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44.Журнал Сибирского федерального университета. Сер. Гуманитарные науки №3 2012

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Copyright ОАО «ЦКБ «БИБКОМ» & ООО «Aгентство Kнига-Cервис»
Æóðíàë Ñèáèðñêîãî ôåäåðàëüíîãî óíèâåðñèòåòà
2012
Journal of Siberian Federal University
5 (3)
Ãóìàíèòàðíûå íàóêè
Humanities & Social Sciences
Редакционный совет
академик РАН Е.А.Ваганов
академик РАН И.И.Гительзон
академик РАН А.Г.Дегерменджи
академик РАН В.Ф.Шабанов
чл.-к. РАН, д-р физ.-мат. наук
В.Л.Миронов
чл.-к. РАН, д-р техн. наук
Г.Л.Пашков
чл.-к. РАН, д-р физ.-мат. наук
В.В.Шайдуров
член-корр. РАН, д-р физ.-мат. наук
В.В. Зуев
Editorial Advisory Board
Chairman:
Eugene A. Vaganov
Members:
Josef J. Gitelzon
Vasily F. Shabanov
Andrey G. Degermendzhy
Valery L. Mironov
Gennady L. Pashkov
Vladimir V. Shaidurov
Vladimir V. Zuev
Editorial Board:
CONTENTS / ÑÎÄÅÐÆÀÍÈÅ
Natalia P. Koptseva,
Natalia A. Bakhova and Julia S. Zamaraeva
Socio-Cultural Study of Leisure Needs and Preferences of People
with Disabilities Living in the City of Krasnoyarsk
– 307 –
Natalia A. Kupershtokh
The First Institute for the Humanities of Yakutia
– 324 –
Alexander D. Nazarov and Sergei A. Drobyshevsky
Erroneous Detention as a Type of Fundamental Mistake in
Criminal Procedure
– 335 –
Irina A. Zhuravleva and Sergei A. Drobyshevsky
Peculiarities of Underage Witnesses and Victims Examination
Training
– 340 –
Yulia A. Govoruhina
œLarge-volumeB Magazine at the Boundary of the uuuuI Centuries: Ideological Diffusion and Gnoseological Core
Editor-in-Chief:
Mikhail I. Gladyshev
– 347 –
Founding Editor:
Vladimir I. Kolmakov
Alexei V. Nesteruk
Towards Constituting the Identity of the Universe: Apophaticism
and Transcendental Delimiters in Cosmology
Managing Editor:
Olga F. Alexandrova
Executive Editor
for Humanities & Social Sciences:
Natalia P. Koptseva
– 358 –
Sergei A. Drobyshevsky
On Ensuring of the State Progress with Law
– 395 –
Компьютерная верстка Е.В. Гревцовой
Подписано в печать 21.03.2012 г. Формат 84x108/16. Усл. печ. л. 12,5.
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Copyright ОАО «ЦКБ «БИБКОМ» & ООО «Aгентство Kнига-Cервис»
Consulting Editors
for Humanities & Social Sciences:
Gershon M. Breslavs
Sergey V. Deviatkin
Sergey A. Drobyshevsky
Sergey M. Geraschenko
Oleg M. Gotlib
Boris I. Khasan
Igor E. Kim
Natalia V. Kovtun
Aleksandr A. Kronik
Pavel V. Mandryka
Boris V. Markov
Valentin G. Nemirovsky
Daniel V. Pivovarov
Andrey V. Smirnov
Viktor I. Suslov
Evgeniya V. Zander
Igor S. Pyzhev
Vladimir I. Suprun
Liudmila V. Kulikova
Olga G. Smolyaninova
Nicolai N. Petro
Pavel V. Klachkov
Social Entirety of the State and Social Extremism
– 403 –
Marina B. Perfilyeva
Professional Self-Actualization as the Basis of Employee
Loyalty
– 423 –
Galina I. Popodko and Olga S. Nagaeva
A Change in the Structure of Training of Qualified Specialists
for Providing the Sustainable Innovative Development of the
Region
– 430 –
Alexander P. Sevastyanov and Andrey A. Kondrashov
Concept of Circumstances Excluding Criminality of Act
– 438 –
Îlga N. Kharchenko and Anna A. Turovets
History of Emergence and Development of the Russian
Accounting for Small Enterprises
– 443 –
Свидетельство о регистрации СМИ
ПИ № ФС77-28-723 от 29.06.2007 г.
Vadim V. Pitetski and Andrey A. Kondrashov
Petty Offense (Part 2 of Art. 14 of the Criminal Code) and
Administrative Responsibility
– 451 –
Серия включена в «Перечень ведущих рецензируемых научных журналов и изданий, в которых должны
быть опубликованы основные научные результаты диссертации на
соискание ученой степени доктора и
кандидата наук» (редакция 2010 г.)
Copyright ОАО «ЦКБ «БИБКОМ» & ООО «Aгентство Kнига-Cервис»
Journal of Siberian Federal University. Humanities & Social Sciences 3 (2012 5) 307-323
~~~
УДК 316.7
Socio-Cultural Study of Leisure Needs
and Preferences of People
with Disabilities Living in the City
of Krasnoyarsk
Natalia P. Koptseva,
Natalia A. Bakhova and Julia S. Zamaraeva*
Siberian Federal University
82 Svobodny, Krasnoyarsk, 660041 Russia 1
Received 12.05.2011, received in revised form 14.11.2011, accepted 16.01.2012
This article focuses on monitoring and analysis of contemporary cultural needs of people with
disabilities living in the city of Krasnoyarsk with the purpose to identify the system of cultural values
and to form current cultural policy on its basis. In accordance with the analog projects of Russian and
foreign socio-cultural studies dated by the XX – beginning of the XXI centuries, In the first section of
the article the grounds are expanded for drawing up the questionnaire «Cultural and leisure needs
of residents of the Krasnoyarsk Krai.» Further, the interpretation of results of the socio-cultural
study of leisure activities of people with disabilities living in urban areas, of Krasnoyarsk Krai are
given, and acute problems, from the point of view of the respondents, in the existing organization of
cultural and leisure activities are revealed. In the third part, the recommendations for development of
adequate organization of cultural and leisure activities of people with disabilities in accordance with
revealed needs were given, the project, «My city, my home, my family,» aimed at integrating people
with disabilities into society was suggested. The authors believe that the recommended package of
measures within initiated project contributes to enhancing the vital activity of disabled people, as well
as actualizes the inherency of the given social group, demonstrating the basic foundations of modern
society, in the cultural community of the city of Krasnoyarsk.
Keywords: socio-cultural research, leasure needs and preferences of people with disabilities, people
with disabilities, cultural, leisure, cultural policy, cultural value, cultural institutions, applied cultural
research.
1 Analogues of the socio-cultural
research, including leisure activities
of disabled people
Scientific research in the field of the cultural
needs has been carried out since the 1970ies,
when the vector of socio-cultural relations had
changed, and there appeared an urgent need for
*
1
understanding the processes of culture. In the
context of contemporary globalization processes
study of the cultural needs has got a priority
for researchers, namely in the field of modeling
cultural policies and rethinking of cultural
institutions. Russian scientists see the need to
study the cultural needs due to the fact that over
Corresponding author E-mail address: rybka08@bk.ru
© Siberian Federal University. All rights reserved
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the past decade in the country there are socioeconomic changes, significantly affecting the
socio-cultural situation in Russia.
Research of the cultural needs is carried
out in two directions: a conceptual definition
the concept of «consumer society»and the
«cultural value» are being developed, and the
concept which is devoted to the analysis of
consumers’ behavior, etc.) are being created
as well as practice of research projects
(sociological,
socio-cultural,
economic)
focused on the analysis of the actual processes
of formation of cultural and leasure needs
of people (on the global and regional scale).
Both directions are synthesized on the basis
of the need for the development of specific
technologies, reconstructing the cultural policy
of the state and activities of cultural institutions,
as well as in building long-term scenarios of
development of socio-cultural environment
of the society. At the current stage, scientists
(sociologists, political scientists, democrats,
culturologists) study specific socio-cultural
preferences using theoretical and applied
methods. The main issues for this research
are cultural needs affecting transformation
of the political, economical and social life,
technologies allowing creation of a basis for
values and needs of society, developmental
prospects for the basic cultural facilities.
(Koptzeva, Reznikova, 2009)
The main issues and trends that emerged in
the field of cultural needs can be illustrated on
the material of scientific analysis of dissertation
focused on the analysis of the cultural needs and
area of cultural policy (for the period 2000-2010).
The main problems in the formation of cultural
needs are:
- Uniformity of the cultural needs of the
population, focus on popular culture,
rejection of the “high culture”; increasing
differentiation of services providing
cultural products, crisis of cultural
institutions, created due to unwillingness
to adapt activities of traditional cultural
institutions to contemporary cultural
needs of the people (Ziyatdinova, 2010;
p.7);
- Disorientation of the social functions of
culture, a shift in priorities and system of
values. (Balakshin, 2005; p.7-10);
- missing concept of cultural policy as a
factor in structuring social and cultural
space for sustainable development of
society (Volk, 2005; р.7);
- missing national-state ideology as the
core of spiritual and social development
of a particular society (Ponomarenko,
2006; р.6-7).
Major trends in the formation of cultural
needs that have arisen in the context of global
transformations, according to the scientists,
can be divided into positive and negative ones.
Positive trends are as follows:
- introducing a system of social and cultural
institutions to form cultural needs,
organizing high-quality informative basis
for the development of social and cultural
environment of society and an individual,
arising of cultural pluralism based on the
activities of different sectors of culture,
taking into consideration cultural needs
of various social and demographic groups
(Ziyatdinova, 2010);
- overcoming unconditional state patronage,
orienting culture to the real needs of the
people, which are determined not only by
the state (Kuznetsova, 1999; р.38-40);
- obviating socio-cultural and national
disintegration by forming a new set of
values appropriate to the nature and
depth of the taking place changes to
ensure “ smoothing social tension as
well as integration of different social and
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regional groups, as citizens of a single
state” (Natochiy, 2001; p.77-78);
- developing long-term strategies of public
policy, focused on improving effectiveness
of the social infrastructure of the cultural
sector and its real impact on public life
(Kamenetz, 2006; p.6-7);
- consecutive modernization of both
direct and indirect instruments based
on the principles of complementarity,
subsidiarity and diversity, whilst taking
into account specific features of the
functioning of cultural institutions
and the existence of culture in general
(Krivosheev, 2005; p.34-35);
- developing mechanisms for conflict-free
interaction of all types of cultures in a
particular region, purposeful control of
cultural life in accordance with the system
of universal values, when preservation
and development of its cultural diversity
and system of cultural communications
as infrastructure of interregional,
intersubject and other links becomes
an index of its sustainable development
(Skulmovskaya, 2005; p.17-25).
Negative trends are as follows:
- A huge surge of low-grade culture «for
the needs of the public» (Skakalin, 2003;
p.3-22);
- reduction of cultural activity, preservation
of traditions in the new living conditions
and introduction of new non-traditional
forms of culture provoke a dangerous
conflict of values between the culture and
social relations (Mikheyevа, 2005);
- drastic
restriction,
standardization
of cultural consumption and leisure
behavior of the majority of the population,
adoption of passive consumer-based
attitude towards culture (Natochiy, 2001;
p. 35-45];
- simultaneous coexistence of emerging
and outgoing values, loss of a single
national idea and traditional values due to
the growing trend of internationalization
of cultures (Kurnaya, 2003; p.114-127);
- missing concept of social and cultural
policies, lack of transparency, no new
approaches to financing and socialcultural sphere during the economic
crisis and transition period to the market
economy, lack of coordination among
various government agencies, local
government bodies carrying out sociocultural policy (Muzychuk, 2002; p.5062);
- existence of two opposing opinions
towards cultural policy: the first one being
the state and its agencies non-interfering
with cultural life and cultural activities
of artists whose work is motivated by
their own internal laws, the second being
inablity of art and culture to survive on
their own and inevitability of reducing
their scale and functions without support
and control exercised by the state
(Vostryakov, 2007; p.55-57);
- missing innovative cultural policy based
on equal cooperation between state
institutions and businesses to address
social and cultural objectives in order
to improve life standards and all-round
development of personality (Belozor,
2008; p.3-16);
- complexity of the regional cultural policy
affecting the development of the region
(Smirnov, 1998; p.3-16).
Thus, to date, some serious problems in the
field of cultural needs analysis and real formation
of the current cultural policy have been found.
Scientists strongly recommend to pay attention to
the growing trend opposite in content, covering
the entire spectrum of cultural needs, forming
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both negative and positive experience of social
and cultural processes in the consciousness of
society. The only possible solution, according
to the scientists, is to conduct socio-cultural
monitoring of cultural needs of society to build,
most correctly and according to possibilities of
state cultural policy, a unified basis of sociocultural values of modern society. In this regard,
it is necessary to define problems, revealed by
scientific research projects in the field of analysis
of cultural needs,which should clarify the
peculiarities of cultural values and cultural needs
and leisure formed by the beginning of the XXI
century.
The first major study was the scientific
project «The World Values Survey,» the results
of which showed a shift from materialistic to
postmaterialistic values, and gave rise to heated
debates among scholars in all areas of social
scientific knowledge. The survey of values
determined integral cultural patterns that are
closely linked with economic development, and
recorded specificity of development of industrial
society, if in the second half of the XXth century the
dominant was focused on economic development
and individual «achieving» motivation (economic
saving), then after an era of modernization,
there has been shift from the traditional (usually
religious) values to the «rational-legal values
in economic, political and social life.»Ronald
Inglehart (American sociologist and author of
the concept of «postmaterializm»), on the basis
of the results of WVS («World Values Survey»)
at the international conference «Challenges
of Theory» (Moscow, 1996.) submitted his
report «Postmodernism: Changing Values and
Changing Society «in which he summarized the
results of a 25-year-old empirical comparativecultural study of changes in values and needs in
43 societies (70 % of population) in the period
from 1970 to 19951. The main hypothesis of this
study was the idea of a strong interdependence
between the variables at marco-and micro-level
:»system of belief at grassroots level are changed
so that the nature of these changes have significant
economic, political and social consequences2.
«In this regard, the only true way to determine
the nature of these relationships (between social
values, economics and politics), is an empirical
study of data, alternative to all the a priori biased
opinions (eg, cultural or economic determinism).
The scientist concluded that during the study
period there occured changes in basic values
of the population in developed and developing
countries, which, on the one hand, is explained
by the change of generations, and, on the
other hand, leads to a new relatively long-term
formation of a new system of values.The scientist
said that the change of eras has led to a number
of syndromes of cultural change.At the present
stage of development of industrial societies, social
and political trajectories are arranged in two
fundamental ways: value system and institutional
structure. That is, the system of values is based
on economic achievements, which give you the
freedom of individual choice «of lifestyles and
individual self-expression» and is responsible
for the quality of life. The institutional structure
drifts away from bureaucratic set up and is based
on advanced technologies with highly specialized
work force, specified by society of people with
their changed values in the era of postmodern.
Considering the changes in the hierarchy of needs,
according to the theory of Abraham Maslow3,
a scientist sees the reason for the change in the
industrial and postindustrial societies, due to
the fact that there has occured «unprecedentedly
high levels of existential security, best achieved
in a modern industrial society that emanates
from the effects of the economic miracle (both
Western and Asian) of the last few decades; and
the ascent of the welfare state. «The hierarchy of
the former is based on achieving economic and
physical security in the post-industrial, while
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in postindustrial society a new generation of
people fall into socialization lag (the time when
new values and needs arise leading to economic
and political changes.) In this connection, the
values of the new generation undergo generic
changes, and those of the previous generation
become less important. That is, the difference in
the experience of older and younger generations
reveals significant differences between value
priorities. In postmodern era the older generation
changes their priorities in life much slower and
with difficulty while the younger generation,
due to economic and physical security, is
more highly developed, politically active and
financially secured. That does not mean, says
the scientist, that postmodernism denies the past
achievements,, it rather maintains, and uses them
for the benefit of the new priorities: quality of life
and individual self-expression, giving the wellbeing. Full confidence in the future,built-in in the
system of values, has a significant impact on the
tolerance to other ethnic groups, and favorable
development of changes in culture (and vice
versa). As to person's attitude to power, economy
and scientific authority, it will change towards
their own values: «an important component of the
postmodern shift is a shift away from religious
and bureaucratic power and leading to a decrease
in significance of any kind of power and authority.
For obedience to authority entails high costs: the
individual's personal goals have to be subject to
the goals of broader subject iveness... conditions
of prosperity and security contribute to pluralism
in general and democracy – in particular. « With
regard to religion, gender roles and sexual norms
traditional for industrial societies, values have also
undergone changes. Rigid absolute rules which
people follow in a situation of survival guarantee
their security. But postmaterializm generation
that grew up in relative safety, is more ready for
cultural change (novelty and exoticism), more able
to tolerate greater uncertainty to change needs
and to be less dependent on absolute rigid rules,
power (change from dependence to participation)
and authority. The following priorities of values
lie at the basis of value system that changes the
basic social processes.They are as follows:
- In politics: smaller significance of political
prestige, priority of self-expression and
political participation; exoticism / novelty
as a stimulating factor;
- In economy: the highest priority is given
to the quality of life, subjective wellbeing while significance of both private
and public property went down.
- In the sexual-family normativity: sexual
satisfaction, in accordance with individual
choice, individual self-expression;
- In religion: smaller significance of
religious authority, flexible rules,
situational ethics, emphasis on meaning
and purpose of life.
Cultural changes first will occur in
economically developed countries (from a
survival strategy to the strategy of well-being) and
highly educated communities which experienced
the largest rise of welfare a little bit earlier than
the developing countries,
According to the forecast of socio-economic
development of the World (up to 2015.)the study
of cultural needs plays a very important role «at
the beginning of the XXI century structure of the
renewed social and humanitarian needs comes
to the fore.»The first decade of this century will
complete a fundamental shift towards new, more
differentiated and individualized services (in the
sphere of education, culture, health, recreation,
leisure). In the second decade large-scale
satisfying of actual humanitarian needs, ensuring
development and self-actualization of a personality
will take place. These needs are those for a
creative work, effective human communication,
self-activity – social, intellectual, spiritual – of
functions necessary for full disclosure of a human
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personality «(Мир на рубеже тысячелетий,
2001; p. 224-332). This forecast points to a need
to explore the cultural needs in modern culture:
high degree of maturity of private consumption
in Japan will provide opportunities to accelerate
the process of its individualisation. As this
process spreads far and wide, it will give new
target meaning to the personal consumption,
which implies faster growth of attractiveness of
spiritual wealth in comparison with material one.
Such, of course, gradual change of a guiding line
for consumers will be stimulated by their desire
for maximum freedom of choice, self-knowledge,
creative principles, desire to «invest» in
themselves new observations, impressions, taste
exquisites, ie experience which is collected and
stored in the mind as a specific form of property.
This, undoubtedly, will determine the future
growth in multiplicity of lifestyles and rapid
erosion of a large middle consumer layer, with
its single, collective, socially imposed values.
«Thus, the problem of formation of cultural needs
is an acute necessity in modern Russian society.
Under the process of globalisation new cultural
needs are being formed, new trends changing
consumer behavior and becoming the cause of
social transformation turn up..
Research projects aimed at studying the
cultural needs of the people living in the XXI
century, record that under the new cultural and
socio-political conditions, cultural needs change
their content.The main problems in the formation
of cultural needs of modern society in most cases
arise along with a powerful process of reappraisal
of values and lack of social and cultural patterns
that form in the immediate mlieu cultural needs
of an individual. In case when a society does not
provide a definite system of moral principles, it
only contributes to the development of cultural
needs of low level, and vice versa. Ziyatdinova
Y.E. writes: «people's satisfaction with their
leisure is one of the most important indicators
of their status and social well-being, seriously
influencing their outlook.»
The research conducted on the territory of
the Russian Federation by independent research
centers should be given special attention. In
1999,.independent center ROMIR4 monitored
leasure activities of Russian society.Results of
the study revealed dominant areas of cultural and
leisure activities:watching television (74 %) was
in the first place (the most common way of having
leasure), in second place – working in the garden
and outdoor activities (56 % and 54 %), listening
to the radio (49 %), child care (42 %), meeting
friends (35 %), reading fiction (28 %).
In 2002, VTsIOM5 monitored leisure
preferences of the population and new forms of
cultural and leisure facilities. The survey was
intended to show «How Russians spend their
leisure time and how they spend their free time».
The main criterion for the analysis were various
options of leasure (informational, intellectual,
sports, entertainment and family-oriented
leisure).The main objective of the project was to
optimize management and effective development
of the network of mass cultural institutions.
Sample comprised 1,800 people. The results of
processing of empirical data in comparison with
a similar study in 1900 showed that in general,
there was a noticeable decline in interest in leisure
activities: a marked decline in informational
leisure (newspapers, magazines, radio), but
interest in watching television still remains high
(84 % compared to 87 % in 1990.). Intellectual
leisure was found In a critically low position.
(77 % do not go to the cinemas, 24 % – theaters).
Athletic and sport leisure – 70 % do not do any
sports, entertainment (clubs, bars, discos) – 13 %;
family leisure – 28 % of family members hold
joint pastime.
Long-term research projects of the Institute of
Complex Social Studies of the Russian Academy
of Sciences (ICSI RAN) continuously record the
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extent of demand and satisfaction of cultural needs
of the Russians. The analytical reports for the past
decade say that Russians are divided according to
the way they spend their leasure time into two
types: the first is characterized by active leisure
activities, the second one- by home pastime. It
should be noticed that the second type is much
more numerous than the first one. According
to reports made by RAN, the main causes of
imbalance in the needs of the population are: lack
of quality recreation organizations, insufficient
number of modern entertainment centers, high
cost of such centers, lack of «family-oriented»
leasure activities (a single entertainment center),
lack of public confidence in leisure facilities (as
the main reason the respondents indicate quality
of such dubious clubs), no complete guarantee of
security in places of entertainment and leasure
activities.
In 2004. a survey was conducted by the
Center of Sociology of the Russian Academy of
Public Administration (RAPA).The main subjects
were: Republic of Tatarstan and Bashkortostan,
Sakha (Yakutia), Krasnoyarsk, Stavropol and
Khabarovsk Krai, Astrakhan, Bryansk, Vologda,
Voronezh, Kostroma, Leningrad, Moscow, Nizhny
Novgorod, Novosibirsk, Rostov, Saratov, Samara,
Sverdlovsk, Tula, Chelyabinsk, Chita, Yaroslavl
region, cities of Moscow and St. Petersburg (2407
respondents, aged 18 years). The results revealed
that most people spend their leisure time at home
(83 %), other types of leasure activities were:
«visiting friends» (38.6), «spending leisure time
in the country at dachas» (28.3 %) «doing leasure
activities in cultural institutions» (17.3 %). The
most common type of leisure was watching TV
and video (61.1 %), reading (49.6 %), spending
time with friends (31.6 %) and at the computer
(13 %), visiting the cinema (13 %). Such cultural
institutions as cinemas (53.6 %), theaters (52.4 %),
concerts (63.3 %), museums (62 %), exhibitions
(69.8 %) are.almost never visited The objectives
of the study also focused on revealing the reasons
for lack of satisfying cultural needs, the impact
of education on the choice of the type of spending
leasure time, the role of cultural policies in the
organization of cultural activities, the level of
spiritual development of Russian society (through
expert opinion) (Mitroshenko, 2005).
The most full-scale among them was
the study and subsequent monograph entitled
“Culture as a factor of social progress” (authors:
N. Lebedeva,A. Tatarko, E. Yasin), which resulted
in the simulation of the map of cultural and
economic vectors (relations of cultural dimensions
and socio-economic parameters) according to
cultural areas (taking into consideration the
geography of the countries), and corresponding
values.The main areas of distribution are: Western
European cultural area, English-speaking cultural
area, South and Central European cultural area,
Latin American cultural area, the Far EastAsian cultural area, Eastern European cultural
area, African cultural area. Through this map,
scientists have identified two possible ways of еру
development of Russia, “Eastern” and “Western.”
In the book this idea is understood as follows:
“On the one hand, Russia is more attracted to the”
Eastern “way, emphasizing the values of cultural
closeness and rejection of migrants (according to
the ESS, benefits from migrants for economic and
cultural development are rejected by respondents
in Russia and Estonia while respondents from
Northern and Western Europe share this opinion).
However, multiculturalism in Russia (more than
100 ethnic groups) and rich heritage in the form
of ex-post-Soviet countries give it huge potential
for economic development due to large influx of
Russian-speaking migrants with similar cultural
background able to equalize its potential of cheap
and mass labour force with the same potential in
China. But this is a serious challenge to the cultural
closeness and inertia which are characteristic
features of modern Russia.Another advantage of
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following this path is positive attitudes towards
innovation. In this respect Russian students are
not inferior to Western students and surpass
their peers from the East. Thus, the countries of
“catching up” development, including Russia,
have to overcome “cultural barrier” to develop
an innovative economy. To implement innovative
development in Russia it is necessary to develop
values of equality, autonomy and self-expression
and build institutions promoting the support of
these values in society.
Regional research projects mainly focus on
the analysis of changes in contemporary cultural
needs to understand the specificity of sociocultural situation and development of special
technologies for its formation by the subjects of
cultural policy. (Koptzeva, 2010). In particular,
over the last decade there were conducted local
(regional) studies, “Leasure interests and needs
of the population” (Belgorod, 2004) (Kurgansky,
2004), “Development of rural culture in Belgorod
region in 2003 – 2005.” “Human. Culture. City
“(Toliatti, 2002),” Monitoring to determine
the needs of various categories of people with
disabilities “(Samara Region, 2001 to 2002.)”
Marketing research of cultural and leisure
activities “(Krasnoyarsk, 2000), etc. These studies
revealed a certain crisis of contemporary cultural
politics, forming cultural needs. The scientists
think that this type of a crisis is connected with
contradictions of the transition period, when
Russia is in the process of global transformation.
2. Interpretation of the results
of socio-cultural study of leisure activities
of people with disabilities living
in urban areas of Krasnoyarsk Krai
conducted on the base of the Department
of Culturology in 2010
This socio-cultural research was focused on
the consideration of cultural and leisure needs of
people with disabilities in the city of Krasnoyarsk.
On the total a sociological survey involved 173
representatives of various disability groups,
which makes it fairly accurate representative
sample. In the range of age groups (from 13 to
85 years), most respondents were between the
ages of 19 and 25 (18.2 %) and from 26 to 39
(15 %), there were 51 male respondents and 122
female respondents. As well as other citizens
of Krasnoyarsk, people belonging to this age
group manifest themselves more actively by
participating in various activities. Thus,it is the
period, when people with disabilities are active
and especially need communication and a good
leisure.
33 % of those surveyed, didn't give any
information about their occupation, 32 % can't
work, however, 17 % worked in an office. In
general, according to the respondents, it is very
difficult to find a job for people with disabilities
although many have vocational(32 %) and higher
(20 %) education. Among people with disabilities
there are also people with academic degree
(1 %).
In terms of material security a surveyed
group of people can be attributed to groups
with different income: 27 % of respondents are
completely secure, but do not have an opportunity
to buy movable and immovable property, 37 %
said the money earned is only enough for food
and clothing they can't afford consumer durables,
and 21 % reported that they barely make both
ends meet.
In addition to the formal details, some
questions concerned respondents' ethnicity
identification, their religious beliefs and political
preferences. As a result of the data processing,
it should be noted that almost all people with
disabilities living in Krasnoyarsk are Russian
(84 %). Representatives of other ethnic groups
are: Tatars, Ukrainians, Armenians and Kyrgyz –
as a rule, are not registered in the fund of social
security. 53 % of respondents consider themselves
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to be Christians belonging to the Russian Orthodox
Church, 13 % identified themselves as atheists.
The rest participants identified themselves with
Islam, Catholicism, and just believers without
church.
Summing up one can say that people with
disabilities in Krasnoyarsk are represented by
a group of people of different age with varying
degrees of disability connected with physical,
mental, sensory or mental disabilities.Some of
them have education, employment and good
income, but many of them (especially the visually
handicapped and people who have problems
in musculoskeletal system) are virtually never
out of the house, leading a secluded life, do not
participate in the political,social and cultural
life of the city. A lot of time recipients spend on
activities related to their health. Their leisure is
far from being diverse.
Next, we will consider cultural needs, met by
people with disabilities in the city of Krasnoyarsk
:how the spend their spare time and what they
expect from such leasure.
The results of the survey are presented in
overall summary.
1. Most of all people with disabilities in their
spare time value communication with family and
friends, meetings with friends or acquaintances
(61 %), reading books and magazines (31 %) and
watching television programs and broadcasts
(30 %). As noted by the respondents themselves,it
is often important for them to safely spend time
alone, away from the hustle and prying eyes.
2. In modeling the situation of an early
morning of the day off when no further action
is defined and plans are not made, the majority
of respondents prefer to do household chores
(cleaning, cooking – 58 %) or watching TV
(43 %). It follows from the answers that in the
morning some additional hours of sleep or
telephone conversations with family and friends
are appreciated by the respondents.
3. People with disabilities in Krasnoyarsk
get information on possible options of pastime,
through print media dedicated to leisure activities
(35 %), or through friends and relatives (31 %).
Very often advertising of such events is broadcast
on TV and radio.
4. In their spare time, respondents prefer
to read books or listen to audio books (23.5 %),
watch television (21 %), be engaged in creative
activities (writing poetry, draw, do macrame,
sewing, etc.)
5. Most often, the participants of the study
spend leisure time with their family members
(51 %) or with school or work friends (33 %), 13 %
of respondents are alonein at their free time.
Based on the responses received to the
first question, it is evident that leisure of people
with disabilities is almost always determined
by household chores, family relationships have
a priority value. Domesticity and seclusion, to
some extent is a characteristic way of life for
most of them.
6. Meeting friends and acquaintances,
people with disabilities prefer to talk: to discuss
their problems (46 %), talk about leisure (23.5 %),
attend cultural events (35 %) or watch TV (7 %).
7. In most cases people with disabilities find
it difficult to answer the question how people
around them spend their leasure time (42 %), 27 %
believe that they spend their leisure time in the
same way. It can be concluded that a community
of people with disabilities is not formed in the
city. Leisure of people falling into this category
is not coordinated by any center or Social Fund,
so that is why so popular the answer is about
spending free time alone, or not knowing how
other people spend their leisure time. Therefore,
people with disabilities have a very narrow circle
of close friends. For the most part it consists of
relatives of the respondent, who love and accept
them for what they are. People with disabilities
do not have enough contact with other people,
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they are not active to expand the circle of friends,
apparently due to a fear to seem inferior when
compared to them.
8. The respondents take it either
positively(18 % and 42 %) or stay indifferent
(25 %).to the presence in the company of people
of the opposite sex For many, sharing leisure
activities with the opposite sex is a real and
unique opportunity not only to make new friends,
but also possibly find a life partner.
9. 87 % of the respondents disagreed with
the statement «In order to have a good time,
be sure to spend lots of money», 29 % were
categorically against it. Perhaps this opinion
is due to the low income of the representatives
of this group as well as the fact that they prefer
secluded, requiring no special expenses leisure.
However,the most frequently occuring answer to
the question «What, do you think, keeps you from
spending your leasure time to your liking?» is
«Shortage of money» (90 %). Thus, contradiction
is clearly revealed, which can be interpreted as a
real need for financial support of disabled people
and diversity of their leisure activities. At the
same time, this group of respondents does not not
insist on any serious expences.
10. Many respondents deny drinking
alcohol at a cultural event (45 %), one fifth of all
respondents prefer to have a drink with friends
(23 %), 13 % – definitely oppose it.
11. In previous month disabled people living
in Krasnoyarsk attended and participated :
34 % of respondents took part in the concerts,
contests – 44 %, cultural and entertainment
parties – 45 %, attended drama school – 9 %,
62 % met friends in leisure activities, visited a
museum, art galleries, exhibitions – 31 % dance –
31 %, picnics in the countryside – 58 %, 70 % read
for pleasure, 22 % visited the library, 39 % drove
a car for fun, grew plants and flowers – 38 %,
participated in civic activities – 29 %, religious
activities – 20 %, went for walks and hikes –
61 %, went to the gym – 25 %, visited clubs –
30 %, participated in sports – 30 %, participated
in city holidays – 37 % played computer games –
43 %, solved puzzles / scanwords – 52 %, bought
new video and audio discs – 42 %, 39 % – visited
web sites for entertainment, bought equipment
for entertainment – 37 %, played cards – 28 %,
chess, backgammon – 37 %, professionally
engaged in artistic activities – 15 %.
It is clear that a third ofdisabled people living
in Krasnoyarsk still lead an active lifestyle that
meets their cultural needs. However, traditional
forms of spending leasure time such as theaters,
museums, libraries, etc. are not that popular as
compared to the competitions, visits to shopping
malls, meetings, walks and hikes with friends,
etc.
12.Leisure of people with disabilities is
usually associated with special sports, physical
therapy. 36 % of respondents regularly do
exercises at home, 23 % visit sports and fitness
clubs – 23 %, walk for health – 46 %, 11 % – are
professionally engaged in sports, 17 % do none
of the above.
58 % of respondents find special sports,
exercise therapy and other physical activities
good for their health,23 % consider all kinds of
physical activities as a break from routine and
switch to other emotions, 9 %.of respondents are
not attracted by such activities It can be concluded
that for people with disabilities health is a second
key value (the first is the family, relationship with
relatives).
13. Vocational or any other training courses
(Distance Learning) are attended only by 15 % of
the respondents. However, in private conversation,
it was found that this form of activity is very
popular among this group of citizens. People with
disabilities are active in improving their skills
and qualifications, realizing the need to be useful
to society and independent (self-valuable) at the
same time.
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14. People with disabilities are actively
engaged in hobbies (44, 5 %), giving it moderately
time, effort and money. Hobby is an integral
part of their lives, and with it urban people with
disabilities can actually realise themselves and
assert themselves.
15. Most respondents agree with the
statement that leisure should be as relaxing and
comfortable as possible (48 %) and (23 %) strongly
agree. Leasure should give new sensations and
emotions, to fill life with events (35 and 32 %).
At the same time 28 % of disabled people noted
that leisure is perfect time to settlte up all affairs.
35 % of the respondents agree that this is the
time free from any obligations, regulations and
restrictions, while (37 and 22 %) think it's the
time for self-develovepment, realisation of
creativity. It is better to share leasure time with
friends (27 %), although it's all the same for some
(20 %), as leisure time helps to escape, first of all,
personal problems (30 %).
16. Among people with poor health there
are a lot of people (46.2 %) who are fond of
reading, 16.8 % of disabled people read with
gusto. The respondents point out that reading
books makes them think and influences their
mood and inspiration positively. But because
of the frequent problems with vision, some
respondents are deprived of pleasure to read
books. So audio books and internet resources
are very popular. Libraries are not mentioned
as facilities in demand. Home library, Internet
resources almost completely satisfy the needs in
reading.
17. According to the time that this stratum
of the citizens of Krasnoyarsk spend on one or
another form of leisure activity the respondents
can be subdevided into those who:
a) spend at the computer 1 to 3 hours per
day – 25.4 % of respondents, from 3 to 5 hours –
6.2 %. The same number of people do not use a
computer at all.
b) 41 % of respondents watch TV up to
3 hours a day, 5 hours – 12.7 %, 9.8 % do not
watch TV. The most popular among people
with problematic health are serials (33 %), daily
television programs devoted to health (26 %),
family and family relationships (20 %).
a) 32.9 % of people with disabilities
read books less than an hour a day, 24.3 %
of respondents devote themselves to reading
literature for 3 hours.
d) music is not very important in the lives
of people with disabilities. 26 % of respondents
listen to the music less than an hour, up to 3
hours – 19.1 % and 17.9 % do not listen to music
at all.
Thus, the most popular are audiovisual
forms of entertainment. The respondents of
this group use the computer mainly to look for
information – 38 %, 34 % communicate with
friends via the Internet, 27 % watch movies,
51 % of respondents get video production to see it
using the computer.. Thus, it is the main source of
information and a unique «window to the world»
for people with disabilities.
18. Personal libraries having from 10 to
100 books are possessed by 41 % of disabled
people, 29 % were undecided. There are no
special preferences in literature. The most
popular are: contemporary fiction (23.6 %) and
historical literature (23.3 %). Publications on
health (38 %), family (23 %), literature, theater
and music (17 %) are of interest in newspapers
and magazines.
19. Frequency of visiting venues : Theater
-less than once a year – 34 %, up to 3 times –
30 %, music concerts almost are not attended –
30 %, 26 % up to 3 times per year, 55 % and 80 %
visit library, Internet cafes, large commercial
entertainment centers (35), cafes, bars and
restaurants (27 %), gyms, sporting events, discos
and nightclubs, leisure entertainment centers are
not attended by almost 50 % of respondents.
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Situation with going to church is somewhat
different: 38 % do not attend religious services,
while 25 % do it several times a year. Also,
people with disabilities are not active in
politics: 59 % of citizens said that they have
no political preferences, 32 abstained. Others
attributed themselves to specific parties, such as
«United Russia», «Communist Party», «Liberal
Democratic Party,» «Fair Russia», etc.
20. In general, the overall situation
concerning providing disabled people with
various forms of entertainment can be assessed
as satisfactory. According to the analysis of
the survey everything is enough. However, if
respondents had the opportunity to change their
habitual leisure time, they would do it willingly
and gladly (40 %). In their spare time, they would
like to go to the countryside more often (36 %), to
visit various events (33 %), to make their leisure
pastimes more active (27 %). Lack of material
resources (52 %) and time (36 % prevent disabled
people from improving their leasure activities..
Some of them have no idea how one can change
their own leisure without help (13 %).
21. Public guardianship for people with
disabilities is considered normal (54 %). Although
it is noted that private businesses may be able
to more successfully meet their demands for
recreation, would be money.
22. The vast majority of respondents (85 %)
categorically reject the possibility of moving
to live to another city. Their lives are linked to
Krasnoyarsk, Russia. They wouldn't like to move
to any other state.. Only 12 % of all respondents
would make such a move. Russia, according to
people with limited health, though finds itself in a
state of chronic crisis, and is far from perfect, but
still is the best and the most beloved, the dearest.
In contrast to other social strata of citizens,
people with disabilities are uniquely express their
patriotism in spite of everything. Love for the
city, which many of them can not physically see
or who can not go for a walk about the city freely
because of the circumstances is striking.
The key values for disabled people living in
Krasnoyarsk are love for their family (49 %), the
unique nature of Siberia (35 %), tender feelings
for the city and the area (31 %), attachment to
friends (30 %).
3. Recommendations for development
of an adequate organization of cultural
and leisure activities of people
with disabilities in the city
of Krasnoyarsk according
to the revealed needs:
Based on the data gained, we can conclude
that people with disabilities in Krasnoyarsk, as
well as most of other social groups have strong
cultural and entertainment needs. But at the same
time the possibility of their implementation is
accompanied by discomfort. Disabled people
often turn in on themselves and start to lead
solitary lives, spending time at home watching
TV or reading a book due to their being treated as
a socially vulnerable people and being neglected
by other citizens.
Understanding of disability issues in
Krasnoyarsk is still considered at medical level.
Many believe that people with disabilities can
not do what an average person can so they shoud
be treated differently, special establishments
should be set up for them where they could work,
communicate and be provided with various
services. Such an approach leads to social
isolation of disabled people. Such outlook has
long been overcome in Europe, it’s clear that the
society which ignores such a category of people
creates difficulties for themselved.. It is necessary,
however, to integrate disabled people into
surrounding society, adapting them to conditions
of life in the city, organizing good leisure.
There is no proactive urban community of
people with disabilities, which would actively
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speak of the need for diversity, social and cultural
sphere for disabled people.
In the framework of socio-cultural research
a project “My City, my home, my family,” has
been suggested aimed at integrating people with
disabilities into society. It should be a set of
activities where the main role should be given to
the social and cultural rehabilitation. To do this:
First,one should systematically hold actions
(for example, on the Day of Disabled People, 3
December) aimed at socializing of disabled people
in the city of Krasnoyarsk and simultaneously
actualizing the idea that integration of people
with disabilities into life indicate a new phase of
urban development.
Second, active involvement of people
with disabilities in education and employment
is advised. Encourage them to visit various
workshops, educational programs and projects.
This will not only allow to make new friends,
to become part of a team, but it’s also very
productive for further life. For example, in
Omsk, due to amendments to the Law “On the
employment quotas for disabled people in Omsk
region” the mechanism for employing people
with disabilities is being improved. The changes
concern, fi rst of all, companies with harmful
or dangerous conditions, where it is impossible
to employ disabled people and therefore meet
a quota. The mechanism to solve the problem
has been suggested – the organisation unable
to employ people with disabilities makes an
agreement with another organisation, where
jobs are created. These changes will ensure
social adaptation and integration of disabled
people into society, as well as protection of
the rights of disabled people in the sphere of
employment.
Third, to plan and implement joint rides, tours
and excursions on the territory of Krasnoyarsk
Krai. This is something that is determined by the
disabled person as valuable in their lives. Travel
and walks in the open air are the main leasure
needs of this category of citizens.
Fourth, to involve people with disabilities
and other categories of citizens to joint activities –
creation, organization of exhibitions, festivals
etc. Here, the exhibition of aincient russian art”It
is allowed to be touched” held in November in
Omsk can be given as an example. The exhibition
was organized for the blind, but all the citizens are
invited to participate in it. They are blindfolded,
and thus they find themselves in a situation where
you can see the world only through hearing and
tactile senses.
Fifth, to raise awareness of disabled people
of various processes occurring in the community
and directly affecting the lives of people with
disabilities. This can be done through systematic
development of computer technologies. Interactive
features of the Internet allow to minimise physical
limitations of a given category of citizens.
For example, a news agency ІNVAK.ІNFO
collects relevant information, processing and its
transmission to those who have the necessary need
for it. The portal posted the latest news on events,
actions and events in the disability movement,
information about organizations dealing with
disabled people, the latest contests, grants,
various methods of rehabilitation, a database of
normative documents. It is nessessary that people
with disabilities in the city of Krasnoyarsk should
have access to it and use the other features of the
virtual world.
Sixth, joint communication activities of
disabled people with other citizens. Today, the
main obstacle to adaptation of the disabled is
to a large extent of socio-psychological nature.
Lack of special communications does not allow
disabled people to participate fully in society.
Through interaction with peers (within the
university) and surrounding people, people with
disabilities receive a good portion of optimism,
so essential for recovery. For example, in 2008 in
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Voronezh region the project “Integration of the
disabled into society.” was developed.As part of
it there was a competition for the best volunteer
group among groups of young people under the
age of 30, who always provided free assistance to
people with disabilities through the provision of
public services, arranging leasure activities and
creation of an affordable living environment for
persons with disabilities. Under the organization
of leisure activities of disabled persons in this case
refers to the possibility of providing individuals
with disabilities to participate in concerts and
entertainment events, organizing evenings
1
2
3
4
5
relaxing and socializing and creating conditions
for creative self-realization, etc.
Seventh, it is necessary to initiate the vital
activity of people with disabilities, to establish
the idea that everyone is entitled to define a range
of cultural and leisure needs and be able to satisfy
them. {A series of values of the social strata
including concepts “family”, “health”, “beloved
city” should determine the status of a disabled
person as a personality who is an integral part
of the cultural community of Krasnoyarsk,
demonstrating basic foundation of modern
society.
http://cross-cultural.jimdo.com/исследователи/инглхарт/измерения-ценностей/
http://www.sociology.mephi.ru/docs/polit/html/ingl.htm
Maslow AK Motivation and Personality.N. Y., 1954.
Russian public opinion and market research
All-Union Center for Public Opinion
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Natalia P. Koptseva, Natalia A. Bakhova… Socio-Cultural Study of Leisure Needs and Preferences of People…
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социол. Наук : 22.00.06. Урал. гос. ун-т им. А. М. Горького. – Екатеринбург, 2005. – 42 с.
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Культурные запросы населения и оптимизация управления деятельностью учреждений
культуры. М., 2005.
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Culture // Journal of Siberian Federal University. Humanities & Social Sciences 4 (2009 2) 491-506.
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Methodological Seminar «Theory and Practice of Applied Culture Studies» on the Basis of Art
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Krasnoyarsk. June 17, 2010. Journal of Siberian Federal University. Humanities & Social Sciences 5
(2010 3) 696-725.
Materials of the First Session of Educational, Scientific and Methodological Seminar «Theory
and Practice of Applied Culture Studies» on the Basis of Art History and Theory and Culture Studies
Department // Institute of Humanities, Siberian Federal University, Krasnoyarsk. June 2nd, 2009.
Journal of Siberian Federal University. Humanities & Social Sciences 2 (2009 3) 194-232.
Социокультурное исследование
досуговых потребностей и предпочтений людей
с ограниченными возможностями,
проживающими в городе Красноярске
Н.П. Копцева,
Н.А. Бахова, Ю.С. Замараева
Сибирский федеральный университет,
Россия 660041, Красноярск, пр. Свободный, 82
Данная статья посвящена мониторингу и анализу современных культурных потребностей
людей с ограниченными возможностями города Красноярска с целью выявления системы
культурных ценностей и на ее основании формирования действующей культурной политики.
В соответствии с аналоговыми проектами российских и зарубежных социокультурных
исследований XX – нач. XXI вв., в первой части статьи развернуты основания для составления
анкеты «Культурные потребности и досуг жителей Красноярского края». Далее, приведена
интерпретация результатов социокультурного исследования досуга людей с ограниченными
возможностями, проживающими в городской местности Красноярского края, и выявлены, с
точки зрения респондентов, актуальные проблемы в существующей организации культурного
досуга. В третьей части даны рекомендации по развитию адекватной организации культурного
досуга людей с ограниченными возможностями согласно выявленным потребностям и предложен
проект «Мой город, мой дом, моя семья», направленный на интеграцию людей с ограниченными
возможностями здоровья в общество. Авторы полагают, что рекомендованный комплекс
мероприятий инициированного проекта, способствует повышению жизненной активности
людей с ограниченными возможностями, а также актуализирует неотьемлемость данной
социальной группы, демонстрирующей базовые основы современного общества, в культурном
сообществе города Красноярска.
Ключевые слова: социокультурное исследование, досуговые потребности и предпочтения,
люди с ограниченными возможностями, инвалиды, культурный досуг, культурная политика,
культурная ценность, культурные учреждения, прикладные культурные исследования.
Copyright ОАО «ЦКБ «БИБКОМ» & ООО «Aгентство Kнига-Cервис»
Journal of Siberian Federal University. Humanities & Social Sciences 3 (2012 5) 324-334
~~~
УДК 061.62:3 (571.56)
The First Institute
for the Humanities of Yakutia
Natalia A. Kupershtokh*
Institute of History of SB RAS
8 Academician Nickolaev st., Novosibirsk, 630090 Russia 1
Received 15.06.2011, received in revised form 18.10.2011, accepted 30.12.2011
Institute for the Humanities Research and the Indigenous Peoples of the North (IHR&IPN) of the
Siberian Branch of the RAS is among the oldest academic institutions in Siberia. During its 75-year
history it has become a leading center of the country in the integrated study of history, language and
literature of unique ethnic groups inhabiting the North-East of Russia.
Keywords: Yakutsk complex expedition of the Academy of Sciences of the USSR, the first Institute for
the Humanities of Yakutia, Indigenous Peoples of he North, research problems of indigenous ethnic
groups of the North.
Academic study of Yakutia: first steps
The potential of the academic sector in the
region was being formed gradually, but with the
transition from traditional society to an industrialurban one the process became more active. This
transition meant a shift of the center of gravity of
the economic, geopolitical and social development
of Russia in the direction of the eastern regions.
Leading scientists of Russia clearly understood
that the socio-economic development of the
state at large depends on how quickly large areas
and the Urals will develop. The statement of
M.V. Lomonosov that “... the Russian power will
grow due to Siberia and Northern Ocean...” was
truly prophetic.
A systematic study of Siberia was initiated
by the 1st and the 2nd Kamchatka expeditions of
the Russian Academy of Sciences. The First one
was organized under the leadership of V. Bering
*
1
in 1724, the second one led by the academicians
G.F. Miller and I.G. Gmelin was called the
Great Northern Expedition and lasted from
1733 to 1743. Their distinguishing feature was
a comprehensive study of natural resources, the
wide geographic coverage and diversity of goals
set. Expedition units made new maps, described
the mineral wealth, flora and fauna, conducted
ethnographic research (Historical Encyclopedia,
2009: 568-570).
As for the academic study of the North-East
of Russia, it has acquired a systematic feature
with an establishment of a special department
under the Commission for the Study of Natural
Productive Forces (CSNPF) in 1918. The most
extensive action of the Academy of Sciences was
the Yakutia Complex Expedition 1925-1930. Its
activities are extensively described in the special
studies (Ivanov, 1996; Ermolaeva, 2001; Vodichev
Corresponding author E-mail address: nataly.kuper@gmail.com
© Siberian Federal University. All rights reserved
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Natalia A. Kupershtokh. The First Institute for the Humanities of Yakutia
et al, 2005). It was organized by the Commission
for the Study of the Yakutia ASSR established
under the CSNPF.
The initiator of the expedition was one of
the national leaders and founders of the Yakut
statehood M.K. Ammosov (1897-1838). The
biography of Maxim Kirovich Ammosov is full
of vivid and tragic events. The son of a peasant,
while being a student of the Yakut seminary he
joined the circle of “Young Social Democrats”
under the direction of E.M. Yaroslavsky. He
fought for the establishment of Soviet power in
Siberia, took an active part in the creation of
the Komsomol organizations in several Siberian
cities. In April, 1924 as a permanent representative
of the Yakutia ASSR under the Presidium of the
All-Russian Central Executive Committee he
sent a letter to the permanent secretary of the
Academy of Sciences S.F. Oldenburg on the
need to organize an expedition to explore the
natural productive forces of the Yakut Republic
(Vinokurova, 2007). Yakutia became the first
national republic that brought a question for the
Academy of Sciences of the need for the scientific
study of the region. As a chairman of the Council
of People’s Commissars of the Republic in 19251928, M.K. Ammosov fully contributed to the
organization of the expedition.
The need for a comprehensive study of
Yakutia was caused by several factors. Firstly,
Yakutia due to unique climatic conditions,
originality of flora and fauna, rich mineral
resources has always been an attractive target for
research in natural, engineering sciences and the
humanities. Secondly, in terms of industrialization
that began in the country, an objective need to
identify available natural resources and justify
the reasonability of their development occurred.
Thirdly, without study of the productive forces
of the region, it was impossible to develop its
economy and culture. Therefore, the leading
scientists were brought to develop scientific
programs of the expedition, such as S.V. Obruchev,
A.P. Karpinsky, N.I. Vavilov, A.A. Borisyak,
V.Yu. Wiese, L.S. Berg, A.A. Grigoriev,
B.D. Grekov and others.
Specialized units of the expedition made
an invaluable contribution to the study of the
natural resources of the republic. The studies
were conducted in a wide area – from the
southern borders of the republic to the Kolyma,
Verkhoyanie and New Siberian Islands. The
obtained results formed the basis of fundamental
research reports and monographs. It is natural
that the materials of the expedition were used
in determining the prospects for the economic
development of Yakutia and other regions.
The establishment of the Institute
The Yakut complex expedition of the AS
USSR 1925-1930 gave an impetus to the growth
of national intelligence and started the process of
forming a network of scientific and educational
institutions of the republic. The first university
was Yakutsk State Pedagogical Institute founded
in 1934 – an actual “smithy” of personnel for
the young republic. The first National Research
University was the Scientific Research Institute
for Language and Culture of the Council of
People’s Commissars of the Yakutia ASSR,
founded in 1935. The initiator of its creation was
a prominent statesman and a public figure, writer
and linguist, P.A. Oyunsky (1893-1939) (Oyunsky
P.A., 2003).
Platon Alekseevich Oyunsky (Sleptsov)
knew M.K. Ammosov from revolutionary
activity – they created together the Union of
laborers-Yakuts in 1917. After studying in Tomsk
Teachers’ Institute P.A. Oyunsky combined a
political activity with a literary work. In 1931
he took up the postgraduate program of the
Institute of Nationalities under the USSR Central
Committee and graduated it with thesis for the
degree of candidate of linguistics. The thesis
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Natalia A. Kupershtokh. The First Institute for the Humanities of Yakutia
titled “The Yakut language and ways of its
development” was published as an introduction
to the “Russian-Yakut terms and spelling
dictionary” compiled with the participation of
S.P. Kharitonov and G.S. Tarskoy (M., 1935).
In 1934, Platon Alekseevich was elected as a
chairman of the Yakutsk Branch of the Union of
Soviet Writers.
In the summer of 1935 P.A. Oyunsky
presented a report on the need to create the first
research institute in Yakutia as a prerequisite
for the development of national culture. The
idea was supported at a meeting of the Yakut
regional Communist Party Committee, and soon,
in September 17, 1935, The Council of People’s
Commissars of the Yakut ASSR passed a
resolution to establish the first research institute in
the republic under the leadership of P.A. Oyunsky.
Initially three sections were organized in the
Institute: Language and Literature (D.K. Sivtsev),
Literature and Art (N.M. Zabolotsky), Education
and History (S.N. Donskoy Jr.)1.
During his directorship in the 1935-1937,
P.A. Oyunsky began to create a team of employees,
define the main directions of research, and solve
issues of material and financial support of the
Institute. Through the efforts of P.A. Oyunsky,
they managed to retain a substantial body of
historical legends, songs and other types of
folklore. He recreated the heroic epos – olonkho
that had a huge impact on the emergence and
development of literature and has now become a
part of the world culture.
The Institute was focused on the organization
of basic research. Staff began work on many
problems of the Humanities and began to form
the scientific concept of the linguistic, cultural
and historical development of the Yakut people.
G.V. Ksenofontov published works on the origin
of the Yakuts, N.M. Zabolotsky published “Essays
on the History of the Yakut culture”, S.I. Bolo
wrote “The past of the Yakuts before the arrival
of Russians on the Lena”, and the first issue of
the Proceedings of the Institute saw the light
(Oyunsky P.A., 2003: 6-7).
In 1939, with the efforts of the corresponding
member of the Academy of Sciences of the
USSR S.E. Malov and the candidate of philological
sciences E.I. Ubryatova attached from the center,
the translation of Yakut literature from Latin
alphabet to the Russian script was carried out.
The staff of the Institute have developed “Basic
rules of the Yakut spelling” and published a
“Spelling guide of the Yakut language” and the
first textbooks on grammar.
