontov, R.A., Dolmatova, V.N. / Volume 10 - Issue 45: 185-197 / September, 2021

Introduction Despite a sufficient number of publications devoted to the problems of inclusive education in the Russian Federation, conferences held at the international and all-Russian level on this topic, the problem of assessing the quality of the inclusive process in general education schools is still relevant. On the one hand, it is worth noting the scarcity of fundamental scientific research in this area of education. The content of the overwhelming majority of articles in scientific journals in the field of assessing the quality of inclusive education is superficial and descriptive.

On the other hand, some experience has already been accumulated in monitoring and assessing the quality of inclusive education, both at the level of educational organizations and at the regional level. The generalization of this experience is a necessary condition for the formation of a comprehensive system for assessing the quality of the implementation of inclusive education, both in individual constituent entities of the Federation and at the federal level. Scientific research published by Russian scientists devoted to the problem of monitoring and assessing the quality of conditions for students with special needs and disabilities can be conditionally divided into two large groups: assessing the quality of the provided conditions for the implementation of inclusive education and analyzing the dynamics of indicators of the quality of inclusion. At the local level, in the conditions of the municipal educational system, the criteria and indicators of the effectiveness of the implementation of inclusive education can be: consultative, organizational and methodological support of inclusive education; the presence of a two-tier system with a base institution as a resource center, preparing teachers for work in inclusive education through the organization of advanced training and retraining courses for faculty and school teachers, meeting the educational needs of children with special needs and their parents, variability of education, increasing the inclusive competence of educators. The research problem consists, in our opinion, in the presence of contradictions between the quality indicators of the organizational, technological and methodological components of support for the implementation of inclusive education and the components of the educational process: personnel, material and technical and information education. However, the most obvious contradiction lies in the sphere of differences between qualitative indicators (indicators) of organizational, technological and methodological components of the infrastructure

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of inclusive education and its psychological and pedagogical components. Thus, the purpose of this work was an empirical study of a comprehensive assessment of the quality of inclusive education in the regions of the Russian Federation. The hypothesis of the study was the assumption that when assessing the quality of implementation of inclusive education in the regions of the Russian Federation, more attention is paid to such infrastructural components as: organizational, technological and methodological and, to a lesser extent, personnel, material, technical and informational psychological and pedagogical components of the quality of inclusive education even less often become an object of qualitative assessment in its structure. To test the hypothesis, the following research tasks were defined: summarize domestic and foreign research in the field of assessing the quality of the implementation of inclusive education and highlight its main criteria; conduct a monitoring study to assess the quality of implementation of inclusive education in the regions of the Russian Federation, based on the selected criteria; to summarize the data obtained based on the results of assessing the quality of inclusive education based on the selected criteria and to rank them; make a rating of regions based on an assessment of the quality of implementation of inclusive education.

Literature review Scientific research of Russian scientists devoted to the problem of monitoring and assessing the quality of conditions for students with disabilities and disabilities can be conditionally divided into two large groups: assessment of the quality of the provided conditions for the implementation of inclusive education (Bogdanova & Nazarova, 2020; Ilyina, 2019; Sheveleva, 2019) and analysis of dynamics indicators of the quality of inclusion (Alekhina, Melnik, Samsonova, Shemanov, 2019; Medova, 2013; Nizova, Danilova, 2017; Petrovich, 2020; Farman, 2012; Shemanov & Samsonova, 2019). In most works devoted to the problem of assessing the quality of inclusive education, monitoring is most often indicated as a tool for assessing quality. In modern pedagogical conditions, monitoring is considered as one of the most effective tools for assessing the quality of inclusive education, with the help of which it is possible to identify and analyze changes in the inclusive process at all levels of education, taking into account various categories of children with special abilities and children with disabilities, forms of inclusions. In

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the list of criteria for assessing the quality of education of students of general secondary education institutions, they usually call resource (material and technical, educational, methodological, personnel and psychological support and socio-cultural environment), procedural (organization of the educational process, its content, methods, technology, means of teaching and upbringing) and productive (“the level of training and learning of the individual, the level of his upbringing and development, social adaptation and health status”) groups of properties (Simaeva & Khitryuk, 2014; Eliseev, Eliseeva, Korobova, Romanova, 2021). In the conditions of the municipal educational system, the criteria and indicators of the effectiveness of the implementation of the proposed model of inclusive education can be: consultative, organizational and methodological support of inclusive education; a two-tier system with a base institution as a resource center; preparing teachers to work in inclusive education through the organization of refresher courses and retraining for faculty and school teachers; meeting the educational needs of children with special needs and their parents; variability of education, increasing the inclusive competence of educators (Medova, 2013). The objects of monitoring are often the quality of the infrastructure components of inclusive education, such as the regulatory framework and special software and methodological support aimed at the most effective integration of children with special needs into the educational and socio-cultural space of a comprehensive school. Another qualitative component is the content of the activities of all specialists involved in the process of inclusion. Finally, it is impossible to achieve the most optimal qualitative results without the presence of a system of diagnostic and control-assessment measures that allow timely identification of the difficulties of students with disabilities and teachers working with them, as well as to trace the positive dynamics of the inclusive process in the educational organization.

The system for assessing the quality of the inclusive process in an educational organization, according to many Russian scientists: (Alekhina, Melnik, Samsonova, Shemanov, 2020; Bogdanova & Nazarova, 2020; Petrovich, 2020; Ilyina,2019; Sheveleva, 2019; Vakorina, 2019) is aimed at identifying the levels of effectiveness of achieving goals when planning the results of integrating children with special needs into a mass school: how diverse are the forms of their implementation using modern psychological and pedagogical technologies, how high is the

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professional level of all participants in the educational process.

In some constituent entities of the Russian Federation, a procedure for assessing the quality of adapted basic educational programs (ABEP) has been introduced in accordance with the requirements of federal state educational standards for primary general education of students with special needs (Nizova & Danilova, 2017). So, in the general educational organizations of the Chelyabinsk region, monitoring of the assessment of the quality of inclusive education was carried out, taking into account all categories of students’ health disorders. As a result, the quality of the resource, personnel, financial and material-technical support of the ABEP was revealed and an invariant evaluation mechanism was developed, which makes it possible to most effectively track and evaluate the conditions for their implementation (Ilyina, 2019). The experience of the Novosibirsk region deserves attention, in which the emphasis in the implementation of inclusive education in the region is made precisely on the assessment of its quality. The purpose of the work of the international scientific school "Monitoring the effectiveness of inclusive practice" created at the Novosibirsk State Pedagogical University was to develop a methodological and criterial apparatus for monitoring the effectiveness of the educational process in conditions of inclusion. In the study conducted within the framework of the above school, emphasis was placed on the complex nature of assessing the quality of the results of an inclusive process, which implies an independent external assessment in the form of state final attestation (state final examination), and internal assessment (current control and intermediate attestation), which makes it possible to include consumers of educational services in the assessment process (Ryapisov & Ryapisova, 2016; Farman, 2012).

In foreign scientific studies, the main attention is paid mainly to psycho-logical and pedagogical indicators not so much of the quality of inclusive education, as to the criteria of its organization.

However, when assessing the quality of inclusion, the criteria (indicators) of the infrastructure of inclusive education are practically not applied. Nevertheless, in the monograph "Quality Indicators for Inclusive Education" (Mishra, Priyadarshi & Jangira & Kapoor, Satish, 2018), indicators for assessing the quality of inclusive education are presented as the quintessence of specific practices that are summarized as a result of research and school

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Assessment of the quality of inclusive education in some Spanish schools has a multi-dimensional structure. Quality inclusive education is defined by a combination of elements that must act simultaneously. These elements relate to two areas: school policy and practice on the one hand, and the human and physical resources available to them on the other hand. The most important and irreplaceable element (quality criterion) in the processes of inclusive education is building a culture of inclusiveness in the school (Calero & Benasco, 2016). In some European educational institutions, special attention is paid to measuring the audience indicators of inclusive education based on cooperation, differentiation of curricula, teachers' sense of self-efficacy when working with students with special needs (Early Childhood Technical Assistance Center, & National Center for Pyramid Model Innovations, 2020). In some European preschool institutions, for example in Finland, such criteria of inclusion are practiced as: emotional support and general emotional tone in the class; communication between teacher and students; sensitivity and responsiveness of the teacher to the needs of children, etc. (Pakarine, Lerkkanen & Suchodoletz, 2020).

“inclusiveness”, “barriers to learning and participation”, “resources to support learning and participation” and “support for diversity” (Jones, 1996; Booth & Ainsco, 2002). Sometimes in the English-language scientific literature on the practical implementation of inclusive education, you can find such a concept as "Assessment of the quality of inclusive experience". This assessment includes the following components: staff support, accessibility of the physical environment, individualization, participation and involvement of children, contacts and relationships between adults and children, contacts and interactions between children (Wolery et al., 1995). To assess the quality of the educational process in inclusive education, it is often useful to use scales for assessing the quality of classes in inclusive preschool programs. One such instrument for assessing the quality of a teacher's work was the “Inclusive Class Profile” – a rating scale that can be used to assess the systematic practical work of a teacher in inclusive classrooms (Soucacou, 2010). The Canadian SpeciaLink Inclusion Principles Scale assesses the degree to which early learning programs have consciously adopted a set of principles reflecting a commitment to include all children in an inclusive education “community”.

This scale includes such parameters as the physical, accessible environment, equipment and materials, the role of the director, personnel support, etc. (Lero, 2010; Cate, Diefendorf, McCullough, Peters, & Whaley, 2010; Irwin, 2009). Often, general or specific principles are presented as indicators of the quality of inclusive education: restructuring culture, policies and practices in schools so that they respond to the diversity of students in a given area; reducing barriers to learning and participation for all students, etc. The development of quality indicators for inclusive special education is linked to the provision of vision and guidelines for policies, procedures and learning strategies that will contribute to the provision of effective education for all children with special educational needs and disabilities (Sánchez, Rodriguez & Sandoval, 2019). Sometimes there are scales for assessing the comfort zone of childcare providers when serving young children with disabilities in inclusive conditions of early childhood (Buysse, Wesley, Keyes, Bailey, 1996).

In the materials on the inclusion of British researchers, one can find the synthetic concept of "Index", which, apparently, can be correlated with a generalized analogue of the indicator of the quality of inclusive education. Key components of the Index are concepts such as

In the practice of some preschool educational institutions in the United States, implementing inclusive education, indicators of the quality of academic and social growth of students with and without special needs are being introduced, as well as mixed assessment methods are used that

experience in order to contribute to the development of inclusive learning for all students, including students with special needs.

Indicators of this kind are called quality indicators. Quality indicators are conditionally divided into the following spheres (areas, factors) of activity, among which: the school management committee; school environment; responsibility and authority; admission policy for children; meeting (Council) on joint planning; inclusive curriculum; training practice; assessment and evaluation; individual student support; parent and family support; staff development; health and safety; medical service; food. In some foreign studies, the criteria (indicators) of the quality of the implementation of inclusive education are practically identified with the principles of inclusion. For children with special needs, the principle of inclusive education means that the educational environment must correspond to the diversity of the needs of students with disabilities (National Professional Development Center on Inclusion, 2011).

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combine quantitative measurements of student development with a qualitative analysis of the views of parents, teachers and other school staff about child development within the program (Warren, Martinez & Sortino, 2016). Often, schools that carry out inclusive education use self-assessment questionnaires of the quality of the educational process, which are necessary for the reflection of the teaching staff (Sulzberger, 2015).

Noteworthy is the Maine Quality Rating System (QRS) of the United States of America, called Quality for Me, which includes global programmatic metrics that define and improve quality in healthcare and education settings. This checklist expands on the current document with clear indicators that focus on evidence-based practices that promote inclusion of children with disabilities and different cultural and linguistic populations (Loreman, Forlin & Sharmа, 2014).

In addition to inclusive education, the USA implements inclusive recreation programs. In the state of North Carolina, qualitative indicators (indicators) of such re-creative inclusive programs have been introduced: administrative support; the nature of the programs; Nature of activity; environmental / logistic considerations; programming methods.

Materials and methods In the present study, monitoring was used as the main methodology for assessing the quality of implementation of inclusive education. In modern scientific research, including psychological and pedagogical, monitoring is considered as one of the most effective tools for assessing the quality of the infrastructure of the educational process (Sheveleva, 2019). The assessment of the quality of inclusive education was carried out according to 14 selected criteria during the monitoring of the official websites of educational institutions. The monitoring assessed the quality of implementation of inclusive education in 547 educational institutions of 12 constituent entities of the Russian Federation (from 40 to 50 for each constituent entity of the Russian Federation). The monitoring made it possible to assess the quality of the infrastructure components of inclusive education in the regions of the Russian Federation, i.e. how well the general educational organizations of the republics, territories and regions of Russia are equipped with a regulatory, material and technical, methodological base and special software and methodological support aimed at the most effective integration of children with special needs into the educational and socio-

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cultural space of a general education school, as well as identify the presence of an inclusive culture of teachers, students and their parents.

The monitoring results made it possible to obtain an objective picture of the quality of the organization of the inclusive process in the educational institutions of the regions of the Russian Federation.

State Hypotheses and Their Correspondence to Research Design The analysis of scientific literature on this issue allows us to emphasize the importance of the problem of assessing the quality of inclusive education. Research by Russian scientists is most often focused on the quality of the infrastructure components of inclusive education: the regulatory framework, special software and methodological support aimed at the most effective integration of children with special needs into the educational and socio-cultural space of a general education school. In foreign studies, one can observe a fairly wide range of indicators of the quality of inclusion, from "inclusive culture" to all kinds of "Indexes" of quality. On the other hand, an important component of assessing the quality of inclusive education for both Russian and foreign scientists is the content of the activities of all specialists involved in the process of inclusion. And, finally, the focus of research interests of both Russian and foreign scientists includes the quality of the system of diagnostic and control-assessment measures that allow timely identification of the difficulties of students with disabilities and teachers working with them, as well as to track positive dynamics of the inclusive process in the educational organization. It should be noted that the psychological and pedagogical component of assessing the quality of inclusive education in foreign studies is presented somewhat broader than in Russian, although it is more formalized.

Thus, the most obvious contradiction, in our opinion, is in the sphere of differences between the qualitative indicators of the organizational, technological and methodological components of the infrastructure of inclusive education and its psychological and pedagogical components, which is the main scientific problem of our research. The hypothesis of the study was the assumption that when assessing the quality of implementation of inclusive education in the regions of the Russian Federation, more attention is paid to organizational, technological and methodological and, to a lesser extent, to personnel, material, technical and information infrastructure components. Psychological and

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190 pedagogical components of the quality of inclusive education even less often become an object of qualitative assessment in its structure.

Consequently, it is relevant to study a comprehensive assessment of the quality of inclusive education in the regions of the Russian Federation in order to obtain versatile information in order to qualitatively analyze the implementation of the principles and criteria for assessing this area in education.

its quality without taking into account the psychological and pedagogical component?

Results The assessment of the quality of inclusive education was carried out according to 14 selected criteria in the course of monitoring the official websites of educational institutions.

During the monitoring, the quality of implementation of inclusive education was assessed in 547 educational institutions of 12 constituent entities of the Russian Federation (from 40 to 50 for each constituent entity of the Russian Federation). The monitoring results are presented in Table 1 and Figure 1.

In the light of the objectives of our research, we asked ourselves a research question: can the indicators of organizational, technological, methodological and other components of the infrastructure of inclusive education fully reflect

100 100 75 74 25 38 11 62 61 9 78 26 30 67

100 100 86 100 80 100 90 96 100 67 99 97 99 77

100 100 81 99 67 95 91 82 76 82 88 33 3 83

100 100 54 62 44 62 29 38 48 56 42 7 0,1 44

100 100 93 77 57 14 50 40 54 42 68 5 7 53

Chita region

Stavropol region

Orenburg region

Nizhny Novgorod region

Lipetsk region

Krasnoyarsk region 100 100 87 87 25 90 4 45 61 22 87 8 8 54

90 75 46 62 67 79 70 73 75 71 85 67 87 71

The Republic of Buryatia

10 100 82 68 83 54 58 62 39 51 47 43 53 90

Republic of North Ossetia (Alania)

100 97 64 73 66 52 14 58 63 11 79 27 43 49

Irkutsk region

100 100 81 60 67 8 25 70 50 21 31 22 33 91

Vologda region

Arkhangelsk region

1.

2.

3.

4.

5.

6.

7.

8.

9.

10.

11.

12.

13.

14.

Belgorodsk region

№ criterion

Table 1.

Results of monitoring the quality of inclusive education in the regions of the Russian Federation, according to the selected criteria (in%)

42 33 46 33 25 0,08 6 32 20 0,1 75 12 0,1 53

100 100 78 100 64 80 83 88 81 77 94 64 95 52

Source: own authorship.

Quality criteria for inclusive education 1.

2.

3.

4.

5.

Compliance of the adapted educational programs of inclusive education with the requirements of the Federal State Educational Standard for children with special needs.

Quality criteria for inclusive education.

Availability of pedagogical technology for the implementation of inclusive education.

Methodological support of inclusive education.

The system of special support for the development of the basic educational

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6.

7.

8.

9.

10.

program by children in inclusive education.

Qualification of the staff of an educational organization participating in the implementation of inclusive education.

The quality of the staff of the educational organization involved in the implementation of inclusive education.

Material and technical support for the implementation of inclusive education and its levels.

Information support for the implementation of inclusive education.

Educational outcomes of students with special needs mastering an adapted

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11.

12.

13.

14.

educational program of inclusive education.

Psychological and pedagogical readiness of teaching staff for inclusive education.

Psychological and pedagogical readiness of parents of children with special needs to implement inclusive education.

Psychological readiness of ordinary children for the conditions of inclusive education.

Staffing that implements the correctional orientation of training and an integrated approach to accompanying students from among persons with special needs and disabilities

According to the criterion "Compliance of adapted educational programs of inclusive education with the requirements of the Federal State Educational Standard for Children with Disabilities", only one constituent entity of the Russian Federation, namely the Republic of North Ossetia (Alania), recorded very low results compared to other regions (42%), while in almost all other regions this result is 100%.

According to the criterion "Organizational aspects of the implementation of inclusive education", this Republic is also in last place (33%). In other constituent entities of the Russian Federation, high results of monitoring the quality of inclusive education were noted (100%), with the exception of the Chita region (75%).

Indicators of the criterion "Availability of pedagogical technology for the implementation of inclusive education" are also below the average in the Republic of North Ossetia (Alania) – 46%. The same indicator is in the Chita region (46%). For the rest of the RF subjects, the indicators are above average and high – in the range from 54% to 87%.

North Ossetia (Alania) showed low indicators according to the criterion "Methodological support of inclusive education". The rest of the constituent entities of the Russian Federation showed higher indicators according to this criterion, in general, above the average level.

Subjects such as the Republic of Buryatia and the Lipetsk region demonstrated 100% quality, the Nizhny Novgorod region – 99% quality, and the Krasnoyarsk region – 87% quality.

The lowest rates (25%) according to the criterion "System of special support for mastering the basic educational program by children with inclusive education" were noted in the Irkutsk and Krasnoyarsk regions and the Republic of

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North Ossetia (Alania). A low indicator was also noted in the Orenburg region. In the rest of the regions, this figure does not exceed 60%, in the Lipetsk region it is higher – 80%.

The lowest indicators according to the criterion "Qualification of the staff of the educational organization participating in the implementation of inclusive education" were noted in the Arkhangelsk region (8%), Stavropol Territory (14%), the Republic of North Ossetia (Alania) (0.08%). The indicator is below average in the Irkutsk region (38%). High rates were noted in Lipetsk region (100%), Nizhny Novgorod region (95%), Krasnoyarsk region (90%). In other constituent entities of the Russian Federation, this indicator is higher than the average in the range from 52% to 78%.

The regions showed rather low indicators according to the criterion "The quality of the staff of the educational organization participating in the implementation of inclusive education": The Republic of North Ossetia (Alania) -6%, Krasnoyarsk Territory – 4%, Irkutsk region 11%, Arkhangelsk region – 25%, Nizhny Novgorod and Lipetsk regions – 90% each, other regions have indicators above average.

Low indicators according to the criterion "Material and technical support for the implementation of inclusive education and its levels" were noted in the Republic of North Ossetia (Alania) – 32%, Stavropol Territory – 40%, Krasnoyarsk Territory – 45%. High rates were noted in the Lipetsk region (96%), the Republic of Buryatia (88%), the Nizhny Novgorod region (82%).

High indicators according to the criterion "Information support for the implementation of inclusive education" were noted in the Lipetsk region (100%), Buryatia (81%), Nizhny Novgorod (76%), Chita region (73%). The Republic of North Ossetia (Alania) – 20%, the Vologda region – 39%, the Orenburg region – 48% demonstrated rather low indicators for this criterion.

Relatively high indicators according to the criterion "The results of education of students with disabilities mastering an adapted educational program of inclusive education" were shown by the Nizhny Novgorod region – 82%, Buryatia -77%, Chita region – 71%. Very low rates were noted in the Republic of North Ossetia (Alania) – 0.1, Irkutsk region – 9%, Belgorod region.

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192 High indicators according to the criterion "Psychological and pedagogical readiness of teaching staff for inclusive education" were recorded in the Lipetsk region (99%), Buryatia (94%), indicators below the average level – in the Arkhangelsk region – 31 %), Oren-burg region – 42%, Vologda region – 47%.

the conditions of inclusive education" were recorded in the Orenburg region (0.1%), the Republic of Ossetia (0.1%), Nizhny Novgorod region (3%). A high rate was noted only in the Lipetsk region (99%) and in Buryatia (95%). In general, the indicators for this criterion are extremely low.

Sufficiently high indicators according to the criterion "Psychological and pedagogical readiness of parents of children with disabilities to implement inclusive education" were recorded in Lipetsk region (97%), Buryatia (64%), Chita region (67%). Very low rates were noted in the Orenburg region (7%), Stavropol Territory (5%), Krasnoyarsk Territory (8%). In general, many regions showed low indicators for this criterion.

Low indicators according to the criterion "Psychological readiness of ordinary children to

High indicators according to the criterion "Staffing that implements the correctional orientation of training and an integrated approach to accompanying students from among people with disabilities and disabilities" were noted in the Vologda region (90%), Arkhangelsk region (91%), Nizhny Novgorod region (83%).

Indicators below the average level were recorded in the Belgorod region (49%), the Orenburg region (44%).

100 90 80 70 60 50 40 30 20 10 0

Arkhangelsk region Belgorod region Vologda region Irkutsk region Krasnoyarsk region Lipetsk region Nizhny Novgorod region Orenburg region

Stavropol region

1

2

3

4

5

6

7

8

9

10

11

12

13

14

Chita region

Quality criteria for inclusive education Source: own authorship Figure 1. Assessment of the quality of implementation of inclusive education in the regions of the Russian Federation.

Quality criteria for inclusive education 15.

16.

17.

18.

19.

Compliance of the adapted educational programs of inclusive education with the requirements of the Federal State Educational Standard for children with special needs.

Organizational aspects of the implementation of inclusive education.

Availability of pedagogical technology for the implementation of inclusive education Methodological support of inclusive education The system of special support for the development of the basic educational

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20.

21.

22.

23.

24.

program for children in inclusive education Qualification of the staff of the educational organization participating in the implementation of inclusive education The quality of the staff of the educational organization involved in the implementation of inclusive education Material and technical support for the implementation of inclusive education and its levels Information support for the implementation of inclusive education Educational outcomes of students with special needs mastering an adapted educational program of inclusive education

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25.

26.

27.

Psychological and pedagogical readiness of teaching staff for inclusive education Psychological and pedagogical readiness of parents of children with special needs to implement inclusive education Psychological readiness of ordinary children for the conditions of inclusive education

28.

Staffing that implements the correctional orientation of training and an integrated approach to accompanying students from among persons with special needs and disabilities

Table 2.

Rating of regions of the Russian Federation based on the results of monitoring the quality of inclusive education (average numbers in%) № Region name п/п 1.

Lipetsk region 2.

Rep. Buryatia 3.

Nizhny Novgorod region 4.

Zabaykalsky Krai 5.

Vologda region 6.

Belgorod region 7.

Krasnoyarsk region 8.

Stavropol region 9.

Arhangelsk region 10.

Irkutsk region 11.

Orenburg region 12.

Rep. North Ossetia (Alania) Source: own authorship

Average value of the overall indicator of the quality of inclusive education 92, 22 % 82,57 % 77 % 72,72 % 64,29 % 56,86 % 55,57 % 54,29 % 54,22 % 54 % 49 % 26,94 %

Discussion

teaching staff for inclusive education (72.75%) and the psychological readiness of parents of children with special needs (43.08%) and ordinary children to inclusive education (38.18%).

The indicators of staffing, implementing the correctional orientation of training (65.53%), its qualifications (53.51%) and quality (44.25%) differ. Significant differences were recorded between a high assessment of the quality of the organizational, technological and methodological components of supporting inclusive education (on average 80%) and a low assessment of the quality of educational results of students with special needs who master an adapted educational program of inclusive education (42.43%). An extremely low level of psychological readiness of ordinary children to the conditions of inclusive education (38.18%) was noted, which indicates the unwillingness of most children to receive education in the same class and in the same educational environment together with children with special needs.

The data obtained as a result of monitoring the assessment of the quality of inclusive education in the regions of the Russian Federation (table 3) allow us to interpret them as follows.

In general, according to the monitoring results, the quality assessment of the main parameters of the implementation of inclusive education (material and technical, informational, personnel) is above the average level, which indicates a sufficient level of quality of the main infrastructural components necessary for the implementation of high-quality inclusive education in the regions of the Russian Federation. Nevertheless, there are significant discrepancies in assessments of the quality of individual parameters of inclusive education in the regions of Russia. In particular, the monitoring recorded significant differences in the results of assessing the quality of the psychological and pedagogical readiness of

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193

194 Table 3.

Ranking indicators of the quality of inclusive education, based on the monitoring carried out in the regions of the Russian Federation according to the selected criteria (average values in%)

Rank

The name of the criteria for the quality of inclusive education

Compliance of adapted educational programs of inclusive education with the requirements of the Federal State Educational Standard for children with special needs 2 Organizational aspects of the implementation of inclusive education.

3 Methodological support of inclusive education Availability of pedagogical technology for the implementation of inclusive 4 education.

Psychological and pedagogical readiness of teaching staff for inclusive 5 education Staffing that implements the correctional orientation of training and an 6 integrated approach to accompanying students from among persons with special needs and disabilities Material and technical support for the implementation of inclusive 7 education and its levels Material and technical support for the implementation of inclusive 8 education and its levels The system of special support for the development of the basic educational 9 program by children in inclusive education Qualification of the staff of the educational organization participating in 10 the implementation of inclusive education The quality of the staff of the educational organization taking part in the 11 implementation of inclusive education Educational outcomes of students with special needs mastering an adapted 12 educational program of inclusive education Psychological readiness of ordinary children for the conditions of 13 inclusive education Psychological and pedagogical readiness of parents of children with 14 special needs to implement inclusive education Source: own authorship.

1

Conclusions Analysis of research materials obtained in the course of monitoring the quality of implementation of inclusive education in the regions of the Russian Federation allows us to draw the following conclusions: 

The study summarizes data from the analysis of Russian and foreign studies related to the development of criteria for assessing the quality of implementation of inclusive education. The differences in approaches to the selection of criteria (indicators) of the quality of inclusive education are revealed.

In Russian studies, researchers' attention is focused mainly on the quality criteria of the infrastructural components of the implementation of inclusive education: organizational, technological and

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

Average value of quality assessment by criterion in% 94,33 % 92,08 % 74,58 % 72,75 % 72,75 %

65,33 % 62,17 % 60,67 % 55,83 % 53,51 % 44,25 % 42,43 % 38,18 % 34,08 %

methodological and, to a lesser extent, personnel, material, technical and informational. The psychological and pedagogical components of supporting inclusive education are not given due attention. Foreign scientific research uses criteria (indicators) for assessing the quality of inclusive education that differ in methodology and content: sociocultural, psychological and pedagogical, classroom criteria based on cooperation between teachers and children, differentiation of curricula, teachers' sense of self-efficacy when working with students with special needs and so on. Quality criteria for the infrastructure components of the implementation of inclusive education are used quite rarely.

It is stated that there are differences between the indicators of the quality of

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

implementation of the organizational, technological and methodological components of supporting inclusive education in general educational organizations of the regions of the Russian Federation and indicators of the quality of the implementation of the components of ensuring the educational process: personnel, material, technical and information.

However, the most significant differences are observed between the indicators for assessing the quality of implementation of the organizational, technological and methodological components of the infrastructure of inclusive education and indicators of the psychological readiness of parents of children with special needs and ordinary children to the conditions of inclusive education.

Monitoring research of a comprehensive assessment of the quality of inclusive education in the Russian Federation has shown that in Russian regions much more attention is paid to the quality of implementation of the organizational, technological and methodological and, to a lesser extent, personnel, material, technical and information infrastructure components of inclusive education. Much less attention is paid to the psychological and pedagogical components of the quality of implementation of inclusive education.

Bibliographic references Alekhina S.V., Melnik, Yu.V., Samsonova, E.V., & Shevmanov, A. Yu. (2020). Expert assessment of the parameters of the inclusive process in education. Clinical and special psychology, 9(2), (pp.

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Retrieved from https://ectacenter.org/topics/inclusion/indicat ors.asp Eliseev, V., Eliseeva, I., Korobova, M., & Romanova, Ju. (2021) Assessing social cognitive functions in elementary school children: or problems of motor activity disorders. Revista Amazonia Investiga, 10(37), 125-134, DOI: 10.34069/AI/2021.37.01.13 Farman, I.P. (2012) Monitoring as a method of research and data presentation [Electronic resource] / I.P. Farman: – Access mode: http://cyberleninka.ru/article/n/monitoringkak-metod-issledovaniya-i-predstavleniyaznaniy Ilyina, D.S. (2019) Monitoring of the Federal State Educational Standard of SPECIAL HEALTH NEEDS as an Assessment Procedure of Resource Support for the Implementation of Adapted Educational Programs. Scientific and methodological support for assessing the quality of education, № 3 (8), (pp.

28–32): https://cyberleninka.ru/article/n/monitoringfgos-ovz-kak-otsenochnaya-protsedura-

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196 resursnogo-obespecheniya-realizatsiiadaptirovannyh-obrazovatelnyh-programm Irwin, S. H. (2009). SpeciaLink Early Childhood Inclusion Quality Scale. Wreck Cove, NS: Breton Books. https://www.specialinkcanada.org/about/rati ng%20scales.html Jones, S.R. (1996) Toward Inclusive Theory, NASPA Journal, 33(4), 347-354, DOI: 10.1080/00220973.1996.11072421 Lero, D. S. (2010). Assessing inclusion quality in early learning and child care in Canada with the SpeciaLink Child Care Inclusion Practices Profile and Principles Scale.

Retrieved from https://www.specialinkcanada.org/about/pdf/ SpeciaLink%20Research%20Report%20on %20Inclusion%20Quality%20Rating%20Sc ale.pdf Loreman, T., Forlin, C., & Sharma, U. (2014).

Measuring indicators of inclusive education: A systematic review of the literature. In Forlin, C., & Loreman, T. (Eds.), Measuring inclusive education (pp.165-187). West Yorkshire: Emerald Group Publishing Limited. https://www.researchgate.net/publication/28 6806003_Measuring_Indicators_of_Inclusiv e_Education_A_Systematic_Review_of_the _Literature Medova, N.A. (2013). Model of inclusive education in the conditions of the municipal educational system. 13.00.01 – General Pedagogy, History of Pedagogy and Education: Dissertation for the degree of candidate of pedagogical science. Tomsk, Tomsk State Pedagogical University, 285 p: https://viewer.rusneb.ru/ru/rsl01005541733? page=1&rotate=0&theme=white Mishra, P. & Jangira, N & Kapoor, S. (2018).

Quality Indicators for Inclusive Education [PDF file].

Retrieve from https://www.academia.edu/35259816/Qualit y_Indicators_for_Inclusive_Education_pdf National Professional Development Center on Inclusion. (2011). Research synthesis points on quality inclusive practices. Chapel Hill: University of North Carolina, FPG Child Development Institute, National Professional Development Center on Inclusion. Retrieved from http://npdci.fpg.unc.edu/sites/npdci.fpg.unc. edu/files/resources/NPDCIResearchSynthesisPointsInclusivePractices2011_0.pdf Nizova, L.M., & Danilova M.I. (2017). Inclusive education as a form of socialization of disabled people (on the example of the Republic of Mari El). Educational policy, №

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1 (75), (pp.

102-109): https://elibrary.ru/download/elibrary_41442 546_56864602.pdf Pakarine, E., Lerkkanen M.K. & Suchodoletz, A. (2020). Teacher emotional support in relation to social competence in preschool classrooms, International Journal of Research & Method in Education, 43(4), pp. 444-460.

DOI: 10.1080/1743727X.2020.1791815 Petrovich, O.G. (2020). The system of monitoring studies of the learning conditions for persons with special health needs and disabilities: the experience of the Institute for the Development of Education. Bulletin of the Saratov Regional Institute of Education Development, № 1 (21), (pp. 33-41): https://www.elibrary.ru/item.asp?id=425652 58 Ryapisov, N.A., & Ryapisova, A.G. (2016).

Monitoring the effectiveness of inclusive practice. Bulletin of the Novosibirsk State Pedagogical University, № 1 (29), (pp. 7-19) https://cyberleninka.ru/article/n/monitoringeffektivnosti-inklyuzivnoy-praktiki Sánchez, S., Rodríguez, H., & Sandoval, M. (2019). Descriptive and comparative analysis of School Inclusion through Index for Inclusion. Psychology, Society, & Education, 11(1), 1-13 https://www.researchgate.net/publication/33 2639467_Descriptive_and_comparative_ana lysis_of_School_Inclusion_through_Index_f or_Inclusion Shemanov, A.Yu., & Samsonova, E.V. (2019).

Special education as a resource of inclusive educational process. Psychological Science and Education, 24(6), (pp. 38-46): https://psyjournals.ru/psyedu/2019/n6/Shem anov_Samsonova.shtml Sheveleva, D.E. (2019). The quality of inclusive education: how the activity of the mass school in different countries is assessed.

School technologies, № 4, (pp. 38-44): http://narodnoe.org/journals/shkolnietehnologii/2019-4/kachestvo-inklyuzivnogoobrazovaniya-kak-ocenivaetsya-deyatelnostmassovoiy-shkoli-v-raznih-stranah Simaeva, I. N., & Khitryuk, V. V. (2014).

Inclusive educational space: SWOT-analysis.

Bulletin of the Baltic Federal University, № 5, (pp.

31–39): https://cyberleninka.ru/article/n/inklyuzivno e-obrazovatelnoe-prostranstvo-swotanaliz/viewer Soucacou, E. P., & Sylva, K. (2010). Developing observation instruments and arriving at interrater reliability for a range of contexts and raters: The early childhood environment rating scales. In Walford, G., Tucker, E.,

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Viswanathan, M. (Eds.), The SAGE handbook of measurement (pp. 61-85).

London, England: SAGE. https://www.researchgate.net/publication/29 2696338_Developing_observation_instrume nts_and_arriving_at_interrater_reliability_for_a_range_of_contexts_a nd_raters_The_early_childhood_environmen t_rating_scales Sulzberger, L.A., (2015) Quality Indicators for Inclusive Practices: How Are We Doing?

Virginia Department of Education's.

Retrieved from http://ttacwm.blogs.wm.edu/qualityindicators-for-inclusive-practices-how-arewe-doing/ Warren, S., Martinez, R. & Sortino, L. (2016) Exploring the Quality Indicators of a Successful Full-Inclusion Preschool Program. Journal of Research in Childhood

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Education, 30(4), 540-553, DOI: 10.1080/02568543.2016.1214651 Vakorina, L.Yu. (2019). Inclusive education in Russia: mechanisms of management and efficiency improvement: (dissertation. ...

PhD. in sociological) М., Peoples 'Friendship University of Russia, 221 p. https://www.dissercat.com/content/inklyuziv noe-obrazovanie-v-rossii-mekhanizmyupravleniya-i-povysheniya-effektivnosti Wolery, M., Gessler Werts, M., Lisowski, L., K. Caldwell, N., Snyder, E. (1995). Experienced Teachers’ Perceptions of Resources and Supports for Inclusion. Education and Training in Mental Retardation and Developmental Disabilities. Division on Autism and Developmental Disabilities, 30(1), (pp.

15-26): https://www.jstor.org/stable/23879136

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DOI: https://doi.org/10.34069/AI/2021.45.09.20 How to Cite: Matvieiev, P., Murzanovska, A., & Ivanchenko, O. (2021). The legal phenomenon of "complience-service" in commercial activities: international experience and development prospects. Amazonia Investiga, 10(45), 198-207. https://doi.org/10.34069/AI/2021.45.09.20

The legal phenomenon of "complience-service" in commercial activities: international experience and development prospects Правовий феномен "complience-service" у комерційній діяльності: міжнародний досвід та перспективи розвитку Received: August 27, 2021

Accepted: September 30, 2021

Written by: Petro Matvieiev78 https://orcid.org/0000-0001-7087-115X Alina Murzanovska79 https://orcid.org/0000-0001-8645-0261 Olga Ivanchenko80 https://orcid.org/0000-0003-2676-7798 Abstract

Анотація

In the context of globalization, the company must meet international standards to do business with foreign partners. For the commercial activity to meet the requirements of legality, ethics, transparency, for you to be considered a reliable counterparty, it is necessary to apply compliance.

This concept means that an entity complies with the requirements of the law, rules, and standards of doing business. The purpose of the study was to analyze the peculiarities of the application of compliance from a legal point of view, to take into account foreign experience, to investigate how compliance is used in Ukraine. The authors used the system-functional method, formal-legal method, methods of analysis, and synthesis. As a result of the study, it was found that compliance is an essential tool for systematizing and conducting business under the requirements of regulations, internal regulations, ethical requirements. The application of compliance has several functions, among which are the elimination of shortcomings in the enterprise, standardization, maintaining an impeccable business reputation, resolving conflicts of interest, standardizing the behavior of employees, company officials, their interaction with external entities, maintaining corporate culture, and anti-corruption. It was also found that a compliance service such as due diligence

В умовах глобалізаційних процесів підприємство має відповідати міжнародним стандартам для того, щоб вести бізнес із закордонними партнерами. Для того, щоб комерційна діяльність відповідала вимогам законності, етичності, прозорості, для того, щоб вас вважали надійним контрагентом, необхідно застосовувати комплаєнс. Це поняття означає відповідність суб’єкта господарювання вимогам законодавства, правилам та стандартам ведення бізнесу. Метою дослідження було проаналізувати особливості застосування комплаєнсу з юридичної точки зору, врахувати закордонний досвід, дослідити, як комплаєнс застосовується в Україні. Для цього ми використали системно-функціональний метод, формально-юридичний метод, прийоми аналізу та синтезу. Автори використали системно-функціональний метод, формально-юридичний метод, прийоми аналізу та синтезу. У результаті дослідження було встановлено, що комплаєнс є важливим інструментом для систематизації та ведення бізнесу відповідно до приписів нормативно-правових актів, документів внутрішнього розпорядку, етичних приписів. Застосування комплаєнсу переслідує ряд функцій, одними з яких є усунення недоліків

78

Doctor of Legal Sciences, Associate Professor, Professor of Public and Private Law, Faculty of Law and International Relations.

Borys Hrinchenko Kyiv University, Ukraine.

79 Ph.D., Associate Professor, Department of Criminal Procedure, Detective and Investigative Activities, National University "Odesa Law Academy", Ukraine.

80 Ph.D., Associate Professor of General Theory of Law and State, National University "Odessa Law Academy", Ukraine.

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is useful in the contractual process and can also be used to forecast economic performance.

Keywords: compliance, due diligence, ethical norms, reputation, business.

в роботі підприємства, стандартизація, підтримка бездоганної ділової репутації, врегулювання конфлікту інтересів, унормування поведінки співробітників, посадових осіб компанії, їх взаємодії з зовнішніми суб’єктами, підтримання корпоративної культури, протидія корупції. Також було встановлено, що така комплаєнспослуга як due diligence є корисною в договірному процесі, а також може використовуватися для прогнозування результатів економічної діяльності. Ключові слова: комплаєнс, due diligence, етичні норми, репутація, бізнес.

Introduction Compliance, which was a novelty for Ukrainian businesses decades ago, is now rapidly becoming an indispensable tool for doing business following the best international standards (Karakashyan, 2020). Currently, compliance is understood as a large number of functions aimed at supporting ethical and transparent business conduct, combating corruption, preventing conflicts of interest, compliance with internal rules of the organization, the rule of law, and maintaining a brilliant reputation. The peculiarity of regulatory civil legal relations in the private sphere is their dual nature (the “positive” regulation of civil relations, there is a “granting” of civil rights and responsibilities to the participants of these relations, in accordance with the established norms and rules of conduct of civil rights) (Kharytonov, Kharytonova, Kolodin, & Tkalych, 2020).

The relevance of compliance is explained by the following factors (Kovalishin, 2019). First, compliance is common practice for leading and regular corporations, companies, enterprises in Europe and the United States. Accordingly, doing business with foreign companies requires compliance with high standards of activity.

Second, in the narrow sense of its application, compliance has become indispensable in the purchase of other people's business, mergers and acquisitions, and other risky transactions involving large capital. That is, the use of compliance is not only a well-established practice but also an issue of investment security, reliability of doing business. Thus, the global spread of compliance is due to globalization processes that motivate companies to adhere to international rules and standards to optimize their activities.

In Ukraine, compliance is actively implemented through the activities of international

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organizations such as the EBRD, OECD, UNDP, USAID. They provide an opportunity for even small businesses to participate in the development of their compliance system, to improve the skills of their employees (Karakashyan, 2020). The general principles of European Union law are based on the priority of the rights of the individual enshrined in the European Convention, which also derives from the constitutional traditions of the European states (Kharytonov, & Kharytonova, 2019).

In this study, we attempted to analyze the concept of compliance from a legal point of view to establish the features of its application in business in Ukraine and around the world.

The purpose of the study was to analyze the peculiarities of the application of compliance from a legal point of view, to take into account foreign experience, to investigate how compliance is used in Ukraine. The work consists of an introduction, methodology, literature review on the research topic, the main part where we consider the concept of compliance and features of its application, in particular, how related compliance and due diligence, which are components of corporate compliance, etc., conclusions and sources.

Theoretical Framework or Literature Review In her study, Pererva (2017a) considered compliance as part of the company's internal control. The study found a difference between compliance and internal audit. For example, it is stated that the internal audit is characterized by the characteristics of the activity, which includes monitoring, verification, evaluation of business transactions to optimize them, improve the financial result. In this sense, compliance and

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200 internal audit are components of the internal control of the enterprise. At the same time, compliance professionals are primarily concerned with compliance risks, which cover, in particular, the field of corporate ethics, business reputation of the entity.

In the article of Pererva, Kobeleva, & Romanchik (2018), compliance is used to denote the continuous efforts of the enterprise to comply with the requirements of legislation, rules, standards of corporate governance. As a result of the study, the authors found that compliance should guide all levels of management, regardless of position. It was also found that compliance is a complex phenomenon that can be considered as an ideology, a tool of control, the principles of management.

Kovalishin (2019), in his study, analyzed the concept of corporate compliance-based on foreign experience and prospects for its application in Ukraine. Accordingly, the study found that corporate compliance refers to activities related to monitoring compliance with officials and employees of the law, local regulations of regulatory, non-regulatory nature in companies.

Zadek (2007) reviewed five levels of corporate responsibility, one of which is compliance. Using the example of Nike, the author demonstrates how the company builds a policy of corporate responsibility from denying the facts of the offense to higher standards of ethical business.

The author concludes that compliance with the rules of ethical business is an important factor in the success and profitability of the company, a necessary criterion for its activities in our time.

In their work, Chen & Bouvain (2009) attempted to overcome the methods of analysis of nonfinancial reporting of large corporations available at the time of writing. For example, they note that the frequency and volume of reporting do not reflect the quality of the audit and compliance. From this, the authors conclude that the application of more rigorous statistical and textual analytical methods, in particular, content analysis, should overcome these shortcomings and demonstrate real compliance with large business entities.

Rasche (2010), in his article, criticizes the standardization of corporate responsibility as a panacea for any future offenses. To argue his position, the author uses the tools of analysis of the concept of justice, proposed by Jacques Derrida, and concludes that when deciding on the

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application of corporate responsibility, judgments should always take into account the specifics of the situation, i.e., each time should be individual.

