Theory of state and law (state)

1.

THEORY OF STATE AND LAW
(STATE)
Moiseeva O.A.
THEORY OF STATE AND LAW IS THE ESSENCE WHICH REPRESENTS
THE SYSTEM OF RULES AND LEGAL ORGANIZATION OF THE LAW

2.

LATIN ABBREVIATION
etc. (et cetera) – and other things
et al. (et alii, et alia) – and other people/places
e.g. (exempli gratia) – for example
i.e. (id est) – such as, in other words
i.a. (inter alia) – among other things
re (in re) – in the matter of
J.D. (Juris Doctor) – Doctor of Law/Jurisprudence
Ph.D. (Philosophiae Doctor) – Doctor of Philosophy
M.D. (Medicinae Doctor) – Doctor of Medicine

3.

THE STRUCTURE OF THE THEORY OF STATE
AND LAW
• In the First part of the semester:
• Definition, characteristics, essence and social origin of a State
• Power and its types, particularities of different types of power
• Typology and different forms of government
• Functions of a State and its government; forms and methods of
their application
• Government apparatus and it organization and operation
• The place of a State in a political system of our society

4.

THE STRUCTURE OF THE THEORY OF STATE
AND LAW
• In the Second part of the semester:
• The regulation of social relations
• Contemporary understanding of legal system
• Characteristics of Law and Jurisprudence
• Sources of Law
• Legal norms, legal relations, legal responsibility etc.
• Finally,
• Relationship between government and the society
• The essence and structure of our society

5.

SOCIAL INSTITUTIONS
• - are historically constituted, stable form of organization and activities of
people.
• - exists for the organization of joint activities of people for the satisfaction of
their needs.
• e.g. a State, family, religious order, political clientele, merchant guilds,
the Church, political parties, media, business, science.
• Organizational Institutions – a systematic structure.
• e.g. a State, political parties, media, church (religion - ?)
• Normative Institutions – a system of social norms.
• e.g. customs, traditions, religion, law

6.

THREE ASPECTS OF THE TSL
• SOCIAL – science which studies social phenomena. In the center is a
person with his rights and freedoms, then groups of people with their needs
All these rights, liberties and needs are satisfied through State and
Law
• POLITICAL –State and Law are political institutions, their functions are
directly connected with the exercise of power in socially diverse world (e.i.
politics)
• JUDICIAL (legal) – the functioning of a State is directly connected with the
Law, legislature and their applications.
One may not analyze/view a State without its legal aspects.

7.

FUNDAMENTAL AND METHODOLOGICAL
• Fundamental because it
• studies basic/fundamental social phenomena – State and
Law which our society may not function without.
• it is the quintessence (самое главное, самое важное, наиболее
существенное, основная сущность, самая тонкая и чистая сущность,
основа, на которой строится мир) of legal science.
• Methodological – it develops the most fundamental basis,
principles and methods of understanding States and Law.

8.

ELEMENTS OF THE TSL (OBJECT AND SUBJECT)
• Object (объект) of the TSL:
• 1st approach – a State and a Law view independently from all other
social phenomena (i.e. religion, morality, economics) which are nonlegal, non-governmental…
• 2nd approach – all of human society viewed as a legal state organization
(государственно-правовая организация).
• Subject (предмет) of the TSL:
• basic and general laws of the origin, formation, development and
functioning of State and Law; their characteristics, forms, principles and
mechanisms; place and role of S&L in society at all stages of its
historical development.
• These are theoretical models of legal organization of our society.

9.

FUNCTIONS OF THE TSL
Epistemological (Гносеологическая функция )– the study of human knowledge,
methods, validity and its scope – the rationality of believe
Rene Decartes, Immanuel Kant, John Locke
Ontological (Онтологическая функция) – theory of being. It answers the questions of
What is a State, what is Law? How they came into the being? Reasons and
causes for their existence and what the future holds for them.
Heuristic (Эвристическая функция) - is the art of finding the truth, new discoveries.
We are always looking for new patterns in the progress of state-legal phenomena.
Theoretical – the ability to describe and explain the nature of government-legal relations,
its development, existing legal practice and prediction of the development of law, judicial
science and practice

10.