The Institute during the war
and the postwar period (1941-1947)
Since the beginning of the Great Patriotic War
because of limited financial and human Resources,
the Institute was closed and reopened only in 1943.
Soon it was renamed into the Scientific Research
Institute of Language, Literature and History
(SRILLH) of the Yakut ASSR. The director of
the Institute during difficult times of war and
postwar years was Theodore Abramovich Shub
(1907-1957). In 1936, after finishing Leningrad
State University and postgraduate program in
Leningrad, the young scientist came to Yakutia
and worked in the Yakutsk Pedagogical Institute.
In 1941 he defended his thesis for the degree of
candidate of philological sciences, and soon
received the title of the Associate Professor of
Russian Language and General Linguistics.
In 1943, T.A. Shub was appointed as a
director of the Institute. The staff consisted
of ten people, including two scientists with
PhD. In terms of lack of personnel, the director
drawn to work part-time employees who were
skilled researchers of Yakutia from Moscow,
Leningrad and Irkutsk. An extensive network
of correspondents (more than 60 people) was
established to collect material throughout
Yakutia. In two years, the Institute organized
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Natalia A. Kupershtokh. The First Institute for the Humanities of Yakutia
seven folklore and folklore-ethnographic
expeditions. During these years, the Lena
historical archaeological expedition also
conducted its work. Scientists from central
institutions of the country provided tangible
assistance in the organization of research that
helped the Institute to establish cooperation with
the central institutes for the Humanities and
institutes of the national republics and regions.
In 1943-1947 under the supervision of the
director T.A. Shub, some major works were
published: “The social system of the Yakuts
XVII-XVIII centuries” by S.A. Tokarev, “Essays
on the history of the study of the Yakut language”
by E.I. Ubryatova, “Distant past of Yakutia”
and “Lena’s antiquity” by A.P. Okladnikov and
others. The efforts of Theodore Abramovich were
focused on studying the language and folklore of
the Russian old residents (Scientists-researchers,
2005: 11-12). His research were based on the
results of the expeditions to the north of Yakutia
that were led by himself. After his return to
Leningrad T.A. Shub published several works on
Russian old residents of Indigirka.
Development of the Institute
in the AS USSR (1947-1991)
The entry of the SRILLH into the system
of the Academy of Sciences of the USSR (1947)
contributed to the institutional strengthening
and expanding the range of studies on important
issues of history, language, literature, folklore
and art of the peoples of Yakutia. At the same
time the academic status meant that the Institute
had new tasks that the staff solved under its new
director – Afanasy Innokentievich Novgorodov
(1902-1983). A graduate of the Institute of Red
Professors (1933), he actively participated in
the state and party building of the republic, in
1937-1939 he led the Yakutsk State Pedagogical
Institute, and in 1941 he defended his thesis for
the degree of PhD.
In 1947, A.I. Novgorodov was appointed
as a Deputy Director for Scientific Work of the
Yakutsk Research Base of the AS USSR and at
the same time as a the director of SRILLH. Under
his leadership, the Institute began studying
the history of the 1917 Revolution and the
Civil War, the formation of the Yakut ASSR,
preparing to write a five-volume “History of
Yakutia”. Later A.I. Novgorodov worked as the
Vice-President of the Yakutsk Branch of the
USSR AS, defended PhD thesis and became a
professor, end taught at Moscow universities
(Kazarian, 2003).
An extended period of history of the Institute
(14 years) is associated with the name of Zakhar
Vasilievich Gogolev (1911-1974), an expert in the
history of Yakutia and Siberia. Born in Yakutia
in 1940, he graduated from the Moscow Institute
of History, Philosophy and Literature and took up
a postgraduate program at this university, but his
studies were interrupted by the war. He served
in the Soviet army until 1948, and only after
that Z.V. Gogolev was able to return to scientific
work and to defense his thesis for the degree of
Candidate of Historical Sciences at the Kiev State
University. The defense of the doctoral thesis
took place in 1972.
In 1949, Z.V. Gogolev was appointed as a
director of the Institute of Language, Literature
and History (ILLH) of the Yakut Branch of the
USSR AS. He reorganized the institute and adopted
the structure of four sectors: language, history,
literature and folklore. Considerable efforts were
directed to the strengthening of workforce. In
1949, eight scientists worked in the team, but in
1963 – 32 people, including one doctor and 10
candidates of sciences (Scientists-researchers,
2005: 15). The range of problems of research
significantly increased. Particular attention was
paid to the preparation of general works such as
“History of the Yakut ASSR” in 3 vols. A wide
range of topics was studied in the monographs
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of F.G. Safronov “Peasant colonization of the
Lena and Ilim basins in the XVII century” and
“Russian peasants in Yakutia”, the monographs
of other researchers.
In the early 1950s with the arrival of
professional literary experts to the institute:
G.M. Vasilyev, G.K. Boeskorov, N.P. Kanaev,
the development of scientific approaches to
study the history of Yakut literature that were
implemented in the preparation of the “Essays
on the History of Yakyt literature”. Fundamental
studies of the Yakut language were carried out by
E.I. Ubryatova and L.N. Kharitonov, a series of
dictionaries was prepared by P.P. Barashkov. The
opening of postgraduate study in the Yakutsk
Branch of the USSR AS gave an opportunity to
train linguists, among whom were N.K. Antonov,
N.E. Petrov, M.S. Voronkin, E.I. Korkina.
A result of working on major publications was
the qualifying staff development. One of the first
scientists who prepared a doctoral dissertation on
the history of agrarian relations in Yakutia until
the middle of the XIX century was G.P. Basharin
(1950). The results of research of staff in the
1950s were published in “Scientific Notes”, and
later in the works of the ILLH. According to
current estimates, the first attempts at systematic
coverage of the historical and cultural ways of
the peoples of Yakutia were generally successful,
but in light of individual events in the history
of society and the history of literature it was
impossible to avoid the disadvantages of classparty approach (Academic Science, 2009: 12).
Since 1963, the Institute was led by
Eudokia Innokentievna Korkina (1917-2009) for
two decades. She was a specialist in the Yakut
grammar, dialectology and lexicography. A
graduate of Yakut Pedagogical Institute, she
gained experience in the republican government.
In 1960 she defended a thesis, and ten years later –
her thesis for the degree of Doctor of Philology.
During her directorship the Institute developed
quantitatively and qualitatively. In 1984, the staff
consisted of 107 people, including 67 researchers,
among them were three doctors and 45 candidates
of sciences. There were changes in the structure
of the Institute: the Department of Philology
created from five sectors, the Department of
History established from four sectors, and the
Archaeology Laboratory (Scientists-researchers,
2010: 14).
The Institute continued the in-depth study of
topical issues of language, literature and history
of peoples of Yakutia, conducting comprehensive
annual expeditions. The Institute acted as
the organizer of several major conferences,
with participation of scientists from Moscow,
Novosibirsk, different countries of Europe and
Asia.
In the 1960s-the first half of the 1980s by
the efforts of linguists and literary experts,
some major general works were published: a
series of dictionaries, textbooks, “Grammar of
Contemporary Yakut language. Phonetics and
morphology”, “Yakut tales” in 2 vols., “Yakut folk
songs” in 4 parts, “Essay on the Yakut folklore”,
a new version of “Essays on the history of Yakut
Soviet literature” and other publications. Studies
of the Yakut language were conducted by the
eminent specialists: I.E. Alekseev, M.P. Alekseev,
N.K. Antonov, P.S. Afanasyev, P.P. Barashkov,
M.S. Voronkin, N.S. Grigoryev, S.A. Ivanov,
E.I. Korkina, A.G. Nelunov, A.N. Myreeva,
N.E. Petrov, G.V. Popov, V.A. Robbek,
A.V. Romanova, P.A. Sleptsov, E.I. Ubryatova,
L.N. Kharitonov, etc. Problems of Yakut literature
were studied by: A.A. Bilyukin, G.K. Boeskorov,
G.M. Vasiliev, D.E. Vasiliev, N.P. Kanayev,
V.T. Petrov, V.A. Semenov, G.S. Syromyatnikov,
N.N. Toburokov etc.
Research interests of historians greatly
expanded due to the preparation of major
monographs. The contribution of Yakutia in the
Great Patriotic War was summarized, the study of
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the history of a unique area in various stages of its
development continued. “Materials on the history
of Yakutia in the XVII century (Documents of
the tribute-paying duty)” in 3 parts, “Yakut
ASSR in the period of developed socialism
(Historical Overview)” and other works were
published. The Lena archaeological expedition
led by Yu.A. Mochanov discovered previously
unknown cultures pertaining to the Paleolithic,
Neolithic, early Iron Age. The Institute formed a
group of scholars and historians: K.I. Gorokhov,
V.N. Ivanov, V.F. Ivanov, R.K. Korobtsova
(Litvinova), S.I. Nikolaev, A.S. Parnikova,
D.D. Petrov, P.U. Petrov, F.G. Safronov,
P.S. Sofroneev, M.M. Fedorov, M.M. Khatylaev,
R.V. Shelekhova, D.A. Shirina, etc.
A notable contribution to historical
ethnography was made by N.A. Alekseev,
F.M. Zykov, I.V. Konstantinov, P.A. Sleptsov.
Sociological studies were conducted by
I.A. Argunov, N.V. Vasiliev, U.A. Vinokurov,
R.A. Kuzmina, V.S. Pavlov, B.N. Popov. Together
they studied religious beliefs, cultural traditions,
changes in the society and the family of northern
indigenous peoples under the influence of
urbanization.
In 1985 for merits in development of
philological and historical sciences, the Institute
was awarded with the Diploma of the Presidium
of the Supreme Soviet of the RSFSR. It was the
recognition of scientific achievements of the
Institute staff headed by Professor E.I. Korkina,
which contributed greatly to the development
of science and culture of the peoples of the
North-East of the country (Academic Science,
2009: 119).
In 1984, the Institute of Language, Literature
and History of the USSR Academy of Sciences
was headed by Doctor of Historical Sciences,
Professor Vasiliy Nikolaevich Ivanov (b. 1935),
a specialist in the history and historiography of
the North-East Asia. After graduating from the
Moscow Historical-Archival Institute (1957)
he worked in archival institutions of Yakutia.
During the postgraduate training at Yakutsk
State University he prepared a candidate’s thesis
that he successfully defended in 1966. Doctoral
thesis was defended in 1983.
Under the direction of V.N. Ivanov the
Institute continued to work on basic scientific
directions and reached the maximum number
of employees. In 1988 it employed 123 people.
Among whom 82 researchers are, included
7 doctors and 49 candidates2. Growth of highly
qualified personnel was carried out by the work
of two specialized councils of the Institute.
Structural changes have affected the departments
of ethno-sociology and linguistics.
The division
of the Institute in the 1990s
Political events in the country in the early
1990s affected the fate of the oldest academic
institute in Yakutia. The rapid process of
sovereignty split the scientific community: some
advocated to remain in the system of the Russian
Academy of Sciences and others – to pass to the
Academy of Sciences of the Republic. To save
the potential of the Humanities accumulated by
the Siberian Branch of RAS in Yakutia, with the
support of the SB RAS Chairman, Academician
V.A. Koptyug a new institute was established in
1992 – the Institute of the Indigenous Peoples of
the North (IIPN), of SB RAS. Its basis was the
sector of Northern Philology of the ILLH SB RAS
and the Department of the Institute of economics
of integrated development of natural resources of
the North, SB RAS.
IIPN’s permanent director from 1992 to 2008
was Doctor of Philology Vasiliy Afanasievich
Robbek (1937-2010). After graduating from the
Leningrad Pedagogical Institute named after
A.I. Herzen (1966), he taught in the schools of
Yakutia, finished postgraduate studies at the
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ILLH, in 1974 he defended his thesis for the
degree of Candidate of Philology. The degree
of Doctor of Philological Sciences was awarded
according to jointly published work in 1992.
Under his leadership, the Institute staff focused
on the implementation of projects: “Monuments
of folklore of the peoples of Siberia and the Far
East”, “Grammars and dictionaries of languages
of the North”, “Ethnic culture and mentality of
the peoples of the North”, “Indigenous Peoples of
the North: ethnogenesis and history”, “Modern
social and economic development issues of
indigenous peoples”.
In the mid-1990s IIPN staff consisted of 86
people, including 47 researchers, among whom
there were three doctors and 18 candidates.
The department of northern philology was
established at the Yakutsk State University that
aimed to prepare the staff for the Institute. The
structure of the Institute consisted of five sectors:
the Even, Evenk, Paleo-Asiatic Philology, The
sector of Socio-EconomicResearch, and the
sector of History, Archeology and Ethnography
(Kupershtokh, 2006: 333-334).
The IIPN employees made a great contribution
to the study of languages, folklore, ethnography
and history of the Evens, Evenks and Yukagirs.
Under the framework of the project preparation and
publication of the 60-volume series “Monuments
of folklore of the peoples of Siberia and the Far
East” the team of IIPN prepared three volumes:
“Folklore of the Dolgans”, “Folklore of the
Yukagirs”, “Ritual and folk songs of the Evenks”.
This project was awarded in 2002 witch the State
Prize of the Russian Federation in science and
technology. Among the winners is a researcher of
the Institute A.N. Myreeva. A research program
to study the indigenous peoples of the North
was intensified. For the first time in the practice
of RAS, the work on major dictionaries of the
Yukaghir, Evenk, Even languages composed by
native speakers was completed.
With the establishment of the Academy
of Sciences of the Sakha Republic (Yakutia) in
1993, the Institute of Language, Literature and
History of SB RAS became a part of it, and in
1995 it was renamed into the Institute for the
Humanities Research – IHR AS SR(Ya) headed by
V.N. Ivanov. In his view, the change in status had
a positive impact on the activities of the Institute:
it became more independent leaving the scientific
and methodological guidance of the Siberian
institutions (SB RAS – N.K.) (Ivanov, 2005: 694).
But time has shown that it is not true.
The powerful potential accumulated earlier
allowed IHR to conduct research on a high
scientific level. In the system of the Academy of
Sciences of Sakha Republic (Yakutia) the Institute
focused on the study of history of Yakutia as a
phenomenon of the Arctic civilization, history of
Arctic exploration, nation-building, ethno-social
development. The historians were given the task
of preparing a new history of Yakutia from the
standpoint of modern approaches to historical
events and phenomena. A great work on the
rehabilitation of famous artists, public figures,
especially M.K. Ammosov and P.A. Oyunsky
was carried out.
The Institute prepared a 36-volume series
“History, culture, folklore of uluses and cities
of the Sakha Republic (Yakutia)” – a kind of
encyclopedia of Yakutia. The staff began to
create a “Historical and cultural atlas of Yakutia”
and the first edition of the All-Russia series
“National holidays of the peoples of the Russian
Federation”. Folklorists published four volumes
of the 60-volume series “Monuments of folklore
of Siberia and the Far East” and put in a scientific
use a considerable amount of the new folk material
with broad coverage options. Several major works
on the folklore of Russian old residents of Yakutia
saw the light. Literary scholars published essays
on “Literature of Yakutia at the present stage”,
focused on folklore and visual media of Yakut
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poetry against the background of the samples
of world literature, problems of the national and
the universal in the Yakut literature, typology of
multinational novel (Ivanov, 2005: 695-698).
The reunion of the Institute
In 2007, the separate existence of two
Institutes for the Humanities in Yakutsk was
considered unwise. The Government of the
Sakha Republic (Yakutia) handed the Institute for
the Humanities Research, Academy of Sciences
of Sakha Republic (Yakutia) to the SB RAS. By
the decision of the RAS made on December 18,
2007 IHR united with IIPN into one institute –
the Institute for Humanities Research and the
Institute of Indigenous Peoples of the North,
SB RAS. Doctor of Historical Sciences Nikolay
Alekseevich Alexeev (1938-2010) was appointed
as its director.
After graduating from Leningrad State
University (1959) and postgraduate studies of
the Institute of Ethnography of the AS USSR,
he defended his thesis for a candidate (1967)
and Doctor of Historical Sciences (1988). While
working in ILLH he became an expert in the
field of ethnography, folklore and religion. The
long life of the N.A. Alexeev is associated with
the Novosibirsk Institute of Philology of the SB
RAS, where he took an active part in the project
“Monuments of folklore of Siberia and the Far
East”, becoming the winner of State Prize of the
Russian Federation in Science and Technology in
2002 (Scientists-researchers, 2010: 23).
In 2008, the research areas of the IHR&IIPN
were defined: integrated development of language,
ethnicity, culture and history of the peoples of the
North-East of Russia. The most important goal of
the research held in the Institute is the preservation
and development of the national (ethnic) identity
and cultural heritage of indigenous peoples of
Yakutia, identifying regional features of local
and world transformations (Alekseev, 2010: 7-8).
Following the merging of the two staff,
IHR&IIPN became one of Russia’s largest
academic research institutes for the humanities:
total number of employees was 192 people.
Among whom 118 researchers included 18 doctors
and 63 candidates of sciences. The structure
of the institute consisted of 12 sectors led by
N.A. Alekseev, A.A. Borisov, S.I. Boyakova,
G.I. Valaamova, N.I. Danilova, N.I. Ivanova,
V.B. Ignatieva, V.D. Monastyrev, P.E. Prokopyeva,
V.A. Robbek, E.N. Romanova, L.N. Romanova.
The cultural center of the city is the Museum of
History of Academic Science of Yakutia named
after G.P. Basharin operating under the Institute
(Academic Science, 2009: 204).
The Institute for the first time in
Russian academic science raised the issue of
preservation and revitalization of endangered
peoples of the North, organizing research
to develop the fundamental scientific basis
for social and economic development of the
North today. By the efforts of staff of the
Institute under the supervision of Professor
N.A. Alekseev for the first time in Russia “The
Concept of Indigenous Peoples of the Russian
Federation in the twenty-first century” was
presented. It became the basis for the “State
Target Program of Economic and Social
Development of Indigenous Peoples of the
North until 2011” (Flagman, 2010). In less
than three years N.A. Alexeev has made a
great contribution to the academic institution,
the development of fundamental scientific
activities of the institute and the strengthening
of its material-technical base.
In 2011, Doctor of Sciences in History,
Professor Anatoly Nikolaevich Alekseev (b.
1946), a specialist in the field of archeology, was
elected as the Director of the IHR&IIPN. After
graduating from Yakutsk State University and
the Postgraduate School, defense of Ph.D. (1981)
and doctorate (1994) thesis, he made a great
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contribution to the training of Yakutia’s personnel
as head of the Department of History of Russia
and the rector of YaSU. Now, in addition to the
duties of the Director of the IHR&IIPN, he leads
an interdisciplinary laboratory “The evolution of
a man and nature in the North” funded within the
framework of North-Eastern Federal University
named after M.K. Ammosov (Elected for the first
time, 2011).
Conclusions
In the 75-year history the first Institute for
the Humanities of Yakutia reached a qualitatively
new level of development in all respects of its
activity. Among the major achievements of recent
years there are general works on the history of
not only the Republic of Sakha (Yakutia), but the
1
2
whole northern Asia, ethnic and social history
of the indigenous peoples of Yakutia, Yakut
literary language development, documentation
and recording of endangered languages of the
indigenous peoples.
At present, specialists of the Institute focus
on promising new areas of fundamental and
applied science. Thus, one of the most important
tasks of the Institute is to preserve and develop
national identity and cultural heritage of the
indigenous peoples of Yakutia. The personnel
potential of the Institute is one of the largest
among academic institutions for the humanities in
Russia. Availability of highly qualified personnel
allows IHR&IIPN SB RAS to participate not
only in Russian, but also in large international
projects.
Archive of the YaSC SB RAS. Backlog 5. List 5. File 1. S. 4.
Calculated according to the Personnel Department of the Presidium of the SB RAS.
References
Академическая наука в Якутии [Academic Science in Yakutia] (1949-2009 гг.) / Гл. ред.
А.Ф. Сафронов, отв. ред. В.В. Шепелёв [A.F. Safronov, V.V. Shepelev]. Новосибирск: Академич.
изд-во «Гео», 2009. 220 с.
Алексеев Н.А. [N.A. Alexeev] ИГИиПМНС: этапы истории и перспективы развития //
Северо-Восточный гуманитарный вестник. 2010. № 1.
Винокурова Л.Е. [L.E. Vinokurova] М.К. Аммосов и общественно-политические события в
Якутии (1920–1928 гг.). Якутск: Изд-во ЯНЦ СО РАН, 2007. 192 с.
Водичев Е.Г., Куперштох Н.А., Ламин В.А. [E.G. Vodichev, N.A. Kupershtokh, V.A. Lamin]
Якутская экспедиция АН СССР и исследование производительных сил на северо-востоке России
// Гуманитарные науки в Сибири. Сер. Отечественная история. Новосибирск, 2005. № 2. С.63–67.
Ермолаева Ю.Н. [Yu.N. Ermolaeva] Якутская комплексная экспедиция 1925–1930 гг.:
Развитие науки в Якутии. Новосибирск: Наука, 2001. 165 с.
Иванов В.Н. [V.N. Ivanov] Историческое значение деятельности экспедиции АН СССР по
изучению производительных сил Якутской СССР // Итоги и развитие исследований Якутской
экспедиции Академии наук. Материалы науч. конф., посвящ. Якутской комплексной экспедиции
Академии наук СССР. Якутск: ЯНЦ СО РАН, 1996. С. 14–20.
Иванов В.Н. [V.N. Ivanov] Северо–Восток Азии в контексте российской истории. Сб. науч.
статей. Якутск, 2005. 832 с.
Избраны впервые // Наука в Сибири. 2011. № 18.
Историческая энциклопедия Сибири: в 3 т. / Гл. ред. В.А. Ламин. Т. 3. С–Я. Новосибирск,
2009. 784 с.
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Казарян П.Л. [P.L. Kazarian] Один из первых организаторов академической науки в Якутии
// Наука и техника в Якутии. 2003. № 2(5). С. 82–85.
Куперштох Н.А. [N.A. Kupershtokh] Научные центры Сибирского отделения
РАН. Новосибирск: Академическое изд-во «Гео», 2006. 441 с.
Ойунский П.А. – директор научно-исследовательского института языка и культуры при
СНК ЯА СССР (1935–1937 гг.) [Oyunsky P.A.]. Сборник документов/ Отв. ред. В.Н. Иванов.
Якутск: ЯФ изд-ва СО РАН, 2003. 166 с.
Ученые-исследователи [Scientists-researchers] Института гуманитарных исследований
Академии наук РС(Я). Биобиблиографический справочник / Отв. ред. В.Н. Иванов. Якутск,
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List of abbreviations
AS SA(Ya)
AS USSR
CPSU
ARCEC
IHR
IHR&IPN
ILLH
IIPN
SRI
SRILLH
RI
RAS
SR(Ya)
CPC
SB AS USSR
SB RAS
CEC
YaASSR
YaSU
YaSC SB RAS
Academy of Sciences of the Sakha Republic (Yakutia)
Academy of Sciences of the Union of Soviet Socialist Republics
The Communist Party of the Soviet Union
All-Russian Central Executive Committee
Institute for the Humanities Research
Institute for the Humanities Research and the Indigenous Peoples of the
North
Institute of Language, Literature and History
Institute of the Indigenous Peoples of the North
Scientific Research Institute
Scientific Research Institute of Language, Literature and History
Research Institution
Russian Academy of Sciences
Sakha Republic (Yakutia)
Council of People's Commissars
Siberian Branch of the Academy of Sciences of the USSR
Siberian Branch of RAS
Central Executive Committee
Yakutia Autonomous Soviet Socialist Republic
Yakutsk State University
Yakutsk Scientific Center SB RAS
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Natalia A. Kupershtokh. The First Institute for the Humanities of Yakutia
Первый гуманитарный институт Якутии
Н.А. Куперштох
Институт истории СО РАН
630090 Россия, Новосибирск, ул. Николаева, 8
Институт гуманитарных исследований и проблем малочисленных народов Севера
(ИГИиПМНС) Сибирского отделения РАН относится к старейшим академическим
учреждениям Сибири. За более чем 75-летнюю историю он превратился в ведущий центр
страны по комплексному изучению истории, языка и литературы уникальных этносов,
населяющих Северо-Восток России.
Ключевые слова: Якутская комплексная экспедиция АН СССР, первый гуманитарный институт
Якутии, малочисленные народы Севера, проблемы исследований коренных этносов Севера.
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Journal of Siberian Federal University. Humanities & Social Sciences 3 (2012 5) 335-339
~~~
УДК 343.131.8
Erroneous Detention as a Type
of Fundamental Mistake in Criminal Procedure
Alexander D. Nazarov* and Sergei A. Drobyshevsky
Siberian Federal University
79 Svobodny, Krasnoyarsk, 660041 Russia 1
Received 29.10.2011, received in revised form 15.11.2011, accepted 02.12.2011
The article considers one of the types of fundamental mistake – erroneous detention of the suspect or
the accused. The article proposes the legal mechanism of avoidance of such mistakes in the criminal
procedure.
Keywords: fundamental mistake, detention, matter of law, matter of fact, evidence.
Point
By analogy with the concept of fundamental
violations of criminal procedure, it is possible to
define the notion of fundamental mistake in the
criminal procedure.
In our opinion, fundamental mistake is
presented in the following cases:
1. Officials conducting a pre-trial
investigation and court examination of the
criminal case do not identify the use of illegal
and unallowed violence (first of all, torture
and physical violence) by law-enforcement
officers (first of all, operative officers of
‘enforcement agencies’) against suspects and
the accused to obtain confession testimony
from them;
2. Officials conducting a pre-trial investigation
and court examination of the criminal case do not
identify the use of provocation to commitment
the crimes by law-enforcement officers (first of
all, operative officers of ‘enforcement agencies’)
against suspects;
*
1
3. Officials conducting a pre-trial
investigation and court examination make errors
in gathering, examining and assessing evidence
of the criminal case, with the result that the
suspect or the accused are illegally detained,
illegally kept in custody, illegally sentenced to
real imprisonment;
4. Officials conducting a pre-trial
investigation and court examination of the
criminal case incorrectly apply substantive
law, first of all, there is incorrect qualification
of committed act (‘legal classification with the
surplus’, ‘excessive qualification’) with the result
that the suspect or the accused are illegally
detained, illegally kept in custody, illegally
sentenced to real imprisonment.
Example
During solving the issues concerning the
detention of the suspect or the accused and the
prolongation of the detention, it is important for
a court (Sviridov, 2001; Boikov, 2002; Barabash,
Corresponding author E-mail address: anazarov61@mail.ru
© Siberian Federal University. All rights reserved
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2009),1 prosecutor, head of the investigative
body or inquiry unit to avoid mistakes, detect
and correct in time erroneous intentions of an
enquirer or an investigator that are aroused
as a result of various reasons (an accusatory
tendency in criminal investigation, an urge to
avert any negative consequences coming from
unpredictable behavior of a suspect or the accused,
etc.) and entail decisions about the detention of a
person under investigation or prolongation of his
detention.
Therefore there is the need to impose
additional procedural guarantees concerning
court decisions that are related to a detention of
a suspect or the accused and prolongation of his
denention.
Our researches indicate that due to various
reasons it is harder for a judge to acquit a person
or to award a sentence that is not connected to
imprisonment against the defendant who is kept
in custody.
At the same time, it is harder for a judge to
make an individual decision to impose against a
suspect or the accused a less severe measure of
restraint than detention, because if the accused
escapes from prosecution and trial, commits new
crimes, influences other persons who are involved
in a criminal case, a judge will connect these
negative consequences of the “human” decision
with own mistakes and errors.
In our opinion, the current model of
arrest during solving the issue of detention
or prolongation of detention should take into
account the need for a court to examine not only
the matter of law (formal basis for making the
mentioned decisions), but also the matter of fact
that is the presence of a minimum set of evidence
of alleged suspicion or accusation.
Scientists in criminal procedure argue that
there a priori must be substantial and legal grounds
for detention. ‘In order to avoid a mistake, a judge
should be sure that the guilt of a person brought
by investigation authorities is proven at least
for one episode, there are necessary evidence
in criminal case, and investigation authorities
will not lose the evidence.’ (Judicial control in
criminal procedure. 2009. P. 390).
The need to verify the availability of evidence
that confirms the occurrence of the certain type
of crime and implication of a suspect or the
accused in the crime is emphasized by Yu.K.
Yakimovich, N.V. Bulanova, A.B. Soloviov, M.E.
Tokareva, M.V. Parfenova and other scientists
in criminal procedure. Of course all of them
understand that during the consideration of issues
about detention, its prolongation and question of
personal guilty in alleged act it is necessary to
take into account difference in requirements of
proof of circumstances in the criminal case in its
different stages (Bulanova, 2005; Solovyov et al.,
2006; Yakimovich, 2006; Solovyov, Tokareva,
2008).
The reasons of importance of the matter
of fact for the judicial decision: as a basis for
the repressive decision, a judge willy-nilly
refers to the legal qualification of the act that
is alleged to a suspect or the accused and gives
particular attention to its gravity or high gravity.
However, such situations as the ‘excess of legal
qualification of the act’ or ‘legal qualification
with the surplus’ are known to the theory and
practice of criminal procedure (Nazarov, 2003.
P. 112).2
There are two reasons why investigators and
enquirers use the “excessive legal qualification”:
– to avoid a ‘bad indication’ of their work,
i.e. not to receive back a criminal case
from a judge in accordance with article
237 of the Russian Code of Criminal
Procedure. Indeed, if an investigator or an
enquirer provides the ‘legal qualification
with the surplus’, then the court, without
returning a criminal case to a prosecutor,
will be able to make a shift from a ‘severe’
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legal qualification to the ‘softer’ legal
qualification, but never vice-versa;
– with the knowledge of established judicial
practice, to obtain a court sanction for
detention and its prolongation without
any doubt. Indeed, in the most number
of cases the conditions of isolation make
the accused resigned, controllable and
convenient, eliminate unwanted risks for
the career development of investigator
or enquirer (in case the accused escapes,
commits a new crime, starts to impede the
investigation, etc.), and forges an alliance
between the accused and operative
officers.
Therefore, it is necessary to prescribe
in legislation that when a judge is making a
decision about detention or its prolongation the
court should examine either all copies of case
file materials presented to court, or the criminal
case file itself. Furthermore, while the court is
examining evidence that are available in the case,
the court should verify the legality and validity
of the suspicion or accusation with respect to
both legal qualification of a committed act and its
evidentiary basis.
Such actions of the court during the
discussion of the questions related to the
authorization of an arrest of a suspect or the
accused or the prolongation of the term of their
detention are even more appropriate in the light
of article 125 of the Russian Code of Criminal
Procedure that empowers the court to take
decisions on the complaints of interested parties
about the legality and validity of an accusation
made against the person.
Unfortunately, as O.I. Andreeva figuratively
said, imperfection of criminal procedure
legislation allows ‘in some cases to exercise
authority without any control,’ and unwillingness
of government body officials to accept a concept
of recognition of human rights and freedoms as
the supreme value ‘leads to the perception of the
need to secure human rights and freedoms as an
obstacle in crime suppression activity’ (Andreeva,
2004. P. 66).
Resume
In our opinion, in order to improve the
current pattern of detention of a suspect or the
accused and to avoid mistakes of fundamental
character made by investigators, prosecutors and
judges, the following legislative amendments
should be endorsed:
1) While adopting legislative bases for using a
restrictive measure in the form of detention against
a suspect or the accused and for prolongation of
the term of their detention, legislators should
emphasize that it is mandatory to submit evidence
to a court, but not unsubstantiated assumptions
that a suspect or the accused, being at large, has
intentions to escape from prosecution and trial,
commit new crimes, start to impede investigation
by destroying material evidence, putting influence
on victims and witnesses, etc.
The evidence of these intentions could be
the data from special records of ‘enforcement’
agencies concerning previous convictions of
the person, his escapes from custody, etc.;
statements of witnesses (cellmates and others)
about intentions of a person under investigation
to escape from prosecution and trial, commit new
crimes, put influence on witnesses, etc.; properly
documented results of operational search
activities that are presented to investigators and
court as evidence of the criminal intentions of a
suspect or the accused along with other evidence;
etc.
It is reasonable to agree with the opinion of
Z.D. Enikeev, A.B. Soloviov, M.E. Tokareva that
the grounds for the use of restrictive measures
determined by the criminal procedure law have
‘evidential and predicting’ character that gives an
opportunity to come to the superficial conclusion
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about the further behavior of a suspect or the
accused, but in any case there are still evidence
(Evikeev, 1982. P. 8; Solovyov, Tokareva, 2006.
P. 237).
The need to prove the availability of the
grounds for the use of restrictive measures in a
criminal case follows from article 7, paragraph
4 of the Russian Code of Criminal Procedure
that stipulates that any judicial decision and
order of a judge, prosecutor, investigator
or enquirer, including an act authorizing a
restrictive measure, should be legal, wellgrounded and reasonable. It means that it
should be based on the evidence gathered in
a criminal case (Lupinskaya, 2006; Solovyov,
Tokareva, 2008).
2) It should be adopted in legislation that
the person who has committed a crime for the
1
2
first time should be subjected to the house arrest,
release on bail, and other less severe restrictive
measures.
Detention can be applied to such an individual
only in case of his violation of the conditions of
above-mentioned restrictive measures and his
commitment of certain grave and high grave
crimes against a person or involving the use of
violence against a person, if there would be the
evidence that this individual has intentions to
escape from prosecution and trial, commit acts
that could impede ascertainment of the truth in a
criminal case and commit new crimes.
The adoption of this procedure that is
formal to some extent, would contribute to the
development of more progressive and human
practice of the use of house arrest and release on
bail.
International legal standards of justice administration and norms of national legislation, fi rst of all, the Constitution of the
Russian Federation, make us take into account that judicial control of pre-trial stages of criminal proceedings has become
a reality nowadays. But the scientists opinion about the controversial nature of judicial control (A.K. Sviridov), confusion
of procedural functions of investigation and criminal trial (A.D. Boikov), and that the establishment of the united investigative committee ‘would put all governmental bodies in their proper places: court without intervention in the activity of
the organs conducting pre-trial investigation, would be absolutely free in the administration of justice; prosecutor without
the function of procedural management would be an objective supervision body, and consequently, there would be no
need to discuss a proposal to introduce a new procedural agent – an investigating judge…, because in fact all suggested
authority are the overseeing authority of the prosecutor,’ (A.S. Barabash) are worth considering. Moreover, experience of
the soviet criminal procedure when aprosecutor, not a judge, approved an arrest, a search etc., carried out comprehensive
supervision of the pre-trial investigation of criminal cases, was not negative in every aspect.
According to the data of our analysis that was carried out in the 1990s, ‘legal qualification with the surplus’ in the structure
of investigation errors connected with the violations of substantive law made up 70,9 %. At the present time, according to
the results of our continuous researches of that problem, the situation has not become better.
References
Андреева О.И. [O.I. Andreeva] Соотношение прав и обязанностей государства и личности
в правовом государстве и специфика его проявления в сфере уголовного судопроизводства
(теоретический аспект). – Томск, 2004.
Барабаш А.С. [A.S. Barabash] Публичное начало российского уголовного процесса. – СПб.:
Юрид.центр Пресс, 2009.
Бойков А.Д. [A.D. Boikov] Третья власть в России. Книга вторая – продолжение реформ. –
М.: Юрлитинформ, 2002.
Буланова Н.В. [N.V. Bulanova] Заключение под стражу // Меры процессуального
принуждения в досудебном производстве по уголовным делам / под. ред. М.Е. Токаревой. – М.,
2005. – С.24-30
Еникеев З.Д. [Z.D. Enikeev] Проблемы эффективности мер уголовно-процессуального
пресечения. – Казань, 1982.
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Alexander D. Nazarov and Sergei A. Drobyshevsky. Erroneous Detention as a Type of Fundamental Mistake…
Судебный контроль в уголовном процессе: учеб. пособие / под ред. Н.А.Колоколова. – М.,
2009.
Лупинская П.А. [P.A. Lupinskaya] Решения в уголовном судопроизводстве: теория,
законодательство и практика. – М.: Юрист, 2006.
Назаров А.Д. [A.D. Nazarov] Влияние следственных ошибок на ошибки суда. – СПб.: Юрид.
центр Пресс, 2003.
Соловьев А.Б., Токарева М.Е., Парфенова М.Е. [A.B. Soloviov, M.E. Tokareva, M.E. Parfenova]
Обеспечение законности и обоснованности привлечения в качестве обвиняемого по УПК РФ //
Прокурорская и следственная практика. – 2006. – № 3-4. – С.128-131
Соловьев А.Б., Токарева М.Е. [A.B. Soloviov, M.E. Tokareva] Проблемы совершенствования
общих положений уголовно-процессуального законодательства России (от УПК РСФСР 1960
года к УПК РФ 2001 года). – Ереван., 2008. – С.55-62.
Якимович Ю.К. [Yu.K. Yakimovich] Избранные статьи. Ст. Первоочередные
задачи реформирования уголовно-процессуального законодательства. – Томск: Томский
государственный университет, 2006.
Ошибочное заключение под стражу
как разновидность фундаментальной ошибки
в уголовном судопроизводстве
А.Д. Назаров, С.А. Дробышевский
Сибирский федеральный университет
Россия 660041, Красноярск, пр. Свободный, 79
В статье рассматривается одна из разновидностей фундаментальной ошибки – ошибка
при заключении под стражу подозреваемого, обвиняемого; предлагается правовой механизм
недопущения данных ошибок в уголовном судопроизводстве.
Ключевые слова: фундаментальная ошибка, заключение под стражу, вопрос права, вопрос
факта, доказательства.
Copyright ОАО «ЦКБ «БИБКОМ» & ООО «Aгентство Kнига-Cервис»
Journal of Siberian Federal University. Humanities & Social Sciences 3 (2012 5) 340-346
~~~
УДК 343.985.2
Peculiarities of Underage Witnesses
and Victims Examination Training
Irina A. Zhuravleva and Sergei A. Drobyshevsky*
Siberian Federal University
79 Svobodny, Krasnoyarsk, 660041 Russia 1
Received 29.10.2011, received in revised form 21.11.2011, accepted 14.12.2011
The article covers the peculiarities of informational, tactical, organizational and technical preparation
of underage witnesses and victims before examination.
Keywords: examination training, underage witness, underage victim, investigator, tactical situation,
tactical scheme, tactical option.
Regardless of the person’s age peculiarities
and
procedural
status,
examination
training includes the following elements:
informational, tactical, organizational and
technical. It is worth mentioning that due
to the specificity of underage witnesses and
victims, each of these training elements has
its own features. They are determined by
the peculiarities of the age, the individual
psychology of young people and their attitude
both to the event and to the accused under the
current investigation.
Informational training includes the following
aspects: criminal case review; filling in documents;
evaluation of the case circumstances; characterizing
the person to be examined; in some cases, it also
requires special knowledge of pedagogy and
developmental psychology.
The success of the examination mainly depends
on the amount of information the investigator has
about the person to be questioned. That is why
the centerpiece of the examination arrangement is
*
1
a careful study of the underage personality, more
detailed than that of an adult.
Any information about the person can be of
great help for determining the subject and tactics
of the examination, for framing the examination
plan and also for making and maintaining
psychological contacts, as well as estimating the
evidence.
Underage personality study is aimed, first
of all, at getting any information that would
aid to predict the person’s behaviour during the
examination, namely, if they will testify at all
and if they do, what their evidence will be. The
study starts with an examination training and
continues during taking statements. Principally,
the investigator must have an idea of such
personal characteristics of the young person as
their gender, age, interests, hobbies, character,
temperament and possible mental state during
the questioning.
For conducting underage witness and
victim examination training, it is recommended
Corresponding author E-mail address: lawsfu@mail.ru
© Siberian Federal University. All rights reserved
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to get the following information of primary
importance:
– the living and upbringing conditions of
the non-adult; their occupation, their
circle of contacts and activities they are
engaged in their free time;
– the mentality, communication skills,
interests, hobbies, character (positive and
negative traits) and level of intelligence of
the non-adult;
– the ability to observe, to understand,
to study, the degree of information
awareness (related to the purpose of
coming questioning) of the non-adult;
– the inclination to alcohol or drug
addiction, abominable behaviour of the
non-adult;
– the dominant character traits, emotional
stability, relations with peers and adults
of the non-adult;
– the constitution of the non-adult;
– the psychological state of the non-adult
during the events under investigation;
– the behaviour and activities of the nonadult after the event, the circle of their
contacts at that period;
– the information they gave about the event
under question, if any;
– any discussions of the event done by their
parents and teachers in their presence
(Romanov, 2005).
The sources of such information can be
different: criminal case records, references and
characteristics of different kinds, residential and
educational records.
The information of the living and upbringing
conditions, relations and pastime, orientation
to learning, character traits, etc. can be given
by a district police officer or a juvenile police
inspector.
Related to underage victims, underage
witnesses from the immediate environment of
an offender, and underage witnesses, it is more
important to establish the way they manifest
some certain traits of their character in certain
acts, rather than get general information or
judgment. It is also recommended to discover
the underage’s psyche features, particularities
of his/her affection and volition. A supervising
instructor, a leisure-time activities centre master
or a sport club coach can be definitely objective in
the non-adult’s personality evaluation.
A non-adult’s psychological characteristic
must be mainly based on the information
similar to that of teenagers and senior school
children. Besides, it is necessary to fi nd out the
information about their attendance of children
pre-school institutions (day-care centres), their
behaviour there, their reading and writing
competence, fluency and accuracy in storytelling, imagination, tendency to fabulous
description, attitude to unauthorized adults (intouch capabilities).
The information of child development can
be given not only by the parents, kindergarteners
and teachers but also by school or pre-school
public health care workers.
Tactical skills examination training
includes different stages: establishing the order
of priorities in questioning people, defining the
tactical situation of the examination, predicting
its development, establishing a tactical scheme
related to the tactical situation, selecting the
tactical options and finally, drawing up the
examination plan.
As a rule, conflict-free situation is usual for
most underage witness and victim examinations,
as the tasks and intentions of the investigator and
the person under examination are the same. That
is why the task of the investigator is to establish
and to maintain psychological contact with
the non-adult, to analyze their evidence and to
provide the assistance in refreshing the memory
of the event.
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However, in conflict situations the
investigator’s tasks along with those mentioned
above depend on two factors: first, if some rivalry
occurs, it is necessary to prove the mistakes as to
the fact; while in the case of intense rivalry the
primary task is to impact their negative attitude
psychologically.
Tactical option of an underage victim
and witness examination is determined by the
following age peculiarities:
– less scope of knowledge and experience;
– imperfect processes of perception,
memorizing and reproduction leading
to rapid fatigability and lower ability to
concentrate;
– suggestibility;
– tendency to mix the reality and imaginary
situations;
– higher level of emotional sensitivity,
emotional instability.
The tactical options during witness and
victim examination must be determined by both
their specific evidence formation and natural
difference between preschoolers, juniors,
teenagers and seniors’ psychology. Thus, to find
out a minor in a lie, it is undesirable to use the
techniques of emotional impact as they can affect
child’s psyche, generate negative emotions and
lead to such unfavourable psychological states,
such as tension, confusion, disappointment, anger
and aggression (Prokhorov and Velieva, 2003).
The tactical options used for high school
students’ examination, however, can be the same
as for adults.
During underage witness and victim
examination training it is necessary to think
about the order of questioning. The specific
feature of this point is that as a rule, along
with the non-adult, there are adults involved in
the case, first of all, their relatives, that can be
also questioned and can somehow influence the
teenager. If the investigator has no reason to
suppose their negative influence, it is reasonable
to interview adult witnesses first, as they can also
give some important information about the young
person. Generally, after that the investigator can
be more accurate in defining the subject of nonadult examination and formulating the questions
in regard to the issues under consideration.
If there are reasons to suppose that the adult
influences or tends to influence the non-adult,
the priority is given to questioning the young
person.
If the case involves several underage
witnesses (victims), from the tactical point of view
it is desirable to examine the victims first, then the
witnesses having taken the situation as a whole,
or eye-witnesses, or other people who happened
to become witnesses of any events associated with
a crime committed, that is, those who can give
the information truly and in all details. In case of
examination delay, some external influence, for
example, adults’ talks about the event can cause
the incorrectness of the evidence.
If there are several underage witnesses
associated with the same episode of the crime,
the priority in questioning must be given to those
who can tell about the event in more details in
virtue of favourable receptive and expressive
abilities, life experience or other circumstances.
Within such order of priority the investigator can
use the most efficient techniques for examining
other people.
The final stage of tactical examination
training is to draw a plan in writing, otherwise
the quality and reliability of the investigation will
be lower due to inaccuracy, fragmentariness and
repeated callings to testify.
The plan covers the circumstances to explore,
the proofs and the order of their presentation to
the non-adult during the examination.
During the pre-examination period, the
key issue is to think over the formulation of the
questions for the non-adult; they must be plain,
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concrete and without any factual information
which can give the child or the teenager a clue
to the facts they did not take directly. The
interrogation must be neither suggestive nor
influential. Besides, the question content must not
lead to any presumptive answers. It is reasonable
to start asking favourable questions that do
not provoke any negative emotions. Then, it is
necessary to proceed to some neutral questions
that do not affect the examinee’s interests. The
questions of the first and the second groups help
to make psychological contact with the examinee.
The final group includes the questions most
essential and informative for the investigator.
Organizational work that is to be carried
out to prepare for the examination includes
some aspects, such as: to set the place and time
of the examination, to list all the participants, to
determine the way of summoning non-adults for
questioning.
It is better to question underage witnesses
(victims) in the morning when they are less
emotionally agitated and not tired. The appointed
time must prevent the non-adults from long hours
of waiting in the corridor as it can make them
distracted and forgetful, sometimes even irritated
and short-tempered. As a result, it encumbers
creating both positive climate and good
psychological contact during the examination.
To achieve the most comprehensive evidence
it is essential for the investigator to make the
right choice of non-adults interrogation time. It
must be appointed as soon after the perception
of the circumstances associated with the crime
as possible, for the under-aged not to forget the
details of the case. Besides, the applicability
of speedy examination is caused by easy
response of non-adults (minors in particular)
to external influence, as a result of which their
own impressions can be unwittingly replaced by
different people’s statements who they spoke to
before the examination.
It is a general rule. However, there can be
exceptions connected with the phenomenon of
reminiscence. The point is that the testimony
given immediately after the crime is sometimes
not full, not clear enough and inconsistent.
For 2-3 days, however, the testimony effect is
maximized as all the perceived details of the
event, its conceptual links are put together and
analyzed in the memory. That is why in such
cases an examination postponed for several
days is more productive than an immediate one
(Dospulov, 1976). It is also recommended to delay
the examination of non-adults for several days,
if they are distressed and feel psychologically
uncomfortable.
To refresh the associative bonds, minors
can be questioned right on the crime scene,
where different small details and things as well
as different sounds, voices and noises can have
a profound positive impact on the memory. They
bring to mind much more information than
they could do in official environment. The only
requirement is not to cause any negative emotions
on the questioned non-adult because of their
presence on the scene of the investigated event.
That is the reason why such recommendations
can hardly be appropriate for examination of
minor victims.
It is desirable to examine pre-school and
junior school children in the conditions close
to their everyday environment. For example,
it is better to question a minor victim at home.
School or pre-school institutions are suitable
for the examination of minor witnesses as well.
As for teenagers and senior school children,
it is the investigator’s office where they can be
productively questioned, because the official
atmosphere boosts understanding of the
importance of the occurrence and encourages
honesty of the questioned.
It is necessary to underline that during the
examination there must not be any unauthorized
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people in the investigator’s office. Otherwise, such
typical characteristics of teenagers as curiosity,
instability and diversity of interests, shyness
and timidity may prevent them from making
psychological contacts, talking openly and telling
unbiased information (Kanevsky, 1991).
During the examination training process
it is important to think over the circle of people
whose participation can be obligatory for the
investigator when interacting with the teenager.
The law explicitly provides for the norm that
the examination of a witness (a victim) aged
under 14 is conducted only in the presence of a
teacher (Article 191, Criminal Procedure Code).
During the examination the teacher is to take
account of the age and the personal psychological
peculiarities of the non-adult; so, to avoid formal
observance of this legal provision it is necessary
to understand that not every person qualified as a
teacher should be invited for the examination.
The selection of people to be invited to
the examination is of great tactical importance.
Herewith, it is recommended to consider if the
teacher is able to create favourable and confident
atmosphere at the examination. In particular, it
is useful to predict certain responses of the nonadult to the certain teacher.
Concerning sexual crimes it is imperative
to invite a teacher of the same gender as the
examinee, as shyness and timidity which nonadults feel during examination in the presence
of people of different gender can not only make
adverse effect on the quality of the evidence, but
also cause emotional and psychological damage.
The approach to inviting an educator must be
differentiated. A kindergartener should be invited
for pre-school children examination, teachers
of different grades should be recommended for
the examination of children of different school
age. Children with developmental multiplication
should be questioned in the presence of a
developmental pediatrician; a child psychologist
or a child psychiatrist should participate in the
examination of children with mental abnormalities
(Zimin, 2011).
In practice, professional child psychologists
are usually invited to examination of minor
children. From our point of view, it is quite
reasonable.
As well as a teacher, a psychologist provides
great assistance in finding out the peculiarities
of perception, remembering and reproduction
of the information, psychological abilities and
conditions, character accents and individual
intellectual abilities of the non-adult. They help
the investigator to reach psychological contact
with the under-aged, to formulate questions
taking into account the specific psychological
features of the non-adult. Besides, a psychologist
participating in the examination process does not
only make contribution into determination and
immediate correction of the examination option,
but also helps to decode the information of nonverbal means of communication (body language
and facial expression) and to objectivise it in the
investigation protocol (Semyonov, 2008).
If necessary, the underage witness (victim)
can be examined in the presence of their statutory
agent (Article 191, Criminal Procedure Code, RF).
Such a statutory reference should not be turned
into a general rule, because the statutory agent is
nearly always one of the parents. That is why their
case theory and the influence on a teenager are
not always known by the time of the examination.
It should be also taken into consideration that the
presence of parents can distract non-adults from
the questions, makes them follow the parents’
response and answer according to it. Moreover,
not all the parents are in good relationships with
their children. Consequently, it is recommended
to invite statutory agents for pre-school children
only, as they often feel shy or are afraid of
stranger adults. When junior school children
are examined, it is necessary to consider their
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procedural position, the investigated case and
personal peculiarities.
In case an underage witness (victim)
examination involves a teacher (a psychologist),
parents or other non-professional participants, it
is essential to explain them their procedural rights
and obligations along with all the particularities
of non-adults examination determined by their
age. For productive participation it is imperative
to consult them and clarify what exactly they
can do in making psychological contacts with
the teenager, what questions permitted by the
investigator they can ask. Moreover, both the
teacher and the statutory agent must be advised
beforehand not to comment, not to speak ironically
or with indignation, not to express some other
emotions as well.
Taking into account the danger of nonadults’ suggestive interrogation it is important to
explain people involved in the examination what
questions are considered to be suggestive and
why they are forbidden. Herewith, it is advisory
for the investigator to talk over the questions to
be asked by participants during the examination.
At the organizational stage of examination
training the investigator must choose the way to
call the under-aged to testify. The general rule to
do it, is with the help of their statutory agents.
An under-aged can be also summoned
with educational institution authorities if there
is the information that a statutory agent can
assert negative influence over the non-adult.
Under such circumstances their appearance at
the investigator’s office must be immediate to
prevent the discussion of the fact of calling to
testify. At the same time it is essential to notify
the institution authorities about the nondisclosure
of the fact.
To appear as a witness, an under-aged over
16 can be summoned or called.
Technical preparation for the examination
includes, if necessary, the proofs arrangement
and the technical devices to record the given
evidence.
Special attention must be paid, for example,
to audio/video recorders as they can significantly
improve the accuracy and fullness of the testimony
given by underage witnesses and victims.
Audio records providing the fullness and
accuracy of the testimony reproduce not only the
meaningful content but also its emotional part.
However, they do not fix the body language and
facial expressions of the examinee; it is video
record that is the most effective way to fix the
examination of minor witnesses and victims.
It is difficult to overestimate the importance
of video records of psychologically undeveloped
or insane people.
Video recording can keep the audible and
visual information as well as the examination
conditions.
Resume. Underage witness and victim
examination training must be held taking into
account the age peculiarities of the non-adults and
their evidence building psychology. It is provided
by examinee-centred approach, proper tactical
options and effectiveness of the investigating
action.
References
Romanov V.V. Legal Psychology (Moscow: Yurist, 2005)
Prokhorov А.О., Velieva S.V. Schoolchildren Psychic States. Issues of Psychology, 5 (2003).
Dospulov G.G., Psychological Principles of Preliminary Investigation Interrogation (Moscow:
Yuridicheskaya Literatura, 1976).
Kanevsky L.L., Criminalistic Investigation Issues and Juvenile Crimes Prevention. (Krasnoyarsk:
Krasnoyarsk State University, 1991).
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Irina A. Zhuravleva and Sergei A. Drobyshevsky. Peculiarities of Underage Witnesses and Victims Examination Training
Zimin A.M., Professional Participation in Legal Proceedings. (Moscow: Yurlitinform, 2011).
Semyonov V.V. Professional Psychologist Participation in the Interrogation. Rossiisky Sledovatel,
7 (2008), 8 – 11.
Особенности подготовки
к допросу несовершеннолетних свидетелей
и потерпевших
И.А. Журавлева, С.А. Дробышевский
Сибирский федеральный университет
Россия 660041, Красноярск, пр. Свободный, 79
В статье рассматриваются особенности информационной, тактической, организационной и
технической подготовки к допросу несовершеннолетних свидетелей и потерпевших.
Ключевые слова: подготовка к допросу несовершеннолетних, свидетели, потерпевшие.
Copyright ОАО «ЦКБ «БИБКОМ» & ООО «Aгентство Kнига-Cервис»
Journal of Siberian Federal University. Humanities & Social Sciences 3 (2012 5) 347-357
~~~
УДК 82.09
“Large-volume” Magazine at the Boundary
of the ХХ-ХХI Centuries: Ideological Diffusion
and Gnoseological Core
Yulia A. Govoruhina*
Siberian Federal University
79 Svobodny, Krasnoyarsk, 660041 Russia 1
Received 6.09.2011, received in revised form 14.09.2011, accepted 20.09.2011
The purpose of the article is to find out the gnoseological reference points causing the reasons for
literary criticism of a “large-volume” liberal magazine at the boundary of the ХХ-ХХI centuries. The
necessity of such a research is obvious in a situation of the loss of gnoseological core of magazines.