Carroll, Lipartito, Post, Werhane, & Goodpaster (2012) conducted a thorough analysis of the development of the institution of corporate responsibility in the United States. The book covers the period from 1776 to 2011, thus demonstrating the theoretical and philosophical basis of corporate responsibility, which was later embodied in regulations and rules of doing business. The guide contains useful links to articles on corporate responsibility, contains a large amount of numerical information presented in the form of tables, can serve as a foundation for research on the history of corporate responsibility in the United States.

Ghobadian, Money, & Hillenbrand (2015), in their research, examine the study of corporate responsibility. They first demonstrate how this concept has been explained in the past, how it has affected how corporate responsibility is studied now, and what the prospects for future research are. For example, the authors conclude that the use of developments in the field of psychology can help improve corporate governance practices and help make corporate responsibility more flexible in application.

Arenas & Ayuso (2016), in their work, propose to consider the institute of corporate social responsibility in terms of the activities of multinational companies. The authors note that typical for this institute measures to improve the skills of employees in the field of corporate responsibility, ethics, behavior, as well as an inclusive decision-making process when the opinion of all participants is heard before making a final decision that positively affects its quality.

Methodology We used the system-functional method to demonstrate compliance in the form of a system of measures to comply with the law, rules, requirements, standards of doing business, ethical standards. This means that compliance as a phenomenon is a set of tools aimed at counteracting negative factors and supporting positive factors such as brilliant business reputation, perfect audit, compliance with ethical standards in the company, non-discrimination, gender balance, lack of corruption, and more.

Compliance is also associated with other concepts that can be considered components, such as compliance risk, compliance control, compliance plan, compliance ideology,

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compliance officers, etc. Compliance as a general concept includes the specification, direction of its application, and its varieties, for example, anti-corruption compliance, financial, legal, tax, etc. Thus, compliance is a systemic phenomenon with interconnected elements that perform specific functions, contribute to the specific purposes for which compliance is carried out. In this regard, due diligence was considered as part of the compliance (namely as a compliance service), the purpose of its application and functions were outlined.

We used the formal-legal method when considering regulations that are considered to regulate issues related to the application of compliance. For example, the American and British legislation is taken into account; the norms of the Ukrainian legislation in the field of financial, criminal, civil law are analyzed from the legal point of view. In particular, the applicability of criminal law institutions to legal entities for violating the rules and regulations of their activities was studied, the institute of corporate responsibility in the United States, and criminal law measures that can be applied to legal entities in Ukraine were analyzed.

The method of analysis is used in the formulation of concepts and consideration, characterization, selection of their features and characteristics, as we do in the part responsible for the concepts and types of compliance, as well as in the place devoted to due diligence. Synthesis is used to summarize information, in particular in the introduction and conclusions.

2) compliance with internal rules.

According to the information provided on the website of the All-Ukrainian Integrity and Compliance Network (UNIC), compliance is an internal control system that allows you to manage compliance risks, including bringing companies and top management to justice (UNIC, 2021).

Researchers have their understanding compliance. For example, it means:

of

a)

a system of protection of business and its shareholders from corruption, abuse, ineffective management by top managers, as well as the ability to act following instructions, rules, and special requirements (Kalinichenko, 2014); b) a set of functions aimed at compliance with internal standards of doing business, corporate ethics, legal requirements, to achieve the highest efficiency of financial and economic activities (Neizvestna, 2017); c) a tool to reduce risks in the management of economic entities (Gutsalenko, 2020).

In the literature, you can find the definition of compliance, according to which it means part of the management system in the organization, which is associated with risks of noncompliance, non-compliance with legislation, regulations, rules, standards of supervisors, industry associations, self-regulatory organizations, codes of conduct, etc. (Pererva, 2017b; Kovalishin, 2019). Failing these risks can lead to the application of sanctions, financial, reputational losses.

Results and Discussion Compliance usually applies to: Compliance. Concepts and types Compliance comes from the verb to comply. This means following rules, requirements, or conditions. For business, compliance means compliance with the rules of law, internal regulations, corporate culture, business practices (Chubenko et al., 2018). For corporate partners, a successful compliance check means that your company can be trusted because it meets business standards. So, we can make agreements with you, and you can apply for the title of a reliable partner.

The International Compliance Association (ICA) defines compliance as the ability to act following an order, requirement, set of rules (ICA, 2021).

In the financial services business, compliance operates on two levels:

1) compliance with standards of conduct in the market; 2) management of conflicts of interest; 3) fair, transparent interaction with customers.

Special issues in the application of compliance are: 1) combating money laundering and terrorist financing; 2) compliance with the law; 3) information security (protection of personal data, trade secrets, etc.); 4) counteraction to fraud, corruption; 5) compliance with ethical conduct, etc.

Approaches to the organization of compliance can be divided into two types (Pererva, Kobeleva, & Romanchik, 2018):

1) compliance with external requirements;

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202 1.

2.

Rule-based approach. In this case, compliance implies only compliance with external requirements, such as mandatory legislation that explicitly prohibits or requires specific actions.

Risk-based approx. This approach is subject to compliance with ethical aspects of the enterprise, internal regulations, corporate policy, management, rules, management standards, and more. In fact, all the activities of the enterprise, in this case, are subject to compliance, and compliance with mandatory legislation (compliance with the principle of legality) is only the first step to compliance, an external factor influencing the compliance policy of the organization. In this case, all positions and levels of management are subject to compliance, the requirements of compliance with the corporate code of ethics, qualification level, etc. will be applied to all levels of management of the organization.

Compliance in corporate governance The development of compliance in corporate governance is associated with the institution of corporate responsibility (Kovalishin, 2019). One of the first examples of the application of such liability is the case of Dollar S.S. Co. v. the United States in 1939, in which the company was prosecuted for dumping debris from aboard its ship by a member of the crew (Oded, 2013).

Another example is the case of United States v.

Hilton Hotels Corporation of 1972, where the court ruled that documents governing the company's internal activities could not be grounds for release from liability (Oded, 2013; Kovalishin, 2019). Subsequently, the Watergate scandal also contributed to the development of ideas of the institution of compliance, as the scandal saw private companies, which cast a shadow on their reputation (Simon, 1998; Berghoff, 2013, 2016; Hayes, 2015). To counteract these negative phenomena, a federal law, the Foreign Corrupt Practices Act (FCPA), was passed in 1977. Currently, its effect extends to:

corruption offense (Oberkovich & Kalnytska, 2014; Tupchienko, 2015; Vasilieva, 2019). In the UK, a similar piece of legislation is the Bribery Act of 2010.

Companies covered by this law are required to establish compliance control services (Oded, 2013).

Corporate compliance and liability are interrelated. Compliance with the law and minimization of offenses are in the field of view of compliance. In the case of corporate responsibility, it is possible to consider two types. For example, an entity is liable for actions committed on its behalf (direct liability) as well as for the actions of its officials, even if they are not committed on behalf of the entity but within the authority of the entity's official (indirect responsibility) (Laufer, 1999; Kovalishin, 2019).

The formation of such legal practice was influenced by the doctrine of respondeat superior (Latin "responsible senior"), according to which the principal is responsible for the actions of his subordinate (Roszkowski & Roszkowski, 2004).

At the same time, it is not so easy to determine the best regime of corporate responsibility, as the main goal here is not just to punish offenders, but to motivate companies to implement compliance control, which will include monitoring, investigation, and reporting of compliance deviations. In this regard, Arlen & Kraakman (1997) proposed a model of corporate responsibility, which establishes a severe penalty for detecting business violations for noncompliant businesses, and in the case of an offense that has been duly documented by the company’s compliance control service, the sanction can be significantly mitigated, which should be provided for in regulations and should facilitate the use of compliance by businesses.

Compliance in corporate governance includes several components. For example, it includes codes of corporate ethics, corporate conduct, conflict of interest policy, whistleblowing policy, fair competition policy, etc.

Due diligence and compliance

1) American companies whose shares are listed on stock exchanges or which report to the Securities and Exchange Commission; 2) American business structures in the United States or abroad; 3) individuals, officials, and residents of the United States; 4) non-US companies on US stock exchanges or foreign companies representing US companies, if they have committed a

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Compliance is often associated with due diligence (DD). This concept refers to the procedure of thorough decentralized verification of a potential counterparty in a contractual relationship (Spedding, 2009). It is carried out on behalf of investors and serves to give them an idea of the object of investment, the identity of the counterparties, the dynamics of the partner business, and the reputation of the partner

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company (Kobeleva, 2020). This procedure is most often used in business acquisitions, mergers and acquisitions (M&A), IPOs (public offerings of securities on the stock exchange), assessment of the company's investment attractiveness, commercial lending, purchase of the real estate, lending, sponsorship, or free financing (Kuzmenko, 2020). Also in the literature, you can find the understanding of due diligence as checking the business entity for integrity and reliability, "checking the required reliability", "necessary diligence", "thorough research", "checking the necessary integrity", "ensuring due diligence", "comprehensive study the reliability of the information provided".

DD is an individual procedure because each time it pursues a specific goal set for specialists in its implementation by the customers of the procedure, which are divided into three groups: 1) investors; 2) creditors; 3) owners and managers of the enterprise (Baldji, 2018).

Due diligence is associated with the dynamic development of the financial market, the emergence of multinational corporations, the consolidation of large enterprises. As the number of transactions of such entities began to grow in proportion to the expansion of their activities, the risk of hiding critical information for counterparties has increased (Kuzmenko, 2020).

Among the types of due diligence, financial, legal, and tax are most often mentioned (Virchenko, 2017). Such a classification is possible due to the criterion of the subject of assessment – what exactly is checked during the procedure. Financial due diligence analyzes primarily the assets of the enterprise, operates with the concepts of risk of operations, considers the dynamics of doing business (Proskura & Salova, 2016). For legal due diligence, the subject of assessment needs to comply with the law, verify its reputation, adhere to the code of ethics, corporate governance standards, etc. Tax due diligence is less narrow in its scope of study and focuses on whether the auditee has complied with the tax procedure.

Kuzmenko (2020) provides a typology of due diligence depending on: 1) client: vendor and buyer due diligence; 2) report forms: full scope and red flag report.

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In English law, due diligence is often replaced by personal guarantees and assurances (guarantees and representations), for violation of which there is a clear liability in the form of damages (Tomsinov, 2015; Budylin, 2016; Sannikova, 2016; Kuzmenko, 2020). However, in Ukrainian law, this institution has not become unambiguous, so it has not taken root, and entrepreneurs use personal guarantees with little interest, as they worry about their assets, turning to other types of collateral (Kuzmenko, 2020).

Compliance experience in Ukraine In Ukraine, the concept of "compliance" is used in the financial and banking sector. In the currently invalid regulatory act of the National Bank of Ukraine, compliance was defined as an activity to comply with the requirements of legislation and internal procedures (Kovalishin, 2019). At the same time, the current Guidelines for Improving Corporate Governance in Ukrainian Banks (Decision No. 814-rsh, 2018) have been developed, taking into account the best international practice, principles, and recommendations of the Basel Committee on Banking Supervision on Corporate Governance (BCBS, 2005).

The tasks for which the recommendations were created include (Resolution No 98, 2007): 1) 2) 3) 4) 5)

ensuring effective banking management; making agreed on decisions; increase of responsibility; avoidance of conflict of interest; promoting the disclosure of information and its transparency; 6) increasing the reliability of banks; 7) protection of the interests of depositors and other creditors.

In this document, you can find a mention of compliance as control over compliance. It is also mandatory to establish a compliance unit, which is responsible for monitoring compliance with the code of ethics. The recommendations also contain a definition of compliance risk. This means the risk of legal sanctions, financial losses, or loss of reputation due to non-compliance with the requirements of Ukrainian legislation, regulations, internal regulations and rules, standards of self-regulatory organizations applicable to the bank.

The bank's reputation is important in terms of corporate culture (Kunitsyna, Britchenko, & Kunitsyn, 2018). Even when the law has not been formally violated, the reputational damage can

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204 have a devastating effect on a bank's position and the confidence of customers and investors. In this sense, reputational risk is a negative change in the perception of the bank by its stakeholders (Andersen, 2020).

However, predicting reputational risks is not as easy as initial operational and material risks, so spending large amounts of money on regulating and anticipating reputational risks is not always justified, and the politicization of reputational risks by regulators negatively affects confidence in the banking system as a whole.

Following Part 2 of the Recommendations, compliance control refers to the functions of control units (paragraph 8, Part 2). These are the divisions of the bank, which carry out an objective and independent assessment of the bank's activities, ensure the accuracy of reporting, fulfillment of its obligations by the bank. In addition to the compliance unit (compliance control unit), the control units include the risk management unit and the internal audit unit (paragraph 8, part 2). The set of rules and measures of control of the organizational and operational structure of the bank, which include the processes of preparation of reports and functions of risk management, compliance, and internal audit, is called the system of internal control (paragraph 9, part 2).

Unlike banks, as well as accounting and auditing, compliance is not mandatory for businesses in Ukraine (Pererva, Kobeleva, & Romanchik, 2018). Kovalishin (2019) points out that this is not surprising, as compliance as a separate phenomenon is voluntary – its use depends on the will of the leaders of the enterprise.

In judicial practice, compliance is interpreted in the context of compliance with financial legislation, and court decisions relate mainly to bringing administrative responsibility for its violation. For example, the head of the compliance department was brought to administrative responsibility for the late submission of financial statements with a delay of one working day (Kovalishin, 2019).

Regarding corporate compliance, the existence of case law is not common due to the following factors (Kovalishin, 2019): 1) the relative novelty of the phenomenon, the legislation on which is in the process of formation; 2) features of doing business in Ukraine, which is restored after the command-and-control system of economic management;

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3) the absence of a rule similar to Western practices on bringing a legal entity to justice for a crime.

Instead, Ukraine has an institute of criminal law measures that can be applied to legal entities.

This became possible through the adoption of Law No. 314-VII (2013) which amended the Criminal Code of Ukraine (Law No. 2341-III, 2001).

According to these regulations, when committing such crimes as: 1) money laundering; 2) use of illegally obtained funds obtained from illicit trafficking in prohibited substances; 3) bribery of an official of a legal entity of private law; 4) bribery of a person providing public services; 5) an offer, promise, or provision of illegal benefit to an official; 6) abuse of influence, measures of criminal law nature may be applied to a legal entity (Articles 96-3 of the Criminal Code).

They include a fine, liquidation, and confiscation (Part 1 of Article 96-6 of the Criminal Code). The main ones are fines and liquidation, confiscation of property can only be an additional measure.

Damage, damages caused by the guilty legal entity are reimbursed in full. The illegal benefit received or should have been received by a legal entity is also subject to compensation (Part 2 of Article 96-6 of the Criminal Code). However, the number of criminal cases in this category is not significant (Trut & Autukh, 2016).

Perspectives Today, compliance is a necessary condition for positioning the company as a modern and reliable business partner, which uses in its activities the advanced standards of corporate governance (Kovalishin, 2019).

There are several advantages to the use of compliance in commercial activities: 1) it is a promising means of achieving purity of office work; 2) promotes a positive reputation of the enterprise, transparency of accounting and reporting; 3) is proof of responsibility of the executive bodies of the enterprise;

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4) indicates that the relations within the enterprise are based on the principles of equality and justice; 5) is an indicator of a high level of corporate culture and professionalism (Pererva, Kobelev, & Romanchik, 2018).

Regarding due diligence, the experience of foreign partners shows that the specialization and integration of enterprises into the international business space leads to improved quality of services by consulting companies and diversification of prices for compliance and due diligence services (Shalapugin, 2005; Polishchuk, 2008; Gordeeva, 2009).

Conclusions Compliance is a kind of filter through which the activities of commercial structures. Compliance with compliance requirements is becoming common practice for companies seeking to conduct transparent and ethical business following the highest standards of economic activity.

The principal perspective of compliance is that over time it should become a common practice for all businesses. If a company wants to establish itself in the market as one, that is trustworthy, monitors compliance with corporate ethics, compliance with the law, it must apply compliance. Companies that fail to do so are immediately left behind because they lack the systems of standards and requirements that have become commonplace in the commercial sector.

They are required of an enterprise that wants to be part of civilized commercial space, so it must comply with corporate governance standards.

Standardization of business activities, in this sense, contributes to the unification of business practices, improves corporate culture and management, develops new rules and regulations necessary for ethical business and sustainable development of the company.

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of social and economic systems, 1, 250-254.

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Kyrychenko, O.V., Soldatenko, O.A., Gorokhovska, O.V., Voloshyna, M.O., Maksymova, L.O. / Volume 10 - Issue 45: 208-220 / September, 2021

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DOI: https://doi.org/10.34069/AI/2021.45.09.21 How to Cite: Kyrychenko, O.V., Soldatenko, O.A., Gorokhovska, O.V., Voloshyna, M.O., & Maksymova, L.O. (2021). Fraud in the banking system of Ukraine: ways to combat taking into account foreign experience. Amazonia Investiga, 10(45), 208-220. https://doi.org/10.34069/AI/2021.45.09.21

Fraud in the banking system of Ukraine: ways to combat taking into account foreign experience ШАХРАЙСТВО В БАНКІВСЬКІЙ СИСТЕМІ УКРАЇНИ: СПОСОБИ БОРОТЬБИ ІЗ ВРАХУВАННЯМ ЗАРУБІЖНОГО ДОСВІДУ Received: July 12, 2021

Accepted: September 9, 2021

Written by: Oleh V. Kyrychenko81 https://orcid.org/0000-0002-2046-9522 Olena A. Soldatenko82 https://orcid.org/0000-0002-6587-0280 Olena V. Gorokhovska83 https://orcid.org/0000-0002-6163-4344 Maryna O. Voloshyna84 https://orcid.org/0000-0001-9416-6885 Larysa O. Maksymova85 https://orcid.org/0000-0001-7660-6779 Abstract

Анотація

The article aims to identify effective ways to combat bank fraud in Ukraine. Using the method of systematic analysis of theoretical experience, practical measures and international legislation in the field of combating banking fraud, the main factors influencing the bank fraud level are identified: financial instability of the banking institution, lack of information about the client's credit history, poor internal control, low level of corporate governance, lack of a standard procedure for customers verification, lack of a unified register of bank employees, imperfect legal regulators and a banking control system.

The study allowed to identify the characteristics of an effective banking fraud combating system: a clear definition of the legal framework, regulation subjects and objects, strict and guaranteed liability for violations of laws, cooperation of structural units and regulatory authorities at the domestic and international level, state control of financial monitoring. As a result of the study, it was concluded that the

Статистичні дані про рівень банківського шахрайства в розвинених та країнах, що розвиваються, свідчать про доцільність створення ефективної системи боротьби з цими видами злочинів. Стаття покликана визначити ефективні шляхи боротьби з банківськими шахрайствами в Україні. За допомогою методу системного аналізу теоретичного досвіду, практичних заходів та міжнародного законодавства у сфері протидії банківським шахрайствам визначено основні фактори, що впливають на рівень банківського шахрайства. Такими факторами є: фінансова нестабільність банківської установи, відсутність інформації про кредитну історію клієнта, поганий внутрішній контроль, низький рівень корпоративного управління, відсутність стандартної процедури перевірки клієнтів, відсутність єдиного реєстру працівників банку, недосконалі правові регулятори та система банківського контролю. Дослідження

81

Doctor of Law Sciences, Associate Professor, Rector Private institution of higher education "Dnipro humanitarian university", Dnipro city, Ukraine.

82 Candidate of Juridical Sciences, Associate Professor, Dnipropetrovsk State University of Internal Affairs, Dnipro city, Ukraine.

83 Associate Professor, PhD in Law, Head of the Department of Theory, History of State and Law and International Law, Classical Private University, Zaporizhzhia city, Ukraine.

84 Ph.D, Associate Professor of the Department of Operative – Investigative Activity Dnipropetrovsk State University of Internal Affairs, Dnipro city, Ukraine.

85 Candidat of legal sciences, Associate Professor, Kyiv University of Tourism, Economics and Law, Kyiv, Ukraine.

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successful experience of developed countries, comprehensive implementation of measures to combat bank fraud (at the legislative, bank management and technological level) will not only reduce the level of bank fraud, but also corruption, money laundering and terrorist financing rate.

Key words: financial institution, crime, control, security, information, legal regulation, Ukraine.

дозволило виявити характеристики ефективної системи боротьби з банківськими шахрайствами: чітке визначення законодавчої бази, суб’єктів та об’єктів регулювання, сувору та гарантовану відповідальність за порушення законів, співпрацю структурних підрозділів та контролюючих органів на внутрішньому та міжнародному рівнях, державний контроль фінансового моніторингу. В результаті дослідження було зроблено висновок, що успішний досвід розвинутих країн, всебічне впровадження заходів щодо боротьби з банківськими шахрайствами (на законодавчому рівні, на рівні управління банками та на технологічному рівні) не тільки знизять рівень банківського шахрайства, але також корупції, відмивання грошей та фінансування тероризму, що сприятиме зростанню довіри населення до банків та фінансової стабільності. Ключові слова: фінансова установа, злочинність, контроль, безпека, інформація, правове регулювання, Україна.

Introduction Inter-temporal changes in modern reality and current trends in society increase the need to obtain only the most necessary information in a few seconds, without being overloaded with related information; the main principle is access to information with just "one click". Such information development, publicity and simplification of access to information gives new opportunities for the society development. The other side of this process is offering new opportunities for financial crimes and fraud in all spheres of life. Banking system is one of the most vulnerable areas for fraud. Despite audits by financial institutions and financial transactions control, verification of customer bases and continuous improvement of the security system, fraud related to financial transactions is becoming more common.

The rapid pace of banking sector modernization, the emergence of new payment systems and methods of mutual settlements has become the basis for the emergence of various forms of fraud requiring legal regulation and identification of possible ways to combat such crimes. The common forms of fraud involve the use of digital signatures, online transactions, plastic cards.

This situation becomes the basis for changing the form of fraud, its globalization and internationalization.

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In 2019 the KPMG international company undertook a global study in 43 retail banks in regard to the commitment and combating bank fraud. The study found that more than half of respondents worldwide experienced an increase in the total cost and volume of external fraud, in 2018 61% of respondents reported of an increase in the total number of external fraud cases, and 59% of respondents reported of an increase of fraudulent transaction amounts. Banks around the world experience a tendency of fraud level increase. Fraudsters manipulate and force customers to make payments to them, bypassing banking control (KPMG, 2019). Fraudsters are becoming more sophisticated and can change and adapt their approaches very quickly. Banks need to be shifty to be able to respond to new threats and apply new approaches and technologies to predict and prevent fraud.

The share of products and services sold by banks through digital channels is growing. According to the World Payments Report (BNP Paribas, 2018), the share of non-cash transactions will increase by a total of 12.7% by 2021. According to a global study of economic crime and fraud conducted by PwC (2020), relatively low percentages of financial institutions investigate fraud cases and regularly monitor financial performance. 26% of Ukrainian companies have suffered losses caused by fraud ranging from $

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210 50,000 to $ 1 million during the last two years, and 3% of Ukrainian respondents have reported fraud losses of more than $ 5 million (PwC, 2020).

Statistics of developed countries concerning fraud rate show that this issue is topical for many countries. 81% of US organizations were attacked by payment fraud in 2019, which is the second highest percentage since 2009. However, only 60% of them have implemented anti-fraud policies. The level of missing card fraud (CNP) continues to grow from year to year in Europe.

Within the Single Euro Payments Area (SEPA) in 2018, CNP fraud amounted to € 1.43 billion of fraud losses, which is 17.7% more compared to 2017. In contrast, ATM fraud decreased by 14.7% from 2017 to 2018, which is largely due to the increasing use of chip-and-pin transactions cards in ATMs (Merchant Savvy, 2020).

This situation can adversely affect not only the profitability of banking institutions, but also macroeconomic variables (Bhasin, 2016). The growing level of financial fraud, the consequences it leads to and the low effectiveness of combating against such crimes indicates the expediency of determining an effective system for detecting and combating financial fraud in the banking sector The article aims to identify effective ways to combat banking fraud in Ukraine on the basis of a systematic analysis of theoretical experience and practical measures to combat fraud in the banking system.

Methodology Banking fraud is the subject of interdisciplinary research. The object of study refers to research areas of law, economics and psychology.

Therefore, a comprehensive analysis of banking fraud, which includes general theoretical and special methods of cognition, is appropriate. The methodological basis of the study includes such general scientific methods as the dialectical method of scientific knowledge, which determines the development of banking fraud, as well as the relationship between banking fraud and other crimes (corruption, cybercrime, money laundering). Using the classification method, the main types and forms of bank fraud are identified. System analysis allowed to determine the causes of fraud in the banking sector. The grouping method and the system-structural approach allowed to classify modern frauds in the banking sector. The logical-legal method allowed to determine the main measures to

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combat banking fraud in Ukraine. The method of comparative law, which is used to compare the legislation of countries with low levels of banking fraud, has identified effective measures to combat and reduce fraud in the banking system. Due to the method of generalization, conclusions and proposals for research are formulated.

Literature review As reported in ACFE (2014), banking institutions are becoming more susceptible to fraud, although various control measures have been implemented. A global survey concerning bank fraud was conducted by KPMG company (2013) reports that 85% of respondents believe that fraud is increasingly occurring in the industries inclined to fraud risk. The banking industry is mainly an industry of risk, and one of the industries that is classified as an area of high fraud risk (Kingsley, 2012). The propensity of the banking sector to fraud risk also affects the level of money laundering. “Increasing the level of money laundering is influenced by incomplete identification of users when using Internet banking and online transactions; evasion of financial institutions from conducting audits for fear of losing their customers' trust” (Vitvitskiy et al, 2021a).

V.V. Pivovarov (2013) notes that latent crime in the banking sector is a vivid and visible manifestation of corporate crime committed in the banking sector. "The most common crimes in the banking sector is fraud using payment cards and their details, unauthorized debiting of bank accounts, interference with Internet banking, the spread of computer viruses, DDoS-attacks on Internet resources, fraud in information networks." (Vitvitskiy et al, 2021b).

Among the scientific approaches to understanding the concept of "financial fraud" the similar approaches can be distinguished, which, in turn, can be divided into two groups: scientific-theoretical approach and practical functional approach (Rodchenko & Zhivko, 2020).

According to the scientific-theoretical approach, financial fraud is understood as a set of interconnected and common in terms of forensic technology selfish encroachments on the financial resources of the state, business entities and citizens, committed by deception and abuse of office (Cherniavskyi, 2010). Financial fraud is a criminological phenomenon that constitutes a criminal activity and is expressed in a system of

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criminal and legal actions committed by deception or abuse of trust in the process of formation, distribution and use of funds for material gain (Chernyshov, 2014).

Wells (2008) puts emphasis on the use of one's probably official position for personal enrichment. Fraud is one of the most serious, expensive, stigmatizing and punitive forms of liability imposed on today's corporations and financial markets (Buell, 2011; Green, 2007).

According to Agwu (2013), fraud is considered as any illegal act characterized by deception, concealment or breach of trust. These actions do not depend on the threat of violence or physical force. Entities and organizations commit fraud to obtain money, property or services; to avoid payment or loss of services; or to provide personal or business advantage. Research on fraud detection and prevention has been highlighted in audit procedures and appeal to "Red Flags". As explained by Gullkvist & Jokipii (2013), "Red Flags" is a warning sign or symptom that indicates the likelihood of fraud for professionals in the field of financial criminology.

In terms of financial market activities - banking, securities and insurance - fraud is given more specific meaning and is best understood as illegal falsification or manipulation of financial information (Neil & Roehrkasse, 2013).

Financial information is considered as a support for financial market operations (Lomnicka, 2008).

There are two types of fraud in criminal proceeding related to banking activities; in particular external and internal fraud (Sanusia et al, 2015). Fraudsters are divided into three main groups: "household" (individuals) fraudsters, professional fraudsters and borrowers who use the services of professional fraudsters (Kuznetsova, 2016a; Siddiqi, 2006). It is also important to identify friendly fraud, also known as "civil fraud" or "family fraud." This applies to fraud committed using information, which belongs to an intimate friend or a family member (Bhasin 2007).

The strongest protection against this type of fraud is to emphasize to clients the importance of maintaining the complete confidentiality of their passwords (Haugen and Selin, 1999; Agwu, 2012).

The ways to commit fraud in the banking sector are distinguished as follows, depending on: intent; typical traces; the stage of entering knowingly false information; type of credit and banking transaction; the nature of the mechanism for obtaining a credit and banking transaction; the nature of the employment relationship of the entity with the banking institution; existence of certain agreements; the method of entering knowingly false information in the documents; the actions for preparation and concealment. О.V. Krishevich (2012) classifies bank fraud in criminal proceedings according to three grounds: 1) the type of banking operations by means of which the crime is committed; 2) the nature of the relationship of the subject of the crime with the bank; 3) separate mechanisms of criminal activity.

A. Mordvinkin (2014) offers several classifications relating to financial fraud in a commercial bank:   

classification of the type of events which have led to losses; classification of bank fraud; classification of credit fraud types of legal entities.

The key contributing factor facilitating fraud is poor internal control (KMPG, 2019) and poor corporate governance practices (Beasley, 1996; ACFE, 2014). As banking institutions carry out a wide range of activities, fraud can potentially be committed by various parties, including shareholders, depositors, borrowers, staff, and the bank itself.

The main causes of fraud in the banking sector are: the lack of standard customer verification procedures and the unavailability of reliable information about the customer's credit history; lack of a unified register of employees of credit and financial institutions, imperfection of public relations legal regulators; inefficiency of the bank activities control system, low level of material security of the population and unemployment (Klochko, 2015).

Fraud is committed for the following reasons: perceived pressure, anticipated opportunity and rationalization. These three elements or basic concepts were taken from the "Fraudulent Triangle Theory" founded by Donald R. Cressey (Omar et al., 2010).

The ways of committing fraud in the banking sector are classified by L.I. Kriushenko (2015).

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212 Analyzing the threats to banking security, O.I. Baranovskyi (2014) has noted that the significance of classifying financial security threats lies in the need to assess soberly the current situation, assess the negative aspects and trends of their development, group negative and positive actions of factors and on this basis to develop sound recommendations for making specific decisions to ensure the appropriate security level.

Ukraine is one of the leading countries in the world regarding bank fraud and is among the top five countries where bank payment transactions are unsecured. 19% of transactions suspected of fraud turned out to be really fraudulent. This index exceeds the fraud extent in other countries.

Thus, in 2017 with the help of cyber fraud, 8900 dollars were withdrawn from the cards of Ukrainian citizens (Fraud Digest, 2017).

The largest share of fraudulent bank transactions carried out applying social engineering methods (41%) was implemented using fitting and pretexting. The essence of such fraudulent actions is to defraud payment card data from customers and gain access to accounts and stolen funds. The victims of social engineering are usually people of retirement age (aged 55 and older) - 15% and middle-aged people (aged 3544) - 13%. The popular method of money stealing from bank customers is through ATMs (32%) and via the Internet (16%). Taking into consideration the popularity of these types of bank fraud, banks need to develop ways to protect their transactions. In fairness, it should be noted that bank fraud implemented using social engineering is not only a problem of Ukraine, but a global problem (Rodchenko & Zhivko, 2020).

Often the victims of ATM fraud (in particular, by "trapping" and "phantom" method) are people who do not live permanently in the relevant area, namely tourists. Insufficient awareness, combined with the stressful situation created by a fraudster, contributes to the victimization of such persons and attracts the increased attention of criminals (Afanasenko, 2014).

In the field of bank card fraud, the victim's behavior plays a decisive role. According to scientists, the main reasons for the crime commitment are the inattention of the victim, lack of sufficient critical thinking, his or her own carelessness and propensity to risk-taking. K.L. Popov (2015) notes that risk often becomes the last argument for a person in favor of participation in situations of doubtfulness or uncertainty, which involve obtaining significant

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benefits, achieving significant advantages, but at the same time are potentially dangerous given the possibility of unpleasant consequences.

The difficulty of legal regulation of bank fraud in criminal proceedings is that fraud must involve both dishonesty and intent to either gain benefit or cause damage (which must be a profit or loss in terms of money or other property). Such traits are subjective classifications and therefore they are difficult to be justified objectively (Sharma, 2004; Agwu, 2013). Fraudsters are becoming more sophisticated, which means that fraud precautions should be constantly evolving to ensure that they are able to counter the threat (Agwu, 2014).

For example, most types of fraud in the UK fall under one of the laws. The Law on Fraud establishes certain types of fraud that cannot easily fit into the categories of this law. These include possession of documents (including electronic data and programs) for fraudulent use, drafting such documents to obtain services dishonestly (Okpara, 2009).

French statistics on the level of bank fraud show the effectiveness of the system for combating these types of crimes. According to the French Observatory for Payment Security (OSMP), the figures for 2017 show that losses decreased by 9.8% (467.0 million euros) compared to 2016. In the UK, there is an increase in banking fraud. In 2016, bank card fraud in the UK caused losses of 8.8% more than in 2015. However, in 2017 there was a decline of 8.4% since 2016. In May 2019, the UK developed a new payment security system in which the CoP is an important tool to prevent payment fraud (Nets Fraud & Dispute services, 2019).

Rodchenko & Zhivko (2020) states that banking payment systems that have poor protection may lose customers because they may be subject to fraud. Involving large sections of the population in non-cash transactions and the possibility of sustaining losses among them turns bank fraud not only into a problem of banks, but into a social problem. This problem needs to be solved comprehensively with the involvement of the state, population, banks, and investors.

Results and discussion The main ways to commit banking crimes can be divided into 4 main groups: 1.

Information interception: direct interception and electromagnetic interception.

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2.

3.

4.

Unauthorized access to information: "computer boarding", "hoax", "disguise", "inconstant choice", "by the tail", "emergency", "by a fool", "break", "hatch", " warehouse without walls", "system lookyloos".

Manipulation of information: "Trojan horse in chains", "Trojan nest-doll", data substitution, code substitution, computer viruses, "salami", "logic bomb", "asynchronous attack", simulation, "kite", "bait trap".

Obtaining and using information for criminal purposes: software theft, theft of equipment through computer operations, money theft by obtaining secret codes, money theft by computer transfer, money theft by means of computer manipulation, introducing changes in the program (Dzhuzha, Golosnichenko, & Chernyavsky, 2000).

The use of special information technologies that would detect fraudulent plans of attackers at the stage of loan applications consideration is currently topical for the banking sector. In this respect, the important task of risk management is to distinguish between fraud credit risks and defaults (impossibility of further fulfillment of their credit obligations) (Buchko, 2013).

2.

3.

4.

The main way to combat fraud is to update constantly scoring models to detect fraud, change their parameters, increase the speed of operations monitoring, increase IT tools and maintain strong collaborative relationship with cyber police. It is offered to use scoring models and special scoring technologies to detect fraudulent actions at the stage of a loan application consideration or at attempt to obtain unauthorized money from bankcards. (Kuznetsova, 2016b).

The main reasons of bank fraud are: 

In world practice, different types of scoring are used at different stages of crediting, but not only at the stage of loan application consideration, continuing to assess the significance of the loan application throughout the life of the loan, as well as at the stage of debt collection and transfer to collectors. At any stage of credit history with the help of scoring, it is possible to solve various tasks, such as:



1.



Scoring according to current data during the application process - assessment of the potential borrowers' credit capacity based on

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the information provided during the credit transaction.

Scoring during the credit period, when assessing the dynamics of the borrower's credit account allows you to mathematically estimate the probability of the credit reimbursement.

Assessing the probability of full or partial reimbursement of the credit offers to determine the priority areas of work regarding borrowers, when their credit account is classified as "unsatisfactory".

Assessment of fraud possibility determines the likelihood of potential wrongful acts of the borrower (Narain, 1992).

   

imperfection of financial institutions internal control; low level of banks corporate governance practices; lack of standardized customer verification systems; information unavailability about the previous credit history of clients; lack of a unified register of banking institutions employees; imperfection of legal regulators of public relations in the banking system of Ukraine; low efficiency of the control system over the activities of banks.

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213

214

Figure 1. Fraud in the banking system.

Systematization of the main forms, types, methods and causes of bank fraud commission allows to assess the shortcomings and gaps that may affect the increasing level of bank fraud and identify possible ways to combat these types of crimes.

banking system shortcomings, the shortcomings of legal and regulatory framework and the actions of bank customers. To increase the effectiveness of combatting and counteraction to banking fraud, it is advisable to implement measures aimed at overcoming each group of factors.

Factors affecting the level of fraud in the banking system can be divided into three main groups: Table 1.

Factors increasing the level of bank fraud and possible ways to overcome it.

Shortcomings of Activities of bank legal and Banking systems shortcomings customers regulatory framework

Factor Low efficiency of banking activities monitoring Insufficient verification of bank customers

Opportunities for bank employees to commit fraud

Difficulties in detecting bank fraud Lack of interaction of banking institutions with law enforcement agencies Disclosure of personal financial information to relatives and friends Providing access to banking information to the third parties (fraudsters)

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Ways to overcome Establishing uniform standards for auditing and verification of banking activities in accordance with international standards Creating a single customer base of financial institutions, with preserving data concerning their credit history 1) creation of a single database of banking institutions employees; 2) establishing liability for bank employees for violating the standards of the banking institution activities.

Involvement of IT specialists, financiers and financial auditors in the process of detecting and investigating bank fraud Introduction of state standards of interaction between law enforcement agencies and banking institutions Informative activities with the bank customers in regard to the need to maintain the confidentiality of personal banking data Educational activities with the population on possible ways of committing banking fraud and the need to maintain the confidentiality of personal banking data

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That is, improving the effectiveness of banking fraud combating can be achieved through comprehensive implementation of changes in the security system and monitoring of banking activities, amendments to regulations and optimization of banking fraud investigations, as well as educational and informational activities for the population.

According to a study carried out by Sanusia et al, (2015), bank affiliates are more vulnerable to fraud. According to the results of the study, the level of fraud can be reduced by the following actions: 1) comprehensive verification of the documents submitted, for example, crosschecking of the information provided in the

certificates of salary, clarification of the employer's information about the position and status of the employee; verification of financial declarations and verification in other relevant authorities; 2) checking the applicant's credit history and the ability to repay the bank loan; 3) involvement of professional appraisers in the bank affiliates, who will carry out property appraisal.

Positive trends in reducing the level of bank fraud in developed countries indicate the effectiveness of combating these types of crimes.

Therefore, it is advisable to compare the antifraud system in the banking sector of developed countries and Ukraine.

Table 2. Anti-bank fraud system Country

Great Britain

Legal regulation The Fraud Act. (CPS, 2020).

Cooperation within FIRST, the International Telecommunication Union, Groups of European Computer Emergency Response Centers (EGC group), TF-CSIRT, NATO, OSCE, UN

Financial monitoring Is carried out by the Inland Revenue Service NCIS / ECU, which is subordinated to the UK Treasury and interacts with the National Criminal Intelligence Service, Customs and Excise, the Anti-Fraud Office and the National Investigation Service.

France

Digital Economy Law (Lexology, 2004).

Cooperation with the Federal Office for Information Security of Germany (BSI).

Administrative model of financial monitoring.

Activities of TRACFIN - a body, which is provided with information on setting up bank accounts of individuals and legal entities.

Italy

Italian legislation requires banks and other intermediaries to keep detailed records concerning residents' foreign exchange transactions in order to prevent fraud and money laundering attempts. (Di Vizio, 2017). The legislation provides for banks and other financial institutions to keep detailed documentation on all foreign exchange transactions of resident clients.

The state is obliged to monitor the detection and cessation of money laundering attempts. The monitoring is carried out by the Ufficio Italiano Combi UIC (SAR), which reports to the National Bank of Italy.

Identification of legal entities and individuals upon receipt or payment of cash (or its equivalent), bearer securities, the amount of which exceeds 12.5 thousand euros, is mandatory.

Spain

The Law on the Participation of Financial Institutions in Anti-Money Laundering and Anti- Drug Trafficking (1990), The Law on the Certain Measures against Money Laundering (Law 10/2010, 2010) and the Monetary and Financial Code (European Banking Federation, 2002).

The monitoring is carried out by TRACFIN, which is an agency of the French Ministry of Finance.

Among the subjects of financial monitoring, it is appropriate to mention auditors, accountants, tax advisors, organizations selling antiques and pieces of art. Financial monitoring entities are obliged to provide information to the financial intelligence unit on transactions if they involve the transfer of cash, checks or other documents to the bearer, as well as on transactions with residents of offshore jurisdictions in the amount exceeding 30 thousand euros.

USA

Legal Act - PATRIOT Act 2001 (Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism) Controlling bodies: The U.S. Department of the Treasury, Office of the Comptroller of the Currency, The Board of Governors of the Federal Reserve System), FinCEN (Financial Crimes Enforcement Network).

In 2020, the Anti-Money Laundering Law was approved.

The financial monitoring system is based on extending authorities of government bodies; strengthening and improving the procedure for financial institutions to implement measures to prevent fraud in the banking system.

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216 So, the international system of banking fraud combating is characterized by the following features:     

clear definition of the legal framework, subjects and objects of regulation; establishing strict liability for noncompliance with the law; interaction of structural subdivisions and controlling bodies within the country; international cooperation on the basis of international agreements and acts in regard to banking fraud combating; state control over financial monitoring of risk-oriented approach.

Based on the analysis of international experience, effective measures to combat banking fraud are as follows: 



   

investment in monitoring the implementation of the requirements of international financial institutions to combat financial crime (anti-money laundering and terrorist financing (AML CTF), bribery and corruption (ABC); introduction of integrated reporting, integrated management structures, integrated systems and staff responsibilities with fraud risk management and financial crime combating compliance (KPMG, 2019); changes in legislation with clearly defined subjects, objects of regulation and liability for breach of the law; increase of the country's cybersecurity, interaction with cyber police; combating money laundering and financing of terrorism, corruption and other interrelated crimes; involvement of external experts for risk assessment and financial monitoring.

At the same time, banking fraud is not a separate problem of modern society, which can be solved independently. Fraud in the banking sector is interrelated with the following social problems:    

increasing the money laundering and terrorist financing level; the presence of corruption schemes in the country, both in the financial, political and legal system; low material standard of living of the Ukrainian population; socio-economic and political instability.

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Therefore, combatting against banking fraud can not be considered separately from these social problems.

Therefore, improving the effectiveness of combatting against banking fraud can have a positive impact on solving these problems, reduce money laundering level, eradicate corruption in the banking system and promote socio-economic and political stability in the country.

Fraud in the banking sector can cause huge losses in terms of the financial market, banking and financial institutions and payment systems operation. From the point of view of customers' psychology, bank fraud can lead to customer distrust, which in the future may adversely affect the integrity and stability of the economy. Such influence can destroy the banking system and cause public discontent and political turmoil.

Another obstacle to combat fraud in the banking sector may be the inexperience and low level of awareness of employees in regard to fraud prevention. In this respect, it is important to train employees to combat fraud, which will positively affect the level of employees’ compliance and improve the attitude to banking procedures. The interaction of relevant committees, special public and interbank associations can have a positive effect on reducing the bank fraud level, due to the creation of common models for fraud detection and exchanging current information on existing ways of committing fraud, its detection and counteraction.

Maintaining the level of customer confidence in banking institutions can be reached through informational and educational activities that can protect the bank's customers from the confidential information disclosure and from the loss of money due to fraudulent actions.

In terms of banking institutions activity, work can be done to increase the efficiency of monitoring and tracking of suspicious banking transactions. Tracking the territorial position of financial transactions by the client will help to prevent fraud. If the transaction is carried out elsewhere in the country or in the world, by increasing control of the transaction - requesting additional information or confirmation of the customer, it is possible to avoid bank fraud commitment.

Effective counteraction of fraud in the banking sector and combatting it can be reached by introducing reliable information technology equipment of the bank's security service; introduction of a unified clients' database of relevant institutions, training of employees of

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credit (deposit) banking units concerning fraud prevention, organization of enhanced

cooperation between representatives of the financial sector and law enforcement agencies.

Figure 2. Anti-fraud system in the banking sector Factors affecting the level of banking fraud also include: 1) financial stability of the banking institution, the increase of which may help reduce the level of fraud; 2) complex bank transactions, poor financial performance, low capacity of the bank to pay debts may increase the level of fraud; 3) poor internal control over the activities of managers and employees of the bank may increase the level of banking fraud; 4) failure of bank managers to comply with the standards of the institution plays the greatest role as a factor in increasing the level of fraud (Nafchi & Dastgir, 2019).

These factors can be solved through the establishment of an independent board of directors, which will monitor compliance with the standards of the banking institution, the revival of a culture of honesty and trust among bank employees and conduct seminars and trainings for the staff.

Anti-fraud system in the banking sector should be comprehensive and systematic, including the interaction of the state, banking institutions and organizations conducting audit and control of bank activities. Coordinated actions in the following areas can be effective ways to combat fraud in the banking sector: banking institution management, legal regulatory support and technological area.