FUNCTIONS OF THE TSL (CONT.)
• Methodical – creative approach to the development of jurisprudence,
which directly affects the way of legal scientific research.
• Ideological – the formation of legal ideology in a society.
Legal ideology – a combination of ideas and views regarding an
existing legal regime and potential steps to future betterment of legal
systems and functioning of governmental and judicial bodies.
• Prognostic – predicting the development of State and Law based on
theory.
• Educational - raising the standards of legal education and
perception of the law.

11.

• The Theory of State and Law is a type of science which is
basic, methodical, and theoretical.
• It contains common definitions and categories which are
the bases for all other legal sciences.
• It delivers ideology and education as its study contributes
to the culture of legal understanding in the society.

12.

SOCIAL REGULATION – HOW DO WE REGULATE A SOCIETY?
• can be realized through personal regulatory effect/influence such as
orders, directives, instructions, designed for a specific situation
and for specific performers),
• or, through social norms, i.e. general rules of conduct, designed for an
indefinite circle of persons, unlimited number of similar situations and
for any length of time.
• Social Norms – traditions, customs, moral, religious, legal and
corporate norms
• In order to guarantee the functioning and effectiveness of social
regulation we need organized POWER.

13.

POWER. SOCIETY.
• POWER - organizes and manages social relationships, it provides the
internal order and external security.
• SOCIETY is stable and self-sustaining association of people bound
together by common interests and needs to associate on the basis of
universally recognized values and obligatory norms with the aim
of self-reproduction, preservation and development.
• Society Characteristics
The power of exercising the social control
Social regulation

14.

SOCIAL NORMS
• Social Norms - rules of behavior that are considered
acceptable in a group or society.
• Norms change with the environment or situation and may morph
with time.
• Characteristics of Social Norms:
1. Cognitive and willing character (Сознательный и волевой
характер)
2. Regulators of social relations/interactions (регуляторы
общественных отношений)

15.

SOCIAL NORMS (CHARACTERISTICS CONT.)
3. Universal Character (распространяются на всех)
4. May have either a written or a cognitive form (содержатся в
сознании людей либо имеют писаную форму)
5. Enforced by social institutions/groups
e.g. customs are enforced by a tribal community, moral
norms are enforced by society as a whole, religious norms are
enforced by religious communities, the church, legal norms are
enforced by a State.
6. The content is determined by social, cultural and economic
development.

16.

FUNCTIONS OF SOCIAL NORMS
• Regulative (Регулятивная)
• Protective (Охранительная)
• Expectational ( Экспектационная)
• Transmitting (Транслирующая) – transfer/deliver social experience
• Educational (Воспитательная) – form social values/preferences

17.

POWER
LECTURE 2
• It organizes and manages social relationships, it provides internal order and
external security.
• POWER – is the ability and opportunity to exert influence on behavior and
activities of people using various means: authority, law, coercion (including
direct violence) and others
• Subject of Power – one who exercises it (это носитель власти)
• Object of Power – those who the power is exercised over

18.

TYPES OF POWER
Informal Power – holds on the authority of a leader
• E.g. family, school
• Depends on personal qualities, merit, talent
Formal Power - based on status and external influence of legal authorities and
officials.
• Political parties, States, large corporations
• Personal qualities do not matter – official status does
State Power - relies on a special apparatus of coercion and control
• Controls the society within a certain territory
• Has monopoly on legitimate coercion

19.

TYPES OF SOCIETIES (TYPOLOGY – STUDY OF TYPES;
CLASSIFICATIONS BY GENERAL TYPES)
1. Pre-state society: groups of hunter-gatherers, the primitive (primeval) communities,
tribes, unions of tribes, chiefdom, and state-organized society.
2. Legal Science uses archeological periodization, which highlights two main
stages:
• By method of obtaining goods (По способу производства и присвоения)
• Appropriating society (присваивающей)
• Producing society (присваивающей)
3. Next Stages
• By means of obtaining livelihood (По способам получения средств к
существованию)
• Savagery (дикость) – gathering, hunting and fishing
• Barbarism (варварство) – farming, cattle breeding
• Era of civilization – emergence of writing and a State

20.