The criticism ceases to be perceived as a field of ideological struggle, and in the late 90-s and the
beginning of the XXI century the opposition process diffuses. The analysis of typology in the field of
gnoseological installations of the literary criticism of the separate “large-volume” magazines allows
us to draw a conclusion that in the literal criticism, which latent opposition is represented in different
directions of gnoseology still takes place. Nowadays, a “large-volume” magazine, in our opinion,
possesses implicit mechanism of pressure and orients the critics gnoseologically.
Keywords: literary criticism, «large-volume» magazine, gnoseology, literary process, crisis,
metacriticism, «October», «Banner», «Тhe New World».
Point: At the boundary of the ХХ-ХXI
centuries a «large-volume» magazine endures
structural transformation. It is especially seen in
its history when the criticism defined a direction,
and a magazine – a core. Still, in the 1950s, the
beginning of the 1960s and in the second half the
1980s – the beginning of the 1990s magazines
participated in the sharpest ideological struggle
which caused literary critical thinking, hierarchies
of values and estimations. The criticism was the
center of public attention, literary articles caused
the same response as literary works, and «largevolume» magazines endured the boom. In the
1990s, according to the critics, the criticism
ceases to be perceived as a field of ideological
*
1
struggle, magazines lose former unity of position,
and in the late 90s – the beginning of the 2000s
opposition process becomes the process of
diffuses. To the middle of the 1990s, according
to N. Ivanova, «all the arguments about changes
in the former ideological items have been settled
<…>, quarrels concerning mutual ignoring came
down. Separate groups of adherents competed for
the role of the reader, for social recognition and
success, but experienced almost autistic isolation
towards each other» (Responsibility…, 2009).
A.Vasilevsky fixes the change in the reference
point of the «large-volume» magazines: «… the
modern large-volume magazine is considered to
be a magazine» with the trend «which is created
Corresponding author E-mail address: yuliya_govoruhin@list.ru
© Siberian Federal University. All rights reserved
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Yulia A. Govoruhina. “Large-volume” Magazine at the Boundary of the ХХ-ХХI Centuries: Ideological Diffusion…
first of all by criticism and publicism. I believe
that today the situation has changed. Publications
in the large-volume literary magazine can not
(for many reasons) become a public event. For
example «The New World» magazine does not
state of any ideas or concepts which express “the
magazine’s point of view», how an analyst would
say. A good analytics would give it as much
coverage as possible» (Critic…, 2007).
In the last years’ discussions one of the
reasons of the magazines’ decline is ideological
publication (in the wide meaning) of different
publicist and literary-critical texts. Conservatively
focused criticism in the 1990s overcomes the
original law of critical development concerning
only «its» products, and liberal criticism in the
second half of the 1990s practically ceased to be
aggressive towards the opponents in fierce debates
and discussions. Political character of the critical
disputes changes to the literary ones, discussions
get «a round table» format and represent different
points of view on the set of problems. These
changes indicate about abandoning of a semantic
field of the concept of «criticism» and the use of
«argue».
According to M.U. Berg, texts of the «largevolume» magazines which were published in
1990s years in don't possess the cultural capital,
which may be attractive for «a writer – a reader»
exchange and symbolic and social transformations
of the cultural capital in (Berg, 2000. P. 265).
The researcher calls «large-volume» magazines
the modern analog of an underground, a field of
work with group functions of recognition and
dedication.
This visible diffusion coincides with
alternation of generations. The most part
of critics of the «thaw» period when selfidentification process assumed basically on social
and ideological self-determination stopped their
literary careers. The young generation works
under other circumstances and the wish to act «as
a group» is not so peculiar to them, but and they
display «egoism» more vividly.
Liberal magazines lose their ideological core.
In many terms this fact identifies gnoseological
reorientation of criticism. Postmodernism
brings doubts in authoritativeness and finality
of judgment and that neutralizes the claim that a
critical judgment is the unique one and confirms
the idea of plurality of sights as a norm. The
criticism fixes the absence of an ideological and
esthetic reference point of a magazine. However,
in the first half of the 1990s esthetic «pantophagy»
receives sharply negative estimation (as the
notion about the crisis of «large-volume»
magazine. So, A.Vasilevsky notes: «There is a
process of slow diffusion between «patriotic»
and «liberal» spheres in places of their contact.
This diffusion has different forms. We may say,
after the bibliographic reviews of the magazine
«Continent» that the art prose is considered as
a uniform field, without special division on the
right and the left, patriots and democrats. There is
nothing to tell about my heading «The periodical»
in «Тhe New World» – it is alternately the right and
the left. And, nevertheless, in the December issue
of «Тhe New world» two articles were printed:
Solzhenitsyn`s article – about Vasily Belov's prose
and Linor Goralik’s – about fans communities.
It is clear that there was nothing forbidden in
Solzhenitsyn’s and Goralik’s articles – either in
subjects, or in «the message». But it is even more
important that they write in different languages:
the one, as we can say, is from Mars, another one
is from Venus. The languages are incompatible,
unjoinable» (Responsibility…, 2009). In the
second half of the 1990 this tendency is defined
by the esthetic policy of a magazine.
The crisis of «large-volume» magazine is
endured against a variety of other forms of the
existing literary criticism. The question about the
competitiveness of the format of «large-volume»
magazine becomes one of the most discussed.
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E. Podbelsky in the article «Twilight genre? The
modern criticism: pro's and con's» writes: «the
academicians of «large-volume» magazines
remained with «thick skinned», they utter slow,
but they are not heard and nobody listens to them»
(Podbelsky, 2009). According to N.A. Serguninа's,
the criticism of the «large-volume» magazines
«continues to pour new wine in old bottles – to
estimate products according to the system which
today has lost actuality of the art values. For
this reason from the beginning to the middle of
the 1990s the Russian literary criticism doesn’t
have new serious name» (Serguninа, 2006. P.52).
Analyzing a literary situation in 1994 magazine
«Banner» gave the sharp judgment about the
editor of magazine «Bookcase» U. Kuvaldin:
«The magazines that published «scoops» have
died. And misunderstanding that we still have
«Тhe New orld», «Banner», «October» and other
magazines has not been realized by the collectives
of these editions yet. Large-volume magazines
aren't mobile, manuscripts are read long, and
they are bureaucratical, apathetic and haughty. In
one period of time they personified free-thinking,
then, in the soviet time – the extreme measure –
industrial and party-social, in the other period –
in avant-garde – postmodernism» (To the literary
situation, 1995. P. 181).
According to the editors of the new magazines
who participated in discussion, magazines work
to increase the reader's audience and to survive.
It is noteworthy that at their own platform, editors
of the new magazines and publishing houses
operate contrary according to the tradition of
«large-volume» magazines. So, for example, the
editor of the «Solo» A. Mihajlov declares that his
magazine «always publishes debutants. But there
are those, who will be not printed in the «largevolume» magazines» (To a literary situation,
1995. C.178). «The bulletin of the new literature»,
according to its editor M.U. Berg, unlike «largevolume» magazine, «is guided by the (enough
narrow) reader. <…> Tolstoy publishes «the
literature for everything», «the literature for all
tastes» at the original department stores» (To a
literary situation, 1995. C.175-176).
Example: Thus, «large-volume» magazines
function in circumstances of the loss of their
core and item unity. Such opinion seems to be
not unequivocal. In the given article the features
of the literary criticism of a «large-volume»
magazine on the material of the liberal magazine
criticism from the gnoseological reference points
are found out.
It was found out that in the metacritics on the
boundary of the ХХ-ХХI centuries the negative
critics was identified, and as a consequence, it was
characterized as «exposing» of the interpretative
strategy. If «Тhe New world» and «Banner»
published metacriticism within all the decades,
«October» published it only in the second half of
the 1990s – the beginning of the 2000s. Only in the
articles written in 1995, examples in the negative
self-identification are observed. «The new
criticism», mainly in newspapers (categorical),
without any doubts, as it was critically estimated,
was focused on business technologies (Ivanizkaja,
1995; Orlova, 1994). It reveals a problem of all
the metacritical judgments during this period.
In the 2000 in the metacritic of the «October»
magazine, self-identity is researched through the
critical judgement of the negative critics, which
have been generated by the modern social and
literary situation.
The second reference point, which is
defi ned during the analysis of articles and
became its main object, is public consciousness.
The statistical analysis of the articles of the
given group has allowed to draw a conclusion
that public consciousness is the object of great
«interests» to the critics of the «Banner»
magazine. The most part of the articles, united
by the same object, are published in «Тhe New
World» and «Banner» in the period from 1991 to
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1993, then for the decade magazines published
one or two articles of sociological character.
As it was shown in the research of works of the
given group, recession has appeared inversely
proportional to the strengthening of analytism
and «to the approach to the fictional text».
«October» published the similar articles only
in 2000 – 2001. The small amount of works
is devoted to the public problems, there is
little sociological critics in this magazine, it is
generally orientated on reception of a literary
situation and a separate literary phenomena.
The public consciousness and contemporary
psychology as the object of attention are defi ned
in the articles of «October» in 2000 – 2002.
Each time a push to a reflection is situation of
destruction of the traditional scheme «a reader – a
writer», loss of the former status of the literature
for the reader. Critics use correcting and
analytical interpretative strategy in judgment of
this situation. The researches study criticism of
«October» in of search a determinant in the field
of sociology and policy. Sphere of social is very
actual. So, O. Slavnikova interprets a problem of
not reading as social and psychological. Besides
the obvious reasons of not reading are covered
in the literature (writers don't read each other’s
works and write mainly for themselves), in
circumstances of publishing, it has other reasons,
which concerns psychological transformations in
consciousness of a reader, caused by new socialcultural circumstances (Slavnikova, 2000).
It is impossible to say that a person chooses
a certain complex of lines of consciousness from
the magazines and investigates only them. At
the same time in «Banner» the larger interest to
research of postmodernist type of thinking of the
modern person is observed.
The third reference point comes to light with
the critics focused on judgment of the newest
literary practice. It is possible to speak about
foreshortening preference of a magazine. The
criticism of «Banner» confi rms S. Chuprinin`s
and I. Rodnjanskaja's statement that the literary
criticism comes from the developed analyses
of the separate works of art. S. Chuprinin
writes about replacement of «the conversation
about certain texts to the conversation about
a literary situation» (Chuprinin, 1995. P.
187). I. Rodnjanskaja sees the reason for
«philosophical intoxication» in the critics’
activity: «It [intoxication] ideally corresponds
to that type of the critical writing which began
to force out traditional analyses and reviews»
(Rodnjanskaja, 1993). From considered group of
articles of «Banner» (55 articles) are devoted to
one product – 0; to the group of products – 7 (four
of seven are written to the fi rst half of the 1990s);
to the consideration of this or that tendency
accompanied by the reference to the works of
art as an illustration – 21; articles in the type of
survey which, as a rule, call only products and
united in groups – 19. In «Тhe New World» from
48 considered articles 9 are devoted one product;
7 – to the group of products; 26 – to tendencies;
articles of the survey type – 6. In «October»
magazine from 47 articles 21 are devoted one
product; 3 – to the group of products; 11 – to
tendencies; articles of the survey type – 12.
Thus, in the 1990s in the critic of «Banner»
and «Тhe New World» prevails the wide
foreshortening of vision of the literary practice. It
is impossible to say that from a reality of the critic
problem article – a rarity in 1990th years passes
to problematical character. «October» «is more
attentive» to the separate text/author. One of the
reasons specified above is a quantitative difference
in comparison with the other magazines is, in our
opinion, the professional status and interests of
critics. Reflections on separate texts write in the
majority or writers (O. Slavnikova, B. Kolymagin,
J. Orlitsky, A. Nyman, O. Pavlov, etc.), or literary
critics, whose professional interests don't assume
wide coverage of the modern literary validity or
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whose experience of literary-critical activity is
insignificant.
For the criticism of the liberal magazines
on the boundary of the ХХ-ХХI centuries the
reference to the literary works as to variants
author's itself understanding, their estimation
from the point of view of depth/validity/
adequacy interpretations, from the point of
view of presence of «answers» is characteristic.
Interpretation becomes exarticulation from
art structure of «answer» (in the form of idea,
a vital reference point, destiny of the hero as
possible variant realized, (not) true life) on
«question» «What ways of a survival/existence/
presence of the literature in a situation of crisis /
of crisis/end?». N. Lejderman and M. Lipovetsky
formulate this question so: «How to live in
chaos?» (Lejderman, Lipovetsky, 1991. P.245).
To the critic the moment itself identifications of
the literature which is in circumstances similar
to literary criticism interests. Answers, which
are given by the literature (according to vision of
criticism of «Banner»), can be grouped in survival
strategy: adaptation of successful strategy (the
popular literature, the literary trends which have
endured a crisis cultural stage (the Silver age
period); leaving from a reality interfaced to crisis
(mysticism, grotesque, a postmodernist relativity);
search of new forms of the self-presentation, the
latent language reserves (in poetry); judgement
of the updated validity, dialogue with chaos.
The criticism of «Тhe New world» represents
also other variants: search and the statement
spiritual «clips», valuable reference points; the
statement of necessity of returning from socialcentre to the person; active overcoming of
negative/unpromising experience of generation;
the reference to experience of the classical
literature, its optics. In the literary criticism of
«October» it is not observed a sharp reflection
of a situation of crisis, statement of existential
questions, orientation to search of successful
literary and literary-critical strategy. In bigger
parts of works published here this or that literary
phenomenon is isolated from a literary number,
its specificity (while the criticism of «Тhe New
world» and «Banner» has installation on search
of tendencies, typology) is found out. At the same
time the criticism of «October» (mainly 19951997) is focused and on вычитывание in art
texts and judgement of the existential, ontologic
problems, allowing to investigate psychology,
mental features of the contemporary.
There are some interpretative installations
peculiar to this or that magazine. So, unlike
«Banner», «Тhe New world» and «October» more
analitical, are focused on development of literary
life as that, for them is in a greater degree actual
besides existentially filled question and another –
«That is …?». Specificity of man's/female prose,
a postmodernism, median prose, postrealism,
amateurish poetry, the historical and philological
novel, etc. becomes a subject of separate articles
of critics.
Interpretative installations become more
obvious in the course of comparison of articles
having one subject, but published in different
magazines. K.Stepanyan's articles «Realism as
rescue from dreams» (the Banner. 1996. №11)
and T.Kasatkina`s «But it is terrible to me: you
will change shape» (the New world) are devoted a
theme of loss and reality searches in fiction.
K.Stepanyan's article it is composite
traditionally shares on three parts; the first and
the third – an author's reflection over questions on
representation on a reality in mass consciousness,
about loss of sensation real as a common cultural
mental problem, searches of the steady center
of the world. The reference to V.Pelevin and
J.Bujdy’s works of art also is accompanied by
inclusions of fragments of author’s reflections,
associations. Exits in area of personal reflections
are fixed in the text: «Here to me V.Aksenov’s
story …», «However was for some reason
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remembered, still classics of a XIX-th century
guessed those dangers which are concealed by
realism …», «Here we come back to that problem
of criteria of a reality about which there was a
speech in article beginning» (Stepanyan, 1996.
P.196, 197, 199). The reflection on beyond-text
appears on volume more considerably actually
reflections on the text (compare: in T.Kasatkina’s
articles «In search of the lost reality» (Kasatkina,
1997), I.Rodnjanskaja`s «This world is thought
up not by us» (Rodnjanskaja, 1999) author’s
deviations not so much, and they are interspersed
in the interpretation text).
The problem of sensation of loss of a reality
is comprehended by K.Stepanyan as mental,
existential, as generation modern social-cultural
situations («the Concept of a reality in general
became one of the most uncertain presently
<…> Necessarily at in the slightest degree
thinking person there can be a suspicion: if it
is so much realities, that, can, any one, unique,
isn’t present? <...> its this or that decision [a
problem of a reality, the validity of an event –
Yu. G.] defines all our behavior in the world»
(Stepanyan, 1996. P.194). Its reasons the critic
sees in visualization of modern culture, in
circumstances deideologizing/demythologization
societies, pluralities of the authoritative points of
view on one events in modern democratic society.
K.Stepanyan comprehends a problem of loss of a
reality as actual «here and now», psychologically
felt as everyone.
Other understanding of the same subject it is
found in articles «The New world». To T.Kasatkina
the reality problem in its literary judgement
interests. The person becoming «the being which
has been not adapted for any meeting, a being
which is afraid of independent life of the dreams»
(Kasatkina, 1996) the person finding «taste to
restriction of a reality by frameworks of» is, first
of all, about the hero and about art designing of
relations «the hero – a reality». For the critic the
reality theme in its art projection is existentially
significant. Not casually reasons of rupture with a
reality are searched by T.Kasatkina in the history
of the literature: «Where the beginning (anyway,
the obvious, nearest beginning) this way? It is
represented that there where traditionally see
realism top in the literature. The psychologism
which so powerfully has overflowed the literature
in a XIX-th century, has appeared the first step
aside from a reality. Instead of a reality began to
describe perception of a reality the character»
(Kasatkina, 1996), and all history after a XIX-th
century is thought as reality searches. The modern
literature, according to the critic, is still far from
finding, in it life of the real world is shown «such
what it sees from within the protagonist, almost
without any updatings, without any criteria of
adequacy. Now all of them exist any more in a flesh
and as shades of its perception, the world blurs,
receives lines of irreality» (Kasatkina, 1996).
T.Kasatkina, coming to the variant of finding of
a reality, remains, as a matter of fact, in the field
of the literature, relations between the author and
the hero: «the Exit one – in prestanding, that in
bible texts is called «to go before God». Lifted
eyes the grief, reestablished communication with
true Another is given to the author at once some
freedom from and in relation to its hero», only in
the ending overcoming borders of this area: « Not
for flight from a reality, but for reality creation
another is necessary to the person and the author.
If you want to learn something authentic about
the world, instead of to lose the way in own
mirages, don’t look in a mirror – look in other
eyes» (Kasatkina, 1996).
The affinity of a foreshortening of critical
thinking of «October» to «Banner» proves to be
true B.Filevsky’s articles «And we will escape»
(October. 1995. № 5), V.Vozdvizhensky`s «the
Author and its double» (October. 1995. № 12),
M.Krasnova`s «Between» yesterday «and»
tomorrow» (October. 1994. № 7), L.Batkin`s
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«the Thing and emptiness. Notes of the reader
on fields of verses of Brodsky» (October. 1996.
№ 1), A. Ranchin`s « “the Person is the verifier
of a pain...” Is religious-philosophical motives of
poetry of Brodsky and existentialism» (October.
1997. № 1), etc. Object of attention of B.Filevsky
there is «a prose for adults» R.Pogodin. The critic
adjusts the perception of texts of the writer in such
a manner that isolates first of all the existential
moments of sense. Pogodin and its generation
(front), in B.Filevsky’s interpretation, endures
sensation «lives out of the present» («the present
has appeared it is terrible»). Destruction of the
reality, time is comprehended as destruction of
myths («And after all it isn’t simple myths, they
are raised by own life almost lived up to the end»
(Filevsky, 1995. P. 189). The reality is compared
to the destroyed house. The dramatic nature of
an existential reality situation is strengthened by
absence of a choice. There is only a possibility
and necessity of verbal, literary dialogue. In it,
according to the critic, the reason «оличнения»
River prose Pogodin («he wanted overcome the
compelled anonymity of the children’s literature
to have conversation directly, without parables
and a fantastic fantasy» (Filevsky, 1995. P. 188).
Resume: Comparison of articles of
three magazines leads to a conclusion about a
difference of analytical installations of critics and
criticism. The criticism of «Banner» in a greater
degree «I» – Is focused, in it the existential way
of judgement of a problem of a reality and its
loss is more expressed, communication of the
interpreted text with the actual social, mental
validity, personal experiences of the critic is
accented. The criticism of «Тhe New world»
is in a greater degree focused on the text and a
literary context (wide at T. Kasatkina`s, genre
(tradition of an allotopia) at I.Rodnjansky, etc.)
The reality problem is comprehended as the
difficult ontologic. But in that and other case the
reference of criticism to the problem and texts in
which she becomes central, speaks a situation of
crisis and attempts to comprehend demolition of
the literary validity. The criticism of «October»
is intermediate. It is presented by a considerable
quantity of the texts focused exclusively on
interpretation of a separate work of art, its art
specificity, «following the text», the big capture
of an interpreted material isn't peculiar to it.
At the same time in works in which the author
leaves to exarticulation of existential aspect of
sense, descriptions of a psychological, mental
portrait of generation / social type, and attempt
of correlation of a literary plot with a line of
author's self-determination, overcoming crisis
are observed as attempt of research of variants of
self-identification of literary heroes.
Confirm our conclusion about differences
of analytical installations in magazines and
supervision over their change at the authors
publishing articles in different magazines. So A.
Nemzer publishes in work «Banner» in which the
moments of the general cultural, mental crisis («In
what year are staticized – count», 1998), works of
art as reflections of process of self-identification
of authors in a situation of demolition of valuable
reference points («the Double portrait against
a decline», 1993) are analyzed. For the same
years the critic publishes works of other plan
In «Тhe New world»: «That? Where? When?
About Vladimir Makanin's novel: experience of
the short guidebook» (1998) in which follows
«the text», analyzing existential specificity of
the novel, system of characters; «Not come true.
Alternatives of history in a literature mirror»
(1993) where offers the review of modern novelspredictions, reducing to a minimum the fact of
their resonating with perception of history of
the contemporary. M. Lipovetsky publishes the
articles in all «liberal» magazines considered
by us. In «Banner» there are works in which
the critic addresses to creativity of the separate
author(s), and it allows M.Lipovetsky to interface
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the art text and «soul movements» the author of
the «Lyrics of the End of the Century», 1996)
in which postmodernism crisis directly contacts
crisis of the historical and cultural environment
(«Blue fat of generation, or Two myths about one
crisis», 1999). And article «Оvercoming of death.
Specificity of Russian postmodernism» (1995)
owing to the theoretical and notcorrelation with
mental space is perceived as «another's» in a
magazine context. Works in which M. Lipovetsky
leaves in a historic-literary context on purpose
are published in «the New world» to prove law
of display of such phenomena, as «a new wave»
story (in article in the co-authorship from
N. Lejderman «Between chaos and space», 1991),
postrealism (in article in the co-authorship from
N. Lejderman «Life after death, or New data on
realism», 1993), misspent to strategy in the modern
literature («Spend of strategy, or metamorphoses
a seamy side», 1999). In them either it is removed,
or the moment of interface of the interpreted
literary phenomenon with existential questions is
minimized. In «October» of M. Lipovetsky «Еhe
Mythology of metamorphoses … » (Lipovetsky,
1995) in which object of interpretation chooses
separate product publishes work, goes deep into
area of ontology of polyphony, world images
chaos (such foreshortening is characteristic for
«Banner») and at the same time practically doesn't
find the possible existential semantic plan of the
text (that is characteristic for «Тhe New world»).
It proves a conclusion about intermediate position
of «October» in respect of interpretative strategy
and a foreshortening of the analysis of the literary
phenomenon. For M. Lipovetsky's works that
sensation of crisis of self-identification, confusion
in a situation of loss of the reader which tests
the critic of 1990th years is to a lesser degree
characteristic. It speaks M. Lipovetsky's basic
scientific professional work.
As it has been noted above, the
communicative situation in which the criticism
functions, «the question» thrown by it on the
literary validity, defines a choice art products
and actual aspect of the maintenance of the text
isolated by the critic. The criticism pays attention
to the products which authors are focused on
search of «couplers», the support allowing heroes
to find composure. Examples of successful
strategy (in a postmodernism, popular literature,
to the lyric poet) become object of attention also.
From a literary stream of the critic isolates the
literary phenomena connected by a tendency of
the reference to tested literary forms, classics as
to a variant of overcoming of crisis. At the same
time the criticism of liberal magazines is attentive
by the crisis moments in dramatic art, modern
prose, a postmodernism, activity of magazines.
Self-identification variants are investigated,
searches of new forms, language reserves on
purpose to make active dialogue with the reader,
to build process of art comprehension of life and
self-knowledge in new social cultural literature
and reader living conditions. At last, the greatest
attention of the critic turns on the products which
heroes worry, don’t overcome the circumstances
similar to in what there is a criticism: demolition
of valuable reference points, without a support,
loss of sensation of a reality, communication with
the present, loneliness. Such isolated substantial
plans are characteristic for each magazine, but
degree of their actualization differs. So, the
criticism of «Тhe New world» is in a greater degree
focused on search of true valuable coordinates, a
certain spiritual support in fiction (Lipovetsky,
1991; Bak, 1998; Eliseev, 1997; Esaulov, 1994;
Anninsky, 1994 and others), and also on the
products which subject lines represent variants
of a survival of the hero in existentially critical
circumstances (Rodnjanskaja, 1994; Slavnikova,
1998; Shklovky, 1997; Каsatkina, 1997; Bavilsky,
1997; Anninsky, 1995; Еliseev, 1995 and others).
The criticism of «Banner» is especially attentive
to self-identification searches not the hero, but the
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author, magazine, lyrics as a whole (Ajzenberg,
1994; Lipovetsky, 1996; Bavilsky, 1997; Ulanov,
1998; Wjazmitinova, 1998; Chuprinin, 1995 and
others), and also by the crisis moments in the
literature (Tihomirova, 1992; Lipovetsky, 1992;
Arbitman, 1995; Novikov, 1992; Chuprinin,
1994 and others ). The criticism of «October» is
focused on statement of socially-psychological
«diagnoses», creates portraits of the generations
which have appeared in a situation of loss of time,
isolates collective unconscious, generated by a
crisis situation.
Comparison of the actual substantial
components, the choice of a subject of critical
research allows to see one more distinction
in informative installations of magazines. In
process (itself)interpretations «Тhe New world»
comprehends a concrete art material, in the art
form incarnate search of «answers» of the author
and its heroes, displaces a foreshortening in area
of space of another's consciousness. «Banner»
investigates strategy, tactics, the tendencies
shown in group of products, creativity of group
of authors, in the lyric poet or prose as a whole,
showing, thus, wider capture of a material for
interpretation. «October» gnoseological is
focused on consideration of the art text, a literary
tendency in aspect of reflection in it of typological
features of consciousness of contemporaries
(representatives of old and young generation).
The analysis of the typology in the field
of gnoseological installations of the literary
criticism of the separate «large-volume»
magazines allows to draw a conclusion that the
axiom defining possibility of existence of the
literary criticism only in struggle, despite the
notevidence today (critics ascertain recession of
discussions, disputes, polemics, decrease in their
quality), continues to operate. There is a latent
opposition which is shown in different direction
of gnoseological efforts. The «large-volume»
magazine, in our opinion, and possesses today
implicit the pressure mechanism, gnoseological
focuses the critic.
References
M. Ajzenberg, “Statement possibility”, Banner, 6 (1994).
L. Anninsky, “So than all it has come to an end? Notes about finalists of Buker”, The New world,
2 (1995).
L. Anninsky, “To rescue Russia by Russia …”, The New world, 10 (1994).
R. Arbitman), “Long farewell to the sergeant of militia. A modern Russian detective: the publisher
against the reader”, Banner, 7 (1995).
D. Bak, “Evgenie Fedorova’s found time, or А-lа-ger comme а-lager”, The New world, 5
(1998).
D. Bawilsky, “Silences”, Banner, 12 (1997).
D. Bavilsky, “The education novel”, The New world, 1 (1997).
M. Berg, “Literaturokratija. Problem of assignment and power redistribution in the literature”
(Moskow, 2000).
S. Chuprinin, “Elegy”, Banner, 6 (1994).
S.Chuprinin, “The list will accept”, Banner, 1 (1995).
N. Eliseev, “Аmarkord”`s shade”, The New world, 4 (1995).
N. Eliseev, “Azolsky and his heroes”, The New world, 8 (1997).
I. Esaulov, “Devilish stars and sacred war. The modern novel in a context of Russian spiritual
tradition”, The New world, 4 (1994).
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T. Kasatkina, “But it is terrible to me: you will change shape”, The New world, 4 (1996) URL:
http://magazines.russ.ru/novyi_mi/1996/4/kasatkin.html.
T. Kasatkina, “In search of the lost reality”, The New world, 3 (1997).
N.Lejderman, M.Lipovetsky, “Between chaos and space”, The New world, 7 (1991).
M. Lipovetsky, “Blue fat of generation, or Two myths about one crisis”, Banner, 11 (1999).
M. Lipovetsky, “Deification of particles, or dialogues with chaos”, Banner, 8 (1992).
M. Lipovetsky, “Mythology of metamorphoses”, October, 7 (1995).
M. Lipovetsky, “The lyrics end of the century”, Banner, 10 (1996).
W.Novikov, “Intermediate finish”, Banner, 9 (1992).
E. Podbelsky, “Genre twilight? The modern criticism: pro’s and con’s”, URL: http://www.sibogni.
ru/archive/29/327.
Responsibility of the literary criticism: materials of a round table, URL: http://lecture.imhonet.
ru/element/1005065/.
I. Rodnjanskaja, “A plaster wind”. About a philosophical intoxication in current literature”, The
New World, 12 (1993). URL: http://magazines.russ.ru/novyi_mi/1993/12/rodnyan.html.
I. Rodnjanskaja, “Experience overcoming, or twenty years of wanderings”, The New world, 8
(1994).
I. Rodnjanskaja, “This world is thought up not by us”, The New world, 8 (1999).
N. Sergunina, The literary criticism in Russian Internet as a link of communicative system: the
author-text-audience. The question theory: diss. … cand. philology. Sciences (Moskow, 2006).
E. Shklovsky, “Time and place. Notes about three poets”, The New world, 6 (1997).
O.Slavnikova, “It would not be desirable to read painfully”, October, 8 (2000).
O. Slavnikova, “Old Russian Sergey Zalygina’s Late prose”, The New world, 12 (1998).
K.Stepanjan, “Realism as rescue from dreams”, Banner, 11 (1996).
The critic can’t write to a table (URL: http://exlibris.ng.ru/fakty/2007-10-25/2_critic.html).
Е.Tihomirova, “Eros from an underground. Sex best sellers 90 and Russian literary tradition”,
Banner, 6 (1992).
To a literary situation of 1994, Banner, 1 (1995).
А. Ulanov, “The slow letter”, Banner, 8 (1998).
L. Wjazmitinova, “From an ice-hole of Poliny to dreams of Pelagei Ivanovny (Poetry of generation
90s)”, Banner, 11 (1998).
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«Толстый» журнал на рубеже ХХ-ХХI вв.:
идейная диффузия
и гносеологический стержень
Ю.А. Говорухина
Сибирский федеральный университет
Россия 660041, Красноярск, Свободный, 79
Цель данной статьи – обнаружить гносеологические ориентиры, обусловливающие
особенности литературной критики того или иного «толстого» либерального журнала
на рубеже ХХ-ХХI веков. Актуальность такого исследования очевидна в ситуации утраты
стержня, позиционного единства журналов.
Критика перестает восприниматься как поле идеологической борьбы, а в конце 1990-х – начале
2000-х годов процесс противостояния перетекает в процесс диффузии. Анализ типологии в
области гносеологических установок литературной критики отдельных «толстых» журналов
позволяет сделать вывод о том, что в журнальной критике продолжает идти скрытое
противостояние, которое проявляется в разнонаправленности гносеологических усилий.
«Толстый» журнал, на наш взгляд, и сегодня обладает имплицитным механизмом давления,
гносеологически ориентирует критика.
Ключевые слова: литературная критика, “толстый” журнал, гносеология, литературный
процесс, кризис, метакритика, “Новый мир”, “Знамя”, “Октябрь”
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Journal of Siberian Federal University. Humanities & Social Sciences 3 (2012 5) 358-394
~~~
УДК 524
Towards Constituting the Identity
of the Universe:
Apophaticism and Transcendental Delimiters
in Cosmology
Alexei V. Nesteruk*
University of Portsmouth,
Lion Gate Building, PORTSMOUTH, PO1 3HF, UK 1
Received 14.02.2012, received in revised form 9.03.2012, accepted 10.03.2012
The paper discusses the limits in knowability of the universe in modern cosmology which arise from the
human condition. We argue that the alleged identity of the universe as a whole can only be approached
apophatically, that is refusing exhaustibility of truth through either positive or negative assertions
of this identity in the scientific discourse. Thus any commitment to realism must be abandoned and
the objectivity of the universe can acquire no more than a “weak” sense of a construct, that is of
constituted reality. Seen in this way the discourse of the universe becomes involved in historicity of the
human rationality, so that the reality of the universe can only be understood as having its origin in its
historically contingent disclosure by human beings. The fundamental incommensurability between the
universe and embodied humanity, as well as intrinsic non-attunement of humanity with the universe,
are manifested in communion with universe through existential anxiety of being displaced in it. It is
from within this anxiety that one can identify transcendental delimiters which act in cosmological
knowledge. In particular, we discuss the meaning of the cosmological principle as a transcendental
principle of explicability of the universe related to the inherent ability of human rationality to grasp the
presence of the finite infinitude. We point out that this principle, being methodological for cosmological
research, has some teleological overtones (linked to the active telos of cosmological explanation)
related to the essence of the human condition.
Keywords: universe, identity, knowldge, explicability, apophaticism, transcendentalism, teleology.
For cosmic thought to be possible, thought must find the means
to separate itself from things, to gaze beyond their appearance, to
transcend the visible towards a non-visible that is irreducible to the
visible and yet the condition of it. A speculative transcendence is
required.
J. Ladrière, Language and Belief, p. 150
*
1
Corresponding author E-mail address: alexei.nesteruk@port.ac.uk
© Siberian Federal University. All rights reserved
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Introduction
It is a fact of contemporary science’s
sociology that cosmology reveals better than any
other physical study a constant advance of theory
and observations which rapidly extend and revise
our views about the universe, especially its
mysterious early stages which allegedly gave rise
to the present astronomical display. Cosmology
makes all its statements using affirmations which
attempt to approach the universe in its totality in
terms of references, imported from the earthly
physical world and astronomical cosmos. The
maximum that cosmology can pretend to offer is
a set of cataphatic (that is, affirmative) statements
about general properties of the universe, as they
are related to the world we live in. It seems
reasonable to suggest, because of the physical
incommensurability between human subjects and
the universe as a whole, that this set of statements
as definitions is open-ended and cannot hope to
terminate at any final stage.1
Small details about the universe, the
technicalities of its theories, contribute towards
our perception of “pieces” or “moments” of the
universe whose identity as a whole is anticipated
by cosmologists as the pregiven, inherent and
non-relational (with respect to these “pieces” and
“moments” as well as to anything hypothetically
“outside” the universe) in-itself, having a
character of either an entity or a logical subject.2
The identity of the universe, for example, appears
as an idea, similar to the idea of the world in a
Kantian sense, that is as an accomplishing
term of the series of causation in the realm of
the conditioned “jumping” from the empirical
“pieces” and “moments” to the inferred mental
fullness. This jump exhibits a belief that there
must be a united and unconditional all to which one
belongs and in which one somehow participates.
However, this “be” proceeds in our mind because
we are given the conditioned (finite things), and
we believe that we must in the same way have
a capacity to be given the unconditioned. 3 This
is not the case as the unconditioned itself can
only be taken as an infinite series of conditions.
However, this demand of reason seems to be
impossible because the entire series of conditions
in the universe is not given to us. The universe in
space and time is not something which one can
encounter in experience. Correspondingly, the
universe’s ontological status becomes uncertain
(as Kant would say: the universe does not exist in
itself as if it would have a determinate magnitude
(Kant, 1933, A503-5/B532-4)). Hence, and this is
natural, the universe as a whole “emerges” as a
rational idea (as distinct and different, in a Kantian
classification, from an aesthetical idea, that is an
idea of a beautiful arrangement – cosmos) with a
certain regulative use. This idea has a minimal
perceptible intuition and never becomes cognition
(that is, a never fulfilled intentionality). The
famous Kantian antinomies of reason associated
with the notion of the world, which never
disappear if the universe is approached through
the categories of the understanding, demonstrate
that if cosmology dealt only with such an abstract
(a-priori) notion of the universe, all talks about
the identity of the universe would have sense as no
more than philosophical rhetoric.4 In the present,
Kant’s insistence that cosmological questions can
only be settled a priori, that is with no recourse
to experience, seems to be inadequate, because at
least some cosmological hypotheses on the age and
size of the universe can be subjected to empirical
verification or refutation. However, if this claim
can be made without encountering the universe
as a whole, still the question of the universe’s
identity as related to its whole remains effectively
unchanged through the progress of science. But,
once again, the advancement of science teaches
us exactly that which Kant was asserting on
general metaphysical grounds, namely, that
scientific progress will never accomplish the
disclosure of the universe’s identity; the idea of
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the universe as a whole with a certain identity has
a perfectly legitimate, practical, that is regulative
use which can lead us to search for the conditions
of the universe’s explicability and increase our
knowledge and understanding of it (Kant, 1933,
A307/B364, A508-10/B536-8). Then one can talk
about the universe as the totality of space and
time as if the universe as a whole and its identity
existed. In this case antinomial scepticism
would be overcome and Kant would approve
such a usage of the notion of the universe and its
identity.5 The universe, treated as “a particular”
ever-escaping precise definition and exhaustion
through its signifiers, becomes a subject not of
understanding but judgement. To understand
the universe one must judge whether it exists
or not. But judgement can be reflective and not
determinate, so that it is this judgement which
vindicates cosmology as the research of the
universe as a whole.
Correspondingly, in actual cosmological
research, which is not a philosophical discourse,
and which must find a way out from the
antinomial scepticism, the sense of identity
present behind the term “universe” is rather
an expression of that gradual substitution of
the material accumulated from observations
and theories for an inherent intuition of the
universe as totality of all, thus following a path to
objectivity through coordinating phenomena and
theoretical constructs into a strata of invariants
across a variety of subjective and instrumental
circumstances.6 In other words, in physical
cosmology, the “identity of the universe” is not
an a-priori inherent and immutable in-itself, but
involves constitution and does not imply that the
sense of identity of the universe disappears from
a cosmologist’s subjectivity; it implies only that
this sense is not determinate in actual research. It
is because of the finitude of the human scientific
understanding that the notion of the universe
as a whole acquires features of an open-ended
construct7 in the conditions of a hidden belief in
ultimate convergence of the correspondence rules
relating constructs to the alleged reality.
There is one particular feature in the
constitution of the universe which demands
its identity: namely, its identity through time.
Indeed, for cosmological research, in order to
assert that it deals with physical reality, there
must be some stability in the “object” studied
through time pertaining to the universe itself.
Then the question is: what is that referent in
physical reality which sustains such a stability.
The answer is nearly obvious: the material
content of the universe, a physical composite
of fields, particles, macroscopic structures
and other theoretically predicted but allegedly
physical components. However one cannot claim
that this substance is that which pre-exists the
very process of investigation of the universe
because it itself demands constitution through
the irrational, experientially identified, resistance
to any attempt to disclose its identity.8 This is the
reason why the required stability of cosmological
constituents has to rely on mathematical
assertions. For example, “dark matter” and “dark
energy” are mathematical predictions (following
from the demand of consistency in cosmological
theories and observations) but their ontology
remains, up to now, hanging on some implicit
belief-based commitments to the realistic nature
of their mathematical constructions. In this case,
does the ontological status of the identity of the
universe receive elucidation from the conviction
that its intelligible pattern is devoid of mutability?
Since mathematical physics appears as a leading
technique of thematisation and objectification
of the universe, can it fulfil the function of
bringing the alleged identity of the universe to
unconcealment (bearing in mind that there are
probably other ways of communication with
the universe)?9 The reference to the intelligible
realm becomes a natural shift in ontology of
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the identity of the universe, because it avoids
problems with the stability of this identity in
terms of temporality. Indeed, since the universe
as a whole is thought as being beyond any worldly
causality and temporality, it is primarily posed by
consciousness in the intelligible realm stripped
(by means of phenomenological reduction) of
any specific facts and particular theoretical
predictions. In this case the universe appears to
humanity as the unconditional coming to truth
of the visible (sensible) and invisible (intelligible)
being, manifested in life itself.10 The universe
is now intuited not as a rational idea, but as an
aesthetical idea, and this in turn manifests that the
different means of communion with the universe
have been invoked.
The universe is reaching us not only through
optical images in telescopes, radio signals in
receivers and through counting devices in cosmic
particle chambers, etc. The universe is not only
the manifold of different sense impressions
which come from the sky, synthesised in the
human mind. It is also the beautiful kosmos of
ancient philosophers, where the universe entered
human life ethically, as a category of personal
relationship, rather than spatial or temporal
extension (diastasis).11 Being reminiscent of
this ancient approach to seeing the universe,
contemporary physical cosmology, in spite of
its objective to study the universe as a structure
extended in space and time, anticipates the
universe not only as a manifold of observations
and theoretical constructs, but as a singular
(physical) unity which possesses some inherent
logos which is not manifested fully through the
variety of astronomical facts. Thus any reasoning
about the identity of the universe implies that
the reality of this identity must be secured by
bringing out the fact that it is different from its
manifold presentations and showing that, despite
its uncertain status, it is truly a component of
what we experience: the universe is presented to
us through its “pieces” and “moments” (places
and eras depicted in numerous cosmological
diagrams12 ), but the identity of the universe (not
only as the name of its facticity (Munitz, 1990,
p. 175)) is empirically absent (the identity of the
universe by definition escapes rubrics of extended
space and time, thus being trans-temporal not
only as persistent in time) so that we deal here
with a situation of “presence in absence”.
One may clarify the sense of the identity
of the universe as it stands in the context of
“presence in absence” by referring to some
general phenomenological stance on the identity
of objects. The identity of an ordinary object
is formed through the object’s presence and
absence to a particular consciousness, so that the
object appears in its identity as the unity of its
profiles and impressions available to the public
mind.13 One particular feature of constituting
the identity of an ordinary object is that it can
be formed through consciousness of its absence,
that is, its potential non-existence. For example,
while experiencing the beauty of a flower one
appreciates it without clear understanding as to
why this particular kind of beauty came into being
and be appreciated if anyone were not to be there.
The identity of this flower (apart from an obvious
synthesis of pieces and moments) can implicitly
enter consciousness from the perspective of its
possible non-existence, so that the very factual
beauty of it (as identity) is weighed against its
potential (eidetic) non-existence. Alternatively the
identity of a beautiful flower can be judged from
the perspective of existence or non-existence of
a subject of its cognition, that is of that agency
which could or could not appreciate the beauty.
If nobody were present this beauty would not be
detected and appreciated: thus the beauty of the
flower as its identity constitutes, in a mediated
way, our subjectivity as identity which either
intends the flower or intuits it. The same is true
with respect to another human being: we identify
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this being as finite, and mentally and emotionally
homogeneous with us. The distinctiveness of
“me” from “him” is determined by the multitude
of human beings who are all different. Thus the
synthesis of one’s identity ultimately originates in
relationship, which, hypothetically, allows one’s
absence or even non-existence.14 The anticipation
of the identity of the other constitutes one’s identity
as different from the other. The disappearance
of the other from the horizon of one’s life thus
affects one’s own identity. It is crucial here that,
unlike physical objects, it is extremely difficult
to achieve a clear consciousness of one’s own
absence for oneself, that is, non-existence of
oneself for oneself. However, the intending of
this strange condition cannot be entirely empty:
it still contains the presence of one’s subjectivity
as that one who intends its own non-existence.
A similar thing would happen in cosmology,
where any attempt of constituting the notion
of the universe as potentially non-existent is
intrinsically contradictory, for it eliminates with
itself that embodied consciousness which thinks
of the universe.15 Whereas Kant was critical of
the notion of the world as a whole by pointing out
that the difficulties of reasoning about it clarify
the limits of reason, thus contributing towards
the constitution of subjectivity, one can say that
the ideation of non-existence of the world creates
a similar contradiction by revealing the absolute
preconditions for any reasoning in rubrics of
embodiment: there must be the universe in order
to think of it, for it is through consubstantial
embodiment that the existence of reason is
linked to existence of the universe, so that any
eidetic annihilation of the universe must logically
entail the cessation of consciousness itself.
One understands however that the contingent
facticity of this consubstantiality (as reflected in
subjectivity, that is as a transcendental notion), as
well as the facticity of consciousness, remains an
ultimate mystery.16
The contemplation of the identity of the
universe in the conditions of its empirical
absence constitutes the core of the human
condition pointing again to the twofold presence
of humanity in the universe.17 The sense of
identity of the universe comes into existence
from within humanity as a special formation
of the universe, small in scale and at the same
time powerful in terms of its intellect.18 Then
it is natural to suspect that the anticipation of
identity of the universe represents a particular
intentionality of human subjectivity which has its
origin in the singularity of every human beingin-the-world (Heidegger), existence-in-situation
(Marcel), or hypostasis (Levinas). The very mode
of conscious life implies the sense of immanence
with the universe through communion (as
embodiment and articulation). This communion
is drastically different in comparison with the
view of scientific cosmology which considers the
universe as a composite of different eras, domains
and ingredients, that is as a structured and
complex system which in its spatial and temporal
vastness dominates with its “realms” of the nonexistential and non-human.19 The universe rather
appears here through an instantaneous intuitive
synthesis which accompanies the very fact of life
as existence in the universe which forms prepredicative experience.
The anticipation of the identity of the
universe at the pre-predicative level represents,
in fact, a transcendental requirement not only
for its knowability (within discursive reason), but
also for its accessibility by human subjectivity in
general. This requirement originates in a trivial
fact that the identity of the universe is not a
“regular particular” which escapes the exhaustion
through signifiers pertaining to the understanding.
When this conceptual item extends human
thought beyond the limits of possible experience,
theoretical knowledge becomes impossible, and
one must look for the special conditions that adjust
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our thought to fit this idea. The understanding
is not precisely suitable for this purpose, for it
determines (through application of its categories)
only those particulars that are given in sensible
intuition. Judgment (which, according to Kant, is
a faculty distinct from understanding and reason),
however, requires that all particulars be subject to
understanding, that they be rendered intelligible
and explicable under some law or other. In respect
to the universe, our limited cognitive capacity
makes it impossible for us to fulfil the demands
of judgment in any theoretical way: knowledge
remains apophatic, that is incapable of exhausting
the reality of that which it signifies20. In spite of
this we are able to think (within the demands
of mathematics) that the universe is organized
so that we will be able to understand it. This
presumption, or better, a certain belief-based
commitment, establishes the intrinsic teleology
of research: the research aims towards its telos,
that is to the object of the concept of the universe
as a whole, its alleged identity.
Nevertheless reason must discipline
subjectivity in apprehension of the universe as
a whole, and the intuition of the identity of the
universe as a teleological commitment exactly
fulfils this function: it not only provides us with
the assurance that the universe is, but it ultimately
ordains the methodology of physics to be applied
to its study. Physics and mathematics based in the
analytical faculty of reason heroically overcome
the lack of empirical evidence for the identity of
the universe by employing creative imagination
(variation of the empirical carriers of essence)
and extrapolating sensible images of reality,
as well as local physical laws through space
and time, summarising them in a kind of unity,
which is intended by cosmologists as potentially
graspable21. In this case the intentionality
pertaining to physics and mathematics, being
based in the anticipation of the wholeness of the
universe through the instantaneous synthesis,
serves as a delimiter in knowledge of the
universe: it does not cover all aspects of the
universe which are implied by the instantaneous
synthesis. Characteristically, the limitation of
knowledge follows exactly from an attempt to
express symbolically the unity of the actually
infinite universe.22 Indeed, the visible universe
is limited by cosmological horizons23 whose
very existence is inferred from the supposition
of the global space-time structure (as a symbol
of the universe’s unity) exceeding this horizon.
The universe as totality of space and time is seen
as filled with a uniform “cosmological fluid”
(made of clusters of galaxies) 24 characterised
by functions of time which describe the average
distribution of matter for the whole spacelike surface thus disguising all differences in
particular spatial objects. This description of
the universe as uniform in space and in terms
of matter can be treated as a symbol of identity
of the universe, as a construct and intellectual
achievement based in an instantaneous synthesis
(judgement) and not in a successive induction
(that is, analytic derivation). The diagrams which
represent the wholeness of space and time thus
can be seen as pictorial symbols of the sought
identity of the universe having not an inferential,
but intentional origin.
As we mentioned before the anticipation of
the universe as a whole, or its identity, implies
a particular transcendental assumption25, known
as a “cosmological principle”. Its transcendental
dimension originates in the observation that if the
universe changed radically in space one could
not apply physical principles discovered locally
to other parts of the universe. To guarantee the
universal validity of physical laws, at least related
to the observable forms of matter the universe
must be uniform in space, or in different words
the universe must look isotropic from every
possible location in it. This principle postulates
the uniformity of the universe in space, as if one
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could reposition oneself from one point in space
to another and to see the universe as statistically
the same.26 The effect of this postulation is that
the uniformity of the universe thus becomes that
all-encompassing circumscription of the universe
tantamount to the instantaneous synthesis.
There are different things that can be said on
the justification of this principle. As already
mentioned, cosmology as a scientific discipline
would not be possible without this principle:
we could not construct physics which would
describe different, non-homogeneous parts of the
universe.27 Alternatively, based on the observed
isotropy of the universe from the planet of our
habitation, and in order to avoid any inclination
to teleologism, related to the selected nature of
our position in the cosmos one postulates the
same isotropy from all other possible positions
in the universe, which is tantamount to its spatial
uniformity.28 The cosmological principle as a
transcendental assumption naturally appears in
the Kantian stance on space as an a-priori form of
the sensible experience. His apriorism demanded
that space is Euclidian. The cosmological principle
in the Kantian view of the universe follows simply
from the fact that the Euclidian space is uniform.
As to the distribution of matter, its uniformity,
independent from that of space, follows from the
Newtonian gravitational dynamics in the infinite
space. However, it seems reasonable to claim,
that in all possible scenarios the cosmological
principle emerges as a natural consequence of
the transcendental requirement of the explication
of the wholeness of the universe (its anticipated,
through the instantaneous synthesis, identity)
expressed in terms of a successive diastatic spatial
and temporal synthesis, where the instantaneity
is effectively reduced (because of the limitations
of the physical and mathematical sciences) to the
mental spatial uniformity of the universe.29
However, by explicating the instantaneous
synthesis, the cosmological principle brings with
itself a fundamental difference: the instantaneous
synthesis is personal, hypostatic as related to the
fact of life, whereas the cosmological principle,
by its function in theory, advocates the universe
at the impersonal, anonymous level. While
in the instantaneous synthesis the universe is
personified, or enhypostasised, by human agents,
in the cosmological principle, where home places
are shifted and intelligent agencies are “placed”
around the universe, the universe becomes an
“intelligent” entity (and thus intelligible) but with
no “face” of its own. The “face” of the universe
and its name are still allocated by human beings
on Earth not by the way of abstract definitions,
but through ecstatic meetings with the universe
manifesting the unconcealment of being in
general; it is this allocation that demonstrates that
the instantaneous synthesis is still in place in the
very foundation of the cosmological principle.30
Thus the universe’s identity reemerges through the
cosmological principle acting as a transcendental
requirement for the explicability of the universe
(anticipated in its immediate givenness from the
instantaneous synthesis). In fact, as we mentioned
above, the cosmological principle allows one
to use an imagery of the universe, depicting it
through diagrams representing the universe as
a whole. These diagrams become another way
of expressing the instantaneous synthesis of the
universe. Correspondingly one can say that the
cosmological principle forms the fundamental
transcendental requirement for the explicability
of the universe which effectively reduces
and delimits the sense of the instantaneous
synthesis of the universe to what is expressible
in words, formulas and graphs. It is within these
transcendental limits that some cosmological
theories pretend to model and give an image to
the identity of the universe. For example, if the
universe is thought to be closed and finite in space
and time, it is depicted as a curvilinear cylinder
with two apices symbolising Big Bang and Big
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Crunch. But here the universe acquires a kind
of identity as being “created” by consciousness:
the identity of an image is supposed to originate
from the identity of an “artist” who produced this
image. The image of the universe as a curvilinear
cylinder is an anonymous geometrical shape,
created for communicating it within the scientific
community, which, because of its collective
nature, does not bear any signs of personhood.31
Hence one can speak of reduction of the identity
of the universe from personal communion to its
intersubjective and impersonal representation
following from the transcendental requirements
for its explicability. By its constitution within
these transcendental limits the identity of the
universe functions as no more than a signifier of
that which is aimed at to be the identity through
the instantaneous synthesis. However, since such
a representation of the identity of the universe
does not extend beyond its signifiers, it has the
sense of an apophatic identity: it tells us what the
identity of the universe is not,32 and this is the
negative reason why this image is valuable.33 It
is valuable because it confirms a perennial issue
that the universe as a whole can be known only
in the so called negative certitude, the certitude
of a philosophical kind which does not change
considerably in the historical development of
humanity. The positive certitude of experimental
or theoretical sciences dealing with the conditioned
part of the world contribute to our knowledge
of the universe only apophatically, that is only
by means of abberations and approximations
to the reality of what is sought.34 It allows us to
differentiate between the ever mutable results
of eidetic variations of the empirical (which can
be expressed through images) and that intrinsic
sense of immanence (and thus stability, although
not attunement) and participation with being (as
an ecstatic co-relation of the universe to a person,
or the ecstasis of a person as a transition from
concealment to unconcealement, or as experience
of things as related to persons), which cannot be
excluded (reduced) from subjectivity at all.
One can go even further and trace the origin
of the cosmological principle as a transcendental
delimiter in knowledge of the universe to the initial
fact of life as finite embodiment. The adjective
“finite” plays here a pivotal role: any attempt to
think of the universe places this thinking in the
conditions of the impossible, namely of how to
access the actual infinity of the universe from
within its finite formation. On the objectivistic
side, if this access is thought as possible, the
universe must be thought as having in itself that
originary foundation which makes possible the
infinitely progressing self-representation of the
universe from within its own finite formation. On
the epistemological side, this is a transcendental
requirement, because it follows from the postulate
of the universe’s knowability as epistemological
commensurability with it: to know the universe
through the locally and historically contingent
fixed astronomical phenomena and established
physical laws one must postulate a nomological
uniformity of the universe. This uniformity bears
an intelligible character: all parts of the universe
are subject to similar laws and thus, as uniform
intelligible entity, the universe is accessible
to the human intelligence as a stable and selfidentical pattern. The postulate of the uniformity
of the universe demonstrates the transcendental
ability to displace itself in the intelligible space
in order to stretch consciousness across the whole
universe, the universe which is now treated
not only as the outward intelligible entity but
also as the intelligent entity (as a multiplicity
of potentially possible and spatially separated,
but transcendental observers). However, this
displacement (interchange of home places),
being eidetic in its essence, does not imply any
interchange of spatial hypostatic embodiments.