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Development of organization strategy and definition of control tools aimed at analyzing potential threats as a result of internal and external abuses; periodical training and education for bank employees, aimed at improving knowledge on detecting and combating fraud in the banking system; establishing an effective communication model between the banking units, the bank's security service and law enforcement agencies; reporting on the results of suspicious transactions monitoring and transferring relevant information to the security service and higher authorities; Regular assessment of the bank's operating procedures for compliance with statutory standards will be able to reduce the level of banking fraud and increase the security level of banking institutions.

The anti-fraud strategy in the banking sector should be focused not only on improving the security level, but also on creating conditions under which fraudsters will know that they will be punished for sure for the committed crime. In this respect, it may be effective to create conditions in which a fraudster will not be willing to commit a crime and will believe in a guaranteed punishment, which will turn worse than the reward for fraud, which will represent a warning factor.

It is important for the bank to be able to protect itself against fraudulent activities by strengthening the mechanism for detecting, mitigating and controlling fraud through prompt detection, investigation and information

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218 exchange. This can have a positive impact not only on banks security, but also ensure the resistance and stability of the financial system as a whole and maintain public confidence in financial institutions.

money laundering and terrorist financing.

Reducing the level of bank fraud in the country will help increase confidence in banking institutions, economic development and financial stability of the state.

Conclusion

Bibliographic references

This study was aimed at identifying the main trends in the causes and consequences of bank fraud, features and methods of committing such crimes. In order to determine effective ways to combat bank fraud, international legislation and the system of financial monitoring of developed countries, which are characterized by a low level of bank fraud, were analyzed.

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The increase in the banking fraud level can be influenced by: corporate crime, imperfection of banks safe operation ensuring system, rapid development of technology, information availability, financial transactions poor control, simplification of the bank customers identification system, shortcomings of legal and regulatory framework of banking institutions.

The analysis of the international bank fraud combating system revealed the features peculiar to the countries with high effectiveness in combating bank fraud: clear definition of the legal framework, subjects and objects of regulation, strict and guaranteed liability for breach of laws, interaction of structural units and controlling authorities at the domestic and international level, state control of financial monitoring of the risk-oriented approach.

It is possible to increase the effectiveness of bank fraud combating in Ukraine as a result of the implementation of the following measures: the application of countermeasures at the bank management level (creation of a standard customer verification system, training of bank employees to combat bank fraud, maintaining information confidentiality, enhancing customer identification control); at the state level (development of effective legal regulations, creation and interaction with cyber police, introduction of communication models between banks, the state and organizations conducting banking institutions audits); at the technological level (scoring models updating, creation of a unified register of banking institutions employees, involvement of IT specialists to increase the bank security system efficiency).

As a result of the study, it was concluded that bank fraud combating cannot be considered separately from combating against corruption,

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DOI: https://doi.org/10.34069/AI/2021.45.09.22 How to Cite: Riabokon, I., Fursa, Y., Tsybulska, O., Goncharova, A., & Kryzhevska, O. (2021). The concept of non-contractual obligations in inheritance law: international legal experience. Amazonia Investiga, 10(45), 221-229. https://doi.org/10.34069/AI/2021.45.09.22

The concept of non-contractual obligations in inheritance law: international legal experience Концепт недоговірних зобов'язань в спадковому праві : міжнародно-правовий досвід Received: August 1, 2021

Accepted: September 20, 2021

Written by: Ievgen Riabokon86 https://orcid.org/0000-0003-1003-4039 Yevhen Fursa87 https://orcid.org/0000-0002-2931-1393 Olha Tsybulska88 https://orcid.org/0000-0001-5534-4917 Alina Goncharova89 https://orcid.org/0000-0002-9815-0394 Olena Kryzhevska90 https://orcid.org/0000-0003-4989-6322 Abstract

Анотація

The article is devoted to the study and analysis of such areas of civil law as non-contractual structures, within the inheritance law of individual European Union countries, the emergence, development and implementation of such structures in regulations governing the inheritance procedures of countries such as Poland, Czech Republic, Republic of Lithuania and the Republic of Latvia. The purpose of the study in the monograph is a comprehensive analysis of the nature and specifics of legal and doctrinal bases of regulation and practice of noncontractual constructions in the inheritance law of individual EU countries (Poland, Czech Republic, Lithuania, and Latvia). As a result of the study the concept of non-contractual constructions of inheritance law is formed in the work.

The types of non-contractual constructions, first of all their dialectical classification, architecture and place in the system of inheritance law are singled out and analyzed. An analysis of their identification and separation in different states, depending on the legal family, traces the integrity of the

Стаття присвячена дослідженню та аналізу такого напряму цивільної правової науки, як недоговірні конструкції, в рамках спадкового права окремих країн Європейського Союзу, виникненню, розвитку та реалізації таких конструкцій в нормативно-правових актах, які врегульовують процедури спадкування таких країн як Республіка Польща, Чеська Республіка, Литовська Республіка та Латвійська Республіка. Мета дослідження в монографії полягає комплексному аналізі природи і специфіки нормативно-правових та доктринальних основ регламентації та практики реалізації̈ недоговірних конструкцій в спадковому праві окремих країн ЄС (Республіки Польщі, Чеської Республіки, Литовської Республіки та Латвійської Республіки). В результаті проведеного дослідження сформовано концепцію недоговірних конструкцій спадкового права. Виокремлено та проаналізовано види недоговірних конструкцій, насамперед їх діалектичної класифікації, архітектоніки та місця в системі

86

Ph. D., Associate Professor, Acting Head of the Department of Civil Law, Institute of Law, Taras Shevchenko National University of Kyiv, Ukraine.

87 Ph. D., Associate Professor, Ministry of Foreign Affairs of Ukraine.

88 Ph. D., Associate Professor of Department of International and European Law of National University «Odesa Law Academy», Ukraine.

89 Ph. D., Associate Professor at the Department of Criminal Law and Procedure, Sumy State University, Sumy, Ukraine.

90 Ph. D., Associate Professor of the Department of Notary, Enforcement Process and Advocacy, Prosecutor's Office, Judiciary of the Institute of Law of Taras Shevchenko National University of Kyiv Ukraine.

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fundamental structure of knowledge about the obligatory rights of the testator within the will, heirs and beneficiaries in their biocentric expression and in the context of social ties.

Emphasis is placed on rethinking and solving some problems in inheritance law, from the point of view of new world realities.

Keywords: non-contractual constructions, inheritance, inheritance law, will, heir.

спадкового права. Зроблено аналіз щодо їх ідентифікації та відокремлення у різних державах, залежно від правової сім’ї, прослідковано цілісність фундаментальної структури сфери знань щодо зобов’язальних прав заповідача в межах заповіту, спадкоємців та вигодонабувачів у їх біоцентричному вираженні та у контексті соціальних зв’язків. Зроблено акцент на переосмисленні та вирішенні деяких проблем у спадковому праві, під кутом зору нових світових реалій. Ключові слова: недоговірні конструкції, спадкування, спадкове право, заповіт, спадкоємець.

Introduction Recent trends in Ukraine have an impact on the vector of research in the field of jurisprudence, which is aimed at the legal systems of the member states of the European Union (hereinafter – the EU). Thus, the relevance of this article is due to the fact that in modern political, social, and economic situations in the world, the study of inheritance law is very valuable, as it has not only purely cognitive, academic but also political and practical nature, influencing social, economic and other components of countries, allowing to more clearly define all the inherent functions and impact of this type of rights on the world community, to outline the main activities, to more accurately establish the place and role in society, political, economic and social systems.

The twenty-first century marks the beginning of the transition to a new socio-cultural paradigm.

Critical knots of life practice of the end of the XX century, the shift of priorities from the state to civil society which is rapidly developing, and therefore the hereditary right changes and improves. At the legislative level, states are increasingly strengthening the protection of the personal interests of citizens, improving the procedure for performing notarial acts, and determining the role of the notary in the practice of inheritance law in notarial activities. This creates new rules of law at both the national and international levels.

The relevance of the research topic is due to the constantly changing world, and, consequently, the institute of inheritance law, the high degree of significance of problematic aspects of human life and death for both theoretical modeling and practical implementation of a set of legal norms, institutions, mechanisms, utilizing which the social and legal communications connected with

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understanding, legislative fixing, realization, and protection of the legal status of the person by non-contractual constructions are carried out.

Today, in the current geopolitical stage of the development of society, there is an urgent need for further steps towards compliance of national legislation with international law in the order of Ukraine's accession to the EU. Thus, EU member states, as well as other states, take an active part in the creation of such legal acts that regulate inheritance procedures.

Therefore, the study of foreign inheritance law is conditioned by the need to address issues that arise in the inheritance law of Ukraine and show that it is necessary to improve legislation through a detailed analysis of international inheritance law. We further proceed from the fact that the usual way of legal existence of a personindividual is his/her participation in civil relations of a private type (Kharytonov, Kharytonova, Kolodin & Tkalych, 2020). This will increase the level of legal culture of citizens and protect their interests in the implementation of inheritance rights.

This topic is especially relevant, in particular, for the preparation based on a generalization of previous scientific achievements, doctrinal research, which would trace the integrity of the fundamental structure of knowledge on the basics of non-contractual constructions in inheritance law in the context of social relations of individual EU countries, to rethink them in terms of the new world and domestic realities, which largely led to the choice of the research topic.

The purpose of the study in the article is to comprehensively analyze the nature and specifics

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of legal and doctrinal bases of regulation and practice of non-contractual structures in the inheritance law of individual EU countries, to establish the greatness of general provisions, and to characterize such structures on the example of Poland, Czech Republic, Of the Republic of Lithuania and the Republic of Latvia.

Theoretical Framework or Literature Review As of today, research in scientific circles on the problem aimed at studying the legal regulation of the possibility of disposing of property in the event of death through non-contractual constructions in the legal systems of the EU member states is fragmentary. In the field of scientific research, there are many works that analyze similar relations, but within the national legal field of Ukraine. Among the authors of such works, in terms of the characteristics of a similar order of the testator, called "testamentary disclaimer", provided by Art. 1237-1239 of the Civil Code of Ukraine (Law 435-IV, 2003), it is expedient to note Zaika (2007), Tsybulska, Voronina, Fomichova, Tokareva and Matiiko (2019). Zaika and Riabokon (2009), S. Fursa (2012), and E. Fursa (2013).

However, as already mentioned, a scientific analysis of the problem based on a study of current civil law was not conducted by several EU member states, and the problem, which is the title of the work, remains unsolved and therefore suggests that research within this work is timely.

Thus, the study is based on some of Ukraine's immediate neighbors, such as the Republic of Poland, the Czech Republic, the Republic of Lithuania, and the Republic of Latvia, given, firstly, their location in the immediate vicinity of Ukraine and, secondly, several such Today, the countries are strategic partners of our state in its pursuit of European integration, and thirdly, unshakable cooperation between Ukraine and these countries, such as the Treaty on Legal Assistance in Civil Matters, which has existed for sixteen years in a row between Ukraine and the Czech Republic (2001) Methodology The methodology of the article consists of several methods of scientific knowledge, namely: analysis, synthesis, historical, and comparative-lеgal.

Thus, the method of analysis allowed to study the rules of several civil codes of the EU, and correctly determine the essence of noncontractual constructions in inheritance law. In

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turn, the method of synthesis helped to see the whole picture of hereditary legislation and how the legislator went to regulate such relations.

In addition, the rules of inheritance law were considered by the authors in the historical context, which allowed to determine exactly what content the legislator invested in them. The historical method was used for this purpose.

The modeling method made it possible to determine what are the problems in the regulation of non-contractual structures in inheritance law and what are the ways to eliminate them.

Finally, the comparative law method showed how the rules of inheritance law of the selected EU countries are correlated, which, in turn, allowed to highlight the positive experience of each country in regulating the relations of inheritance law.

To achieve the aim of the study, the following tasks were set: to investigate the source base of civil law of individual EU countries on the example of the Republic of Poland, the Czech Republic, Lithuania, and Latvia and to determine the features of legal regulation and implementation of general provisions on testamentary dispositions and waiver of property by the testator within the will in case of his death; to compare a number of national legislations in the field of non-contractual constructions in inheritance law.

Results and Discussion The subject of discussion in this study is the analysis of the situation that exists in the field of unification of non-contractual structures in the national law of individual EU countries that directly regulate relations arising from the death of an individual or his death because inheritance is a sphere of relations, which will inevitably have to go through each person (Pavliv-Samoyil & Mekh, 2018).

Recognized cases of non-contractual obligations in inheritance law were those that arose as a result of the establishment in the will of responses in the form of legatum (per vindicationem and sinendi modo), as well as fideicommissa. The main difference between these responses was, firstly, in the historical period of their formation (legatum was known to the norms of jus civile, and fideicommissa appeared in the period of the empire), and secondly, in formalism (unlike legatum, which could established only within the will,

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224 fideicommissa was an informal request of the testator to the heirs in oral or written form to perform any action or transfer any property to another person) (Tsybulska, 2009; 2010).

Today, the civil law of the EU member states in the field of legal regulation of inheritance relations enshrines similar to the responses known to Roman law, constructions that result in non-contractual obligations between the heir and third parties – the beneficiaries (Valah, 2002).

This statement is based on a study of the inheritance law of states such as the Republic of Lithuania, the Republic of Poland, the Czech Republic, and the Republic of Latvia.

To cover the tasks, we will consider in more detail, first, the settlement of this issue by the legislation of the Republic of Lithuania.

The Civil Code of Lithuania (Law No. VIII1864, 1984) distinguishes certain types of orders "testamentinė išskirtinė". The division of this order into species took place depending on what is the subject of such expression of will within the will. The chief purpose of the testator's order in the will called "testamentinė išskirtinė" is to provide certain property benefits from the inheritance to third parties, beneficiaries, without burdening them with the relevant obligations that exist with such property and are part of the inheritance. The presence of such a will of the testator provided that the inheritance is accepted by the encumbered heirs and beneficiaries, gives rise to a binding legal relationship in which the encumbered heir is the debtor and the beneficiary is the creditor (Tsybulska, Voronina, Fomichova, Tokareva & Matiiko, 2019).

Today, the Republic of Poland is a member of the EU. Therefore, its legal norms must meet the same standards as European ones. Therefore, the analysis of certain norms of the inheritance law of Poland, which are aimed at regulating the possibility of disposing of one's property in case of death in favor of third parties who are not heirs, will be the object of research conducted within this work (Tsybulska, 2016ab).

The central act of civil law in the Republic of Poland is the Civil Code of 1964 (Law 1963, 1964). The fourth book entitled "SPADKI" is devoted to the hereditary law in this normative legal act. The possibility to make a will within the will in the form of an order called "zapis" is regulated by Articles 968, 970 - 981 (Chapter One "Zapis zwykły" Chapter Three "Zapis i polecenie", Title Three "ROZRZĄDZENIA NA WYPADEK ŚMIERCI", Book Poland).

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(Tsybulska, Voronina, Fomichova, Tokareva & Matiiko, 2019).

"Zapis windykacyjnyj" is an order of the testator within the will, through which certain persons are provided with property benefits from the inheritance. This conclusion can be made by reading the content of the rules provided for in Articles 9811 - 9816 of Chapter Two with the appropriate title "Zapis windykacyjnyj" of Chapter Three "Zapis i polecenie" Title of the third "ROZRZĄDZENIA NA WYPADEK ŚMIERCI" of the fourth book "SPADKI" of the Civil Code of Poland from 1964.

Thus, the analysis of the norms of the Civil Code of Poland aimed at regulating the vindication record, in some way fills the vacuum that exists in the national civil science and, therefore, can be used later in subsequent scientific works.

Acquaintance with the norms of inheritance law of Poland in a comparative context with the corresponding norms of Lithuania gives grounds to identify common and distinctive features inherent in a similar order, which the testator in making a will may provide in its content. Such orders are: "zapis" and "zapis windykacyjny" (Civil Code of Poland), "testamentinė išskirtinė" (Civil Code of Lithuania). Among the central criteria for the comparative characterization of these orders, it is worth noting the following: the method of establishing these orders; a list of "third parties" in whose favor such orders may be directed; their subject; the nature of legal relations arising from their establishment.

Inheritance in the Czech Republic (Law No. 89/2012, 2012) is governed by Chapter Three, entitled "Inheritance Law" of the Civil Code of the Czech Republic, according to paragraph 1475 of which, the inheritance law determines the right to property or a proportional share in it.

Issues related to the possibility of establishing a testamentary disclaimer in the will are directly addressed by the norms of the department of the third chapter of the third Civil Code of the Czech Republic with the appropriate title "Testamentary disclaimer". The first section of this section establishes the general provisions on the testamentary disclaimer, regulated by paragraphs 1594-1603, on the procedure for its establishment, the range of persons in whose favor it may be established, its subject, procedure and methods of execution, and grounds for revocation.

Of interest is the rule contained in paragraph 1478 of the Civil Code of the Czech Republic and

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provides for the right to act as a testator legal entity, which is just being created. Such a legal entity has the ability to be a testator if it is created within one year after the death of the testator.

Familiarization with the content of paragraph 1477 of the Civil Code of the Czech Republic makes it possible to argue that the subject of the testamentary disclaimer may be the right to demand the issuance / establishment of: a specific thing; one or more things of a certain kind (if necessary); of a special right.

The general provisions of the division of the third chapter of the third Civil Code of the Czech Republic also contain norms aimed at regulating the issue of revocation of testamentary disclaimer. These norms are provided by paragraphs 1602 – 1603 of the Central Committee of the Czech Republic.

Interesting is the approach of the legislator in regulating the relations arising from the establishment of the refusal, the subject of which is a monthly, annual, or payable in another period, assistance. The respondent acquires the right to the amount for the entire period of appointment of such assistance if he lives to its beginning. And such payment can be made only in the term established for it. However, the Civil Code of the Czech Republic within this section does not specify anything about the term and procedure for payment of such assistance if it is to be provided to the recipient for life, because it is unknown in advance how long such benefit will last.

In the case of a testamentary disclaimer of a certain thing, the testator receives the fruits and income from the time of execution of this order of the testator, as well as everything else that will be added to such a thing, including encumbrances. Thus, paragraph 1625 states that from that day on, the defendant is also responsible for the defects of the thing, as well as its deterioration or destruction, which arose as a result of circumstances for which no one is responsible.

Along with the already mentioned countries, it is interesting to study the current state of civil law regulation of inheritance in the Republic of Latvia, firstly, because its central act in the field of civil law – Latvijas Republikas Civillikums – Civil Law of the Republic of Latvia (Law 1937, 1937) was adopted in 1937. In 1938 it came into force, but two years later, in 1940, it was abolished and replaced by the Civil Code of the Latvian SSR. With Latvia gaining independence

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in 1990, the Civil Code of Latvia in 1937 was gradually restored in 1992-1993. That is why the study of its norms, in particular, the rules of inheritance law in the part aimed at legal regulation of the possibility to establish in the will an order called "legacy", is certainly interesting and relevant given the effect of its rules over time. The interest in studying the rules of inheritance law in Latvia is also justified by the understanding that Latvia is a member state of the EU, as well as the fact that between Ukraine and the Republic of Latvia in 1995 concluded an agreement (Ukraine and the Republic of Latvia, 1995).

Part Two of the Civil Code of Latvia, which includes eight sections, is devoted to inheritance law in the Republic of Latvia. The first section of this part provides general provisions of inheritance.

A will is a unilateral order that a person gives in case of his death in respect of all his property or a separate part of it, or certain things or rights, as provided in Art. 418 of the Civil Code of Latvia.

If, however, not the entire inheritance or its share, but only a separate subject of it is to pass to someone by will, such an order is called a legate, and the person in whose favor such an order is made is a legatee, specified in Art. 500 of the Civil Code of Latvia.

The legacy can be given by will or directly, or instructed to perform it to the heir or other legatee (Article 501 of the Civil Code of Latvia). A legatee can be required to give something to a third party, but only without reducing the value of the legacy he received. Otherwise, such a legatee has the right not to issue or perform anything that reduces the value of his legacy. If the legatee is obliged to transfer the entire legacy to a third party, then, following Art. 504 of the Civil Code of Latvia must also transfer the costs and interest he received from the legate.

In case of breach of the obligation by the person burdened by the legate, the legatee has the right to file a personal lawsuit against the heir for the issuance of the legate. If the legatee's property was owned by the testator but is in the possession of another person, then the legatee may sue each owner of such property, as the testator could have done so before his death (Pokrovskyi, 2004; Rasskazova, 2013).

On the example of the analysis of the rules of inheritance law, we can see that the influence of the rules of Roman law on non-contractual obligations in this area inevitably occurred. And

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226 this, in turn, increases the interest in a more detailed consideration of the outlined issue within the common space of the EU. In this context, it should be noted that today in each of the EU countries there are codifications of civil laws, so, in addition to the countries already outlined, we can mention France, where the French Civil Code of 1804 or the so-called "Napoleonic Code" (France, 1804) is the starting point codifications in Europe. In Germany, such a codified act is the German Civil Code of 1896 (Bürgerliches Gesetzbuch, (BGB) (Germany, 1896), also known as the Bismarck Code). Thus, the systematization of civil law in Germany, as can be understood, looking at the short time in the history of Western Europe in the nineteenth century, took place shortly after the codification of civil law in France.

Thus, given that from a legal point of view, a distinction is made between inheritance law systems that operate in foreign countries of continental Europe (most EU countries) and inheritance law systems that are specific to countries with Anglo-Saxon law (Ireland). The main difference between them is that in continental European countries the inheritance passes directly to the heirs, and in the countries with Anglo-Saxon law, it passes first to the third person and only then – to the heirs. In addition, in continental Europe, some countries generally follow the French model and countries for which the model is German law (Valah, 2002).

Thus, as we can see from all the above, in the states that are part of the EU, there is its national legislation with its traditions and, of course, stable in time. Therefore, there is a question about the motives for finding a common language in the form of common normative standards, in particular, in inheritance law, which will be mandatory in the EU. In answer to this question, we can agree with the view that today there is a problem of the reconciliation of two legal systems that exist in the EU – continental, and Anglo-American (Rasskazova, 2013). And if there is a problem, you need to find a tool with which you can find a common language to solve it.

Today, the basis of uniform standards in the field of private law should be considered the Draft General Reference Scheme, which includes the principles, concepts, and model rules of European private law (Principles, Definitions, and Model Rules of European Private Law. Draft Common Frame of reference (hereinafter – the

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Project or DCFR) (Study Group on a European Civil Code & the Research Group on EC Private Law (Acquis Group, 2009). The official translation of this Project in the CIS is the translation made by the Department of Civil Law of St. Petersburg State University, edited by Rasskazova (2013).

As can be seen from the content of this translation, it is a document created by scientists from EU member states. It consists of three parts.

The first defines the principles, the second - the model rules, and the third – the concept. The next step to determine the role of the Project as a tool for harmonization of inheritance law in the EU is to study its content. Acquaintance with the content of this document makes it possible to say that its rules are aimed primarily at regulating contractual relations, although there are some cases of non-contractual obligations, such as unjust enrichment, harm to another person, and actions in the interests of another person without his instructions (Tsybulska, 2014).

Thus, the following question that arises when determining the subject of legal regulation, which is aimed at the rules of the Project, the impact of DCFR on the relationship of inheritance is natural. And, quite logically, the answer about the impossibility of application of its norms at regulation of relations of inheritance is seen. However, each conclusion must be substantiated. Therefore, the confirmation of this position is the second paragraph of Article I.-1: 101. According to the content of this norm, some issues are excluded from the scope of the act, in particular, the status and legal personality of individuals, wills and inheritances, family relations, working capital instruments, labor relations, legal regulation of real estate, regulations on legal entities and civil process and enforcement proceedings (Rasskazova, 2013).

Thus, the first and main conclusion of this study can already be made, according to which the relations related to wills and inheritance are not regulated by the Project.

At the same time, the unambiguous perception of the instruction to exclude from the scope of the Draft issues related to hereditary succession does not mean the impossibility of applying its rules to relations that are closely related to inheritance but are not hereditary. Because the transfer of property based on inheritance due to the death of a person or recognition of his death provides for the possibility of the emergence or transfer of other rights and obligations that are not hereditary. Thus, from the testator, who during his lifetime was, for example, in any binding

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legal relationship that did not end as a result of his death, his rights as a creditor and his obligations as a debtor may be transferred by inheritance to other persons – his heirs, who, in turn, will enter into such a binding relationship on the part of the creditor or debtor, provided they accept the inheritance.

The example of hereditary legislation of Ukraine can be seen testamentary disclaimer (Articles 1237-1239 of the Civil Code of Ukraine (Law No. 435-IV/2003, 2003) and the testator's right to impose other obligations on heirs (Article 1240 of the Civil Code of Ukraine), which are the basis for binding legal relations. However, it should be remarked that these obligations arising from the establishment in the will of one of these testamentary dispositions are non-contractual.

Since, as already mentioned, the Project contains an exhaustive list of non-contractual obligations governed by its rules, namely: unjust enrichment, harm to another person, and actions in the interests of another person without his instructions, we encounter another problem based on the need nevertheless to determine the final possibility of using DCFR as a tool for harmonization of the norms of the current national legislation according to the EU standards. Given that the Project contains basic principles, model rules, and concepts, it would be appropriate to refer to the general rules governing all obligations that fall within the scope of the Project. Book three of the DCFR is devoted to these rules (Rasskazova, 2013).

Given the above, the conclusions regarding the impossibility of the Project to be a universal instrument of harmonization of absolutely all private legal relations should be considered reasonable, as its norms have a clearly defined scope. Therefore, DCFR will not always be able to be an effective way to find a compromise and apply its norms as a standard for regulating relations to which its norms do not apply. Among such relations are non-contractual obligations arising in inheritance law following the current legislation of the EU member states as a result of certain testamentary dispositions – testamentary disclaimer and the testator's imposition of other obligations on the heirs.

However, it would be impractical to conduct separate research without seeing a positive solution to the issue, which was crucial and key at the beginning of the conversation, therefore, the fact remains that the general provisions of the DCFR can exist as a standard proposed by the EU, as its rules at the level of general principles

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will have a direct impact on the regulation of all obligations, regardless of the reasons for their occurrence.

Conclusions Inheritance law in each of the countries selected for study allows citizens of such states to dispose of their property in case of death, defining their will in the will, which is directly aimed at protecting the personal interests of citizens, because many of them do not care who inherits their property after death. At the same time, the right of inheritance protects the interests of the family members of the deceased, which can be seen from the order of duty standardized in each civil code, which, of course, contributes to the strengthening of the family.

Inheritance in all EU countries analyzed in the study is a universal succession. And it is the inheritance that clearly reflects such a feature of universal succession as the simultaneous transfer to the successor of all rights and obligations that belonged to the testator, where at the time of opening the inheritance determines the composition of these rights and obligations.

Given the above analysis of civil law of the selected EU member states, it is seen that the features of non-contractual constructions in the inheritance law of such countries are related to the type of inherited rights, and in each case have both similar and different – special, for example, the difference in the capacity of the concept of the circle of "third parties". The task of the legislators of such countries is to create a legal mechanism for exercising the right to inherit, which will effectively enable each heir to inherit any property or obligations with the least legal problems for him, as can be seen, for example, from the Czech Civil Code. Republic, containing updated, taking into account the rapid pace of the rules of inheritance law governing noncontractual structures.

Accordingly, it is necessary to take into account some negative aspects in the national legislation of some EU countries, as well as to eliminate some gaps: at the legislative level it is necessary to simplify the registration of inheritance, to reform inheritance legislation, in particular within its non-contractual structures; it is needed to improve and approximate the national legislation of each EU member state to common European standards, as well as to introduce common and clear concepts, types and functions of non-contractual structures in EU inheritance law as a whole.

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Thus, analyzing the legislation governing noncontractual structures in the inheritance law of EU member states, it should be noted that the protection of both personal and common interests and their property is regulated at the highest level and by a large number of regulations, when both in the European (within the EU) level needs a more sustainable institution of inheritance and conflict resolution, where the general legal act must meet all the requirements of a new society based on a market economy, because DCFR will not always be able to be an effective way to find a compromise and apply its rules in the quality of the standard for the regulation of relations to which its rules do not apply.

At the same time, a detailed analysis of such legal constructions in inheritance law as noncontractual, given the well-founded interest in large volumes both within other EU countries and, in comparison with other countries, legal families by systems are possible already within the limits of further scientific works.

Bibliographic references France. (1804). French Civil Code 1804.

Recovered from https://fr.wikisource.org/wiki/Code_civil_de s_Fran%C3%A7ais_1804/Texte_entier Fursa, E. (2013). Inheritance with a foreign element: a comparative aspect, theory and practice. Bulletin of the Taras Shevchenko National University of Kyiv. Legal sciences, 4, 90-94.

Recovered from http://nbuv.gov.ua/UJRN/VKNU_Yur_2013 _4_29 Fursa, S. (2012). Theory of the notarial process Scientific and practical. Кyiv: Alerta.

Germany. (1896). Civil Code (BGB) Contents overview.

Recovered from https://www.gesetze-im-internet.de/bgb/ 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 Law No. 1937. Code of the Republic of Latvia.

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Recovered from https://likumi.lv/ta/en/en/id/225418-thecivil-law Law No. 1963. Civil Code of Poland. 1964.

Recovered from http://www.lex.pl/aktprawny/-/akt/dz-u-2016-380-u.

Law No. 435-IV/2003. Civil Code of Ukraine.

Bulletin of the Verkhovna Rada of Ukraine, Kyiv, Ukraine, January 16, 2003. Recovered

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from https://zakon.rada.gov.ua/laws/show/43515#Text.

Law No. 89/2012. Civil Code of the Czech Republic.

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Recovered from http://anesro.com/downl/zakon/892012_Sb.pdf Law No. VIII-1864. Civil Code of the Republic of Lithuania, 1984. Recovered from https://www.etar.lt/portal/ru/legalAct/TAR.8A39C83848C B/gPMmnMIfaR Pavliv-Samoyil, M., & Mekh, N. (2018).

Analysis of hereditary law of some EU countries. Law, 889(1), 176-181. Recovered from https://doi.org/10.23939/law2018.889.175 Pokrovskyi, I. (2004). History of Roman Law. Recovered from http://www.allpravo.ru/library/doc2527p0/in strum3503/item3635.html Rasskazova, N. (2013). Model rules of European private law. Moscow: Statute. ISBN: 978-58354-0952-5.

Recovered from https://www.twirpx.com/file/1337853/ Study Group on a European Civil Code, & the Research Group on EC Private Law (Acquis Group). (2009). Principles, Definitions, and Model Rules of European Private Law. Draft Common Frame of reference (DCFR).

Munich: Sellier. ISBN 978-3-86653-097-3 Tsybulska, O. (2009). Legal status of testators by testamentary disclaimer. Current questions of state and law, 51, 33-37. Recovered from http://nbuv.gov.ua/UJRN/apdp_2009_51_6 Tsybulska, O. (2010). The testator’s right to assume other responsibilities. Scientific Bulletin of Uzhhorod National University: Law Series, 13(1), 258-260.

Tsybulska, O. (2014). On the issue of improving certain rules of inheritance law of Ukraine on the basis of the basic principles of DCFR. Odessa: Phoenix.

Tsybulska, O. (2016a). "ZAPIS" as an order in case of death under the civil law of Poland.

Journal of Civil law, 21, 88–91. Recovered from http://dspace.onua.edu.ua/bitstream/handle/1 1300/8908/20.pdf.pdf?sequence=1&isAllow ed=y Tsybulska, O. (2016b). A testamentary disposition or the testator's right to impose other obligations on heirs. Journal of Civil law, 20, 103–106. Recovered from http://dspace.onua.edu.ua/handle/11300/867 1 Tsybulska, O., Voronina, N., Fomichova, N., Tokareva, V., & Matiiko, M. (2019).

Influence of Roman Private Law on the Basic

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Principles of Singular Succession in the Inheritance Law of Ukraine, Poland and Lithuania. Amazonia Investiga, 8(20), 144-54.

Recovered from https://amazoniainvestiga.info/index.php/am azonia/article/view/74.

Ukraine and the Czech Republic. Agreement between Ukraine and the Czech Republic on Legal Assistance in Civil Matters: International Document of May 28, 2001.

Official Gazette of Ukraine. Kyiv, 2006, No. 31.

Recovered from https://zakon.rada.gov.ua/laws/show/203_01 8#Text Ukraine and the Republic of Latvia. 1995.

Agreement between Ukraine and the

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Republic of Latvia on Legal Assistance and Legal Relations in Civil, Family, Labor and Criminal Matters: International Document of May 23, 1995. Official Gazette of Ukraine.

Kyiv, 2006, No. 47. Recovered from https://zakon.rada.gov.ua/laws/show/428_62 7#Text Valah, V. (2002). Inheritance law of foreign countries. International and foreign law.

Odesa: Legal State.

Zaika, Y. (2007). Inheritance law in Ukraine: Formation and development: Кyiv: КНТ.

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DOI: https://doi.org/10.34069/AI/2021.45.09.23 How to Cite: Bilyk, V., Kolomytseva, O., Myshkovych, O., Timoshik, N., & Shcherbatykh, D. (2021). Modeling sensitivity indices of industrial enterprise organizational change. Amazonia Investiga, 10(45), 230-241. https://doi.org/10.34069/AI/2021.45.09.23

Modeling sensitivity indices of industrial enterprise organizational change Моделювання чутливості показників розвитку промислового підприємства до організаційних змін Received: April 20, 2021

Accepted: August 30, 2021

Written by: Bilyk Victoriia91 https://orcid.org/0000-0002-5198-7904 Kolomytseva Olena92 https://orcid.org/0000-0002-6769-0590 Myshkovych Olha93 https://orcid.org/0000-0003-3136-0044 Tymoshyk Nataliia94 https://orcid.org/0000-0003-2089-0648 Shcherbatykh Denis95 https://orcid.org/0000-0001-5314-1884 Abstract

Aннотація

Evaluation of sensitivity of commercial enterprises to organizational changes should be made in terms of short-term planning for which it is important to ensure the financial results, as well as in terms of long-term planning, which is important for non-monetary indicators of development effectiveness. To solve this problem, the paper is designed model sensitivity Descriptive indicators of industrial enterprises to organizational changes, reflecting monetary and non-monetary effects of organizational change.

The authors determined that the proposed model allows for the analysis of organizational change with regard to their impact on monetary and nonmonetary efficiency.

This paper contributes to the theory and practice at the border to ensure a balance between shortterm and long-term development of industrial enterprises. Convincingly demonstrated the possibility of using research results in practice.

Оцінювання чутливості розвитку промислового підприємства до організаційних змін має здійснюватися в аспекті короткострокового планування, для якого важливим є забезпечення фінансового результату, а також у аспекті довгострокового планування, для якого важливим є негрошові показники ефективності розвитку. Для вирішення цієї проблеми, у статті розроблено дескриптивну модель чутливості показників розвитку промислового підприємства до організаційних змін, що відображає грошові та не грошові ефекти від організаційних змін. Авторами визначено, що запропонована модель дозволяє здійснити аналіз організаційних змін з врахуванням їх впливу на грошову та негрошову ефективність. Цей документ сприяє теорії та практиці на межі забезпечення балансування між короткостроковим та довгостроковим розвитком промислового підприємства. Переконливо демонструються можливості використання результатів досліджень на практиці.

91

Doctor of Economics, Professor, Educational and Socio-Cultural Management Department, Bohdan Khmelnytsky National University of Cherkasy, Ukraine.

92 Doctor of Economics, Professor, Head of the Department of Economic Cybernetics and Marketing, Cherkasy State Technological University, Cherkasy, Ukraine.

93 PhD in Economics, Senior Scientific Associate of the research department of Ternopil Ivan Puluj National Technical University, Ternopil, Ukraine 94 PhD in Economics, Associate Professor of Department Economics, Ternopil Ivan Puluj National Technical University, Ternopil, Ukraine 95 PhD in Finance, Associate Professor of Department Economics, Finance, Accounting and Audit, Cherkasy branch of Private Higher Educational Establishments European University, Cherkasy, Ukraine.

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Keywords: model, sensitivity, indicators, development, organizational changes, enterprise.

Ключові слова: модель, чутливість, показники, розвиток, організаційні зміни, підприємство.

Introduction In recent years, there has been dynamic changes in the industrial environment as a result of further innovations called Industry 4.0 (I.4.0), especially in the field of digital technology and manufacturing (Gajdzik, etc., 2021).

administrative processes and organizational structure. All this makes the complexity of the problem study effects of organizational changes in terms of the final account of their impact on the performance of the industrial enterprise.

Of all the types of changes that occur in an industrial plant during its development, special attention should be organizational changes.

Under the organizational changes we mean a set of changes to any organization providing transformation in managerial processes, organizational structures, methods of management decisions and other administrative elements of modernization or replacement of new (Chichkina, 2011).

This paper presents a model of sensitivity Descriptive indicators of industrial enterprises to organizational changes that could reflect monetary and non-monetary effects of organizational change. Implementation of the proposed model provides a balance between short-term and long-term development of industrial enterprises.

Today, most organizations use an approach to enterprise architecture (EA) as a tool to increase power management in the organization (Reyhaneh, etc., 2020).

In recent years, published many reports and articles about the need to introduce changes in the production processes in the context of sustainable development. The use of IT systems in production companies creates an opportunity to support the changes implemented in the context of adapting to the concept of sustainable development (Patalas-Maliszewska & Łosyk, 2020).

Managing the development of industrial enterprises through organizational change requires predicting how these changes will affect the performance of development. This prediction should take into account the diversity of situations that cause the need for organizational change and based on a structured method of evaluation of all components of organizational modernization of industrial enterprises. Almost any company faced with changes in their lifetime that require rethinking the business model to be more innovative. These changes are a great opportunity to improve revenues and expenditures, but the associated organizational complexity also has disadvantages through a set of relationships and connections within the firm (Rodríguez, et al., 2020).

For organizational change is inherent in complex, where changes in some processes necessitate corresponding adjustment and modernization of the organizational structure of industrial enterprise. Also, the need for organizational change are often the result of changes in the technological and production in industrial enterprises where new technologies and transition to production of new or improved products, entering new markets, etc. are to be accompanied by organizational changes. In addition to typical organizational change is the emergence of resistance when some part of the labor collective is interested in modernizing

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Literature Review

The main purpose of the study Arsenieva N., et al. (2019) an analysis and practical application of methods for assessing the studied processes for their future development.

The study Linling et al, (2018) analyzed changes in business performance and examined the corporate attributes that correspond to these changes.

The need for the introduction of organizational changes, new technologies and innovative products in the development of this area is beginning to define competitiveness (Tutak, Brodny & Dobrowolska, 2020).

The solution of various components of the problem of assessing the consequences of organizational change in terms of their impact on the development of industrial enterprise was Bezchasny O. (2018 а,b), who proposed to analyze the consequences of organizational change by assessing the effectiveness of organizational communications in industrial development projects. He proposes to evaluate organizational communications in the following areas: product design and development,

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232 production, implementation of orders, support, cooperation, technical control, testing of finished products (Rodríguez, et al., 2020). It is also proposed to carry out optimization of communication depending on the type of information (internal or external) and the entity that is the source of information (government agencies, financial institutions, partners, competitors, owners and managers of businesses, and ordinary workers). However, it should be noted that this study presents evaluation criteria, but does not establish their relationship with the types of organizational change and the situations that necessitated these changes. In addition, the concept of industrial enterprise development and its connection with the quality of organizational communications needs to be clarified, and criteria for optimizing organizational communications should be established.

The study (Chang & Cheng, 2019) developed an integrated multianalytical model of decision analysis to assess the sustainable development of manufacturing enterprises.

Dunska A. (2014) substantiated that the development of adaptive mechanism innovation management of industrial enterprise requires an appropriate organizational form separate to ensure consistency and coherence interests of the innovation process. To build the necessary organizational form of internal organizational practices such as changing the organizational structure, innovative forms of cross-functional relationships, new approaches to planning and control. In addition, Dunska A. (2014) proposes to create specialized units for the development of innovation proposals and program-target groups for the organization of the entire cycle of the innovation process. However, despite the need to use tools of economic and mathematical modeling to predict the development of the enterprise and the consequences of change, the necessary attention is not paid to the development of such tools.

Tarasova А. etc., (2019) offers industrial enterprises adapt to sudden changes in the external economic environment or changes in the trajectory of enterprises. Like others above, this approach lacks formal methods for calculating the quantitative effects of structural changes and justification of indicators of industrial enterprises should be used in the management of industrial enterprise.

Chernyavska I. (2018) investigated the mechanism of action of organizational and management transformation on the development

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of industrial enterprises and structural model proposed restructuring of industrial enterprises in accordance with the process of structural changes in the adapting to the environment. The directions and types of structural transformations are determined and the factors influencing the market value of an industrial enterprise are selected. Among the organizational changes that affect the value of the enterprise, I. Chernyavska separates transformation in the following areas: manufacturing, inventory management, working capital management, cost management, debt management, and financial management. The main change is the restructuring of equity production, management, liabilities, and assets management. Among the remarks to this approach is the lack of justification as to why its market value is chosen as an indicator of industrial enterprise development, as well as the insufficiently formalized approach to calculating the effects of organizational transformations on enterprise development.

Hroznyi I., et al., (2018) developed a simulation model base diversification of foreign interactions, enabling to evaluate the interplay of key economic indicators and their response to changes in balance. However, without denying the importance of the findings in the study, it should be noted that the proposed principles are not brought to the level of practical evaluation tools.

Shmatko N. (2016) believes that the main problems encountered in the implementation of organizational changes and assessing their effects are the contradictions that exist between the operational and strategic levels of planning structural changes. Therefore, assessing the implications of organizational changes proposed to use the design matrix approach and create a project team to manage the structural and organizational changes.

Despite significant scientific achievement obtained in these studies, it should be noted that the development has not made adequate sensitivity performance evaluation model of industrial enterprise organizational change.

Therefore, the basic idea of the study is to develop a model that will meet the following conditions: take into account the different types of organizational changes and their impact on typical indicators of industry;

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have formalized and structured instruments for quantifying the impact of organizational changes on the development of industrial enterprises; take into account the specifics of the domestic industry and available economic changes taking place in the economic environment.

negative, leading to degradation of the organizational system; neutral, supporting the activities of industrial enterprises in a state of homeostasis; positive, ensuring the development of an industrial enterprise.

Methodology The paper presents the research exercise sensitivity indicators of industrial enterprises to organizational changes in three main phases: situation analysis environment analysis solution space for the implementation of organizational changes and goal-setting. To calculate the efficiency formalized organizational changes and their impact on the development of industrial enterprise proposed to use the model sensitivity Descriptive indicators of industrial enterprises to organizational changes, reflecting cash and noncash effects of organizational change.

In managing the industry now proposed to separate the three main types of effects of organizational changes:

Moreover, the same organizational change can have a combination of different consequences for different components of the organizational system of an industrial enterprise. Also, organizational change can be both desirable and planned within the development and forced undertaken to minimize negative consequences.

Last often lead to the degradation of the system for example, such changes include reduction units responsible for forecasting and development of industrial enterprises by reducing costs under the economic crisis condition.

Analysis of how organizational changes in the industrial enterprise affect its development is proposed to be carried out according to the scheme is shown in Figure 1.

Figure 1. Research of sensitivity of indicators of development of the industrial enterprise to organizational changes.

Source: developed by the authors

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234 First of all, the study of the sensitivity performance of the industrial enterprise to the organizational changes necessary to carry out situational analysis of the environment in which operates an industrial enterprise.

Measuring the sustainability of industrial activity in manufacturing firms remains a major challenge for both policymakers and industry decision-makers, as many firms, especially small and medium-sized enterprises, try to interact properly with them (Trianni, etc., 2019).

The results of principal components analysis and cluster analysis show different clusters of firm behavior, depending on external stimuli and internal obstacles (Franco, 2021). It is necessary to determine exactly what factors caused the need for change, because it depends in which direction to development of industrial enterprises. Such factors may be changes in the external environment or internal processes of the industrial enterprise. Set these factors constitute an appropriate description of the situation that characterizes the state of the company and the type of situation that characterizes the state of the environment. Based on them, the type of situation is determined, which requires organizational changes.

Among the factors that characterize the state of the environment of an industrial enterprise, and which give rise to the need for organizational change, can be distinguish the following: occurrence of extensive growth opportunities for industrial enterprises to capture new markets or increase market share; lack of competitiveness of industrial enterprise that needs improvement in the area of organization management; changes in economic, tax, economic and other types of legislation; the development of the general economic crisis, which requires changes in the system of industrial enterprises for the content or use of targets for management development in new directions.