TYPES OF SOCIETIES (TYPOLOGY – STUDY OF TYPES;
CLASSIFICATIONS BY GENERAL TYPES)
• By method of production
• Gatherers
• Agricultural
• Industrial
• Informational
• Formational Approach – первобытное (primeval), рабовладельческое,
феодальное, буржуазное, социалистическое, (коммунистическое)
общества.

21.

STRUCTURE OF A SOCIETY
• Traditional systems in a structure of a society are
• economic, political,
social,
• spiritual,
cultural,
informational
Within these structures exist social groups.
• We can say : in a structure of a society there are different social
groups, social institutions, social values and social norms. Such
structure provides for stability and sustainability of society as a
system.

22.

PRIMITIVE SOCIETY
• Two main periods:
1. Matriarchy - the maternal clan where the dominant role belonged to a
woman and the kinship (родство) was traced through the maternal line.
It is the primitive system in its purest form.
2. Patriarchy - the paternal clan; replaced the maternal period; the
kinship was traced through the paternal line.
With this period associated process of disintegration/breakdown of
primitive society and the emergence of the state.
• Two basic forms of association:
Clan (род) and Tribe (племя)

23.

CHARACTERISTICS OF A PRIMITIVE SOCIETY
1. Exercised by the society or an elected individual
• No privileges of a “leader”
• Could be replaced at any time
2. No governmental apparatus – everyone participated in the production of livelihood
3. Power was separated or above the society
4. Power was in public opinion, authority
5. Coercion came from the people/society – no military, police etc.
6. Communal property
Main features of power in primitive society – election, turnover, limited terms, absence of
privilege, a social character. (выборность, сменяемость, срочность, отсутствие
привилегий, общественный характер).

24.

EMERGENCE OF A STATE
1. NEW FORM OF ORGANIZATION (organization of society)
• The division of labor
• Emergence of inequality
2. REVOLUTION – State emerges as a result of legal and political revolutions (change
of constitutional order, form of government, change of a State name- 3 Changes) e.g
Russia 1917
3. SECESSIONS (выход, раскол, разделение)
As a result of secession (e.g. USA in 1787 as a result of merger of 13 former British
colonies)
Peaceful cession (распад Чехословакии на Чехию и Словакию)
Military cession (распад Югославии, начиная с 1991 г.)
Independence of colonies

25.

POLITOGENESIS
- the origin, development and evolution of political subsystem(s),
which have a potential to transform into a State or its equivalent
- зарождение и развитие (генезис) политической подсистемы
общества, которая может трансформироваться в государство
или его аналог

26.

ОСНОВНЫЕ ТЕОРИИ ПРОИСХОЖДЕНИЯ
ГОСУДАРСТВА
• Теологическая
• Патриархальная
• Договорная
• Материалистическая (Классовая)
• Насилия
• Психологическая
• Ирригационная

27.

EASTERN POLITOGENESIS (PYRAMID)
Gradual transition from primitive society to a likeness of a State
Emerges before the class segregation
Differentiation occurred in place of certain groups on the hierarchy of the state
organization
• Free movement inside the “Pyramid”
• No private property
• State completely controls economy
Politics is a base for economy ($)
• No slavery
Features - tyranny, extortion, confiscation
Sacredness (from sacred – religious, holy etc.), despotism,
bureaucracy
Autocratic monarchy

28.

WESTERN POLITOGENESIS
Transition to a statehood - result of income inequality
• Emergence of private property
• $ define political majority
• Division of society into classes
• Individuals are singled out of the society
• Emergence of the institute of private law
• Limited power of the ruler/leader
• Limited state intervention into the economy
• The main constituent factor was class stratification. –
stratification of society (расслоение общества)

29.