So that, postulated as an intelligent entity, the
universe does not acquire the status of a home for
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humanity: the cosmological principle makes the
universe uniformly intelligible, but anonymous
and impersonal, for the intelligibility of the
universe does not entail the embodied presence
of human beings in the physical universe. In
this sense the personal instantaneous synthesis
of the universe as a whole through sheer living
communion with it, as it is experienced here
and now (on the planet Earth), and which has
a distinctively human character, is replaced
by the anonymous and impersonal discursive
representation of the universe as uniformly
extended in space and time.
The intuition about the identity of the
universe as its instantaneous synthesis can
thus be treated as a deposit of personhood in
perception and articulation of the universe. This
does not imply that the content of this synthesis
is somehow exhausted by a person on their own
as if personhood mimics some innate and nonoriginary (with respect to the universe) modes of
apperception. It just says that this instantaneous
synthesis, as an ecstatic movement towards being,
receives its manifestation in a human person, and
in no way the sense of the identity of the universe
is reduced to the rubrics of the “I” or that this
identity acquires explicitly any hypostatic features
different from those deposited by the carrier of its
enhypostasisation. The universe does not become
hypostatic, whereas its encounter with human
persons results in its being presented through such
metric properties, which, by their constitution,
are enhypostasised. However, one cannot exclude
that cosmological research, as human activity,
forms the idea of the identity of the universe in a
“quasi-hypostatic” sense, when the very impetus
of research becomes an interaction with yet
unknown and fundamentally open-ended “being”,
which while being manifested to a cosmologist
through multitude of appearances is resistant to
any accomplished comprehension. 35 Then, seen
from a philosophical perspective, a theoretical
exploration of the universe can be interpreted as
an attempt to enter communion with another parahypostatic being by means of discursive thinking.
In this case the fundamental irreducibility of parahypostatic being to its “pieces” and “moments”
(one cannot know a person by dissection) confirms
our previous intuition that the cosmological
research (as related to the universe as a whole) is a
fundamentally open-ended, and thus an apophatic
enterprise, resembling in its existential objectives
the aspiration by humanity to establish the sense
of its existence and its identity in the world.36
Unlike phenomenology which allocates
a special place to the idea of the world (or
the universe) as the “horizon of all possible
horizons”37, thus introducing the knowing subject
in the heart of the constitution of the world,
scientific cosmology, as a particular physical
discipline, is interested not in identifying the
universe as the horizon of all possible horizons
in an existential sense but rather in the integrity
of the universe as the sum total of physical being
and, in particular, in its origin as the antecedent
of this integrity.38 The identity of the universe
for a cosmologist forms a subject of his intended
ideal: to find the ultimate formula or set of
formulae (ultimate theory) which will express
the physical law behind the origin, uniqueness
and concreteness of the universe which we
perceive through the symbolism of the night
sky; in this sense cosmology is naturally prone
to foundationalism, as a tendency to establish
the ground-grounded relationship between the
visible universe and some underlying reality.
This desire reflects humanity’s anxiety about the
contingency of its own existence and desire to
rely on some stability and assurance in the midst
of the natural world. The anticipation of a certain
stability of personal existence as following from
the integrity of the world is always present in our
epistemic horizon, but has a deficit of explication
so that the ways of expressing this integrity in
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scientific cosmology represent mere metaphors
and symbols of the unknowable; the search for
the sense of hypostatic existence is transferred to
the universe as that other under the pressure of
which (manifested in the instantaneous synthesis)
the very incarnate ego is constituted.
The issue of identity of the universe may be
approached from a different angle. The paradox of
human embodied subjectivity represents a certain
perception and expression of co-inherence, that is
of mutual indwelling of human hypostatic beings
and the universe, on the one hand, at the level of
their consubstantiality (human beings are part of
the physical cosmos, so that they are contained by
the universe), and then at the level of “hypostatic
inherence”, as articulated givenness, in human
subjectivity (the universe as manifestation, as
an articulated image, is contained in human
subjectivity); humanity is the voice (hypostasis)
of the universe.39 In this sense the universe
turns out to be an indispensable part of the
event of communion understood as totality of
life.40 Co-inherence denotes here such a mode of
communion with the universe which makes any
description of the universe in terms of its gradual
stages of formation psychologically irrelevant:
the sense of the entirety of the universe as copresent to a living human subject enters into an
existential contradiction with an object-like vision
of the universe’s parts and phases of development.
Co-inherence suspends the perception of the
universe as being extended in space and time.
This mode of communion can be paralleled
with thinking of a person who is not empirically
present: this is communion with a person who is
present in absence in which any notion of space
as separation is suspended.41 The universe as a
whole is present to the subject of intellection, but
as “present in absence”, for there is no place or
space (horos) can be allocated to this presence.
This presence is rather hypostatic as belonging to
that who enhypostasises the universe as a whole
and represents rather a standing in front of the
universe, and communion as an unavoidable fact
of embodied existence. Seen phenomenologically
the act of thinking of the universe as a whole
implies the reduction of its varied content to a
single consciousness which suspends space and
time.42 However this intentionality with respect
to the universe as a whole remains unfulfilled, for
it differs fundamentally from any intentionality
directed to any particular being whose factual
“presence in absence” can actualise eventually
in “presence in presence”. The universe as a
whole is unknowable not in the sense that it
can not eventually become knowable, but in the
sense that there is an inherent unknowability and
ineffability of some aspects of the universe which
follow from the human beings’ finitude, and
hence their non-attunement to it43. The universe
is always given in excess. The contemporary
explosion of cosmological theories and their
precarious character demonstrate a simple truth
that the more we know about particular facts
of the universe the less we understand its sense
and the ground of its facticity.44 Cosmological
theories and their perception by the public mind
thus represent an endless hermeneutics, and
endless “exegesis” of the available experimental
and theoretical texts about the universe.45
The idea of the universe through communion
allows us to conjecture that to grasp the sense
of this communion and thus to initiate physical
research one must be prepared for an open ended
epistemological adjustment in the course of the
unfolding dynamics of the reality of the universe,
which as acting upon subjectivity creates a
proper epistemology in order to grasp this reality.
First of all, the openness of epistemology follows
from a simple truth articulated above that “the
universe as a whole” if it is considered as an a
priori object of research does not exist. The term
“the whole universe” does not constitute a name
for some object which exists antecedently with
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respect to the human enquiry which as such aims
to constitute its sense. One cannot define this
“object” discursively before the actual process
of its study by embodied human beings begins
and thus characterises and outlines “it”. Since the
definition of the universe as a single unique object
would require an indeterminantly large number of
sentences (Munitz, 1975, p. 337), not only related
to distinct parts or structural units, but also
related to the open-ended advance of knowledge
in which description not only accumulates
sentences but qualitatively changes in time due
to the changing character of interaction between
man and the universe. There is no preconceived
and universal (in terms of historical time)
methodology of cosmological research: this
methodology as part of knowledge in general is
open-ended. The methodology used in modern
cosmology is historically contingent and, by
definition cannot pretend to universal status. In
this sense the definition of the universe implies
not only statements about facts and physical
realities, but theories and models of the universe
as those tools which hover over the intelligible
part of the universe being intrinsically its own
part. In other words, the expression “the universe
as a whole” implies the need to explain what
language of saying and what sense of the term is
used in this case, that is to indicate what theory
or symbol of the universe is used. The historically
contingent fullness of the notion of the universe
is then achieved through the complex of theory
and its constituted correlates. However, as long
ago pointed out by Munitz, the “relativity” or
fragmentary nature of such symbolic complexes
does not remove the major unavoidable fact of the
universe as communion, common to all theory
makers (Munitz, 1957, pp. 69-70). In this sense
the second important aspect of the apophatic
approach in cosmology emerges: namely as a
certain logically consistent or coherent freedom
of expressing the experience of the universe
through scientific discourse while ascertaining
that there remains the basic rule of comprehension
of the universe as containing embodied agents of
subjectivity disclosing the sense of the universe.
Let us employ an analogy: we mentioned above
that discursive knowledge of what is meant by
saying “person” is problematic and needs an
apophatic approach; however, this same person
as an experiential being is always in place as
the dative of manifestation and nominative of
disclosure. Similarly it is one thing to pronounce
emphatically “the universe as a whole” and then
expect the incessant difficulties in explicating the
meaning of this proclamation of something which
is present in absence, and it is completely different
to affirm the universe as the silent medium of any
hypostatic existence which is always present in
spite of all differing ways of its description in
scientific cosmology. The universe as a whole is
that which can be discursively subjected either to
propositional affirmation or negation thus forming
a sort of “antithetic dialectics”. 46 However, in
all assertions, either positive or negative, the
universe manifests itself as the constant and
unavoidable factor of embodiment of humanity
in this universe which exhibits the paradoxical
standing of human beings in the universe in the
conditions of physical and biological finitude and
psychological non-attunement in space and time
on the one hand, and in possession of a non-local
and transcending insight of subjectivity on the
other hand (regarding themselves as standing in a
God-like epistemic relation of creative intellectual
determination to the world), In view of this
the constant balance between the fantasising
tendencies of any theoretical cosmology and the
inevitability of biological embodiment remains
untouched and as such represents a stabilising
factor of any cosmologising, making doubtful
and unprobable all theories of the universe which
diminish or disregard the presence of humanity
which articulates the universe. 47
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Coming back to the issue of the identity of
the universe, as a result of our discussion, one
can conjecture that the sense of identity of the
universe through communion can be defined as
the enhypostasised mode of the universe’s inward
existence in human subjectivity which does not
need a spatial and temporal representation (another
way of expressing the instantaneous synthesis). It
is then clear that such an identity is not an abstract
philosophical notion, not an impersonal substance
or the totality of all convergent sense-impressions
(or convergent rules of correspondence) and their
objective correlates, but a transferred feature
of subjectivity, its response to the pressure of
existence in the world, under which the identity
of the “I” is being constituted. The contemplation
of the identity of the universe is similar to the
contemplation of the identity of one’s “I” as the
break through the anonymity of existence and
its solitude (Levinas, 1987, p. 41)48, its ecstatic
rupture towards the unconcealment of being. This
contemplation can be compared with experience
of life as existence in solitude, that experience
which does not dissolve in social tasks and
objectives, but rather corresponds to a child’s
perception of being, given in its sheer facticity,
as mystery with no beginning and no end.
Life as communion creates the sense of its coinherence with the universe (coaevus universo),
its fundamental attachment to the universe when
the universe exists only in so far as a hypostatic
communicant exists. This pre-predicative mode
of perception obviously does not enquire about
the grounds of the universe’s facticity, for if it
were to do so, it would be tantamount to enquiring
into the facticity of one’s “I”. As a consequence,
in this attitude, the question about the origin of
the universe in an objectivistic sense does not
arise, because the universe is not an object, but
communion.
Communion implies that the universe exists
for me only through my body, so that my body
turns out to be the centre of disclosure of the
universe. But my conscious contemplation of my
body is not a simple act of depositing and treating
my body as ad extra to my subjectivity. My
body and consciousness co-inhere, so that any
separation of my body from me as identifiable self,
in thought, has the sense of a crude abstraction
with no existential meaning. The immediacy
of this co-inherence, since it takes place only
in so far as life continues, has no spatial and
temporal dimension: I exist only as my body.49 If,
in thought, my body is abstracted as an external
thing, as a physical object, in a similar way, the
universe, as an overall context, including my
body, is abstracted as a thing among other things
and is treated as an object. This is what G. Marcel
called the cutting of the umbilical cord: “the
more I insist on the objectivity of things, cutting
off the umbilical cord which links them with
my existence, that one which I call my organophysical presence in me, the more I affirm the
independence of the world with respect to my I,…
more the world thus proclaimed as the only real,
would convert into an illusion, a documentary
produced for my curiosity, but which in the long
run self-annihilates by a simple fact that it ignores
me.” 50 The “cutting of the umbilical cord between
human subjectivity and the universe”, exercised
mentally, when the primary “contemplation of
the fullness of life and its co-eternity with all
being” stops, leads one to enquire, along the
lines of the natural attitude, into the origin of
things: where they come from, are they finite
and where they go as if this “where” would be
an anterior or posterior something possessing the
phenomenality of objects. Such a consciousness
starts to enquire about the sense and origin of the
object-universe, for to understand it as an object
one should know its origin, where it comes from:
what is that antecedent something which was the
originary for the universe. In this sense the form
of enquiry into the facticity of the universe which
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presupposes the explication of its antecedents
represents a general transcendental condition for
studying the universe which follows immediately
from the infinite tasks of humanity: in this sense
the rubric of study of the genesis of the universe
contains intrinsically a teleological motive,
namely to conduct research in order to explicate
the sense of human existence.
The just mentioned teleological condition
entails the entry of temporality into the discourse:
the universe as an object of research is possible
only if it can be expounded in terms of its
consecutive stages of appearance which in turn
entail (as we know from cosmology) the presence
of such a “moment” in its allegedly existing
originary past where all, which is in the universe,
had its ultimate origin. In different words, to
know the universe as it is, is to know its history.
This is a transcendental condition similar to that
which is present in the field of the human sciences:
namely, to know humanity, that is human beings,
means to know its history, sociology, sociology
of scientific enquiry etc. It is interesting to note,
however, that the presence of the originally
inherent “identity of the universe” as its unity
(present in the instantaneous synthesis) in human
subjectivity does not disappear when the nonegocentric intentionality of physical cosmology
prevails and subject-object dichotomy becomes
very acute. The integrity of the universe is seen
not through the variety of different objects,
whose mutual coherence is not available to the
human grasp here and now, but enters human
subjectivity under the disguise of the universe’s
antecedent unity, its origin. The idea of the origin
of the universe becomes an inevitable result of
the naturalising tendencies of consciousness
to project the inherent instantaneous synthesis
outwardly, making it explicable in non-hypostatic,
impersonal form. The hidden nostalgia for the
identity of the universe, inherent in the primary
instantaneous synthesis, transcends the circle of
its interiority and manifests itself in the search for
the remote origin of “all in all”51, in the Big Bang
positioned in the past as the antecedent unity of
the whole. However, the notion of the Big Bang
in cosmology is ascribed the phenomenality
of an object, being an exteriorised effect of the
instantaneous synthesis. The very urge, pertaining
to the use of non-egocentric intentionalities,
in their attempts to express communion with
the universe (and co-inherence with it) in an
objectivistic language, leads a cosmologist to
an idea of the ultimate origin of the universe,
which connotes with the issue of the origin of
cosmologists themselves. In a way, to enquire
into the origin of the universe, is psychologically
to mirror the problem of one’s own origin, and
to comprehend the very moment of inception
of that incarnate hypostatic existence which
experiences the ineffable link with the universe.52
It is reminiscent of G. Marcel’s assertion that the
problem of the origin of the universe and that
of one’s “I” is one and the same fundamental
metaphysical problem, the problem of facticity of
being which represents a primary existential fact
and whose mystery is insoluble (Marcel, 1965, p.
24). It is this mystery, that is the perception of
personal identity as unique and monadic (Levinas’
language) existence, as that centre of disclosure
and manifestation from which all is unfolded
in its articulated mode, in rubrics of which all
types of thematisation of distinct objects in the
universe take place. 53 The working of the initial
instantaneous synthesis promotes itself through
the fact that it remains an ultimate transcendental
delimiter of the constitution of the universe in its
outward, object-like phenomenality.
Constitution of the universe:
a general analysis
In everyday life and in all aspects of
scientific experience where classical physics is
applicable, to deal with objects as they have been
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“constituted” may sound a bit odd, for to deal
with the constitution of objects is the prerogative
of a philosophical consideration which is no way
an objective of physical cosmology. Indeed, if
such a constitution had taken place, it was in
the ontogenic past of human beings (in every
individual person this constitution is transferred
through social practices as a matter of the fastest
adaptation to the social and physical conditions
of living). In this sense the basic conditions of
the constitution of objects have been at human
disposal since those original times and they need
not be questioned. Consequently the classical
sense of objectivity as referring to material
objects out there is accepted as already given.
But in cosmology things are different.
The basic condition of the constitutions of
objects in macroscopic space-time are no longer
available and hence we are forced to think about
cosmology not in terms of objects, but the ways its
subject matter, that is the universe as a whole. is
constituted. If one refers back to classical physics
one understands the conditions of constitution
in space and time in terms of two major
requirements: the continuity and reversibility of
the temporal sequences of phenomena. If they
are implemented in a particular situation they
give ground to the idea that there is something
permanent and substantial preserving its identity
across space-time, something which is endowed
with properties (attributes) and which can be
involved in a physically causal manner into
sequences of events. But none of these conditions
can be enforced on the mega-scales, that is, on the
scale of the universe as a whole.
Since by definition the universe encompasses
all space and time, so that its “trajectory in space
and time” cannot be constructed and the universe’s
identity cannot be tested “across space and time”
(unless in a “superspace” of the Multiverse), the
universe is not an already constituted object and
its identity manifests in constantly renewing
contingent events of knowing which include
beliefs in continuity and stability of the universe
as a whole within human historical temporality as
well as beyond it, that is in the non-human. One can
speak about the identity of the observable cosmos
as enduring through the ages of civilisation, but
this is not an identity of the object subjected to the
repeated tests of classical physics. The universe
is unique and cannot be rerun. This naturally
entails that the criteria of reproducibility of
phenomena across a large range of variations of
perceptible and experimental histories does not
stand in cosmology. One can admit that there are
some given aspects of the visible universe which
constitute a common already given background
for all historically consecutive, although
contingent, observations (some aspects of our
galaxy, for example). The important thing is that
the universe as a whole is subject to advancing
redefinition of its constituents through changing
the transcendental conditions of its observability
(related to the advance of embodiment through
technology) and demand for its mathematical
expressibility. In this sense the universe’s
constitution is effectively an open-ended mode
of being of the universe itself, or, as Heidegger
would say, the constitution of the universe is
bringing it forth into unconcealedness, into
openness of disclosure.
The anomalies with the constitution of the
universe (in contrast with ordinary objects) can
be elucidated through the appeal to the Kantian
distinction between the principle of mechanism
and the maxim of teleology which can be applied in
the study of nature. According to the mechanistic
methodology the scheme of constitution based
on ordinary causality requires free substitution
of well-defined antecedent conditions in order
to check that a certain effect is determined by a
certain antecedent. In cosmology this definition
of causality cannot be applied to the universe as a
whole unless theoretically, that is on the level of
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eidetic variation of that which is given. Indeed,
in order to describe the given contingent state
of affairs in the observable universe one can
produce, depending on models, many versions
of the initial conditions which are supposed to
launch the evolution of the universe towards
the present. The freedom of constructing these
models in order to explain away the contingency
of the present, points out, in fact, that the implied
physical causality is a constructed causality, the
causality of the reversed temporal order, where the
antecedent conditions are in fact postcedent and it
is the past of the universe which is reconstructed
on the grounds of the present.54 The efficacy of
physical causality in the allegedly “from-pastto-present” temporal order is manifested in the
movement of its reconstruction, the reconstruction
which as such takes place in the opposite, that is,
“from-present-to-future” order. In other words
the constitution of the physical causality in the
past takes place through a teleological move of
thought as directed to the future, where the telos,
the goal of cosmological explanation is exactly
that sought physical causality of the past. Thus
the very possibility of applying the principle
of mechanism to study of the universe in its
frozen past is ordained by a hidden teleological
requirement for the explication (expressibility) of
the universe.
The transcendental sense of what is meant
by constitution arrives from a Kantian stance on
it: a constituted object is neither isomorphic to
a real object existing in itself, nor reducible to a
figment of imagination. An object appears as an
intentional correlate of subjectivity subject to two
essential things: first, there must be a structural
framework which makes intention semantically
significant and communicable and second, the
intentions must imply fulfilment, that is, they are
not empty. Objects are by no means construed
as part of external reality in the strongest sense
(this would make the intentions unfulfillable, for
the grasp of this reality through mathematical
synthesis would be contradictory to the finitude
of humanity related to embodiment (Moore,
1992)); yet objects are independent of particular
subjects: they donate themselves to subjects in
such a way that not everything in this donation is
controlled by the subject and thus not everything
is subject to mathematical synthesis (one speaks
here, using again the Kantian terminology, of
“particulars” which escape exhaustion through
discursive definitions; elsewhere these particular
were named “recalcitrant” (Butts, 1990, p. 2)).
The situation with the universe as an object
of intention is aggravated by the fundamental
inaccessibility of its alleged totality55 which
makes all intentions to be fundamentally
unfulfillable (not only on the grounds of
impossibility of a mathematical synthesis). In
this sense the constitution of the universe as
an “object” is never accomplished and thus is
being taken as in an ongoing present continuous
tense. In fact, one cannot talk about constitution
as an ever accomplished act, but one can talk
about constitution as never-ending fulfilment of
the intention to have the sense of the universe.
Correspondingly, the objectivity in cosmology no
longer means a complete detachment of entities and
properties of its constructs from the constructing
cognitive faculties, but the coordination of
phenomena associated with the visible universe (as
well as theoretical models of universe as a whole)
across a variety of instrumental and communal
theoretical circumstances.56 The invariants
introduced through this coordination exceed the
manifest modalities of contingent objects and
their theories and refer to some basic structural
properties which are present in all cosmological
theories and representations and which form the
conditions of knowability. For example, the basic
geometrical structure of space time adopted in
the standard cosmological model corresponds
to the belief (called “cosmological principle”) in
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the spatial and substantial homogeneity of the
universe. This belief comes forth as one of the
signifiers of the universe’s objectivity. For naïve
physical realists or empiricists this claim for the
objectivity of the universe through the geometrical
structure would not be convincing since this
allegedly existing structure cannot be verified
because of a limited observational access to space
of the universe along the past light cone. 57 They
would demand an element of reality available to
empirical verification. To avoid the naivety of
any straightforward ontological commitment it is
reasonable to treat the cosmological principle as
a transcendental requirement for knowabilty and
mathematical expressibility of the universe.
Thus transcendentalism naturally enters the
discourse. First of all the stance of realists in their
ambition to have reality available as “present in
presence” is replaced by a neutralisation, namely,
that any conceptual structure representing
the universe is not obliged to represent the
universe as it is really in itself. Realism in a
transcendental sense claims only that the universe
is being constituted through employment of these
structures and thus its reality is the reality of
this constitution. The major requirement here is
that the structure must avoid paradoxes, so that
its elements form a coherent set; this structure is
generic as much as possible and then it is able
to unify the largest volume of cosmological
knowledge at a given historical segment. In
cosmology, the invocation of such a structure
implies an appeal to metaphysical propositions
about the wholeness of the universe, which
resemble beliefs. In this sense the coherence
of the elements of a structure follows from the
coherence of beliefs. The sense of reality is thus
based not in a straightforward correspondence
with that which is available to the senses (which
is not possible anyway in the case of the universe
as a whole), but on the relative stability and
coherence of the adopted representation of the
universe related to communal beliefs (that is to
community of cosmologists). The sense of reality
of the universe is related to the historicity of its
constitution and to the community of those who
claim its objectivity. The individual subjectivity is
replaced by intersubjectivity in a transcendental
sense, that is in the sense of general conditions
of knowledge formulated on the level of the
community of cosmologists.58
By invoking the idea of structures in
cosmology one naturally implies the employment
of mathematical physics, bearing in mind its
historical advance in the last two centuries which
extended the transcendental stance in physics
beyond its initial Kantian scope. It is mathematical
physics which implies the introduction of
“mathematical constructs”, that leads to the
transcendental problematics59, and is concerned
first of all with the general-relativistic extension
of classical mechanics by means of mathematical
representations of space and, in particular,
their symmetries which lead to conservation
principles and corresponding observables.
Through the idea of a global symmetry of space
that transcendentalism enters into cosmology in
an unexpected way, namely through postulating
a principle of non-observability of absolute
kinematical magnitudes related to the largescale structure of the universe. These quantities
can be used for the explication of the behaviour
of the unverse but they cannot be observed and
measured.
For example, by postulating the cosmological
principle, that is the uniformity of space in the
universe one reduces to non-sense and hence
to non-observability any particular physical
location. This non-observability reduces
the description of the universe to a minimal
number of parameters thus making possible
its description in terms of variables related to
the overall structure. The form-invariance of
metric, as well as other cosmological quantities
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demanded by the cosmological principle entails
the possibility of introducing such global
parameters as the expansion scale factor, energy
density and pressure of the global cosmic “fluid”
related to clusters of galaxies. These parameters
are related to the totality of the universe in space
and thus contain only dependence on cosmic
time. We do not observe the structure of space: it
is homogeneous (uniform) and hence effectively
non-existent, that is the notion of “location in
space” is deprived of any physical meaning 60 (loss
of information). At the expense of this we describe
cosmological evolution through functions which
satisfy some equations but whose values can be
established only at the point of our location; they
are non-observable at the global scale, because
of the constraints of physical causality.61 In this
sense the cosmological principle as a principle of
non-observability of space acquires the status of
a transcendental principle: the non-observability
of absolute kinematical properties of objects in
the universe entails their theoretical explicability.
This explicability can easily be illustrated by
reference to Noether’s theorem which links
space-time symmetries with conservation laws,
that is with the integrals of motion and hence
with observables, or, expressed differently, the
observability of the conserved magnitudes at the
expense of loosing information about their absolute
location in space. According to the proponents of
the so called formalized (scientific) epistemology
Noether’s theorem made evident that the loss of
some information due to the symmetry properties
“entails a gain of determination for the physical
system itself by exhibiting the corresponding
invariant quantities which contribute strongly
to its identity” (Bailly, 2003, p. 378). While this
is true for individual objects, in cosmology the
space-symmetry implied by the cosmological
principle, does provide us with the global
parameters which describe the universe, that is
constitute its identity, but these parameters are
not conserved: they satisfy Einstein equations
which describe them as functions of time. Still
one can claim that the implementation of the
cosmological principle assigns some identity to
the universe through these functions.
Here transcendentalism exercises itself
in a mode which, being intrinsically Kantian,
ultimately leads to an effect which is inverse
with respect to that of Kant: the cosmological
principle starts by abstracting from the intuitive
content of experience of the visible universe by
subordinating it to the principle of unity expressed
through the uniformity of the universe. However
it is this invocation of the unity which ultimately
leads the way to the introduction of the analytical
properties of this unity (scale factor, for example)
which are subject to mathematical synthesis
which represents a movement from the initial
conceptual unity of the universe to its referents
which are subject to investigation in mathematical
equations and calculations. One cannot say that
this movement leads directly to the intuitable
manifold since the cosmological functions, in
spite of mathematics’ manipulations with them
are not observable and empirically sensible. Still
these referents contribute through computational
operations with them to the constitution of
the universe beyond the purely metaphysical
assertions of its unity. Thus we see that the
transcendental stance in cosmology does not
imply an appeal to some abstract compendium of
the cognitive, intellectual faculties of cosmologists
which predetermine in advance the scope of their
observations and theories. The transcendental
dimension of the cosmological enquiry enters as
a component of the philosophy of constitution,
that is as a natural mode of phenomenological
appropriation of cosmology.
As we mentioned before, a theoretical
explicability of a transcendental kind does not
require that theoretical constructs correspond to
empirical (sensible) reality. The constitution of
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objectivity is achieved through the generic nature
of these constructs and their mutual coherence,
accompanied by some metaphysical requirements.
The cosmological principle is an example of such
a requirement. In this sense the constitution of
reality is its theoretical explicability, but with
no simplistic ontological commitment. The
latter thought becomes even more clear if one
realises that the demand for non-observeability
represents a form of “applied apophaticism”,
that is a conviction that the signifiers of reality
(that which is to be explicated) do not exhaust
the reality of what is signified (explicated) simply
because some (contingent, that is non-relative
(and in this sense absolute)) aspects of this reality
cannot be seen. In this sense the enterprise of
constitution based in theoretical explicability
and its coherence is intrinsically apophatic
(incomplete, unaccomplished) because it is
related to the historically contingent communal
agreement on the coherence of explicability.
The fundamental question which one now faces
is the status of mathematical constructs related to
the theoretical explication and hence constitution
of objectivity in cosmology. The pretence of
some adherents of a radical mathematical realism
that mathematical explication, thematisation
and objectification lead to a realistic ontological
commitment62, runs against the transcendental
stance on the neutrality of the constituted nature
with respect to ontological commitments, as well
as against the claims of the justification schemes
based on coherence of explanation. Making the
argument more precise, the question is: where,
in what particular place does the persistent ideal
identity of the invoked mathematical entities
becomes insufficient in order to claim that a
whole theoretical explication by means of these
entities does not reach its ontological objective
and remains ever incomplete. One can look for
an answer by making a distinction between the
operation of sheer abstraction from the manifold
of intuition, which can be mathematical and whose
ontological commitment remains uncertain,
and a mathematical synthesis of that which is
constituted through calculations and computations
adjusted through the rules of correspondence
with observations. This distinction suggests that
physical objectivity cannot be tantamount to an
ontology of some independent substantial reality
simply because the computational synthesis is
rather a prescription for how to understand the
universe and correspondingly what can be known
of it. Since mathematical physics is linked to
the computational synthesis its very possibility
is restricted by the conditions of experimental
accessibility and by the intellectual criteria of
coherence of constructs. These conditions of
observability and selection of mathematical
constructs on the grounds of communal
metaphysical requirements are therefore
constitutive of the very concept of a physical
object. Then, the concept of the universe, that is
of that which is donated empirically and in rubrics
of non-contradicting thought, cannot imply the
objectivity of an independent reality, that is an
ontology; rather one speaks only about a “weak”
objectivity.63 Seen in this way, the mathematical
synthesis is an open-ended enterprise, an
asymptotic approximation of reality, in particular
if it is related to the universe. The possibility
of a mathematical reconstruction of such an
ontological reality would ascribe the human mind
excessive intellectual capacities which transcend
its finitude related to the limits of embodiment.
However, in spite of the fact that physical
objectivity established through mathematical
physics is not ontological, it is not entirely
subjective either; the latter follows from the
fact that this objectivity is not descriptive, but
prescriptive, because it uses the conditions of
accessibility to the realities which are beyond
sensible experience, as well as to certain
metaphysical ideas and ways of their mathematical
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expressibility. The way such a prescription is
done encodes a paradox which is intrinsic to
how the sense of physical reality is constituted.
Indeed, by taking into account the conditions
of empirical accessibility and mathematical
expressibility of universal metaphysical ideas,
this prescriptive procedure does not include the
“theory” of structures of subjectivity (which
makes possible both reference to empirical and
intelligible reality, as well as to metaphysical
ideas) into the theory of the physical universe. In
other words, a predication of the universe does not
reflect explicitly the underlying conditions of this
predication (not only physical, but mental). One
can suggest that this paradox in a way explicates
an essential feature in the constitution of human
subjectivity, namely that this subjectivity is
meaningfully defined (apophatically) through
the extent that it cannot be included into its own
product, namely cosmological theory.64 The
working of subjectivity in this ambivalent way,
when its contents as manifestations of its working
do not contain explanations of the very possibility
of this working, represents a fundamental
movement of disclosure, which is nothing other
than the pure emergence of the meaning of this
very subjectivity, that is its constitution.
Then, when we come to categories and
principles of physical objectivity in cosmology
interpreted mathematically, the conditions
of accessibility to metaphysical ideas and
corresponding references to empirical reality
are incorporated in them. For example, when
cosmology invokes the notion of the universe
in terms of “totality”, “unity” and “wholeness”,
notions which are metaphysical rather than
physical, this invocation includes the conditions
of its semantic explicability and mathematical
expressibility of what is predicated. The
cosmological principle as a product of a reasoned
metaphysical and coherent convention among the
community of cosmologists generates the sense of
a weak objectivity of what it attempts to describe,
that is the universe as a whole. Combined with
a theoretical model of the universe’s expansion
the cosmological principle makes possible a
pictorial representation of the universe as a whole
in spite of an a-priori philosophical conviction
that any such representation is precarious and in
the best case iconic.65 This confirms further the
transcendental nature of this principle: it makes
possible the graphical symbolism of the universe
as means of its manifestation. Certainly this
symbolism, being only a form of signification,
does not exhaust the sense of that which is
signified. Nevertheless it generates the sense of
identity of the universe in spite of the fact that the
sense of this identity is only the enhypostasised
form of identity in itself.
The transcendental move towards explication
of the universe in the context of the cosmological
principle gives an example of how reason
proceeds from complexity (and contingency) of
the given (empirical particulars) to the simplicity
(and necessity) of representation of groups of
objects subjected to high symmetries. To explain
something means to overcome the facticity of the
contingently given by reducing its phenomenality
(or appearing) to a minimum and by replacing
it by an intellectual intuition of that which is
allegedly necessary. The structure of the global
space in cosmology cannot appear, so that its
phenomenality is impossible. What appears is
predetermined by physical causality which, by
means of the past light cone corresponding to the
home place, selects a particular fragment of the
universe (its particular phenomenality) which is
seen as cosmic display. The transcendental nature
of the cosmological principle is strengthened by
the fact that the homogeneity of the universe in
space cannot be extrapolated from observations.
What one sees in the universe as uniform (or, more
precisely, isotropic), de facto, belongs to different
temporal eras because of the causality based in
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the finitude of the speed of light (light cone).
That piece of the universe which we see from our
home place contains objects belonging not only
to different locations with respect to us but also
to different times. However, physical cosmology
teaches us that the universe is not homogeneous
in time: it evolves and observations point
towards this. In this sense the universe manifests
contingency not only in terms of space (our space
as related to home place) but also in terms of time
(the era when human beings exist).66 And if the
spatial contingency is removed through an appeal
to the cosmological principle (and as we have
said this principle guarantees the explicability
of the universe), the contingencies related to
time are tackled differently by constructing the
dynamics of properties related to the subspaces
of space-time corresponding to fixed moments
of time. In other words, unlike the cosmological
principle which acts as a metaphysical postulate
(having in itself some teleological connotations
related to expressibility and hence to the
purposiveness of research), the requirement for
the existence of a universal temporal dynamics
of global cosmological parameters represents
another type of transcendental requirement for
the knowability of the universe as a whole which
contributes to the universe’s constitution and its
“weak” objectivity.67 If such a dynamics exists,
then the cosmological principle is implanted in it,
first of all as the very possibility of mathematical
expressibility of this dynamics (equations for
the scale factor a(t) and energy density ρ(t) ),
and secondly in the initial conditions of those
dynamical principles which drive the universe.
The dynamical inhomogeneity in time through
the laws of evolution of the main cosmological
parameters does not remove the problem of
contingent facticity of the observable universe: it
just transfers this problem to the allegedly existent
remote past, that is to the contingent initial
conditions.68 This move reveals itself as another
transcendental constraint on expressibility of the
universe as a whole in terms of the mathematical
(related to the initial conditions) and thus as a
condition of its constitution. This transcendental
constraint pertains to all cosmic mythologies
which retrace the generative steps that have led
from the primordial past to the present. The
schema of representation is the movement from
the undifferentiated unity (the initial condition,
the Big Bang) to a qualitatively differentiated
multiplicity in a way such that initial origin
is saturated in that it precontains the entire
process of formation of the diverse structure
of the cosmos. Thus all particular cosmologies
which follow these steps represent theories
of constitution of the universe. Constitutive
thought re-enacts the production of the visible
things, their manifest being, from the origin. The
intelligibility achieved in constitutive thought of
the universe reproduces in its own development
the original unfolding which posits the universe
as the universe and in which (that is in unfolding)
the universe itself consists. In other words, when
in thought one enquires into the beginning of
the universe as its origin, this thought ultimately
enquires into its own beginning. Understood
in this key, the conditions of accessibility to
and explicability of the universe are ultimately
implanted in the embodied subjectivity; in other
words the universe, by allowing human beings to
come into existence, predetermines the possibility
of its own explicability and constitution. This
last point brings us to assert with a new force
that cosmological discourse as constitution and
explication of the universe is inseparable from
the problem of explication of human subjectivity.
Transcendental delimiters
and human subject
There is a fundamental philosophical
presupposition which lies in the foundation of
all speculations about the universe, namely that
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the cosmos is observed, articulated, described,
and glorified by human beings who have the
cognitive faculties and abilities of doing so.
In particular, the description of the cosmos is
linked to the human capacity of transcending
the realm of the immediately given and through
intuition and imagination to wander across
the whole universe. The position of humanity
in the universe is fundamentally ambivalent:
while being a miniscule part of the cosmos, the
universe as a whole is articulated by this part.69
One can then assert that the image of the universe
(empirical and intelligible) is the anthropic
image, so that it is natural that the universe
conforms to the fact that there exists humanity,
and the picture of the universe includes humanity
as its author. Humanity intrinsically enters all
cosmological propositions because the universe,
being a subject matter of cosmology, implies the
presence of humanity as cognising subject. The
universe cannot be considered as an object in
the sense of classical physics, that is a corporeal
entity invariant with respect to space and time.
In this sense the famous Copernican “turn” in
description of the astronomical universe (through
denying the selectiveness in a particular view
of the universe) represents a certain attempt
to ascribe bodily character to the universe by
transferring this quality from the immediately
accessible Earth to the remote cosmos. Humanity
is earth-centred, so that the universe is weighed
not only against humanity as such, but as corporeal
and earthly existence. In the words of E. Husserl
the transcendental argument in constituting
the universe is: “if the earth is constituted with
animate organisms and corporeality, then the
‘sky’ is also necessarily constituted as the field of
what at the extreme can be spatially experienced
for me and all of us – and that happens on the
basis of the earth-ground” (Husserl, 1981, p.
227). It is this type of transcendental reasoning
in anticipation of the universe as a whole which
gives rise to a kind of “identity” although of a nonclassical type of “object” whose spatio-temporal
objectivity is replaced by the weak objectivity
of a transcendental type, which does not imply
detachment of entities and properties from the
forms of subjectivity, but instead implies the
coordination of new phenomena and theoretical
essences into the patterns of epistemological
invariants which hold across historical and
instrumental circumstances. These circumstances
are linked to the conditions of embodiment: human
beings are consubstantial to the visible part of the
universe and it is because of this consubstantiality
that the universe allows the generation of the set
of historical and instrumental contexts of that to
which humanity is consubstantial. Embodiment
through consubstantiality forms the nature of
humanity with respect to the universe. Human
beings carry with themselves all those properties
of the universe that allow life to emerge and exist.
The actual knowledge of the universe is then
seen as an ongoing embodiment of humanity in
the universe. Correspondingly, the sense of the
wording “the universe as a whole” cannot be
abstracted from the delimiters of the historically
advancing transcendental subject. The very word
“universe” is of human origin70, so that cosmology
even if it pretends to describe the universe as
some “physical out there” devoid of humanity, is
still imbued with the human presence, although
implicitly and in an inarticulate form.
The ongoing embodiment of humanity in the
universe through which cosmology unfolds and
thus the universe enters the definition of human
nature manifests itself as sheer contingency.
In this sense the universe as a phenomenon
of consciousness appears of itself: the gaze
at the night sky delivers to a human being the
sense of a picturesque display of varieties of
patterns and shapes that bedazzle observers in
the inexpressible mystery of their givenness.
As a pre-predicative phenomenon, the universe
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is here and now, so that its totality is connected
with the totality of the perceptive and intellectual
experience, rather than with the totality, as
a result of mental accomplishment invoking
the sense of extension in time and space. This
attitude to the universe corresponds to the ancient
appreciation of it as “cosmos” (order) in terms of
beauty, personal relationship and communion.
In this sense the universe was always and will
be an existential horizon of humanity itself. To
this so called a-cosmic vision of the universe
one can contrapose the alienating diastasis
(extension, separation), which is typical for a
cosmic representation of the universe as shifted
home-places: here the objects in the universe
are not considered anymore as phenomena, or
perceptible data, but rather as possible places
for the habitation of potential observers. In other
words the interpretation of different stars and
galaxies as distant objects and bodies is based on
the hypothesis of a formal interchange of homeplaces having a counterpart in a physical reality
(c.f. Kerszberg, 1987, p. 206). In this sense the
cosmic representation which entails a spatial
extension (in spite of an obvious natural attitude)
remains hypothetical. In this representation the
universe acquires the property of being the place
of things extended in space and is seen as global
space and time with some corporeal connotations
reminiscent of the ancient receptacle idea.71 As
a result a body-like image of the universe, as a
certain substance contained by this receptacle,
emerges.
It is only in the diastatic vision of the universe
that it comes to mind that humanity occupies one
particular place in it and that the meaning of
this place was articulated differently during the
history of astronomy and cosmology. However the
awareness of our position in the universe forms a
transcendental condition of knowing the universe
in principle: the universe must be extended in
space and time in order to be cognisable. In this
sense the very notion of consubstantiality to the
universe through embodiment is a transcendental
notion which implies a subjectivity that transcends
the pre-predicative consubstantiality towards
its articulation as extension in space and time,
where consubstantiality becomes the spatial (or
temporal) uniformity.
Historicity of cosmological research
and human consciousness
The reification of a transcendental stance on
cosmology comes through a strong affirmation
that physical objectivity generally originates
in contexts of historicity and instrumental
situations. The ability to see what we see in the
universe is selected not only by our particular
location in space, but also by some general
epistemological delimiters, such as our primary
cognitive faculties and capacities of intellectual
synthesis.72 Something similar is asserted in the
so called Weak Anthropic Principle (inference),
namely the one we observe in the universe is
related to the conditions of observability linked
to embodiment73. It is important to understand,
however, that these conditions of observability,
as general epistemological delimiters, do not
restrict the methodology of research, so that
the limitations of research are rather related to
the overall path of knowledge, rather than to
a particular state of affairs with the fragment
of this knowledge here and now (Roush, 2003,
p. 33-35). Humanity in its advance of theoretical
science and technology extends its ability to
penetrate into nebular phenomena through
special equipment and devices. The overall
view of the visible universe is limited by our
capabilities to receive signals from the cosmos
via particular physical equipment that, as we
can observe, is linked to the particular historical
conditions of the civilisation and its advance
of technology. This means that when books
on astronomy or cosmology present colourful
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pictures of stars, galaxies and other objects in the
sky, as well as producing generalisations towards
the invisible universe, they deliver to the reader
the cumulative result in a vision of the universe
as related to a particular historical dimension of
the constitution of the universe up to the present
moment. Indeed, the history of cosmology is not
very long: on the scale of forty-fifty thousand
years of the existence of self-conscious humanity
on the planet Earth, humanity, for the first time
in history, within a very short period of, let us
say, a hundred years, is capable of making
complex cosmological observations relying on
the various advances of technology. Here we
have an interesting “methodological” situation:
a science which effectively developed within last
hundred years attempts to predicate the universe
in the wholeness of its temporal span.74 If in
the background of a sheer human history our
present observation of the universe is historically
contingent (as related to the advance of science
as a historical process) this implies the historical
contingency of what is seen in the sky and what is
thought of the universe.75 The view of the universe
as being an objective invariant with respect to
the observational methods, and the affirmation
of its intended identity being established by
these methods, is nevertheless fundamentally
historical, depending on the whole path of the
history of science. Thus the alleged objectivity
and neutrality of physical cosmology with respect
to epistemic claims is of a conditional kind:
cosmology fulfils itself only in the framework of
one particular “trajectory” of humanity’s history
which is linked to a technological advance.
Cosmology is based on observations (and not
controlled experiments, as in nuclear physics, for
example) that imply the extension of humanity’s
means of perception through technology and thus
humanity’s further embodiment in the universe;
whereas the universe, in spite of its intrinsic
resistance to disclosure, defines and constitutes
the form of this embodiment. Thus cosmology, as
a human scientific enterprise, represents a mode
of the mutual interpenetration of the senses of
humanity and the universe. Being intrinsically
transcendental, cosmology represents an endless
hermeneutics of humanity’s interaction with the
universe thus manifesting cosmology’s intrinsic
connection with anthropology, not only in trivial
anthropic inferences based in consubstantiality,
but in a more profound philosophical sense,
namely that it is through cosmology that humanity
comes forth as a measure of unconcealment, that
is truth of being.76
Cosmology, being historically contingent but,
at the same time, dealing with the architectonics of
the universe as originating from the past, exhibits
a similarity with historical research proper (as
related to human history) that deals with artefacts
and testimonies but not with repeated experiments.
In cosmology all artefacts are images (in a widely
understood sense, being an optical, radio or
other type of material carriers of signatures of
the cosmos) that are collected, classified and
interpreted. The collection, classification and
interpretation are humanly made from a vantage
point of here and now, according to principles of
a reason that pertain to humanity. It is because of
this that reason discloses the physical laws in the
earthly environment and imposes these laws (by
the way of transcendental argument) on the whole
universe thus transferring to it some properties
of the embodied subjectivity (here the hypothesis
of a formal interchange of home-places having
a counterpart in physical reality is implemented
once again) and thus making the universe realistic,
not in a naïve sense of a thing-like objectivity, but
as an invariant of unfolding quests and contexts
appearing through the ongoing embodiment of
humanity in the universe.
If one makes a cosmic assumption about
the universe as representing, through its celestial
image, a spatial extension of entities standing
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behind their images in the overall space, and
extrapolating the principle of finitude of the speed
of light (as an experimental fact of the earthly
physics) across the whole spatial continuum of
the universe, one effectively introduces the idea
of a temporal order in the universe: different
objects projected on the same celestial sphere are
not equidistant because it takes different time for
the light emitted from them to reach us; through
the latter the most obvious and basic construct of
space-time continuum is introduced: whatever
we observe in the sky in this cosmic attitude
represents a frozen image of the diastatic totality
not only of space, but of time!77 Thus one asserts
that the picture of the visible universe, as projected
in the celestial sphere, is not local in time but
constitutes the accumulation of data coming from
objects belonging to distantly separated pasts.
In geometrical terms (of special and general
relativity) this corresponds to the statement
that human observers receive electromagnetic
signals from those parts of the universe which are
intersected by the past light cone associated with
our present position in the universe. This means
that in spite of the theoretical assumption of the
global space-time structure of the universe, what
is observed by us is selected by the position of
humanity in the universe (which is contingent but
subject to some cosmological restrictions), that is,
what we observe is not the whole of the universe,
but a very particular “slice of spatio-temporal
reality” whose quantitative measure is infinitely
small in proportion to the potentially infinite
volume of space which is envisaged by the modern
cosmological theory. In general, cosmological
observations are subject to selection and represent
a certain fraction not only of the universe as a
whole (including its remote past), but also of the
universe principally available to observation in
that realm of the unconcealed which is measured
by 4% of the invisible and visible atoms. The
cosmological principle makes an effort to correct
this pessimistic conclusion only with respect
to the geometrical aspects of the universe by
advocating that our fraction of geometrical
visibility is, in fact, typical of the whole universe,
so that its unobservabillity beyond the past light
cone is not an obstacle to making inferences
about the universe as a whole. However, at least
at a modern stage of cosmological theory, one
cannot avoid the fraction-like accessibility to a
view of the universe related to consubstantiality
with the stardust. The remaining 96% of the
matter in the universe, which is not visible and
constituted theoretically, remains fundamentally
non-observable and thus effectively constitutes
the conditions of the contingency pertaining to
our view of the universe.
Assuming (in the natural attitude) that the
universe has its own history which is extended
backward and forward beyond that of humanity,
one must admit that cosmologists (not simply
astronomers) possess only that information about
the distant universe which is gathered in the last
one hundred years (this corresponds to the recent
technological advance). In spite of the fact that
to a great extent cosmologists see the frozen
image of the universe’s past, this image is still
contingent upon the conditions of its observation
at present. In other words, cosmology deals with
that past which can be qualified as the past of the
present. Correspondingly, cosmology models the
universe as a whole (that is as a global extended
space and time) by using observations and
physical theories developed in its infinitesimal
part, that is on the planet Earth, and within a tiny
period of time with respect not only to the age
of the universe, but to the history of humanity as
well. Correspondingly, it is interesting to raise
a question as to what philosophical convictions
could justify such a “scientific” methodology
which attempts making claims about the totality
of all from within an infinitesimal part of it?78
This question has two dimensions: the first one
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can be called historical, that is, whether it is really
possible to reconstruct the historical past from
within the present and what will be the status of
this past: will this be past of the past, or rather it
will past of the present? The second dimension
raises a most general epistemological problem:
how and why the physically and biologically
local position of humanity in the universe makes
it at the same time fundamentally non-local
in its all-encompassing grasp of the universe?
The first dimension would require from us an
attempt based in an analogy between cosmology
and all other historically based natural sciences
such as geology, paleontology or biology (the
issue of history as a human science represents
a slightly different matter, because of the nature
of disclosed facts). Whereas addressing the
second dimension leads us back to the general
philosophical problem of the ambivalence of the
human position in the universe which is encoded
in the paradox of human subjectivity. To address
this last dimension is to attempt to shed light on
the nature of the paradox of subjectivity. This
in turn brings us to the perennial question of
human consciousness and possibility of knowing
the universe in general. In naturalistic terms
human consciousness transcends the realm of its
embodiment becoming non-local in space and
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time. Cosmology has to rely on this property
of consciousness and it represents the universe
through mental images and constructs by this
consciousness. The ability to create constructs
and to associate them with a physical reality is
deeply based in the same hypothesis of a formal
interchange of home-places which we have
mentioned before, but now having a counterpart
not in physical reality but in the intelligible
(cosmos noetikos). Thus the transcendental
constitution of the universe naturally requires
the extension of the cosmological quest to the
intelligible realm thus extending the very body
of the physical cosmology beyond the physical
as such. The physical itself becomes a matter
of constitution appealing to some general rules
of the understanding and reason that is to the
principle of human rationality.
Acknowledgments
I would like to express my special thanks to
George Horton for reading the manuscript and
making helpful comments and suggestions. My
gratitude is extended to Christopher Dewdney
and Mogens Wegener for fruitful discussions
related to the problems discussed. Thanks to
David Matravers who pointed towards some
relevant papers.
Cf. (Munitz, 1975, pp. 337-8). The list of defi nitions which attempt to circumscribe the notion of the universe can be
continued indefi nitely so that it will never exhaust the content of what our intuition calls the universe or sum-total of
physical things. The advance of knowledge about the universe can be described by the series of accumulated facts and
theories which must be treated as intellection which inheres as a quality in apprehending beings, i.e. in hypostatic human
beings who call the series into being. Assigning to these “facts” symbols A, B, C, D etc. one can represent the advance of
knowledge by a sequence ABCD .... X, where X stands for the infi nite unknowable remainder pertaining to any particular
stage of cosmological knowledge and reflects the presence of the in principle inconceivable element in our knowledge of
the universe.
The notion of the universe as a whole implies some particular features of what is predicated which immediately put this
notion in a sort of difficulty. First of all the universe as a whole, by defi nition, constitutes a principle of existence (and in
this sense as foundation) which does not allow one to use any defi nitions based on the ontology of distinct physical events,
i.e. as taken as parts and pieces of the universe as a whole. Secondly, it is impossible to talk about the universe as a whole
in terms of its origin (One means here not temporal origin (as it is in physical cosmology) but an absolute ontological origin
as facticity of being), because there is nothing beyond the universe (in terms of space and time) which could determine
its origination (one can speak of the non-originary “origin” of the universe). (By historical analogy one can appeal to the
witness of Descartes who, while making a careful distinction in application of the terms of “infi nity” and “limitlessness”
to the universe, notices that “we must not be so presumptuous as it seems we whould be if we supposed that the universe
has any limits without being assured of it by divine revelation or, at least by very evident natural reasons; because it would
[mean] that we want our thoughts to be able to imagine something beyond that to which God’s power has extended itself in
creating the world..” (Descartes, Principia Philosophiae, part 3, $ 2 quoted in (Koyre, 1957, p. 109)). Following Descartes’
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thought one could add that in speculating about the origin of the universe’s facticity human beings transcend their embodied consciousness, and enquire into the ultimate sense of things, as if they could possess the “mind” (or logos) of that
agency which brought the universe (with its physical laws) into being. That is why the universe as a whole (intellected not
through its manifestations in pieces and moments) is non-spatial, a-temporal, beyond space and time. Thirdly, the universe
as a whole is not accessible to our grasp as part of a causation from one “thing” to another in time because even the visible
universe represents a frozen compendium of temporal eras which are linked to each other but which cannot be related to
anything beyond them. In other words, relational logic cannot be applied in order to affi rm anything about the universe as
a whole if one attempts to do so through a series of causations starting in the astronomical cosmos. Ages, times and places
belong to the category of relationship, and consequently no object necessarily associated with these things can be other
than relative. The universe as a whole transcends the category of relationship; for nothing else whatsoever is necessarily
associated with it. Relational logic can be applied to all things which are in space and time, it can also be applied to our,
human, relationship with the universe. But since the universe is beyond any relationship, our participation in it does not
affect its being, in other words our intellection about the universe as a whole does not provide us with any knowledge of
the universe as it is in itself. We are in relationship with the universe, but this relationship does not allow us to penetrate
its mystery independently of our participation in it.
(Kant, 1933, A332/B388, A409/B436, A497/B525). Kant’s criticism of this view can be found in A498/B527.
Indeed, in this the notion of the universe as a whole would have a crypto-theological meaning implying a corresponding
language which does not have references in the mundane world. In this case the universe would be defi ned in an abstract
way something like this: the universe as totality is one, incomprehensible, possessing completely the total potentiality of
being, excluding notions of when and how related to its wholeness, and not to be known through natural image.
Cf. (Kant, 1933, A223/B380, A670-2/B698-700, A685/B713).
In this case, together with M. Munitz, one can formulate a thesis that the universe appears as a constructive achievement,
rather than discovery (See, e.g. (Munitz, 1990, p. 141)). This thesis confi rms a general conviction formulated in the phenomenological stance on science, namely that there must be made a distinction between nature as it appears in primary
perceptual experience and nature-for-physicists (that is “nature”), which is a mental accomplishment (“hypostasis of mental creations”) as an ideal limit of convergent sequences of “images of nature” which are constructed by physicists in the
course of history (see more in (Gurwitsch 1974, pp. 41-6). One must also mention a physicalistic attempt of J. A. Wheeler
to promote a similar view that the universe is not a pregiven clock-wise mechanism, but the world of existences which is
constituted by human observers-participants. See e.g. (Wheeler, 1994, pp. 112-131, 295-311), and numerous papers cited
therein.