Typical factors that characterize the state of the company and require analysis in terms of organizational aspects are: Limitations of this environmental factors that prevent industrial enterprise to desired organizational changes. For example, the cost required to attract external funding, availability of appropriate experts in the labor market, legal restrictions and more.

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constant non-fulfillment of planned indicators, which is not caused by the influences of negative external factors; the change Development Targets given to owners and senior managers of the enterprise, for example, shift from maximizing profits to maximize the value of industrial enterprises; the transition of the enterprise to another stage of the life cycle, which requires appropriate changes in its structure and management methods.

Thus, as a result of factors external or internal environment formed situation that requires organizational change. These situations are: lack of resources for the maintenance of the current organizational structure, leading to negative changes due to the reduction and minimization of costs; the need to implement business processes that are not able to master the current organizational structure, resulting in the need to carry out reorganization or increase; the need to introduce other types of changes, which result is organizational change, which can lead to a simplification of the organizational structure and its expansion or reorganization.

Together with the situational analysis of the environment of the industrial enterprise at research of organizational changes it is necessary to carry out the analysis of space of decisions concerning realization of organizational changes.This is determined by: the availability of resources to implement the planned changes; initiators of organizational change; environmental restrictions.

For organizational change main resource is human resources that a sufficient number of qualified professionals who can perform improved or reorganized business processes. An alternative to human resources can be financial, ie attracting qualified professionals outside, but it is not always possible due to lack of necessary specialists in the labor market.

Initiated organizational changes can be both senior management at the enterprise development strategy of industrial enterprise, her middle management, who first noticed the discrepancy organizational capacity of industrial enterprise environmental requirements.

Situation analysis and environmental analysis solution space to implement organizational changes give reason for Targeting industrial enterprise in terms of implementation of organizational changes. The following stages are

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implemented: determine the impact on the organizational development of industrial enterprise implementation of organizational changes; analysis of the possible trajectories of organizational structure of industrial enterprise as a result of the changes.

each of these areas initiators changes required clarification and specification of what changes are expected for each of these areas. As a result, every change initiator must complete Table 1 of estimates how changes affect the key indicators of industrial enterprises (KPI, Key Performance Indicators).

The objectives of the organizational development of industrial enterprise by implementing organizational changes determined depending on what organizational changes are set to potential industrial enterprises within the constraints of the environment and the availability of resources to implement these changes.

Companies have to deal with different KPI, which helps to focus on the parameters of a particular company and are powerful tools in the management (Kaganski, etc., 2017).

Industry and academia require the development of a common and managed set KPI (Neri, etc., 2021).

Goals are set by interviewing the initiators of change, which should justify their consequences.

It is necessary to assess what is the expected effect of the organizational changes in characteristics such global efficiency of industrial enterprises as costs, revenues, market value. The analysis is proposed to be carried out in the following areas: changes in the organizational structure, changes in business processes, changes in staff qualifications. For

For industrial enterprises of Ukraine, carrying out organizational changes are most relevant key performance indicators such as production equipment load, percentage of the plan, index of customer satisfaction, the coverage ratio of strategic competencies. However, this list may be edited depending on the characteristics of each industrial enterprise.

Table 1.

Template for determining the relationship between the effectiveness of organizational development of industrial enterprises and organizational change according to the initiators of change.

The coverage ratio of strategic competencies

Customer satisfaction index

Percentage of implementation of plans

Concretization of the content of organizational changes

Direction of organizational change

Loading of production equipment

KPIs that depend on organizational change

Changes in the organizational structure Changes in business processes Changes in staff qualifications Source: developed by the authors Possible trajectory organizational development of industrial enterprise as a result of organizational changes depend on the following factors:

connection of key indicators of industrial enterprise activity with development indicators; confidence interval, which depends on the distance of the forecasting period.

resource costs required for organizational change:

Determining the impact on the organizational development of industrial enterprises

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236 implementing organizational change provides an opportunity to assess what organizational changes associated with the development of enterprises, and analysis of possible trajectories organizational efficiency of industrial enterprises from changes provide grounds for evaluating the strength of the connection and deviations. Thus, the stage is set sensitivity parameters Targeting organizational development of industrial enterprise organizational change by calculating the appropriate economic and mathematical models.

Model sensitivity indices of industrial enterprise organizational change is descriptive that can be used in management decisions based on simulation. First of all, it is necessary to synthesize the index of industrial enterprise that is representative in terms of display quality organizational development. This index should reflect both quantitative efficiency of organizational development in the form of profit growth as a result of organizational changes and increase the efficiency of quality that can be measured through the monetary effects, but affects the overall competitiveness of industrial enterprises in today's dynamic environment.

The effectiveness of organizational change in an industrial plant in monetary terms proposed to evaluate the ratio of increase in income from organizational changes and costs of these changes. The effectiveness of organizational change at the industrial enterprise in nonmonetary terms offered viewed as integral index of key indicators of industrial enterprises in the field of organizational support.

In turn, the effectiveness of organizational change on industrial enterprise in non-monetary terms is estimated as the arithmetic mean of all changes, and each change is evaluated by several key indicators as a geometric mean: 𝑂

𝐸 (𝑡 ) =

∑𝑛 ∆𝐷𝑛 (𝑡) ∑𝑛 𝑅𝑛 (𝑡)

,

where 𝐸 𝑀 (𝑡) – evaluating the effectiveness of the organizational development of industrial enterprises in monetary terms in the t-th month; ∆𝐷𝑛 (𝑡) – increase in income of an industrial enterprise in the t-th month due to the implementation of the n-th organizational change; 𝑅𝑛 (𝑡) – costs of industrial enterprise in the t-th month because of the n-th organizational changes.

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𝑁

,

where 𝐸 𝑂 (𝑡) – evaluation of the effectiveness of industrial enterprise organizational changes in non-monetary terms in the t-th month; 𝜕𝐾𝑧𝑛 (𝑡) – z-year growth of key performance indicators of industrial enterprises in the organizational field in the t-th month because of the n-th organizational changes; 𝑁 – number of organizational changes planned in the strategy.

The calculation of the efficiency of each organizational change as geometric mean grounded so that it better meets the objective analysis of normalized values and analysis of dynamic phenomena (Senthil, 1997) Thus the key indicators of industrial enterprises, which can be from 0 to 100, normalized using a power function to provide greater importance growth rate at its low values (which are critical for industry) and reduce the importance of approaching the maximum possible value.

1 𝑃𝑧(𝑡) − 1 𝑘 1+ 1 −1 𝑘100 𝜕𝐾𝑧 (𝑡) = ⁄

The overall efficiency of organizational development of industrial enterprises in monetary terms is calculated as: 𝐸 𝑀 (𝑡 ) =

𝑧 ∑𝑛 (√ ∏𝑧 𝜕𝐾𝑧𝑛 (𝑡))

1+

1 𝑘𝑃𝑧(𝑡−1)

−1

,

1 −1 𝑘100

where 𝜕𝐾𝑧 (𝑡) – increase normalized value z-th key performance indicators of industrial enterprises in the organizational field in the t-th month; 𝐾𝑧 (𝑡) – normalized value z-th key performance indicators of industrial enterprises in the organizational field in the t-th month; 𝑘 – saturation factor that reflects the importance of changing the key indicator of industrial enterprises in the field of organizational depending on approaching the maximum possible value;

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1,2

1,04

1

1,03

0,8

1,02

0,6

1,01

0,4

1

0,2

0,99

0

0,98

Growth Kz

Thus, while reducing the growth rate of the importance of efficiency in the process of approaching the maximum possible value, respectively, decreases the growth rate of this index as shown in Figure 2.

0 6 12 18 24 30 36 42 48 54 60 66 72 78 84 90 96

Kz

𝑃𝑧 (𝑡) – the z-th key performance indicators of industrial enterprises in the organizational field in the t-th month.

The value of key performance indicators of industrial enterprise in organizational sphere Figure 2. The valuation of key performance indicators of industrial enterprises in organizational sphere at k=1,03 Source: developed by the authors Significantly improve performance indicator industrial enterprise organizational changes in non-monetary terms could lead to deterioration of efficiency in monetary terms, since the implementation of all planned changes will increase costs and do not always lead to a proportional increase in revenues. At the same time, too much attention is given to that performance indicators in monetary terms can lead to short-term increase revenues or reduce costs, but also the degradation organizational areas of the company. For example, the reduction of non-production departments can reduce costs, but to leave the company without the necessary planning and forecasting system. The objective of organizational development management in industrial enterprises is to provide such a path of development, in which both performance indicator are in balance.

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Thus, the model sensitivity indices of industrial enterprise organizational change provides an opportunity to analyze organizational changes with regard to their impact on the effectiveness of monetary and non-monetary, thus ensuring a balance between short-term and long-term development of industrial enterprises.

Results and Discussion Approbation proposed model implemented at JSC Starokramatorsk Machine-Building Plant.

This company has organizational problems in the area, one manifestation of which is the continuous increase in administrative costs that do not have the desired effect as improve profitability, increase in sales etc. Thus, from 2015 to 2020, the administrative costs of JSC Starokramatorsk Machine-Building Plant increased threefold, from 15,719 thousand UAH up to 49042 thousand UAH is shown in Figure 3.

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238

333159

332561

300000

49042 40665

230468 35960

200000 150000

37163

164474

148263

40000 30000 20000

15719

13186

10000

50000 0

50000

264120

250000

100000

60000

2015

2016

2017

2018

2019

Administrative expenses, thousand UAH

Sales of products, thousand UAH

350000

0 2020

Figure 3. Dynamics of revenues from sales and administrative costs of JSC Starokramatorsk MachineBuilding Plant.

Source: developed by the authors At the same time labor costs from 2015 to 2020 increased by only 51%, operating expenses decreased by 18%, revenues from sales of products (goods and services) increased by 46%.

The net financial result of JSC Starokramatorsk engineering plant did not meet the increased costs, and in the last two years became negative as shown in Figure 4.

Figure 4. Dynamics of net financial result of JSC Starokramatorsk Machine-Building Plant, thouthand UAH Source: developed by the authors

Consequently, a significant increase in available administrative costs, which was not accompanied by effects such as improving financial results, on the contrary, the effectiveness of JSC Starokramatorsk Machine-Building Plant deteriorated and the last two years the company is unprofitable. This is due mainly targeting businesses in the internal market, noncompliance of the organizational structure of the task, lack of qualified personnel, too many administrative staff. To overcome the problems

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in the organizational sphere of JSC Starokramatorsk Machine-Building Plant should make reducing the administrative personnel by consolidation units, training of marketing personnel to enter foreign markets, staff development planning and finance department, professional production staff to increase productivity, improve business process planning and forecasting.

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Expected effects of the implementation of organizational changes at JSC Starokramatorsk Machine-Building Plant as key indicators of growth and income businesses are shown in

Table 2. Estimates given in percentage points, that calculation is a refinement of the basic prediction of the enterprise without change.

Table 2.

Expected effects of the implementation of organizational changes at the JSC Starokramatorsk MachineBuilding Plant.

Increased coverage ratio strategic competencies

Increase customer satisfaction index

Organizational changes

Increasing the load factor of production equipment Increasing the percentage of implementation plans

Increase revenue or reduce costs

Expected effects

Reduction of management staff by consolidation of divisions

+3,5 р.р.

---

---

---

---

Advanced training marketing personnel to enter foreign markets Advanced training of the staff of the planning and finance department Advanced training production personnel to increase productivity

+10 р.р.

+6 р.р.

---

+8 р.р.

+4 р.р.

---

+3 р.р.

+6 р.р.

---

+2 р.р.

---

+3 р.р.

+2 р.р.

+4 р.р.

---

Improving business planning and forecasting

+1,5 р.р.

+2 р.р.

+2,5 р.р.

---

---

Source: developed by the authors Thus, the estimation of sensitivity performance of the industrial enterprise organizational change provide grounds for development strategy of overall development of JSC Starokramatorsk Machine-Building Plant.

Conclusions The study authors found that organizational change is one of the most important components of change industrial enterprises, as domestic industrial organizational inertia inherent in the management due to inheritance of institutions since the Soviet planning system. For organizational change is inherent in complex, where changes in some processes necessitate corresponding adjustment and modernization of the organizational structure of industrial enterprise. Also, the need for organizational change are often the result of changes in the technological and production in industrial enterprises where new technologies and transition to production of new or improved products, entering new markets, etc. are to be accompanied by organizational changes.

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The authors propose to study the sensitivity of industrial development indicators to organizational change in three main stages: situational analysis of the environment, analysis of the space of decisions on the implementation of organizational change and goal setting. To calculate the efficiency formalized organizational changes and their impact on the development of industrial enterprises Descriptive models developed sensitivity indices of industrial enterprise organizational change, reflecting monetary and non- monetary effects of organizational change.

The presented model in this study can be used in management decisions based on simulation. The authors have shown that it is necessary to synthesize the index of industrial enterprise that is representative in terms of display quality organizational development. This index should reflect both quantitative efficiency of organizational development in the form of profit growth as a result of organizational changes and increase the efficiency of quality that can be measured through the monetary effects, but

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240 affects the overall competitiveness of industrial enterprises in today's dynamic environment.

Further development of indicators of sensitivity studies of industrial enterprise organizational change will be to clarify and expand the list of effects of organizational changes on the basis of their features.

Bibliographic references Arsenieva, N., Putyatina, L., Barsova, T., & Golov, R. (2019). Modern problems of diversification of the activities of high-tech enterprises in the context of economic growth. Amazonia Investiga, 8(24), 353-362. https://amazoniainvestiga.info/index.php/am azonia/article/view/993 Bezchasny, O. (2018a). Optimization of organizational communications in the process is an industrial enterprise. Scientific notes of Tavriya National University named after VI Vernadsky, Economics and Management, 29(68), № 3, 54-58.

Bezchasnyi, O. (2018b). Evaluation of the effectiveness of organizational communications at an industrial enterprise in the process of implementing development projects. Scientific Bulletin of Kherson State University, Economic sciences, 30(3), 78-83.

Chang, A.Y., & Cheng, Y.T. (2019). Analysis model of the sustainability development of manufacturing small and medium- sized enterprises in Taiwan. Journal of Cleaner Production, 207, 458-473. https://doi.org/10.1016/j.jclepro.2018.10.025 Chernyavska, I. (2018). Mechanisms of influence of organizational and managerial transformation on the development of industrial enterprises. Economic analysis, 28(2), 200-212.

Chichkina, V. (2011). Methodological aspects of organizational transformations based on business processes of an industrial enterprise.

National economy. Issues of innovative development, 1, 19-23.

Dunska, A. (2014). Organizational methods of ensuring the functioning of the innovative mechanism of development of industrial enterprises. Scientific Bulletin of Kherson State University, Economic sciences,7(2), 190-193.

Gajdzik, B., Grabowska, S., & Saniuk, S. (2021).

A Theoretical Framework for Industry 4.0 and Its Implementation with Selected Practical Schedules. Energies, 14(4), 940. https://doi.org/10.3390/en14040940 Hroznyi, I., Kuzmak, O., Kuzmak, O., & Rusinova, O. (2018). Modeling management

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of diversification of foreign economic interactions. Problems and Perspectives in Management, 16(1), 155-165. https://doi.org/10.21511/ppm.16(1).2018.15 Kaganski, S., Majak, J., Karjust, K., & Toompalu, S. (2017). Implementation of Key Performance Indicators Selection Model as Part of the Enterprise Analysis Model.

Procedia CIRP, 63, 283-288 https://doi.org/10.1016/j.procir.2017.03.143.

Mirsalari, S.R., & Ranjbarfard, M. (2020). A model for evaluation of enterprise architecture quality. Evaluation and Program Planning, 83, 101853. https://doi.org/10.1016/j.evalprogplan.2020.

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Neri, A., Cagno, E., Lepri, M., & Trianni, A. (2021). A triple bottom line balanced set of key performance indicators to measure the sustainability performance of industrial supply chains. Sustainable Production and Consumption, 26, 648-691 https://doi.org/10.1016/j.spc.2020.12.018 Patalas-Maliszewska, J., & Łosyk, H. (2020). An Approach to Assessing Sustainability in the Development of a Manufacturing Company.

Sustainability, 12(21), 8787. https://doi.org/10.3390/su12218787 Rodríguez, R., Molina-Castillo, F.J. & Svensson, G. (2020). The mediating role of organizational complexity between enterprise resource planning and business model innovation, Industrial Marketing Management, 84, 328-341, https://doi.org/10.1016/j.indmarman.2019.09 .007.

Senthil, M. (1997) Applications of the Geometric Mean. University of Toronto Mathematics Network, http://www.math.toronto.edu/mathnet/questi onCorner/geomean.html.

Shmatko, N. (2016). Organization of planning of structural changes in the process of industrial enterprise development.

Development management, 4, 138–143.

Stefano, F. (2021). The influence of the external and internal environments of multinational enterprises on the sustainability commitment of their subsidiaries. A cluster analysis, Journal of Cleaner Production, 297, 126654 https://doi.org/10.1016/j.jclepro.2021.12665 4.

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. https://doi.org/10.14807/ijmp.v10i5.890

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Trianni, A., Cagno, E., Neri, A., & Howard, M. (2019). Measuring industrial sustainability performance, Empirical evidence from Italian and German manufacturing small and medium enterprises. Journal of Cleaner Production, 229, 1355-1376, https://doi.org/10.1016/j.jclepro.2019.05.076 Tutak, M., Brodny, J., & Dobrowolska, M. (2020). Assessment of Work Conditions in a Production Enterprise - A Case Study.

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Sustainability, 12(13), 5390. https://doi.org/10.3390/su12135390 Zhang, L., Long, R., Chen, H., & Huang, X. (2018). Performance changes analysis of industrial enterprises under energy constraints. Resources, Conservation and Recycling, 136, 248-256 https://doi.org/10.1016/j.resconrec.2018.04.0 32.

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DOI: https://doi.org/10.34069/AI/2021.45.09.24 How to Cite: Minyar-Beloroucheva, A., & Sergienko, P. (2021). Linguistic approach to axiological particularities of PR discourse study as an interdisciplinary field. Amazonia Investiga, 10(45), 242-251. https://doi.org/10.34069/AI/2021.45.09.24

Linguistic approach to axiological particularities of PR discourse study as an interdisciplinary field Аксиологический подход к изучению лингвистических особенностей PR дискурса как междисциплинарной области Received: July 21, 2021

Accepted: September 30, 2021

Written by: Alla Minyar-Beloroucheva96 https://orcid.org/0000-0002-9760-3857 Polina Sergienko97 https://orcid.org/0000-0002-8443-1654 Abstract

Аннотация

The topicality of this research is explained by the increased interest in public relations (PR) discourse as a response to the challenges of the present. The main objective of the research is linguistic study of PR discourse from the standpoint of interdisciplinarity. It is important to examine not only the peculiarities of PR pragmatics aimed at achieving the hearts of people, but also the linguistic means employed

by PR managers in their practice to influence and control public opinion. Linguocultural research as part of an interdisciplinary approach to PR discourse implies its anthropocentriccommunicative interpretation to carry out an integral linguistic analysis of PR discourse that forms its interdisciplinary core as well as its genre-stylistic particularity. The results and discussion given in the body of the article show that PR is a three-faceted entity, including the professional communication, multi-disciplinarity of knowledge required for PR experts as well as professional tools and skills. Linguistic expression of axiological aspect of PR discourse dealing with companies’ positive reputation is given special attention in this paper. The authors come to the conclusion that interdisciplinary knowledge transfer is of growing demand as it enriches the theoretical and practical spheres of human activity.

В рамках междисциплинарных исследований, находящихся в центре внимания современной лингвистики, используются различные подходы и тенденции для понимания рассматриваемого предмета. Настоящая статья посвящена изучению дискурса по связям с общественностью (PR), который по своей сути является междисциплинарной областью. Актуальность данного исследования объясняется возросшим интересом к PR-дискурсу. Новизна статьи заключается в том, что впервые PR-дискурс исследуется как междисциплинарный объект. В задачи PR входит создание положительного имиджа компании и ее продуктов или услуг в сознании потребителей, которое достигается благодаря языковым средствам, используемым PR-специалистами в своей практике для влияния и контроля общественного мнения. Лингвокультурологические исследования в рамках междисциплинарного подхода к PRдискурсу предполагают его антропоцентрическую коммуникативную интерпретацию для проведения комплексного анализа. Лингвистические особенности PR-дискурса формируют не только его жанрово-стилистическую специфику, но и его междисциплинарное ядро. В результате исследования было установлено, что PR - это многогранная область, включающая профессиональную коммуникацию, междисциплинарность знаний, а также профессиональные умения и

96 97

PhD in Linguistics, Dr. Habil, Professor Lomonosov Moscow State University, Russia.

PhD in Linguistics Lomonosov Moscow State University, Russia.

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Keywords: axiology, interdisciplinarity, linguistics, PR.

discourse,

инструментарий. В данной статье особое внимание уделяется лингвистическому выражению аксиологического аспекта PRдискурса, необходимого для создания положительной репутации компаний. В заключении отмечается, что междисциплинарность, являющаяся средством передачи современного знания, становится все более востребованной, поскольку она обогащает теоретическую и практическую сферы деятельности человека. Ключевые слова: аксиология, дискурс, лингвистика, междисциплинарность, PR.

Introduction Modern world is noted for a variety of forms and methods of public relations (PR) activities.

Generally defined as a managerial practice or ‘a strategic communication process that builds mutually beneficial relationships between organizations and their publics’ (PRSA, URL).

In other words, the aim of public relations communication process is to establish a positive relation with other companies and their target audience. PR attempts to create and maintain positive reputation of a business company or an individual, thus endowing communication practice with high relevance for the sustainable success of the company. At present, at the time of the Fourth Industrial Revolution the world has drastically changed. The transformation is perceived in every aspect of human life and activities as well as in the development of scientific thought. Regarding the sphere of public relations, the production of material and spiritual values can be completed only with respect to the latest achievements in arts and sciences.

The present research is devoted to studying linguistic particularities of PR discourse, especially to its axiological aspect, which permits a holistic interdisciplinary view over the field of public relations. The relevance of this study is determined by the increase of PR role in the present globalizing world. The objective of the research is to demonstrate the interdisciplinarity of PR as a nascent discipline with a special attention to linguistic realization of the pragmatic goals. The material for the study was taken from PR press releases issued by large international companies. Research methods including philological analysis, synthesis and generalization contributed to the performing of such research tasks as establishing the role of axiological means of linguistic expression and their part in creation of persuasive texts. The results of the study have allowed for the

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possibility of showing the interdisciplinary nature of PR discourse, which is achieved by linguistic means and stylistic devices, with a great attention paid to the axiological aspect. The conclusions prove that PR undergraduates should be well educated and knowledgeable in different fields of human activities, arts and sciences to face in the proper way the challenges of the day.

The practical significance of the study provide for the possibility of using its results in teaching PR undergraduates to understand PR pressreleases of the companies and write their own PR press-releases.

Despite vast literature devoted to the theory and practice of PR, its discourse has not been studied from the prism of interdisciplinary approach which is a characteristic feature of research at the dawn of the digital age, as it unites scientific knowledge and technological advance for the benefit and worldview of the researchers.

Although the interdisciplinary study is at the nascent stage of the theoretical development, some achievements in the practical sphere have already been marked for the further development of PR discourse. This enables researchers to navigate and interpret the modern trends of professional PR discourse development within the practical and theoretical insights.

Literature Review The shaping of Public Relations commenced almost a century ago, when the book by E. Bernays entitled “Crystallizing public opinion” (Bernays, 1923) came out. It was a springboard for the further development of the whole public relations industry. A new turn occurred in 1948 when international PR organizations were formed and conferences were held. Among the founders of professional PR organizations was Dr. Rex Harlow, who

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244 summarized in 1976 various prior attempts to define the professional field of activity: ‘Public relations is a distinctive management function, which helps establish and maintain mutual lines of communication, understanding, acceptance and cooperation between an organization and its publics; involves the management of problems or issues; helps management to keep informed on and responsive to public opinion; defines and emphasized the responsibility of management to serve the public interest; helps management keep abreast of and effectively utilize change, serving as an early warning system to help anticipate trends; and uses research and sound ethical communication as its principal tools’ (Harlow, 1976: 36). It should also be mentioned that later on this definition was expanded and specified with the aim to single out certain characteristics pertaining to the profession. What is more, together with different definitions various attitutes to the professional activily can also be revealed. Thus, some theorists see PR as a benevolent practice, vital for the society assisting the people to be conversant in this complicated world (Grunig, 1984; Black, 1989).

Since that time numerous conferences have been organized with the aim to work out theoretical and practical principles of PR as a practical activity and PR as an educational discipline. It was also introduced into curricula of universities worldwide. (Berger, 2011; Wolstenholme, 2013, Sergienko et al., 2021). It is important to note that, the first national standard of PR education was adopted in the United States in 1975. Later on, the International PR Association (IPRA), founded in 1955, attempted to systematize the international legacy concerning PR education in 1980 to work out methods and methodology of teaching PR undergraduates. It was established that PR should be taught as an interdisciplinary subject with regard to theory and practice of the discipline. Sam Black in his famous ‘Wheel of PR Education’ suggested one of the widely accepted models of PR education which has been applied (IPRA Goldpapers, 1982; MinyarBeloroucheva et al, 2020).

In the light of linguistics, it is necessary to distinguish the professional sphere of public relations possessing its own discourse, which can be defined as the message transmission aimed at informing both public and members of different organizations about something to develop twoway communication in society to organize and maintain social harmony (Kubryakova, 1981; Vishnyakova et al., 2020).

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The process of unification of the world that occurs in society provides the creation of the worldview, necessary to put into effect the achievement of arts and sciences as a unified system. Moreover, relentless challenges facing the humanity are so acute for global society, that the issues posed before it, demand a holistic approach, presupposing perceptions of various scientific positions and philosophical standpoints. Thus, the paradigm shift is obvious as a segmented study of every discipline is being substituted with a comprehensive interdisciplinary approach to the problem for the sake of generating a global vision. In other words, the logical stage in human development demands transdisciplinarity, which refers to research that helps eliminating the gap between scientific knowledge and the knowledge of society as ‘an integral component of innovation and problem solving strategies in the life-world’ (Hoffmann-Riem et al, 2008: 17; Guerreiro, 2016).

“Interdisciplinary turn” in scientific research was equal to revolution in science and technology, because unlike the disintegration of sciences and disciplines of modern times, post-modernism was veering to integration of arts and sciences into a unique whole. That is why there has been a tendency to merge all the previously disintegrated fields of intellectual knowledge, heirs to the 17th century development of scientific thought. Integration of sciences breaks disciplinary boundaries reflecting the universal tendency to unification of humanity at every level of its existence including political, economic, cultural and social aspects. At present it is generally accepted that ‘social change cannot be interpreted in a particular social science, but must be understood in the social and natural whole of human life’ (Jessop and Sum, 2001).

The process of integration is a long one, and it occurs stage by stage, the first stage being transdisciplinarity (Fairclough, 2000) or ‘postdisciplinary’ (Jessop and Sum, 2001). Thus, some prominent scholars suggest transcending disciplinary boundaries in Critical Discourse Analysis (CDA) (Weiss & Wodak, 2003, pp. 110-111), which is also regarded as a characteristic feature of contemporary research in most social sciences, including the sphere of PR discourse.

Theorists resorting to the interdisciplinary approach to PR discourse profit from the expansion of the knowledge system of different fields of knowledge. The holistic character of PR activity needs the integration of different scientists and disciplines, including sociology,

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psychology, linguistics, Mass Media, pragmatics, ecology, law, political science.

Among the main representatives of such an approach are several theorists and practitioners (Adolphsen, 2014; Petrov & Wilson, 2016; Tanji, & Broudy, 2017; Heaney & Rebolini, 2017; Rosenberg, 2021; Stahl, 2018).

researchers resort to the methods of data analysis, psychology, cultural studies, sociolinguistics and cognitive linguistics. All in all, researching and analyzing data is key to the professional field of PR.

Methodology

Three facets of PR activity

The result of the above-described state of affairs is the emergence of a number of complex interdisciplinary studies in different fields of knowledge. Interdisciplinary approach has been adopted as a necessary prerequisite for understanding the complexity of professional PR practice. General scientific methods of analysis, synthesis, comparison and generalization are used alongside philological, etymological and textual analyses. For the all-encompassing research in the sphere of PR discourse

As an interdisciplinary field of professional activity, PR is closely related to advertising, marketing, journalism, business, finance, education and other academic disciplines. PR councilors should thus be knowledgeable in marking, law, communication, culture studies, ecology, creating videos, writing texts including posting for the social networks. For PR expert it is essential to fulfill a double task: 1) to improve the company’s reputation 2) to win the trust of the audience.

Results and Discussion

Figure 1. A Triangle presenting three facets of PR. The three facets of PR include the professional field of communication, its multidisciplinarity and certain tools and skills, necessary to achieve the strategic goal of PR councilors in any sphere of activity: politics, business, medicine, education, sports and social sphere at large.

Professional communication delivers workplace information by oral, written, visual and digital means. At present it is of primary importance, because failures of communication cause a lot of problems. Effective professional communication guarantees effortless transfer of ideas, facts, opinions, recommendations and choices.

Practitioners of the PR industry single out the following features of professional communication: accuracy, clarity and brevity, distinctiveness, segmentation, continuity, internal and external fields, two-way traffic (symmetric communication) and multichannelity (Kukhnavets, 2018).

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The suggested triangle illustrating the three facets of PR is also necessary for successful creation and promotion of the interests of the company by means of press releases. The professional field is the foundation of the communication knowledge of the occupational area. It dictates what particular tools should be used and skills (competences) should be developed, as every vocational sector is inseparably connected with different professional spheres, which explains the usage of interdisciplinary approach to PR discourse.

The vertices of the PR triangle in Figure 1. reflect the particularities of every discipline and field of knowledge. In one case, one vertex illustrates the complexity of PR discourse at the interdisciplinary level. For successful PR practice various things are involved: social media, press releases, event management, data

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246 analysis etc. Another vertex of the PR triangle deals with exact disciplines, necessary for understanding and accomplishment of the PR goal to inform the public and influence the choice. The third vertex symbolizes the theory and practice of the communicative sphere of public relation in a holistic vision.

PR experts use various communication techniques to inform the public and the companies. They are: preparation and dissemination of information materials, such as press releases, media kits, background stories, announcements and greetings.

Event Management includes organizing briefings, press conferences, summits and journalists’ gatherings. It entails writing and editing texts, commentaries and speeches as well as gatekeeping. Corporate newspaper has the function of informing the inner public and building a stronger brand. Special skills are required for creating and printing brochures, leaflets, posters and greeting cards.

tangible and intangible qualities within one word are interconnected and interdependent so that this creates a stable strong feature attributed to both of them. Estimation is connected with tangible things which have a certain material cost, while the intangible feature in linked with valor. It is defined in the etymological dictionary as ‘value, worth’, originating from the Old French word ‘valor’, ‘valour’, ‘valor, moral worth, merit, courage, virtue’ of the 12th century. The meanings are attributed to Latin valorem (nominative valor) ‘value, worth’, which meant ‘strength, valor’ in Medieval Latin stemming from Latin valere ‘be strong, be worth’ coming from Proto-Indo-European root *wal- ‘to be strong’. Later on in the 16th century ‘valor’ got the meaning of ‘courage’ coming from Italian ‘valore’, which has the same Late Latin word.

The Middle English word also acquired the meaning of ‘worth or worthiness in respect of manly qualities’ (Harper, 2015). In the course of the development of human society ‘valor’ got the meaning of ‘social principle’, which was attested in the 20th century.

Axiological aspect of PR activity For PR discourse it is highly essential to emphasize the relevance of universal values which pertain to all the humanity as well culture specific values relevant for a particular nation or region. This aspect often becomes a crucial point in the course of PR experts’ education (MinyarBeloroucheva et al., 2021). It lies in the scope of educators to instill moral and ethical principles in the future PR experts who will be responsible for influencing public opinion and making judgements.

It is necessary to say that values are determined by a paradigm and with every paradigm shift, humanity comes across with a new set of values pertaining to society.

The word ‘value’ entered the English language in 1300 meaning ‘price equal to the intrinsic worth of a thing’. In the late 14th century its meaning extended to mean ‘degree to which something is useful or estimable’. The meaning comes from the Old French of the 13th century noun ‘value’ – ‘worth, price, moral worth; standing, reputation’.

It was used in the feminine form of past participle of valoir ‘be worth’, originating from Latin ‘valere’ – ‘be strong, be well; be of value, be worth’ dating back to Proto-Indo-European root ‘wal-’ - ‘to be strong’ (Harper, 2015). As it comes clear from the given definitions, originally the word ‘value’ included ‘estimation’ and ‘valor’ which are of primary importance for PR discourse. The two different meanings denoting

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Originally valor was connected with the following human values: piety (pietas), fidelity (fides), seriousness (gravitas), firmness (constantia), united by the concept of virtus (virtue, valor), which combined military courage with the zealous performance of civil duty – the objectives of the Ancient Romans. The aforementioned values were traditionally understood as physical virtues. The etymological dictionary provides us with the following definition: virtue – in 1200 ‘vertu’ meant ‘moral life and conduct; a particular moral excellence’, originally came from Anglo-French and Old French of the 10th century ‘vertu’ with the meaning of ‘force, strength, vigor; moral strength; qualities, abilities’. The word stems from Latin ‘virtutem’ (nominative ‘virtus’) meaning ‘moral strength, high character, goodness; manliness; valor, bravery, courage (in war); excellence, worth’. In Proto-IndoEuropean the word was ‘vir ‘man’ - the PIE root *wi-ro- ‘man’. qualities’ (Harper, 2015). A special meaning was attributed to ‘virtue’ in the Middle Ages and was connected with Christianity. The theocentric vision was manifested in such virtues as faith, hope and love. Biblical principles became the guidance for the human life. The values of the Renaissance are founded on the principles of humanism indicating the human to become the center of the world vision. The ideas of dignity, virtue and moral principles became most important for the human life to be later revisioned again when

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science took the upper hand in the worldview of the people.

In Modern Times among the moral ground rules were such general principles of morality as: humanism – recognition of a person as the highest value; altruism – selfless service to one's neighbor; charity – a compassionate and active love, expressed in a willingness to help everyone in need of something; collectivism – a conscious desire to promote the common good; rejection of individualism – the opposition of the individual to society, any sociality, and egoism – the preference of one's own interests to the interests of all others. These assumptions predetermined the development of contemporary values, which radically differ from the traditional ones.

Moreover, some worldviews counteract the established and time-tested principles.

For the reason of modern values being varied and volatile and not universally accepted, PR discourse strives to harmonize the difference by addressing people adhering to different values of the present day. Press releases strive to bridge the gap existing between different generations, age, genders, social classes, races, and cultures bringing the people closer together. Instilling the general ideas of kindness, love, equality, mercy and empathy the copyrights aim to cover the widest audience possible to win their respect and trust.

In the pandemic time of 2020-2021 when the Procter and Gamble company, a leading producer of healthcare products, announced certain charity actions, including World Kindness Day. The following press release illustrates the actions of the company to support the older people separated from their families during the challenging period. This kindness is extended to support the people in need. For this purpose, the copyrights employ the following phrase: In celebration of World Kindness Day, Ivory, known for providing a touch of love and kindness, is focused on spreading positivity with the launch of the brand’s Acts of Gentle Kindness initiative. (P&G News Releases, 2020).

In this press release the copyrights emphasize the support and care for senior citizens by using such words and phrases as ‘gentle care’, ‘extra love and care’, ‘love and trust’, ‘stay warm’, ‘fun and entertainment’, ‘fun activities’, ‘comfort items’, ‘to help them feel safe and cozy’, ‘smiles on the faces of the seniors’, to make happy’, ‘to have a positive impact on someone’s day’, ‘family heritage and values’. Such lexical units as

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‘kindness’, ‘love’, ‘positivity’, ‘gentle’ emanating ‘tenderness’ address the consumers.

These words and phrases are used to combat negative emotions connected with the feelings of loneliness as well as the risk of illness, which can be detrimental to people’s health and well-being.

The positive emotions to be praised include love, joy, fun, entertainment, that bridge the generation gap. This press release teaches people to be kind to others by providing positive examples of the company’s actions. It also illustrates the interdisciplinary approach in practice. Primarily, it is raw material for advertising, the words and phrases of the press release, the subject of linguistics, render the feelings, which are the prerogative of psychology the knowledge of which is necessary for successful marketing and development of society, which is studied by sociology, that corresponds to the right vertex of the PR triangle, pictured in Figure 1.

Universal values are traditionally perceived as a set of established beliefs and virtues. For the majority of people universal values include morality, aesthetic preference, human rights, human endeavor and social order (Schwartz, 1992). It should be pointed out, that a value can be considered a universal value if it has the same meaning for everyone. When universal values are used effectively in PR discourse, the professional texts take advantage of special persuasive means.

The axiological approach helps creating a positive image of the whole company by informing the public of its credibility and reliability. Such company as Procter and Gambler in order to acquaint the customers closer with the company introduces its own values, which include integrity, leadership, ownership, passion for winning and trust (P&G Policies and Practices, 2021).

In other words, the company stresses its strife for victory and trust of the audience. It should be noted that such notions as leadership, dignity and trust although correlating with the Ancient Roman values are still valid at present. These values become of special relevance for the top managers and the officials of the company for whom the battlefields are the press releases through which they are trying to win the audience. Thus, relevant become the leadership and the passion for winning. The P&G website introducers the leadership team to the customers in the following way: Our leadership approach is distinctly P&G. We set a clear, rigorous course for developing leaders and growth in every business and region, at every level. As a result, our diverse leadership

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248 team is shaping our future with an extensive range of knowledge, experience, and expertise to improve consumers’ lives today and into the future (P&G Leadership team, 2021).

Only most prominent and vigorous press releases, i.e. the winners, are able to persuade and win the audience by securing trust and respect.

This goal is achieved by involving the audience in the company’s inner circle. For this purpose, the copyrights employ personal and possessive pronouns ‘we’ and “our” in such phrases as ‘We set a clear, rigorous course’, ‘Our leadership approach’, ‘our diverse leadership team’, ‘our future’. The feeling of intimate relations with the customers, created in the press release, allows the company to build trust and respect towards its actions.

Among other values is integrity which is manifested in bringing the people together, as the aforementioned example of the Ivory brand to help the senior citizens to be happy. The same value can also be seen in different initiatives of the company and other press releases, which integrate routine human life and scientific and technological achievements. The progress of science plays a crucial role in daily pursuits and work. Man entered space and certain companies offer their service to support this industry by facilitating chores in space. Procter and Gamble’s brand Tide introduces innovative solutions to be implemented on earth and in space in the following press release: The Procter & Gamble laundry brand partners with NASA in a Space Act Agreement to explore how to efficiently clean astronauts’ clothing in resource-constrained environments, including the Artemis Moon missions and future Mars missions.

TORONTO - (BUSINESS WIRE) - Tide® has signed a Space Act Agreement with NASA to help in the development of laundry detergent solutions and technology development in space. Under the agreement, NASA may test and study Tide cleaning solutions in space. The study could have potential on-planet implications like innovative solutions for resource and environmental challenges on Earth. Aligning with Tide’s decade-long sustainability commitment, Ambition 2030, Tide will strive to bring offplanet learnings back to everyday consumer products. … The limited cargo capacity makes the practice of replenishing the clothing supply challenging

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for deep space missions, such as Artemis Moon missions and a crewed roundtrip Mars mission.

In addition to testing onboard the ISS National Lab, NASA and Tide researchers may study how an innovative combined washing and drying unit utilizing the special-formulated detergent could potentially be integrated into planetary habitats that may be used for the Artemis Moon and Mars missions under low-gravity surface conditions.

There are also a unique set of challenges that present themselves for a crewed Mars mission.

Future missions to and from Mars expect to span multiple years, and these long-duration flights will require laundry solutions designed for extreme space-based environments and varying gravity conditions. (P&G News Releases, 2021).

This press release demonstrates common needs and day-to-day activities which are characteristic of life on earth and in space. By issuing this initiative Procter and Gamble shows dedication to scientific progress and innovative practices.

The copyrights indicate the company’s flexibility and readiness to change: We are eager to apply our learnings from our partnerships with NASA and the ISS National Lab to Tide on Earth, developing a low-resourceuse laundry solution for everyday use while meeting consumer demand for more sustainable products (P&G News Releases, 2021).

The copyrights demonstrate aspiration for sustainable development and innovative practices to be implemented in their products.

The authors indicate the future is now, which integrates the present and the future.

Integrity is the main concept of individual and common ownership, because at present common ownership is important for every individual, on the one hand. On the other hand, it is well known that it is absolutely impossible for one person to rule individually on the planet. These values dealing with integrity, unification and commonwealth become of special relevance in the contexts of environmental protection and pandemic resistance.

The following excerpts of press releases illustrate the company’s call for environmental protection: Humanity has reached a pivotal point where on one hand, we’re on the exciting cusp of space colonization, and on the other, facing a critical period where action must be taken now to save the planet we all call home (P&G News Releases, 2021).

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Integrity comes also in the form of regular collaboration of consumer goods companies and cutting edge science and technology laboratories, as it is claimed in the following statement: The ISS National Lab is excited to work with the P&G team once again as they push the limits of their research and development onboard the orbiting laboratory (P&G News Releases, 2021).

As copyrights claim, such partnerships allow the development of technologies, not achievable on our planet: ‘through private-sector utilization of the space station, companies like P&G can conduct investigations in ways not possible on Earth to develop new consumer products, enhance existing products, and better understand processes that further business models both on the ground and in low Earth orbit’ (P&G News Releases, 2021). That is why the excitement of the ISS National Lab to work with the P&G team is stressed in the cited press release.

The P&G company in its development mission always sets new goals and strives to achieve new purposes. Thus, amid COVID-19 pandemic this company does not only promote the ready-made products connected with fighting viruses in general, but also finds new solutions and works out new products counteracting effectively against the new threat: CINCINNATI & CAMBRIDGE, Mass.-(BUSINESS WIRE) - Procter & Gamble (P&G) is licensing its novel nasal swab to Rhinostics to launch and bring to the clinical laboratory market. P&G developed the swab as part of its commitment to help communities address supply shortages and to bring creative solutions to bear on the challenges facing laboratories and supply chains during the COVID-19 pandemic (P&G News Releases, 2021).

The P&G company helps the families to be safe during the time of pandemic by developing new products and conducting independent expert evaluation: In accordance with Health Canada’s guidelines, Microban 24 Sanitizing Spray has been tested by a third-party lab, and was shown to kill SARSCoV-2 in five minutes. Microban 24 Sanitizing Spray is the second product in the brand’s lineup that provides an initial kill of the virus, when used as directed. Microban 24 Multi-Purpose Cleaner was also approved by Health Canada last month (Weekes, Durieu, 2021).

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All the mentioned examples reflect the five main values of integrity, leadership, ownership, passion for winning and trust, adopted by the P&G company and which are transmitted to the general public and millions of its consumers.

It should be noted, that values have come to professional PR discourse analysis from other humanitarian fields of knowledge, which emphasizes interdisciplinarity of the modern approach to PR theory and practice. Originally axiology was shaped as a branch of philosophy, later to be borrowed by psychology, sociology and public relations. Philosophical ideas of good and bad, beautiful and ugly, as well as social acceptance of certain principles and modes of conducts are taken advantage of in the sphere of PR. Linguistics studies verbalization of mental ideas, stressing the importance of language as a means of intercultural communication. Cognitive linguistics takes into account persuasion and suggestion of the people by using special linguistic means and their link to mental space.

Interdisciplinarity in this case is crucial for paramount investigation of the axiological aspect of PR discourse.

Language is both a cultural instrument and one of its manifestations. The function of the language is to preserve culture and transfer it from generation to generation, playing a vital role in the personality development, reflection of national character, people, and nation (TerMinasova, 2000). We speak of the mental representations realized in language in the framework of cognitive linguistics. Scholars have claimed interdisciplinarity to be the essential premises for the comprehensive coverage of research in the cognitive paradigm (Zabotkina & Boyarskaya, 2017). Axiological aspect of interdisciplinary study of PR discourse includes distinguishing positively connotative verbalized vallues, such as ‘integrity’, ‘leadership’, ‘ownership, ‘passion for winning’ and ‘trust’. They are necessary to create a positive image of the company and instill confidence in the audience.

Conclusions The present research is the result of PR discourse analysis from the interdisciplinary point of view with special attention to linguistics. In the process of study certain linguistic particularities of PR discourse have been singled out and analyzed. It has been established that linguistic and stylistic aspects represent the interdisciplinary core of PR discourse, which is manifested in one of the three facets of PR

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250 activity, including the professionally oriented activity, knowledgeable PR experts as well as communication tools and skills. It was also found out that PR discourse is permeated by axiological statements. It has been established that by PR instruments international companies achieve their goals by instilling corporate values within the general public, such as integrity, leadership, ownership, passion for winning and trust.