LECTURE 3
CHARACTERISTICS, ESSENCE OF A STATE
STATE is an entity of direct political dominion.
All other entities within a political system of a society, exercise power indirectly through and
with cooperation of a State.
CHARACTERISTICS of a State (how it differs from other entities within a political system)
1. State within its territorial boundaries is the only official representative of the entire
population uniting them on the basis of ……...
2. State sovereignty is inherent in its supreme power over the entire territory and
independence in international relations.
State is the only bearer of the sovereign power.
3. State has the monopoly on legislation.
State enacts laws and regulations, which have the supreme legal effect, and contain
the Rule of Law.
4. State is a complex mechanism of society regulation

30.

SOCIAL PURPOSE OF A STATE
Для чего предназначено государство? Каким целям оно должно служить? В
чем состоит полезность государства для общества?
The main purpose of the state is to serve the community.
1) establish order and maintain it mostly with the use of coercion
2) ensure peace and stability, act as a social arbitrator between diff groups –
help achieve compromise
3) ensure security – internal and external
4) protect individual rights, establish and maintain normal living conditions
5) act as an integrating force of society
Secure peace and harmony in society
Promote culture, health, education

31.

ESSENCE OF A STATE
• Social purpose of the state is determined by its ESSENCE: the nature of
a state, its goals and objectives.
• ESSENCE OF A STATE – who has the Power? whose interests does this
Power serve? Whose will does this Power reflect?
• It changes rather freely, which implies its strong dependence on other
factors i.e. political majority, social and cultural values etc.

32.

TWO MAIN APPROACHES TO UNDERSTANDING
THE ESSENCE OF STATE
FIRST APPROACH ( different classes – классовый) – K. Marx
The essence of a State is defined by the interests and will an economically dominant
class, which are imposed on the entire society.
The essence of Western States is dictatorship, the apparatus of violence, coercion
and suppression - ??
Socialist State is "the instrument of expression of the interests of the majority" - ??
SECOND APPROACH (общесоциальный) - social
The essence of a State is seen in its ability to unite all of the society to resolve the
contradictions and conflicts, to act as means of achieving social harmony and
compromise.
State serves the society, more democratic method
In legal literature - discussion about the duality of the essence of a State – mix of both
approaches

33.

OVER TIME CHANGES TO A SOCIAL PURPOSE
OF A STATE
• State becomes an authority which helps to overcome/resolve social conflicts;
it coordinates and balances the interests of all groups in a society.
• State is more oriented/focused on democratic institutions – principle of
Separation of Powers, Rule of Law, transparency, justice etc.
• Role of a State changes on the international arena – foreign policy focuses
on mutual concessions (уступки), compromises, and reasonable agreements
with other States.

34.

POWER (TYPOLOGIES)
- political (government) and non-political (religious)
- democratic and non-democratic
- traditional – uses rituals and traditions of a particular society – changes slowly
- legal, i.e. (id est = that is) – based on legal norms, directives etc. – clearly outlined procedures of
power operations
- charismatic – realized due to a special positioning of a leader
-
shadow power - bearer of such power are informal groups, mafia, political sects etc.
- LEGAL AND LEGITIMATE
Legal – power created and limited by law. It functions within the boundaries of law.
Legitimate (moral) – power, which is approved, accepted, and trusted by the population of a
State.
Power may be legal, but not legitimate; legitimate but not legal

35.

STATE POWER (CHARACTERISTICS )
1. Exercised through government and its agencies;
2. Public – applied to everyone and everything on a territory of a
State AND is exercised through government agencies/apparatus,
not through the society (primitive);
3. Sovereign - independent, supreme, sole power;
4. Universal – applies throughout the whole territory of a State
5. Has monopoly on legislature;
6. It consolidates the society, protects common interests and
human rights and freedoms.

36.

STATE POWER (ELEMENTS/COMPONENTS )
Subject – government, its agencies, officials. Power may come from threats and
fear OR from motivation or patriotic, moral and religious purposes.
Object – nations, peoples, classes etc.
Content (содержание) – the purpose of Power, needs of a society and solutions of
emerging problems.
Means of exercising Power – depends on positions of subjects and objects. Means
vary from compromise to coercion (от достижения компромисса до принуждения).
Resources –

37.