By constructs, we understand, in analogy with (Margenau, 1977, pp. 69-72) the entities through which the empirical
perceptions and presentations receive their theoretical explication. Constructs, sharing in their function something from
concepts and something from ideas, submit themselves to logical procedures to a much fuller extent than to the immediate
astronomical data.
We refer here to a fact of common-knowledge that modern cosmology predicts that 96% of its material content is formed
by the so called dark matter and dark energy, whose physical nature is not known yet: theoretical prediction experiences
resistance from nature to be disclosed in terms of experimentally observed and identified fields and particles.
The answer to this question will be given later, when we connect the mathematisation with an idea of the computational
synthesis. Here mention that this question connotes with a general issue of mathematisation of nature and whether it exhausts the sense of reality. In a historico-philosophical perspective one must refer to E. Husserl who critically assessed
it in his Crisis of the European Sciences (Husserl, 1974). There are some secondary sources related to phenomenology
which deal with a similar problem see, for example, (Kockelmans, 1970), (Gurwitsch, 1967, pp. 395-401), (Cassirer, 1967),
(Kvasz, 2002a,b). In a different direction a discussion of the mathematisation of nature can be linked to the question of
mathematical realism as it is understood in modern philosophy of mathematics. The literature on this topic is vast and
reflects different positions with respect to the relation between mathematical entities and physical world. As a matter of
example one can point towards a phenomenological position with respect to mathematical objects which is similar to the
idea of “weak objectivity” supported in this paper (Tiesen, 2005)), and to another trend called structural realism advocated
in (Resnik, 2005). This latter structuralist trend asserts that the physical domain of cosmological theory represents an
instant of a mathematical structure; see in this respect a paper (McCabe, 2004-5) in which the whole edifice of modern
cosmology is interpreted through such a structuralist vision. In a way the structuralist view positions itself as a radical
form of mathematical realism which asserts that everything is mathematics; see e.g. (Tegmark, 2008).
Paraphrasing P. Brockelman, the universe is not this chain of mountains or that galaxy or solar system, but the continuous
eruption of myriad forms, the active that-ing or is-ing of everything which emerges into experience of life (Brockelman,
1999, p. 79).
The kosmos of the Greeks, unlike that which is understood by the “cosmos” in cosmology denoted the way by which the
natural reality is being in being. It denoted not that which was related to the question “What?” of created nature but rather
to the question “How?”. Kosmos thus is the “ordered” revelation of the existent, that is the notion related to beauty. But
beauty is the matter of personal judgement and observing distinctions which can be justified only within relationship, that
is communion. It is because of this that Plato summarised all presocratic views in his teaching of kosmos as living unity,
“animate and intelligent being” (Plato, Timaeus, 30 b6-8.), living totality of animate creatures and inanimate things,
gods and people. “Wise men say…that the heavens and the earth, gods and men, are bound together by fellowship and
friendship, and order and temperance and justice, and for this reason they call the sum of things the ‘ordered’ universe
(kosmos), …, not the world of disorder or riot.” The overcoming of disorder and riot as such reveals itself as life so that
kosmos unfolds as a living whole, the “visible living being”. (Plato, Timaeus, 92c 5-9.) Since life implies soul, the “body”
of the kosmos is harmonised in the “spirit of friendship” of that who brought it into existence. But then the beauty of the
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world, that is the world as kosmos reveals itself as a mode of the living, animated organism whose soul is also intelligent:
the order of the world, its measure and commensurability which reveal the beauty of the world also manifest the intellect.
(Plato, Timaeus, 30b 1-6.). Correspondingly the beauty of the universe reveal itself not only though the world being
animated, but also through its intellect. One can say that beauty of the universe is not that which is manifested, but the
universe as manifestation. It is the “how” of the universe but not its “what”.
See, for example, a typical diagram called “The Cosmic Spheres of Time-Our Visible Universe” in the book (Primack,
Abrams, 2006, p. 135).
See on a general phenomenological analysis of identity in absence (Sokolowski, 1974, pp. 8-56). (See also a simplified
version of the same exposition in (Sokolowski, 2000, pp. 17-21).
According to a famous passage from Sartre’s Being and Nothing the immediacy of the personal relationship and identity
of someone originates in the acute experience of this one’s absence or non-existence. (Sartre, 1943, pp. 43-5). G. Marcel
wrote that there is an active denial of space as separation at that very moment when one remembers another. In this sense
denying space is a radical denying of death. By remembering someone and overcoming a spatial, or any other, separation
one naturally affi rms himself in oneself, thus contributing to its own self-identity through the actual non-existence of the
other. See (Marcel, 1965, p. 37-8).
Here an analogy can be drawn with the theology of the living God which claims, that the elimination of God in consciousness leads to cessation of this consciousness. To understand the problem one refers to the famous $ 58 of Husserl’s Ideas
I (Husserl, 1998, pp. 133-4) where Husserl argued that the notion of the transcendent God who allegedly transcends
both the world and the field of “absolute” consciousness and thus is posed in the natural attitude as existing objectively
out there, that notion must be subjected to the transcendental epoché (phenomenological reduction) so that the question
about its reality is suspended and thus the very theology of a transcendent God is brought to a methodological halt. It is
important to realise here that “transcendency pertaining to God” (p. 134) takes place not through an ascending series of
the world phenomena but through observing “marvellous teleologies” (p. 134) in Nature which characterise the activity
of consciousness. Then arises the question about the ground of facticity of this same constitutive consciousness as the
source of “endlessly increasing value-possibilities and value-actualities”, the ground “which naturally does not have the
sense of a physical-causal reason” (p. 134). Husserl intentionally avoids any attempt to approach this issue from the side
of an a-priori religious consciousness, that is to affi rm divine being which is transcendent to the world as well as to that
consciousness which seeks for its own foundation. The important thing is that, according to Husserl, this “divine” would
be “therefore an ‘absolute’ in a sense totally different from that in which consciousness is an absolute, just as it would be
something transcendent in a sense totally different from that in which the world is something transcendent.” Unfortunately
Husserl does not explain precisely the meaning he ascribes to this difference between absoluteness of the divine and absoluteness of consciousness. In spite of this, by proclaiming the transcendence of God to consciousness his next step is to
reduce thus affirmed God and to remove the whole subject of the Divine from the phenomenological project. The major
problem in this procedure is exactly theological: it does not discern between God as a mental construction which is subject
to any possible operation of consciousness, such as reduction, for example, and the living God of faith whose presence in
consciousness is exactly that ontological link which makes this consciousness possible at all and which can be cut off only
in abstraction. It is clear that the “absolute” consciousness of Husserl, which through the very mode of its being expresses
our existential participation or communion with God cannot bracket or reduce the living God because by so doing this
consciousness attempts the impossible: to deprive itself of its own foundation and hence, de facto, to destroy itself as consciousness in God. Here, by using a religious language, consciousness degenerates and falls into an illusion of its might.
Jean-Luc Marion writes in this respect: “Husserl submits what he names ‘God’ to the reduction only in so far as he defi nes
it by transcendence (and insofar as he compares this particular transcendence with that, in fact quite different, of the object
in the natural attitude); and yet in Revelation theo-logy, God is likewise, indeed especially, characterised by radical immanence to consciousness, and in this sense would be confirmed by a reduction.” (Marion, 2002 p. 242-43; See also n. 4
at p. 343). This is the main point of analogy: human beings are immanent to the universe through consubstantiality so that
the hypothetical removal of the universe must inevitably lead to the cessation of the conditions of conscious embodiment.
One must point out, however, that in a different treatise, his “First Philosophy” (Husserl, 1959, p. 73) Husserl himself was
preoccupied with a problem of nullification of the world, namely whether the pure ego, the subject disappears if the world
as such is reduced to nothing through a so-to-speak epistemological nullification. His answer was that “not”, that is, what
is subject to nullification is the empirical ego which is indebted to the world. However if one supposes the existence of
a non-physical centre of human existence, the pure “I” of experience, which is beyond the worldly delimiters, then this
“I” does not disappear and, in fact, it is the reduction of the world which allows to proceed from here to the discourse of
the “I” (See more discussion in (Faber, 1963)). This last note points to another possible meaning of the apophaticism of
cosmology: indeed to understand human beings in the universe, the discourse must be cleared of all properly cosmological
(naturalistic) insights and thus to be open to the enquiry into the depths of subjectivity. Thus, cosmology and “anthropology” are inseparable in a very delicate phenomenological sense.
By using the term “incarnation” G. Marcel calls conscious existence in the conditions of consubstantiality the central
datum of metaphysical reflection (Marcel, 1965, pp. 14-16, 24); (Marcel, 2002, pp. 11-37).
The paradox of human subjectivity was discussed at length in (Nesteruk, 2008, pp. 175-8). For general reference see the
book (Carr, 1999).
This intellectual might implies that we have a rational concept of ourselves as existing in the universe which is the unconditioned (self-sufficient) united totality in a metaphysical sense, so that all conditioned aspects of our embodiment are
considered, so to speak, as parasitic features on the unconditioned whole. Cf. (Kant, 1933, A322/B379, Bxx).
This point explicates further the paradox of human subjectivity in the universe as “presence in absence”. What subjectivity
describes in the universe with a great efficiency is those realms which can be subjected to “mechanistic” description, that
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is reduced to a limited phenomenality. If the universe would be a living organism in Plato’s sense, its description would be
fundamentally problematic at the same level as the description of personhood in anthropology.
See on the principle of apophaticism in modern metaphysical extension of science in (Yannaras, 2004, p. 84). The general
defi nition of this principle which historically originates in theology can be found in another book of (Yannaras, 2005, pp.
59-60); according to Yannaras apophaticism can be defi ned “as the abandonment of all claims to an ‘objective’ assessment
of truth, or the denial that we can exhaust the truth in its formulation. Abandonment or denial does not mean here a rejection or overlooking of the possibilities for knowledge represented by a rational formulation of knowledge. Apophaticism
is not to be identified with irrationalism, or indifference to the rules of logic in the formulation of knowledge – for these
rules represent the possibility of communicating and sharing in knowledge. Nor may apophaticism be confused with
self-centred mysticism, the flight to private emotional certainties. The apophatic way or position presupposes the prior acceptance of the methods of philosophical epistemology – the acceptance, for instance, of both the way of affi rmations and
the way of denials – as potentialities for attaining knowledge. It is precisely the emphasis on the possibility of knowledge
that sets apophaticism apart from any positivism about knowledge, that is to say, from any form of absolutizing of the rules
or presuppositions needed for ascertaining the validity of any formulation of knowledge.”
The teleological commitment which is implanted in the belief that the whole of the universe can be grasped is manifested
in particular through diagrams pretending to symbolize the universe as a whole. What is characteristic for all these diagrams is that they depict the universe as if this universe is somewhere outside of the reflecting consciousness, as if this
universe were a geometrical object which could be analysed outwardly. Certainly, since Kant, knowledge of the universe
(judgment of it ) is only possible if, the presupposition that universe’s empirical laws are related in the form of a deductive
system is fulfilled (see (Kant, 1965, p. 215)). Cosmological diagrams manifest in their imagery the fulfilment of such a
deductive system.
However it is important to realize, that the limits of knowledge which proceed from human fi nitude, contain in themselves
a potential for grasping the infi nite, at least at the level of a simple thinking or imagining this infi nite. Indeed, if one’s own
fi nitude sets limits of how much one can take in in the sense of how much this one can be affected by that which is out
there, then the taste of the infi nite, that is of the self-explanatory and unconditioned (the universe as a whole or its identity),
can only be achieved if one is a priori aware of it, so that this one has to become infi nite as being absorbed by the infi nite.
Certainly this thought runs through the famous paradox of the human subjectivity in the world expressed here as a paradox
of grasping the infi nite in the conditions of the fi nitude. Cf. (Moore, 2001, p. 231).
Whatever we see in the sky represents a frozen image of the past, since the signals we receive come from the different
distant objects. In this sense what we observe as the universe is limited to the so called past light cone which, in its contingent facticity, constitutes one possible observable configuration among the infi nite number of possible, subject to the
condition that the universe is considered as extremely large in its actuality. It is interesting that most of possible observable
configurations are causally disconnected apart from the very early universe, where the smallness of the universe and its
short-lived history had not allowed it yet to decompose on physically disjoint regions.
The uniformity of space and distribution of matter, as we will see below, is a major transcendental delimiter in cosmology,
following from a judgment that the universe must be knowable. In this sense, in spite of its “anti-teleological” pathos (see
(McMullin, 1993)), the cosmological principle represent a sheer manifestation of a teleological commitment in study of
the universe which ordains the mechanistic-like explanation on cosmology. Teleology here refers fi rst of all to the telos of
explanation, which is the unity and integrity of the universe.
This assumption differs from assumptions of the authors of the so called Steady-State cosmological model, which is
commonly rejected nowadays on the observational grounds, who argued that in order the physical laws be universally valid and there be guarantee that the laws of physics discovered here and now could apply to the distant past of the Universe
one must postulate the “perfect cosmological principle” which demand the uniformity of the universe not only in space but
in time (Bondi, Gold, 1948), (Hoyle 1948). See the discussion of the transcendental nature of this reasoning in (Balashov,
2009). For a discussion of the methodological foundations of the Steady State cosmological model see (Balashov, 1994).
For a history of the big bang-steady state controversy, see (Kragh, 1996)
This, using the terminology terminology of Husserl, implies the interchange of the “home places”. See (Husserl, 1981).
As was asserted in (Hogg, 2009, p. 9) the idea that the universe is not homogeneous makes no quantitative predictions an
explains nothing, so that it cannot be a scientific contender with the present observations: “An inhomogeneous universe
is so intractable that there is almost no near-term future in which we are likely to be able to either observe or compute
anything interesting in this area”.
One can argue, however, that the cosmological as such still represents a certain trend of teleology related to the process of
research. Since the aim of research is to explicate the whole universe, there must be an assurance that there is the object of
research as well as its possibility related to the harmony between the varied manifold of phenomena and their integration
in the human subjectivity. The cosmological principle plays exactly this role: it effectively postulates the possibility of
knowledge of the universe and in this sense it also functions as a transcendental principle.
One must be careful, however, in understanding of the aprioristic overtones which naturally accompany any reference to
Kant. The cosmological principle is not a priori in a Kantian sense of a truth established before observations. Rather, as
inferred from the observational isotropy in the distribution of matter as it is seen from the Earth, this principle is rather
a posteriori. However, historically, being implemented in the scientific practice of cosmologists, this principle acquires
some features of “methodological inevitability” thus quietly transforming in the “law of thought”, that is delimiter of
a transcendental kind. (As a historical reference, a similar thought related to attempts of physics to acquire an axiomatic form starting from the most general principles (similar to the cosmological principle) was expressed in the work of
E. Whittaker (Whittaker, 1941) and later quoted by J. Jeans (Jeans, 1945, p. 80). Whittaker called these general principles
“the principles of impotence”, that is statements which assert the impossibility of achieving something. For example, in
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the case of the cosmological principle, one cannot achieve knowledge of an absolute position in space: space is uniform, so
that any information about such a position is lost. On the importance this discussion in building the methodology ofmodern cosmology see a paper (Gale, Shanks, 1996, pp. 290-3).
The centrality of the Earth for the overall comprehension of the universe is characteristically accentuated in patristic theology, in particular in the concept of the incarnation of the Logos of God, the Son of God, on the planet Earth in the human
form. The paradox of the incarnation, formulated by early Greek Fathers, explicated a non-trivial topological relation between the universe which was created by and through the Logos and the universe as it was accessible to Jesus Christ in his
Earthly place. Indeed being in a body on the Earth, the incarnate Logos was present everywhere in the universe because
he did not give up his place at the right hand side of the Father. Being at the planet Earth he controlled the whole universe
by retaining his divine nature. But the latter implies that the universe, as seen through the “eyes” of the Logos does not
have any diastatic extension and is uniform because of its “absolute simultaneity” for the Logos. From a human point of
view the presence of the Logos in all places of the universe indicates that the universe is at least theogenic. A theological
affi rmation of the unique position of the incarnate Son of God though being in body at a given point in the vastness of cosmic space and, at the same time, still being co-inherent with every point in space because provides an implicit principle of
order in the universe which ensures that every place in the universe, as a place of the ‘presence’ of the Word, is co-inherent
with the place where God is bodily incarnate, i.e. on earth. (The interplay between the concept of the Incarnation and space
is discussed in (Torrance, 1997). This in turn implied, in the view of the Christian scientists of the time, that there was a
uniformity in the laws of nature (which were known from their experience on earth) throughout the whole of the cosmos.
This intrinsic rationality in the world, according to Athanasius of Alexandria, is maintained by the creative Logos of God,
which is not an immanent principle of the world, but the transcendent artificer of order and harmony in created existence ,
which is thus contingent upon the transcendent rationality of God; see e.g. Athanasius, Contra Gentes, 40:1. Two implications of this theological development for physics were realised by a Christian thinker, John Philoponus of Alexandria (died
ca. 570). He recognised that any true order in the universe must be universally valid and inferred from the colours of the
stars that the same laws govern the stars and bodies on earth. See e.g. (Jaki, 1990, p. 69).
This point can be easily illustrated by pointing out that the whole edifice of physics, while being produced by particular
historical persons, represents an effort of anonymous and collective subjectivity which is not interested in contingent
incarnations of this subjectivity in historical beings. In spite of the fact that a scientist works in a particular historical
situation which forms the immediate existential horizon, his activity is directed toward the infi nite horizon of omni- and
trans-temporal truth, that truth which is accessible in principle to everyone and hence this truth transcends the relativity of
any truths achieved in a historical situation connected with a particular person. But this omni-temporal truth, as an “infinite” task, is not achievable by one particular scientist. This or that scientist should participate in collective activity of the
many by submitting his individuality, to the interests of the open-ended collective of scientists which outlines the tradition
in which all scientific accomplishments acquire a certain sense. It is in this sense that the presence of a particular scientist
who advances a general view of reality is important only as a contributing factor to the overall tradition. Paradoxically a
particular historical presence of this scientist (who is a person) is crucial for the advance to be made; however his or her
personality is not important in the context of the knowledge achieved, the knowledge which since its fi rst articulation by
a scientist and its appropriation by a community enters so to speak the realm of a-temporal ideas to which everyone has
access. One observes here an interesting transformation of personal knowledge into an a-personal and anonymous compendium of knowledge whose ultimate subject, is the de-personalised, that is anonymous transcendental subjectivity. It
is now clear why, when a scientific fact or a theory are “downloaded” on a routine basis from the compendium of ideas,
it is unnecessary to enter communion with a person (we mean not just to know about persons as historical figures), who
brought them into existence and which is, in a way, still present behind them. The memory of this person will enter the
discourse only as labels of past historical discoveries and it is this that happens in science. At the same time in order to
understand science as an overall process one should study its history (not as chain of contingent facts and persons) as the
open-ended unfolding horizon of meanings which simultaneously serves as the delimiter of science: “to understand a science one must understand it from the ground up and gain an insight into the founding action which originally instituted it,
into the process by which its fundamental concepts were created, and into the original spiritual motives of its creation.”
However these spiritual motives (which can be linked to the very motto of science, its infi nite telos) are not explicitly present to scientific reason because persons as existential centres of these motives do not show themselves: they are present in
absence. One can argue that the action of the ultimate telos of science upon history always takes place in the conditions
where science fails to account for personhood while being its mental creation.
As was suggested by D. Bohm and D. Peat, who referred to famous paintings of R. Magritte which, while depicting such
objects as “pipe” or “apple” were named negatively as not being “a pipe” or “an apple”, each scientific theory bears the
inscription “this is not a universe” meaning that “every kind of thought, mathematics included, is an abstraction which
does not and cannot cover the whole of reality” and this is why “perhaps every theory of the universe should have in it the
fundamental statement ‘this is not a universe’” (Bohm, Peat, 1987, pp. 8-9).
The apophatic stance in cosmology does not mean that thinking of the universe in the negative certitude values physical
cosmology only for being, de facto, a negative cosmology. The characteristic feature of the apophatic approach consists
in that, while employing the language of physics, it honestly states that physics has been used as a tool, exercised in its
extreme, in order to express the human aspiration and hope for the things unseen. But, apophaticism, above all, is such
an attitude of the thinking intellect which refuses to form concepts about the universe as a whole as accomplished truths:
it rejects the claims of exhaustibility of knowledge sometimes made in scientifically “enframed” cosmology which would
adapt all mysteries of the universe to human ways of thought. The “apophatic knowledge” brings the person who exercises
this knowledge to a direct experience of the universe as communion so that the intellectual knowledge of the universe is
ultimately grounded in the experience of the universe in life.
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Once again, the meaning of this assertion that the only certain knowledge of the universe is available in the negative mode
can be illustrated by an appeal to the theological discourse. For example, according to J.-L. Marion, the boundary between
possible and impossible has sense only for the limited rationality which pertains to human beings. As to God, he can be
characterised by the impossibility of impossibility. This is a striking characteristic of Deity: God is in a certain sense the
Lord of the very impossibility. From the point of view of the conditioned cognitive faculties of human beings there is indeed the impossibility of the objective truth of the divine so that one can only exercise the “negative certitude” with respect
to it. It is this certitude which is opposite to the positive incertitude which is typical for the sciences which study objects.
Science provides us with some provisional and precarious data of objects which are subject to correction and improvement
in the course of scientific advance. The paradox of science is exactly that this incertitude and constant correction of its results forms the very condition of the possibility of science. Another aspect of science is that it incapable of knowing things
in the overall worldly context: it knows things in a fragmented way within a narrow horizon determined by the historical
situation. Whereas in philosophy, in what concerns its perennial questions about the world as a whole, there is practically
no progress, so that it is able to speculate about the world only in rubrics of the negative certitude; see details in (Marion,
2010).
The situation here becomes analogous to comprehension of a human person. Namely, that human person cannot be fully
understood and knowable as a physical or biological object. Metaphorically the discursive method of apprehension of human beings in terms of labels and external parameters provides access only to their bodies, or, as some philosophers said,
to their corps. Human persons cannot be known and the sense of their existence exhausted though knowledge as subjugation to the judgement of the other. Indeed it is possible to communicate with persons, but it is impossible to dominate
them. See a vast discussion of this issue in (Yannaras, 2005) and in (Clément , 2000) in particular pp. 25-33, as well as in
(Berdyaev, 2003 pp. 126-34). Hence the analogy in cosmology: in the same way as any other human person (as a modus
of unique and incommunicable being) cannot be known by using syllogistic faculties of the cogito, the universe, as being
perceived as a quasi-hypostatic being (in theology enhypostasised by the Logos of God (See details of this concept in
(Nesteruk, 2004)), cannot be exhaustively known by means of simple observation, analysis and theorising. In other words,
what cannot be known is the intrinsic way of existence of the universe. Whereas in cosmological syllogistic thinking the
identity of the universe is posed as that aspect of the universe which allegedly can be described outwardly.
The intuition that cosmology and anthropology represent two aspects of one and the same book, whose reading requires
engagement in both of them (De Laguna, 1966, pp. 81-2) is confi rmed through a historical and ethnological observations related to ancient and modern tribal cultures; see in this respect, e.g., (Mathews, 1991). Cf. also (Ladrière, 1972,
p. 186).
This is terminology of Husserl; see, e.g., (Kockelmans,1994, pp. 331-37).
In this sense contemporary cosmology did not go, in its objectives, too far from ancient mythologies which intended to
provide an account of cosmogenesis; see, for example, (Ladrière, 1972, p. 153, 169) and (Alfvén, 1977, p. 13).
The idea that humanity is the “voice” of the universe, that is the agency which makes the universe palpable and selfconscious, has defi nite theological connotations originating in the concept of Imago Dei. See more details in chapter 7 of
my Light from the East (Nesteruk, 2003, pp. 194-248).
See note 6.
See note 11.
In respect to what we have just said once can raise a question of the sense of that single consciousness which integrates
all pieces and moments into the wholeness of the universe, and contemplates the universe as an event, a flash of memory.
This question arises if one compares human history with cosmic history. One cannot achieve the presence of historical
facts literally, but one can establish a kind of inference, re-enactment, through the chain of witness in the continuity of
collective human subjectivity. The re-enactment of historical events assumes their invocation in the condition when the
actual temporality of these events is suspended and integrated in the consciousness of the present. This suspension of
time reveals itself as an inherent property of transcendental subjectivity which one usually calls memory. Then one can
enquire whether the suspension of time in the invocation of the whole universe represents a particular archetype of human
memory which could be called as memory of “all in all”. This memory would correspond exactly to that standing in front
of the universe or communion with it which is implanted in the very fact of our conscious consubstantial embodiment in it.
In fact one conjectures that by invoking the image of the universe as a whole we effectively re-enact this hidden memory
through its progressive unfolding in numerous theories of the universe.
Here, however, human beings function in a paradoxical condition, as was described by A. W. Moore: “Given their selfconscious awareness of their own fi nitude, humans neither want nor are able to represent themselves as infi nite in a full
and unbridled sense. And it is this distinctive combination of hubris and restraint which most fundamentally shapes what
they are shown. While regarding themselves as standing in a God-like epistemic relation of creative intellectual determination to the world, they also, by that very same token, regard the world as limited by how they determine it, just one
possible world among others… While identifying themselves with the world as an infi nite whole, they at the same time
identify the world with themselves as a fi nite whole.…They aspire to be outside the world holding it all together; and for
this the world has to be circumscribed. It does look modest for humans to take the ultimate deliverances of their physics,
say, and to suggest that they are really just descriptions of the world from a human point of view. But the suggestion can
be turned round in a way that makes it look less modest: that humans, even in describing the world from their own point of
view, are able to attain to the ultimate deliverances of physics. Still, this is the kind of thing that they would say if trying
to give voice to their inexpressible knowledge.” (Moore, 1992, p. 433).
By paraphrasing Meister Eckhart’s famous citation of his favourite text from (Isa. 45:15) concerning the ascension to the
knowledge God (“The More one seeks you the less one fi nds you”, Sermon 15) one can state, in cosmology, that “The more
one seeks the universe the less one fi nds it”. In a weak form the same thought was expressed by R. Penrose in the conclud-
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ing section of his book The Road to Reality titled “Deep questions answered, deeper question posed” (Penrose, 2005, p.
1043-5).
This endless hermeneutics in cosmology, de facto, manifests the endless commitment to a theoretical task which does not
allow any procrastination since each experimental and theoretical result in cosmology is temporary and must be kept aside
while looking for the successive result, believed to be the limit of convergent theoretical approximations. This endless
commitment in turn reveals an intrinsic teleology of cosmological research as an endeavour to understand meaning as
related to their telos. Indeed, the answer to a perennial philosophical question “What is man’s goal?” clarifies the answer
to another question regarding the nature of man. Correspondingly, the inherent teleology of cosmological research being
related to the infi nite tasks of humanity and directed towards the clarification of the question of the origin of the universe,
as its ultimate foundation, clarifies not so much the question on the nature of the universe, but the nature of man. See on
telos of cosmological explanation as related to the question of humanity’s origin my paper (Nesteruk, 2012).
The meaning of the phrase “antithetic dialectics” can be illustrated as follows. Through empirical manifestations of the
universe we can grasp the fact that the universe is. Not what it is, because the universe as a whole is above all that we know
about it. It is important however that we are not interested in apophatic expressions as such as the right way to express the
wholeness of the universe, but rather the maintenance of a strict distinction in knowledge between the universe as a whole
and some particular physical aspects of it. The method of negation does not bring us to its goal, for nothing meaningful
can be defined through negation only. In this sense the negative way is therefore not more effective than the affi rmative
(cataphatic) way, since the essence of the universe as a whole remains inexpressible. In a way similar to that of theological
predications of God one can assert that the universe as a whole is above both cataphatic and apophatic defi nitions; it is not
close to anything else which is or which is expressible, nor is it close to anything else which is not or is not expressible. If
one theorises in an affi rmative or cataphatic manner, starting from positive statements about the universe, the universe
is appropriated through flesh, for one does not have other means of knowing the universe except from what is visible and
tangible. If one theorises in a negative or apophatic manner, through the stripping away of positive attributes, one makes
the universe a pure thought as that identity which is in the principal state with itself. Here the unavoidable facticity of the
universe, its presence in absence transcends its unknowing pointing to the source of its embodied identity in human persons. (See more details on antithetic dialectics in theology and its dialogue with science in (Nesteruk, 2003, pp. 75-91).
The ultimate truth of the universe, which is experienced directly in the fact of life and affi rmed in existential faith, and
which is inaccessible to precise grasp by the discursive reason, leaves only a trace of its presence with no defi nite logical
location “between” the affi rmation and negation of the universe. Thus the form of antithetic propositions, as a pair of theses and antitheses, shapes constructively the operation of open epistemology in philosophical cosmology: all statements
about the universe as a whole are always mysterious and ‘contradictory’, leading human reason to incessant wonder between the poles of conviction and doubt. When the reason is tired of this wonder it submits itself deliberately to the silence
of faith in being existent, as a truly the knowledge of the universe in the negative certitude.
Similar to Levinas, this breakthrough towards one’s identity and hence the universe’s identity cannot be achieved either
through knowledge or ecstatic transcendence towards the universe (which would imply one’s disappearance as person).
Thus when we speak about the universe as communion we mean that solitude can be exceeded while the identities of both
a human being and the universe are preserved as distinct.
G. Marcel calls this a primary metaphysical mystery of the incarnate existence (Marcel, 1965, pp. 15-16).
And Marcel adds to this: “I mean that the universe tends to disappear to the extent it overwhelms me. And this, I believe,
is that which is forgotten every time when one attempts to crush man by the weight of astronomical facts.” (Marcel, 1940,
p. 32).
C.f. (1 Cor. 15:28)
See a detailed discussion of this parallel in my paper (Nesteruk, 2012).
In a theological context one could add that, the identity of the universe reflects not only monadic being-in-the-world, but
also the love to the universe which stems from the ecstatic predisposition to love God. It is the divine kenosis as particular
creation which reveals itself in incessant urge to search for the foundation of humanity’s facticity as the source of life, and
which inevitably goes through the stage of implicit “personalisation” of the universe.
The Big Bang, that is allegedly the past of the universe, being reconstructed from the present appears to be the telos of
cosmological explanation, the telos not as nexus finalis in a Kantian sense, but as an intrinsic purposiveness of human
action in cosmological research. See more details in my paper (Nesteruk, 2012).
The affi rmation of the inaccessibility of the totality of the universe nevertheless implies a certain grasp of this totality.
This creates a paradox of that the infi nite is show to us in the conditions of our fi nitude. See more discussion on grasping
infi nity in (Moore, 2001, pp. 218-33).
In my paper (Nesteruk, 2011) on the demarcation between the dimensions of the human and natural sciences in cosmology
it was already mentioned the inseparability of the subject of cosmological research and its object on the grounds of communion. Here we deal with a refi nement of the general statement of inseparability which cascades towards a particular
transcendental strategy if one dares to express communion discursively.
The uniformity of the universe can be a result of special initial conditions which, however, cannot be empirically verified
because of the limited causality to which our observable universe is related . See, for example, (Albrecht, 2003, p. 375).
Coherentist epistemology is sometimes described as knowledge without a foundation of certainty. In this sense it stands in
sharp contrast with the foundationalist approach which demands that the knowledge of the actual, and even of the probable
(so far intelligible), requires a foundation of certainty. The characteristic feature of this epistemology is that it is social,
that is emphasising the fundamentally social nature of human knowledge. See, for example, (Rescher, 1989, pp. 316-33).
C.f. with the “Introduction” to the book (Bitbol et al. 2009, p.3) where the authors associate the Kantian “mathematical
construction” with that which in modern terms can be called “computational synthesis”.
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Certainly this point is also strengthened by the fact that the space described by metric in relativistic cosmology looses its
independent property of being a “background structure”, acquiring the features of a dynamical variable.
The fact that we observe the universe along the surface of the past light cone implies that we have an astronomical access
to large-scale cosmological parameters only in their past values.
See in this respect, for example, a provocative paper of (Tegmark, 2008).
The term “weak objectivity” was used, for example, in (Bitbol et al., 2008, p. 4). A phenomenological sense of this term
can be illustrated through the reference to J. Ladrière: “The theoretical apparatus is thus not a description in the ordinary
sense, as presentation of an entity, supposedly given, and of its properties, it is the characterisation of something which is
not a thing, but a structural path along which a thing comes, from the ultimate horizon of every givenness, to the actual
presence in which it is effectively given to apprehension” (Ladrière, 1989, p.138) (emphasis added). P. Heelan approached
the concept of reality as being naturalistic and evolutionary and it is “people and praxis what provide it with the categories
of the real” (Heelan, 1988, p. 524).
In this sense the statement of B. Carr on the lack of description of consciousness in physics, namely: “Yet one feature
which is noticeably absent from this model is the creator, man himself. That physics has little to say about the place of
man in the universe is perhaps not surprising when one considers the fact that most physicists probably regard man,
and more generally consciousness, as being entirely irrelevant to the functioning of the universe. He is seen as no more
than a passive observer, with the laws of Nature, which he assiduously attempts to unravel, operating everywhere and
for all time, independent of whether or not man witness them” (Carr, 1998, p. 152) can be considered as a negative, but
useful defi nition of that how subjectivity works in cosmology. M. Bitbol characterises the absence of mind from our
scientific picture of the world in terms of progressive “self-dismissal” (Bitbol, 1993, p. 92). However, this progressive
self-dismissal is inherent in the very logic of scientific view of the world, because, this pictures itself is exactly what we
call mind. The defi nition of mind, its content, is explicated by the scientific view of the world. In this sense one cannot
defi ne mind prior to this picture, because its very defi nition would require mind to exists prior to it. As E. Shrödinger
expressed a similar thought: “The reason why our sentient, percipient and thinking ego is met nowhere within our scientific world picture can easily be indicated in seven words: because it is itself that world picture.” (Shrödinger, 1992,
p. 128). In a phenomenological context the problem discussed here is related to the fact that predicating objects science
ignores the paths that led to the structure of relations pertaining to objects. And phenomenology since Husserl argues
that these paths which manifest the human activity lie precisely in the ontological ground of objects (See, for example,
(Kerszberg, 2003) ).
The graphs which attempt to express the wholeness of the universe related to its infi nitely small observable segment can
be found, for example, in (Harrison, 2000, pp. 375-86).
It is interesting to point out that this contingency is however a special one for it corresponds to our presence in the universe
and the very possibility for the universe to be observed as it is. See (Primack, 2006, pp. 117-18).
As it was expressed in the paper (Albrecht, 2003, p. 384): “The arrow of time, as it is currently understood, simply has to
be used as an ‘input’ to any theory of the universe”. One must not think, however that the cosmological expansion provides a complete inclusion of the arrow of time in theory. As was argued by Penrose as far back as in 1979 cosmological
expansion, being governed by the dynamical equations does not describe the irreversibility of time and does not justify the
second law of thermodynamics (Penrose, 1979). The problem with the arrow of time originates in the special (non-generic)
conditions of the universe. Correspondingly in order for the arrow of time to manifest one should to have a temporal span,
so that the universe must be presented as evolving in time.
It is interesting that theoretical cosmology always wants to get rid of the contingency of the initial conditions by developing theories of origin with most generic initial conditions. However, as it is understood nowadays, if cosmology wants to
give account of the arrow of time the initial conditions must be non-generic.
On the one hand human beings are consubstantial to that portion of the universe which contains stardust from which human bodies are made, on the other hand human beings transcend this very consubstantiality by articulating the universe
in its entirety including those aspects and eras which are incompatible with the human existence.
Cf. with a similar intuition of J. Wheeler that the very word “time” is a human invention (Wheeler 1988, p. 13). So that
event the word “timelessness” which, according to Wheeler, pertains to being as the ‘world of existences”, intrinsically
contains the traces of humanity. The defi nition of universe as a whole, as that totality which is devoid of temporality, still
contains the presence of humanity who defines this universe by means of a simple dialectic denial of attributes (such as
time) which pertain to the visible universe.
See a very nice review of ancient concepts of space, including that of a receptacle, in (Torrance 1995).
This is a well known Kantian position on the possibility of knowledge: we can know only those things which can be adequated with our capacities of sense and understanding. This general transcendental stance was mimicked in some works
related to astronomy and cosmology whose authors argued that human cognitive faculties and instrumental arrangements
influence the way the universe appears to us. See, for example, a book (Harwitt, 1984) and a related paper (McLaughlin,
1985); as well as papers (Barrow, Bhavsar, 1987), (Barrow, 1989), (Bishop, 1986).
As asserted by Bitbol, the Weak Anthropic Principle “establishes a retrospective link between two sets of phenomena: the
universe and the human body.” (Bitbol, 1993, p. 100).
This is a different dimension of the paradox of human subjectivity.
This contingency has a profound meaning: it is not only contingency in space, as related to the human position in the
universe, but, what is most important it is contingency in time as related to the overall evolution of the universe. The latter
one can be expressed along the lines of the anthropic inference which deals with the necessary conditions for humanity
to appear on the planet at a particular cosmological era. However there is another, so to say, an epistemological aspect of
this contingency linked to the fact that the distribution of the constituents of the universe at present is such that we can
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now observe its structure in order to infer to the underlying sense of the universe. This is mostly related to the proportions
between dark matter and dark energy: in the future, for example, when dark energy will prevail the large-scale structure
of the universe will become effectively invisible, so that our ability to create theories on the basis of observations would
disappear at all. One can talk about a “window” in time when human intelligence is capable of disclosing the nature of
the universe. In other words we are talking here about contingent facticity of the very possibility of cosmology. As was
expressed in (Krauss, 2009, p. 15) “We appear to live in a very special time: the only time when we can observationally
verify that we live at a very special time!” (Cf. (Krauss, Scherrer, 2008, p. 689)). See also on this point (Primack, Abrams,
2006, pp. 117-8) where the authors speak of “the midpoint of time” which correspond to that time in the evolution of the
universe when the galaxies have already been formed to be observed and, at the same time, have not yet disappeared from
our view because of the acceleration of the universe.
Cf. Heidegger’s treatment of the famous thesis of Protagoras on “man as a measure of all things” (Heidegger, 1991, pp.
91-95).
Here appears a replacement of the old Medieval static heavenly sphere by the so called sphere of time, where humanity is
indeed in the centre of this sphere in a profound epistemological sense. The universe then seen as a frozen image of the
whole span of time from the Big Bang to nowadays. See a typical diagram in (Primack, Abrams, 2006, p. 135).
Hannes Alfven as far back as in 1978 expressed his doubts about the scientific status of cosmology that dares to predicated
realities of the early universe: “…it must be absolutely clear that if a scientist makes a guess about the state of the universe
some billion years ago, the chance that this guess is realistic is negligible. If he takes this guess as a starting point of his
theory, this is unlikely to be a scientific theory but very likely will be a myth” (Alfven, l977, p.13).
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Конституирование идентичности вселенной:
апофатизм и трансцендентальные
ограничения в космологии
А.В. Нестерук
Университет Портсмута
Лайон Гэйт Бюлдинг,
ПОРТСМУТ, РО1 3НF, Великобритания
В статье обсуждаются ограничения познаваемости вселенной, вытекающие из специфики
человеческого состояния. Проводится точка зрения, что в отношении так называемой
идентичности вселенной можно установить лишь апофатический подход, состоящий в отказе
от попыток исчерпать истину космологических определений в строго научном дискурсе.
Это влечет за собой необходимость ослабить требование строгого реализма в космологии.
Реализм может получить статус «слабой» объективности, содержащей в себе условия и сам
процесс конституирования реальности вселенной в космологии. Раскрытие смысла вселенной
оказывается неразрывным образом связанным с историчностью процесса познания, его
случайностью. Познание вселенной характеризуется принципиальной несоизмеримостью
человека и вселенной, а также его не-сонастроенностью со вселенной, выражающейся в
экзистенциальной тревоге и отсутствии онтологической привязки во вселенной. Именно такая
тревога порождает ограничения на познание вселенной. Само желание эксплицировать смысл
человеческого существования становится целью космологического исследования: для того,
чтобы познать человека, нужно познать смысл его места во вселенной, то есть смысл самой
вселенной. В статье проводится детальное обсуждение так называемого космологического
принципа, в отношении которого показано, что он является трансцендентальным
ограничителем на познание вселенной, имеющим телеологические коннотации, присущие
человеческой активности и, в частности, устремленности человека во вскрытии смысла
вселенной.
Ключевые слова: вселенная, идентичность, познание, эксплицируемость, апофатизм,
трансцендентализм, телеология.
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Journal of Siberian Federal University. Humanities & Social Sciences 3 (2012 5) 395-402
~~~
УДК 341.23
On Ensuring
of the State Progress with Law
Sergei A. Drobyshevsky*
Siberian Federal University
79 Svobodny, Krasnoyarsk, 660041 Russia 1
Received 4.11.2011, received in revised form 11.11.2011, accepted 16.12.2012
The article develops the set of ideas that with the fi xation in legal regulations allow to provide maximum
progress of the state as the increasing subdual by people who are living here of their own and external
nature. In particular, the formulation of two ideals in the law is supposed: first of all, models of the
population transformation in any certain country into the collective of professionals of the highest
world level in all areas of specialized human activity i.e. healthy, educated and highly cultured persons;
secondly, the world state that is created during the competition among sovereign political formations,
aspiring to reach the first etalon from the noted ones. These purposes are proposed to be carried out
on the way of creation or development of democracy, as well as the wide system of legally bound rights
and personal freedoms. The work analyses various ways of solving the highlighted problem that is
grounded in scientific literature from the point of view of ensuring of the greatest state progress, and
the best of these ways is the one that has been adhered by J. Madison and D.S. Mill.
Keywords: law, the state, progress, political ideal, H. Kelsen, democracy, G. Jellinek, regression,
system of rights and freedoms of the person, C.L. Montesquieu, ideological pluralism, T. Jefferson,
liberalism, J. Madison, the official state doctrine, D.S. Mill.
Point
It is known from the history course as a
whole that there is always an increase of people
domination over own and external nature.
Sometimes this phenomenon is called a social
progress (Pound, 1968)1. But it is not always
implemented on a wide scale in the state public
relations of a certain era for various reasons. In
particular, there are ideas which fixation in the
law will yield results in the place where it is
implemented, not only in the absence of progress,
but in the destruction of the state organization as
well. For example, similar results will obviously
appear in the declaration of universal inactivity
*
1
of people living in the certain area in the state
legal standards, abstinence of these people from
communication with each other, wars of all
against all, of course in the case if mentioned
above rules are implemented in the human
behavior (Drobyshevskiy, 2001).
However, there are also ideas that can cause
absolutely different consequences in the situation
of its recognition as the establishments of law.
It could be said that the social progress in the
state can be achieved if active labor, the ramified
system of communication among people, and the
maintenance of peace within the state boundaries
as well are guaranteed by the legal standards.
Corresponding author E-mail address: lawsfu@mail.ru
© Siberian Federal University. All rights reserved
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Moreover, with the help of labor activity and
various forms of efforts cooperation of the
individuals it is possible to achieve an increase
of the degree of their domination over own and
external nature. At the same time production of
material wealth and intellectual values, as well
as communication of the state population will
give the best results only in the conditions of
peace preservation in this community. However,
mentioned above rules are not enough, if there
is the purpose to provide the greatest possible
progress in the analyzed social organism. In order
to achieve it other standards should be fixed in the
formal sources of the state law.
Example
Rather an extensive circle of ideas should
be recognized as a theoretical basis for their
formulation. First of all, it is necessary to include
the following scientific conclusions. The state
acts as the division between the organization of
labor co-operation and other activities of people
in a certain territory. And the quality of existence
of any participant of the given social system is
defined by this fact – the degree of promotion
during the way to the progress, and, in particular,
the degree of perfection that is used by the certain
person for realization of own needs of other
members efforts of the society that is organized
by the state. The best situation for each individual
in the state is consumption of work products and
other results of human behavior that are excellent
according to the point of view of the consumer
requirements. Besides, such a situation can not be
achieved, if at least one person in the politically
organized society will show imperfect forms of
own activity. Moreover, its negative consequences
are directly or indirectly experienced by the
fellow citizens without any exception.
And now there is a logical question: how is it
possible to create conditions for the high-quality
production and other activities of all the people
who are forming the community mentioned
above? The answer is obvious. For the provision
of other participants of the state community
with excellent labor and other services, the
person should possess good health and physical
development and should have material means that
allow not only to receive excellent training and
education as well, but also should support and
improve the acquired knowledge, abilities, skills
and the state of his health during the whole life.
If the individual does not have sufficient
resources, for example, financial resources, for
the realization of everything that is listed here,
he can’t provide fellow citizens with the highquality results of production and other activities.
Therefore, the citizens can’t have the good quality
of life (i.e. use excellent products of labor and other
efforts of the state community participants) when
their partners in such interaction don’t live very
well: namely because the unsatisfactory material
conditions of living are not able to provide perfect
forms of human activity, so people don’t acquire
qualities that are necessary for this purpose
(Drobyshevskiy, 2004).
For the force of argumentation under
discussion, it is necessary to do two things to
provide the greatest possible progress of any
state. First of all, to encourage the acquisition of
everything that might be necessary for the highquality labor and other activities by members
of the considered social organism without any
exception in every possible way. Secondly, when
human individuals have conditions to work and
carry out other functions effectively, but they do
not want to do it, it is necessary to convince or,
as least, to force such efforts to overcome such
unwillingness.
It is likely that there should be two ideals
within the discussed circle of ideas. One of
them is the theoretical model of transformation
of the country population into the higher world
level collective of professionals in all areas with
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active, healthy, educated and highly cultured
specialists. In this etalon there is the reflection of
the maximum degree of progressive development,
achievable in the state organization that is the
member of the international community of similar
structures. And the analyzed ideal ordinary acts
in appropriate time in the form of much higher
stage of the social progress demonstration, as
the group of states existing in the world is being
developed.
Competitions between sovereign political
associations that have similar purpose in their
legislation will inevitably persuade these
state organizations to strengthen their mutual
communication. And during the development,
marked tendency is able to result to the
establishment of the world state in the future that
will regulate behavior of the whole mankind by its
own system of legal standards together with the
world sphere of activity. Grounded argumentation
in favor of the formulated prospect of political
and legal evolution is presented in the scientific
literature about jurisprudence (Drobyshevskiy,
1995).
The world state is the second ideal of two
ideals mentioned above. This ideal is necessary
for the considered set of ideas for very simple
reason. There are opportunities to reach the
higher stage of social progress, and consequently
the better life for people as well, rather than
opportunities to implement the first ideal in the
world state organization.
Indeed, progressive development of the state
supposes expansion of the system of satisfied
requirements from people living here. In the
sovereign political association this system is
improved with complication of division and
cooperation of labor and other activities of
its members. The usual precondition for such
changes is the increase in quantity of participants
of the analyzed communication. But just the
world state applies to all the individuals. That is
the reason, why in comparison with the sovereign
political communities that are not world ones, it
is able to establish the more differentiated system
of division and cooperation of people. It is not
accidentally that in the world state it is possible
to implement the principle that is unachievable in
other states: activity of every person serves the
needs of the whole mankind and, on the contrary,
this individual uses products of efforts of all the
inhabitants of the globe.
Certainly, since the ancient time interaction
between the sovereign political associations
and, first of all, international trade has given an
opportunity for certain members of these groups
to use the results of foreigners’ activity in their
own purposes. However, the very presence of
boundaries and various restrictions of human
communication that are deriving from it
prevent any of contact countries from giving the
possibility to any person to use results of activity
of other people on the Earth in exchange of own
production.
Creation of the world state in the given
interpretation, i.e. as a political form that increases
the degree of domination of the planet population
over own and external nature, does not mean the
completion of the social progress. On the contrary,
the considered model of such community similarly
to the etalon mentioned above supposes that there
will be a lot of improvements of professionalism,
health, physical development, erudition and
culture of all human beings.
Described possibilities of the world state
on ensuring of the public progress allow to
understand why a lot of well-known scientists
have written about this association, as a purpose
of the Earth population. Here, it is important
to remember the adherent of liberal views –
lawyer H. Kelsen (Kelsen, 1970). But founders
of Marxism also emphasized that in the future
there will be the public association for the whole
mankind that, from their point of view, will not
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have the character of the state organization, but
that will reach the higher level of progressive
development, than in previous states (Marx,
Engels, Т.3,4,20,21).
To achieve two ideals mentioned above in
the certain sovereign political community, there
is the requirement to elaborate the model of the
most progressive development and implement
it in the law of the certain country. After all, at
least the very peculiarity of the group of people
here, without mentioning the uniqueness of the
surrounding environment, will make specific
transformations for the purpose of implementation
of the etalon and making it common to all states
and necessary for all the people.
This theoretical position should also be
included in the circle of ideas and thoughts that
gives opportunity to formulate legal standards
for the state that wants to achieve the maximum
progress. But, in the set of doctrine materials
mentioned above, the presence of several more
scientific concepts is also necessary.
First of all, in the state it is usually impossible
to implement social transformations effectively
and keep their results for a long time if huge mass
of people are against it. State apparatus is able
to force effectively only the part of population
and prove that it’s considerable by the support of
several public layers, such as policy (Hart, 1961;
Ehrlich, 1936).
Then, for example, G. Jellinek wrote that
in every developed state in the early years of
XX century approximate equality between the
number of citizens and holders of governmental
power was reached during the process of the long
social progress. As a result, according to this fact
adult people usually simultaneously played two
roles – both subordinates and masters. During
the preceding historical periods even in the states
that were advanced for those days, frequently
there were less dominant people, than ordinary
citizens (Jellinek, 1908). In order to return to the
position, in the countries where this situation has
been overcome, there would be not the progressive
development, but regression. In addition, this is
the first noted phenomenon that is the purpose
of consideration in the given work and that is
considered in the conditions where not all the adult
people are owners of the governmental power.
That is the reason, why the increase in the degree
of domination of the modern states population
over own and external nature should be carried
out either in the conditions of democracy, or by
means of progress in this field by undemocratic
sovereign political associations.
Within the circle of ideas under discussion,
it is necessary to present the following theoretical
idea. There is the certain legally binding system
of personal rights and freedoms in the state.
Besides, it has been developed historically as the
result of the public progress (Malevich, 2004).
Therefore, when there is the aim to provide
continuation and acceleration of this process, it is
necessary not only to keep the system mentioned
above, but also to expand it.
Certainly, it might be doubtful, whether
improvement of personal rights and freedoms in
the country is connected to the progress taking
place here by directly proportional dependence
or not. However, it is unreasonable. Indeed, there
is complication in the process of progressive
development of the state with two functioning
systems – firstly, divisions and cooperation
of activity of people, and secondly, satisfied
requirements of the person are carried out in the
course of normative regulation of considered
behavior, including obligatory influence from
the sovereign power. And the noted processes
of formulation and implementation of the rules
include an increase of the freedoms and rights of
the person that are recognized in the country –
both legal and illegal. Therefore, without such
increase there is no country with the wish to
achieve maximum progress that is able to do it.
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So, ideals mentioned above that are common
for all the states should be reached during the
creation or development of democracy, and also
the development of the wide system of legally
bound rights and freedoms of the person in every
similar community. And again there is a problem
about the possibility to achieve the established
purpose as fast as possible.
For the correct solution of these issues,
it is necessary to understand two theoretical
positions about the appropriate organization of
the state that are offered by the liberal tradition
of political-legal researches. One position is
offered by C. Montesquieu, T. Jefferson and
L. Duguit in particular. As the first researcher
wrote, «in the free country it is indifferent very
often whether people argue well or badly. The
only important thing is to let them argue, because
it generates freedom, that prevents from bad
consequences of such arguments» (Montesquieu,
1955. P.431). In other words, according to the
point of view of C. Montesquieu when people
suggest choosing between true and erroneous
ideas, including preference to the social progress,
people usually appear reasonable enough to
follow the correct idea. Similar ideas were also
supported by T. Jefferson. According to him, «in
any country where the person is free to think and
speak, differences in opinions occur because of
differences in perception and imperfections of
human mind. But these differences when they are
freely admitted, … make themselves clear in free
discussion and become something like clouds
floating in the sky over our earth after which we
see our horizons even more brightly, even more
clearly» (Thomas Jefferson, 1992. P.69). And
according to the opinion of T. Jefferson, «truth
will triumph, if it is given its own forces, … it is
an appropriate and worthy opponent of delusion
and it is not necessary to be afraid of an outcome
of its collision until human intervention does not
deprive truth of its natural weapon – freedom
of arguments and discussions: delusions cease
to be dangerous when it is permitted to oppose
them freely» (Thomas Jefferson, 1992.P.200).
So, «only delusion requires the governmental
support. Truth is able to stand as it is” (Thomas
Jefferson, 1992. P. 195).
Studying the validity of the given judgments,
L. Duguit came to the conclusion: the state
shouldn’t have its own ideology (Duguit, 1908.).
It should «respect all the doctrines and protect
them all» (Duguit, 1908. P. 799-800).
Another theoretical position about the
organization of the state within the limits of the
liberal tradition of political and legal researches
consists of the following. In the conditions
of freedom and democracy people facing the
choice between the correct and incorrect ways
of solution of the certain issue from the point of
view of general welfare provision including the
maximum social progress, will often act in rather
definite manner. They will prefer an erroneous
way (The Federalist, 1993; Mill, 1907).
That is the reason why professional
politicians and lawyers who define work of
the system of state bodies, urge to help broad
masses to accept the decisions made by these
state bodies independently with the help of the
complex of special measures. And the purpose of
such assistance is to keep people from errors that
will preserve the democratic system and promote
the implementation of the wide system of state
population rights and freedoms in every possible
way (The Federalist, 1993; Mill, 1907).
For example, J. Madison believed, that the
majority of ordinary people will start to make
less incorrect decisions within the country with
the large territory and considerable number of
citizens, and with the representative government
that is characterized by the division of powers,
than in the conditions of the direct democracy
that exists just in the narrow circle of individuals
and on the small territory (The Federalist, 1993).
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According to the opinion of D.S. Mill, measures
that are resulted from this idea in many cases
do not lead to the provision when people do not
make rather serious errors. To achieve such result,
it is required to organize in the state the system
of government that is named by D.S. Mill as the
“pure democracy” (Mill, 1907. P.127) and that
differs radically from the content that J. Madison
put in the term (The Federalist, 1993).