In general, PR discourse implying anthropocentric-communicative interpretation contributes to the theory and practice of interdisciplinary studies which become the main feature of the 21st century.

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Harmonizing different cognitive styles through reading, in 5th International eConference on Studies in Humanities and Social Sciences: Conference Proceedings, 24-28 June 2020, Belgrade, Serbia, 17-30 (2020). https://doi.org/10.32591/coas.econf.05.02017v Weekes, R., & Durieu, C. (2021) Finance Yahoo.

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DOI: https://doi.org/10.34069/AI/2021.45.09.25 How to Cite: Voskobitova, L., Vilkova, T., Nasonov, S., Khokhryakov, M., & Reshetnikov, Y. (2021). Illegal circulation of digital currencies: features of criminal investigation. Amazonia Investiga, 10(45), 252-264. https://doi.org/10.34069/AI/2021.45.09.25

Illegal circulation of digital currencies: features of criminal investigation Незаконный оборот цифровых валют: особенности расследования уголовных дел Received: July 27, 2021

Accepted: September 12, 2021

Written by: Lydiya Voskobitova98 https://orcid.org/0000-0002-6676-0120 SPIN-code of the registry of elibrary.ru: 1160-1718 AuthorID: 291675 Tatyana Vilkova99 https://orcid.org/0000-0003-3436-1288 SPIN-code of the registry of elibrary.ru: 1063-9047 AuthorID: 396777 Sergey Nasonov100 https://orcid.org/0000-0002-2433-9426 SPIN-code of the registry of elibrary.ru: 8037-6330 AuthorID: 664873 Maxim Khokhryakov101 https://orcid.org/0000-0003-3382-3399 SPIN-code of the registry of elibrary.ru: 9061-6768 AuthorID: 732762 Yuri Reshetnikov102 https://orcid.org/0000-0002-7798-6504 SPIN-code of the registry of elibrary.ru: 4511-1782 AuthorID: 1120916 Abstract

Аннотация

The purpose of the study is to analyze the international and national legal regulation of the digital currencies circulation at the present stage, to assess the state of crime with the illegal use of these assets, to identify the features of the investigating such crimes and to substantiate proposals aimed at improving legislation and law enforcement practice.

The following methods were used in the research: normative and comparative legal – in the analysis of legislation and practice of seizure and confiscation of digital currencies in different states, to identify the strengths and weaknesses of national approaches, to assess the possibility of their unification and harmonization; phenomenological – in considering the criminal

Цель исследования состоит в анализе международного и национального правового регулирования обращения цифровых валют на современном этапе, оценке состояния преступности с незаконным использованием этих активов, выявлении особенностей расследования таких преступлений и обосновании предложений, направленных на совершенствование законодательства и правоприменительной практики. При проведении исследования применялись методы: сравнительно-правовой – при анализе законодательства и практики наложения ареста и конфискации цифровых валют в различных государствах, для выявления достоинств и недостатков

98

PhD in Law, Head of the Department of Criminal Procedure Law at Kutafin Moscow State Law University, Moscow, Russia.

PhD in Law, Associate Professor of the Department of Criminal Procedure Law at Kutafin Moscow State Law University, Moscow, Russia.

100 PhD in Law, Associate Professor of the Department of Criminal Procedure Law at Kutafin Moscow State Law University, Moscow, Russia.

101 PhD in Law, Associate Professor at the Department of Criminal Procedure Law and Deputy Director of the Institute of Public Law and Management at Kutafin Moscow State Law University, Moscow, Russia.

102 The 4-year Student of the International Law Institute at Kutafin Moscow State Law University, Moscow, Russia.

99

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trafficking in digital currency as a phenomenon that requires special methods of detection and investigation; general logical methods of analysis and synthesis, induction and deduction, methods of empirical research and analysis.

It was shown that with the rapid growth of crime involving cryptocurrencies, the legislation of various states is at the stage of formation of legal regulation of the fight against its illicit trafficking: only some countries have established the status of digital currency as property, provided for the specifics of seizure, storage and sale of digital currency in criminal cases.

The need to recognize digital currencies as property has been substantiated. It is shown that the seizure and confiscation of cryptocurrencies should be carried out only by court decision. The lack of special knowledge in the field of digital technology among the investigator, prosecutor and the court requires the mandatory involvement of a specialist in the proceedings on cases of crimes committed with the use of digital currency.

Keywords: seizure, confiscation, cryptocurrency, digital currency, bitcoin, property, criminal proceedings, auction.

национальных подходов, оценки возможностей их унификации и гармонизации; феноменологический – при рассмотрении преступного оборота цифровой валюты как явления, которое требует особых способов выявления и расследования; общелогических методов анализа и синтеза, индукции и дедукции, методов эмпирических исследований. Показано, что в условиях быстрого роста преступности с использованием криптовалют законодательство различных государств находится на этапе становления правового регулирования борьбы с ее незаконным оборотом: лишь в некоторых странах установлен статус цифровой валюты как имущества, предусмотрены особенности ареста, хранения и реализации цифровой валюты по уголовным делам. Обоснована необходимость признания цифровых валют имуществом. Показано, что арест и конфискация криптовалют должны производиться только по судебному решению. Отсутствие специальных знаний в области цифровых технологий у следователя, прокурора и суда требуют обязательного привлечения специалиста к производству по делам о преступлениях, совершаемых с использованием цифровой валюты. Ключевые слова: наложение ареста, конфискация, криптовалюта, цифровая валюта, биткоин, имущество, уголовное судопроизводство, аукцион.

Introduction The growing interest of society and government agencies in digital currencies is due to the fact that cryptocurrency is a new financial instrument that has both positive and negative potential (in this article, the terms "digital currency" and "cryptocurrency" are used as synonyms).

The new promising opportunities opened up by the introduction of digital currency include not only everyday economic transactions, including those for investment purposes, but also, for example, the anonymous payment of remuneration by the state to persons who report information about crimes and criminals known to them on the condition of anonymity (Wang, He, Liu & Guo, 2020; Saiedi, Broström, & Ruiz, 2020).

At the same time, practice shows a steady increase in crimes committed with the use of digital technologies, including the use of various digital currencies – Bitcoin, Ethereum, Monero –

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which are becoming a means of payment in the criminal activities of terrorist organizations, drug dealers, as well as a subject of theft, extortion, tax evasion, money laundering, Ponzi schemes and other crimes (Albrecht, Duffin, Hawkins, & Rocha, 2019; Custers, Pool, & Cornelisse, 2019; Lee & Choi, 2021; Kethineni & Cao, 2020).

Anonymity and the complete absence of an administrative center in the cryptocurrency circulation are an obstacle to the regulation and control of this area. Cryptocurrency is used for fast anonymous remote payments without being linked to any bank account. And this is what attracts representatives of the shadow economy to the cryptocurrency.

So, 1,1 million bitcoins were stolen for the period of 2013-2017, which corresponded to a monetary loss of the equivalent of $8,9 billion at the prices of 2018 (Grobys, 2021).

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254 The conviction of Ross Ulbricht, the founder of the Silk Road black market site, which sold drugs, fake identity cards, and other illegal goods using bitcoin for payment, became widely known (Thompson, 2015).

In this regard, states have a need to combat a qualitatively new way of carrying out criminal activities and a need for legal regulation and technical support of criminal proceedings on crimes related to the illegal circulation of cryptocurrencies (Markaryan, 2018). At the same time, there is a certain lag in the legal regulation and practice of combating the criminal use of cryptocurrency from the criminal activity development pace (Covolo, 2020).

The need to adopt regulations in this area and train specialists to carry out legal actions in relation to digital currencies is also increasing due to the fact that about 70 states are currently developing projects for national digital currencies. National digital currencies, like other technologies, are vulnerable from the point of view of information security. Cyber-attacks and security breaches can lead to the theft of funds and personal data, and even lead to the shutdown of economic activity.

The above circumstances determine the need to study the state of legal regulation of the digital currencies circulation at the present stage, assess the state of crime with the illegal use of these assets, identify the features of such crimes investigation, substantiate proposals aimed at developing legislation and law enforcement practice in the field of seizing cryptocurrency in criminal cases, its storage, confiscation and further implementation.

Theoretical Framework Legal regulation of digital currency circulation at the present stage

the European Union dated 22 October 2015 No. C-264/14 in the case of Skatteverket v David Hedqvist (Court of Justice of the European Union, 2015), which recognized that transactions for the exchange of fiat money for bitcoins and vice versa qualify as services and are exempt from value added tax, resolution of the Ninth Arbitration Court of Appeal of Russia dated May 15, 2018 in case No. A40-124668/2017 (Database of arbitration cases of the Russian electronic justice system, 2018) on the attribution of cryptocurrency to property and its inclusion in the bankruptcy estate for the subsequent full satisfaction of creditors' claims (the debtor was obliged to transfer the password from the crypto wallet to the financial manager to replenish the bankruptcy estate).

The first international act regulating virtual currencies was the 5th Anti-Money Laundering Directive 2018/843, adopted by the European Union (hereinafter referred to as the EU), which distributed international standards against money laundering over virtual assets' markets.

The European Union (EU) regulation exists not only at the Pan-European level, but is also included in the national legislation of the participating countries. As of July 2020, 35 of the 54 reporting jurisdictions reported that they have now implemented the revised FATF standards, with 32 of them regulating the virtual currencies circulation and the activities of virtual asset service providers ("VASPs", which include exchanges, custodians and hedge funds), and 3 prohibiting their operation.

As for the national laws, we would like to note the Liechtenstein law on blockchain, which is proposed for use as a basis for the development of an international standard for regulating blockchain and cryptocurrency (Teichmann & Falker, 2020).

The lack of legal regulation of the digital currencies circulation is observed both at the international and national levels. Even the status of a cryptocurrency itself often remains uncertain: whether it can be recognized as money, property, whether transactions with it should be taxed, whether it can be confiscated, etc.

In Russia, Federal Law No. 259-FZ dated July 31, 2020 "On Digital Financial Assets, Digital Currency and on Amendments to Certain Legislative Acts of the Russian Federation" (hereinafter referred to as Law No. 259-FZ) (Federal Law No. 259-FZ, 2020) entered into force on January, 1 2021, which regulates relations arising from the issuance, accounting and circulation of digital assets.

In the context of insufficient legal regulation, the legal positions of international and national judicial authorities on certain aspects of cryptocurrency transactions are important, for example, the decision of the Court of Justice of

This federal law defines that a digital currency is a set of electronic data (digital code or designation) contained in an information system that is offered and (or) can be accepted as a means of payment that is not a monetary unit of

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the Russian Federation, a monetary unit of a foreign state and (or) an international monetary or settlement unit, and (or) as an investment, and in respect of which there is no person obligated to each owner of such electronic data, except for the operator and (or) nodes of the information system, that are only obliged to ensure that the procedure for the release of these electronic data and the implementation of actions in relation to them to make (change) records in such an information system complies with its rules.

Besides, the rules for the legitimate circulation of digital currency are established. In particular, it is prohibited to accept payment for goods, works and services in digital currency. Russian legal entities and individuals who have actually been in Russia for at least 183 days during the year, will be able to defend the claims related to the possession of digital currency in court only if they have reported that they have such a currency and they have made transactions with it. A number of other Russian laws ("On Insolvency (Bankruptcy)" (Federal Law No. 127-FZ, 2002), "On Enforcement proceedings" (Federal Law No. 229-FZ, 2007)) recognize digital currency as property.

Along with this, a number of states – Algeria, Bolivia, Morocco, Nepal, Pakistan and Vietnam – have established a complete ban on any actions related to the cryptocurrencies turnover.

Practice of seizing digital currencies and confiscating them in criminal cases An important place among the measures taken to prevent and deter crimes related to cryptocurrency payments is occupied by the seizure of it in criminal proceedings and its further confiscation.

The legal regulation of the application of these measures in criminal proceedings, as well as the legal regulation of the digital currencies circulation in general, is at the stage of its formation, which creates obstacles to combating crimes related to the illegal circulation of cryptocurrencies.

Besides, the seizure and confiscation process is largely complicated by the "decentralization" nature of cryptocurrencies, i.e., the absence of a central authority that performs the functions of an administrator in relation to such assets.

Currently, there are 3 main types of cryptocurrency exchange platforms: 1) trading platforms, i.e. the websites where you can buy and sell cryptocurrencies; at the same time, buyers and sellers only access the platform and

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do not interact with each other; the service charges a commission fee for each concluded transaction; 2) peer-to-peer platforms, which connect buyers and sellers directly; the exchange rate is set by agreement of the parties; 3) crypto brokers, operating as forex brokers and setting the value of cryptocurrencies.

Despite the incompleteness of legal regulation, cryptocurrencies seizure, confiscation and sale are widely used in practice, and the high effectiveness of these measures in the fight against corruption and money laundering is noted in doctrinal studies (Vandezande, 2017).

The Federal Bureau of Investigation investigates cybercrimes, including crimes committed using cryptocurrency, in the USA. Under U.S. federal law, the government has the power to seize and hold – and then ultimately sell, with the proceeds going to the state treasury – "any property, real or personal, involved in a transaction or attempted transaction" that violates certain federal laws. At the moment, virtual currency is recognized as property in the United States.

The confiscation of cryptocurrency was made in 2013 for the first time: the US Federal Bureau of Investigation confiscated 144,000 bitcoins from the well-known DarkNet marketplace – the "Silk Road" company, which carried out bitcoin transactions in exchange for drugs, stolen property, fake documents and hacking services.

"Silk Road" was the most popular and extensive criminal market on the Internet before it was discovered by the FBI. The US government estimates that the site earned about 600,000 bitcoins during this period. About 175,000 of them were seized when the head of the marketplace was arrested and the site was shut down. The Federal Prosecutor for the Southern District of New York noted during the trial in the Silk Road case that the seized cryptocurrency should be treated in the same way as any other currency obtained as part of illegal transactions (Manhattan, 2014). The Justice Department seized the contents of an electronic wallet belonging to the company, as part of a civil case, in the amount of 69,000 bitcoins worth more than a billion dollars in November 2020.

Europol (2018), with the support of the Spanish Civil Guard, confiscated more than $4,5 million in bitcoins and other cryptocurrencies, as well as 800 thousand doses of LSD from drug traffickers from the DarkNet in 2018. This seizure was made possible due to obtaining access to computer information contained on electronic media found during searches.

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In Australia, there is also a practice that confirms the right of authorized bodies to confiscate virtual currency as property. The Australian High-Tech Crime Centre (AHTCC) is located at the Australian Federal Police (AFP) headquarters in Canberra. Under the auspices of the AFP, the AHTCC is a party to a formal joint operation agreement concluded between the AFP, the Australian Security and Intelligence Organization, and the Australian Signals Directorate's Computer Network Vulnerability Group. Australia has developed a special law on combating money laundering and the financing of terrorism, which regulates illegal activities carried out with the help of cryptocurrency.

The authority issuing crypto licenses in Australia is AUSTRAC. A joint official release was issued in 2019 by the Australian Federal Police (AFP) and AUSTRAC in connection with the case against Bullin during the second phase of the Australian Federal Police (AFP) investigation into the activities of an organized crime syndicate. He played a key role in leading the operations of a criminal syndicate that used various dark web sites, bitcoin accounts, and legitimate businesses to find, pay for, and distribute illicit drugs. The AFP officers executed search warrants in Melbourne's suburbs, seizing Australian currency and cryptocurrency-related items. Bullin was subsequently arrested and charged with importing, trafficking and possessing a total of about 30 kilograms of drugs.

The Criminal Assets Confiscation Task Force (CACT) successfully sought the confiscation of assets related to the investigation in a separate special operation. Orders were obtained from the District Court of Victoria to seize property worth more than $2 million, including cryptocurrency.

The orders were issued in accordance with the Anti-Money Laundering and Counter Terrorism Financing Act 2006 No. 169, 2006. (Federal Register of Legislation of Australian Government, 2018) On May 30, 2018, the Supreme Court of the Republic of Korea ruled that cryptocurrencies can be confiscated if their use was detected in illegal activities. This decision overturned the decision of the district court, which indicated that it was impossible to withdraw bitcoins from a person accused of distributing child pornography due to the lack of a physical embodiment and an objective standard value. However, the Supreme Court of the Republic of Korea did not agree with this opinion, noting that "Korean law provides that hidden assets subject to confiscation include cash, deposits, shares and other forms of tangible

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and intangible objects that have a standard value.

Bitcoin is intangible and comes in the form of digitized files, but it is sold on an exchange and can be used to buy goods. Thus, getting bitcoins is profit-taking" (Kim, 2018).

Legal regulation of the seizure of digital currencies and their confiscation in criminal cases The regulation of the cryptocurrencies seizure is necessary in order to ensure the execution of a sentence in terms of a civil claim, the collection of a fine, other property penalties or their possible confiscation. However, at present, only some states have developed rules for the seizure, storage, exchange and further circulation of cryptocurrencies in the state's income.

For example, the Finnish government adopted instructions on the storage of confiscated cryptocurrencies in 2018: cryptocurrencies themselves are considered as an asset, not a currency; law enforcement agencies should not store them on exchanges, but keep them offline without access to the Internet (in cold storage); after a court ruling that the seized funds will not be returned to the owner, it becomes possible to exchange them for euros at public auctions, and not on cryptocurrency exchanges (Palmer, 2018).

In the Republic of Belarus, a Decree on the development of the digital economy was issued in 2017, legalizing cryptocurrency exchanges, cryptocurrency exchange operators, mining, smart contracts, blockchain, tokens, etc. (Decree No. 8, 2017), and the first cryptocurrency exchange in Belarus was opened on the Internet in 2019, and Article 132 of the Criminal Procedure Code of the Republic of Belarus (Criminal Procedure Code of the Republic of Belarus No. 295-Z, 1999) provides for the possibility of seizing cryptocurrencies as a type of property in criminal proceedings since January 2021.

However, in general, the grounds, procedure and conditions for the cryptocurrencies seizure in criminal cases and their further confiscation in many states remain unresolved.

Thus, in the Russian Federation, the mechanisms for the recovery of "digital rights", "digital financial assets" and "digital currency", the seizure of such property or its confiscation in accordance with Articles 115, 230 of the Criminal Procedure Code of the Russian Federation (hereinafter – the Criminal Procedure Code of the Russian Federation) and Chapter 151

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of the Criminal Code of the Russian Federation (hereinafter – the Criminal Code of the Russian Federation) (Criminal Procedure code of the Russian Federation No. 174-FZ, 2001, Art. 151, 115, 230) remain unsettled, and in practice, the cryptocurrencies seizure, the forensic examination that determines their sale from computer equipment, and confiscation are not applied, although there are criminal cases of crimes, the subject of which was the cryptocurrency.

Article 115 and other provisions of the Criminal Procedure Code of the Russian Federation regulate the property seizure (Criminal Procedure code of the Russian Federation No. 174-FZ, 2001, Art. 115). At the same time, the property seizure in criminal proceedings also includes the seizure of funds and other valuables held in an account, in a deposit or in storage in banks and other credit organizations: operations on this account are terminated in full or in part within the limits of funds and other valuables that are seized; the heads of banks and other credit institutions are obliged to provide information about these funds and other valuables at the request of the court, as well as the investigator or inquirer based on a court decision.

Law No. 259-FZ (Federal Law No. 259-FZ, 2020) recognizes digital currency as property for the purposes of Federal Law No. 115-FZ dated July 7, 2001 "On Countering the Legalization (Laundering) of Proceeds from Crime and the Financing of Terrorism" (Federal Law No. 115FZ, 2001), No. 127-FZ dated October 26, 2002 "On Insolvency (Bankruptcy)" FZ (Federal Law No. 127-FZ, 2002), No. 229-FZ dated October 2, 2007 "On Enforcement Proceedings" (Federal Law No. 229-FZ, 2007), and No. 273-FZ dated December 25, 2008 "On Combating Corruption" (Federal Law No. 273-FZ, 2008), but this is not mentioned in the Criminal Procedure Code of the Russian Federation.

The significance of the property seizure increases due to the increase in the amount of damage caused by crimes. So, it amounted to 512.8 billion rubles in Russia in 2020. During 20152019, the Russian preliminary investigation authorities applied to the court with the requests for the property seizure in 35-45 thousand criminal cases. The majority of such requests were granted by the courts: in 2015 – 87,1%, in 2016 – 88,1%, in 2017 – 87,4%, in 2018 – 86,7%, in 2019 – 86,3%.

Dynamics of choosing a measure of procedural coercion in the form of property seizure in pre-trial proceedings in criminal cases

36120 31454

2015

44154 38921

45510 39753

2016

2017

41322 35830

40505 34945

2018

2019

Requests for the property seizure considered by the court Requests for the property seizure satisfied by the court Figure 1. Dynamics of choosing a measure of procedural coercion in the form of property seizure in pre-trial proceedings in criminal cases. We have independently compiled this graph based on statistical information from the site indicated above Summary statistical data on the activities of federal courts of general jurisdiction and justices of the peace for 2015-2019, form 1, section 4. Official website of the Judicial Department at the Supreme Court of the Russian Federation (2015, 2016, 2017, 2018, 2019).

Meanwhile, the potential of this enforcement measure is not exhausted, since at present the Criminal Procedure Code of the Russian Federation does not disclose whether the seizure of cryptocurrency is allowed, and it is not applied in practice.

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In order to introduce legal certainty, it seems necessary to make additions to Article 5 of the Criminal Procedure Code of the Russian Federation (Criminal Procedure code of the Russian Federation No. 174-FZ, 2001,Art. 5), explicitly providing that for the purposes of the Criminal Procedure Code of the Russian

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258 Federation, digital currency is recognized as property, by analogy with the amendments made

by Law No. 259-FZ to a number of other federal laws (Federal Law No. 259-FZ, 2020).

It is also necessary to establish the rule in the Criminal Procedure Code of the Russian Federation (in part 2 of Article 29) that the seizure of such a type of property as cryptocurrency and its subsequent confiscation are possible only by a court decision (Criminal Procedure code of the Russian Federation No. 174-FZ, 2001, Art. 29). This is due to the fact that the court order is an additional and important guarantee of the legality of any actions and decisions in criminal proceedings that restrict the property inviolability. When making a court decision on the cryptocurrency seizure, a balance must be observed between privacy, on the one hand, and the state's duty to detect, suppress and solve crimes, on the other (Lloyd, 2020).

If there is a court decision, the seizure must be carried out with the mandatory participation of a specialist, which should also be reflected in the law.

The procedure for seizing digital currency should be described in a separate article due to the peculiarities of this type of property, by analogy with the norm of Article 116 of the Criminal Procedure Code (Criminal Procedure code of the Russian Federation No. 174-FZ, 2001, Art. 116).

Moreover, Articles 81-82 of the Criminal Procedure Code of the Russian Federation (Criminal Procedure code of the Russian Federation No. 174-FZ, 2001, Art. 81-82) on material evidence and Article 230 of the Criminal Procedure Code of the Russian Federation (Criminal Procedure code of the Russian Federation No. 174-FZ, 2001, Art. 230) on interim measures are subject to addition.

The Criminal Procedure Code of the Russian Federation does not contain special rules governing the seizure and confiscation of digital currencies at the request of the competent authorities of a foreign state for mutual legal assistance in criminal matters. This gap should also be eliminated.

It should be noted that the Criminal Code of the Russian Federation does not provide for the elements of crimes the subject of which is digital currency.

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In 2019, amendments were made to the Resolution of the Plenum of the Supreme Court of the Russian Federation No. 32, 2015 "On judicial practice in cases of legalization (laundering) of money or other property acquired by criminal means, and on the acquisition or sale of property knowingly obtained by criminal means" (Resolution of the Plenum of the Supreme Court of the Russian Federation No.1, 2019). In accordance with these additions made due to the FATF recommendations, Articles 174 and 1741 of the Criminal Code on the legalization of criminal proceeds should also apply to cryptocurrency (Criminal Code of the Russian Federation No. 63-FZ, 1996, Art. 174-1741).

However, such explanations are not enough: firstly, they are advisory in nature, and secondly, the question of whether transactions with cryptocurrency are covered by other crimes remains unresolved.

Thus, in our opinion, in order to solve this problem, it is necessary to expand the objective side of the elements of crimes provided for in the articles 1593, 1596, 171, 1721-1723, 174, 175, 183, 185-1856, 187, 195, 1992 of the Criminal Code of the Russian Federation (Criminal Code of the Russian Federation No. 63-FZ, 1996, Art. 1593, 1596, 171, 1721-1723, 174, 175, 183, 1851856, 187, 195, 1992), extending them to cryptocurrency.

The development of legal regulation of the fight against crimes related to the illegal circulation of digital currency should be comprehensive and cover not only criminal procedure and criminal legislation, but also regulatory acts regulating operational search and banking activities, establishing guarantees for the protection of the rights of bona fide buyers and cryptocurrency sellers, etc.

Organizational and technical aspects of the digital currencies seizure and confiscation in criminal cases The organizational and technical aspects of the digital currencies seizure, their subsequent storage and sale remain unresolved.

In Russia, the algorithm of investigative actions in relation to the cryptocurrency (its inspection, seizure, etc.), the cryptocurrencies seizure and confiscation is under development. The relevant proposals should be prepared by the Ministry of Internal Affairs of the Russian Federation together with the Federal Financial Monitoring Service, the Prosecutor General's Office of the

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Russian Federation, the Investigative Committee of the Russian Federation, the Ministry of Justice of the Russian Federation, the Federal Security Service of the Russian Federation, the Federal Customs Service and the Federal Bailiff Service with the participation of the Supreme Court of the Russian Federation by December 31, 2021.

The greatest difficulties arise when it is necessary to gain access to digital currencies for seizure and subsequent confiscation, if law enforcement agencies have to deal with cryptocurrencies that have built-in anonymity and privacy features, which make it very difficult to track funds to a specific user or successfully seize funds available in a cryptocurrency wallet (Koerhuis, Kechadi, & Le-Khac, 2020). But the most well-researched and transparent cryptocurrencies, including Bitcoin, also require the development of special methods to seize them.

However, current global trends in the fight against cybercrime refute the idea that digital currencies and the blockchain network are invulnerable to unauthorized access through code modification, use of malware, and invulnerability to theft or other property crimes against users or third parties (Mkrtchian, 2020; Turner, McCombie, & Uhlmann, 2019).

There are already special software tools created for tracking and controlling transactions that link public encryption keys to certain individuals identified on the network in the United States and Europe (Dolgieva, 2018), although until recently it was believed that the technical possibility of hacking a crypto wallet when a suspect or accused refuses to cooperate with the investigation is not feasible.

However, not all states have the necessary software yet, so the methods of the digital currencies seizure and confiscation, the implementation of which is possible if the suspect, the accused or a third party voluntarily discloses the password required for authorization and use of the crypto wallet, are more widely used in practice in foreign countries.

So, in February 2021, German prosecutors confiscated more than 50 million euros ($60 million) worth of bitcoin from a fraudster, but they can't unlock the money because he won't give them the password (O’Donnell, 2021).

In the "Basic Manual on the Detection and Investigation of the Laundering of Crime Proceeds Using Virtual Currencies", published by the UN Office on Drugs and Crime in June

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2014, it is stated that crypto wallets contain information about private keys that provide individual control over digital assets, taking possession of these keys is tantamount to confiscating these crypto assets.

In general, there are 2 methods to seize cryptocurrencies and confiscate them.

The first is to leave the cryptomonets in the wallet of the suspect, accused or convicted, but with the mandatory replacement of the access code (password) required for authorization and use of such a wallet.

The second method involves the transfer of digital currencies from the crypto wallet of the suspect, accused or convicted person to a crypto wallet specially opened for this purpose under the control of a law enforcement officer to store the seized property in the form of digital rights.

The cryptocurrency wallets for storing confiscated digital assets are just being created in some states, while in others they have already been created. As an example, we can cite the Police Instructions of the State of Indiana of the United States on the standard procedure for the confiscation of cryptocurrencies and virtual currencies.

The cryptocurrency is stored in a wallet, i.e. a program that contains one or more private keys.

There are "cold" and "hot" wallets. In the first case, the data is stored offline on a hard disk, electronic media, in the second – on the network and is in some way connected to the Internet. You can access the wallet using a key that can be private (a complex form of encryption that allows the user to access their cryptocurrency) or public (a cryptographic code that allows the user to receive cryptocurrency to their account).

The seizure and confiscation of digital currencies ("transparent" bitcoins) can also be carried out without the consent of the suspect, accused or convicted in cases where users store encryption keys on personal computers or accessible USB devices.

In the United States, obtaining passwords from crypto wallets from suspects, accused persons, or third parties on a voluntary basis is additionally stimulated in several ways. The U.S. Secretary of the Treasury, in consultation with the U.S. Attorney General, establishes a fund to pay a reward of no more than $450,000 to any person who provides information that leads to the conviction of an individual who has used digital

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260 currency for terrorist activities (Financial Technology Protection Act Art. 4, 2019).

cryptocurrency, which can be used in legislative and law enforcement activities.

Thus, there is information in the public domain that the US Department of Justice was assisted in gaining access to the electronic wallet of the "Silk Road" online service in the amount of more than 1 billion US dollars in exchange for the removal of all charges in the criminal case by a person whose identity was not disclosed.

Methodology

The question of the fate of the confiscated cryptocurrency often remains unresolved.

As a rule, the confiscated cryptocurrency is sold at auctions, and the received fiat money is converted into state revenue.

For example, the cryptocurrency was confiscated from the "Lesen und Lauschen" online platform, which sold counterfeit copies of various content – audiobooks, films, software – without the knowledge and consent of the copyright holders during the trial in Bavaria in 2017. In total, the German police confiscated 1,312 bitcoins, 1,399 Bitcoin Cash (bitcoin fork) and 200 Ethers, which was equivalent to 12 million euros ($13,9 million). The seized cryptocurrency was sold through 1,600 separate transactions within two months (Voß, 2018).

The sale of confiscated cryptocurrency at auction has also spread in the United States of America, as evidenced by the announcement of the auction on the website of the US Marshals Service (a division of the Ministry of Justice). On January 22, 2018, 3,813 bitcoins were offered for sale, divided into 11 blocks (since the cryptocurrency was seized in eleven separate proceedings), with a total value of $53,38 million at the time of publication.

In 2017, the Bulgarian authorities seized cryptocurrency from an organized criminal group accused of corruption. The subsequent sale of 213,519 confiscated bitcoins brought about $3,3 billion to the state treasury and helped pay off 20% of Bulgaria's public debt (Campbell, 2017).

Auctions for the sale of confiscated cryptocurrencies are very popular among investors due to the fact that the initial value of digital assets is much lower than if they were purchased at the existing exchange rate at the time of sale.

Thus, there is already a successful experience in solving crimes related to the illegal circulation of

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The analysis of the procedural activity features in cases of crimes related to the illegal circulation of cryptocurrencies is interdisciplinary. This determines the need to study the same object – the seizure of digital currencies and their confiscation – from the positions of various scientific disciplines: legal, information and economic ones. The science of criminal procedure law acts as the main discipline and allows us to study the legislative regulation of the specifics of the proceedings in such cases and law enforcement practice. Information science, which studies the analysis, collection, storage, search, classification and protection of information, allows us to develop a method for seizing, storing and selling such a specific object as digital currencies. Economic science provides an opportunity to determine what part of the contents of the crypto wallet should be seized, how the exchange rate of the cryptocurrency unit should be calculated in relation to the official national monetary unit.

The present study uses general scientific, interdisciplinary and specific methods.

The regulatory approach was shown in the analysis of international and national legislation in the field of legal regulation of digital currency turnover and the specifics of criminal proceedings in the seizure and subsequent confiscation of this type of asset.

The comparative legal method made it possible to compare the regulations and law enforcement practice of various states on the procedure for applying interim measures in criminal proceedings in relation to digital currencies.

The study widely applies a systematic approach, which is necessary in cognition of such categories as procedural actions and decisionmaking in relation to cryptocurrencies within criminal proceedings in the new digital reality.

The use of normative-value, functional, structural-functional approaches, as well as general logical methods (analysis and synthesis, induction and deduction, abstraction and ascent from the abstract to the concrete, etc.) and methods of empirical research allowed us to form a methodology for research on the seizure of digital currencies, their storage in criminal

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proceedings, further confiscation and sale in this paper.

Results The number of crimes involving cryptocurrencies, including those of a crossborder nature, is currently increasing rapidly.

The amount of damage caused by these crimes is impressive. The increase in crime is accompanied with the large amount of confiscation of cryptocurrencies in criminal cases.

Meanwhile, the legal regulation of digital currencies, both internationally and nationally, is in its infancy. The status of cryptocurrencies remains unclear and there are no unified rules for their seizure, confiscation and disposal in criminal cases. At the same time, traditional criminal procedure legislation does not consider the specifics of digital currencies. The insufficiency and incompleteness of legal regulation creates difficulties for fighting crimes related to the illegal use of cryptocurrencies.

In these circumstances, the importance of acts of international organizations and judicial decisions to develop common approaches of different states to the prevention, investigation and detection of crimes committed with illicit trafficking in cryptocurrencies increases, as does the importance of studying the extensive experience of different states, is increasing.

Organizational and technical aspects of seizure of digital currencies, their subsequent storage and realization remain unresolved. However, current experience in the fight against cybercrime refutes the thesis that digital currencies are invulnerable and cannot be seized.

However, not all states have the necessary software yet. There are not enough competent professionals to assist investigative authorities and courts. That is why the most widely used method of seizing cryptocurrencies today is to obtain cryptocurrency wallet passwords from suspects or defendants.

The further fate of confiscated cryptocurrency remains largely unresolved. In practice, confiscated cryptocurrencies are usually successfully sold at auctions, generating great interest among investors, and the fiat money received is converted into state revenue.

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Conclusion This research leads to the conclusion that further improvement of international and national legal regulation of the status of digital currencies and the rules of their legal circulation, as well as the establishment of conditions and procedures for their seizure in criminal (and not only) legal proceedings, their storage, confiscation and sale is necessary.

Harmonisation and unification of national legislation is particularly necessary since this category of offences often has a cross-border nature and only similar legal regulation will allow to effectively combine the efforts of different states in combating them.

Legislative classification of cryptocurrencies as property would provide an opportunity for various investigative actions in criminal cases of crimes related to their illicit trafficking, application of procedural coercive measures, including seizure of this type of assets and their conversion into the income of the state. The legality and validity of such actions and decisions should be guaranteed by a court decision, as seizure of digital currencies restricts the inviolability of property. Criminal proceedings in relation to cryptocurrencies at the present stage are not possible without the involvement of a specialist.

The procedure for seizure of property should not only provide for the powers of the criminal justice authorities, but also enshrine the rights of the accused due to the privilege against selfincrimination. This is particularly important in the current context where the seizure of digital currencies in the absence of cooperation by the defendant is extremely difficult and the temptation for criminal justice authorities to seek such cooperation by various methods is high.

In this regard, it is necessary to complete Article 5 of the Criminal Procedure Code of the Russian Federation (Criminal Procedure Code of the Russian Federation No. 174-FZ, 2001, Art. 5) with a provision stating that in criminal proceedings, digital currency is recognised as property.

It is also necessary to establish in the Criminal Procedural Code of the Russian Federation (Criminal Procedure Code of the Russian Federation No. 174-FZ, 2001, Art. 29) a provision stating that seizure of such type of property as cryptocurrency and its subsequent confiscation is possible only under a court

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262 decision. If there is a court decision, seizure should be carried out with the obligatory participation of a specialist, what should also be reflected in article 58 and article 115 of the Criminal Procedural Code of the Russian Federation (Criminal Procedure Code of the Russian Federation No. 174-FZ, 2001, Art. 58, 115).

In addition, articles 81-82 on material evidences, article 230 on interim measures, chapter 53 on seizure and confiscation of digital currencies at the request of the competent authorities of a foreign state on mutual legal assistance in criminal cases should also be supplemented.

The Criminal Code of the Russian Federation should provide for criminal liability for crimes involving digital currency, including the extension of articles 1593, 1596, 171, 1721-1723, 174, 175, 183, 185-1856, 187, 195, 1992 of the Criminal Code to cryptocurrency (Criminal Code of the Russian Federation No. 63-FZ, 1996, Art. 1593, 1596, 171, 1721-1723, 174, 175, 183, 1851856, 187, 195, 1992).

The development of legal regulation of combating offences related to illicit digital currency circulation should be comprehensive and cover not only criminal procedural and criminal legislation, but also acts regulating operational and investigative activities, banking activities, establishing guarantees of protection of rights of bona fide buyers and sellers of cryptocurrency, etc.

A promising way to sell the confiscated cryptocurrency should be recognized as its sale at auctions, the procedure for conducting which also requires the development of special rules, including notifying the public about the auction.

The best way to overcome the negative factors in the spread of criminal manifestations in the economy is to continue progressive work on the development of the legal framework (both international and national) regarding the creation of a wide range of conditions to prevent the turnover of assets obtained by criminal means, including their digital expression, with the simultaneous comprehensive implementation of generally recognized financial security standards in national legislative systems.

Acknowledgements Publication prepared within the state task 07500998-21-00 dated 22.12.2020 "Transformation of Russian Law in the Conditions of Big

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Challenges: Theoretical and Applied Foundations". The topic number is FSMW-20200030.

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DOI: https://doi.org/10.34069/AI/2021.45.09.26 How to Cite: Amelicheva, L., Martyniuk, O., Pyroha, I., Qaracayev, C., & Myroshnychenko, V. (2021). Implementation of constitutional human rights and social guarantees of security in the context of digitalization. Amazonia Investiga, 10(45), 265-271. https://doi.org/10.34069/AI/2021.45.09.26

Implementation of constitutional human rights and social guarantees of security in the context of digitalization Здійснення конституційних прав людини та соціальні гарантії захищеності в умовах цифровізації Received: August 12, 2021

Accepted: September 30, 2021

Written by: Liliia Amelicheva103 https://orcid.org/0000-0003-0526-5393 Oleksii Martyniuk104 https://orcid.org/0000-0001-9160-3525 Ihor Pyroha105 https://orcid.org/0000-0002-2798-7795 Ceyhun Qaracayev106 https://orcid.org/0000-0002-5222-9224 Volodymyr Myroshnychenko107 https://orcid.org/0000-0002-2281-1299 Abstract

Анотація

Consideration of existing and development of new strategies for human rights in the context of globalization is a very significant topic, as careless management of technological change can pose a serious threat to human dignity, autonomy, privacy, and human existence in general. Purpose: to analyze the level of constitutional human rights in the context of digitalization, to consider the positive and negative impact of technological advances on private life, to explore ways to protect fundamental human rights in the context of globalization. The following methods of scientific cognition are used: comparison, historical, systematic approach to research, method of analysis, and synthesis. As a result of the conducted research, the scientific idea of the importance of observance of constitutional human rights in the conditions of digitalization is formed. In addition, the study examines the positive and negative impact of technological

Розгляд існуючих та розробка нових стратегій відносно дотримання прав людини в умовах глобальної цифровізації є дуже актуальною темою, так як необережне управління технологічними змінами може стати серйозною загрозою для людської гідності, автономії, приватного життя та існування людини в цілому. Мета роботи: проаналізувати рівень дотримання конституційних прав людини в умовах цифровізації, розглянути позитивний та негативний вплив технологічних досягнень на приватне життя людини, дослідити шляхи захисту основоположних прав людини в умовах глобальної цифровізації. В роботі використано такі методи наукового пізнання: порівняння, історичний, системний підхід до дослідження, метод аналізу та синтезу. В результаті проведеного дослідження сформовано наукове представлення про важливість дотримання конституційних прав людини в умовах

103

Doctor of Law, Associate Professor, Professor of the Department of Civil Law and Procedure, Vasyl Stus Donetsk National University, Ukraine.

104 Candidate of Law, Associate Professor of the Department of Constitutional, International and Criminal Law Vasyl Stus Donetsk National University, Ukraine.

105 Doctor of Law, Associate Professor, Professor of the Department of Constitutional Law and Comparative Law, Uzhorod National University.

106 Doctor of Law, Professor of the Department of Constitutional Law, Baku State University, Judge of the Constitutional Court of the Republic of Azerbaijan.

107 PhD in Pedagogical Sciences, Associate Professor, Department of Legal Courses, Berdyansk State Pedagogical University, Berdyansk, Ukraine.

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Amelicheva, L., Martyniuk, O., Pyroha, I., Qaracayev, C., Myroshnychenko, V. / Volume 10 - Issue 45: 265-271/ September, 2021

advances on private life, explore ways to protect fundamental human rights in the context of globalization and identifies mechanisms for using digitization in public administration, analyzes the legal regulation of informatization is interpreted and effective ways of solving the existing problems of ensuring rights and guarantees are proposed.

Keywords: constitutional human digitization, privacy, databases.

rights,

цифровізації. Крім того в процесі дослідження розглянуто позитивний та негативний вплив технологічних досягнень на приватне життя людини, дослідити шляхи захисту основоположних прав людини в умовах глобальної цифровізації та визначено механізми використання цифровізації при здійсненні державного управління, проаналізовано правове регулювання інформатизації та запропоновано ефективні способи вирішення існуючих проблем щодо забезпечення прав та гарантій. Ключові слова: конституційні права людини, цифровізація, приватне життя, бази даних.

Introduction Digitization is not only a source of opportunities; digitalization creates many ethical and legal risks and problems. Digital technologies that use large amounts of personal data pose a threat to everyone's right to privacy. Digitalization as a phenomenon of globalization is rapidly penetrating all spheres of human existence: economics, public administration, health care, education, legal sphere, agriculture, culture, religion, etc. The digital economy creates online markets, online exchange, and payment through online banks, the introduction of online services in public administration reduces bureaucracy and increases the speed of administrative services, digitalization of health care allows to detect of diseases at an early stage and prevent epidemics, digitalization education provides its accessibility and personalized approach, in the legal field digital technologies are able to create robots that are deprived of discretionary powers, and thus reduces the number of corrupt practices, the creation of "smart farms", "smart greenhouses" increases agricultural productivity, etc.

In September 2015, the historic United Nations summit adopted the 2030 Agenda for Sustainable Development. This document reflects 17 goals in the field of sustainable human development. UN members recognize that information and digital technologies are integral tools for achieving goals. However, the rapid development of digital technologies not only opens up opportunities but also creates risks, including ethical ones.

Digitization undoubtedly increases the ability to communicate with public authorities, promotes speed, objectivity, and the absence of corruption in obtaining public services, but the state receives a large amount of personal information, and the government has the opportunity to increase control and management of privacy man.

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This jeopardizes the existence of free and fair elections, reduces freedom of expression, freedom of information, freedom of thought, and belief. There are suggestions that similar phenomena have emerged in the US presidential election, the Brexit referendum, and polls in Brazil and Kenya. Surgical treatment, early detection of diseases, prediction of future diseases, storage of medical histories in digital form, which increases the efficiency of storage of this information, but the risk is a violation of the confidentiality of health data, disclosure, and tracking of devices that monitor health. Increased productivity through digitalization, new sources of employment and income, new markets and opportunities, and the risks in this area - are the full automation of industrial processes, the demise of certain specialties, reducing employment.

Most of the fundamental international instruments on fundamental human and civil rights were adopted in the last century, and global digitization has begun today. In this regard, it is necessary to consider the development and forecasting of the consequences of digitalization, the study of ethical and legal issues arising from the fact that the international community, states, commercial organizations have a large database of personal data, it is essential to analyze existing regulations. legal framework and development of new strategies in the field of protection of constitutional human rights in the context of total digitalization. In the same way, the purpose of the paper, to analyze the level of constitutional human rights in the context of digitalization, to consider the positive and negative impact of technological advances on private life, to explore ways to protect fundamental human rights in the context of globalization. The subject of the study

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is the implementation of constitutional human rights and social guarantees of protection in the context of digitalization.

The subject of the study is the implementation of constitutional human rights and social guarantees of protection in the context of digitalization.

Theoretical Framework or Literature Review Some scientific articles and monographs were analyzed to comprehensively study the topic of the implementation of constitutional human rights and social guarantees in the context of digitalization.

Some works by the following scientists are devoted to the study of protection of rights in the development of digital technologies: Androschuk (2019), Bochkov (2019), Golovko and Dubenets (2020), Gracheva, and Cheremisinova (2018), Egorov and Griga (2019), Kolesnikov (2012), Melnyk (2018), Lopushyntskyi (2018), Lutsky (2013), Petrenko and Mashkovskaya (2020), Ryabokon (2018), and Shakhrai (2020).