STATE POWER (RESOURCES)
the set of conditions and factors that insures the State Power (совокупность
условий и факторов, которые обеспечивают осуществление государственной
власти).
Utilitarian (economical) Resources – material and social benefits in everyday lives
of objects.
Coercive Resources - punitive measures, used when utilitarian resources do not
produce desired results.
Normative Resources – influences the value system (of objects) to control the
obedience.
Social Resources – resolves conflicts within certain groups of objects, praises and
rewards some members, shames the others. (e.g. social ladder)/
Cultural/Informational Resources – the control of information flow to the objects.

38.

STATE TYPOLOGY UNDER THE THEORY OF
STATE
State classification by Types – a set of important features, which characterize
social and economic attributes of a State.
Helps us understand, trace, and FORECAST the development of States and
Governments.
• FORMATIONAL APPROACH (Формационный подход – Lenin-Marx) socio-economical formation of a State. (общественно-экономические
формации).
• 3 Elements - economic base, class structure, and social purpose of a
state.
• AS THE SOCIO-ECONOMICAL CONSTITUTION CHANGES, THE TYPES
OF STATES CHANGE IN THE SAME SEQUENCE

39.

FORMATIONAL APPROACH ( ECONOMIC BASE)
Primitive State
Slavery – the economic base is private property (people).
Feudal State (Feudalism) – the economic base is real property (land).
Bourgeois State (Capitalism) – the economic base is production (industrialization).
• Capitalist State – the economic base is property which promotes production.
Socialist State – private property is abolished, all property is communal; equality
(leveling); no exploitation; exists till the emergence of a Communist State.
Communist State – State as a social institution ceases to exist. Public selfgovernance.
The transition from one type to another transpires in a course of a social revolution,
which is based on a conflict between a level of production development and an
existing character of production.

40.

FORMATIONAL APPROACH (SHORTCOMINGS)
Applies mostly to the Western (European) States. Eastern States have different political
and economic organizations.
• В «восточных» государствах политическая власть является основой
экономического господства; в «западных» государствах экономические
отношения обусловливают политические.
In reality the transition from one type of State to another is not always smooth and in the
same sequence.
Socialist State has proven NOT to be the last one
Can not explain why different societies/peoples/nations developed so differently.
CIVILIZATION(AL) APPROACH (Цивилизационный подход) - takes into consideration
cultural, spiritual, traditional and location specifics and how they affect the economy of a
state. DOES NOT EXIST IN JURISPRUDENCE

41.

STATE TYPOLOGY UNDER THE THEORY OF LAW
States are classified according to their attitude/regard toward religion – statechurch relations
SECULAR, CLERICAL, THEOCRATIC AND ATHEISTIC
SECULAR State – state and church are separate
1) государство и его органы не вправе контролировать отношение своих граждан к религии;
2) state does not interfere in the activities of a church, unless it violates the law;
3) государство не оказывает ни одной из конфессий ни материальной, ни финансовой, ни
какой-либо иной помощи;
4) religious organizations do not perform any legal functions on behalf of a state
5) church does not interfere in political life of a state
Not all legally secular states are completely secular in practice.
In France and Spain for example, many Christian holy days are official holidays for the public administration, and
teachers in Catholic schools are salaried by the State.
Religious and non-religious organizations can apply for equivalent funding from the government and receive subsidies
Coronation Oath in England – swearing in ceremony to maintain Protestant religion

42.

STATE TYPOLOGY (LAW)
CLERICAL State – State has one official religion - privileged position in comparison to others.
1) economic relations – church has the right to own wide variety of property (land, buildings, ceremonial
objects etc.);
2) church receives material help and tax benefits from a State;
3) church participates in political life of a state – has representation in state legislature /government;
4) church is vested with legal powers – right to register marriages, birth, death, and regulate family
relations;
5) church exercises control in the fields of education, and upbringing, censorship of printed materials, TV
etc.
LUTHERAN CHURCH
1) в Швеции, где высшим административным органом церкви является правительство, церковным налогом облагаются все
граждане, а сама церковь получает средства из государственного бюджета и является, кроме этого, крупным лесо- и
землевладельцем;
2) в Норвегии также взимается церковный налог, а главой церкви является король;
3) в Финляндии расходы церкви покрываются за счет государственного бюджета и церковного налога;
4) в Дании главой церкви является король, и взимаются специальные налоги, а священники являются государственными
служащими;
5) в Исландии главой церкви является президент, и государство отвечает за экономическое состояние церкви.