According to the comparison of the
judgments made by C. Montesquieu, T. Jefferson
and L. Duguit, on the one hand, and the
judgments made by J. Madison and D.S. Mill, on
the other hand, first of all, it is evident that there
are features common to both theoretical positions
and providing of possibilities for the social
progress is referred to both of them. In addition,
analyzed scientific platforms are assumed to have
ideological pluralism, i.e. absence of the official
state doctrine in the country that is understood in
the form of system of opinions, obligatory for the
population. The scientist admits that in modern
Russia, in particular paragraph 2, article 13 of
the Constitution sets the following: “No ideology
can be established as state or obligatory” (The
Constitution of Russian Federation, 2009.P. 9).
However, comparison of two theoretical
positions mentioned above also reveals
differences between them. So, it is necessary to
notice, that the scientific platform that is adherent
by J. Madison and D.S. Mill, gives the best
chances for realization of the social progress.
Moreover, according to it, some special programs
are conducted on behalf of the state and intended
to help people to make independent decisions in
the interests of strengthening the domination over
own and external nature. Using the theoretical
approach of C. Montesquieu, T. Jefferson and L.
1
Duguit, professionals who define the policy of
the system of state bodies, refuse to assist broad
masses in this relation.
Therefore, there is the certain conclusion
about the content of the circle of ideas and
reflections that make it possible to formulate legal
standards for the country in order to achieve the
greatest progress. Here, it is necessary to include
to scientific platform about the establishment of
the due organization of the state that is proposed
by J. Madison and D.S. Mill. Besides, it follows
from the originality of each sovereign political
association that the discussed circle of ideas
requires even one addition and it is the question
of the following.
On the basis of the theoretical position shared
by J. Madison and D.S. Mill, it is necessary with
the reference to specificity of any certain state to
create the complex of measures that are unique
for these states with the purpose to help people to
act correctly in order to increase domination over
own and external nature as soon as possible. This
special program is also required to be entered into
the set of doctrine materials that are necessary to
serve in the certain country as the scientific base
for formulation of legal standards.
Resume
Certainly, during the process of
implementation of the resulted judgments in
legal standards of any certain state it is necessary
to make a lot of efforts by the huge number of
people. However, without ideas that should be
put into the basis of the law, its establishment
is impossible. Therefore, the established
theoretical concepts in case of their validity are
able to improve the state organization both in
Russia and abroad.
Besides, noted phenomenon includes ecological researches and implementation of its results in practice. After all, the
specified works also subordinate nature to mankind, creating a favorable natural environment for people.
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References
Дробышевский С.А. [S.A. Drobyshevskiy] Теоретические модели наилучшего политического
строя и этапы их реализации // В кн.: Государство и право на рубеже веков: проблемы истории
и теории: Москва, 2001. – С. 8-10.
Дробышевский С.А. [S.A. Drobyshevskiy] О стиле жизни правящего класса в государстве:
классические идеи и современность // Конституционные и правовые реформы в России. Под
ред. Музюкиной В.Я., Сорокина В.В. – Барнаул: изд-во Алтай. гос. ун-та, 2004.
Дробышевский С.А [S.A. Drobyshevskiy] Политическая организация общества и право как
явления социальной эволюции. – Красноярск: КрасГУ, 1995. – С. 135-138.
Дюги Л. [L. Duguit] Конституционное право. Общая теория государства. – М., 1908.
Еллинек Г. [G. Jellinek] Общее учение о государстве. – СПб., 1908.
Конституция Российской Федерации: Официальный текст с поправками. Историкоправовой комментарий (Страшун Б.А.). – 3-е изд., перераб. – М., 2009.
Малевич Ю. И. [Yu.I. Malevich] Права человека в глобальном мире. — М.: АСТ, 2004.
Милль Д.С. [D.S. Mill] Представительное правление. – СПб., 1907.
Монтескье Ш. [C. Montesquieu] Избранные произведения. – М., 1955.
Джефферсон Т. [T. Jefferson] О демократии. – СПб., 1992.
Гамильтон А., Мэдисон Дж., Джей Дж. [A. Gamilton, J. Madison, J. Jay] Федералист. – М.,
1993.
E. Ehrlich. Fundamental Principles of Sociology of Law. (Cambridge, Mass., 1936).
H.L.A. Hart. The Concept of Law. (Oxford, 1961).
H. Kelsen. Pure Theory of Law. (Berkeley: University of California Press, 1970).
R.Pound. Social Control through Law. (Hamden, 1968).
Copyright ОАО «ЦКБ «БИБКОМ» & ООО «Aгентство Kнига-Cервис»
Sergei A. Drobyshevsky. On Ensuring of the State Progress with Law
Об обеспечении правом
прогресса государства
С.А. Дробышевский
Сибирский федеральный университет
Россия 660041, Красноярск, пр. Свободный, 79
В статье изложена совокупность идей, позволяющих при закреплении в юридических нормах
обеспечить максимальный прогресс государства как все большее подчинение живущими здесь
людьми собственной и внешней природы. В частности, предполагается формулирование
в праве двух идеалов: во-первых, модели превращения населения всякой конкретной страны
в коллектив профессионалов высшего в мире уровня во всех сферах специализированной
человеческой деятельности, здоровых, образованных и высококультурных лиц; во-вторых,
мирового государства, создаваемого в ходе соревнования между суверенными политическими
образованиями, стремящимися достичь первый эталон из отмеченных. Эти цели предлагается
осуществлять на пути создания или развития демократии, а также широкой системы
юридически закрепленных прав и свобод личности. В работе анализируются обоснованные в
научной литературе различные пути решения выделенной задачи с точки зрения обеспечения
наибольшего прогресса государства, и признается лучшим из них тот, приверженцами
которого некогда являлись Д.Мэдисон и Д.С.Милль.
Ключевые слова: право, государство, прогресс, политический идеал, Г.Кельзен, демократия,
Г.Еллинек, регресс, система прав и свобод человека, Ш.Л.Монтескье, идеологический плюрализм,
Т.Джефферсон, либерализм, Д.Мэдисон, официальная государственная доктрина, Д.С.Милль.
Copyright ОАО «ЦКБ «БИБКОМ» & ООО «Aгентство Kнига-Cервис»
Journal of Siberian Federal University. Humanities & Social Sciences 3 (2012 5) 403-422
~~~
УДК 323.38+316.34+343.115+17.021.3
Social Entirety of the State
and Social Extremism
Pavel V. Klachkov*
Department of Expertise and Analytics
of the Governour of the Krasnoyarsk Territory
110 pr. Mira, Krasnoyarsk, 660009 Russia 1
Received 19.09.2011, received in revised form 29.12.2011, accepted 17.01.2012
Abstract: Based on the idea that the actions taken for both reinforcing and destructing the state
entirety generally belong to the same social spheres, the author regards the social entirety of the
state and social extremism as interdependent phenomena. The article characterizes both mass
and “conspiracy” forms of extremist activity. It considers both ideologemes and typical everyday
activity, along with some peculiar symbols, images and clichés that form a specific subculture. It
demonstrates the interconnection between modern extremism and radical movements of the past. The
researcher proves that the state requires efforts to be made both by the state apparatus and the civil
society, including the representatives of traditional affiliations in order to provide the social entirety.
Synergetic approach is one of the fundamentals of the research, along with the collegiality concept
and the term of so-called “symphonic personality”. The author thoroughly characterizes the factors
that cause weakening of the state social entirety and strengthening social extremism. It concerns
social injustice, frustration of social expectations, the gap between the interests of the elite and the
people, deep contradictions within the ruling class, insufficiency of existing researches, inadequacy of
the ideological subsystem, support for the extremists demonstrated by some foreign forces, interethnic
and interreligious contradictions, and weakness and inefficiency of the law enforcement system. In the
conclusion new aspects of social extremism are outlined: the growth of “professional revolutionary”
qualification, the use of the latest humanitarian and information technology achievements (like “hive”
technology and the Internet).
Keywords: humanitarian technologies, collective behaviour, mass psychology, ruling class, collegiality,
social stratification, social frustration, social entirety, social classes, social extremist, synergetic,
subcultures, extremism, hive, smart power, soft power.
Before starting to characterize the problems
outlined in the title of the present article, it
is necessary to clarify some terminology
issued. Terminology polysemanticism is one
of the unavoidable troubles of humanitarian
sciences. The only way to get rid of it is to reach
“terminological convention”1, which is to agree
*
1
on the univocal use of this or that word. The
author has to clarify their position every time
unless the convention is reached.
Many researchers equate the terms “public”
and “social” with one another. According to
the other researchers’ opinion, the fi rst word
characterizes only those kinds of activities
Corresponding author E-mail address: klachkov@mail.ru
© Siberian Federal University. All rights reserved
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and relations when people prove themselves
as communities, while the second one means
not only joint, but also individual activities
and relations2. This way, the second approach
emphasizes the biosocial nature of the people
and the role of socializing process, the social
dependence of thinking and activities of the
individuals etc. Considering the fact that these
circumstances are not disputed by the majority
of the researchers, and the present work is more
of special than general character, the advisability
of such terminological differentiation is not
evident. Moreover, the widely used expression
“social hatred” that is directly connected to the
present topic, does not refer to any conflicts
that arise between individuals. Therefore, the
author uses the words “social” and “public”
as synonyms, though he is not trying to draw
a line under this terminological argument.
Nevertheless, the author uses them not to defi ne
all the phenomena that are connected to society
(unlike some natural phenomena), but only
those that directly concern the problem of social
stratification.
Division of the society into some constituent
parts that take different places in the process of
work and consumption, has been described in
many ways and explained by a series of theories.
V.I. Lenin defined classes as “large groups of
people that differ from each other with their place
in the historically determined system of social
production, with their relation (as stated by the
legislation) towards the means of production, to
their role in the social labour organization, and,
therefore, to their way of receiving their share
of the social wealth and its amount. Classes are
groups of people, one of which can adopt the
work of another due to the different places they
take in the pattern of public economy»3. Marxists
considered the state to be a historically limited
tool of class supremacy, building Communism
would mean extinction of the state4.
M. Weber regarded the social structure of
the community as a multidimensional system,
in which authority and social status play very
important roles along with the classes and the
property relations that created them5. In particular,
this researcher paid much attention to the genesis
and functions of bureaucracy that is initially
aimed at rationalizing the state administration6.
Out of this conception, M. Weber claimed that
the result of socialist construction will be the
dictatorship of bureaucrats7.
Italian political analyst G. Mosca suggested
that there are two classes of people in all the
societies, that are the ruling and the ruled
classes8. From the point of view of system
approach, the latter are understood as the ruling
and the ruled subsystems of the social system
that the state is9.
There are other theories of social
stratification as well. As Plato noted, “A perfectly
simple principle can never be applied to a state of
things which is the reverse of simple”10. Polysemy
and contrariety of the modern tendencies explain
the interest researchers show towards various
conceptual approaches in their aspiration to reach
the integrated knowledge.
Speaking about social stratification, it
is necessary to point out its difference from
dividing the society on ethnic or religious
grounds. If an ethnos or a faith-based community
that includes people of different social status
and occupation are theoretically able to exist
independently from other people, as they usually
include representatives of various professions, it
is different for social classes or strata. Having
found itself isolated from the society as a whole,
such group would either physically die or divide
into, at least, the ruling and the ruled subgroups.
However, the interdependence does not withdraw
the problem of the optimal system for social
relations from the agenda, but, on the opposite,
makes it especially topical.
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As S.K. Abachiev claims, “On all of the
structural levels, the subsystems of a social
organism are characterized with comparative
autonomy”11. Along with that, society is a system
the elements of which “perform some tasks, solve
some problems, represent some necessary parts
inside a functioning whole”12, as B. Malinovsky
said. The comparative autonomy of the parts does
not exclude the social entirety; on the opposite,
it is one of its conditions. It was not accidental
that Aristotle, when describing the differences
between the family and the state, noted that
excessive unification can lead to the destruction
of the latter13.
No politically organized society is perfect.
As V.S. Solovyev claimed, the task of the state
is not to create paradise on Earth, but not to let it
turn into hell14. P.I. Novgorodtsev said that “Justice
is striving for the combination of equality and
freedom, and it cannot sacrifice any of them”15.
Historically, the balance of these two elements is
mobile, so it cannot be found once and forever.
However, “connecting themselves to the absolute
elements of the eternal truths, some people and
some epochs can approach their certain tasks in
the right way”16.
The supporters of extremist doctrines hold to
the opposite opinion. Their demands to radically
reconstruct the society on the basis of “truly
right theories” are combined with declaring the
present regime to be insufficient, based only on
physical extortion and manipulation of the public
conscience.
Concerning this, the ideas of V.D. Ardashkin
become especially interesting, as he pointed
at the difference between confrontational and
the universal approach to the state and the
law. As emphasized by the author, the first one
deals with the class and antagonistic element
and perverts the whole “state functions and the
state apparatus. So, the state is depicted not as
a common home, but as a torture chamber”17.
The second one, without denying the diversity
of the interests existing in the society and the
imperfection of the state apparatus, emphasizes
the attention on the universal character of
the social institutions. Along with that, their
commitment to confrontational approach alone,
of course, does not lead to extremism. The
determining significance here belongs not to the
scientific views, but value ideas.
In his fundamental study dedicated
to the social ideal as a whole and its more
radical socialistic and anarchic versions,
P.I. Novgorodtsev traces the struggle between
utopianism and realism that runs through the
whole pre-revolutionary history of Marxism.
The tactics of Utopian Marxism is to give up
the compromises while expecting the revolution
(according to “the worse, the better” principle);
it’s opposite is the political struggle for gradual
improvement of the working class18. He proved
that this contradiction can be concealed, but it is
irremovable by its nature.
Another line that does the demarcation
between the supporters of radical points of view,
is more of methodological character. It can be
illustrated on the example of the difference
between the points of view of K. Marx who
supported creation of mass political parties
under the united international leadership, and the
national anarchist M. Bakunin who considered
the secret revolutionary societies to be more
efficient. In the year 1872 at the gathering of the
First Internationale the movement of Marx won,
and Bakunin lost19. Nevertheless, the conspirators
movement developed later. In the same year of
1872 P.A. Kropotkin became a member of the
Yurskiy Federation of the First Internationale
that was under strong influence of Bakunin’s
ideas. Later, Kropotkin proved the need for
carrying out terroristic acts in the following
way: “Through the terroristic acts that attract the
attention of the society, the new ideas are slowly
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planted into the heads of people and eventually
make it change. In several days, these actions can
be of more propaganda effect than thousands of
pamphlets”20.
Involving the wide masses into the
revolutionary struggle, the leaders of the radical
groups also based their ideas not on the logical
argumentation. As G. Le Bon claimed, “In the
crowd, all the ideas, feelings, emotions, beliefs
gain the same power as infections or some
microbes do… The effect of the infection is so
strong and powerful that all the private interests
disappear”21. Herewith “in the soul of the crowd
it is not the strive for freedom that prevails, but
the desire to obey; the crowd is longing to obey
so much that it instinctively obeys the one who
declares himself to be its master22. This author
vividly described colossal destructive abilities
of the “crowd leaders”, people of action, that are
mostly “emotionally disturbed people, deranged,
short of madness”23. The researchers note that
the phenomenon of collective behaviour is more
typical of urbanized society that is explained
by the gap in their social roots, anonymity,
large amount of temporary residents and high
mobility24.
One of the first researchers of mass
psychology, G. Le Bon, probably, exaggerated the
abilities of the “crowd leaders”. As A.I. Yuryev
fairly notes, the political phenomena can take
different shapes: direct, indirect, accentuated
and extreme. Extremalization of the political
process puts the leaders of the protesting crowds
out in the front row. But if they are not able to
comprehend the logic of everything going on
around and fix themselves at the next stages of it,
their “hour of triumph” does not last long. “Who
does not remember how many of them there was,
how many remarkable spokesmen died on the
scaffold after the revolution, how many levy en
masse leaders disappeared in torture chambers
long after the victory…?”25.
American sociologist T.R. Gurr finds the
connection between the “discreet” or “mass” way
of action chosen by the revolutionaries and the
balance of coercive control. “If the dissidents are
very weak in comparison with the regime, they
can come to the conclusion that while waiting
for the increase of their coercive abilities… the
best opportunity to reach success is creating
secret organizations… On the other hand, if the
dissidents possess (or think that they possess)
the high level of coercive control in comparison
with the regime, there still is an opportunity that
they may start a plot: there is no need to declare
an internal war, if the power can be reached by
making one accurate shot into the weakened
regime”26.
Having disproved the integrity of the state
undesirable to them, the extremists must go
on to the next step, which is to come up with
an alternative configuration presented in two
aspects: the integrity of the extremist organization
that opposes itself against the whole society, and
a project of the social organism that they find
optimal (at least, in the most general way). It can
include some certain subsystems of the presently
existing society, setting, however, a connection
between them. The radicals suggest either to
crush (and introduce their representatives into
other social systems) the other subsystems, or to
remove them in a more radical way (by expelling
some of the citizens out of the country or even
executing them physically27).
The extremist ideas about the ideal social
structure can sometimes be more of a fantasy.
Sometimes it feels bewildering that adult, and
mostly educated people can preach such naïve
and inconsistent ideas. The research of this
phenomenon requires a thorough analysis of an
“everyday world”28 in which the members of the
extremist organizations live. For the research not
only the ideologemes, but also the social practices
by means of which the organization members
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stand apart from the external reality and unite
with each other29. The role that the manipulative
abilities of their leaders, the authority opposition
and the collective self-deceptiveness play in
creating the extremist world outlook, can be seen
only in the context of every certain situation.
In one of the previous publication we have
already mentioned that the universal way of
reaching the integrity of the citizens in a state
is domination of the common informational and
political space, that includes their being brought
up in the environment of the same language, same
ideological priorities, maintaining information
exchange between the centre and the periphery
etc.30 Acting in the same sphere, extremists are
striving for re-configuration of this informational
political space. Breaking down one idea, they
want to create new ones. The most important
images that the extremists operate with are the
“infernum state”, revolutionary brotherhood and
the “uniform wearing pigs” that are opposed to
it31.
Despite the fact that the majority of
extremists organizations exist for not a long
time, many of them are relying on historical
examples, declaring being the heirs of the
revolutionaries of the past. The question whether
this connection is only declared, is complicated,
because the issue also has some deeper aspects,
some of the of ethnopsychological character32.
Consequently, researching the social extremism
of the past enables us to understand the modern
image of this phenomenon better, to come to
some certain conclusions about the advantages
and disadvantages of the countermeasures taken
against it.
Russian social extremism has a rich past.
For instance, the history of extremist activity
in pre-revolutionary Russia of the XIX century
is a rich material for analysis. So, in the year
1849 the participants of secret gathering of
M.V. Butashevich-Petrashevskiy were arrested.
As the officer of secret police I.P. Liprandi
wrote in his report, “The members of the group
suggested implementing propaganda that would
influence the people’s minds. For this purpose, at
their gatherings they spoke about how to raise all
the classes of the society against the government,
how to arm the peasants against the landlords, the
bureaucrats against their bosses, how to benefit
out of the fanaticism of the dissenters, how to
undermine and destroy the religious beliefs of the
people, who to act in the Caucasus, in Siberia,
in Baltic provinces, in Finland, Poland, Little
Russia, where the minds of people were already
influenced by the ideas introduced by Shevchenko
in his books”33.
In the year 1879, after the split of the
“Land and Liberty” (“Zemlya I Volya”) party,
the terroristic section of this movement created
a revolutionary organization called “People’s
Will” (“Narodnaya Volya”), the main objective
of which was to push the government towards
democratic reforms, and one of the main political
struggle methods was terrorism34. Despite for not
being a big extremist organization, it conducted
a whole series of terroristic acts. On March 1,
1881, the Emperor Alexander II was assassinated.
For instance, one of the activists of “People’s
Will” was S.L. Perovskaya, the daughter of the
Governor of Saint-Petersburg, who later became
a member of the Counsel of the Department of
Internal Affairs35. After the arrest of her commonlaw husband, the party leader A.I. Zhelyabov,
she personally drew up the shooters’ dislocation
layout and with a wave of her white handkerchief
commanded I.I. Grinevitskiy to throw the bomb.
“People’s Will” continued its terroristic activity
after the trial of the tsar assassins that ended up
with the death penalty for five of them. Only
the arrests of the 1884 eventually managed to
weaken the party. However, in the year 1886 a
new organization called “Terroristic Fraction”
was formed. One of its leaders and the author of
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its program was A.I. Ulyanov, the blood brother
of V.I. Ulyanov who later called himself Lenin.
One of the members of the Second
Internationale was the Party of SocialistsRevolutionaries (“SRs”), the largest and the
most powerful non-Marxist socialistic party
of Russia at that time. One of its slogans was:
“In struggle you take your rights”36. One of the
most secret parts of the SR party was so-called
“Combat Organization” (CO) that presented
itself for the first time with the terroristic act that
it performed in the year 1902. Inside the Party,
the Organization was autonomous, the Central
Committee would only issue it an assignment
for making one more terroristic act at a certain
date. CO had its own budget, treffs, addresses,
safe houses, and the Central Committee had no
right to interfere into its affairs. After the arrest
of G.A. Gershuni in the year 1903, CO was taken
the charge of by E.F. Azef, who had offered
his service to the Police Department ten years
before. Along with preventing some terroristic
acts (assassination of the Minister of the Interior
I.N. Durnovo and Tsar Nicholas II), getting salary
from the Security Deparment that counted up to
1000 roubles per month, E.F. Azef organized
more than 30 terroristic acts. For instance, the
assassinations of the Minister of the Interior
and the director of Imperial Russia’s Police
V.K. Plehve, the Commandant of the Imperial
Palace of Petersburg D.F. Trepov, Commandant
of the Imperial Palace of Moscow, Grand Duke
Sergei Alexandrovich.
V.G. Nemirovskiy suggests, that “within
the period from 1869 till 1905 the spiritual and
ideological basis of the new regime was formed
within the framework of the existing one.
Revolutionary, anti-State ideology was developing.
The acts of the Nihilists and revolutionaries
lead to antimonarchist and antireligious air
in the Russian society. The social bearers of
the new regime were, first of all, the so-called
“professional revolutionaries”, the outcasts of
different social groups”37. According to I.A. Ilyin,
“When political oppression gives rise to a protest
in the souls of the people and does not let it out,
this persecution causes a deeper malady already
prepared by the non-figurative opposition, that is
ill legal sense of the revolutionary underground.
At face value, an underground revolutionary is a
person of “heroic nature” that rebels against the
political oppression and leads self-sacrificing
struggle for freedom and justice. However, the
political protest that has become his profession
and replaced his legal sense, spoiled his spirit so
much that his heroism transformed into sickly
contradiction, and his self-sacrifice did not heir
the honour of his spirit, for the freedom of which
he was obviously fighting”38.
In the year 1909, in the collective
volume called “Vekhi”, an article titled
“About Intelligent Youth” by A.V. Izgoev was
published. The author of the article came to a
contradictory conclusion: “The only one and the
logical one, the moral vase of the ideas admitted
by our revolutionary youth” was an ideal of
“deeply personal, even intimate character”. It is
manifested in the longing for death, in the desire
to prove both to themselves and to the world
around them that they are not afraid of death
and are always ready to face it”39. So, the ideal
type is a “professional revolutionary who lives
a worrisome combating life for two years and
then dies on the scaffold”. The scholar comes
to a reasonable conclusion that such deep ideas
are incompatible with the self-preservation of
the society. So, he calls to refuse this “love for
death” and motivate the actions by “the love of
life, that is common with the millions of our
congeners”40. The author points out that in the
works of the church leaders some “conviction
of arrogant people seeking for death” can be
found41. It is also worth mentioning that the text
had been written by A.V. Izgoev much earlier
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than the psychoanalytic society of the world
got interested in the “mortido» phenomenon.
Extremist organizations of the past entered
the history not only with their programs and
terroristic acts. Every organization creates its own
subculture, which is a part of public culture that
differs from the dominating one42. In case of the
extremist organizations, we speak even not about
the subcultures but about the countercultures
opposing the dominating one43. The objectives
of creating such counterculture are twofold: it
creates and supports both the image of the enemy
and solidarity within the group. R.L. Lifton,
conducted some psychological interview with
the people who had undergone the “thinking
reformation” of the Chinese Communists, and
found that there is a common state that is typical
of them, that can be called “ideological totalism”.
This state is characterized by “personal restraint,
self-destructiveness and hostility towards any
outsiders”44. Pathopsychology introduces the
“tunnel vision” syndrome, which manifests
itself in the person’s being obsessed by one
predominant idea and striving for it without
noticing anything around45. The world outlook
of the members of such extremist organizations
is usually “black and white”, where it is easy to
point out the “good” (members of the extremist
organizations) people, the invisible “enemies”
(“the regime”, law-enforcement authorities, etc.)
and ordinary people whom the extremists usually
despise46. Basically, every person defines different
social groups as the ones to which they belong
(“ingroups”) and the groups of “the others”, “the
strangers” (“outgroups”)47, but extremists abuse
the idea by defending their “allies’” actions and
accusing the “regime” of all the evil, interpreting
its policy in one only possible negative way. In
the minds of the extremists, the representative
s of the regime are unhumanized, they are seen
as though they do not have any human features.
M. Trebin speaks of a special “antinomic vision
of the society”, in the fundament of which for the
extremist communities there is a “destructive
axiosphere”48.
The subculture manifests itself, first of all, in
the language peculiarities. As M. Trebin notices,
the members of terroristic organizations speak
their own slang that may sound like nonsense
to the profanes, while it is a cliché language, a
code consisting of symbols and stereotypes of a
cliché mythogenesis… Strange neologisms and
derivative words, curses and hysterical outbursts,
theatrical pathos and demagogical rhetoric are all
suitable for creating a fanatical conscience”. The
researcher points out the following characteristics
of the slang: firstly, it expresses the world outlook
of emotionally handicapped and acerbated
fanatics, secondly, it is a way of avoiding difficult
questions and doubts, thirdly, it helps to identify
the group members49.
Subcultures also reveal themselves in the
symbols and typical kinds of behaviour in these
or those situations. Very often revolutionary
subculture is revived by the next generations
of “fighters against the regime”. It is explained
by the objective similarity of the psychological
types and situations. Moreover, revolutionary
subcultures are often reproduced intentionally.
As a Soviet dissident, V.I. Novodvorskaya writes
that after the first arrest in the year 1969 her
behaviour matched “all the best standards of
the XIX century (“Revolutionary in Prison”).
I remembered all the behaviour rules of the
political prisoners of the pre-revolutionary
period and I was competing with Vera Figner and
Sophia Perovskaya… What happened next was
predictable… Alexander II was punished for the
evil of tzarism, KGB will be punished for the evil
of communism, the rebels will show themselves
soon, then the revolution will come and all of you
will be trialled in Nuremberg...»50.
The psychologist E.V. Wolfenstein suggests
that “a revolutionary is a person who is trying
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to get rid of Oedipus complex by means of
ambivalence, contributing their personal conflict
into the political sphere. For such a phenomenon
to take place, two conditions must be in action:
there must be a conflict of the person with the
personality of the father that is not resolved
within the family by the end of their adolescence,
and there must be some political context within
the framework of which this conflict can
bloom”51. K. Rizler claims that the heart of the
revolutionary movements is usually composed of
idiots, deviants, inadequate personalities52. At the
same time, T.R. Gurr emphasized that inadequate
persons can be found in any society, “however,
they are more likely to be moved by the struggle
process itself, than by the personalities that
develop the conflict”53.
E. Show outlines the four factors that bring
a person to terrorism: early desocialization,
narcissistic disorders, conflict situations (with the
police, in particular) and the personal connections
with the members of terroristic organizations54.
However, psychological experiments carried out
by S. Milgrem proved, that even the most common
person under the influence of the accepted
authority can lose all the moral ideas and go for
such violent actions as, for example, a murder.
For this reason, the peculiarities of the group
behaviour of extremist communities usually
dominate over the individual psychological
features of its members55. E. Alekseeva suggests
that “the figure of the leader determines the
level of cohesion and the character of the whole
community despite of its size”56.
There are reasons to speak about two main
psychological types of the people involved into
extremist activity: “romantics” and “cynics”57.
These revolutionary types have different kinds
of motivation: idealistic in the first case and
mercenary (often, financial) in the second case.
The breeding ground for extremist organizations
can be different kinds of marginal environments
that are not dangerous by themselves without the
organizers. The activity of “cynics” is usually
driven by general ideological crisis that is typical
for the modern society as a whole and creating
the ground for the most exotic and sophisticated
ideologies.
The problem of extremism cannot be
resolved by the state authorities alone, without
the society involved.
Complex counteraction against extremism
requires creating a system of differentiated
multistage self-defence of the society. The
representatives of some traditional affiliations can
play a considerable role, as they help to reduce the
tension in the society. So, one of the key moments
in the “KrasAir” waitresses’ hunger-strike was
the speech of the Archbishop of Krasnoyarsk
and Eniseisk, Anthony, who appealed for them to
stop the strike58. It is also fair to have a look at
the positive components of the experience of prerevolutionary Russia that show that the traditional
affiliations can make a remarkable contribution
into the harmony of social and economic life,
which is vital for preventing extremism.
According to K.S. Abachiev, back in the
Middle Ages “the Church basically acted as the
civil society that completed the state”59. This social
role of the Church remained till later periods.
Like, for example, on the 12 of October 1882 with
the help of the Archpriest of the Church of St.
Andrew in Kronshtadt, the House of Labour was
open; it was a place where everyone could find
a simple job, like making caps or beating hemp
and get some healthy nutritious food, little money
and a clean bed as a payment for the work. Along
with this, a library and some vegetable gardens
for providing the House of Labour with food
were open. As I.K. Surskiy writes, the House
of Labour was “almost a town full of cheerful,
sensible activities. The management of the House
of Labour consisted of the people who belonged
to various strata of society, starting from the
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highest and finishing with the lowest. There was
no discrimination between them. All the people
there formed a big family and worked together
in harmony. All the people suffered the same
need and the same troubles. The management of
the House were making a great virtuous deed of
charity and education, with no political objectives
or profit”60.
Together with this, the researchers notice
that the reforms introduced by Peter I and
his successors weakened the efficiency of the
Church’s social work when it was put under strict
state control.
As S.V. Lurie thinks, excessive dependence
of the countryside priests on the government
and the landlords, the police liabilities that
are delegated to the parish clergy lead to the
churchmen’s losing their moral authority. As a
result, “during the peasants’ revolts they turned
out to be unable to take the position that would
prevent the rebels and outrage of the revolting
people… in the period of turmoil, the priest was
not above the system, but inside it, and he could
hardly do anything to return the system into its
normal state”61.
There is a well-known quote from
L. Boltzman: “There is nothing more practical
than a good theory”. The counteractions against
the extremist activity must have a very serious
scientific support. There should be some research
programs for studying the historical roots,
causes, tendencies and certain manifestations of
extremism. Launching such programs is a part
of the authorities’ responsibility. The research
results must be conveyed to the authority organs,
including those that are running the social and
economic policy of the state and law-enforcement
authorities. Along with this, the government
must motivate public discussions in which
the representatives of the community, media,
parliamentary parties, and traditional affiliations
would take part. The government must supervise
some social programs aimed at preventing
extremist moods in the society. Preventive
measures must be especially taken care of. As for
the law-enforcement measures, the most attention
should be given not to the common executives,
but to the organizers and the masterminds of
extremist activities.
As S.S. Mitin notices, “the society and the
authority are dialectically interconnected and
interdependent”62. In the difficult conditions of
the modern world the only thing that can preserve
Russia as a state and as a unique civilization
and cultural environment is ”cooperation” of
the authorities and the society based both on
common interests and on the traditional spiritual
values. On October 11, 2009, Partriarch Kirill
performed a great dedication service of a temple
in Sestroretsk city in the honour of Saint Peter and
Paul, and preached a sermon in which he said the
following: “It is easy for us to ignore the spiritual
laws of God that He set into our human nature.
The result of the ignoring is always the same: if a
person decides to jump from a roof thinking that
the law of gravity would not work, he would still
die, and it is obvious for everyone; in the same
way we die as personalities, we lose the axis of
life, the support, we destruct ourselves and hurt
our nearest and dearest; the country has been set
apart so many times for the same reason, which
is ignoring the spiritual laws of God”63. Realizing
the total power of the authorities and the society
in struggling against social extremism can be of
synergic effect, as a result of which a preventive
mechanism would be invented, and the social
climate would be more propitious for solving
social, economic or other kinds of problems.
Among the landmarks that can aid enforcing
the entirety of the state and healing the society,
we can name the collegiality doctrine that
was developed by Russian philosophers of the
beginning of the XX century. As S.L. Frank
noted, “Unlike the exterior entirety where the
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power of the whole regulates and limits the
freedom of individual members and where the
entirety is realized as exterior order, division
of competence, rights and responsibilities,
the entirety of collegiality is the free life, the
spiritual asset that nurtures and enriches the lives
of the individuals”64. The concept introduced
by L.P. Karsavin who suggested that the human
kind is not a general term, but a real “symphonic
personality” that exists in the entirety of all its
manifestations in the cultures, nations, peoples,
classes, groups, up to empirically concrete
individuality”65.
Having briefly characterized the social
entirety of the state and social extremism that
opposes it, we can name a series of factors
the strengthening of which does inversely
proportional effect on the first and the inversely
proportional effect on the second (note that the
author does not make an attempt to range these
two forces according to their significance, because
applicable to different situations it can vary).
1) social injustice. As it has been mentioned
above,
2) absolute justice is an ideal that should
be strived for. However, it does not mean that
there are no criteria for differentiating between a
comparatively just social structure and obviously
unfair one.
In “Nicomachean Ethics” by Aristotle it
says that there are two main kinds of justice. The
first one reveals itself in distributing honours,
or money, or anything else whatever can be
distributed between people who are involved
in the society (that is where equal or unequal
distribution can occur). Its second kind is
manifested in the equalling the exchange object66.
So, the first kind of justice is aimed at acting
within the framework of political relationships,
and the second one, in economic activity.
If, speaking with the words of A. Rand, in
economic relations “in order to produce, it is
necessary to have the consent of those who have
never produced anything”, and “the money does
not flow to those who create the goods but to
those who create bonds”, while “those who work
are becoming poorer every day, while bleeders
and thieves are getting richer, and the laws do
not protect the first from the latter, but protect
the latter from the first”, “honesty and justice are
equal to suicide, and corruption is blooming”67,
such society cannot be referred to as just. In such
a society the people who work on different kinds
of production lose their interest in supporting the
present order.
Along with this, being a supporter of unlimited
capitalism, A. Rand overemphasizes one side of
justice in the prejudice of another. Completing
the equalling justice with the distributing kind
is a necessary condition for self-preservation of
the society. The only purpose of business are
minimizing expenses and maximizing profit. All
the subjects that are not a part of the corporation,
are regarded as potential clients, counteragents or
competitors. It is obvious that the state apparatus
cannot follow such a world outlook, as there is
no place for non-affiliated citizens of the state
(by the way, this is the reason why mechanic
transfer of individual management methods into
the public sphere).
By nature, politics is connected with
determining the priorities of distributing limited
resources. The number of vacancies in the state
apparatus is also limited. The budgets are never
endless, too. It leads to a violent struggle for the
“seats” and the financial flows. If this competition
is not regulated by some strict rules that have
already set themselves in the social consciousness,
it is very unlikely that the country will be ruled
by some really useful people implementing some
really useful projects. It is especially unlikely
in a criminal society. In this case, without the
opportunity to realize themselves and to satisfy
their interests in the existing state environment,
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many active members of society can fall on the
path of social extremism.
This way, breaking the equalling and
distributing justice in the society destructs the
social entirety of the state. It is one of the factors
that strengthens social extremism.
3) frustration (discontent) of the social
expectations.
The researchers dealing with the history
of political violence, have numerously stated
that those are not poor people, used to living
in poverty and tyranny, who start the revolts,
but the people, who had some hope that never
came true. T.R. Gurr formulated the following
hypothesis: “The potential of collective violence
is considerable changed together with the scope of
comparative deprivation”. The latter is defined as
“the way the agent perceives of the gap between
their value expectations and value opportunities
(Italics suggested by the Author – P.K.). Under
the first we understand the “amenities and life
conditions that people can claim for”, and the
latter are the things that they should have in
reality under the present circumstances68. The
decreasing deprivation, when the opportunities
are limited and the expectations remain the same,
is very dangerous. Increasing deprivation when
the expectations growth is not supported by the
appearance of new resources, is very dangerous
indeed. But the greatest risk is connected to the
progressive form of this phenomenon when the
expectations are growing, and the opportunities
of their satisfaction are decreasing.69. To our
mind, the situation is aggravated in the societies
of consumerist psychology. In such society there
are no ideals in the public consciousness for the
authorities to appeal for, explaining the need to
tighten the belts.
4) radical gap between the interests of the
elite representatives and the common people.
According to the note made by A.V. Eliseev, “the
elite has to be in a way “antipopular” and remain
in the opposition to the majority of the nation”70.
Nevertheless, there is no coincidence that the
author highlighted two words in this sentence in
bold. Total break between the ruling subsystem
and the ruled subsystem is also a form of social
extremism that is expressed by the representatives
of the ruling class.
When the gap between the dominants that
the elite are following and the determinants of
the social development becomes unbearable,
the loss of the entirety of the original and longterm interests of all members of society leads to
catastrophic consequences. The history of the
Time of Troubles gives interesting examples of
that. As the historian I.E. Zabelin stated, this
period was remarkable for its “total bankruptcy
of the government, the bankruptcy of its spiritual
power… It was not the people who was rebelling
and revolting… It was the mischief of the ruling
class”71.
The researches prove that the difference
between the status of the ruling and the ruled
has reached great scope in our country, while the
system of “social elevators” is not functioning
appropriately yet. As N.V. Schedrin claims,
“The system of nomenclature privileges and
immunities is revived in modern Russia, and
it is turning the ruling class into a semi-closed
elite social group… We can say that Russia is
developing its own caste society, but the caste
of untouchables is on the top of our social
pyramid” 72.
If we trust Homer, the Trojan hero Sarpedon
once told his friend Glaucus: “Why are we always
honoured with the best seat and the bowl at the
feasts, why are they watching us as though we
were the residents of the sky? Why do we own
the best land, that gives us grapes and wheat?”
To his mind, against this the leaders are supposed
to be the first in the fight, for every Lycian could
say, “they eat the best food and drink the sweetest
wines, but they are the first to fight in the army of
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Lycians!”73. Can the representatives of the Russian
ruling class say the same about themselves?
Exceeded social stratification that is
not caused by their contribution into the
commonwealth, the loss of the interests’ integrity
are dangerous by themselves. But at the same time,
they are advantageous for the social extremists,
as they are creating some profitable environment
for their activities.
5) deep contradictions inside the ruling
class that split its political space. Having found
themselves in the “see-saw situation”74, the
leaders of the opposite elite groups often start
trying to attract any means and any powers for
strengthening themselves. Along with that,
sometimes, carried away by instantaneous tactic
profits, they lose (or they do not want to see) the
long-term consequences of such actions. As the
historian S.F. Platonov said, “The beginning..
of the Time of Troubles started in the Moscow
palace. There was the struggle between the
boyar families for the authority and power, and
later, for the throne. The palace conspiracy and
the elections struggle were trying to involve the
population into the political game. They were
appealing to the people in Moscow, calling them
to start the revolt or mischief, or to admitting the
power of Fyodor or Boris. Later the power of the
people in the armed conflict was supported by
Boris and the False. The intrigue of the False that
was created in the boyar environment, the game
managed to profit from the class stratification for
the sake of dynasty war”75.
The modern reality can also give us similar
examples. According to G. Jemal, one of the factors
of the victory of federal power in Chechnya was
the fact that they managed to attract the major
part of the society on their side, including some
of the field commanders. This approach that at
first seemed quite appropriate, became negative
when it got into the contradictory situation inside
the Russian elite. As the researcher claims, the
legal armed Chechen forces “at first, dealt with
the militants inside the Chechen Republic. After
that they spread all over the Caucasus and started
solving the conflicts in Dagestan and other places.
After that, Moscow politicians called the special
task force of these super elite subdivisions for
solving their problems in the capital. Now their
participation in “solving problems in the capital”
is an everyday practice76.
It is worth mentioning that the certain level
of contradictions is immanently typical for the
ruling class, the rivalry of the elite groups is
typical for all the organized political societies.
However, the examples shown above are the cases
when this struggle exceeds the limit compatible
with preserving the entirety of the state.
5) the lack of the scientific research and
inadequacy of the ideological subsystem of the
society. One of the main disadvantages of the
Soviet system was the fact that it limited the
opportunities of studying and legally critically
analysing itself 77. Back in the year 1936,
L.D. Trotsky justifiably noted: “Economists,
historians, even statisticians, no mentioning
journalists, are mostly worried by how not to
get involved into the present zigzag-like official
course. There is only one way of describing
Soviet economy, the domestic and foreign policies
of the Soviet Union, which is to cover the front
and the back with some banal phrases from the
“leader’s” speeches, and claiming that everything
is on the right track just as it is supposed to be,
or even better. Even though one-hundred per
cent conformism can relief you of some everyday
troubles, it leads to the worst of the punishments,
which is, agenesis”. In the 1970s, A.A. Zinoviev
came to the conclusion that nothing does as much
for undermining Soviet ideology as the ideological
apparatus of the Communist Party78.
In the days when non-Marxist approaches
were forbidden and even Marxism itself was
replaced by pseudo-scientific scholastics79, the
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ideology lost its connection to the reality. In the
end, the reproduction of stamps and clichés of
“Scientific Communism” turned into a mere ritual
of social conformism that has no real connection
to the real problems of the country.
6) the support provided to social extremists
by foreign empires80. Such cases are known both
in foreign and Russian history. For instance, as
M. Schipanov writes, the recently declassified
French diplomatic archives prove that France
that was behind the Ottoman Empire during
the Russian-Turkish war of 1768-1774, provided
E. Pugachev with organizational and financial
support81. In the cases when this factor is
combined with some others, the threats mutually
increase the effect of each other.
7) inter-ethnic and inter-affiliation conflicts.
Some authors suppose that by stoking controversy
between them it is possible to weaken the
social discord. “If you do not want to let civil
or class war happen, start a national conflict”82
is a “valuable” recommendation provided by
A.N. Sevastyanov. However, we believe that this
recommendation is of purely theoretic character.
It is based on the suggestion about homogeneity
of the social structures of all the ethnic and
religious communities. However, in practice, the
borders between classes, social strata, ethnic and
affiliation groups often match, if not totally, at least
partially. It leads to the interclass and interethnic
tension not weakening but strengthening each
other. This way, the authority has to think twice
before following this recommendation.
8) the weakness and inefficiency of the law
enforcement system. According to T.R. Gurr,
to understand the rebellion and revolt, there are
three factors that have to be analysed. The first
one is studying the discontent of the people (the
author emphasizes that it is “not enough to point
at the major economic and social structures… it
is necessary to understand how people interpret
the situations they get into”). The second factor
is the people’s convictions about whether the
risk they go for when undertaking some political
actions is feasible, and whether the opportunity
of getting the amenities they are longing for is
real. The third factor is the balance between the
ability of discontent people to take actions, and
the ability of the governments to deal with this
discontent83.
Similar to the way how the indicator of the
state power is not the exceeded regulation of all
the spheres of the social life, but the successful
performance of all the state functions84, the main
criterion for the efficiency of the law enforcement
organs is not the readiness to take repressive
measures against any kind of discontent. Acting
against social extremism is a delicate work,
though in some critical situations it does require
some strength. One of the main conditions of this
activity is the social health of its subjects.
Indifference towards the citizens and
corruption that are revealed by the law
enforcement organs in our everyday life,
undermine the trust of the population and aid the
undermining works carried out by the extremists
and the international forces behind their backs.
Moreover, the counteractions performed by the
police cannot be efficient as long as its senior
ranks keep their criminal surplus profits in
the bank accounts located in the states that are
standing behind the extremists’ backs.
It is important to mind that for the modern
social extremists, conflicts with the police is not
a trouble that should be avoided but a normal
element of the struggle that they want to carry
out according to their scenario. Tough but
irresponsible actions of the law enforcement
organs can play into the hands of extremists.
For example, one of the specialists of
organizing the “Orange Revolutions” gives the
following advice: “In the first rows of the action
that can end up with a conflict there should be
some young girls wearing white blouses. Wait
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for the police to attack them. The effect is
guaranteed: after several blows, the blouses will
be a little (or, unfortunately, very much,) stained
with blood. It will make perfect shots that will be
shown in the news all over the world. The regime
will be undermined”85. The situation when the
police gets provoked to do some violent actions
that have the opposite effect, and then under the
influence of some agents or for other reasons,
in the same unreasonable way “steps back”,
is especially dangerous. Several cycles of this
kind can considerably strengthen the extremists’
positions.
The question about the optimal forms and
methods of the law enforcement organs and
special forces’ work against extremists requires
some additional studies. Nevertheless, it is the
right moment to quote the words of the prosecutor
general, P.H. Oboluaninov, that he addressed to
one of the officials working in the superior police:
“Don’t be a spy, always keep your responsibilities
saint and blessed. Don’t judge those who speak
bad of the government but think what the reason
is. Very often people blame those who they
love. Those who value the Motherland and the
Governor, cannot hold back not to reproach when
he sees some faults in the state. Don’t look for
conspirators or plots somewhere far away, the
revolution always begins near the throne”86.
In the conclusion of the present article it is
right to appeal to the new tendency of developing
social extremism that can be described with
the term “technologization”. To our mind, this
phenomenon has three main aspects.
1) forming the class of professional extremist
organizers. The expression “a professional
revolutionary” exists for over 100 years, but now it
has gained a new meaning. That is how V. Jouver
describes the “orangist” political strategists:
“They are young, well-educated, and they want
not less than to carry out the democratization of
the post-communist world. Their mutual language
is English, and as a rule, it is very good English.
Very often they work at Western institutes and
organizations, mostly, American. They can be
called “international democratic troops”, their
activity is supervised by Washington”87;
2) active use of approaches that have proved
their efficiency in business, management and
public relations. As B. Yarabik noted, “Revolution
is a market with high competition”. Yarabik
graduated from the University of Columbia.
The leaders of democratic groups have to go to
Washington to “sell themselves” to the funds that
provide the finance. To prepare for this exam,
they have to train their ability to speak, prepare
the plans and financial tables…”88;
3) wide application of computer technologies.
Let us describe this aspect in a more detailed
way.
Answering the question, why in all the
societies the ruling class that is the minority in
the sense of number, rules the majority, G. Mosca
usually said that this minority is well-organized
and it can always hold the victory over those
individuals that are “not united and that is why
they are easily defeated one by one»89. As W.
Buckley noticed, every social system exists due
to some organized information exchange90. Till
the present time, the state apparatus had much
more opportunities concerning this part. With
the appearance of the Internet, the situation
changed. According to K.S. Abachiev, “in the
conditions of the modern openness of information
space… all the countries instantly lose their
sovereignty in building up their own culture”91.
Some authoritarian states are trying to censor
the Internet. As M. Leonard supposes, the best
“success” in that was reached by Saudi Arabia
and China92. Along with that, as the author states,
against the World Wide Web even “Chinese
protection system” is not that powerful93.
The significance of the Internet is not limited
to quick transition of data. Net information
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technologies are a tool and a special assembly
point of the “distributed mind”. It is no coincidence
that V.V. Nalimov introduced a new category of
social being, the “transpersonality”, which means
not being connected to oneself, the one’s Ego, it is
escaping out of its limits94.
There are many scientific publications
dedicated to the ethnic extremists’ using the
Internet for coordinating the activity of their
allies and propaganda of their ideas. As A.
Denisova notes, together with the development
of the Internet, a so-called “hostility language”
(Cyberhate”) started to develop. In the Additional
Protocol to the European Convention “On Crimes
in the Cyberspace”, Cyberhate is understood
as “spreading or proving access to racist or
xenophobic materials by means of computer
systems”95. There is no doubt that the resources
of the Internet can be in the same way be used for
provoking social conflicts. The issue of optimal
ways of opposing it is still open. As A. Denisova
wrote, “If we apply repressive methods in fighting
against cyberhate, the Internet community can
behave as water, that, getting frozen in between
the rocks, breaks them into pieces”96.
The Internet provides new opportunities for
conspiracy or mass extremism. Till recent time
the opportunities of the “crowd leaders” were
limited, because the condition for the appeal
was physical integrity of the crowd. Modern
technologies (both technical and humanitarian)
enable them to support some certain states of
psychological condition of the crowds in the
“remote way”. G Le Bon wrote: “To stop the
last omnibus coachers’ strike in Paris it was
enough to arrest two of their leaders”97. In our
age of “twitter revolutions” this measure is of
no effect.
Internet technologies played great role in the
Arab Spring. For example, Facebook and Twitter
were actively used for organization of mass events
in Egypt, Syria etc.98.
One of the latest manifestation of
“computer revolutions” is a so-called “hive”
technology. It is a kind of independent intranet
that keeps functioning even if the World Wide
Web on the territory of the city or the whole
country is off. It is a network of small capacity
devices that use some certain frequency that is
within the permitted limits set for microwave
ovens.
According to V. Videman, to connect to
“hive” it is enough to have a mobile phone (or
a similar device) and a special gadget with a
transmitter that works as a radiostation. The
transmitter works as an antenna that marks the
receiving point. If there are many transmitters in
the area, it is the Hive zone where you can connect
for free, using your mobile phone. It is better if
the transmitters are fixed high (in the top floors of
the buildings, on the top of the trees and pillars).
This technology also can provide permanent
video observation. Destroying the camera does
not mean the loss of the coverage which is
immediately transmitted to the server. The same
concerns the records of the cameras installed, for
example, in the helmets of some social event or
even in their balloons. The police or anyone else
cannot confiscate the records, because they are
technically not saved in the device. No tape and
no chip. It is impossible even to prove that it has
ever existed. Finding out the name of the customer
is also impossible. The same system can be used
for communication with lawyers, doctors, family
of the customer, support and pressure groups. All
this is works free of charge. The main thing is the
electrical charge of the devices”99.
In the end of his article V. Videman directly
writes that the creators of “hive” used to work
on “development of special devices for the
American army”. Every soldier was supposed to
be equipped with a camera hidden in his helmet,
with a headpiece with a microphone, so that he
can both receive and transmit the signals… The
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modern protest organizations must have armies
of cyborgs like this.
As V. Videman claims, “the end of the
state monopoly for the microwaves is the end of
censorship as it is”. For instance, it means that the
technical means of fighting against “cybersocial
extremism” are not more efficient than the
electronic noise generators that were used in the
USSR to suppress the radio signals of the Western
radio stations.
As F. Fukuyama notices, “After 9/11 the
main question for the world politics is not the
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decrease of state, but its strengthening. For some
societies and for the international community,
state destruction is a prelude to a catastrophe,
not utopia”100. Together with that, as it is obvious
out of everything that has been said above,
preserving the social entirety of the state in
these new conditions requires new conceptual
approaches and well-coordinated attempts of
the state apparatus and the civil society. Deep
scientific researchers aimed at studying the social
well-being of the citizens and the moods of the
society are also very necessary.
Свинцов В.И. [V.I. Svintsov] Логика. – М.: Высш. шк., 1987. – P. 172.
See.: Шелике В. [V. Shelike] Исходные основания материалистического понимания истории (По работам К.Маркса
и Ф.Энгелса 1844-46 гг. ). – Фрунзе: ”Илим”, 1991. // Internet: http://www.wtschaelike.ru/?page_id=37
Ленин В.И. [V.I. Lenin] Полн. собр. соч. – 5-е изд. – М., 1958-65. – Т. 39. – P. 15.
In the year 1852 in his letter to J. Weydemeyer, K. Marx wrote: “as far as I am concerned, the merit of discovering classes
in the modern society or the merit of discovering their being in struggle against each other, do not belong to me. Long
before me, bourgeois historians described the historical development of this struggle between the classes, and bourgeois
economists outlined the economic anatomy of the classes. My only merit was to prove the following: 1) the existence of the
classes is only connected to some certain historical phases of industry development; 2) the class struggle inevitably leads
to the dictatorship of the proletariat; 3) the dictatorship itself is nothing but a transition phase towards eliminating all the
classes, and, therefore, to the existence of a society without classes…”
Современная западная социология [Modern Western Sociology]: Словарь. – М.: Политиздат, 1990. – P. 332.
See.: Ibid. P. 46.
See.: Философский энциклопедический словарь [Philosophic Encyclopedia ]. – М.: Советская энциклопедия,
1983. – P. 75.
E.g. see: Дробышевский С.А. [S.A. Drobyshevskiy] История политических и правовых учений: основные классические идеи: учеб. пособие. – 2-е изд., доп. – М.: Норма, 2007. – P. 400.
There are two main meanings of the word “state”. The tradition that goes back to Aristotle, Cicero and Thomas Aquinas
that means a territorial and political entity. A more narrow interpretation equals it to the apparatus (the mechanism) of
the state government. The narrow interpretation emphasizes the fact that the interests of the state apparatus and the civil
society do not necessarily merge. The wide interpretation demonstrated the role of the state as of a body organizing distribution and cooperation of labour and other kinds of people’s activities within certain territory. The author of the present
article prefers holding on to the second interpretation.
Платон. [Plato] Политик // Internet: http://www.gumer.info/bogoslov_Buks/Philos/Platon/polit.php
Абачиев С.К. [S.K. Abachiev] Социальная философия: учеб. пособие / С.К. Абачиев. – Ростов н/Д : Феникс, 2012. –
P. 22.
Малиновский Б. [B. Malinovskiy] Научная теория культуры. – М.: ОГИ, 2005
«By its nature, state is a kind of plurality. If it is striving for singularity, the state is transforming into a family, and the
family turns into an individual. Everyone agrees that a family is more integrated than a state, and one person is more integrated into himself than a family. This way, if someone had the opportunity to do it, it would not be worth it because this
act would destroy the state”. Аристотель [Aristotle]. Сочинения: В 4-х т. Т. 4 / Пер. с древнегреч.; Общ. Ред. А.И. Доватура. – М.: Мысль, 1983. – P. 404.
E.g., see: Абачиев С.К. [S.K. Abachiev] Указ. соч. S. 222.
Новгородцев П.И. [P.I. Novgorodtsev] Об общественном идеале // Вопросы философии, 1991. – P. 311.
Ibid. P. 511.
Ардашкин В.Д. [V.D. Ardashkin] Государство и право: от классового подхода к общецивилизационному // Теория
государства и права: Сб. статей/ Краснояр. гос. ун-т; Отв. ред. В.Д. Ардашкин. – 2-е изд. – Красноярск, 1999. –
P. 29.
See: Новгородцев П.И. [P.I. Novgorodtsev] Указ. соч. P. 253, 266, 361 and further.