The definition of the essence of digitalization is examined in the articles of Petrenko and Mashkovskaya (2020), Lopushyntskyi (2018), Golovko and Dubenets (2020). Thus, the definition of digitalization is reduced to the use of digital technologies in most spheres of public life.

Androschuk (2019) interpreted the case on the right to forgetting, which was won by Google, and drew attention to the peculiarities of the protection of rights on the Internet in the digital age.

Besides, Bochkov (2019) drew attention to the transformation of state institutions in the age of digital reality. Further, Gracheva and Cheremisinova (2018) paid more attention to the constitutional provision of digital rights.

Moreover, Egorov and Griqa (2019) conducted a comparative analysis of the availability of digitalization indicators in Ukraine and other EU Eastern Partnership countries.

Ryabokon (2018) analyzed in detail the state information policy of the formation of the information society, paying attention to foreign experience. In particular, the author notes that the modern state is a catalyst for change in the interests of society and man. It is the state that fights against monopoly and controls the

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concentration of property in the media and telecommunications business; legally and technologically ensures the rights to access information and information resources for citizens, as well as the protection of personal data; guarantees freedom of speech regardless of the environment of information dissemination; implements measures for the development of multinational culture, opposes the information and cultural expansion of other countries, conducts information policy; carries out purposeful use of information and telecommunication technologies for expansion of dialogue of the power and citizens. One of the conditions for the effective implementation by the state of these areas of state information policy is the development and adoption of relevant strategic documents. The Ministry of Information Policy, established in 2015, was tasked with developing the Information Policy Strategy of Ukraine and the Concept of Information Security of Ukraine, but these tasks have not yet been implemented. In addition, the author noted that the priority tasks of the state in the field of information policy are to ensure the constitutional right to receive, use, disseminate and store information, to freely express their views based on the most effective application for scientific, technical, cultural, social development of those opportunities that provide the latest means of information exchange, production, and promotion at the global level of their information product. The development of the information society in Ukraine is possible only based on a comprehensive approach that contains a strategic vision of informatization of society and is coordinated by the existing socio-economic, political, and cultural priorities of the state and international practice.

The fraudster, in his work "Digital Constitution", investigated the fate of the main rights and freedoms of the individual in the total information society (Shakhrai, 2020).

The study of international experience in the implementation of information technology in the legal system became possible through the analysis of the digitalization process in countries such as Great Britain, France, Germany, Italy, Georgia, Greece, and Estonia.

The following works are devoted to this area: "State policy in the field of information society development in France: prospects for Ukraine"

by Melnyk (2018), "Selected decisions of the Federal Constitutional Court of Germany" by Schwabe, and Geisler.

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268 In addition, normative documents regulating digital rights and mechanisms of public administration with the use of information technologies were used in this direction (Ukrinform, 2021; European Court of Human Rights, 2012; Committee of Ministers, 2005; Human Rights Council, 2018; The EDRi papers, 2021). In particular, the United Nations EGovernment Survey 2018 (UN study on the level of e-government development in different countries), the Constitution of Greece, Georgia, Germany, France, Italy (consolidation of digital rights), etc.

Therefore, we can conclude that the issue of digitalization in the context of human rights has been studied by many scholars, but the implementation of constitutional human rights and social guarantees in the context of digitalization has not been studied comprehensively, so there is a need to analyze this topic in more detail.

Methodology During the study of the implementation of constitutional human rights and social guarantees of security in the context of digitalization, a number of methods were used: comparison, historical, systematic approach to research, method of analysis, and synthesis.

Thus, the historical method has become a way to reveal a retrospective of the development of digital technologies in Ukraine and the world.

Using the historical method, it is investigated in which historical periods the main acts regulating the provision of individual rights were established, including in the context of digitalization.

The comparative method made it possible to compare foreign experience in the implementation of digitalization and highlight its positive features, which are considered appropriate to use in building a domestic system of digital services and protection of rights.

The method of analysis was useful for the study of digitalization, gradually dividing the study of the theoretical part of the object and the practical, which consists in the analysis of international and Ukrainian experience in the use of information technology. Analytical assessment of the processes of implementation of information technologies makes it possible to identify patterns, according to which it becomes possible to identify specific features of digitalization as a mechanism for effective public administration.

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In the future, it was logical to use the method of synthesis, i.e. the location of the analyzed parts alone, grouping by the similarity of features, or building a hierarchical system. Analysis and synthesis act as fruitful methods of cognition only when applied simultaneously. The method of synthesis allowed to gather the studied theoretical and practical aspects into a single whole in order to find the most effective mechanisms for the introduction of digitalization.

Using the system method, the object of study is considered as a set of interconnected elements that have a common goal. It is crucial that the properties of the object as a whole system are determined not only and not so much by summing up the qualities of its elements, but by the properties of its structure, special systemforming, integrative connections of the object.

Results and Discussion Human and civil rights and freedoms are the most important social values and the main object of constitutional and legal relations. Their implementation, use, and compliance depend on the level of protection and security. That is why the major element of the constitutional-legal status of the person and the citizen is guarantees of these rights and freedoms.

Digital personal rights, digital selfdetermination, databases, the right to the Internet, digital services, etc. become an integral part of human life. These circumstances are a prerequisite for the formation of a separate legal institution – the Institute of Digital Human Rights.

Digital rights are a relatively new legal category, and therefore their list, definition, and the need for separation are controversial in the scientific legal environment. Thus, there is an opinion that the concept of "digital rights" should not be considered as a separate group of human rights, but as a conditional category that covers the implementation and guarantees of fundamental human rights on the Internet, including freedom of expression and online privacy. Given the huge role that the Internet plays in modern life, the separation of this category helps to better systematize and study the needs of human rights in the online environment, some guarantees of which are now scattered in the recommendations, resolutions, and other acts of international institutions. Other researchers consider digital rights to be derived from informational rights, but not identical, and emphasize the need to

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separate them into a separate group. Digital rights are also understood as the rights of citizens to access, use, create and publish digital works, the right to free access to the Internet (other communication networks) using computers and other electronic devices (Bochkov, 2019).

Despite the controversial nature of the problem, it should be recognized that the development of digital technologies does affect the development of constitutional human rights and their further legal regulation and protection.

The UN has repeatedly considered the issue of digital rights. In particular, it was declared that the right to the Internet is an inalienable human right that must be ensured at all levels, and emphasis was placed on its crucial role in the development of society, and the rights that a

person has in the offline environment are protected in the online environment. The UN calls on all states to respect and protect the right to privacy, including in the context of digital communication.

However, despite loud calls and proposals for a settlement, the public and legislative consciousness are currently undergoing a process of a qualitatively renewed understanding of the content of human rights, which necessitates the development of a system of constitutional guarantees and mechanisms for human rights protection in the context of digital transformation.

Analysis of the regulatory experience of foreign countries allows us to identify two ways of domestic regulation of digital rights (Table 1):

Table 1.

The ways of domestic regulation of digital rights. Own authorship.

Path 1 The constitutionalization of digital rights, which changes the text of the constitution in order to regulate digital rights at the highest constitutional level

The first way is appropriate for those countries that develop and adopt constitutions in the twentieth century, but there are examples of changes to already adopted constitutions. For example, the Constitution of Greece in 2001 was supplemented by Art. 5A, where Part 2 enshrines the right of all persons to participate in the information society and to facilitate access to information transmitted in electronic form.

Digital rights are formulated in more detail in the Constitution of Georgia (Law No. 2071, 1995), which is 2018, in the process of constitutional reform, made appropriate changes and defined the right of everyone to access and use the Internet (paragraph 4 of Article 17).

The second way is relevant for countries, that recognize the need for normative consolidation and a renewed understanding of fundamental constitutional rights in the digital age but are not yet ready to change the Constitution.

Quite often, they use either body of constitutional jurisdiction, which, without changing the "body of the constitution", interpret certain constitutional norms in the light of digital reality, or adopt certain laws governing digital rights.

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Path 2 the digitization of constitutional rights, in which the rights enshrined in the constitution are updated or regulated based on decisions of constitutional jurisdiction, the case-law of the European Court of Human Rights, or in relevant legislation An example of such a transformation is Germany, where the regulation of digital rights (for information self-determination, for ensuring the integrity and confidentiality of information technology systems (IT-law), for the secrecy of correspondence, mail, and telecommunications, for the inviolability of housing) mainly has a socalled “judicial origin" because in the absence of normative enshrinement in the relevant legislation is governed by decisions of the Federal Constitutional Court of Germany. That is, normalization occurs as needed in cases of legal conflict. However, the essence of these rights does not change but is only interpreted through the prism of digital transformation. In this context, the experience of France is impressive, which, carrying out a gradual interpretation of digital rights by a body of constitutional jurisdiction, realized the need to adopt a codified legal act.

The digital transformation presupposes the need to receive appropriate constitutional standards in ensuring and realizing human rights, without which the further development of constitutionalism in the conditions of digital transformation is impossible. One of them is the

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270 need for regulatory definition and regulation of the right to access the Internet.

Ukraine is moving towards defining the right to access the Internet at the level of relevant legislation, which, on the one hand, allows to comply with all ratified conventions and recommendations of international organizations, and on the other – not to amend the Constitution.

In the process of digital transformation, the list of constitutional human rights is gradually expanding and receives a qualitative update of the semantic interpretation.

Increasingly, we have to meet the right to data portability and the right to be forgotten. This is the so-called right of the data subject to object to the further processing of the data and the obligation of the data controller to delete the information immediately after it ceases to be necessary for processing.

For example, the right to forgetting is treated as a human right that allows a person to demand, under certain conditions, the removal of his or her data from public access through search engines i.e. links to data that he or she believes may harm him or her. This applies to outdated, inappropriate, incomplete, inaccurate, or redundant data or information, the legal grounds for storage of which have disappeared over time.

Moreover, the right to be forgotten is a dispute between Mario Costeja Gonzalez's complaint against Google Inc and La Vanguardia Ediciones SL (Judgment No. C‑131/12, 2014), which was heard by the EU's highest court, the European Court of Justice, which ruled on 13 May 2014, that European law gives EU citizens the right to apply to any search engine with a request to remove links relating to personal information about the applicant. Inadequate and outdated data, as well as those that are excessive in relation to the purposes for which they were posted on the Internet, are subject to deletion. This decision has set a precedent that provides a basis for revising the list of constitutional human rights and their expansion and provides legal instruments for the protection of human rights and freedoms, as well as a real guarantee of protection of such rights.

But even though the rights are enshrined in the laws of many states, there is a need to regulate legislative guarantees. This circumstance indicates the need to ensure and implement digital human rights. It is necessary to develop a concept of digital duties and responsibilities for the violation of these rights.

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Thus, the exercise of constitutional human rights and social guarantees of protection in the context of digitalization require a comprehensive approach both by the state and by the consumer of such rights and by society as a whole.

Conclusions As a result of the study of the implementation of constitutional human rights and social guarantees of protection in the context of digitalization, the following was established.

1.

2.

3.

In the process of legal digitalization an essential role is played by the normative consolidation of digital rights, which allows regulating the relations that arise in the process of human interaction during the use of information technology and use effective mechanisms to protect such rights.

Analysis of international experience confirms that depending on the level of interest of a particular country in its integration into the world communication system depends on the direction of digital policy of the state and ways to reform the state in this context.

Digital transformation presupposes the need to receive appropriate constitutional standards in the field of ensuring and realizing human rights, without which the further development of constitutionalism in the conditions of digital transformation is impossible. One of them is the need to normatively define and regulate the right to access the Internet.

Thus, based on the analysis of international experience in the field of digitalization of law, we can conclude that there is a gradual "blurring of information borders" and improving the system of settlement of relations arising from the use of digital rights (France, Italy, Germany, Greece, Georgia). For effective public administration, digital technologies are an effective tool that requires applied research and development.

Regarding further scientific research, it is essential to examine the draft laws and the work of the committees of the Verkhovna Rada of Ukraine on the consolidation of digital rights in legislation.

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gazeta.com/publications/practice/zahistintelektualnoyi-vlasnosti-avtorskepravo/sud-es-google-vigrav-spir-shchodoprava-na-zabuttya.html Bochkov, A.A. (2019). The modern state in the context of digital reality. Right. Economy.

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Agenda item 3. Promotion and protection of all human rights, civil, political, economic, social and cultural rights, including the right to development.

Recovered from https://www.ohchr.org/EN/HRBodies/HRC/ RegularSessions/Session38/Pages/38Regular Session.aspx Judgment No. C‑131/12, Google Spain v Agencia Española de Protección de Datos (AEPD). Court of Justice of the European Union, Luxembourg, 13 May 2014.

Recovered from https://curia.europa.eu/jcms/upload/docs/app lication/pdf/2014-05/cp140070en.pdf Kolesnikov, B. (2012). Status and prospects of information society development in Ukraine.

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Public administration and local selfgovernment, 3(14), 37-45. Recovered from http://www.dridu.dp.ua/vidavnictvo/2012/20 12_03(14)/12kbpisu.pdf Law No. 2071, The Constitution of Georgia.

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Recovered from http://pravoisuspilstvo.org.ua/archive/2020/2 _2020/part_1/20.pdf Ryabokon, O. (2018). State information policy of information society formation: foreign experience. Center for Research of Social Communications NBUV Recovered from http://nbuviap.gov.ua/index.php?option=co m_content&view=article&id=3244:derzhavn a-informatsijna-politika-formuvannyainformatsijnogo-suspilstva-zarubizhnijdosvid&catid=81&Itemid=415 Shakhrai, S.M. (2020). "Digital" Constitution.

The fate of fundamental rights and freedoms of the individual in a total information society.

Recovered from https://audit.msu.ru/vshga_news/8448/ The EDRi papers. (2021). The Charter of Digital Rights. Recovered from https://edri.org/wpcontent/uploads/2014/06/EDRi_DigitalRight sCharter_web.pdf Ukrinform. (2021). Dosvid Estonii can help Ukraine more succumb to the path of digitalization.

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DOI: https://doi.org/10.34069/AI/2021.45.09.27 How to Cite: Hlebova, N., Afanasieva, L., Bukrieieva, I., Semikin, M., & Orlov, A. (2021). Social solidarity and cohesion in the fight against the COVID-19 pandemic in intercultural cities. Amazonia Investiga, 10(45), 272-280. https://doi.org/10.34069/AI/2021.45.09.27

Social solidarity and cohesion in the fight against the COVID-19 pandemic in intercultural cities Соціальна солідарність та згуртованість у боротьбі з пандемією COVID-19 у міжкультурних містах Received: June 9, 2021

Accepted: August 29, 2021

Written by: Natаlia Hlebova108 https://orcid.org/0000-0003-3417-1337 Lyudmila Afanasieva109 https://orcid.org/0000-0002-9386-6529 Iryna Bukrieieva110 https://orcid.org/0000-0002-7444-8321 Mykhailo Semikin 111 https://orcid.org/0000-0001-9119-8945 Andrii Orlov112 https://orcid.org/0000-0003-0243-7313 Abstract

Анотація

The study analyzes the impact of the COVID-19 pandemic on intercultural interactions. It considers the sociocultural mechanisms for ensuring cohesion and social solidarity in multicultural communities. The paper highlights the social contexts of the current problems of multicultural communities in overcoming intercultural barriers and the development of trust, social solidarity and cohesion. It reveals the direction of the main negative effects of the COVID-19 pandemic on the cohesion and development of social solidarity of multicultural communities. The successful international and domestic cases of counteraction of communities of intercultural cities against the COVID-19 pandemic are analyzed. The factors of development of social solidarity and cohesion of international and Ukrainian community in the conditions of pandemic are investigated. It has been found that social solidarity and cohesion of communities is an effective means of public counteraction to modern destructive factors and

У дослідженні аналізується вплив пандемії COVID-19 на міжкультурні взаємодії. Він розглядає соціокультурні механізми забезпечення згуртованості та соціальної солідарності у полікультурних спільнотах. У статті висвітлюються соціальні контексти сучасних проблем мультикультурних спільнот у подоланні міжкультурних бар’єрів та розвитку довіри, соціальної солідарності та згуртованості. У ньому розкривається напрямок основних негативних наслідків пандемії COVID-19 на згуртованість та розвиток соціальної солідарності мультикультурних спільнот. Проаналізовано успішні міжнародні та внутрішні випадки протидії громад міжкультурних міст проти пандемії COVID-19. Досліджено фактори розвитку соціальної солідарності та згуртованості міжнародної та української спільноти в умовах пандемії. Було виявлено, що соціальна солідарність та згуртованість громад є ефективним засобом протидії

108

Dr. Sc. in Sociology, Professor of Sociology Department, Bohdan Khmelnytsky Melitopol State Pedagogical University, Melitopol, Ukraine.

109 Ph.D in Рhilosophical Sciences, Associate Professor of Sociology Department, Bohdan Khmelnytsky Melitopol State Pedagogical University, Melitopol, Ukraine.

110 Ph.D in Рhilosophical Sciences, Associate Professor of Sociology Department Bohdan Khmelnytsky Melitopol State Pedagogical University, Melitopol, Ukraine.

111 Ph.D in Рhilosophical Sciences, Associate Professor of Sociology Department Bohdan Khmelnytsky Melitopol State Pedagogical University, Melitopol, Ukraine.

112 Ph.D in Рhilosophical Sciences, Associate Professor of Sociology Department Bohdan Khmelnytsky Melitopol State Pedagogical University, Melitopol, Ukraine.

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challenges. It is established that the communities of cities-participants of intercultural networks have developed effective mechanisms to maintain positive relations between people of different nationalities, religions, cultures and can serve as a positive example for other cities through the implementation of the model of ethnocultural diversity management.

Key words: social solidarity and cohesion, ethnocultural communities, COVID-19 pandemic.

громадськості сучасним руйнівним чинникам та викликам. Встановлено, що спільноти міст-учасників міжкультурних мереж розробили ефективні механізми підтримки позитивних стосунків між людьми різних національностей, релігій, культур і можуть служити позитивним прикладом для інших міст шляхом реалізації моделі управління етнокультурним різноманіттям. Ключові слова: соціальна солідарність та згуртованість, етнокультурні спільноти, пандемія COVID-19.

Introduction The Covid-19 pandemic has caused unprecedented individual, economic, and social damage to the humanity and has posed two opportunities to the world community: the danger of unprecedented collapse and the chance for social solidarity. It has become an exceptional problem in terms of nature and consequences, which causes a need for joint efforts at the global, interstate, state, and at the level of intercultural interaction and mutual assistance of all members of any community.

The multicultural cities are the most vulnerable to Covid-19. There some representatives often have limited access to the transparent and understandable information. Such situations often become a result of feeling a fear by members of these groups, when the inability to control the situation leads to the feelings of isolation, alienation, and inferiority. In these circumstances, it is important to use the experience of interethnic integration of successful communities, whose strategies and practices contribute to the achievement of mutual understanding and social cohesion of their members under pandemic conditions.

Communities from different countries have to work together, learn from each other and coordinate their efforts to overcome intercultural barriers in order to avoid the risks as much as possible.

The social situation is extremely tense in the country and in the world, because every day we turn on the TV or turn the pages on social networks and we see terrible statistics and horrible details of the epidemic everywhere.

Solidarity and cohesion are the best indicators of the fight against pandemic, because it cannot be overcome alone.

According to experts (Hebreisus, 2021; Patsek, 2020), the COVID-19 pandemic has caused us

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unprecedented individual, economic, and social damage. A pandemic is a test of humanity’s ability to counter the threats of civilization in general, to organize to solve the urgent problems and draw the right conclusions, and to make the world interpenetrating.

The nature and scale of the problem actualize public and scientific interest both in identification of “stress markers” and in the search for systemic factors to increase social solidarity and cohesion in the countering the COVID-19 pandemic. In order to defeat the virus, communities, countries and our entire multicultural region must work together, learn from each other, and coordinate their efforts to achieve a high level of solidarity and cohesion.

Understanding the pandemic as a global problem is especially important for finding the foundations of social cohesion, as means of reducing the tensions and social solidarity of multicultural communities. The main goal is to learn better from each other and coordinate the efforts in the complex conditions of the COVID19 pandemic. There is small research on the pandemic in terms of its holistic understanding in domestic social and philosophical thought.

That’s why this paper is one of the first contributions to this urgent problem.

In our study, we will consider social cohesion as the involvement and participation of members of society in sociocultural life; as a sense of solidarity and belonging to society, based on the effective use of civil rights and aimed at achieving the well-being of the vast majority of citizens, harmonious and stable relations, overcoming the social isolation of activity.

The social solidarity seems a difficult concept to study. Nevertheless, researchers note its extreme importance in detailing the category of solidarity

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274 as a wide range of components: mutual aid, trust, perception of difference, perception of justice, social inclusion, etc. (Bondarenko, Babenko, & Borovskyi, 2017:59).

The idea of social cohesion is one of the main directions of development of modern society and is based on the active participation of the population in solving current problems of life, overcoming social isolation and social disintegration. This concept is quite new. Its basic principles were set out only in 1990. That’s why there is little research related to it.

The interest in the problem of social solidarity is usually associated with the ideas of Auguste Comte about social harmony (Comte, 1970), Emile Durkheim (Durkheim, 1982) about solidarity and shared loyalties, which unite the society, Talcott Parsons about social stability (Parsons, 1964).

Modern Ukrainian researchers – N. Amelchenko (Amelchenko, 2006), M. Bondarenko (Bondarenko, Babenko, & Borovskyi, 2017), V. Kremen (Kremen, 2014), O. Shevchenko (Shevchenko, 2016), V. Zablotskyi (Zablotskyi, 2002) – connect solidarity processes with such modern phenomena as cooperation, cohesion, unity, public trust, the presence of common ideas, views, goals, belonging to a certain whole system in different aspects and at different levels of manifestations of this phenomenon: from solidarity of small groups to social solidarity of society as a whole, where solidarity is seen as one of the preconditions for stability and social order.

Today, the Department of Social Cohesion has been established in Council of Europe; the results of the research of different aspects of social cohesion are reflected in the periodical “Trends in social cohesion”; published “Concerted development of social cohesion indicators: methodological guide” collective authorship of which belongs to the experts and practitioners (Council of Europe 2005).

Today social cohesion is interpreted as a quality of community or society. Cohesive communities include conflict-free, harmonious, stable communities, where are minimal differences and polarization between members. Such an approach to social cohesion puts the question of quality, the features of community or society, which allow them to be reduced, on the agenda.

The aim of our study is to analyze the essence of the factors that determine the processes of social solidarity and effective consolidation of efforts to overcome the pandemic.

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Methodology This study covered video, audio, images, media reports, posts on pages and social media groups highlighting the events connected with COVID-19 pandemic, reactions and public sentiment to these events, and successful international and domestic cases of counteracting the COVID-19 pandemic in intercultural cities (147 cities).

The content analysis procedures were used at the methodological level. They were followed by case study, during which samples (3 primary and 11 sub-samples) of messages and information materials were formed, categories and units of analysis were selected according to audience prevalence and coverage, frequency of mention and context. Within this context, the dynamics of attention to the message, modes of perception of messages (positive, negative, neutral) through the analysis of feedback and comments are studied. The Case study method traced and built logical connections between information sources, audiences, direct and indirect consumers of information and stakeholders, beneficiaries of the dissemination, impact and consequences of certain messages.

The analysis allowed us to analyze the policy models of intercultural integration of intercultural cities, which disseminated examples of best practices for effective diversity management, prevention and resolution of possible conflicts and the use of the benefits of diversity. This has identified the best ways to overcome intercultural misunderstandings and intercultural barriers and build trust, social solidarity and cohesion in society.

Theoretical framework Solidarity processes as a means of public counteraction to the main challenges of today The COVID-19 pandemic has confirmed that security remains a major value even in the 21st century. Humanity is ready to sacrifice the usual benefits of civilization without hesitation for it.

The new virus has not only claimed more and more lives, it has also shattered the illusion of stability in a global world that seemed so strong.

The free movement of people, goods, and capital around the world stopped in a few days.

Presidents talk about the military situation. The residents sweep away monthly food supplies.

The virus has not only disrupted the well-being of many people, it has also stopped the processes

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of globalization due to the threat of spreading the disease. All the plans of the society were insignificant in comparison with the main problem of the time – the protection of the country, city, and family.

There are certain objective social factors of one or another approach to the problem. First of all, it is the level of well-being. It is obvious that human losses among the population will be greater in the poorest countries without outside help. The events of last spring show that such developed democracies as Italy, Spain, Great Britain and other European countries failed to take the necessary measures that resulted heavy human losses. All these countries differ from Ukraine by greater transparency of management procedures and the role of public control. It is hard to say about the reasons of this tragedy: public openness and the complexity of restricting business freedoms or individual freedoms of citizen or any other factors. The inability or unwillingness of responsible officials of various departments or services to be extremely responsible for people’s lives contributed to those consequences.

The social significance of both traditional media and new ones increased significantly during the pandemic, which raised many questions about the ethics of responsibility. Juggling figures, which push the limit for the introduction of quarantine, is not the first time to raise doubts about the existence of real figures for the spread of the virus in Ukraine, or about a legitimate suspicion of the side effects of such manipulations of public consciousness.

The constant confusion with information about the stock of beds for patients is incomprehensible to an objective observer. There is opacity or whitewash with the use of funds of the COVID19 Fund throughout Ukraine in regional media (depending on the affiliation of the media to the pro-government or opposition). The authorities’ actions to block the borders where the carriers of the infection can enter during the quarantine period are extremely insufficient, and they worse the difficult situation.

The situations hypothetically controlled by another approach turn into a situation of uncertainty in the absence of clarity and responsibility of officials at various levels. In particular, this violates the legitimate constitutional right of each individual to at least truthful information, or leads to the hopelessness of individual citizens in the worst case.

Inaccurate information to prevent coronavirus control, fabricated news hinders the global

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campaign against COVID-19. The UN is doing everything possible to prevent the spread of rumors, knowingly false reports, as well as statements that incite hatred and sow discord in society. United Nations Development Program, UNESCO, International Telecommunication Union (ITU), UN Global Pulse Initiative and the International Federation of Red Cross and Red Crescent Societies as part of the 75th session of the UN General Assembly called on the countries to develop and implement action plans to facilitate the timely dissemination of information based on scientific data and to prevent the dissemination of false information while respecting freedom of expression with the aim to draw attention to the crime involved with the dissemination of false information and deliberate misinformation.

The Secretary General of the Council of Europe Marija Pejčinović Burić and the Chair of the Committee of Ministers, Heiko Maas (Council of Europe, 2021) rightly point out that “the European Convention on Human Rights is a living tool for everyone to protect their rights, which helps us to deal with pandemic. Today, the Convention protects the rights of about 830 million people in Europe, including Ukrainians”.

The Convention helps to ensure that any restrictions on our fundamental rights imposed by governments to help combat COVID-19 are necessary and proportionate to the threats we face. Our freedoms cannot be taken away at will.

The Convention provides clear guarantees for our right to information about the pandemic and our freedom of speech – the freedom to speak openly about what we think about the problems we face, to disagree with those whose opinions differ, and to come together with others to have our voices heard more clearly (Council of Europe, 2020).

The pace and scale of the spread of COVID-19 is convincing evidence of how integrated and socially cohesive humanity is. Modern globalization has undeniable positive features.

These are incentives for economic growth, virtually unlimited intercultural communication, and freedom of movement. It also has its dark sides, which are not talked about so willingly.

Globalization increases the vulnerability of humanity, when regional disasters are rapidly becoming a universal disaster and threat.

Ukrainian cities are experiencing an influx of internally displaced persons in the current, extremely difficult circumstances of life in the conditions of external aggression and occupation of the territories, in the conditions of the

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276 Ukrainian and European present. The problem of overcoming intercultural barriers in multinational cities is exacerbated along with the many complications associated with COVID-19.

The social environment of multicultural cities is not only a center for meeting different ethnic groups, and the most dynamic space for the development of creative thought and innovation.

It also accumulates the most complete palette of sociocultural, economic problems and contradictions.

Social problems of multicultural communities in conditions of the COVID-19 pandemic The urgent self-isolation of countries, quarantine, deportation of foreigners and suspicious persons suddenly became a reality under the pressure of mass panic. The pandemic destroyed the usual way of life of millions of people. The important things of previous decades have devalued before our eyes in a couple of months: the consumer society has been transformed into a security society.

According to media and think tanks, quarantine measures introduced to limit the spread of the coronavirus have had the most negative impact on such vulnerable groups as members of certain ethnic groups, displaced persons / migrants, foreign students, and so on. It is not possible always to take into account all the factors of the situation due to certain complications. Those social classes that have a situational impact on the authorities and the power to impose restrictions are the least affected. This exacerbates inequalities and weakens social cohesion further (Council of Europe, 2021).

If we look at the situation at the household level, we will see many changes. People want to run away, hide and fence off. These shocks not only isolate them, but also make them afraid of even their own neighbors. There are outbreaks of xenophobia. People who have migrated to more developed countries in search of a better life are severely limited because they do not always have access to transparent and understandable information. Indigenous people often prejudice them with poor language skills, non-compliance with quarantine rules, and the spread of infection.

Migrants will soon be perceived as a dangerous subject, almost a criminal, whose freedoms can and should be restricted or abolished.

The problem of people which have long been cut off from their homeland, native culture, language and daily life for various reasons is added to the above common problems related to the pandemic

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for Ukrainian and foreign multicultural communities. These are the specific problems of the most vulnerable groups and individuals from an intercultural perspective – settlers and migrants from the Middle East, Central Asia, Africa and Eastern Europe, who make up a significant proportion of the population of traditionally multicultural communities around the world today.

What is the role of intercultural dialogue, leadership, strategies, and participatory processes in effectively contributing to social inequality? What role do local authorities and their territories play? What processes are implemented in them in front of challenge? After all, Andriy Baumeister aptly notes, “we face two possibilities: the danger of collapse and the chance for social solidarity” (Polishchuk, 2020).

New challenges for our human rights, social, economic and institutional structures are already emerging today in addition to the immediate threat to health posed by the pandemic, with obvious consequences in all areas of our common daily reality.

Today, it is clear that the international community has been actively involved in preventing the negative sociocultural consequences of the pandemic despite all the obstacles. Urban space also carries all the problems, contradictions and opportunities that humanity and nations face and discover in the 21st century. The processes taking place in the urban environment today raise a number of questions: how to strengthen the shared vision, cooperation, sense of belonging and participation of citizens both during and after the blockade and physical distancing? How to inform that processes are key and they take time and resources to achieve the results? How do we reorganize our societies to take advantage of intercultural potential in the post-pandemic era, what do we need to do differently? What new institutions, systems and infrastructures should be involved?

Results and discussion This requires a common consideration of how the coronavirus can affect global processes, whether the tests of the crisis are unequivocally negative, whether there is a chance for a new understanding of solidarity and the strengthening of humanistic values, and what lessons we must learn in the future. And in such difficult conditions of today, the cities-participants, embodying models of management of

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ethnocultural diversity, serve as a positive example for other cities to build positive relations between people of different nationalities, religions and cultures. Although exceptional situations require exceptional action, it is equally important to ensure that democracy and human rights, solidarity and cohesion regain a leading role in our multicultural urban communities.

In addition, it is obvious that intercultural strategies, which are implemented in many cities, allow their residents to find their way to the transition from “mine” to “our” city and open it to other cultures. The introduction of innovative intercultural practices (cases) ultimately benefits not only the network of intercultural cities, but also all multicultural communities. That is why it is so important now to take into account the urban model of intercultural integration, which is honestly tested, edited and recognized as effective by many cities participating in the Program of economic, social and ethnocultural integration of its inhabitants to overcome common threats and create the appropriate living conditions for the residents and representatives of ethnic and religious communities in the sociocultural space.

At the same time, we have considered the successful cases on overcoming intercultural barriers. These cases promote social solidarity and cohesion, give every reason to hope that limitation the quarantine measures would turn out the pandemic and everything directly related to it were only as a reflection and accelerator of real profound changes in the consciousness of multicultural communities. We will see the desire for intercultural dialogue and openness with the desire of all peoples to preserve and protect their identity and independence.

Positive practices of multicultural communities in response to the Covid-19 pandemic It is important to think critically, to think together about how pandemic can affect European integration, whether the crisis is clearly negative, whether there is a chance to renew European solidarity and strengthen European values in these difficult times for the whole world.

Today, the Intercultural Cities Programme of the Council of Europe is a practical embodiment of these issues (Council of Europe, 2007, nd). An intercultural city is a community where cultural diversity is considered a value and the principles of mutual understanding, mutual respect and equality prevail (Afanasieva, & RubikondoKhovanova, 2015:15). Currently, 176 cities

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around the world apply the urban model of intercultural integration, including cities not only in Europe but also in Australia, Japan, Africa, Mexico, Canada and the United States. More than 50 cities are part of the international network of ICC. National networks exist in Italy, Morocco, Norway, Portugal, Spain, Ukraine (Melitopol, Vinnytsia, Lutsk, Odessa, Pavlograd, Sumy).

The Intercultural Cities Programme not only seeks to expand and deepen the discussion of the problems of multicultural communities, but also to find the ways to solve them in the daily social solidarity of representatives of different ethnocultural groups and indigenous peoples.

This makes it possible to blur significantly the ethnocultural boundaries between “majority” and "minorities", which greatly contributes to the mutual enrichment of “dominant” and subcultures, localities, classes, religions, disciplines and trends, and serves as a source of cultural, social, public and economic innovation in these communities. The practice of these communities confirms that the modern city is a dynamic environment that can change depending on the existing factor conditions, both external and internal. The active practices of intercultural cities became an example of the response of this situation in communities where ethnocultural diversity is the norm (Afanasieva, & RubikondoKhovanova, 2015:15).

The efforts of volunteers from the Reggio Emilia city community (Italy) are the prominent examples of this work, where all information about Covid has been translated into the main languages of migrants and daily contacts with the most vulnerable sections of the community through WAPP are maintained. The Erlangen community (Germany) has created a special pandemic information page. The page is available in many languages, has an automatic tool for listening to content by people who cannot accept written content. A video channel has also been set up, where information is provided on a regular basis.

The City of Lublin (Poland) has created a special Covid-19 page on the website with current materials in English and Ukrainian, which is the most common minority language in the country.

Oslo (Norway) has created an online information page in various languages. The municipality also supports NGOs working with vulnerable minority groups by providing them with special information posters and social media campaigns.

The community of the city of Montreal (Canada) has begun to develop information and media

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278 campaign to disseminate the necessary information about the current situation among ethnocultural communities and immigrants through various means adapted to this target group. Four communication topics were identified: access to housing; food aid; rights and state aid; public health care instructions. (Council of Europe, 2007) Melitopol (Ukraine) involved children of different nationalities in the creation of the video “Stay at home”. Children raise awareness about the affairs of their communities, share games for children and adults in leisure time during quarantine thanks to the city’s common website.

The video is the result of cooperation between the city community, local schools, the Greek Society of Melitopol, the Jewish community, the Crimean Tatar Committee, the Ukrainian-Polish Society of Melitopol “Poloniia”, the Center of Mexican Culture “Estrea” and representatives of other ethnic groups and communities.

Online meetings of city government and civil society organizations were organized to address the most important issues facing people of different cultural backgrounds and migrant communities in Sumy (Ukraine) and Limassol (Cyprus).

The city council of the multicultural city of Leeds (UK), which speaks more than 130 languages, has released 3 short films with basic tips on preventing and taking action on Covid-19 symptoms to ensure accurate distribution of key Public Health England messages to communities.

These videos have been translated into 11 of the city’s most common languages (Polish, Romanian, Urdu, Arabic, Czech, Punjabi, Tigrinya, Farsi, Slovak, Kurdish, Sorani and Bengali).

In Dublin (Ireland), Covid-19 INFO is a link created by the city council for people who may find it difficult to access information because English is not their first language. Active links lead users to information in their native language.

The city of Cartagena (Spain) promptly disseminates accurate information about the state of alarm announced by the Spanish government to families, organizations and mosques in Arabic, English and French. Coordination with the health sector is also ongoing to facilitate mediation for migrants so that there are no difficulties in understanding special emergency rules.

The above examples show that the response to the situation is quite adequate for civilized

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communities. Although the world was not ready for such a challenge, the ordinary lives of many people not only became more complicated, but began to change for the worse as never before.

This was often influenced by the national and world media, not always well-thought-out urgent government decisions, or the position of the World Health Organization and other international organizations that were formed in the wake of the situation. The cities-participants of intercultural networks embody models and mechanisms for managing ethnocultural diversity, gain experience that can and should be a positive example for building a higher level of relations between representatives of different nationalities, religions and cultures of other multicultural cities in such difficult conditions today.

This also indicates another extremely important thing. Urban communities have significant potential to create the intercultural public space of modern cities in a digital globalized society, even weakened by the sanitary and economic crisis. Intercultural strategies, which are implemented in many cities, allow many of their residents to find their way to the transition from “my” to “our” city and open it to other cultures.

That is why it is so important to take into account the urban model of intercultural integration to overcome common threats, as well as to provide city residents, refugees, migrants and ethnic communities with appropriate living conditions in the socio-cultural space (Afanasieva, & Rubikondo-Khovanova, 2015).

The successful cases we have considered in overcoming intercultural barriers promote social solidarity and cohesion. They give every reason to hope that it turns out to be the pandemic and everything directly related to it in the social context only a reflection and accelerator of real profound changes in the minds of multicultural communities after quarantine measures are curtailed or limited. We will see the desire for intercultural dialogue and openness along with the desire of all peoples to preserve and protect their separateness, identity and independence.

Conclusions Thus, the concept of cohesion and social solidarity can be stated in the context of the challenges associated with the problem of COVID-19 from a philosophical point of view.

This covers a wide range of social problems.

Their solution determines cohesion and stability of society.

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The analysis of successful cases gives grounds to believe that the intercultural factor can become the basis for building the urban social communications, active forms of interaction and dialogue, solidarity relations of members of the urban community. That is why it is so important to take into account the urban model of intercultural integration implemented by the cities-participants of the Intercultural Cities Programme of the Council of Europe to overcome common threats of selfishness, indifference and even panic, as well as to find appropriate resources of international cooperation, ensuring the conditions of living in sociocultural space, which will promote social solidarity and cohesion.

Civic activity is the activity which social solidarity is most manifested in. Active public participation is a meaningful indicator of cohesion and contributes to the spread of social justice, efficiency of state and public services, development of democratic society. This requires purposeful activity and active involvement of individuals and groups in the process of civic and political participation.

Unlike public participation, social participation represents the collective activity of people, the horizontal activity carried out by them within the framework of everyday life and aimed at satisfying the public interest.

Solidarity and cohesion are the best indicators of the fight against a pandemic, because it cannot be overcome alone. It is equally important to ensure leading role of democracy and human rights, solidarity and cohesion in our societies because exceptional situations require exceptional action.

“And even the best vaccine will not help here…

We need a vaccine of human love and charity” (Korotkyi, 2020).

Solidarity and cohesion in overcoming the pandemic cannot be imposed, nor can the spirit of patriotism and respect for the state be imposed or nurtured through various appeals and declarations. Ukraine can win the trust of its citizens and actively involve them in building a democratic civil society only by sensible policy, firmness and persistence in affirming the rights and freedoms of citizens and fundamental values of modern civilization, professionalism in solving problems.

Bibliographic references Afanasieva, L., & Rubikondo-Khovanova, K. (2015). Intercultural city as a model of integration of Ukrainian communities into the

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modern European space. Ukrainoznavchi almanac, 18, 14-17. Retrieved from: https://ukralmanac.univ.kiev.ua/index.php/u a/article/viewFile/2/103/ Accessed August 1, 2021.

Amelchenko, N. (2006). Thematization and problematization of solidarity of Ukrainian society in political and intellectual discourses. Ukrainian intellectuals: a view from the present. Kyiv: vydavnytstvo “Delta”, 194-205.

Bondarenko, M., Babenko, S., & Borovskyi, O. (2017). Social cohesion in Ukraine (experience of application of the method of bertelsmann stiftung to the data of European social research). Visnik Kivskoho National University named after Taras Shevchenko.

Sociology, 1(8), 58-65.

Comte, A. (1970). Introduction to Positive Philosophy. Indianapolis: Bobbs-Merrill, 70 Council of Europe (2005). Concerted development of social cohesion indicators: methodological guide. Strasbourg: Cedex, 234.

Retrieved from: https://book.coe.int/en/social-co-operationin-europe/8203-concerted-development-ofsocial-cohesion-indicators-methodologicalguide- book-cdrom.html/ Accessed August 1, 2021 Council of Europe (2007). Intercultural cities programme.

Retrieved from: https://www.coe.int/en/web/interculturalcitie s/ Accessed August 1, 2021 Council of Europe (2020). European Convention on Human Rights. Strasbourg: Cedex, 234.

Retrieved from: https://www.echr.coe.int/documents/convent ion_eng.pdf/ Accessed August 1, 2021 Council of Europe (2021). Intercultural Cities: COVID-19 Special page. Retrieved from: https://www.coe.int/en/web/interculturalcitie s/covid-19-special-page/ Accessed August 1, 2021 Council of Europe (2021) Statement by the Secretary General of the Council of Europe Marija Pejčinović Burić and Chair of the Committee of Ministers of the Council of Europe Heiko Maas. Retrieved from: https://www.coe.int/ru/web/portal/-/europeday-5-may-2021-72nd-anniversary-ofcouncil-of-europe Accessed September 12, 2021 Durkheim, E. (1982). The Rules of Sociological Method, N. Y.: The free press, 261 Hebreisus, T.A. (2021). The head of the World Health Organization Hebreisus stated the need for a new global agreement to combat pandemics. Espreso. Retrieved from: https://espreso.tv/news/2021/02/19/ochilnyk

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280 _vooz_gebreisus_zayavyv_pro_neobkhidnist _novoyi_globalnoyi_ugody_z_protydiyi_pa ndemiyam/ Accessed August 1, 2021 Korotkyi, V. (2020). The vaccine itself is not enough. We need sensitivity and solidarity.

Ukrinform.

Retrieved from: https://www.ukrinform.ua/rubricsociety/3156535-samoi-vakcini-zamalopotribni-cujnist-i-solidarnist.html/ Accessed August 1, 2021 Kremen, V. (2014). Consolidation paradigm of modernization of Ukraine. Svitohliad, 5, 49, 8-16 Parsons, T. (1964). The Social System, N. Y.: The free press, 575 Patsek, B. (2020). The threat is greater than nuclear war. Zbruc. Retrieved from: https://zbruc.eu/node/101547/ Accessed August 1, 2021

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Polishchuk, A. (2020). “What awaits us after ...”.

Den, 56-57.

Retrieved from: https://day.kyiv.ua/uk/article/podrobyci/shch o-chekaye-na-nas-pislya/ Accessed August 1, 2021 Shevchenko, O. (2016). Philosophical and political understanding of the concept of solidarity. Philosophical and Methodological Problems of Law, 1, 11, 83–91. Retrieved from: https://philosophy.naiau.kiev.ua/index.php/p hilosophy/article/download/384/386/ Accessed August 1, 2021 Zablotskyi, V. (2002). Solidarity. Philosophical Encyclopedic Dictionary. Kyiv: Institute of Philosophy named after Chronoriy Skovoroda NAS of Ukraine, 372–377

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DOI: https://doi.org/10.34069/AI/2021.45.09.28 How to Cite: Zakharova, L.F. (2021). Science organization of management as a method of production systems’ effectiveness increasing. Amazonia Investiga, 10(45), 281-292. https://doi.org/10.34069/AI/2021.45.09.28

Science organization of management as a method of production systems’ effectiveness increasing Научная организация управления как способ повышения эффективности производственных систем Received: March 1, 2021

Accepted: July 30, 2021

Written by: Lilya F. Zakharova113 https://www.elibrary.ru/author_profile.asp?id=1067513 https://orcid.org/0000-0003-1834-8227 Abstract

Аннотация

Modern high-tech production must be highlyeffective and competitive, what is possible only when effective management system is available.

There are disadvantages and problems of domestic machine-building enterprises and their practical experience. On the basis of made research with using fundamental theoretical and applied developments in the sphere of increasing management there is suggested conceptual appearance of a unique prognostic system of machine-building enterprises not mass production, the choice of directions of increasing these enterprises’ operative management system is justified. The purpose of the article is to propose ways to improve the efficiency of manufacturing enterprises. The methodology used in conducting this study and developing proposals for increasing the efficiency of production systems is based on the principles and methods of the general theory of management, its cybernetic and social components, as well as methods of specific management sciences for the creation and effective functioning of enterprise management mechanisms.

Современное высокотехнологичное производство должно быть высокоэффективным и конкурентоспособным, что возможно лишь при наличии эффективной системы управления. В работе рассматриваются недостатки и проблемы предприятий отечественного машиностроения, анализируется их практический опыт. На основании проведенных исследований с использованием фундаментальных теоретических и прикладных разработок в области совершенствования управления предлагается концептуальный облик единой прогностической системы машиностроительных предприятий не массового типа производства, обосновывается выбор направлений совершенствования системы оперативного управления этими предприятиями. Цель статьи – предложить пути повышения эффективности производственных предприятий. Методология, использованная при проведении данного исследования и выработке предложений по повышению эффективности производственных систем, базируется на принципах и методах общей теории управления, её кибернетических и социальных составляющих, а также методах конкретных управленческих наук по созданию и эффективному функционированию механизмов управления предприятиями.

Keywords: operative planning, predicting, production system, strategic management.

Ключевые слова: оперативное планирование, прогнозирование, производственная система, стратегическое управление.

113

PhD in Economic Sciences, Associate Professor, Moscow Aviation Institute (National Research University), Moscow, Russia.

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Introduction In modern world, which is characterized as a time without regularities eclectic is becoming common thing: there is combining of values and concepts. Objective terms of return to human values became a threat of humanity living on Earth, which appears in different spheres and letting us know about it more and more often.

History teaches that the base of wealth is material production. Separation from the real base of existing can turn into the loss of country’s strategic safety that is why a known tendency of outputting a number of productions from USA in terms of outsourcing in developed countries nowadays changes in diametrically opposite direction. For domestic enterprises modern stage of development is neo industrialization. In macroeconomic scales the solution of the productionally-technological base of domestic machine-building modernization task is potentially provided by all necessary for these resources, in contrast with the before more adverse development periods. However, as the practice shows, domestic production gives up its positions in comparison to the last period, more and more stepping back from the developed countries (Barinov, & Okatiev, 2017; Bratukhin, 2014). Force majeure with coronavirus pandemic can make this process catastrophic with other same terms.

Modern production in whole and hightechnological industry in particular has a specialty, which really makes these objects’ management processes harder: wide nomenclature, scientifically-technical and technological intensity, high labor input, long production cycle of made production creation, its common changing and constructivelytechnological completions and special demands to the quality (Knyazev, 2016). Enterprises of domestic machine-building where serial production type is higher, which in organizational plan is rather harder in comparison to mass one, nowadays face the following problems, which make their production uncompetitive on the world markets: not enough attention to scientifically-technical production preparation, inconsistency to production-technological base of modern production demands (old technologies, morally and physically worn out of equipment) and low effectiveness of management systems.

The key to further prosperity and development of domestic production, its final result, is a highlytechnological, scientific and highlytechnological strategically competitive on world

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markets production. Making the modern production objects harder is not only reality, but also imperative of modern world. In new technics there are formed the ideas of its best performers, whose art labour can be estimated only by equal to them minds. Machine-building digitalization, implementation of industrial standards automation Enterprise Resource Planning (ERP), Material Resource Planning (MRP), Manufacturing Execution System (MES) (PJSC NPO Saturn, JSC Russian Helicopters, etc.) are “steps” towards creating “smart (non-human)” plants with high degree of production and managements processes automation (Zagidullin, 2011; Polyanskov et al., 2014; Solomentsev & Frolov, 2015). For increasing effectiveness there are the most easy tools of information flows automation: systems of electrical documents integration (EDI) and different by scientific capacity information technologies (Data Mining), in which on the basis of reported and forecasted data intellectual analysis there is generated information for accepting hard management decisions (Zakharova et al., 2017; Porter, 2017).

The disadvantages of realized by enterprises projects of management systems’ automation are: absence of complete strategic picture and projects’ systematization, patchwork of their adoption, conceptually-instrumental inconsistencies of different program products among themselves, inconsistency of given results because of low reliability and doubling of information providing and high cost. As a result there is low effectiveness of given to the digitalization of financial costs (Sadovnikova & Shmoilova, 2016; Medvedeva, Museridze & Frolov, 2012).

The main factor of increasing production systems’ effectiveness is scientific approach to organization of their management system (Zakharova & Novikov, 2012; Semenov, 2019).

In this article there is suggested a full production systems’ management system, based on the complex forecast of strategic and operativelytactical changes, formation on the basis of forecasts of set plan decisions and operative tasks for its support (Zakharova & Novikov, 2016; Zakharova & Novikov, 2016).

Literature Review Modern literature is replete with works in the field of improving the efficiency of management

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and management of production systems of enterprises. At the same time, on the one hand, it is possible to single out the authors substantiating the point of view about the deep crisis of modern management. For example, Doctor of Economics, Professor A.V. Busygin (2015) is puzzled not only by the stagnation of Russian industry, but also by the lack of achievements in the field of modern economic theory. He speaks directly in the publication of the same name about the crisis of modern management.

The overwhelming majority of other researchers offer a lot of specific ways to solve scientific and practical problems in various areas of modern theory and practice of management, including in the field of production management, starting from its fundamental foundations. These include, for example, Barinov V. A., & Okatiev N. A. (2017), Bratukhin A. G. (2014), Knyazev E. N. (2016), Medvedeva G. M., Museridze A. B., & Frolov E. B. (2012), Polyanskov Yu. V., Totorkov A. M., Frolov E. B., Gismerylin A. R., Zaykin M. A., & Lototsky A. M. (2014), etc.

The methodology and tools of lean manufacturing, as well as logistic integrated management systems based on CALS technologies and standards for automation of production process control - MES-systems, presented in the works of Russian and foreign authors such as Bratukhin A. G. (2014), Porter M. (2017), Sadovnikova N. A. and Shmoilova R. A. (2016), Semenov S. S. (2015), etc. However, today there is no complete picture of the way out of the crisis of Russian industries, covering all aspects of their activities and subordinate single goal.

The author of this article, having many years of experience in scientific and practical and pedagogical activities in the field of management, came to the conclusions and proposals presented both in this work and in other publications, including monographs (Zakharova & Novikov, 2012; Zakharova & Novikov, 2016a; Zakharova & Novikov, 2016b; Zakharova et al., 2017).

2012; Sadovnikova, & Shmoilova, 2016). The methods used in writing the work are scientific tools of the general theory of management and its functional subsystems: forecasting, production tactical planning, operational production management, as well as the empirical method used in the study of the activities of a number of the largest enterprises in mechanical engineering.

The prerequisites for writing the work are the problems identified by the author in the practice of managing modern manufacturing enterprises, including aerospace, and the solutions proposed by the author, presented by him in articles, monographs, educational and scientific publications, as well as postgraduate dissertations written under his leadership.

Results and Discussion In accordance with Ashby's (1959) cybernetic law of necessary diversity, the control system must correspond in its complexity and quality, at least not be inferior to the complexity of the controlled object. In other way it is not effective, because the managed object will not reach the given goals. Thus, the most actual task is reorganization of management systems with the usage of saved in this sphere practical experience and theoretical knowledge. If we rely on the theory of modern management, analysis of its fundamental resources shows that management science is in crisis situation. Well-known historical schools of management theory, while basing on different periods key factors of success, starting from the meaning of the management activity on its own and systematization of management functions, including mathematical and behavior schools and achieve continuing in different proposed conceptions (situational, process management, concept of global strategy, etc.), which, on the one hand do not bring new knowledge in this sphere, but on the other hand do not give clear answers on practice’s question. Informationallymethodological domestic enterprises management base is full of variety, not systematization and not effectiveness because of: 

Methodology



The theoretical basis of the proposed work is cybernetics, control theory, theory of complex systems, forecasting, theory of fuzzy sets and the main categories are such concepts as forecasting, strategic, tactical and operational management, large organizational and economic production systems, considered in fundamental and applied works (Zakharova et al., 2017; Medvedeva et al.,

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

firstly, possible misunderstanding of management nature; secondly, absence of strategic topmanagement, effective high guide, effective owners of business and government structures; thirdly, blind copying of western models of management innovations.

Modern business, while failing under the work of outer world factors, had to turn to strategic

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284 planning theory, which usage was a successful experience and had long-century history in the sphere warfare and government management, starting with the time of Ancient Greece and before it. Scenario-strategic planning in terms of unstable environment replaced long-term extrapolation planning, having come through quality changes in contents and technologies, but staying planning on perspective itself.

Understanding the role of strategic planning, government structures develop strategic programs and economic development projects and its separate spheres. There was accepted the law “On strategic planning in the Russian Federation” No.177-FZ. Its role in managing large-scale scientific business is exceptional in its importance. However, the narrowness of planning horizon of strategic planning, mentioned in the law, does not accord to temporary parameters of life cycle of not only national economy, but also its separate enterprises, and consequently to the concept “strategic” one. The existing position of domestic production complex is due to the lack of scientific organization of production management and, firstly, really working mechanism of strategic planning.

The defining and leading category in strategic management is the concept of goal. Goals for organizationally-economic systems are not only specific ending positions and results of their activity, which are the base for building criteria of their estimation, but also subjective reflection of objective reality, showing interests of enterprise owners, staff and society, which are

the motives and incentives of people’s behavior in their joint labor activity. In critical periods of development the most important are goals, classified by stages of management object’s life cycle:  



goals of system’s creation (defining the necessity in product, system’s projecting and access to the market); goals of stabilization (providing normal income of business, image creation, keeping or small expanding of the owned part of the market’s share and development of rational tactical movements, while saving the basic strategy); goals of system’s development (increasing the income, quantity and quality indicators’ growth, new products’ production and access to new markets).

The main common strategic goal of production system as organizationally-economic system is mission. The concept of strategy for organizationally-economic systems, consequently must come from and base on the meaning of the concept “mission”. Considering missionary goal of business, there can be made a conclusion about its highly-humanistic role, but its merit is connecting of war terminology strategic management technology with human, universal concept “mission”. For conquering worthy strategic niches in geopolitical sphere it is necessary to have clear understanding of the mission and goals of every participant of triad (Figure 1).

Figure 1. Main participants of strategic cooperation.

This cooperation is impossible without agreeing and defining subordination of the goals, including such global ones as missionary destination. Here missionary destinations of

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business and government have subordination character towards the society mission. The society in face of public institutes dictates and realizes universal values and rules. Government

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sets formal rules for its all members. Business destination is receiving of additional cost for providing further development of all triad as a whole system. The balance of interests is possible only with availability of realized, but not formally set missions of every participant.

Scientific systematization of management activity spheres points out prognosis function as its starting beginning stage. Dynamic of scientifically-technological progress, intensity of competition, unpredictability of consumers preferences and connected with these factors high uncertainty and unpredictability of tomorrow events make prognostic one of the most demanded spheres of science, but from the other point increase demands to trustworthiness and accuracy of the prognosis. The prognosis is prelude of any plan, and the last controls all further movements of manager. Domestic school of prognosis was high: developed by it prognosis tool was successfully used for solving tasks of creation scientifically-technical, sociallyeconomical and other prognoses on the level of separate spheres and national economy in whole.

However, in terms of directional centralized management separate enterprises and communities have never been independent objects and subjects of prognosis. With a transfer to the market, the situation has sharply changed in the necessity in results sphere at first tactical, and then strategic and operational prediction.

However, even nowadays there is a big separation between macro prediction and micro prediction, which is a level of separate enterprises and units. This connects with the structure of the prediction apparat on its own, its place and roles in enterprises’ activity, prediction tool on all temporary horizons of prediction: perspective strategic, middle term, short-term and operational.

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In the prediction sphere on domestic enterprises there can be pointed out the following problems:  

   

lack of intrumentional-methodological prediction providing; imperfection of special necessary knowledge and experience of creation scientifically-proved strategic and realistic operational predictions; imperfection and non-systematization of informational basis; lack of organizational providing; crudity of terms and default level of prediction; varieties of existing programmedmethodological providing, input intensity of its buying and adaptation (for tactical predictions).

The work of various authors is devoted to the problems of forecasting in the activities of an enterprise in market conditions. However, the solutions proposed in them, considering in detail certain areas of the enterprise's activity, do not give an idea of an integral forecasting system.

The publications in this area, also, as a rule, do not stipulate the time horizons of forecasting, without presenting the forecasting activity of the enterprise as a complex of interrelated forecasts.

For making system prediction activity on enterprises it is necessary to firstly point out elements of such system. In our view, the structural elements of prediction system of the enterprise must be the following ones (Figure 2):    

perspective prediction for 10-15 and more years; middle term prediction for 3-5 years; short-term prediction for a 1 year; operational prediction from a quarter to shift and hour.

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Figure 2. Horizons and key areas of production system prediction decisions.

A problem of particular importance in the conditions of modern neo-industrialization is the design of the forecasting system for industrial enterprises of single and serial production.

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The proposed conceptual appearance of the forecasting system of an industrial enterprise of a non-mass production type for the main key areas of forecasting is shown in the Figure 3.

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Figure 3. Conceptual appearance of the forecasting system of a manufacturing enterprise in key areas of forecasting.

Methodological hardships of development and implementation of enterprise’s prediction system come from the character of the solved problems.

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Perspective strategic (unlike long-term (differences between strategic and long-term prediction are not only in the horizon of

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288 prediction: both are perspective, i.e. made for a period of 10-15 or more years, but in used methods and formation mechanisms)), such as operational interactive prediction, rely to the class of weakly-structured, but more often nonstructural tasks are the least formalized part of the enterprise’s prediction system. This is connected with high definition of prediction context, uncertainty of managing object goals, criteria (for strategic horizon) and ways of reaching goals, necessary for these resources. In strategic relation this, first of all, relies to the task of choosing investment enterprise’s attachments perspective directions, stating choice of the competitive breakthrough scientificallytechnical products and scales of its production in world-wide markets.

On the level of operational prediction there are the questions of making shift-daily tasks by worker of parts of production enterprises’ shops.

In terms of strategic prediction the problem is choice of prediction tool, which would be rather effective for solving the given tasks on the level of separate enterprises. Without considering in this work such tool of strategic prediction, we only point out that for perspective prediction of production systems development there is essential usage of system analysis methods, such as economically-mathematical and statistical modeling with the accent on expert heuristic methods. Matrix models, suggested by western management, are simplified systematization strategic information form and can be used for solving strict tasks circle, such as leading strategic information to corporative owners in terms of sprayed property form (American model for corporative management).

One of the most problematic questions is also the choice of estimation criteria of the whole enterprise’s place in perspective. In our point of view, the main indicators, showing the perspective place of production enterprise of high-tech scientific production industries, must be not profit and profitability of production, but indicator of strategic competitiveness of made production per unit of cost. This will allow avoiding short-term “fast” investments, profitable in receiving feedback in short-term perspective, which slow down researches, developments and production of hard scientific competitiveness on world-wide production markets.

In order to realize strategies, it is necessary to take serious actions on the chosen route, make tactical and operational management, whose essence of which is concreting and detailing in

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space and time of developed strategies. The cycle of managing functions in this repeats, but on less management horizons. The ending detailing of activities finds embodiment in operational planning. Operational and tactical movements are pointless, if there is not given perspective direction of movement, which are strategies.

The main task of middle cost tactical prediction for 5 years must be the task of predicting the selling volumes on each sales market. This task must be solved step by step:  

on the first stage there is prediction of potential capacity of each markets’ segment; on the second stage there is made comparative competitive analysis and really possible sales in middle term perspective are estimated.

On the basis of middle term prediction there is formed a production enterprise’s program.

The hardest one in prediction system is operational prediction, together with perspective one, which specialty consists in high degree of situation’s non-definition after the variety and force majeure character of possible confusing factors, which work with making operational decisions, and also in the lack of temporary lag among prediction, making decision and it’s factual completing. Effective system of operational production management, its vertical and horizontal integration with all subsystems of enterprise’s management in operational reaction on changes of inner and outer spheres is a key to successful completing of strategic settings and success of the enterprise in whole. The base for increasing machine-building production operational management are logistic integration systems of operational management, combining concepts of system process approach, “saving” production, Continuous Acquisition and Life Cycle Support (CALS) technologies Bratukhin, 2014, budgeting, controlling and based on using of counting technics. This includes “pulling out” and corporation information systems, based on foreign production management standards. The first place on such enterprises is given to the idea of creating maximally balanced technological process with high intensity and maximum flexibility of working powers and equipment.

In terms of implementation of “Smart Factory” projects on machine-building enterprises in Russia nowadays there is automation and robotization of production parts and flexible production-logistic systems, which include

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automation of the operational level management processes. However, on most enterprises of machine-building complex without automation there is still formation of shift-daily tasks and creation of essential for this prediction information database. Shift-daily planning is an ending stage of production planning, strictly connected with production way operational regulation, which is made in real time on the level of separate worker and workplace, taking into consideration forming conditions (possible breaks of equipment, delays in supplying raw materials, preparations, semifinished products, details, completing products, tool and fixtures, unplanned tasks, not showings of production workers, etc.). With operational management system functioning in real time it is necessary to make a proactive prediction of appearing possible disagreements and form optimal planned tasks for executors. As a result of adaptation hardness and high cost of programmed products its creation on most enterprises is not automatized and made by hands. Available in this sphere programs are based on using hard mathematical instrument, which allows maximally clear and adequate consider the given parameters and their change in operational production planning. These are models of optimization, immigration models, heuristic and models of mathematical statistics.

Wide usage has models of optimization, which consist of linear and nonlinear programming, dynamic programming, network planning, etc.

Modern programmed provision allows receiving variants of shift-daily tasks, maximally close to optimal one. However, in sharp financial deficit expensive programmed products for solving tasks of forming shift- daily tasks, using highly clear mathematical tool mostly unavailable for domestic enterprises. In these terms the best variant, in our view, is using a mathematical tool, which is based on the unclear logic principal (logic of unclear output), programmed packet realization of which will be a compromise between very expensive intellectual systems of operational management and existing practice of forming production plan on the lowest level of “hand” management, this is especially actual for unstable production.

element xi of variety U cannot belong to А (μ А = 0), can be element A in small degree (μ А is close to zero), can more or less belong to А (μ А is not too close to 0 and to 1), can significantly be element А (μ А is close to 1) or can be element А (μ А=1). Variety of meaning of x, on which there is defined membership function, is called unclear variety.

The principal of unclear logic is concluded in the possibility of making decisions in certain range of truth (Zakharova & Novikov, 2016). In addition, instead of binary Boolean system of choice there is used the possibility of choice from 0 to 1. The concept of “unclear variety” replaces characteristic function with membership function, which can have any meaning on the interval [0,1] for x ∈ А. According to this

The staged option for choosing preferred shiftdaily tasks alternatives can be formulated as follows. Let the following condition be presented to the set of all alternatives of the shift-daily task, formed taking into account probable perturbations:

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Formation of shift-daily tasks is one of the possible spheres of practical usage of unclear conclusion logic, because it is connected with highly non-defined of outer and inter-system disturbances. While forming shift-daily plan the sector’s planner cannot just set the degree of preference of one variant above another, but even clearly compare alternatives and forms a plan only with some level of confidence. Lack of operational prediction of disturbing factors causes deviations during production, whose intensity repeatedly increases for units (sections, workshops) with unstable production, which are characterized by the absence of strict fixing of the ciphers of the names of parts for the site, a sharp change in the volumes of their manufacture from period to period, the impossibility of determining in advance a month in advance the order of their launch and release at each workplace, which is most typical for the conditions of one-off production, but also typical for mass production, which is predominant in mechanical engineering, especially in high-tech business. Correction of shift-daily plan is made for later terms of making before planned nomenclature positions, which delaying planned buildings creation, brings chaotic in staff work, making intensity and conflicts on work places and in the end brings to disruption of planned tasks completion terms. In concepts of unclear logic formation of shift-daily task is a task with unclear logical derivation, making unclear conclusions on the basis of unclear conditions and premises. Fixation of concrete meanings from the interval [0,1], which estimate degree of ownership of the plan alternatives, has subjective character. Building of ownership function is made using experts estimations and is defined by experience, intuition and other subjective factors of the one, who makes a decision.

0,01 < ℰ < 0,15,

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(1)

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290 where (𝓔) is an unclear variable deviation from firstly set up (ideal) plan. Unclear variable is defined by its name, scope and description of restrictions on possible meanings. On received unclear majority of possible shift-daily tasks alternatives, there must be chosen some acceptable or one variant. While solving practical tasks, using unclear variety theory the most used were the easiest private cases of unclear numbers and intervals, which have received their name by the view of the ownership functions, which are linear one: triangle (for single variant) or trapezoidal (for range of possible options).

We suppose that for unstable production terms there are the following restrictions for possible deviations from ideal, formed on the stage of calendar planning, shift-daily tasks:

1.

2.

3.

4.

alternative of plan with deviations on the interval: 0 < ℰ < 0,01 are estimated as ideal, but unlikely ones; deviations on the interval: 0,01 < ℰ < 0,05 are estimated as unideal, but possible ones;deviations on the interval: 0,05 < ℰ < 0,10 are estimated as not good enough, but appropriate ones; deviations on the interval: 0,10 < ℰ < 0,15 are estimated as satisfying; deviation of indicators, which are higher than ℰ ≥ 0,15 are estimated as inappropriate.

Then the function, according to these statements (in concepts of unclear logic is an ownership function) will have a trapezoidal view (Figure 4).

Figure 4. Ownership function µ of unclear variable ℰ With using ownership function the trustworthy of statement µ(𝓔) regarding to possible shift-daily

tasks alternatives will be formally described by the following equation (2).

Unacceptable deviations from the performance indicators of the plan, as well as permissible, but very insignificant in conditions of unsteady production, are estimated with zero reliability, all

other values will be acceptable and evaluated in a single standardized quantitative rating scale.

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This method, realized in programmed packet variant, significantly easing shift-daily tasks

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formation process, reduces time for its development, will increase the state degree of production buildings on the direct performers level (production workers) will increase the management production cultural level.

The main differential specialty of this approach is that it shows real process, allows taking into consideration the impact of non-strict big number of hardly realized factors in forming shif-daily plans, which impact on flowing and the result of its completing and is comfortable when usage of hard mathematical models is difficult and costly.

Automated systems of operational management system, built on the unclear logic principal, are the most effective for the terms of unstable production. Practical usage of unclear logic tools on the one hand will not demand any significant investments, but on the other hand will increase the effectiveness of management by:  



providing the continuity (flow) of the processes of operational production management in real time; providing the complexity of operational management is the integration of management functions for short-term forecasting, operational-production planning, organization of production and dispatching of production processes; changes in the role of man in the humanmachine system as a result of the introduction and use of workstations of masters and planners of production sites.

iterative and evolutionary process, since the database should be continuously replenished and updated in the course of gaining experience in the process of its operation.

The presented proposals for improving production management, based on a comprehensive forecast, are necessity for the effective functioning of production systems, ensuring their strategic competitiveness in world markets, in particular this applies to high-tech science-intensive industries of mechanical engineering, where single and batch types of production prevail.

Discussions of the proposed solutions were carried out in scientific circles when publishing author's works, as well as among practitioners of Russian aircraft manufacturing enterprises and corporations. Since the improvement of enterprise management systems should be carried out taking into account the specifics of the conditions of their functioning, the issues of filling with the specifics of the proposed components of the forecasting system of enterprises should be considered and resolved in the process of developing and implementing relevant projects and programs for the development of Russian engineering enterprises.

Conclusions Based on the above, the following conclusions can be drawn: 

Technology of applying the method of expert assessment in the formation of a shift-daily plan using the theory of fuzzy sets with operational forecasting requires the creation of an adequate retrospective information base.

Results and Discussion The paper substantiates the need to develop a prognostic system of enterprises based on a systemic complex forecast, presents its conceptual and methodological appearance and possible tools for solving particular problems of operational management for machine-building enterprises of single and serial types of production.



 

The success of the practical implementation of the proposed solutions requires the creation of a single centralized databank for information and expert support at all horizons and levels of management. At the same time, the design of an expert support system should be considered as an

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

Hardness of strategic prediction mechanism on a separate enterprise level needs a together participation in its development of intersectoral and government structures. On the government level, this activity sphere develops, gets embodiment in government target projects and programs, but still has not become an active tool on microeconomic level.

Nowadays there is no clear understanding of perspective goals and strategies of production systems’ development or temporary frames of enterprise’s strategic plans development.

Innovatively investment activity, including production enterprises automation questions has non-system character.

Innovations in production sphere are separated from innovations in management sphere.

There are absent qualified specialists, which do not accord to modern requirements of highly-technological hard production systems’ management.

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292 

There is not paid needed attention to main producer: workshops and parts of the main production, in addition to operational management system.

Reorganization of the existing production management systems has to be made on the following main principals:  





strict subordination to perspective strategic development plan of management object of production system; complex system connection with restructuration of production technical base of production system, but not the replacement of management processes by production ones; realization of strategic projects of improving management systems and organizational reengineering through tactical and operational events (kaizen). adequacy of organizational support to made changes.

The improvement of production management is proposed to begin with the design of the forecasting system of enterprises, based on scientific principles and management tools, taking into account the specifics of the industries under consideration.

Bibliographic references Ashby, U. R. (1959). Introduction to cybernetics.

Moscow: Ripol Classic.

Barinov, V. A., & Okatiev, N. A. (2017).

Strategy for restoring the competitiveness of the domestic rocket and space industry.

Monograph. Moscow: RIOR: INFRA-M. Bratukhin, A. G. (2014). CALS-technologies in the life cycle of Russian competitive civil aircraft. Monograph in 2 books. Moscow: MAI-Print.

Busygin, A. V. (2015). Management crisis.

Essays on modern theory and current practice. 2nd edition. Moscow: Prospect.

Knyazev, E. N. (2016). Innovative complexity.

Saint Petersburg: Aletheya.

Kofman, A. (1982). Introduction to the theory of fuzzy sets.

Moscow: Radio and communications.

Medvedeva, G. M., Museridze, A. B., & Frolov, E. B. (2012). How to avoid mistakes when choosing a control system for machinebuilding production. Machine park, 8(96), 29-35.

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Polyanskov, Yu. V., Totorkov, A. M., Frolov, E. B., Gismerylin, A. R., Zaykin, M. A., & Lototsky, A. M. (2014).

Evaluation of the possibility of applying the operational management system for production of the MES class within the framework of mechanical frame production of an aircraft building enterprise. Bulletin of MGTU Stankin, 3(30), 83-88.

Porter, M. (2017). Competitive advantage or how to achieve a high result and ensure its stability. Moscow: Alpina Publisher.

Sadovnikova, N. A., & Shmoilova, R. A. (2016).

Time Series Analysis and Forecasting.

Moscow: Moscow Financial and Industrial University “Synergy”.

Sadovsky, V. N. (1974). Foundations of the general theory of systems: logical and methodological analysis. Moscow: Science.

Semenov, S. S. (2015). Assessment of the quality and technical level of complex systems: practice of applying expert assessments.

Moscow: Lenand.

Solomentsev, Yu. M., & Frolov, E. B. (2015).

Modern methods of increasing the efficiency of machine-building industries. Engineering Technology, 8, 54-58.

Zagidullin, R. R. (2011). Management of machine-building production using MES, APS and ERP systems. Monograph. Stary Oskol: TNT. Zakharova, L. F., & Novikov, S. V. (2012).

Strategic changes in large-scale organizational and economic systems: justification and implementation.

Proceedings of the Moscow Aviation Institute, 53.

Zakharova, L. F., & Novikov, S. V. (2016a).

Formation of the organizational and executive poly-structure for the implementation of science-intensive projects.

Models, Systems, Networks in Economics, Technology, Nature and Society, 3(43), 52.

Zakharova, L. F., & Novikov, S. V. (2016b).

Management of competitive selection of high-tech scientific and technical projects.

Monograph. Moscow: MAI Publishing House.

Zakharova, L. F., Kudryavtsev, S. M., & Novikov, S. V. (2017). The implementation of a systematic approach to solving the problem of integration of participants in large-scale scientific and technical competitive projects. Bulletin of the Moscow Aviation Institute, 24(1), 180-191.

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DOI: https://doi.org/10.34069/AI/2021.45.09.29 How to Cite: Popov, R.A., Sekisov, A.N., Solovyova, E.V., Shipilova, N.A., & Savenko, A.A. (2021). Resource-saving factor in the development of Russian cities. Amazonia Investiga, 10(45), 293-301. https://doi.org/10.34069/AI/2021.45.09.29

Resource-saving factor in the development of Russian cities РЕСУРСОСБЕРЕГАЮЩИЙ ФАКТОР В РАЗВИТИИ РОССИЙСКИХ ГОРОДОВ Received: July 12, 2021

Accepted: September 8, 2021

Written by: Rinad A. Popov114 https://orcid.org/0000-0002-1982-120X Aleksandr N. Sekisov115 https://orcid.org/0000-0002-4810-3741 Ekaterina V. Solovyova116 https://orcid.org/0000-0002-8354-5887 Nataliya A. Shipilova117 https://orcid.org/0000-0002-9531-2394 Andrey A. Savenko118 https://orcid.org/0000-0001-5268-2021 Abstract

Аннотация

The purpose of the article is to identify the problems of Russian cities and urban-type settlements from the standpoint of their historical and economic development. Using the methodology of economic, statistical and retrospective analysis, it was revealed that along with the growth of large cities in recent years, there has been a tendency towards a reduction in small settlements, which is associated with a decrease in industrial production. The result of this is the active development of urban processes, leading to the concentration in large cities of the scientific, technical and intellectual and production potential of the regions, their transformation into self-sufficient centers for the development of territorial socio-economic locations. The result of the study is the substantiation of the need to create new methodological approaches to the development and placement of productive forces, planning of urban areas, solving problems of energy and resource supply of territories on the basis of achieving their ecological and economic efficiency. The concept of the decisive role of the resource-saving factor in the process of

Целью статьи является выявление проблем российских городов и поселков городского типа с позиций их исторического и экономического развития. Посредством методологии экономико-статистического и ретроспективного анализа выявлено, что наряду с ростом крупных городов в последние годы наблюдается тенденция к сокращению малых поселений, что связано со снижением промышленного производства. Результатом этого становится активное развитие урбанистических процессов, приводящее к концентрации в крупных городах научно-технического и интеллектуально-производственного потенциала регионов, превращению их в самодостаточные центры развития территориальных социально-экономических локаций. Результатом проведённого исследования является обоснование необходимости создания новых методологических подходов к развитию и размещению производительных сил, планировке территорий городов, решению задач энерго- и ресурсообеспеченности

114

PhD, Doctor of Economics, Professor, Department of Technology, Organization, Construction Economics and Real Estate Management, Institute of Construction and Transport Infrastructure, Kuban State Technological University, Russia.

115 PhD, Candidate of Economic Sciences, Associate Professor, Department of Technology, Organization, Construction Economics and Real Estate Management, Institute of Construction and Transport Infrastructure, Kuban State Technological University, Russia.

116 PhD, Doctor of Economics, Professor, Department of Technology, Organization, Construction Economics and Real Estate Management, Institute of Construction and Transport Infrastructure, Kuban State Technological University, Russia.

117 PhD (Candidate of Economic Sciences), Associate Professor, Department of Technology, Organization, Construction Economics and Real Estate Management, Institute of Construction and Transport Infrastructure, Kuban State Technological University, Russia.

118 PhD, Candidate of Economic Sciences, Associate Professor, Department of Technology, Organization, Construction Economics and Real Estate Management, Institute of Construction and Transport Infrastructure, Kuban State Technological University, Russia.

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urbanization of territories is substantiated. It was revealed that the approach to the analysis and modeling of the city economy when considering it as a "quasi-corporation" involves the formation of an integrated reproduction system based on increasing the efficiency of the use of territory resources, which translates the process of planning the development of the urban environment into the category of business process technologies.

Keywords: urbanization, city, urban planning, productive forces, resources, efficiency.

территорий на основе достижения их эколого-экономической эффективности. Обосновывается концепт об определяющей роли фактора ресурсосбережения в процессе урбанизации территорий. Выявлено, что подход к анализу и моделированию хозяйства города при рассмотрении его как «квазикорпорации» предполагает формирование комплексной системы воспроизведения, основанной на повышении эффективности применения ресурсов территории, что переводит процесс планирования развития городской среды в разряд бизнес-процессных технологий. Ключевые слова: урбанизация, город, градостроительство, производительные силы, ресурсы, эффективность.

Introduction The purpose of the article is to identify the problems of Russian cities and urban-type settlements from the standpoint of their historical and economic development. The resource-saving factor in the development of Russian settlements from a historical perspective is manifested in their emergence and formation near consumed natural resources such as water, material, energy.

In the past, and often even today, during the development of mineral deposits near industrial facilities, settlements for workers were created both on the basis of previously existing settlements and new ones. The owners of new mines, coal mines, factories and factories at minimal cost built temporary residential buildings in the form of dormitories, in which they settled the families of workers, and in this inexpensive way "tied" people to jobs. This method of saving resources was the most popular in Soviet Russia during the first five-year plans and the post-war decade, when the destruction of the Second World War was being overcome.

Starting in the 60s of the last century, intensive housing construction began in the country, which gradually (in about 20 years) resettled the heirs of the first barracks settlers into separate, relatively small, but comfortable apartments.

This was facilitated by the emergence of a large number of house-building plants, at least one house-building plant in each regional center, which produced 100 thousand square meters of apartments per year. Another factor in the development of construction was technical progress, the creation of new materials, construction machines, an increase in the energy supply of construction projects, the improvement of the qualifications of workers of mass

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professions and the engineering staff. Currently, any able-bodied Russian has the opportunity to get a mortgage loan from a bank for up to 20 years and immediately buy an apartment or participate in the construction of an apartment building.

In the 30-60s in our country, the development of productive forces was carried out from the standpoint of resource conservation along the line of the formation of mono-industrial cities and urban-type settlements according to the principle: one city or village is adjacent to one large plant. In this way, many new cities and urban-type settlements appeared on the map of the country; among them are Norilsk, Bratsk, Angarsk, Volzhsky, Togliatti, Urengoy, etc. At the same time, new industrial enterprises were created in the peripheral part of historically formed large cities, which used the labor resources of these cities, and also financed housing construction for the emergence of additional personnel. The result of this process was the formation of special territorial-industrial zones in large cities and at some distance from new residential neighborhoods.

Such microdistricts in some cities were called "sotsgorod" (social city), "Cheryomushki" in others, by analogy with Moscow Cheryomushki (microdistrict, frontally built up in the 60s with new multi-storey residential buildings).

Subsequently, such residential neighborhoods with a population of 20-40 thousand inhabitants were called "dormitory areas", since they provided services for housing and communal services, consumer services, health care and secondary education, but there were practically

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no places for employment.

In such a scheme of urban planning, the problem of maximum use of resources was effectively solved, on the one hand, the life support of the population, on the other hand, the extraction of a synergistic effect from the concentrated location of both residential areas and industrial enterprises. At the same time, the main organizational and technical difficulty was the transportation of passengers between the industrial and residential areas in the morning and evening hours. Moreover, it was necessary to deliver the children of workers to kindergartens, since at that time there were not enough children's places in the microdistricts. This problem was solved by organizing the running of special buses for preschool children. In terms of the resources of that time, such a solution can be considered quite effective.

Under the influence of the imperatives of resource conservation in the 1960s and 1980s, satellite cities began to appear in the vicinity of the largest Russian cities near production facilities, in which the issues of employment and social development were comprehensively resolved. If earlier cities developed practically according to the same scenario - from the center to the outskirts (from the town hall and the shopping area to the fortress walls and outside the walls near them), then later such factors of urban planning began to lose their relevance. The determining factors in the growth of Russian cities in recent years have been their high resource availability and economic synergetics obtained on the basis of diversified interactions.

Simultaneously with the expansion of large cities in recent years, there has been a process of reduction of small settlements due to the extinction of industrial enterprises, reduction of places of employment. The result of such a contradictory process is a modern map of the settlement of settlements, in which the urbanistic (from the Latin urba - city) emphasis of development is quite clearly visible - the pulling of the intellectual and production potential of territories into large cities, turning them into selfsufficient nuclei of regional socio-economic locations, "centers development". At the same time, the prospect of the functioning and development of small settlements remains problematic.

Literature Review The problem of the spatial organization of the economy in a relatively holistic form dates back to the second half of the 19th century in the works

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of representatives of the German school A. Weber. A. Weber was the first to formulate the idea of the formation of settlements in conjunction with the development of industrial enterprises with positions of the resource approach (Weber, 1926). A. Weber considered the minimum production costs to be the main "factor of placement". Along with the resource factor, he proposed to take into account the sales factor in the “placement” problem, which in some cases may turn out to be more significant than the resource factor in terms of the total costs of production and sales of products. In 1934, from the standpoint of a functional approach to the development of territories, three sectors of the city's economy were identified: the primary sector - the mining industry, the secondary sector - the manufacturing industry, and the tertiary sector - services (Parkhomenko et al., 2008). In the 60s, W. Isard, from the standpoint of the resource approach, investigated the mechanisms of migration phenomena, the processes of formation of metropolitan areas (Isard., 1960).

Quite a lot of publications by contemporary Russian authors are devoted to the issues of the formation of urban settlements, which have received the name "urban studies''. The development of methods for assessing the gross urban product, as an integral indicator of the realization of the socio-economic potential of an urban area, are devoted to the publications of T.V. Uskova, Chekavinskaya, A.N., & Lukin, E.V. (Uskova, Chekavinskaya, & Lukin, 2013).

The problems of modernizing a single-industry city and methodological approaches to the management of its construction complex are studied by M.A. Lunyakov, P.G. & Grabovy (Lunyakov & & Grabovy, 2017). Scientific research by A.I. Treivish is devoted to the mechanisms of development of urban settlements from the standpoint of the institutional and reproductive approach; he believes that “the science of development, as part of the ideology of developmentalism, would be logical to call developmentology” (Treivish, 2009). The studies of N. Shipilova et al. (Shipilova, et al., 2017) are devoted to the modern problems of the functioning of the territories of resort cities, their innovative development.

The topic of regulation of the development of large cities, their relationship with small settlements remains debatable in the scientific community. Some authors consider the emergence and growth of megalopolises (cities with a million population) to be a normal natural phenomenon, while others are in favor of measures to limit their growth; the third group of

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296 authors believes that cities should harmoniously combine and closely interact with rural areas.

(Druzhinin, & Videnskaya, 2007).

reporting data of state statistics bodies, information materials of regional administrations and municipalities, information from organizations, as well as observations of the authors of the article.

The publications note the binary managerial quality of a modern city: on the one hand, the city is an object of management, on the other, it regulates its own life and the surrounding area of rural settlements. (Zotova, 2007). This last quality requires, in our opinion, additional comprehension and development of planning and regulation tools (Moiseev, 2013). A similar position is defended by a group of authors who interpret modern cities “as poles of economic life, structuring the surrounding space” (Parkhomenko et al, 2008). Recently, in publications on urban studies, there has been a reproductive emphasis in the assessment of urban settlements, their complex spatial-systemic content. At the same time, in terms of the prospects for the development of urban areas, the following approaches are very clearly observed: 1) city-society; 2) city-market; 3) citycorporation. In our view, each of these slices of urban life characterizes a quite tangible qualitative side of a modern city and should be evaluated in synergistic combination with the rest; the problem lies in maintaining the optimal proportions of such a combination. All this taken together indicates the vastness of the problem of managing the development of urban areas, its relevance.

The theoretical and methodological basis of the research was the theory of systems, the theory of organizations, the principles of institutionalreproductive and systemic-synergetic approaches. Methods of functional-cost, case study and SWOT analysis, comparisons and generalizations were chosen in the role of the main ones. Conceptual constructions are formed on the basis of the analysis of the identified processes and conditions in modern urban planning practice, making forecasts for the development of the situation.

Results and Discussion In the vast territory of Russia, we are witnessing the process of forming a new map of spatial development, pedalized by the interests of resource conservation, which is characterized by the accelerated growth of large cities, accompanied by less rapid development and even depression of small towns and villages in terms of population. The process of the formation of radially dispersed micro-industrial zones around large cities in their peripheral parts, which gradually merge into peripheral industrial and logistics rings, is quite noticeable. On the one hand, this helps to optimize passenger flows in the morning and evening hours (make it circular), on the other hand, it narrows the recreational zones of urban areas (recreation retreats to more distant boundaries).

Materials and Methods The information basis for this study was the fundamental work in the field of spatial development, the formation of regional agglomerations and urban areas A.I. Treivish (Treivish, 2009), V.N. Ovchinnikov (Ovchinnikov & Kolesnikov, 2008), monographs and articles of Russian and foreign authors,

Statistics show that the process of urbanization of Russian territories is only intensifying (Table 1).

Table 1.

Indicators of the urbanization process in the Russian Federation in 1989-2018 (Russian Statistical Yearbook. 2018) Indicators Number of cities inhabitants in them, thousand people including those with a population of 500-999.9 thousand people inhabitants in them, thousand people cities with a population of 1 million or more inhabitants in them, thousand people

1989 1037

2002 1098

2010 1100

2015 1114

2016 1112

2017 1112

2018 1113

94450

95916

97527

100842

101651

102044

102387

22

20

25

21

21

22

22

14040

12403

12755

12853

12931

13516

13576

12

13

12

15

15

15

15

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Urban settlements inhabitants in them, thousand people cities with a population of 1 million or more inhabitants in them, thousand people Urban settlements inhabitants in them, thousand people

1037

1098

1100

1114

1112

1112

1113

2193

1842

1286

1192

1190

1192

1195

13509

10513

7787

7259

7188

7171

7134

(Krasnodar was included in the number of cities with a population of 1 million in 2019) The data in Table 1 indicate some contradictions in the process of urbanization in the last third of the century: on the one hand, cities with a population of several hundred thousand are expanding, especially those exceeding 0.5 million inhabitants, on the other hand, urban-type settlements are significantly reduced. This fact is a reflection of the clearly expressed stagnation in the last three decades of monocities and monosettlements, those settlements that have formed on the basis of large industrial enterprises. In connection with the termination of the activities of such enterprises, the need for workers (and residents) has been lost. Extinct industrial enterprises in large cities were gradually replaced by construction projects, logistics, trade and other structures; this ensured a positive dynamics in the size of their population. The million-plus cities have entered the synergistic quality of selfsufficiency, which provides them with the effect of resource availability in production and consumption, employment and development, a synergistic effect of growth.

The growth of the city to the scale of a "millionplus city" translates it into a new organizational and economic quality, which is characterized by the presence of the following: several water intakes with appropriate treatment facilities and main distribution networks of large diameter; storm sewers capable of diverting storm drains from a large area in real time; several sewage treatment plants with appropriate collectors (including through-flow collectors with a diameter of 2 m); detours in the peripheral part of the city for intercity traffic flows; several intracity highways with a set of overpasses to interchange intersecting traffic flows at different levels; high-speed passenger transport in the main directions of passenger traffic (metro, monorail, high-speed tram, etc.); several cultural centers corresponding to the largest ethnic groups of the urban population (religious, arts, education, ethno-cultural, children's creativity, etc.); strategic forms of interaction between government and business.

All of the above indicates the need for new approaches to the development and distribution of productive forces, planning of urban areas, solving problems of energy and resource supply of territories. Global processes are also pushing for this. If at the beginning of the last century only 4% of the population lived in the cities of the world, then by 2020 the share of the urban population was about 80%. 3/4 of the population lives in Russian cities; statistics of recent decades indicate an annual growth of the urban population by 0.5-1.5%.

The growth of large cities to the scale of megalopolises has exhausted the resources for the development of a monocentric scheme for the location of industrial and socio-cultural facilities, the functioning of the urban economy, and brought their infrastructure to a dead end. The attempts made in such cities to damp passenger flows by creating production facilities in the peripheral zones to some extent solve the problem of transport provision of the urban economy and still require new initiatives and schemes (combining radial and circular traffic flows).

The experience of the largest cities (Mexico City, Sao Paulo, Tokyo, New York, London, Delhi, Moscow) shows that there are practically no obstacles to their growth. This is due to the fact that in such cities the main issues of employment, consumer services are more efficiently resolved, comfort is higher, business is functioning more confidently; at the same time, as noted above, another set of problems is growing (overcoming crowding, providing recreation, transport regulation, etc.).

Until the last third of the twentieth century, the solution to the transport problem of the growing territories of cities was the car; however, later on, it not only facilitated passenger transportation, but also became the main source of life inconveniences for city dwellers (traffic, parking, gas pollution) (Sekisov, Ivanov & Begiashvili, 2021). Observations show that with a monocentric layout scheme, urban highways of megalopolises are not able to provide timely evening and morning radial passenger traffic.

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298 One of the options for mitigating this problem may be to restrict the movement of private cars in the central part, while simultaneously creating intercepting parking lots and improving the public transport system, as has been done in Moscow in recent years. In some cities, special lanes are allocated for public transport, which speeds up passenger flows, but at the same time increases traffic for other transport, not only personal, but also freight, and this gives rise to other urban problems (supplying the retail network, the functioning of utilities, manufacturing enterprises, etc.).