E.g., see: http://ru.wikipedia.org/wiki/Бакунин
Quoted on: Гарр Т.Р. [T.R. Gurr] Почему люди бунтуют. – СПб: Питер, 2005. – P. 279.
Quoted on: Контроль сознания и методы подавления личности: Хрестоматия. – / Сост. К.В. Сельченок [K.V. Selchenok]. – Мн.: Харвест, 2004. – P. 15-17. The History of Ancient Rus’ knows a bright example of mass madness that was
inspired by the “crowd leaders” who besides the ability to manipulate the crown, had some hypnotic talent as well. “In the
year 1070 on the land of Rostov two Maguses from Yaroslavl appeared, they were moving from one village to another re-
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vealing those who had more wealth, also pointing out at the best, the richest women. One of them had some wheat, another
had some honey, the third had some fish and the fourth had some furs. At that time the whole Northern land was suffering
of hunger. The Maguses leaded the people, and the people brought the rich women to them, and the Maguses cut the skin
on the women’s shoulders and took out the wheat and the honey and the fish, and the people were scared and they ran to
the granaries and the barns and the sheds of the women, opened them and ate their food, and brought it to their families.
Along the Volga and the Sheksna rivers, up to the Beloozero the Maguses walked, and they leaded three hundred people
with them”. Каргалов В.В., Сахаров А.Н. [V.V. Kargalov, A.N. Sakharov] Полководцы Древней Руси. – М.: Молодая
гвардия, 1985. – P. 291.
Quoted on: Ibid. P. 11.
Ibid. P. 8.
See: Ibid. P. 237.
Юрьев А.И. [A.I. Yuryev] Введение в политическую психологию. – СПб.: Издательство С.-Петербургского ун-та,
1992. – P. 22. In the memoirs by P.N. Krasnov, the fail of A.F. Kerenskiy at his speech in the end of October 1992 was
vividly described. It happened in Ostrov city, in front of demoralized soldiers who he was trying to persuade to go and
attack Petrograd. The spokesman techniques and slogans that once brought him success turned out to be useless at the
new stage of revolutionary process. See: Краснов П.Н. [P.N. Krasnov] На внутреннем фронте; В донской станице при
большевиках; Всевеликое войско Донское. – М.: Айрис-пресс, 2003. – P. 156.
Гарр Т.Р. [T.R. Gurr] Указ. соч. P. 308-309.
Some ethnic terrorists of modern Russia suggest a special way of solving this issue, which is to cut the territory of the
state.
According to the defi nition formulated by L.E. Motorina, “the everyday world is a system of life practices, i.e. habitual
lifestyles of individuals within a group or the society as a whole”. Моторина Л.Е. [L.E. Motorina] Философская антропология: Учебник для вузов. – М.: Академический Проект, 2009. – P. 91.
As witnessed by the experience got in a series of extremist organizations, it can also include sexual group practices that
are imposed even to those members who do not have inclinations of this kind.
Клачков П.В. [P.V. Klachkov] Движение. – Красноярск, 2009. – P. 98.
According to the quotation of W. Meinhof, “A creature in the uniform is not a human being, it is a pig, and it should be
treated in the corresponding way. That means that it should not be spoken to; it is impossible to speak to it. The only
thing you can do with it is to shoot it”. Quoted on: Сумленный С. [S. Sumlenniy] Их борьба // Internet: http://expert.ru/
expert/2007/16/ih_borba/
There is an interesting opinion of one Internet user who claimed that the “Baader-Meinhof gang” phenomenon had
much more relation with the “specific moral maximalism and radical idealism” typical for German culture, than
to the left slogans and symbolic of this group. See: Очень Немецкий терроризм (нечто вроде рецензии) : Internet // http://community.livejournal.com/_raf_/15392.html I am not suggesting that some cultures are characterized
with aggression. The anthropologists have come to conclusion that in every society there is not one, but several
personality types that are functionally interconnected with each other. See: Лурье С.В. [S.V. Lurie] Историческая
этнология: Учебное пособие для вузов. – М.: Академический проект: Гаудеамус, 2004. – P. 84. At the same
time, the specificity of ethnic constants and ethnic world outlook determine the peculiarities of the social role, including deviant ones.
E.g., see: http://ru.wikipedia.org/wiki/Петрашевцы
An extract from Andrei Ivanovich Zhelyabov’s speech that he made on the trial of the case of March 1, 1881: “The situation demanded that social-revolutionary party including me, as I am totally convinced, had to put a part of its power to the
political struggle. There was a practical way of doing it, which is the way of violent revolt by means of plot, that required
organizing the revolutionary powers in the widest sense of this word” //Internet: http://vivovoco.rsl.ru/VV/PAPERS/HISTORY/REVOL/SPEECH.HTM
As M. Trebin notes, among the leaders of terroristic groups the share of women was very high. D. Schwartz emphasized that women (especially educated ones) are more inclined to active substraction and are ready to violent changes.
It is also connected with the emotionality of women, their tendency to exaltation and affective states. See: Терроризм
как деструктивный модус бытия // Психология террористов и серийных убийц: Хрестоматия. – Мн: Харвест,
2004. – P. 242.
As Albert Camus once noted, “The people and actions that live without faith, usually do not trust anything but pure action”. Quoted on: Требин М. [M. Trebin] Терроризм как деструктивный модус бытия // Психология террористов и
серийных убийц: Хрестоматия. – Мн: Харвест, 2004. – P. 247.
Немировский В.Г. [V.G. Nemirovskiy] Тайные общества и заговорщики. – СПб: Питер, 2007. – P. 159.
Ильин И.А. [I.A. Ilyin] О сущности правосознания // Internet: http://ru.philosophy.kiev.ua/library/il/02/01.html
Изгоев А.В. [A.V. Izgoev] Об интеллигентной молодежи // Вехи. Сборник статей о русской интеллигенции. Из
глубины. Сборник статей о русской революции. – М.: «Издательство «Правда», 1991. – P. 114.
Ibid. P. 116.
Ibid. P. 117.
According to the defi nition suggested by S.S. Frolov, “Subculture is an integrity of cultural samples, interconnected with
the dominating culture and at the same time different from it”. See: Фролов С.С. [S.S. Frolov] Социология: учебник для
вузов. – 4-е изд., стереотипное. – М.: Гардарики, 2008. – P. 333.
According to the defi nition suggested by S.S. Frolov, “Counterculture is an integrity of cultural samples that are opposite
to the samples of the dominating culture challenging it”. See: Фролов С.С. [S.S. Frolov] Указ. соч. P. 329.
Quote on: Гарр Т.Р. [T.R. Gurr] Указ. соч. P. 266.
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Ольшанский Д.В. [D.V. Olshanskiy] Психология терроризма // Психология террористов и серийных убийц: Хрестоматия. – Мн: Харвест, 2004. – P. 147.
«Total indifference of the people to the NBP’s (National Bolshevik Party that is forbidden nowadays – P.K.) struggle is
a big frustration for the natsbols. They scornfully call everyone who live common life (go to work, bring up their children) “vegetables”. A vegetable is the “foolish penguin that cower in the crevices of rocks”, apolitical cattle”. См.: Скобейда У. [U. Skobeyda] Как я была нацболом // «Комсомольская правда». 17.07. 2002. Интернет: http://www.kp.ru/
daily/22591/18951/
Фролов С.С. [S.S. Frolov] Социология: учебник для вузов. – 4-е изд., стереотипное. – М.: Гардарики, 2008. – P.
181.
Требин М. [M. Trebin] Терроризм как деструктивный модус бытия // Психология террористов и серийных убийц:
Хрестоматия. – Мн: Харвест, 2004. – P. 231.
Требин М. [M. Trebin] Указ. соч. P. 250-252.
Новодворская В.И. [V.I. Novodvorskaya] По ту сторону отчаяния // Internet: http://www.lib.ru/MEMUARY/
NOWODWORSKAYA/novodvorskaja.txt
Quote on: Гарр Т.Р. [T.R. Gurr] Почему люди бунтуют. – СПб: Питер, 2005. – P. 224.
Quote on: Ibid.
Гарр Т.Р. [T.R. Gurr] Указ. соч. P. 69.
Лукабо Р., Фукуа Х., Кенджеми Д., Ковальски К. [R. Lukabo, H. Fukois, D. Kengemy, K, Kovalsky]
Терроризм:психологические и политические аспекты // Психология террористов и серийных убийц: Хрестоматия. – Мн: Харвест, 2004. – P. 64.
See: Алексеева Е. [E. Alekseeva] Террористами не рождаются, ими становятся // Психология террористов и серийных убийц: Хрестоматия. – Мн: Харвест, 2004. – P. 226-227.
Ibid. P. 228.
In the science there are other points of view as well. V. Vityuk classifies the members of terrorist organizations into idealists (“seekers of the truth”), condottieres (“seekers of risk”) and castaways (“seekers of the sense of life”). It looks like
in the classification of V. Vityuk cynics were left outside. The English researcher D. Teckro classifies terrorists into the
classes of leaders, executers and realists depending on their role characteristics. See: Требин М. [M. Trebin] Указ. соч. P.
239.
Обращение архиепископа Антония способствовало прекращению голодовки красноярских стюардесс // Internet:
http://minds.by/news/20090604_00-53-36.html
Абачиев С.К. [S.K. Abachiev] Указ. соч. P. 290.
Сурский И.К. [I.K. Surskiy] Отец Иоанн Кронштадский // Internet: http://theme.orthodoxy.ru/saints/ioann.html
Лурье С.В. [S.V. Lurie] Историческая этнология: Учебное пособие для вузов. – М.: Академический проект: Гаудеамус, 2004. – P. 495-497 ; See also: Абачиев С.К. [S.K. Abachiev] Указ. соч. P. 308-309.
Митин С.С. [S.S. Mitin] Государственная власть: понятие и закономерности организации: монография /
С.С. Митин; Федер. агентство по образованию, Краснояр. гос. ун-т, Юрид. ин-т. – Красноярск: РУМЦ ЮО,
2005. P. 8.
Патриарх Кирилл: «Те, кто отдает жизнь за Родину, искупает все свои грехи» // Internet: http://www.rusk.ru/
newsdata.php?idar=185379
Quote on: Моторина Л.Е. [L.E. Motorina] Философская антропология: Учебник для вузов. – М.: Академический
Проект, 2009. – 2-е изд. – P. 157.
See: Ibid. P. 42.
См.: Аристотель Никомахова этика // Аристотель. Сочинения. М.: Издательство «Мысль», 1984. – В 4 т. – Т. 4. – С. 150.
Рэнд А. [A. Rand] Деньги как барометр нравственности // Internet: http://www.sunhome.ru/philosophy/13555/p3
See: Гарр Т.Р. [T.R. Gurr] Почему люди бунтуют? – СПб.: Питер, 2005. – P. 61.
See: Ibid. P. 84, 89, 91.
Елисеев А.В. [A.V. Eliseev] Народность и элитарность // Internet: http://www.apn.ru/publications/article18940.htm
Quote on: Петрова Н.Г. [N.G. Petrova] Скопин-Шуйский / Наталья Петрова. – М.: Молодая гвардия, 2010. – P. 62.
Щедрин Н.В., Кылина О.М. [N.V. Schedrin, O.M. Kylina] Меры безопасности для охраны власти и защиты от нее/
Юрид. ин-т КрасГУ. – Красноярск: РУМЦ ЮО, 2006. – P. 52.
Quote on: Дробышевский С.А. [S.A. Drobyshevskiy] Указ. соч. P. 24.
Under the “see-saw situation” we understand the unstable balance of two opposite powers, each of them is trying to incline
the “political power scales” in its favour. E.g., see: Кургинян С.Е. [S.E. Kurginyan] Качели. / Конфликт элит – или развал Росси. – М.: ЭТЦ, 2008. – P. 152-153.
Платонов С.Ф. [S.F. Platonov] Смутное время. – СПб: Лань, 2001. – P. 401-402.
Джемаль Г.Д. [G.D. Jemal] Фузеи и Карамультуки. – М.: Социально-политическая мысль, 2010. – P. 95.
Троцкий Л.Д. [L.D. Trotsky] Преданная революция. Что такое СССР и куда он идет? // http://knigger.com/texts.
php?bid=17133&page=101
See: Ibid. P. 156.
Абачиев С.К. [S.K. Abachiev] Указ. соч. S. 6.
The author dedicated a separate article to this issue. See: Деятельность разведывательных служб как фактор, способствующий или противодействующий экстремизму // Социология, философия, право в системе научного
обеспечения процессов развития современного общества: материалы Всероссийской научно-практической
конференции (г. Красноярск, 20 мая 2010 года) / Отв. ред. Д.Д. Невирко. – Красноярск: СибЮИ МВД России,
2010. – P. 339-345.
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Щипанов М. [M. Shipanov] Таинственный Емельян Пугачев // Internet: http://www.vmdaily.ru/article.php?aid=89886
Севастьянов А.Н. [A.N. Sevastyanov] Диалектика классового и национального (к постановке вопроса) // Internet:
http://www.sevastianov.ru/prochie-statji/dialektika-sotsialjnogo-i-natsionaljnogo-k-postanovke-voprosa--2.html
Гарр Т.Р. [T.R. Gurr] Почему люди бунтуют. – СПб: Питер, 2005. – P. 30-32.
See: Фукуяма Ф. [Fukuyama F.] Сильное государство: Управление и мировой порядок в XXI веке: [пер. с англ.] /
Фрэнсис Фукуяма. – М.: АСТ: АСТ МОСКВА: ХРАНИТЕЛЬ, 2007. – P. 36.
Quote on: Jouver В. Творцы революций // Internet: http://ruska-pravda.org/index.php/2011122015868/stat-i/nit-vremeni/2011-12-17-16-40-38.html
Томсинов В.А. [V.A. Tomsinov] Светило российской бюрократии: Исторический портрет М.М. Сперанского. – М.:
Мол. гвардия, 1991. – P. 76.
Жовер В. [V. Jouver] Указ. соч. Ibid.
Quote on: Ibid.
Quote on: Дробышевский С.А. [S.A. Drobyshevskiy] История политических и правовых учений. Основные классические идеи : учебное пособие. – 2-е изд., доп. – М.: Норма, 2007. – S. 400.
See: Фролов С.С. [S.S. Frolov] Социология : учебник для вузов / С.С. Фролов. – 4-е изд., стереотипное. – М.: Гардарики, 2008. – P. 130.
Абачиев С.К. [S.K. Abachiev] Социальная философия: учеб. пособие / С.К. Абачиев. – Ростов н/Д : Феникс, 2012. –
P. 284.
As M. Leonard claims, in the Saudi Arabia “all the traffics are concentrated in the hands of the only Internet provider
who filters the sites that do not please the spiritual leaders”. In China “computer experts’ teams use the network protection systems that have filters of at least four different kinds”. Леонард, М. [M. Leonard] О чем думают в Китае? / Марк
Леонард, пер. с англ. И.В. Кузнецова. – М.: АСТ: АСТ МОСКВА, 2010. – P. 126-127.
Ibid. P. 129.
Переслегин С.Б. [S.B. Pereslegin] Самоучитель игры на мировой шахматной доске. – М.: АСТ; СПб.: Terra Fantastica,
2007. – P. 503
Quote on: Денисова А. [A. Denisova] Cyber H8 – ответный удар // Язык вражды против общества: (сб. статей) /
Сост. А. Верховский. – М.: Центр «Сова», 2007. – P. 218.
Денисова А. [A. Denisova] Указ. соч. P. 220.
Лебон Г. [G. Le Bon] Указ. соч. P. 10-11.
See: Политическое цунами. Аналитика событий в Северной Африке и на Ближнем Востоке / Под ред. С.Е. Кургиняна. – М.: МОФ ЭТЦ, 2011. – P. 8, 22, 27 and further
Видеман, В.В. [V.V. Videman] Открытый спектр: новые технологии на службе у гражданского общества // Internet:
http://www.peremeny.ru/books/osminog/4855
Фукуяма, Ф. [F. Fukuyama] Указ. соч. P. 198.
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Pavel V. Klachkov. Social Entirety of the State and Social Extremism
Социальная целостность государства
и социальный экстремизм
П.В. Клачков
Экспертно-аналитическое управление
Губернатора Красноярского края
Россия 660009, Красноярск, пр. Мира, 110
Исходя из того, что работа и по укреплению, и по разрушению государственного
единства ведется на одних и тех же социальных полях, автор рассматривает социальную
целостность государства и социальный экстремизм как взаимозависимые явления. В статье
характеризуются как массовая, так и «заговорщицкая» формы экстремистской деятельности.
При этом уделяется внимание как идеологемам, так и типичным повседневным практикам,
а также характерным символам, образам и языковым клише, формирующим своеобразную
субкультуру. Демонстрируется взаимосвязь современного экстремизма с радикальными
течениями прошлого. Исследователь аргументирует, что обеспечение социальной целостности
государства требует усилий как государственного аппарата, так и гражданского общества,
в том числе традиционных конфессий. Ориентиром здесь могут быть синергетические
подходы, а также концепции соборности и «симфонической личности». Автор подробно
характеризует факторы, способствующие ослаблению социальной целостности государства
и усилению социального экстремизма. Речь идет о социальной несправедливости, фрустрации
социальных ожиданий, разрыве единства интересов элиты и народа, глубоких противоречиях
внутри правящего класса, недостаточности научных исследований, неадекватности
идеологической подсистемы, поддержке экстремистов зарубежными силами, межэтнических
и межрелигиозных противоречиях, а также слабости и неэффективности правоохранительной
системы. В заключение уделяется внимание новым аспектам социального экстремизма:
росту квалификации «профессиональных революционеров», использованию ими новейших
гуманитарных и информационных разработок (в частности, сети Интернет и технологии
“hive”).
Ключевые слова: гуманитарные технологии, коллективное поведение, массовая психология,
правящий класс, соборность, социальная стратификация, социальная фрустрация, социальное
единство, социальные классы, социальный экстремизм, синергетика, субкультуры, экстремизм,
hive, smart power, soft power.
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Journal of Siberian Federal University. Humanities & Social Sciences 3 (2012 5) 423-429
~~~
УДК 316.354
Professional Self-Actualization
as the Basis of Employee Loyalty
Marina B. Perfilyeva*
Saint-Petersburg State University
of Engineering and Economics
27 Marata st., Saint-Petersburg, 191002 Russia 1
Received 4.11.2011, received in revised form 11.11.2011, accepted 18.11.2011
The main issue of the labour content development is the employee loyalty. This issue is closely related
to the possibility of employee professional self-actualization. Specific character of the current labour
activity consists in the fact that the process and result of the high quality work less depends on both
compulsion and direct stimulation, and is more determined by the system of social conditions that
ensure the labour humanization. It is precisely general system of social conditions and quality of
career development that affect employee loyalty, which is the basis of employee self-actualization in
the professional activity.
Keywords: professional self-actualization, employee loyalty, social conditions in the organization.
Point
Socio-economic changes that have happened
in recent decades in our country have contributed
to fundamental changes in the field of personnel
management. Russian leaders have actively used
the achievements of scientific management of
human resources, built on the experience of
successful West companies. Instead of commandadministrative and ideological relations in the
new Russian enterprises there are conditions for
the formation of partnership based not on a tight
subordination and total ideological control, but
on the spirit of a unified team.
However, in modern world there is a
burning problem of lack of employees’ integrity,
or disloyalty to the administration in particular,
and the organization as a whole. This complex
phenomenon is associated with the change of entire
*
1
system of social relations in the country that has
led to dynamical increase of the level of workers
claims: an increase in their demand for payment,
environment and conditions of professional
activity, their demand for generation of new ideas
about the level and quality of life. Unwillingness
of the organization management to face new
realities is leading to the workers disloyalty. In
most organizations today there is disharmony
between the high level of technical equipment
and unacceptably low level of employee interest
in effective and high quality work. Distinctive
feature of the modern paradigm of the whole
complex of social and labour relations lies in the
fact that general enterprises strategies can not be
implemented without ensuring the interests of
employees who are able and willing to work with
high working efficiency. Providing of working
Corresponding author E-mail address: pmb05@list.ru
© Siberian Federal University. All rights reserved
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conditions that contribute to the realization
of employee initiative and the actualization
of personal aims in professional activities is
a condition for the organization success and
contributes to the achievement of its strategic
objectives.
In addition to that, socio-labour relations in
the organizations are able to provide the labour
humanization and quality of working life,
but they need to be coordinated and adjusted
by the state and local government and trade
unions. Therefore, such an adjustment should
be based on social partnership principles. Due
to these principles there is possible synergy in
solving various economic and social problems,
improving democracy, ensuring social stability,
achieving consensus amongst all parties
regarding major characteristics of economic
and social sustainability. All these processes
go beyond social and labour relations in the
organizations.
Methodological basis for the development
of
mechanisms
applied
to
employee
loyalty management are the theories of
motivation. Accordingly, system of payment,
compensation or bonuses based on the current
theoretical concept provides organizations
with the rise of employee motivation to work
productively, efficiently and with interest – to
work loyally.
The concept of “motivation” is very complex
and polysemantic, it has the variety of meanings
and senses that explain the human motivation
for activity. The complexity of the phenomenon
and its polysemanticism serve as a prerequisite
for the formation of different approaches to
understanding the concept of “motivation”.
Today at least three well-established approaches
can be identified: psychological, sociological
and managerial approaches. Every approach,
pursuing its scientific goals, has different level of
abstraction and empirical content.
Psychological approach focuses on study
of the individual inner life, therefore the
psychological specificity of the concept of
“motivation” involves searching of the personal
determinants both of human activities and selfactualization.
Sociological approach to the motivation
study is based on “interpretive” sociology, theory
of social action, and follows from the fact that
on the one hand, person is motivated by certain
aims and values, and on the other hand, person is
a social being, oriented by the expected behavior
that is regulated by well-known rules. In general,
the distinguishing feature of sociological approach
to the motivation is study of social characteristics
(aims, values, norms, patterns, etc.) of social
activity.
Managerial approach considers motivation as
one of the most important management functions
(along with the organization, planning and
control): “Motivation is the process of stimulating
someone (individual or group of people) to work
for the sake of organization aims. Motivation is
necessary for a productive execution of planned
work”(Mescon, p. 384). This applied approach is
focused on the research of management tools for
employee motivating in labour activity.
Considering the existing approaches, it
should be noted that they do not exist in pure
form. Quite natural tendency of sciences to
integrate determines the particular approach
that aims to motivate people in labour activity.
This approach that synthesizes achievements
of general sociology, economics, psychology,
management and other sciences is management
sociology approach.
Management sociology approach is
considerably based on the achievements stored
during the evolution of the theory of labour
motivation. Today two main directions of
this theory have already been established and
recognized: procedural and need theories. Every
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theory based on the up-to-date achievements of
the various branches of science has contributed
to the theory and practice of motivation. Both
approaches have made it possible to understand
the process of motivation as a complex
multidimensional phenomenon in its various
aspects:
Empirical prerequisites for the formation of
need theory were practical experiments carried
out in the 30s by Elton Mayo, Mary Parker
Follett and others. As a result of this experiment
it was established that human behavior during
the work process is determined by different
needs. Need theory of motivation is represented
by the concepts of A. Maslow, D. McClelland, F.
Herzberg, K. Alderfer and others. These concepts
in whole and from different sides study human
needs, their structure, nature of functioning and
mechanism of forming of human incentives.
Intellectual stimulus for procedural theory
of motivation was given by Kurt Lewin’s “Force
Field Theory” (the 1930s). “Force Field Theory”
described factors of external (environment) and
internal (subject) situation that affected human
behavior. In contrast to need theories, that
analyze needs and factors that determine human
behavior, procedural theories of motivation
(V. Vroom’s “Expectancy theory”, S. Adams’
“Theory of justice”, Porter-Lawler’s theory) study
the specific conditions (internal and external) that
affect certain type of behavior.
Example
Thus, motivation is a set of internal and
external driving forces that encourage people
to work and determine work direction and
forms. Motivation is characterized by two
parameters that determine direction and intensity
of activity. The first parameter indicates the
degree of individual initiative realization and
the second parameter focuses on the degree of
personal interest actualization.
In general, «initiative» and «interest
actualization” parameters involve four points:
• the first point – violence;
• the second point – manipulation;
• the third point – non-action (virtue);
• the fourth point – self-actualization.
With an ideal coincidence of parameters
person gets the opportunity to fully demonstrate
initiative and satisfy personal interests. This is
exactly the phenomenon of self-actualization. On
the contrary, if person is deprived of the
opportunity to realize the initiative and
actualize own interests, person will conduct
work activities just under external pressure
and violence. Violence is the logical opposite
of self-actualization. In the most general form
violence is «the use of different forms of coercion
by individual or social group against other
individuals or social groups in order to obtain
or retain economic and political domination»
(Naletova, p. 310). The essence of violence,
emphasized Russian classic, is the suppression
of initiative, “violence is the usurpation of free
will” (Guseynov, p.36). In its extreme expression
violence against an employee may be used in the
form of physical coercion. But violence can also
be used in relatively «soft» forms – in the forms of
economic and psychological coercion. Distinctive
feature of “physical” coercion is the complete
suppression of human initiative, while the
“economic” and “psychological” coercion may
include some elements of the “initiative” and
“actualization of personal interests”. Moreover,
“economic” and “psychological” coercion may
include different number of such elements. In
some cases, “violence” can be transformed into
its opposite – “the perfect motivation”. Therefore,
there are no rigid boundaries between these
two points. A.I. Prigozhin emphasizes that the
implementation of human management includes
coercion, because it is necessary to overcome the
well-known “hesitation” of human behavior in
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the organization and give this behavior business
precision (Prigozhin, p.62).
Initiative degree may be different, because
person can be extremely initiative, but does not
realize own interests. It occurs when person
takes false interests as personal interests,
i.e. acts under the influence of deception or
manipulation. “Manipulation” like “the ideal
motivation” encourages people to take quick
actions that do not involve actualization of
personal interests. On the one hand, in this case,
manipulation is characterized by high level of
personal initiative, on the other hand, by low level
of actualization of personal aims. Manipulation
as well as violence is the ancient way of the
initiation of human work. During the thousandyear history mankind has accumulated a large
arsenal of manipulative techniques (substitution
of purpose, indoctrination). The most common
techniques are described in the book written by
H. von Senger (von Senger).
The logical opposite of “manipulation”
is the phenomenon, in which the initiative is
insignificant, but actualization of personal
interests is extremely high. In the most general
sense, the “non-action” (or “virtue” in the Russian
tradition) is the switching of human physical
activity and initiative to the energy of moral selfrestraint to the natural flow of the world laws. This
is the third point of above-defined parameters.
We have considered three points that are
determined by the motivation parameters. They
include limiters of human activity. In one case
it is violence as an obvious and rigid form of
restriction of human activity, in the other case
it is manipulation that not obviously, but rather
severely restrict human interests, and non-action
(virtue), as a special form of limiter, that differs
from the other two not in external limits, but in
self-limiting.
Special phenomenon among above-defined
phenomena is the “perfect motivation”, that reveals
“initiative” and “actualization of interests” in a
detailed way. Therefore, “perfect motivation” can
be understood as “self-actualization”. However,
in current practice, this ideal is unachievable
or difficult to achieve. Initiative and employee
personal aims are often limited by the regulations
and objectives of the organization.
Considering that there are no rigid boundaries
between above-mentioned points (violence,
manipulation, self-actualization, non-action), it
should be taken into account that there should
be a transition area between them. Distinctive
feature of this transition area consists in the fact
that sometimes person for various reasons does
not show the initiative and does not actualize own
interests. It is possible in the case when person
consciously rejects the whole thing in order to
get a part of another one. In the general sense
it is a transaction or compromise. For example,
an employee can hold his initiative, being aware
of the fact that it will be the condition for the
realization of his personal interests. Or vice
versa, an employee can act in the initiative and
self-sacrificial way, being aware of the fact that
his personal aims will not be achieved. In all
these cases, the employee consciously rejects one
thing in order to get another one. So it is possible
to talk about the transaction (the compromise)
as a buffer area between four points. It must be
stressed that the transaction is a typical, common
form of motivation in the industrial age. People
sell own work in exchange for various benefits,
that provide their lives.
The idea of “self actualization” has become
popular in science because of humanistic
psychology, where it is understood as the
development and implementation of individual
potential. The most popular and detailed theory of
self-actualization is devised by A. Maslow, who
defines self-actualization as a main human need.
Maslow marks it out of other needs and points out
that it is not exactly a need, because instead of
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consumption it has the efficiency (Maslow calls it
a personal growth). Despite the current prevalence
of self-actualization`s type of personality (1% of
the total number of people), Maslow believes that
the need for self-realization is not exceptional,
it is typical for most people. In his opinion, the
highest specific personal features, such as love,
creativity, etc., lie in human nature as possibilities
that can be actualized under the influence of
social conditions. However, social and cultural
environment often suppresses the desire for
actualization by certain norms. Therefore, in
order to make individuals seek realization of their
potential in a full way, the society should develop
conditions for their self-actualization (Maslow, p.
201).
Thus, self-actualization is the process of
implementation of personal interests, creativity,
desire for development, the ability to be responsible
and independent. Self-actualized person shows
such behavior features, as responsibility,
independence, democracy and goodwill in the
relationships, the desire for development. There
is no doubt that self-actualization involves the
inner work of self-knowledge and understanding
of own capabilities and abilities, interests and
aims, self-awareness of own activity, the search
of real values, but, above all, the realization of the
personality and own interests through involvement
in work that is valuable for the person and loyalty
to this work.
An important part of the self-actualization
process is a professional self-actualization,
that lasts for the whole life and represents an
important process of finding and simultaneous
self-realization in a particular profession, the
implementation of individual interests and
creativity in professional activities, and also shows
an attitude to the profession, that is expressed by
loyalty to this work, desire for achieving possible
perfection in the chosen field of work. A. Maslow
believed that “self-actualized people are involved
in any work without exception... They are devoted
to this work, it is something very important to
them – it is a kind of vocation” (Psychology of
personality, p.110). Professional self-actualization
is the process of implementation of individual
interests and creativity in professional activities,
development of professional competence and use
of own potential to benefit of the organization.
Problem of professional self-actualization is
especially urgent in current economy, when work
conditions and standards are rapidly changing,
employee independence and responsibility
are growing during the work process, there
are special requirements for professional
competence, for the interest in the process and
work results. Under these circumstances, the
need of organizations to have loyal employees
is evident. Employee loyalty should be revealed
through ability to actualize and mobilize
personal and professional potential for the
successful solution of professional problems.
Resume
With the theory of humanistic psychology,
analysis of the concept of self-actualization by A.
Maslow and studies of modern psychology and
management sociology, it is possible to determine
the following indicators of professional selfactualization, that act as the basis of employee
loyalty:
1. professional competence, that can be
regarded as a specific ability to respond and the
readiness to solve effectively both typical and
unusual issues and difficulties that can arise in
real situations of productive activity. Professional
competence involves not only knowledge of the
professional activities rules and application skills,
but also improvement of the quality of work by
developing an optimum strategy and tactics;
2. importance of professional activity for an
individual (characterized by the extent to which
interest in the professional activity exceeds the
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interest in the profession as a tool to meet the
needs of the individual);
3. adequate professional self-esteem as a
real awareness of own professional capabilities
and understanding of the need for professional
growth;
4. striving for professional growth, personal
development (the need for professional training,
raising the level of skills, making a career and
achieving professional success);
5. responsibility for the result and work
process as well as initiative as the ability to make
decisions independently. Awareness of oneself
as a subject of professional activity means
awareness of own responsibility and own role in
setting objectives, developing aims, choosing the
activity techniques and getting the final product. It
is also important to be aware of own individuality
during the activity;
6. quality of professional work, that is
revealed in the process and result of work
(Maslow emphasized that desire for doing well
something that you can do is a sign of selfactualization);
7. mobility is the ability to adequately
perceive and respond to the environment changes.
Mobility is an important indicator of selfactualization in the profession and is based on
the self-confidence and faith in the surrounding
world. At the same time mobility is a factor of
adapting to innovative changes;
8. work satisfaction is an important indicator
of professional self-actualization.
Today the problem of professional selfactualization as the basis of employee loyalty
is developed in terms of defi ning subjective
and objective factors of personal actualization
in the profession, motivating staff and solving
the problems of professional selection and
training.
The main tendency in the development of
work content that affects the specificity of modern
staff loyalty consists in the fact that the process
and result of the high quality work less depends
on both compulsion and direct stimulation,
and is more determined by the system of social
conditions that ensure the labour humanization.
General system of social conditions that affects
employee loyalty and motivation for selfactualization in professional activity is defined in
the concept of working life quality and the labour
humanization.
The concept of working life quality
establishes the direct link between the level
of labour productivity, degree of human selfrealization in the professional activity and
satisfaction of personal needs in the enterprise.
The idea of “working life quality” itself
describes the working conditions in the aspect
of the most efficient implementation of staff
abilities and represents an integrative indicator
that includes several different indicators,
e.g. quality of work place, content of work,
bonuses, the employees of the enterprise, senior
management of the enterprise, the state of social
partnership in the organization, career, social
guarantees, etc. Thus, working life quality is
determined by the whole set of work activity
conditions that characterizes the state of working
conditions and work safety, guarantee of the
psycho-physiological opportunities compliance
with the employee workplace, the degree of
every employee participation in organization
management, etc.
The whole set of parameters of working
life quality is rather large and depends
on the economic development of society,
ideology and economic well-being of the
organization. Capabilities and objectives
of different organizations may differ quite
significantly, but every organization can form
a certain set of favourable social conditions
that can ensure the employee loyalty and act as
factors of professional self-actualization.
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References
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Бессокирная Г.П. [G.P. Bessokirnaya] Мотивация труда и отношение к нему рабочих//
Социологический журнал. 2005. № 4.
Гусейнов А.А. [A.A. Guseynov] Понятие насилия и ненасилия. // Вопросы философии. 1994.
№6. С. 36.
Гусейнов А.А. [A.A. Guseynov] Философия России второй половины ХХ века (материалы
«круглого стола»). // Вопросы философии. 2011. №4. С. 6.
Зингер Х.фон. [Harro von Senger] Стратагемы. О китайском искусстве жить и выживать:
В 2-х тт. М.: Эксмо, 2004.
Курбатова М.Ф., Апарина Н.Ф., Коган Е.С. [M.F. Kurbatova, N.F. Aparina, E.S. Kogan] Выбор
работниками способов защиты своих трудовых прав // Социс. 2009. №7. С.48-60
Маслоу А. [A. Maslow] Мотивация и личность. – СПб: Евразия, 1999
Мескон М. Х., Альберт М., Хедоури Ф. [M.H. Mescon, M. Albert, F. Khedouri] Основы
менеджмента. – М.: Дело, 2007.
Налетова А.Д. [A.D. Naletova] Насилие // Российская социологическая энциклопедия. – М.:
Инфа-М, 1998. – С. 310.
Пригожин А.И. [A.I. Prigozhin] Современная социология организаций. – М.: Интер-пресс,
1995.
Пригожин А.И. [A.I. Prigozhin] Качество целей // Общественные науки и современность.
2010. № 1. С. 114−125
Психология личности [Psychology of personality]: Тексты. – М.: МГУ, 1982.
Профессиональная самоактуализация
как основание лояльности работника
М.Б. Перфильева
Санкт-Петербургский
инженерно-экономический университет
Россия 191002, Санкт-Петербург, ул.Марата, 27
Основная проблема в развитии содержания труда – лояльность персонала. Эта проблема
тесно связана с возможностью профессиональной самоактуализации работника. Специфика
современной трудовой деятельности заключается в том, что процесс и результат
качественного труда в меньшей мере зависит и от принуждения, и от прямого стимулирования,
а в большей мере определяется системой социальных условий, обеспечивающих гуманизацию
труда. Именно общая система социальных условий, качество трудовой жизни влияют
на такую лояльность работников, которая служит основанием их самоактуализации в
профессиональной деятельности.
Ключевые слова: профессиональная самоактуализация, лояльность работников, социальные
условия организации.
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Journal of Siberian Federal University. Humanities & Social Sciences 3 (2012 5) 430-437
~~~
УДК 331.5.024.5
A Change in the Structure of Training
of Qualified Specialists for Providing
the Sustainable Innovative Development
of the Region
Galina I. Popodko* and Olga S. Nagaeva
Institute of Economy and Organization
of Industrial Production of Siberian Department
of Russian Academy of Sciences
50 Akademgorodok, Krasnoyarsk, 660036 Russia 1
Received 17.05.2011, received in revised form 25.05.2011, accepted 02.12.2011
In the article the authors dwell upon the analysis of the professional-qualified structure and the market
of educational services. The perspective directions for the training of qualified specialists for the
innovative development of the Krasnoyarsk region are defined.
Keywords: qualified specialists, educational system, educational institutions, demand.
The needs of the economy of the
Krasnoyarsk region in high qualified specialists
are determined by perspectives of the
innovative development of the main branches
of specialization, realization of investment
projects, exploiting considerable natural
resources of the northern and eastern areas.
The necessity for innovative development of
regional economy influences on modification
of the structure of training specialists on all
levels of education. At present time in the
Krasnoyarsk region there is a problem of
elaborating effective regional policy based on
estimation of the situation on the labour market
and improving the mechanism of training
specialists in order to balance the demand and
supply for skilled workers.
*
1
For estimating the possibility to satisfy the
requirements of economy of the Krasnoyarsk
region in qualified specialists it is necessary
to analyse the professional-qualified structure
of employment and define professional
characteristics of future specialists.
The professional-qualified structure of the
population of the Russian Federation, the Siberian
Federal District, the Krasnoyarsk region has
changed with the development of market relations
(see Table 1)
So in the early 1990's in the structure
of population 52,9 % people had elementary
vocation and secondary general education. Main
part of the people was low-skilled workers.
During the considered period the share of workers
has reduced from 56, 5 % in 1989 to 48, 4 % in
Corresponding author E-mail address: kam0952@rambler.ru
© Siberian Federal University. All rights reserved
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Table 1. The Distribution of the Number of Population of Russia, the Siberian Federal District, the Krasnoyarsk
Region on Level of Education, 2009 ( %)
No.
Population
Russian
Federation
100
Siberian
federal area
100
Krasnoyarsk
region
100
28,2
24,5
24,6
1
The quantity of population including:
2
-higher education
3
-secondary vocational education
27,1
26,4
28,3
4
-elementary vocation education
18,9
18,9
14,5
5
-secondary general education
20,9
22,8
25,0
6
-basic general education
4,6
6,7
6,8
7
-elementary education, without education
0,4
0,6
0,8
2009. Also the share of high-skilled and skilled
workers has fallen from 39, 5 % in 1989 to 30,6 %
in 2009. That situation is caused by the changing
activity of many industrial enterprises, reducing
industrial production, liquidating large industrial
enterprises.
In employment structure the share of
specialists has risen. The number of people
who have higher education has increased from
12,6 % in 1989 to 24,6 % in 2009. The share of
people with secondary vocational education has
fallen. The increasing the share of people who
have higher education may be caused by the
rising demand for new “market professions”. The
needs in high-qualified specialists are increasing
mainly in sphere of services; trade, insurance,
bank sphere, management and government. But
in industry the low-skilled toil is kept.
As the analysis of employment shows, the
highest level of employment is among population
who have higher education and the lowest level
of employment is among people who do not have
special education.
The training of qualified specialists in the
Krasnoyarsk region is determined by the level of
development of the educational system.
The educational system in the Krasnoyarsk
region is represented by a great number of
educational institutions (see Fig. 1)
The system of training specialists is
considered as a balanced one if the number
of institutions of secondary and elementary
vocational education exceeds the number of
higher educational establishments in 6-7 times.
In the Krasnoyarsk region this exceeding is
more than 10 times. This fact testifies that it is
necessary to reform the education system.
In spite of a great number of institutions of
secondary and elementary vocational education
the major number of students are in higher
educational establishments (see Table 2).
The increasing quantity of students of
higher educational establishments is not only
a regional, but also Russian and the world
tendency. But in the Krasnoyarsk region this
process has accelerated its rate. So in 2000 the
number of students in the Krasnoyarsk region
was 320 on 10 thousands of population, in 2009
that number was 435.
The quantity of students of higher
educational establishments in the Krasnoyarsk
region is considerably lower than such index in
highly developed educational centers such as
Moscow, Tomsk and Novosibirsk. The level of
the Krasnoyarsk region is lower than the level in
Russia in general. By 2009 this gap had increased.
This situation may have negative consequences
for the future economic development of the
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100
90
92
91
89
89
85
81
80
79
70
60
Higher educational establishments
66
66
64
62
59
61
Institutions of secondary
vocational education
58
50
40
Institutions of elementary vocation
education
30
20
14
13
2000
2001
14
14
11
11
2006
2007
2008
11
10
0
2005
2009
Fig. 1. The number of Educational Institutions
Table 2. The Quantity of Students in Educational Institutions of the Krasnoyarsk Region (thousand people)
No.
1.
2.
3.
Educational institutions
Higher educational
establishments
Institutions of secondary
vocational education
Institutions of elementary
vocation education
2000/01
2001/02
2005/06
2006/07
2007/08
2008/09
2009/10
94,4
105,1
120,1
118,9
117,9
118,8
112,7
59,2
62,2
61,5
58,8
56,6
53,1
59,0
34,8
34,4
34,7
32,4
30,2
27,7
25,6
Krasnoyarsk region and result in a deficit of highqualified specialists.
The question of financing the educational
system is very important for the analysis of the
educational services market of the Krasnoyarsk
region. Increasing contradiction between
the demand in qualified specialists and the
impossibility of qualitative training of specialists
in educational institutions has the following
results:
1. The young people leave the Krasnoyarsk
region in order to get more qualitative education
in other regions and in other countries.
2. The enterprises have deficiency of
qualified specialists, which results in unreasonable
economic losses.
3. The educational institutions are forced
to open new “fashionable” specialities, which
are not always in demand on the regional market,
increase payment for education.
4. The majority of educational institutions
“washes out” their specialization, extending
range of specialities, and so don’t guarantee a
proper level of education.
Analysing the educational system of the
Krasnoyarsk region, it is very important to
estimate professional-qualified characteristics of
professional education. It is necessary to define
the number of specialists which the educational
institutions are training on consolidated groups
of specialities: industry and building, agriculture,
transport and communication, economics and
law, public health, education, culture and art.
The distribution of students of higher educational
establishments on groups of specialties is given
in Table 3
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Table 3. The Distribution of Students of Higher Educational Establishments in the Krasnoyarsk Region by Groups
of Specialities ( %)
industry and
building
agriculture
economics
and law
public health
education
culture and art
transport and
communication
Including
2001
100
53,6
12,0
-
7,0
3,0
23,6
0,8
2002
100
52,3
13,0
0,5
8,0
3,0
22,4
0,8
2005
100
48,6
12,0
1,6
12,5
3,0
21,3
1,0
2006
100
47,2
13,0
1,8
13,0
3,0
21,0
1,0
2008
100
47,6
12,5
2,2
12,0
3,0
21,7
1,0
2009
100
44,2
12,8
3,4
12,5
3,2
22,3
1,6
Year
Number
of students
–in total
As the analysis of the distribution of
students of higher educational establishments
shows, in the Krasnoyarsk region the share of
training students for industry and building has
essentially fallen. This is conditioned by the
changing specialization of regional economy and
decreasing its industrialization. The low demand
for qualified specialists in branches of industry
have resulted in the falling share of training
such specialists by 9,4 % during the considered
period.
A considerable decreasing number of students
of education speciality is observed. On the one
hand, the falling demand for teachers because
of decreasing quantity of children influences on
this, on other hand, the institutions of secondary
vocational education are competitors with higher
educational establishments in training qualified
teachers.
In the distribution of students of higher
educational establishments in the Krasnoyarsk
region on groups of specialities the share of
students of economics and law speciality is
increasing. The development of market relations
has determined high demand for economists and
lawyers of different specialization. Although
many higher educational establishments have
opened economic faculties and faculties of law,
the demand for these specialists remains high.
To speak about any surplus of these specialists
is premature.
The number of specialities for agriculture
and public health has remained invariable for
long time. This number is determined by not only
demand for these specialists, but also possibility
of narrow-specialized higher educational
establishments.
The share of students of transport and
communication speciality has increased. The
demand for specialists in the sphere of culture
and art remains low.
The distribution of students of institutions
of secondary vocational education on groups
of specialities differs from the distribution of
students of higher educational establishments. This
difference is caused by the following factors:
1. training specialists in institutions of
secondary vocational education is more oriented
on industrial sector of economy.
2. the institutions of secondary vocational
education in Krasnoyarsk region was founded
for training specialists in accordance with needs
and perspectives of development of branches of
Krasnoyarsk region.
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Table 4. The Distribution of Students in Institutions of Secondary Vocational Education of the Krasnoyarsk
Region by Groups of Specialities ( %)
agriculture
transport and
communication
economics
and law
education
culture and art
2001
100
46,3
12,2
11,6
11,0
9,4
7,0
2,5
2002
100
47,0
12,2
11,0
11,6
8,8
6,9
2,5
2005
100
47,0
12,8
9,4
12,0
9,0
7,4
2,4
2006
100
45,5
13,9
9,1
12,3
8,9
7,9
2,5
2008
100
45,0
12,9
9,7
12,4
8,9
8,6
2,5
2009
100
44,8
13,3
10,1
12,2
8,8
8,4
2,4
Year
Number
of students
–in total
The distribution of students of institutions
of secondary vocational education on groups of
specialities is given in Table 4.
As the analysis of the distribution of students
of institutions of secondary vocational education
shows, the main part of students is oriented on
industrial sector of economy. So in 2009 the share
of students of industry and building, agriculture,
transport and communication specialties was
68,2 % (for comparison: in higher educational
establishments the share of students of these
specialties was 60,4 %).
However, the process of training of specialists
in institutions of secondary vocational education
has similar tendencies with the process of training
specialists in higher educational establishments:
1. In connection with the increasing demand
of industrial enterprises the share of students
of these specialities is falling. This tendency is
characteristic for transport and communication
specialities.
2. The share of students of economics and
law specialities is increasing. The demand for
these specialists determined the number of
students of these specialities.
3. The number of students of pedagogical
college is decreasing. This situation is caused by
public health
industry and
building
Including
demographic processes, which have resulted in
reducing quantity of children and so decreasing
demand for teachers.
As the analysis of graduates of higher
educational establishments shows, in the
Krasnoyarsk region at present time there are
primarily training qualified specialists for
industrial needs. Humanitarian specialities, as
economics and law, public health, education,
culture and art, in total number of graduates is
less, then 40 %. While in developed educational
centers and in Russia on average the share
of graduates of humanitarian specialities is
60 %.
However in the Krasnoyarsk region the
tendency of increasing specialists of humanitarian
specialities is observed. The number of graduates
of economics and law specialities is increasing
with the highest rate. The number of graduates
for agriculture is increasing too. This is the
result of reviving agriculture in the Krasnoyarsk
region, which is determined by the demand for
these specialities. The high share of graduates
for industrial needs is provided by a building
branch. The intensive development of this branch
determines the high demand for specialists of
building specialities.
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Table 5. The Prognosticated Estimation of Graduates of Higher Educational Establishments on Group of
Specialities in the Krasnoyarsk Region until 2025 ( %)
NO.
2009
2010
2015
2020
2025
industry and building
44,2
41,2
38,4
38,0
37,0
2..
agriculture
12,8
13,9
15,3
16,1
16,5
3.
transport and communication
3,4
3,6
3,9
4,1
4,2
4.
economics and law
12,5
14,4
15,7
15,4
14,4
5.
public health
3,2
3,7
4,0
5,0
5,0
6.
education
22,3
22,3
21,7
21,0
21,0
1.
Specialities
7.
culture and art
1,6
1,0
1,0
1,4
1,9
8.
In total
100
100
100
100
100
The prognosis of graduates of higher
educational establishments for economy of the
Krasnoyarsk region is made on basis of following
suppositions:
1. For prognosticated period the innovative
character of economic development of the
Krasnoyarsk region will determine high demand
for specialists with higher education.
2. The part of state financing will decrease
on the average on 0,6 % a year and by 2025 it will
have been 47 % from total number of students.
3. The state financing of training qualified
specialists will be within the framework of filling
state order.
The prognosis of needs of economy of
the Krasnoyarsk region is made taking into
consideration the policy of perspective economic
development of region.
For calculation of prognosticated structure
of graduates the factor’s model elaborated in
the Krasnoyarsk office of Research institute of
Labour was used.
The calculation of number of students was
made on group of specialities.
The prognosis of graduates of higher
educational establishments on group of specialities
is given in Table 5.
For satisfying the needs of the economy
of the Krasnoyarsk region in high qualified
specialists it is necessary to change a structure
of training. The share of graduates for industry
will decrease. This tendency will result in
modernization and a change of specialization of
some large enterprises of Krasnoyarsk region.
Graduates of traditional professions must provide
only replacement of leaving qualified specialists
of industrial enterprises.
In connection with the perspective
development of agriculture in the Krasnoyarsk
region the number of graduates for this branch will
increase. The number of graduates for transport
and communication will increase too. This will be
caused by the developing transport infrastructure.
The tendency of increasing number of graduates
of economics and law specialities will remain
until 2015. After this, the stabilization of the
number of they are training will be determined
by the situation on the labor market. The number
of graduates for public health, culture and art will
be stable.
The change of the structure of training of
qualified specialists is caused by the requirements
of providing innovative development of the
region. Main of them are the following:
1. The demand for qualified specialists will
be increased in branches which are orientated
at innovative development, such as building,
transport and communication, agriculture and
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the sphere of services. This is conditioned by the
necessity of changing technology of production.
It is supposed that using a new technology will
improve labor productivity. In estimation of
researchers the labor in building is 50-70 %, the
labor in agriculture is 70-80 % of total expenses.
The usage of new technologies and qualified
personnel will improve the quality of produced
goods and services.
2. Research of the market of educational
services in Krasnoyarsk region shows that the
demand for qualified specialists may be satisfied
by local educational institutions, which can
quickly respond to changing demands from the
side of employers.
3. It is necessary to reduce the number
of institutions of secondary and elementary
vocational education and make the correlation
between number of higher educational
establishments and number of institutions of
secondary and elementary vocational education
as 1:7 (in present time this is 1:11) for conformity
in training qualified workers and specialists with
higher education.
To satisfy the needs of economy of the
Krasnoyarsk region in qualified specialists it
is necessary to modify the system of training
specialists. Firstly, practical orientation of
training specialists must be among priorities.
Secondary, it is necessary to intensify
orientation at specialization of training
specialists. It is necessary to change the
structure of training specialists: to increase the
share of specialists of humanitarian specialities.
As the analysis shows, the orientation of
training specialists for industry doesn’t satisfy
the needs of perspective economic development
of the Krasnoyarsk region. In its turn, in the
Krasnoyarsk region the training programs for
specialists in the sphere of services are not
developed. Perspectives of the development of
some branches of economy (oil-gas complex,
forest industrial complex, food industry, roadbuilding) determine the necessity of training
specialists of these specialities.
In order to improve the educational system
the regional program of support and development
of socio-important and demanded specialities
for higher educational establishments must be
elaborated. It is necessary to create a system
of stimulation of students of these specialities
by means of giving special grants, paying
scholarships.
For improving the quality of training
specialists the possibilities to open specialities
which do not correspond to the specialization
of a higher educational institution must be
restricted.
The state order must be an important
instrument of training specialists. The state order
must be formed on the basis of perspective needs
of economy of the Krasnoyarsk region in high
qualified specialists. For this it is necessary to
make prognosis of development of productive
forces of the Krasnoyarsk region, taking into
account realization of large scale investment and
innovative projects.
Private sources of funding must be the main
source of financing the educational system. The
state financing must guarantee the fulfilling the
state order, training students in need and opening
socio-important and demanded specialities.
Requests of businesses determining the
perspectives of development of certain spheres
of economy should play an important role in the
forming of the state order.
References
V. N.Vasilev, V.A.Gutov, E.A.Pituhin et al, Labour market and labour of educational services in
Subjects of Federation (Moscow: Tehnocphere, 2007), in Russian.
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Galina I. Popodko and Olga S. Nagaeva. A Change in the Structure of Training of Qualified Specialists for Providing…
M. V.Zavodovskay, N.N.Topoluk, A.F.Covalevckii, Methods of prognosis of requirement for
specialists with higher education in Russia, Supply and demand on a labour market and the market of
educational services in regions of Russia: Collected reports on materials of the All-Russia scientificpractical Internet conference with the international participation (PetrGu. Book. II Petrozavodsk,
2004), 72-75, in Russian.
G. I. Popodko, O.S. Nagaeva, “The analysis of system of training qualified specialist sand
Direction of its improving for providing the innovative development of Krasnoyarsk region”, Bulletin
of Siberian State Aerocosmic University, 1(27) (2010), 150-154.
Изменение структуры подготовки
квалифицированных специалистов
для обеспечения устойчивого
инновационного развития региона
Г.И. Поподько, О.С. Нагаева
КНЦ СО РАН
Россия 660036, Красноярск, ул. Академгородок, 50
В статье дается анализ профессионально-квалифицированной структуры и рынка
образовательных услуг. Определены перспективные направления подготовки специалистов
для инновационного развития Красноярского края.
Ключевые слова: квалифицированные специалисты, система образования, образовательные
институты, спрос.
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Journal of Siberian Federal University. Humanities & Social Sciences 3 (2012 5) 438-442
~~~
УДК 344.681
Concept of Circumstances
Excluding Criminality of Act
Alexander P. Sevastyanov and Andrey A. Kondrashov*
Siberian Federal University
82 Svobodny, Krasnoyarsk, 660041 Russia 1
Received 26.06.2011, received in revised form 8.07.2011, accepted 27.12.2011
Nowadays, it is given a lot of attention in literature to the circumstances excluding criminality of act.
However, the majority of publications on the given issue concern separate circumstances that refer
to the given category. A general characteristic of the circumstances excluding criminality of act is
quite a rare object of research and, as a rule, it’s presented only to that extend when it is necessary
to consider the issues on one of the circumstances of the given list. Thus, even definitions of concept
of circumstances excluding criminality of acts given by different authors essentially differ from each
other. At the same time, we consider to be rather important such problems as characteristic of general
signs of circumstances excluding criminality of act and revealing basic, essential features which can
be laid down in the foundation of a concept definition of these circumstances. Their decision will
facilitate explanation of the legal nature and features of the given institution and results in perfection
of legislation in a corresponding part and practical activities on its application. An act provided by
Especial part of the Criminal Code of Russian Federation is not always considered to be a crime.