Russia ranks second in the world after Brazil in the number of cities with a million inhabitants; moreover, in 3 cities (Saratov, Tyumen, Togliatti) the population is approaching 800 thousand, and in 7 cities (Izhevsk, Barnaul, Ulyanovsk, Irkutsk, Khabarovsk, Yaroslavl, Vladivostok) exceeded 600 thousand and is growing at an increased rate. This testifies to the new qualitative content of the urbanization process in modern Russia. In such a situation, in order to systematize knowledge in the development of socio-production systems in large cities, we believe it expedient to classify cities as the object of research as megacities,

which in terms of population have approached the milestone of one million people. This will expand the field of research on the synergistic quality of urban mega-systems, and will allow the formation of an updated resource management toolkit for such mega-formations from the perspective of rational environmental management (so far, developments in this area are very rare). This is due to the fact that approaching the milestone of a million inhabitants, the city goes into a state of resource self-sufficiency: it is able to independently resolve issues of urban planning, education, medicine, ensuring the employment of the population, training, intellectualization of life.

Such cities have a growing interest in international communication, solving environmental problems, they are actively involved in political, economic, cultural and educational processes. An analysis of demographic processes in Russian megalopolises indicates a fairly high and fairly stable rate of population growth - 0.5-1% per year (Table 2).

This indicates the formation in Russia of a settlement structure characterized by elements of a new reproductive quality, which actualizes the need for updating state, municipal and even corporate management.

Table 2.

Dynamics of the formation of the population of megalopolises in Russia in 2017-2020 (partially calculated by the authors)

N

Megapolis

Population as of 01.01.2020

Population growth rate, in % 2018/2017

2019/2018

2020/2019

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15

Moscow St. Petersburg Novosibirsk Ekaterinburg Kazan Nizhny Novgorod Chelyabinsk Samara Omsk Rostov-on-Don Ufa Krasnoyarsk Voronezh Permian Volgograd

16678074 5398064 1625631 1493749 1257391 1252236 1196680 1156659 1164815 1133307 1128787 1095286 1058261 1055397 1008998

1,02 1,33 0,62 0,92 0,94 -0,21 0,29 -0,54 -0,54 0,44 0,45 0,73 0,75 0,34 -0,12

0,87 0,60 0,32 0,97 0,68 -0,44 -0,14 -0,58 -0,62 0,26 0,33 0,41 0,63 0,22 0,00

0,49 0,26 0,47 0,72 0,43 -0,10 -0,34 0,00 -0,88 0,41 0,41 -0,14 0,39 0,14 -0,44

16

Krasnodar

932629

1,0

1,12

1,58

Historical experience shows that, individually, an effective solution to the problems of the development of megalopolises can be the formation near large factories - small (with a population of 20-50 thousand people) satellite cities, combining work and home. From the

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standpoint of resource conservation, we see a promising polycentric scheme for organizing the urban area of large cities. This is consistent with the basic premise of the concept of new urbanism, according to which the population should work, live and rest in one place, with

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minimal displacement. Symptoms of the clustering of Russian industry that have emerged recently create favorable preconditions for the dispersal of enterprises and workshops across the territories adjacent to residential areas. This makes it possible to radically change the schemes of traffic flows, to close them within suburban economic clusters in the form of localized polycenters with autonomous administrative, economic, cultural, educational, educational, health-improving, recreational nuclei and objects of employment (enterprises, workshops, institutions, offices, offices, etc. etc.). With this construction of the general plan of the city, it becomes expedient to place resort and recreational zones on the borders of the polycenters, which will carry out their functions simultaneously for both sides. In this case, the polycenters can be connected by high-speed train routes, as well as high-speed buses. According to rough estimates, for the transport of 50 thousand people per hour in private cars, a lane width of 175 meters is required, on buses - 35 meters, and in a high-speed overhead train - 9 meters. In the latter case, depending on the specific situation, it can be a high-speed tram, a monorail car.

From the standpoint of the resource sustainability of territorial development, such a polycentric model of a city can be considered successful, in which about half of the working-age population of a polycentric microdistrict is employed within the boundaries of the zone of residence. It is advisable to develop options for a polycentric city model, taking into account the labor and other preferences of different population groups, as well as the interests of business, using methods of economic and mathematical modeling for poorly structured socio-economic systems using SWOT analysis methods (to assess the strength, weaknesses, opportunities and threats of each option). With the development of technology, the improvement of communications, the city is forced to rebuild; the polycentric model has a resource of increased flexibility for such restructuring.

The world practice of the formation of megalopolises indicates that such socioeconomic agglomerations have no boundaries of growth. A person is forced to live where there is work, and wants to live where such work can be chosen, as well as where life is more comfortable and more fun. This pattern is realized in the modern migration practice of the world and Russia. The emergence of a competitive market economy system in the Russian Federation has significantly changed the motivation for the spatial development of large cities, especially

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those that are deeply rooted in market mechanisms for motivating activities.

In recent years, along with the institutional mechanism of urban self-organization, a threelevel system of external influence on the development of the city and its spatial organization has actually been built (normatively and organizationally). First of all, this is the regional level of government, which has significant economic and other interests in the capital of the region. Regional authorities influence the city's space, its restructuring through real estate owned by a constituent entity of the Russian Federation, inter-budget transfers, investments from the regional budget, as well as various regulations (Mikheev et al., 2019).

Federal authorities and administrations influence the functioning of the regional capital through investments that are commensurate in volume and often exceed investments from the regional budget. The third factor determining the development of a millionaire city is big business, whose positions have been significantly increasing in the last decade (this is very noticeable in the example of Krasnodar, Rostovon-Don, the regional centers of the Volga region - Volgograd, Nizhny Novgorod, Samara, Saratov). The market mechanisms of the Russian economy began to objectively “work” to increase the efficiency of using urban areas (Druzhinin, 2008). In the construction sector, such a resource-saving factor in the development of large cities manifested itself in the fact that small vacant lots or sparsely populated areas ("spots") with dilapidated buildings in the historical part of cities were the first to be reconstructed and built up. As the demand for apartments grew, developer investors began to show interest in the “densification” of multi-storey buildings in “dormitory” areas. In parallel with this, changes are taking place in the placement of communications. For example, in the city of Krasnodar, the issue of the removal of railways outside the city limits, the construction of elevated transport arteries, and the inclusion of the Kuban River flowing along the city into the transport system is under concrete consideration.

The spatial expansion of millionaire cities is largely facilitated not only by the real estate market, but also by the removal of restrictions on individual housing construction, including in the territories of horticultural associations. All this gave a significant impetus to the development of the zone of "internal suburbanization", and favored the positive dynamics of growth in the volume of housing commissioned. The market for contracting construction activities, the market

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300 for building materials, has developed in the corresponding order, which together provides integral time savings in construction activities.

Conclusion The development and scaling of urban settlements in modern Russia was facilitated by such factors as maximizing the efficiency of resource use, saving time, greening environmental management, the desire of people for cultural communication and receiving social benefits.

The approach to the analysis and modeling of the urban economy from the standpoint of its consideration as a "quasi-corporation" presupposes the formation of a fairly holistic reproductive system based on the efficient use of the social and production resources of the territory. This translates the planning of the city's development into a business-process technology, a set of measures for pre-planned studies of socio-economic processes in the territory, calculations of the set performance indicators for the economy as a whole or for its individual subsystems for the future in terms of volumes, timing, performers, sources of resources, etc. In this case, each subsystem should be considered as a reproductive integrity that has specific causal parameters at the input and output, which, in fact, act as the main communication channels of this subsystem with other subsystems of the urban complex. The resulting plan of the urban socioeconomic system should be an integral set of plans of its subsystems. An important advantage of the business-process method of urban planning from the standpoint of resource conservation is its high compatibility with BIM technologies (Building Information Modeling), a predisposition to adjustments and, accordingly, updatability with the help of a computer over a long period of implementation of the strategic plan.

Bibliographic references Druzhinin, A.G. (2008). Spatial development of a millionaire city: tendencies of the postSoviet period. Rostov on Don: SFedU Publishing House, 192, 75-77.

Druzhinin, A.G., & Videnskaya, E.G. (2007).

Determinants and features of the development of the largest cities as "growth poles" of the territorial-economic system of the South of Russia in the context of globalization. Izvestiya vuzov of the North Caucasus region. Social Sciences, No. 3, 50-58.

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Isard, W. (1960). Methods of Regional Analisis: An Introduction to Regional Science. New York. (The translation of this book was published by the Progress Publishing House in 1966).

Lunyakov, M.A., & Grabovy, P.G. (2017).

Genesis and evolution of a single-industry city and the main directions of its modernization (electronic resource): monograph. Publishing house MICI Moscow State University of Civil Engineering, 209.

Mikheev, G. V., Sekisov, A. N., Gura, D. A., Abazyan, A. G, & Kuznetsova, O. A. (2019) Economic and marketing adaptation of business processes in the modern russian real estate market / Revista Inclusiones, 6(2), 119-124 (Available at: http://www.archivosrevistainclusiones.com/ gallery/9%20vol%206%20num%202%2020 19abriljunioasiaeuropaasia19incl.pdf Moiseev, Yu.M. (2013). The capacity of the system of urban planning in conditions of uncertainty. Architecture and urban planning of Russia, No. 4, 2-4 https://www.elibrary.ru/item.asp?id=189171 00.

Ovchinnikov, V.N., & Kolesnikov, Yu.S. (2008).

Silhouettes of regional economic policy in the South of Russia. Rostov on Don: SFedU Publishing House, 176.

Parkhomenko, V.A., Tutarishev, B.Z., Tekhteneva, Z.I., & Apriamashvili, M.G., (2008). The basics of territorial and spatial development of cities. City economy and the basics of spatial and economic development of urban areas. KubGTU. Krasnodar, 433, 151 https://www.elibrary.ru/item.asp?id=262132 57.

Russian Statistical Yearbook. (2018). Statistical collection. Moscow: Rosstat. R76., 686.

Sekisov, A., Ivanov L., & Begiashvili, A. (2021).

Improving the methodology of organizing the parking process in large cities of the world / IOP Conference Series: Materials Science and Engineering 1083 012072, Russian Federation (Available at: https://iopscience.iop.org/article/10.1088/17 57-899X/1083/1/012072/pdf doi: 10.1088/1757-899X/1083/1/012072 Shipilova, N.A, Savenko, A.A, Shikhovtsov, A.A, Sekisov, A.N., Popov, R.A., & Mikheev, G.V. (2017). Organizational and technological aspect of innovation development of resort-Tourist locations of the Russian black sea. International Journal of Applied Business and Economic Research, Serials Publications, India, 15(23), 173-183

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(Available at: https://serialsjournals.com/abstract/37837_1 6_natalia.pdf Treivish, A.I. (2009). City, region, country and world. Development of Russia through the eyes of a country expert. Moscow: New chronograph, 372.

Uskova, T.V., Chekavinskaya, A.N., & Lukin, E.V. (2013). Economic development of a large city: state, problems, prospects.

Vologda: ISERT RAN, 128.

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Weber, A. (1926) Yuber den Standort der Industrie. 1909. The theory of industrial placement. L. M. Univ. of Chicago Press, Chicago.

Zotova, M.V. (2007). Transformation of large cities of Russia into centers of macroregional influence (dissertation of the candidate of geographical sciences).

Institute of Geography of the Russian Academy of Sciences, 29, Moscow. https://www.elibrary.ru/item.asp?id=158635 51

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Mikhailovich, C.A., Mikhailovna, D.J., Anatolievna, M.E. / Volume 10 - Issue 45: 302-311/ September, 2021

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DOI: https://doi.org/10.34069/AI/2021.45.09.30 How to Cite: Mikhailovich, C.A., Mikhailovna, D.J., & Anatolievna, M.E. (2021). Lexico-grammatical peculiarities of expressing indefinite semantic subject in russian and english. Amazonia Investiga, 10(45), 302-311. https://doi.org/10.34069/AI/2021.45.09.30

Lexico-grammatical peculiarities of expressing indefinite semantic subject in russian and english ЛЕКСИКО-ГРАММАТИЧЕСКИЕ ОСОБЕННОСТИ ВЫРАЖЕНИЯ НЕЯВНОГО СЕМАНТИЧЕСКОГО СУБЪЕКТА В РУССКОМ И АНГЛИЙСКОМ ЯЗЫКАХ Received: July 18, 2021

Accepted: September 8, 2021

Written by: Chervony A. Mikhailovich119 https://orcid.org/0000-0002-4587-0195 SPIN-код 1350-1560 Demonova J. Mikhailovna120 https://orcid.org/0000-0002-4871-0146 SPIN-код 8820-8200 Murashova E. Anatolievna121 https://orcid.org/0000-0002-6018-955X SPIN-код 3786-6495 Abstract

Аннотация

The aim of the study is to investigate the means of representation of the indefinitely expressed subject in Russian and English for the purpose of structuring and classifying the linguistic means of its expression. As the basis for investigation we chose the fictional text of the novel by M. A. Bulgakov "The Master and Margarita” and its parallel translation to English. In the paper we used the method of semantic analysis, contextual component analysis, comparative analysis and the method of linguistic modelling. The scientific novelty of the study consists in the results of the comparative analysis which show that there exist symmetrical and asymmetrical forms of expressing formally indefinite semantic subject.

Symmetrical means of implicit expressing semantic subject is mostly nominalization.

Generalized subject can be expressed either symmetrically or asymmetrically by various syntactic constructions in Russian and English.

Asymmetrical means of expressing semantic subject can be traced in the syntactic constructions of different kind which are represented by binary oppositions. As a result of the research it has been found that the preferred ways of expressing indefinite semantic subject in Russian are indefinite pronouns; in English – passive constructions.

Цель исследования: рассмотреть способы репрезентации неявно выраженного семантического субъекта в русском и английском языках для выявления особенностей его выражения. В качестве материала для исследования нами был использован текст романа М. Булгакова «Мастер и Маргарита» с его параллельным переводом на английский язык. В работе использовались метод семантического анализа, компонентный контекстуальный и сопоставительный методы анализа, а также метод лингвистического моделирования. Научная новизна исследования состоит в сопоставительном анализе языкового материала, который продемонстрировал наличие как симметричных форм выражения формально неявного семантического субъекта, так и асимметричных средств его выражения. К симметричным средствам русского и английского языков имплицитного выражения субъекта относят номинализацию. Обобщенный субъект может быть выражен симметричными и асимметричными синтаксическими конструкциями русского и английского языков. Асимметрия выражения имплицитного субъекта проявляется в

* (based on the materials of the novel by M. A. Bulgakov "The Master and Margarita" and its translation into English) 119 Dr. Taganrog Institute named after A.P. Chekov (a branch of) Rostov State University of Economics, Russian.

120 Ph.D. Taganrog Institute named after A.P. Chekov (a branch of) Rostov State University of Economics, Russian.

121 Taganrog Institute named after A.P. Chekov (a branch of) Rostov State University of Economics, Russian.

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Key words: semantic subject, formal implicitness, symmetry, asymmetry, syntactical construction, comparative analysis.

разного рода синтаксических конструкциях, представленными бинарными оппозициями. В результате было выявлено: преферентными средствами выражения неявного семантического субъекта в русском языке выступают неопределенно-личные и безличные предложения, в английском – пассивные конструкции. Ключевые слова: семантический субъект, формальная имплицитность, симметрия, асимметрия, синтаксическая конструкция, сопоставительный анализ.

Introduction

Research problem

The relevance of the research is due to the need to consider in a comparative way the means of expression of an implicitly presented semantic subject. This universal phenomenon, which characterizes the dynamism and diversity of linguistic forms, performs an important nominative and communicative function and, as a result, requires its own special consideration.

In our research, we develop the problem of the polyphonic expression of the subject in various linguocultures, including Russian and English, paying special attention to the paradigm of the means of expressing an implicitly presented semantic subject, as a universal phenomenon that characterizes the dynamism and diversity of linguistic forms and performs important nominative and communicative functions.

The doer of the action is always present in human mind and for that reason it always has some kind of omnipresence in speech. So, the active accomplisher or the action is probably the most relevant information, which is encoded into the speech and therefore, it is realized through various linguistic means directly or indirectly.

The practical significance of the work lies in the fact that its results can be used in the process of researching the category of "subject", in teaching the comparative typology of English and Russian, the theory and practice of translation, as well as in classes on the semantic grammar of the Russian and English languages.

The purpose and objectives of the study Theoretical Framework or Literature Review The purpose of this article is to identify and compare the ways of representing the implicitly expressed semantic subject as it is formulated in Linguistic Encyclopedic Dictionary by Arutyunova (Arutyunova, 1990) in Russian and English. To achieve the set goal of the study, it was necessary to solve the following tasks: 1) to conduct a sample of factual material; 2) classify the types of means of expression of the subject; 3) to conduct a comparative analysis of lexical and syntactic forms of expression of an implicit semantic subject; 4) to identify the general and the particular cases in the expression of the implicit semantic subject, which is characteristic of the Russian and English languages.

We used the text of M. Bulgakov's novel "The Master and Margarita"(Bulgakov, 1967) with its parallel translation (Bulgakov, 1967).into English as material for research;

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The theoretical basis of the research was the scientific works of N.D. Arutyunova, V.G. Gak, V.P. Nedyalkov & G.G. Silnitsky, V.S. Khrakovsky, E. Benveniste, C.N. Li, S.A. Thompson, J.-M. Merle, M. Noonan, in which the linguistic concept of the subject, its semantic subspecies, as well as the lexicalsemantic and syntactic means of its incomplete formal expression are considered.

Methodology The work used the method of semantic analysis, component contextual and comparative methods of analysis, as well as the method of linguistic modeling.

In the contemporary world of total globalization comparative studies of various ontological issues are becoming more and more popular because they are striving for getting the status of linguistic universal laws applicable in any

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304 language. One of those categories is thought to be the ways of expressing semantic subject.

Search and interpretation of the similarities and differences in lexico-grammatical realizations of the indirect semantic subject in different national linguistic systems, including the Russian and English languages, allows the investigators to approach the principles of deciphering unique codes of the linguistic interpretation of the surrounding reality.

Studies of the classic literary work by M. A. Bulgakov "The Master and Margarita” and its professional translation to English by employing contextual component method allows the researchers to find and systemize symmetric and asymmetric lexical and morph syntactical peculiarities of presenting semantic subject, including ways to express indefinite personal subject, generalized subject and implicit subject.

Techniques of the comparative analysis and linguistic modeling method give the opportunity to verify the bases for highlighting certain preferable lexical and morph syntactical means of expressing semantic subject in generalizing expressions in Russian and English bearing in mind the linguistic inner controversies. Those aforementioned include indefinite personal and impersonal sentences in M. A. Bulgakov’s original text and passive constructions in the translation. In studying lexical and morph syntactical means of expressing semantic subject the researchers also take into account the statement of the semantic analysis method which is relevant to the modern linguistic anthropocentric and structural systematic paradigms.

Wide variety of methods and techniques allows the researchers to approach the analysis of different ways of representing the indirectly expressed semantic subject in different linguistic systems on the lexical, morphological and syntactic levels. The mentioned above semantic subject is actualized in the identical linguistic context and fulfills same functions from the point of view of realizing various shades of meaning.

Lexical and morph syntactical means of expressing semantic subject are also described from the point of view of their distribution which is determined by the conditions of the communicative situation and conventional norms of the Russian and English linguistic systems.

Recurrent realization gives rise to viewing those means as a hierarchy which is described in this paper.

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These are the aims of the investigation: 1) to conduct a sample of factual material; 2) classify the types of means of expression of the subject; 3) to conduct a comparative analysis of lexical and syntactic forms of expression of an implicit semantic subject; 4) to identify the general and the particular cases in the expression of the implicit semantic subject, which is characteristic of the Russian and English languages.

Results and Discussion The English language seems to be more formalized and ususal than the Russian language, which has a certain established word order and an abundance of stable grammatical and semantic combinations, each element of which is determined not only by the meaning of the statement, but also by the tradition of use as it was explained by Chomsky in his work Syntactic Structures (Chomsky, 2001). The Russian language, due to its inflectional nature, has a freer word order. These grammatical inconsistencies underlie interlingual asymmetry.

Speech represents the most important way of redirecting and externalizing of the human psychological energy and the accomplisher of the action constitutes the most important information for the speaker. On the one hand, it goes without saying, that the focus of attention can be concentrated on the action itself but on the other hand, the doer is always present in the speaker’s mind. Since the semantic subject has an infallible realization in speech, the problem lies in the way, how it is actualized and to what extent it is obvious.

The way the semantic subject is grammatically represented in speech tells a lot about the speakers intentions at presenting the information relevant for the purpose of the communication.

The most obvious example is the use of passive constructions. The speaker intentionally avoids mentioning the active doer of the action focusing the listener’s attention on the accomplishment.

The doer in this case can be either obvious or hidden but it does not mean that he or she is taken out of the context completely. What’s more, the listener is usually aware of the presence of the doer and understands the purpose of eliminating the subject.

Also, the semantic subject of the utterance can also be expressed by some figurative or idiomatic linguistic means which in its turn enlarges and multiplies the purposes of its nomination manifold. Any figure of speech if used in some figurative sense carries additional information of all sorts; usually it concerns some linguacultural

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peculiarities of the definite linguaculture. In other words, idiomatic expression of the subject has a many layered semantic structure which consists of direct nominalization of the concrete doer, all kinds of associations aroused by the idiom, some extra linguistic cultural information encoded into the idiom and so on.

The main attention in the article is paid to the unspecified expression of the semantic subject (the term used by Heintz in the book Subjects and Predicables, and later by Merle in the work Le sujet, présentation générale) in the sentences of the Russian and English languages (Heintz, 1973; Merle, 2003). By a semantic subject, we mean an active, intelligent substance, endowed with speech-thinking activity, capable of planning, causating, carrying out and controlling a different degree of complexity of an action - a person.

In the process of work, both symmetrical and asymmetric means of expression (as defined by V.G. Gak in the work Nominalization of the predicate and elimination of the subject. Syntax and stylistics and then enlarged upon in his Asymmetry.

Linguistic Encyclopedic Dictionary) were identified (Gak, 1990; Gak, 1998). not fully formally presented or implicitly expressed semantic subject.

As a result of the analysis, syntactic constructions were identified and compared in a comparative way, in which the forms of expression of an implicit subject (largely described previously by Rizzi in the work Comparative Syntax and Language Acquisition) are presented, namely: lexical and grammatical means of expressing an indefinitely personal subject, a generalized subject, an implicit subject (Rizzi, 2000).

Symmetry The symmetrical expression of the implicit subject in Russian and English is manifested as a result of the use of subjective and object nominalization in language / speech as it was put

by V.G. Gak (Gak, 1976) - expressions of action by a noun.

Subject nominalization.

For example: И не тебе, безумный преступник, рассуждать о ней! - тут Пилат вскричал: Вывести конвой с балкона!

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And it is not for you, insane criminal, to reason about it!' Here Pilate shouted: 'Convoy, off the balcony!'

The nominalization in this case is quite transparent in both languages; what is more, it is doubled: the personal pronoun is reinforced by the concrete indication to the person meant.

Subject nominalization symmetry can also be traced when the active doer is not a person, but some concept; in this case, also in both languages the focus of attention is concentrated on the action and not the recipient: Признаюсь, этот ответ меня удивил, -мягко заговорил прокуратор, - боюсь, нет ли здесь недоразумения.

'I confess, this answer stuns me,' the procurator began softly, 'I'm afraid there may be some misunderstanding here. Признаюсь and I confess can also be regarded and complete semantic symmetry of the subject realization with the only difference lying in the grammatical form of expression: explicit versus implicit. Речь эта, как впоследствии узнали, шла об Иисусе Христе.

This conversation, as was learned afterwards, was about Jesus Christ.

Anthropomorphic action – говорить is carried out without a special lexical marker indicating the communicant (s). According to A. Wierzbicka, the meaning of the action is conveyed by the semantics of lexical units of the Russian and English languages речь – conversation (Wierzbicka,1980). This kind of subject nomination is thought to be most obvious and devoid of any implications. From the point of view of the meaning the phrases are identical.

Although in the given above example the overlapping of the grammatical forms is not complete; Russian version contains active voice, English – implicit passive. The disagreement can be explained by the difference in the tradition of expression: речь шла can be regarded as a trite metaphor and therefore can’t be changed from grammatical perspective. The combination this conversation was about is grammatically free and is understood in the direct sense.

Of course, it is quite obvious that this kind of symmetry in expressing the semantic subject is but most numerous. It contains minimum

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306 implication and is quite transparent for understanding which, in its turn, is the purpose of everyday communication – to pass on a clear-cut and simple massage which will be understood by the recipient as closely to the original idea as possible.

Object nominalization.

For example: Я лично не вижу ничего дурного в этом звере, чтобы обижаться на это слово...

– I personally see nothing bad about this animal, that I should be offended by this word.

Ontologically, слово semantically correlates with such concepts as: речь, говорить. In these examples, the lexical units слово – word denote one of the main functions of the semantic subject and are markers of the speech activity of a formally not designated subject. Ходатайства того, в лице которого говорит римская власть?

The intercession of him through whose person Roman authority speaks?

In the second example object nominalization works more definitely in the English language where the gender of the doer is actualized, although the message of the excerpt is preserved in both cases, which is to render peculiar stylistic coloring of the utterance. Кстати, ты знаешь такого, первосвященник? Да... если бы такой проник сюда, он горько пожалел бы себя, в этом ты мне, конечно, поверишь?

Incidentally, High Priest, do you know him? Yes ... if that one got in here, he'd feel bitterly sorry for himself, in this you will, of course, believe me?

Object nominalization despite grammatical identity can differ in semantic value. In the given above example the semantic subject такой/такого has several layers of implication.

First of all, it is the generalization of a person referred to, second, the implication of some definite personal characteristics which can be derived only from the context, third, some pejorative connotation about the person described. English him has no such meanings whatsoever; it is definite and direct. That one in the second sentence sounds more general although the demonstrative pronoun narrows the association to one particular person.

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Expressing semantic subject through object nominalization is second most widely used way in speech regardless of the language. The reason for that lies in the understanding the general cognitive frame which is typical of human thinking pattern: the subject – the action – the object (reason). This information is imbedded into any message created by human brain and then realized through speech. Grammatical structure of a language proves the aforementioned point, where the semantic core is made up by the subject, the predicate and the object. If for some reason any of the formants is eliminated from the formalized linguistic means, the meaning of it is realized through the rest of the formants implicitly.

So, the semantic subject in the mentioned above case expresses not the active doer but the object at which the action is aimed and which takes the role of the passive accomplisher and takes part in the action indirectly. Here we can talk about different kinds of participants in the action process which, therefore, are differently reflected through grammatical means. The importance of the active and passive doer in the context can be equal; the difference lies in the focus of the speakers attention and the relevance of the message.

Generalized expression of the semantic subject.

The generalized expression of the subject is conveyed by words that generalize the gender and number of the real doer as it was proved by A.M. Chervony in his work Semantic subject in generalizing statements of the Russian and French languages. (Chervony, 2019).

For example: А бывает и еще хуже: только что человек соберется съездить в Кисловодск, тут иностранец прищурился на Берлиоза, – пустяковое, казалось бы, дело, но и этого совершить не может, так как неизвестно почему вдруг возьмет - поскользнется и попадет под трамвай! Неужели вы скажете, что это он сам собою управил так?

– 'And sometimes it's worse still: the man has just decided to go to Kislovodsk' - here the foreigner squinted at Berlioz - 'a trifling matter, it seems, but even this he cannot accomplish, because suddenly, no one knows why, he slips and falls under a tram-car! Are you going to say it was he who governed himself that way?

In Russian and English, the subject of action is expressed by the generalizing words человек – the man, which equally contain the code of both genders, masculine and feminine. Further, in the

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context, the subject is expressed by the postcedent - the pronoun он, which, according to the Russian grammatical tradition, correlates with the masculine words, in this example – с человеком. In Russian and English, in this kind of cases, there is an asymmetry of the concepts of грамматический род and physiological gender, since the word formally agrees with the masculine pronoun, but both genders are meant.

Thus, the subject человек – man in a generalizing sense denotes a representative of both masculine and feminine gender, although this is not entirely characteristic of the English language.

The use in the English language of the substantive man in a generalized meaning instead of the neutral, gender-free noun person is apparently explained by the fact that the speaker is referring to Berlioz, a male representative.

The Russian equivalent of the noun человек – man is also used generally in the example below: Да, человек смертен, но это было бы еще полбеды. Плохо то, что он иногда внезапно смертен, вот в чем фокус! И вообще не может сказать, что он будет делать в сегодняшний вечер 'Yes, man is mortal, but that would be only half the trouble. The worst of it is that he's sometimes unexpectedly mortal - there's the trick! And generally he's unable to say what he's going to do this same evening.

The use in the English translation of the articleless noun man, situationally addressed to an individual of the masculine gender, enhances the meaning of generalization and thus does not contribute to the concretization of the real figure.

The generalization of the subject plays double role in the speech. On the one hand, the context provides the listener/reader with the exact information about the concrete performer of the activity. On the other hand, the idea is generalized to the level of associations and universal laws so the recipient understands both levels of the embodied meaning simultaneously.

Here we can also talk about the third level of associative meaning, which is projected to the recipient of the information. In other words, the listener/reader includes himself or herself into the semantic subject.

Symmetry. Partial expression of the subject's functions. Causative constructions.

In reality, actions are distinguished by their heterogeneity, their diversity and, consequently,

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the way they are implemented. There are such actions that require a certain beginning, its causation. In this case, the functions of the semantic subject are distributed between the one who causes the action, causates and the one who performs the action. V.P. Nedyalkov and G.G. Silnitsky advocated that in this case, the semantic subject realizes only part of its main functions.

Such differentiation is reflected in the language in causative constructions (Nedyalkov, Silnitsky, 1988).

For example: Не прикажете ли, я велю сейчас дать телеграмму вашему дяде в Киев?.....

Would you like me to have a telegram sent at once to your uncle in Kiev? that is, someone must order me to give a telegram. In the example below, there is a double causation.

The construction of the Russian language has one formally unexpressed causator and a causative subject, designated by the pronoun я, then a description of the activity of this subject follows, the combination велю дать suggests that the action will be carried out by another, implicit agent. In the English version, to express this kind of action, the author also uses a causative construction, the so-called grammatical idiom. In the English translation, the functions of the subject are distributed, the implementation of the action presupposes the participation of you – the equivalent of which is not lexically represented, but morphologically indicated in Russian, me and the alleged agent one, veiled in the causative.

Causative constructions in English have a pattern-like form where the initiator of the action and the actual implementer can be a) both grammatically formalized, for example, I’ll have him do it and b) the initiator is grammatically expressed and the implementer is not, for example, I’ll have it done. In both cases, the object at which the action is aimed is clearly defined and the meaning remains that of the action initiated by one person but accomplished by another.

In Russian there is no specific causative form so the meaning is usually derived from the context and background knowledge. In the phrase он строит дом the person indicated by the pronoun он will rather be an initiator than the implementer of the action according to common logics although grammatically it is not clearly marked.

Still, we can talk about the subject as an active doer and initiator of the activity while the real

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308 implementer of the activity is only implied as an obvious one.

Дело идет к полудню. Мы увлеклись беседою, а между тем надо продолжать.

Asymmetry

It's nearly noon. We got carried away by our conversation, and yet we must proceed.

Implicit indefinite subject.

Russian language. Impersonal construction English. Definitely a personal construction.

The Russian language is an adverbial language in which impersonal forms of modality expression are actively used. The equivalent of this kind of construction is quite often English definite personal sentences.

For example: 1) Но об этом можно говорить совершенно свободно. – Вut we can speak of it quite freely.

The English pronoun we in context expresses a double meaning: on the one hand, the narrator can mean the inner circle of interlocutors, on the other hand, the context is able to expand the number of subjects, thus implying an indefinitely wide range of people. Надо будет ему возразить так, – решил Берлиоз, – 'I must counter him like this,' Berlioz decided. In the Russian text, the subject is deduced from the communicative situation. – Надо будет мне ему возразить…….

In this example, an impersonal construction with a conceivable semantic subject in Russian has an English analogue with a clearly defined subject; although this asymmetry of the formal plan does not affect the semantic plan: the same subject is implied in the Russian language. О, какой страшный месяц нисан в этом году!

Oh, what a terrible month of Nisan we're having this year!

In the given above example the asymmetry in the grammatical subject influences the focus of the semantic meaning priorities. In the Russian version, the idea is that of the difficult month which can be viewed as objective. The English variant contains definite semantic subject we, which changes the meaning from difficult for some objective reasons to difficult for some definite people for the subjective reasons.

There is one more example of this kind of asymmetry which is interesting from the point of view of the meaning shift.

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Russian construction надо продолжать implies that the is no definite accomplisher of the action, what is more, the person who initiates the action is not the one who fulfills it; it is not quite clear who wants to proceed and who is going to do it.

English construction we must lacks any kind of ambiguity; here the initiator and the accomplisher partially coincide because of the plural form of the definite semantic subject. M.S. Vyhrystyuk, and others also thought along those lines in their work Features of the translation of сomparisons and emotional and evaluative vocabulary from Russian to English in an artistic text, (Vyhrystyuk, Parshukova, Telitsyna, Onina, 2019).

Russian language. Uncertain Personal Sentence English.

Passive construction (largely investigated by V.S. Khrakovsky (Khrakovsky, 1991)).

The first thing to pay attention to is the way of designating an undefined subject of action. In the Russian language, indefinitely personal syntactic constructions are most often used, in which the subject of the action is not formally expressed, but is incorporated into the verb form of the predicate. The simulacrum of the subject in the Russian language is inflection ут(ют), ат (ят).

Such constructions do not exist in the syntactic structure of the English language. In English, such a designation of the subject is conveyed either in a passive form, or using various kinds of formal subjects.

For example: Над вами потешаться будут. – You'll be laughed at.

A marker in a Russian indefinite-personal sentence with an unnamed indefinite semantic subject is the form of the verb in the future tense.

The English version conveys the same meaning with a passive construction. The subject of this phrase is you, which does not correspond to the semantic subject, since it is assumed that it is not вы (you) who will laugh, but at вами (you). The mentioned above feature was widely investigated by many linguists like (Benveniste, 1948; François, 1994; Li, Thompson, 1976; Noonan, 1977). The active subject in the English

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translation is only implied, but in no way encoded in any of the grammatical forms; a passive person is manifested, over whom the action is performed.

Thus, the passive syntactic construction of the English language corresponds to the Russian indefinitely personal sentence.

Consider the following examples: Это их ввели на помост... - подумал Пилат, а стоны оттого, что задавили нескольких женщин, когда толпа подалась вперед" They've been led on to the platform,' thought Pilate, 'and the wails mean that several women got crushed as the crowd surged forward. Вам отрежут голову! Бездомный дико и злобно вытаращил глаза на развязного неизвестного, а Берлиоз спросил, криво усмехнувшись: - А кто именно? Враги? Интервенты?

'Your head will be cut off! 'Homeless goggled his eyes wildly and spitefully at the insouciant stranger, and Berlioz asked, grinning crookedly: By whom precisely? Enemies? Interventionists?

As in the previous case, the indefinite subject is conveyed in the English language by a passive construction with a supposed agent; further in the context, the subject of action is formalized through interrogative words and the interrogative form of sentences. By expressing the assumption in the text, an attempt is made to identify the real actor (s). In Russian, the participant in the situation is represented by the pronoun вам, in the English sentence it is indicated by the possessive adjective your. In fact, the object of the influence of the implicit subject in the English translation is the somatism head, while in the original there is the object of influence itself and a part of its body – голова.

Let's turn again to the above example, to its inserted part. Речь эта, как впоследствии узнали, шла об Иисусе Христе.

This conversation, as was learned afterwards, was about Jesus Christ In Russian, the supposed semantic subject is the pronouns мы or они, which are not formalized in the text, but are easily deduced from the third person plural verb of the past tense узнали. In

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English, the formal subject is it, which is omitted in the text, but is easily reconstructed from the logic of the syntactic form, and the pronouns we or they, which, however, are not formalized in any way and are implied based on the semantic meaning of the English syntactic construction, can be a probable semantic subject Russian language. Uncertainly Personal Construction - English. Definitely a personal construct.

For example: А ты бы меня отпустил, игемон, – неожиданно попросил арестант, и голос его стал тревожен, – я вижу, что меня хотят убить.

'Why don't you let me go, Hegemon?' the prisoner asked unexpectedly, and his voice became anxious. 'I see they want to kill me.'

In this example, a formally unrepresented subject in the indefinitely personal construction of the Russian language is expressed in English by the personal pronoun they. Comparison of the original and its translation showed semantic symmetry (incomplete) and lexical-grammatical asymmetry. In Russian, the subject is hidden or indefinite, although it is morphologically marked with the form of the verb хотят. The formal implementation of the subject by the pronoun they in English also allows the subject to be perceived both indefinitely and quite specifically (they are present, the ones they talked about).

This specific feature was mentioned by V.V. Zelenskaya and others in the work ) Innovative Discourse in the Formation of a Modern EthnoCultural Environment. It should be noted: the speaker realizes his pragmatic intention if he knows, but for some reason does not name the real actor (Zelenskaya, Golubtsov, Karabulatova, Kanon, Kasyanova, 2018).

Generalized subject. Russian language.

Definitely personal construction - English. An impersonal construction. В Ершалаиме все шепчут про меня, что я свирепое чудовище… – It is whispered about me in Yershalaim that I am a fierce monster.

In this example, the collective semantic subject все is not represented in the English translation.

The subject is implicit in a passive construction with the formal subject it: thus, in the original, the subject is fully expressed, in translation it is not formally represented. It should be noted that in English there are similar ways of expressing a

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310 subject with a similar meaning: all, everyone, they, so the reasons for such a replacement are not entirely clear. Most likely, during the translation, the main focus was on the process, and not on the subject that produced it.

Semantic asymmetry Semantic asymmetry manifests itself primarily at the interlanguage level as a result of inconsistency with the category of number. So, the analogue of the plural subject люди in English is the collective noun people, which is free from any gender differences. Эти добрые люди, - заговорил арестант и, торопливо прибавив: игемон, продолжал…….

‘These good people,' the prisoner spoke and, hastily adding 'Hegemon', went on……

Conclusions A comparative analysis of the linguistic material has demonstrated the presence of both symmetric forms of expression of an implicit semantic subject and asymmetric means of its expression.

The symmetrical means of the Russian and English languages include the implicit expression of the subject through subjective and object nominalization.

The generalized subject can be expressed symmetrically - lexical units and asymmetrically - syntactic constructions of the Russian and English languages.

Partial expression of the subject's functions is carried out in Russian and English by sentences with a causative form.

The asymmetry of the expression of the implicit subject is manifested in various syntactic constructions represented by the following binary oppositions: impersonal construction (Russian) - definitely personal construction (English), indefinitely personal sentence (Russian) - passive construction (English), indefinite - personal construction (Russian) definitely personal construction (English).

The preferential means of expressing an implicit semantic subject in Russian are vaguely personal and impersonal sentences, while in English these are passive constructions.

In Russian, due to its inflectional nature and synthetic structure, the semantic subject more

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often than in English does not find its formal lexical expression in a sentence. An implicitly expressed semantic subject in Russian sentences is marked morphologically: with verbal inflections, it is also revealed by the semantic meaning of the entire utterance (primarily by the semantics of the predicate) and contextually.

The syntactic constructions of the English language, as a formalized language, are characterized by a much more frequent use of lexical units (mainly pronouns) representing the subject.

The research was carried out with the financial support of the Russian Foundation for Basic Research within the framework of the scientific project No. 19-012-00062 "Polyphony of the semantic subject (based on the material of the Russian, French, English and German languages)", conducted at the Rostov State University of Economics (RSUE); Head - Doctor of Philology, Associate Professor, Head of the Department of German and French languages A.M. Chervony Bibliographic references Arutyunova, N.D. (1990). Subject. Linguistic Encyclopedic Dictionary. Moscow: Soviet encyclopedia, 685 p.

Benveniste, E. (1948). Noms d’agent et noms d’action en indo-européen. P.: AdrienMaisonneuve, 174 p. https://archive.org/details/BenvenisteNomsD agentEtNomsDactionEnIndoEuropeen1948 Chervony, A.M. (2019). Semantic subject in generalizing statements of the Russian and French languages. Language and reality.

Scientific readings at the Department of Romance Languages named after V.G. Gack.

Collection of articles on the results of the IV international conference, pp. 432-440. https://www.elibrary.ru/author_items.asp?au thorid=471853 Chomsky, N. (2001).

Remarks on Nominalization. R.A. Jacobs and P.S. Rosenbaum (eds.). Reading in English Transformational Grammar. Waltham, MA: Ginn, pp.

184-221. https://www.grin.com/document/4808 François, J. (1994). La mise en ordre des relations actancielles : les conditons d’accès des rôles sémantiques aux fonctions de sujet et d’objet. Langages, No. 113, pp. 7-45.

Gak, V.G. (1976). Nominalization of the predicate and elimination of the subject.

Syntax and stylistics. Moscow: Nauka, pp. 85-102.

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Gak, V.G. (1990). Asymmetry. Moscow: Linguistic Encyclopedic Dictionary, 685 p.

Gak, V.G. (1998). Using the idea of symmetry / asymmetry in linguistics. Linguistic transformations.

Moscow: School "Languages of Russian culture", pp. 106-137. https://cyberleninka.ru/article/n/2000-01002-gak-v-g-yazykovye-preobrazovaniya-mshk-yaz-rus-kultury-1998-763-s Heintz, J. (1973). Subjects and Predicables. The Hague: Mouton and Company, 103 p.

Khrakovsky, V.S. (1991). Passive constructions.

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Personality. Pledge. St. Petersburg: Science, St. Petersburg department, pp. 141-180.

Li, Ch. N., & Thompson, S.A. (1976). Subject and Topic: A New Typology of Language.

New York: Academic Press, pp. 457-489.

Merle, J.-M. (2003). The subject, general presentation. The Subject, Language Facts Library, Ophrys, pp. 5-14, Available at: https://hal.archives-ouvertes.fr/hal-00378857 (accessed 02.06.2021) Nedyalkov, V.P., & Silnitsky, G.G. (1988).

Typology of causative constructions: Morphological causative. Academy of Sciences of the USSR. Institute of Linguistics. Leningrad: Science. Leningrad branch, 311 p.

URL https://docs.yandex.ru/docs/view?tm=16338 83760&tld=ru&lang=en&name=nedjalkov_ ed_1988_typology_resultative.pdf&text=Ne dyalkov%20V.P.%2C%20Silnitsky%20G.G. %20(1969).%20Typology%20of%20causati ve%20constructions%3A%20Morphological %20causative.%20Academy%20of%20Scie nces%20of%20the%20USSR.%20Institute% 20of%20Linguistics.%20Leningrad%3A%2 0Science.%20Leningrad%20branch%2C%2 0311%20p.&url=https%3A%2F%2Filing.sp b.ru%2Fdepartements%2Ftypology%2Fmat erials%2Fpublications%2Fnedjalkov_ed_19 88_typology_resultative.pdf&lr=971&mime

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=pdf&l10n=ru&sign=94de1346b6576e9756 f5d884829bf343&keyno=0&nosw=1 Noonan, M. (1977). On Subjects and Topics.

Proceedings of the Third Annual Meeting of Berkeley Linguistic Society, Berkeley, California, pp.

372-385. https://journals.linguisticsociety.org/proceed ings/index.php/BLS/article/view/2252 Rizzi, L. (2000). Comparative Syntax and Language Acquisition. London: Routledge, 384 p.

Vyhrystyuk, M.S., Parshukova, M.M., Telitsyna, E.L., Onina, S.V. (2019). Features of the translation of сomparisons and emotional and evaluative vocabulary from Russian to English in an artistic text.

Amazonia Investiga, 8(20), 422-431.

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Wierzbicka, A. (1980). Lingua mentalis: The Semantics of Natural Language. Sydney: Academic Press, 367 p.

Zelenskaya, V.V., Golubtsov, S.A., Karabulatova, I.S., Kanon, I.A., Kasyanova, Z.S. (2018) Innovative Discourse in the Formation of a Modern Ethno- Cultural Environment. In the: Astra Salvensis, Vol. 6, #12.

Sources of examples Bulgakov M.A. The Master and Margarita (1967): A Novel. LitMir, 416 p. https://www.litmir.me/br/?b=256&p=1 Bulgakov М. (1967). The Master and Margarita. Translated and with Notes by Richard Pevear and Larissa Volokhonsky.

Penguin Books.

Available at: https://www.bookfrom.net/mikhailbulgakov/33685the_master_and_margarita.html

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