For such an act to be considered a crime it should possess all signs of a crime which are listed in
the General part of the criminal law. In the domestic theory of criminal law, it should be almost
everywhere recognized that the presence of the circumstance excluding criminality of act, testifies
the absence of this or that sign of a crime in the act (this exactly contains the general view of the legal
nature of the circumstances excluding criminality of act).
Keywords: circumstances excluding criminality of act.
However, while characterising a legal nature
of the given circumstances, it is necessary to
notice, that an issue is disputable enough in
which the sign of a crime is desirable in the act
with the presence of the circumstance excluding
its criminality. Some authors consider that the
given circumstances exclude public danger of
an act1. Others believe that these circumstances
exclude illegality2. The opinion that the given
circumstances exclude simultaneously all signs
of a crime is also expressed: public danger,
*
1
illegality, guilt and punishability3. Besides, some
authors consider, that various circumstances
excluding criminality of act, exclude various signs
of a crime, but not one and the same sign4. All
listed points of view have one common feature.
All of them accept that presence of circumstance
excluding criminality of act excludes this or that
sign of a crime or several signs at once. An act
cannot be considered a crime if there is any of
a crime sign desirable. Accordingly, irrespective
of the fact which point of view to adhere, it
Corresponding author E-mail address: lawsfu@mail.ru
© Siberian Federal University. All rights reserved
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Alexander P. Sevastyanov and Andrey A. Kondrashov. Concept of Circumstances Excluding Criminality of Act
is possible to call the given circumstances as
circumstances excluding criminality of act. Thus,
the name used by the legislator “circumstances
excluding criminality of act” is acceptable to any
point of view listed above.
Circumstances similar to those in the
Russian criminal law are called circumstances
excluding criminality of act are also available in
foreign legislation. In criminal law of the USA the
given circumstances are called circumstances of
“protection” against accusation, in the Criminal
Code of Australia and that of the Peoples Republic
of China - circumstances excluding criminal
liability, in the Criminal Code of France - the
bases of non-occurrence of criminal liability, in
the Criminal Code of Spain - the bases of releasing
of criminal liability. It is possible to single out
the following signs typical to all circumstances
excluding criminality of act:
1. The given circumstances can take place
only at committing an act provided by
the Especial part of the criminal law.
This means, that an issue on presence
or absence of circumstances excluding
criminality of act with reference to act,
not provided by article of the Especial
part is deprived of practical sense as
in any case it cannot be considered a
crime.
2. The circumstances excluding criminality
of act can take place only in the event
where public relations which are an object
of act provided by the Especial part of
the criminal law norm, could be or could
have been a subject to essential harm. If
an act does not cause and cannot cause
essential harm to these public relations
then to discuss an issue on presence or
absence of circumstances excluding its
criminality from the criminal-legal point
of view does not have any sense either, as
it is impossible to consider such an act a
crime owing to its insignificance in any
case.
3. Establishment of the circumstances
excluding criminality of act in the law
serves socially useful purposes - provides
possibility of protection against socially
dangerous encroachments by inflicting
harm to the person making such
encroachment, possibility of protection
of more significant public relations
by means of a tresspassing with less
significant, implicit execution of orders
and instructions etc.
4. Each circumstance excluding criminality
of act consists of set of the obligatory
conditions
which
observance
at
committing a certain act provided by
the Especial part of the criminal law
entails recognition of this lawful act.
These conditions are called legitimacy
conditions. Thus for each circumstance
excluding criminality of act, there are
their own conditions of legitimacy.
Non observance of at least one of these
conditions entails recognition of a
corresponding act to be a crime.
5. Conditions comprising circumstance
excluding criminality of act are
established by the law. The circumstance
not established by the law in this quality
cannot be considered the one excluding
criminality of act. With the reference to
such a case it is possible to talk only about
absence of those or other signs of a crime,
but not about presence of the circumstance
excluding criminality of act.
Circumstances excluding criminality of act
should be separated from such legal institutions
as insignificance of act, voluntary refusal,
releasing of criminal liability and releasing of
criminal punishment. The main difference of
voluntary refusal, releasing of criminal liability
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and releasing of punishment from circumstances
excluding criminality of act is in that in the act
committed in the presence of circumstances
excluding its criminality there are no the signs
necessary for its recognition a crime initially.
With reference to voluntary refusal, releasing of
criminal liability and releasing of punishment,
on the contrary, it is possible to say that at
committing a corresponding act there are all
signs of a crime or not completed crime in it.
Thus, voluntary refusal equal to the basis of
releasing criminal liability and the basis of
releasing punishment cannot be referred to
circumstances excluding criminality of act as
having another legal nature.
Another situation concerns the differentiation
of circumstances excluding criminality of act
and insignificance of an act. Here, it is necessary
to notice, that in criminal legislation of some
states, insignificance of an act is referred to
circumstances excluding criminality of act (for
example, in the Criminal Code of Uzbekistan).
In an insignificant act, also as well as in the act
committed in the presence of circumstances
excluding its criminality, there are not all signs
necessary for recognition of such an act a crime.
The difference here is that an insignificant
act cannot initially cause essential harm to
the public relations referring to a category of
public relations being a subject of criminal-legal
protection therefore it does not possess a sign of
public danger and accordingly is not a crime. The
act committed in the presence of circumstances
excluding criminality of act on the contrary, can
cause and does cause essential harm to public
relations. Even if to join the point of view of
the authors considering, that the circumstances
excluding criminality of act exclude only its
public danger and nothing more, it is necessary
to notice, that in this case an act is not socially
dangerous for another reason - because harm is
caused within the limits established by the law to
achieve a socially useful purpose. It is necessary
to notice, that an act committed in the presence
of circumstances excluding its criminality is
considered to some extent socially useful as well
(some authors say that in certain cases such an
act is socially neutral)5. Thus, an act which is
not considered a crime exclusively owing to its
insignificance, can hardly be considered not only
socially useful, but even socially neutral either.
Estimating such an act from the point of view of
its public value we, most likely, can speak only
about its public harm. Thus, it is necessary to
consider quite reasonable the existing of a division
into insignificance of an act and circumstances
excluding criminality of act due to various legal
nature of the given institutions both in domestic
theory of law and domestic legislation. The
criminal code of Russian Federation provides six
circumstances excluding criminality of act:
1. Necessary defense (article37of the
Criminal Code of Russian Federation);
2. Inflicting bodily harm to the person
committed a crime during his detention
(article 38 of the Criminal Code of
Russian Federation);
3. Emergency (article 39of the Criminal
Code of the Russian Federation);
4. Physical or mental compulsion (article
40 of the Criminal Code of the Russian
Federation);
5. Reasonable risk (article 41of the Criminal
Code of Russian Federation);
6. Order or instruction execution (article
4 of the Criminal Code of Russian
Federation).
Other circumstances not known to the
RF CC quite often specified in legislations of
other states can be referred to circumstances
excluding criminality of act. The following
ones can be separated out of them: consent of a
victim (§ 226 of the Criminal Code of Germany);
staying among accomplices of a crime under a
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Alexander P. Sevastyanov and Andrey A. Kondrashov. Concept of Circumstances Excluding Criminality of Act
special order (article 38 of the Criminal Code
of Belarus); implementation of operative-search
actions (article 341 of the Criminal Code of
Kazakhstan); performance of a special task on
prevention or disclosing criminal activity of
the organised group or criminal organisation
(article 43 of the Criminal Code of Ukraine);
duty execution, lawful enjoyment of the right,
professional or official duties (article 21of the
Criminal Code of Spain); an action performed
under the instruction or permission of the law
or by-law (p. 1 article 122-4 of the Criminal
Code of France); the action performed on
request of legitimate authority (p. 2 article 1224 of the Criminal Code of France), execituon of
law norms ( article 10.5 of the Criminal Code
of Australia); action performance according
to legislation, or due to realisation of lawful
employment ( article 35 of the Criminal Code of
Japan). In the domestic theory of criminal law a
number authors also separate out circumstances
excluding criminality of act absent in Russian
legislation. For example: consent of a victim,
realisation of socially useful professional
functions, enjoyment of the right, law execution;
lawful application of the weapon etc6.
It should be noticed, that a circle of
circumstances excluding criminality of act has
been essentially expanded in comparison with
the Criminal Code of RSFSR, 1960 and the
Criminal Code of the Russian Federation, 1996.
It is likely that the tendency of expansion of the
circle of these circumstances will continue to
take place in the future. However, it is necessary
to pay attention to the fact that a person applying
the law is entitled to consider as excluding
criminality of act only those circumstances
which are provided by the law. In this connection,
circumstances excluding criminality of act listed
above, not specified in the Criminal Code of
Russian Federation have more scientific rather
than practical value.
With the reference to the circumstances
excluding criminality of act it is also necessary
to pay attention to an issue whether the norms
regulating given circumstances are referred
to encouraging. A number of authors consider
that these norms are encouraging7. Others hold
another opinion8. Here, most likely, it is necessary
to agree with those authors who consider, that
norms about circumstances excluding criminality
of act, cannot be considered encouraging.
Proving such a conclusion, it is possible to
notice, that the lawful behaviour in this case
does not entail any positive consequences for
the subject and does not improve his position in
comparison with that condition in which he has
been before a corresponding act committing.
It is deemed, that on the basis of the stated it
is possible to make rather an exact defi nition
of circumstance excluding criminality of act.
And it is thought, that methodologically it will
be more justified to give a defi nition not to
circumstances excluding criminality of act as
a whole, but namely to circumstance excluding
criminality of act in singular similar to such
basic concepts of criminal law as a crime,
punishment etc. which are defi ned in singular as
well. Proceeding from the noted basic moments
characterising essence of any circumstance
excluding criminality of act it is possible to give
the following defi nition to such a circumstance:
Circumstance excluding criminality of act is a
set of conditions established by the law at which
presence the act provided by the Especial part of
the criminal law causing or capable of causing
essential harm to the public relations making its
object is not a crime.
The suggested definition covers any
circumstances excluding criminality of act,
containing in the Criminal Code of Russian
Federation and in criminal legislation of other
states, irrespective of possible changes of their
lists.
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1
2
3
4
5
6
7
8
Maximov S.V Circumstance excluding criminality of act //Criminal law. General Part. Especial Part: the Textbook / Under
gen. edit. of Gauhman L.D., Kolodkin L.M., Maximov S.V. М, 1999. p. 175; Tkachenko V. I. The circumstances excluding
criminality of act//Criminal law of Russian Federation: the Textbook. М, 1996. p. 300.
OrekhovV.V. Necessary defence and other circumstances excluding criminality of act. SPb. 2003. p. 18-20; Blinnikov V.
A. System of the circumstances excluding criminality of act, in criminal law of Russia.. Nizhni Novgorod, 2002. p. 15.
Naumov A.V.Russian criminal law. General Part: the Course of lectures.-2 edition .M, 2000. P. 343-344; Tyazhkova
I.M.Circumstance, excluding criminality of act//the Russian criminal law: In 2 v. V. 1: General Part / Under. edit. Inogamova-Hegaj L.V., Komissarov V. S, Rarog A.I. M, 2003. p. 358.
Lopashenko N.A.Circumstance excluding criminality of act//Criminal law of Russia. General Part / Under the editorship
of Rarog A.I. М, 2007. p. 260; Kelin S.G. Circumstances excluding criminality of act: Concept and kinds//Criminal law,
1999. № 3. p. 4; Kondrashova T.V.Circumstance excluding criminality of act//Criminal law. General Part: the Textbook for
higher schools / Res. edit. Kozachenko I.J. Neznamova Z.A. М, 2001. p. 263.
Tyazhkova I.M.Circumstance, excluding criminality of act//the Russian criminal law: In 2 v. V. 1: General Part / Under.
edit. Inogamova-Hegaj L.V., Komissarov V. S, Rarog A.I. M, 2003. p. 356.
The course of Soviet criminal law. In 6 v. V. II.Crime. M., 1970, p. 342; Baulin Y.V.Circumstances excluding criminality
of act .Kharkov, 1991. pp. 41–79.
Elvonsky V.A.Encoiraging norms in criminal law. Khabarovsk, 1984; Golik Y.V.Positive stimulus in criminal law (concept, content, prospects) . М, 1994.p. 34-35; Baulin Y.V.Criminal-legal problems of a doctrine about circumstances
excluding criminality (public danger and unlawfulness) Kharkov, 1991. p. 16, 26; Sabitov R. A. Postcriminal behaviour
(concept, regulation, consequences). Tomsk, 1985. p. 67-68.
Zvecharovsky I.E. Criminal-legal norms encouraging postcriminal behaviour of a person. Irkutsk, 1991. p. 46; Berestovoy A.N. Reasonable risk, as the circumstance excluding criminality of act:SPb., 1999.p. 10; Orekhov V.V. Necessary
defence and other circumstances excluding criminality of act. SPb. 2003. p. 22.
Понятие обстоятельств,
исключающих преступность деяния
А.П. Севастьянов, А.А. Кондрашов
Сибирский федеральный университет
Россия 660041, Красноярск, пр. Свободный, 82
В настоящее время в литературе достаточно много внимания уделяется обстоятельствам,
исключающим преступность деяния, однако большинство публикаций по данным вопросам
касаются отдельных обстоятельств, относящихся к данной категории. Общая характеристика
обстоятельств, исключающих преступность деяния, становится предметом исследования
достаточно редко и, как правило, лишь в той мере, в которой это необходимо для рассмотрения
вопросов, касающихся одного из обстоятельств, входящих в данный перечень. При этом
зачастую даже сами определения понятия обстоятельств, исключающих преступность
деяния, даваемые различными авторами, существенно отличаются друг от друга. Вместе
с тем, характеристика общих признаков обстоятельств, исключающих преступность
деяния и выявление основных, существенных черт, которые могут лечь в основу определения
понятия этих обстоятельств, представляются весьма важными задачами. Их решение
будет способствовать уяснению правовой природы и особенностей данного института и, как
следствие, совершенствованию в соответствующей части законодательства и практической
деятельности по его применению.
Ключевые слова: обстоятельства, исключающие преступность деяния.
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Journal of Siberian Federal University. Humanities & Social Sciences 3 (2012 5) 443-450
~~~
УДК 657.092
History of Emergence and Development
of the Russian Accounting for Small Enterprises
Оlga N. Kharchenko and Anna A. Turovets*
Siberian Federal University
79 Svobodny, Krasnoyarsk, 660041 Russia 1
Received 11.04.2011, received in revised form 20.04.2011, accepted 3.05.2011
In this article the authors considered occurrence and development history of the Russian accounting
in small enterprises. Peculiarities of historical development of the enterprises and their inseparable
connection with the history of Russia were taken into account. Moreover, the authors sorted out the
stages and the corresponding development periods of accounting for small enterprises. The authors
offered the ways to improve accounting for small enterprises in Russia during the periods of IFRSoriented accountancy.
Keywords: history, accounting, small enterprises, accountancy.
The leading role in information support of
small enterprises belongs to accounting, that
being the control system of any business entity.
It provides necessary information about the
financial and economic activities.
Quantitative and qualitative growth of
small business as a separate sector of the market
economy and its particular socio-economic
importance in the modern society lead to the
urgent need for a more flexible reflection of
business operations at the accounts that can be
achieved by strengthening the role of professional
accounting judgments based on understanding
the role, according to the authors, content and
development prospects of accounting in Russia
in inseparable connection with its historical
development.
In this regard, the history of emergence and
development of accounting for small enterprises
*
1
is particularly relevant. It should be noted that this
issue is little explored in scientific and educational
literature.
T.I. Kopylova defines the following stages
in the development of accounting in small
enterprises that are consistent with the historical
stages of development:
1) Pre-Revolutionary (1689-1917);
2) Soviet (1917-1987);
3) Renaissance (1988-1990);
4) Formation and Development (1991-19951998 years);
5) Transition (1999-2002);
6) Ascension (2003) (Kopylova, 2002,
p. 12.).
V.A. Vartavanyan examines the evolution of
accounting in small enterprises from a position
of periodization of the stages proposed by okolov
(Vartavanyan, 2001, pp. 56-69). A.A. Karasaeva
Corresponding author E-mail address: anna.turovets@mail.ru
© Siberian Federal University. All rights reserved
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follows a similar approach (Karasaeva, 2005, pp.
10-16).
Taking into consideration the peculiarities
of historical epochs the authors distinguish two
stages in the evolution of accounting in small
enterprises coinciding with the history of their
formation in inseparable connection with the
history of Russia:
1) Historical (9th – beginning of the 20th
century.);
2) Modern (since 1977).
The historical stage of accounting
development in small enterprises of Russia is
based on the evolution of the entire accounting
thought, starting with the period of the origin of
business relations in Russia. In this case, the birth
of “special” accounting for small enterprises in
Russia is related to the 19th century. This is due
to the Bankrupt charter in 1800 and the Act on
the procedure of merchants trading books by
July 14, 1834, which contained the first officially
regulated features of accounting depending on the
size of the enterprise. The law on the procedure
of merchants keeping trade books, regardless
of whether they were carrying out commercial
operations independently or collectively (in
partnership), imposed the duty of keeping trade
books. The number of books depended on the
kind of trade and constituted a trade secret.
The division of trading companies into three
categories was provided: wholesale, retail and
peddling. The order and form of accounting
were established respectively. The first category,
wholesale trade, included bankers, wholesale
merchants and everybody engaged in overseas
trade and commission business; the second
category, retail trade, included retailers; the third
included craftsmen, tradesmen, artisans and
peddling traders. Thus, small enterprises of the
19th century in their modern understanding were
retail and peddling trade enterprises, as well as
costermongers, peddlers, small traders, hawkers.
The law on the procedure of merchants
keeping trade books for trade enterprises of
the third category involved maintenance of a
simple (unigraphic) accounting and a minimum
number of account books: a) a stock book where
the goods received were recorded, and b) a cash
book where daily cash receipts were recorded,
and c) a settlement book to refer debts and
accounts, who owes money to whom. For retail
traders a document book for recording details
of bills, credit letters, receipts, stocks, contracts
and other documents was required besides
these three. For wholesale trade the following
additional books were provided: a) a memorial –
a book for daily recording of affairs; b) a general
ledger to open separate accounts for all trade
turnovers and capable, if properly managed, to
provide a clear picture of the state of affairs;
c) a book of copies of all commercial outgoing
mails (and telegrams); d) a book of accounts
for recording the accounts sent for the goods
sold, and e) an invoice book to record invoices
for the goods shipped (Shershenevich, 2000,
p. 82). The Law on the procedure of merchants
keeping trade books had different requirements
regarding the same books, depending on the
type of the trade. Thus, the cash book from
wholesale merchants must contain a detailed
record of each act of receiving money, and
for retailers and peddlers the intake could be
indicated by the result.
It should be noted that the Law on the
procedure of merchants keeping trade books has
made drastic changes in legal trends in accounting
development. It was for the first time when the
statement was articulated that the law should not
prescribe certain postulates, but teach how to talk,
act and take appropriate decisions. Furthermore,
it was the Law on the procedure of merchants
keeping trade books where the mandatory for all
unification of primary documents was regulated
for the first time.
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The latter Charter of trade of 1887 establishes
a similar three-category gradation of trading
enterprises and regulates accounting rules. A
famous Russian civil lawyer, P.P. Tsytovich, in
the “Sketch of the basic concepts of commercial
law” said: “The Charter of trade ... has given a
whole manual of mandatory accounting and
trade different, however, in size. Accounting is
mandatory for all, therefore the banker should
keep stock and invoice books, though he does not
have any goods, does not receive and send any
invoices” (Tsytovich, 2001, p. 107).
Further progress in the development of the
idea of retail and peddle trade (analogues of
modern small businesses) was prevented by the
historical events that took place, resulting in the
corresponding metamorphosis. The decline that
characterized the state of accounting at the turn of
the 10's and 20's of the 20th century was affected
by two factors. Firstly, it was the theoretical setup
of ultrarevolutionaries that came to power – the
party of Bolsheviks, or Communists, headed
by V.I. Lenin. They were looking for maximum
simplification of the economy and transforming
it into a “socialist”. Secondly, it was a general
decline in economic life, which entailed the
accounting decline (Alexeev, 2006, pp. 92-93).
The nationalization began after the
Bolsheviks came to power, which took the form
of expropriation of enterprises being privately
owned. Business owners in the best case became
their directors or accountants, but more often
they were expelled or even arrested (Alexeev,
2006, p. 93).
However, despite this, on July 13, 1918, the
Central Executive Committee of RSFSR issued
“Basic provisions on property accounting”,
where an attempt was made to transfer from the
estimated accounting to the double one in the
state economy. On July 27, 1918, the Council
of Peoples’ Commissars of RSFSR adopted a
resolution on trade books. Keeping of these
books was required for private commercial and
business enterprises, among which, according to
the authors, there were small enterprises in their
modern understanding. Thus, every enterprise
should have been bookkeeping in accordance
with the standard pattern established by the
state. An extremely simplified General Ledger
was declared as the basis of accounting. It
instructed to take all transactions only into three
accounts – real estate, materials and equipment,
thus leaving no opportunity for monetary assets
accounting. However, elimination of money the
Communists were dreaming about did not take
place: assessment of the property applied to the
inventory prior to the standard General Ledger
was assumed to be measured in money (Alexeev,
2006, pp. 93-94).
The stratum of entrepreneurs was almost
eliminated by 1920. All companies with more
than 5 people working with mechanical engines
and over 10 working without mechanical engines
were nationalized in accordance with the
decision of the Supreme Economic Council dated
November 29, 1920 (Vartavanyan, 2001, p. 66).
However, in 1921 everything changed, since
“the Soviet government scared of the economy
breakdown decided to revert to the traditional
economy. Return to the old was given an illogical
name of New Economic Policy (NEP). Only with
it the good old accounting returned to Russia”
(Alekseev, 2006, p. 95). And in 1922 the Supreme
Economic Council issued the Statement on
accounting and reporting, which highlighted the
need for accounting in the dual system, registration
of economic activity through chronological and
systematic recording, keeping of the General
Ledger, etc. (Lupikova, 2006, p. 177).
With the introduction of the NEP there was
an attempt to resuscitate free entrepreneurship
in the country, all the more that continuity of
generations and the spirit of entrepreneurship
were not lost. Thus, a mixed economy of mainly
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private agricultural sector and private trade and
services was created.
But a sharp turn toward socialism begins
in the country by early 1930’s. Complete
collectivization was held, entrepreneurs were
eliminated as a class. Small business was
completely forced out of all sectors of the economy
and was considered as a criminally liable offence.
Accounting and reporting of a socialist society
were reduced to three major accounting problems:
cost accounting (khozraschyot), centralization
and mechanization.
Thus, small business as a legitimate
government category was absent in Russia for
a long period of time until the early 80’s of the
20th century. Herewith, the need in accounting at
small enterprises has disappeared.
In Russia the establishment of small
business in its modern understanding is related
to the Constitution of the USSR of 1977, which
reaffirmed the right of the citizens to carry out
work based on personal work of individuals and
their families in the area of handicraft, agriculture
and consumer services.
According to the authors, the current stage
of development of accounting in small companies
includes three stages:
1) Traditional accounting – 1977-1995;
2) Simplified accounting – 1996-2006;
3) IFRS-based accounting – since 2007.
During the period of traditional accounting
of small enterprises, when the fi rst small
enterprises were born in a legislative vacuum,
most of them organized the accounting process
in accordance with common methodological
principles and rules established by the
Regulations on Accounting and Reporting in
the USSR, and later in the Russian Federation,
the provisions on accounting, which regulated
accounting treatment of various objects of
Accounting and Chart of Accounts for the
fi nancial and economic activities of enterprises.
It is noteworthy that the accounting system
of small enterprises until the early 90’s of the 20th
century was developed not only in the absence of
the legislative base in the field of regulating small
businesses, but also in the absence of practical
experience in accounting in this sector of the
Russian economy.
The first attempt to develop accounting
rules depending on the size of the company at the
present stage is the letter No. 181 of the Ministry
of Finance of the USSR “About the instructions
on accounting and application of accounting
records at cooperatives operating in the sphere
of production and services” dated December
14, 1988. The letter contains instructions on
accounting and applying accounting records at
cooperatives that operate in the field of production
and services.
The letter No. 40 of the Ministry of Finance
of the USSR “About recommendations on
accounting and application of accounting records
at small enterprises” dated July 2, 1991, containing
recommendations on accounting and application
of accounting records in small enterprises has
become an important event in the development of
accounting for small enterprises.
We can conclude that the first period of the
history of accounting at the present stage of its
development (1977-1995) determines the necessity
to use accounting systems for small enterprises
and indicates the direction of its development.
The next significant event that has
predetermined the second stage of accounting
development in small enterprises (1996-2006)
is the Order No. 131of the Ministry of Finance
of Russia “About the guidance on accounting
and reporting and application of accounting
registers for small enterprises” dared December
22, 1995, providing the basis for the methodology
of accounting for small businesses starting
from January 1, 1996 This order was meant
for all small businesses regardless of the object
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and purpose, organizational and legal forms
of ownership, and contained a working chart
of accounts, which allowed to navigate in the
method of its preparation and application, as well
as two systems of accounting registers, which
contributed to correct registration and compilation
of information on completed transactions and
preparation of accounting and tax reporting.
According to the authors, the Federal Law
No. 222-ФЗ “About the simplified system of
taxation, accounting and reporting for small
businesses” dated December 29, 1995, which came
into force on January 1996, is of great importance
in identification of the second stage in the
development of accounting in small enterprises.
This Law introduced fundamental changes in
the accounting records of small businesses that
met the parameters regulated by law. They were
granted the right to transfer to a simplified system
of taxation and accounting with the abolition of
the payment of all the established federal, state
and local taxes and payment of only a single tax
calculated upon the results of economic activity.
Companies that adopted the above system used
the book of income and expenditure accounting
as the Register of accounting to record the facts
of economic life for income and expenditure.
The form and the order of keeping records were
approved by the Order No. 18 of the Ministry of
Finance of Russia “About the form of the book
of income and expenditure accounting and the
procedure of reflecting the business transactions
of small enterprises that use a simplified system
of taxation, accounting and reporting” dated
February 22, 1996.
The next step in the development of
accounting for small businesses is the Order No.
64н of the Russian Ministry of Finance “About
the standard recommendations on organization
of accounting for small businesses” dated
December 21, 1998 (hereinafter – Standard
recommendations) designed for all small
businesses being legal entities under the laws of
the Russian Federation, irrespective of the subject
and purpose, organizational and legal forms of
ownership (excluding credit organizations). As for
individuals engaged in entrepreneurial activities
without forming a legal entity and classified as
small businesses, it is necessary to take into
account the standards of the Federal Law No.
129-ФЗ “About Accounting” dated November 21,
1996, under which they keep records of income
and expenditure in the manner prescribed by the
tax legislation of the Russian Federation.
Further development of accounting for small
enterprises in Russia was predetermined by the
“Guidelines for development of the Russian
accounting system” elaborated by the Russian
Ministry of Finance within the framework of the
Programme of socio-economic development of
the Russian Federation for the period 2001-2005.
The peculiarity of this document is that
setting of the targets for further reforming of
accounting was determined by the specificity
of various types of enterprises, among which
small businesses that should have the right for
simplified accounting and simplified reporting
were identified separately. The simplified system
of accounting and reporting for small businesses
should be organized in such a way that the cost of
data transformation of financial reporting in this
format for tax purposes is minimized. In addition,
such a simplified system should provide the
fullest possible satisfaction of the management in
accounting.
The main objectives of the reform in
accounting for small enterprises included:
development of a system of accounting and
financial reporting for small business, which
meets the requirements of tax legislation in terms
of calculating the tax base and filing a tax return;
as well as taking into consideration the needs of
small business management in accounting and
internal company reporting (monitoring costs,
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etc.) at development of the simplified system of
accounting and financial reporting.
Thus, we can say that the second period in
the history of accounting for small business is the
period of formation of the accounting system of
the modern Russian small business.
In the authors’ opinion, the third period
is the most important one in the evolution of
accounting at the present stage of development of
small business (starting from 2007).
The Federal law No. 209-ФЗ “About the
development of small and medium business
in the Russian Federation” dated July 24, 2007
(hereinafter – Federal law No. 209-ФЗ) is the
starting point for further development and
improvement of the accounting system for small
enterprises, since among other measures it
considers the simplified system of accounting for
small enterprises engaged in certain activities.
This is particularly important while the documents
that have ever been specially published for small
business are not updated and adapted to modern
conditions.
The authors believe that this is the first step
of the state to develop rational accounting rules
for small enterprises, the need for which is long
overdue. Since currently the only one formally
valid and not mandatory for application document
(not a regulatory document, because not registered
in the Russian Ministry of Justice) reflecting the
specificity of accounting for small business is the
Standard recommendations. It should be noted
that these Standard recommendations in current
conditions are not applicable in practice in many
aspects because they contravene to the current
legislation in many respects.
Some experts are of the opinion that the
Standard recommendations in current economic
conditions have no practical value, since they
recommend the form of accounting of the 50’s
of the last century and, correspondingly, are not
applied (Bachurinskaya, 2010, p. 6).
According to the authors, the situation is
quite controversial, as it is now small enterprises
in their fi nancial and economic activity that
can use both traditional and simplified forms
of accounting, respectively, based on the
principles of double (doublegraphic) and simple
(unigrafic) records. In this case, the Federal
law No. 209-ФЗ provides for simplification of
the system of accounting for small enterprises.
Consequently, we can conclude that the Standard
recommendations have been developed in the
only one possible version that adequately meets
the current legislation, but on the other hand,
do not fully realize the simplification of the
accounting process. For example, the Standard
recommendations recommend that small
enterprises engaged in material production
should keep accounting records in the general
ledger from of accounting; those engaged in
trade and other agency work should use the
simplified form of accounting and, if necessary,
use separate registers from the general ledger
form for accounting of certain values. Thus, the
form of keeping accounting records by small
enterprises may be combined, which does not
associate with the simplification of accounting
procedures.
At present we can confidently assert that
the Russian legal framework does not adequately
disclose the issues of organization and keeping
of accounting records in small enterprises. Most
regulations focus on the formulation of accounting
in organizations that are not small businesses.
However, the authors suppose that in the
near future the situation will change radically,
as on July 9, 2009, the IFRS Council released
the International standard designed specifically
for the use by small and medium enterprises.
This is the most important document that has
been prepared by the reformed IFRS Council
during all nine years of its existence, not only
in volume (the official standard version has 230
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pages of text), but also by the number of potential
recipients (for over 95% of all companies in the
world refer to small and medium enterprises).
The Standard stands apart from all other IFRS
standards. It has no serial number and is not
considered as a part of a complete set of IFRS.
Its official name is the International Financial
Reporting Standard for Small and Medium-sized
Entities (IFRS for SMEs) (Sukharev, 2009, p. 14).
Because small enterprises cannot stay away from
the Reformation process of accounting system
of the Russian Federation, which has IFRS as
the main guidelines, the introduction of IFRS
at small enterprises in Russia will serve as the
impetus for the development of accounting for
small enterprises.
Thus, having studied the history of formation
and development of the Russian accounting for
small enterprises in detail, it can be concluded
that the use of accounting at small enterprises
in its modern understanding has been started
relatively recently. In this regard, accounting
at some small enterprises is often modified in
practice, its formats are changed, company’s own
adjustments to the already established system of
accounting are made.
According to the authors, given the
historical experience of accounting at small
enterprises, methods of accounting for small
enterprises should be elaborated and a number
of outdated regulations should be altered. It is
worth remembering that the accounting system
for small enterprises should comply with the
modern trends of small business development in
the innovation economy of Russia. Therefore, it
is necessary to continuously develop the methods
of forming accounting and analytical information
and accounting procedures, improve legal
regulations, etc.
The authors propose the following directions
for improvement of accounting for small
enterprises in Russia.
Firstly, it is the change in the Russian
legislation regulating financial and economic
activities of small enterprises, as well as
development of a modern framework of legal
regulation of accounting at small enterprises.
Legislative documents regulating the
activities and accounting at some small enterprises
are needed. It is important to update the existing
legislative framework with regard to the fact
that there are various financial schemes with
participation of small enterprises that require
clear legislative regulations. It is advisable to
create a list of legal documents that relate directly
to regulation of accounting in small enterprises.
Secondly, it is the change in the methods of
accounting at small businesses.
Due to the fact that in the modern Russian
economy small business is developing quite
rapidly, correct accounting system is required
that would allow to use standardized approaches.
It is necessary to develop methods of accounting
for small enterprises with consideration of
accounting methods for specific small enterprises,
such as farms. It is also necessary to develop
methods of arranging a complete accounting
process for individual entrepreneurs that keep
records of income and expenditure in accordance
with the laws of the Russian Federation in the
manner prescribed by the tax legislation of the
Russian Federation. As a result, we can conclude
that there is the need to develop an integrated
accounting system for small enterprises with a
description of specific methods of organization
and keeping accounting records.
Thirdly, it is the reform of the accounting
system of small enterprises in accordance with
IFRS.
Since reforming of the Russian accounting
in accordance with IFRS requires adjustment of
the current legal documents with simultaneous
convergence of their statements with the
requirements of IFRS, the introduction of IFRS
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for small business in Russia can contribute to
updating of the entire legal framework regulating
the issues of accounting in this sector of the
economy.
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Бачуринская И.Н. [I.N. Bachurinskaya] Развитие международных стандартов финансовой
отчетности применительно к сфере малого и среднего предпринимательства // Вестник
Казанского государственного аграрного университета. 2010. № 1
Вартаваньян В.А. [V.A.Vartavanyan] Малые предприятия: альтернативные формы учета
[Электронный ресурс]: Дис. … к.э.н.: 08.00.12 Санкт-Петербург, 2001. 210 с.
Карасаева А.А. [A.A.Karasaeva] Управленческий учет деятельности малых предприятий
[Электронный ресурс]: Дис. … к.э.н.: 08.00.12 Саратов, 2005. 215 с.
Копылова Т.И. [T.I. Kopylova] Формирование учетной и отчетной информации на малых
предприятиях [Электронный ресурс]: Дис. … к.э.н.: 08.00.12 Иркутск, 2002. 236 с.
Лупикова Е.В. [E.V. Lupikova] История бухгалтерского учета: учебное пособие / Е.В.
Лупикова. – М.: КНОРУС, 2006. – 240 с.
Сухарев И.Р. [I.R. Sukharev] Международные стандарты для малого бизнеса //
Международный бухгалтерский учет. 2009. № 10.
Цитович П.П. [P.P. Tsytovich] Очерк основных понятий торгового права. – М.: Центр
ЮрИнфоР, 2001. – 448 с.
Шершеневич Г.Ф. [G.F. Shershenevich] Конкурсный процесс. – М.: Статут, 2000. – 477 с.
История возникновения
и развития российского бухгалтерского учета
на малых предприятиях
О.Н. Харченко, А.А. Туровец
Сибирский федеральный университет
Россия 660041, Красноярск, пр. Свободный, 79
Рассмотрена история возникновения и развития российского бухгалтерского учета на малых
предприятиях с учетом особенностей их исторического развития и в неразрывной связи с
историей России. Выделены этапы и соответствующие им периоды развития бухгалтерского
учета на малых предприятиях. Предложены направления совершенствования бухгалтерского
учета на малых предприятиях в России в период МСФО-ориентированной отчетности.
Ключевые слова: история, бухгалтерский учет, малые предприятия, бухгалтерия.
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Journal of Siberian Federal University. Humanities & Social Sciences 3 (2012 5) 451-457
~~~
УДК 342.924
Petty Offense
(Part 2 of Art. 14 of the Criminal Code)
and Administrative Responsibility
Vadim V. Pitetski* and Andrey A. Kondrashov
Siberian Federal University
79 Svobodny, Krasnoyarsk, 660041 Russia 1
Received 4.11.2011, received in revised form 11.11.2011, accepted 16.12.2012
The article deals with the peculiarities of petty offenses (Part 2 of Art. 14 of the Criminal Code)
as a special penal institution, as well as the legal consequences of his acting. The possibility of
involvement of other types of liability for recognition the act de minimis. Particular attention is paid
to administrative responsibility.
Keywords: petty offense, the legal effect, the ratio of norms, administrative responsibility.
One manifestation of the flexibility of
the criminal law is strengthen the rule of
insignificance act. In accordance with Part 2 of
Art. 14 of the Criminal Code: “is not a crime
action (inaction), although formally containing
signs of any offense under this Code, but because
of little significance do not pose danger to
society.” This provision specifies the definition
of the crime provided for in Part 1 of Art. 14 of
the Criminal Code. Its means that only those acts
which cause or threaten substantial harm in the
fact that crime can be recognized. The legislator
takes into account (most likely) the nature and
degree of public danger, by establishing criminal
prohibition of certain acts by a description in
the Special Part of the Criminal Code offenses,
their model. However, individual acts by virtue
of their individual characteristics, in the absence
or the possibility of causing substantial harm to
protected public relations, may not possess the
*
1
property of public danger, and therefore can not
be a crime.
For the recognition of de minims act requires
several conditions. First, the act committed must
contain all formal elements of a crime (corpus
delicti), under criminal law. If the committed
act miss at least one feature that is, necessary for
recognition of the criminality, it is considered to
be not insignificant, but non-criminal because of
the lack of a criminal wrongfulness (prohibition
by the criminal law).
Secondly, the petty offense, which contains
all the formal elements of a crime, should not
cause significant harm, or contain a threat of such
attack, that is, there should be no sign of danger to
society. These acts are either not cause any harm
or cause, at the injury obviously is not essential
and can not be considered as a criminal.
Due to the fact that the term “insignificance”
is an estimate, this circumstance – the absence
Corresponding author E-mail address: Pitetski@list.ru
© Siberian Federal University. All rights reserved
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Vadim V. Pitetski and Andrey A. Kondrashov. Petty Offense (Part 2 of Art. 14 of the Criminal Code)…
of a socially dangerous the act, is a question
of fact and set in the enforcement process (by
investigator, prosecutor or court), taking into
account all the circumstances of the case (the
object of abuse, ways of committing the act, effect
hat been occurred, the role of accessory, etc.). We
should agree with the opinion that, assessing the
insignificance must be based on factual, objective
facts of the case, that describes the act itself (the
way the crime, his motive, purpose, degree of guilt
of the person, etc.). In paragraph 21 of Resolution
of the Plenum of the Supreme Court on March 24,
2005 № 5 “On some issues arising from the courts
in applying the Code of the Russian Federation
on Administrative Violations” is stated that “such
circumstances as, for example, the personality
and the financial situation of involved responsible
person, voluntary elimination of the consequences
of crime, compensation for damages are not the
circumstances that characterize the insignificance
of the offense.”
And, thirdly, basing on the principle of guilt,
while finding the acts de minimis, it is necessary
that intent of a person must be directed specifically
to cause unimportant (insignificant) damage.
If the intent of the person directed to causing
significant harm (a socially dangerous act), but he
count reach it for any reasons beyond the person,
so the act cannot be regarded as a petty offence
acts of men are evaluated primarily on the state
of mind . In this case, the deed is recognized as
unfinished crime in the form of preparation (part
1 of article. 30 of the Criminal Code), or attempt to
commit a crime (Part 2 of Art. 30 of the Criminal
Code). From here you can make an important
conclusion: in cases where the basis for the
criminalization of acts is the occurrence of certain
significant consequences, and assessment of acts
depends solely on the effects of stepped or not –
for example, indirect intent or negligence caused
by the person it is impossible to talk about the
insignificance act, because in the non-occurrence
these consequences of his actions would not be
criminal (because of the lack of formal evidence
of a crime). Upon occurrence of the significant
effects necessary for qualifications, the act should
be recognized as socially dangerous, that is, it can
not be considered as insignificant.
In accordance with the statutory definition
of petty offense it is not criminal and does not
entail penal consequences. If the act considers
to be insignificant, bringing actions against
somebody under part 1 of article. 24 of the Code
shall be denied. If the case has been already filed,
it must be dismissed for lack of corpus delicti.
However, it should be noted that there is no unified
opinion about with respect to understanding the
legal nature and consequences of recognizing
an act de minimis. As a rule, the criminal law
literature indicates that the insignificance implies
involvement of other types of legal liability: civil,
disciplinary, administrative, and others1. As NF
Kuznetsov pointed out by: “In most cases specific
injury and minor antisocial acts occur in petty
offence. But they are not criminal degree, but
civil, administrative, disciplinary, immoral.2” The
view that the insignificance acts may lead to civil
and disciplinary liability should be accepted. As
rightly notes I Shyshko, regulatory and protective
regulations can not collide with each other in a
literal sense, because they can not regulate the
same social attitudes: the regulatory standards
regulate only the positive public relations, and
security guards – arising only from the offense. 3”
Therefore, the legal responsibility is not excluded
of law, performing regulatory and restorative
functions (eg, civil and labor), recognizing the de
minims acts.
It is more difficult to resolve the issue
of bringing to administrative responsibility.
Criminal and administrative law, being by nature
conservatory can not be applied simultaneously, in
contrast to the ratio of regulatory and enforcement
standards. This circumstance imposes certain
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Vadim V. Pitetski and Andrey A. Kondrashov. Petty Offense (Part 2 of Art. 14 of the Criminal Code)…
requirements to the principles of formulation of
the crimes and administrative violations.
Analysis of the criminal and administrative
law shows that the legislator has considered this
matter differentiated. The most typical and, from
our point of view the most is a so relation in which
the compositions of crimes and administrative
violations could perpetuate some common
features, but some signs are different. Specifics
of the last material determines the legal nature
of the act. For crimes are typical that increase
the risk of acts, administrative staff reinforce
signs, excluding public danger (v. 2.1 Code of
Administrative Offences Code). This ratio is in
the theory of education has received the name of a
related offenses. Related compounds share some
common characteristics for it, but some signs are
different, that is one of the related compounds has
features missed in the other, and vice versa – the
second is a sign that the first has no4.
As a rule, in the basis of criminalization of
conduct is offensive no impact on, their quality
or size, which points directly in the criminal law.
Thus, the compositions are related article. 12.24
Code of Administrative Offences, which provides
for liability for violation of traffic rules or the
rules of operation of the vehicle, which caused
mild or moderate bodily injury victim, as well as
art. 264 of the Criminal Code, which provides the
liability for the same act which negligently causing
grievous bodily harm or death of humen.
And another signs can be demarcation,
for example, the nature of the subject of crime,
particularly the motive, scope, etc. Thus, Art.
07.21 Code of Administrative Offences provides
responsibility for the destruction of a military
identification card, and art. 325 of the Criminal
Code allows for the same action with the official
documents, stamps or seals, mercenary or other
personal interest. Liability for knowingly false
expert opinion in court or at a preliminary
investigation provides art. 307 of the Criminal
Code, if these act were committed in the exercise
of state control, the deed is an administrative
offense (Art. 19. 26 Code of Administrative
Offences Code).
In the formation of other crimes and
administrative violations for their differentiation
legislator often uses the so-called “negative
symptoms” which indicate the absence of any
property of deeds (whose presence usually defines
its social danger and crime). For example, the
intentional destruction or damage of somebody’s
to property will be recognized as an administrative
violation, if it doesn’t cause significant harm
(Article 7.17 Code of Administrative Offences
of the Russian Federation); arbitrariness is not
a criminal, if it doesn’t involve the infliction
of substantial harm to citizens or legal persons
(Article 01.19 Code of Administrative Offences
Code).
An act that recognizes the de minims, by
Part 2 of Art. 14 of the Criminal Code should
contain all the features of any of the crime under
the Criminal Code, that means that it sould be
formally criminally wrongful. Adjacent character
of ratio eliminates this formal administrative
wrongfulness of the offense, because it will
not have the required combination of features.
Accordingly, in this case, by Part 1 Article. 24.05
Code of Administrative Offences of the Russian
Federation will be absent and the reasons for
bringing to administrative responsibility. Thus,
in accordance with the current edition of Art.
7.27 Code of Administrative Offences, petty theft
is not a criminal, illegal, therefore it can not be
considered insignificant by Part 2 of Art. 14 of the
Criminal Code. A criminal illegal theft can not
be petty under Art. 7.27 Code of Administrative
Offences, although it does not exclude the
insignificant nature.
Thus, we can conclude that if the ratio of
crimes and administrative violations is adjacent,
the act of recognition de minims on part 2 of
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Vadim V. Pitetski and Andrey A. Kondrashov. Petty Offense (Part 2 of Art. 14 of the Criminal Code)…
article. 14 of the Criminal Code can not entail the
occurrence of administrative responsibility.
Nevertheless, the situation where the deed
will formally contain all the elements of crime
and administrative charges, are possible and
are reflected in the legislation. We are talking
about cases that have received the name of the
competition of the rules of law. When competition
commits one act, which contains both the signs of
two or more legal rules (in our case, criminal and
administrative law), while only one of them should
be applicated is. For example, in paragraph 8 of
Resolution of the Plenum of the Supreme Court
on March 12, 2002 № 5 “On judicial practice in
cases of theft, extortion and trafficking in arms,
ammunition, explosives and explosive devices”
(in red. Resolution of the Plenum Supreme
Court of the Russian Federation of 06.02.2007
№ 7) states that “in cases of violations of the
rules of trafficking in weapons and ammunition
must be kept in mind that the illegal actions of
individuals can simultaneously contain both
signs of administrative violation and a crime in
connection with which must delimits liabilities
gun owners. “ In this case we are talking about
the competition between part 1 of article. 222 of
the Criminal Code and Part 2 of Art. 20.8, Part 2
of Art. 20.12 Code of Administrative Offences.
If competition is completely covered by
the offense of one norm, and therefore we can
not quality that would violate the principles of
legality and justice. If the only one rule can be
applicated as subject to competition , arises the
question: what to use? And in our case the answer
to this question will depend on assessment of the
offense as a crime or offense with all the legal
consequences!
According to N Pikurova, “criminal
wrongfulness absorbs all other types of illegality,
and the last lose their legal effect or there in
isolation, without merging with each other.5” Belov,
M indicates that in both codes should be registered
prevalence of the principle of the criminal law of
the Code of Administrative Offences in the event
of a conflict6. Such a provision has been enshrined
in Art. 10 Administrative Code of the RSFSR:
“The administrative responsibility for an offense
under this Code will due if these violations by
their nature do not entail, criminal responsibility
in accordance with the laws.” The current
administrative law the relevant rule of priority
does not contain, however, according to Section
7 Part 1, Art. 24.05 Code of Administrative
Offences of the Russian Federation to preclude
production of administrative law is the existence
of the decision institute criminal proceedings.
The opposite view is also expressed. Thus,
in Section 8 orders of Supreme Court from
March 12, 2002 № 5 “on judicial practice in
cases of theft, extortion and trafficking in arms,
ammunition, explosives and explosive devices,”
states that “in cases where the committed person
misdemeanor (eg, violation of rules of storage or
carrying of weapons and ammunition, their sales,
late registration and re-arms, etc.) also features a
criminal offense, the person may be subject only
to administrative responsibility. “
According to V Navrotsky, “with”
duplication “of responsibility – where the same
acts provided in the Criminal Code as a crime
in the Code of Administrative Offences of the
Russian Federation as an administrative offense,
the priority should be given to a law providing
less severe measures.7” Sometimes is stated the
argument about the application of administrative
law, that “in the situation of competition must be
used the law enacted later than other.8” The last
statement, in our view is unacceptable, because
the individual norms can be taken independently
of the adoption of a regulation in general.
It can be concluded that the issue of
choosing a rule that can be applied in cases under
consideration, has no unique solution. The main
argument is the priority rules of one branch of
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Vadim V. Pitetski and Andrey A. Kondrashov. Petty Offense (Part 2 of Art. 14 of the Criminal Code)…
legislation over another. From our point of view,
these discussions are baseless and therefore
infinite. Nevertheless, the question of choosing
standards to be applied can be resolved positively.
It is necessary to distinguish cases in conflict
with law (conflict), when the existence of one
rule is logically inconsistent with other existing
regulations. In these cases, you must apply the
rules overcoming the contradictions between the
norms that have been developed by the general
theory of law: consideration of power regulation,
the duration of its adoption, particularity of the
subject of legal regulation and competition rules,
etc. When contradictions arise, each of them there
is legitimate and intended for use in particular
situation. Therefore, when competition enforcers
should proceed not from the “priority” of one
branch of law over another, and not from the
rules of conflict resolution, but take into account
the rules of overcoming competition. Thus, the
question of qualification does not depend on the
offense, “general rules of priority, and the specific
ratio of norms of different branches of law.
It should be emphasized that during the
competition of the crimes and administrative
violations we are not talking about full matching
of Terms of matched all of their design features
(which would indicate complete contradiction to
different legal rules). Signs of the competing rules
of criminal and administrative law are at different
levels of logic synthesis, that is, provide more
general or more special cases. If any circumstance
qualitative change the harmfulness of the offense
(up or down), the legislator take into account this
circumstance, by formulating a special rule. The
presence of the special circumstance must be
considered and while qualifications, if it is fully
reflected in the act.
Thus, depending on in which the law
(criminal or administrative) contains a special
rule that provides for this particular case, the
legal nature of the offense will be determined.
If the act does not have all the attributes of a
particular rule, then the general situation should
be applicated.
In the first situation, the general rule is
provided in criminal law, recognized as the most
typical manifestation of this act, in which it has
the danger to society.
Certain varieties of this act may be fixed
by administrative law, when some reflected
property, which significantly reduces the harm of
done and changes its legal nature (the act is not
recognized as socially dangerous or criminal).
So, overall should be recognized art. 307 of
the Criminal Code, which provides for liability
for false testimony from a witness or expert
opinion or expert testimony, and also obviously
incorrect translation in court. Art. 17.09 Code of
Administrative Offences provides for liability for
those acts in the proceedings of an administrative
offense. As part of the judicial proceedings on
the administrative law should recognize the latest
special in relation to Art. 307 of the Criminal
Code, therefore, to be applied.
Art. 214 of the Criminal Code establishes
responsibility for the vandalism, that is the
desecration of buildings or other structures,
property damage of public transport or in other
public places. The destruction or damage to
payphones kind of vandalism is (Article 13.24
Code of Administrative Offences of the Russian
Federation), so when committing the act the
administrative responsibility must be advance.
While considering a ratio of norms (the
total provided for in the Criminal Code, a
special in CAV RF), in our opinion, in the case
of recognition an of act of de minimis (Part
2 of Art. 14 of the Criminal Code), bringing
to administrative responsibility is excluded.
Question of the insignificance legitimately raise
when the offense falls only under the general
rule, respectively, administrative illegality would
be absent. Vandalism in the sense of Art. 307 of
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Vadim V. Pitetski and Andrey A. Kondrashov. Petty Offense (Part 2 of Art. 14 of the Criminal Code)…
the Criminal Code should not be expressed in
damaging of payphones.
Here can exist the converse relationship,
when the general rule is provided for in
administrative law, and the special in the
criminal. The most common will be recognized
as a manifestation of an act in which it does not
have the danger to society and is not criminal.
If any feature of the act substantially increases
the danger, then this is reflected in the criminal
law and should be considered for qualification.
Often, the criminal law imposes liability for
the occurrence of serious consequences of
negligence as a result of violations of the rules
set forth by administrative law. Itself a violation
of these rules is punishable under the Code of
Administrative Offences. For example, Art.
5.27 Code of Administrative Offences provides
for liability for violation of labor protection
legislation. This rule should recognize common
to all cases of violation of these rules. If the
violation of safety rules caused by negligence,
infliction of serious bodily injury or death of
a person, then the responsibility should be to
attack under Art. 143 of the Criminal Code.
We believe that in this ratio of norms the
fact of the onset of serious consequences that
underlie criminalization, can not testify about
1
2
3
4
5
6
7
8
the insignificance of act, by its high-risk (Part
2 of Art. 14 of the Criminal Code). Therefore
and administrative responsibility, is excluded
although all the signs of violation of the rules may
occur.
However, special criminal provisions of
considered type can be formed in the presence
of other circumstances. Thus, in accordance
with Art. 152 of the Criminal Code, involving
a minor in the systematic use of alcoholic
beverages, intoxicating substances will be the
kind of engagement, under Art. 10.06 Code of
Administrative Offences. Another example, Art.
6.8 Code of Administrative Offences provides for
responsibility for the illegal purchase, storage,
transportation, manufacturing, processing of
narcotic drugs, psychotropic substances or their
analogues without the intent to sell (the size of
narcotic drugs, psychotropic substances in the
disposition is not specified). Special in relation to
it, in our opinion, we should recognize pm 1st.
228 of the Criminal Code, which requires the
commission of the same actions on a large scale.
This ratio of norms of a formal administrative
wrongfulness of petty offenses (Part 2 of Art. 14
of the Criminal Code) will take place, therefore,
not ruled out the involvement of the variety of
liability.
Naumov A Russian criminal law. General Part / A Naumov. M., Publishing House BEK, 1997. P. 122.
Russian criminal law. General Part. T 1. Ed. L Inogamovoy-Khegai, V Komissarov, A Rarog. Moscow, Publishing house
«Prospekt», 2006. P. 72.
Shyshko I Economic offenses. Spb., 2004. P. 171.
Gorelik, A Competing criminal law. Krasnoyarsk, 1998. P. 8-9.
Pikurov N Qualifications crimes investigator with mixed wrongfulness. Volgograd, 1988. P. 5.
Belov, M Legal relations in criminal law: Author. Dis. ... Candidate. jur. Science. Nizhny Novgorod, 2002. P. 17.
Nawrocki, V Value of criminal law and legislation on administrative responsibility // Value of crimes and administrative
violations. M., 2003. P. 420.
Majewski W. The law should not contradict the common sense / Russian justice. 2001. № 5. P. 12.
Copyright ОАО «ЦКБ «БИБКОМ» & ООО «Aгентство Kнига-Cервис»
Vadim V. Pitetski and Andrey A. Kondrashov. Petty Offense (Part 2 of Art. 14 of the Criminal Code)…
Малозначительность деяния (ч. 2 ст. 14 УКРФ)
и административная ответственность
В.В. Питецкий. А.А. Кондрашов
Статья посвящена особенностям малозначительного деяния (ч. 2 ст. 14 УК РФ) как
особого уголовно-правового института, а также правовым последствиям его совершения.
Анализируется возможность привлечения к иным видам ответственности при признании деяния
малозначительным. Особое внимание уделяется административной ответственности.
Ключевые слова: малозначительное деяние, правовые последствия, соотношение норм,
административная ответственность.
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