43.

STATE TYPOLOGY (LAW)
THEOCRATIC State
1) State power belongs to the Church, which has a status of a State religion;
2) religious norms are the main source of legislature and regulate all spheres of private and
public life;
3) Head of a State is simultaneously the highest religious leader (e.g. Vatican).
ATHEIST State – religion is persecuted by law
1) Church is deprived of an economic base – the right to own property;
2) religious organizations are either banned or strictly regulated by a State;
3) religious associations have no legal personality and cannot perform legal acts;
4) clergy and practitioners are repressed;
5) may not practice religion in public places, no religious literature;
6) freedom of religion = freedom of propaganda of atheism

44.

STATE FUNCTIONS
LECTURE 4
Means of attaining/reaching goals and objectives, finding solutions to
State problems.
Functions of a State – main, socially significant activities at a given stage of a
State’s development.
• mechanism of a State influence, which defines a course and content of social
processes and relationships in a society.
• primarily depend on the essence, content of a STATE
• Depend on the achieving goals/aims/purposes of a State at a certain time.
• Government agencies and its officials carry out and are responsible for the
functions of a State

45.

STATE FUNCTIONS (CHARACTERISTICS )
It is a function when it is:
well-developed position in key/core areas of a given society;
well-established connection between the essence/nature of a State and its social
purpose, which is realized through State functions;
at each historical stage, the activities of a State are directed at achieving its
respective goals;
much broader than functions of State agencies – affect ALL agencies/aspects state
operations
- State functions must be distinguished from functions of State agencies;
State functions are realized through the use of certain methods of control (e.g.
utilitarian, coercive, and normative);
• States mostly use legislative, executive and enforcement (law) agencies.
Factors that determine State functions - NATURE of a State and its SOCIAL PURPOSE. If
they change, the functions will most likely change.

46.

STATE FUNCTIONS (CHARACTERISTICS/TYPOLOGY )
Legal form and nature (legislated) – State functions are written in forms of
normative acts, which define the jurisdiction and responsibilities of government
agencies.
State functions are enforced through government authorities.
State functions are aimed at implementation of public interests, common good,
welfare (благосостояние), and protection of rights and freedoms of population.
State functions follow a set of legally established procedure.
State functions pertain to a specific stage of historical development of a society.
Factors that affect State functions – religion, multiple nationalities, scientific progress,
ecology, AND international environment.

47.

EVOLUTION OF STATE FUNCTIONS
Scientific progress – pros (the advancement of technology etc.) cons
(nuclear weapons, genetic testing)
• Environmental factor – every state has to take on responsibility to
“sustainable development”
• Globalization of world economy – multinational corporation – emergence
and domination
• Information Networks – databases, global information space

48.

CONTENT OF STATE FUNCTIONS
General social content (Общесоциальное содержание ) characterizes the active
part of a State – functions that are traced through the history.
e.g. national security, recovery after natural disasters, social support programs,
protection of human rights etc.
Class content (Классовое содержание ) - the most volatile (изменчивыми), is tied
to a social purpose and form of a particular State.
Reflects the interests of a socially dominant class – functions that suppress the
interests of all other segments of population (through coercive agencies – army,
police etc.)
National content (Национальное содержание) – directed at preservation and
development of national culture, language, identity, traditions.
Some functions have mixed contents e.g. general social content may be inherent
(свойствен ) in national content - when a State protects religion, which holds the society
together (e.g. theocratic States)

49.

STATE FUNCTIONS (CHARACTERISTICS/TYPOLOGY )
By the Principle of Separation of Power
Legislative, executory and judicial.
By the duration of a function
Permanent and temporary (specific stage of State development)
By the degree of its significance
Primary – have priorities (economic, social, ecological)
Auxiliary – have service or accompanying nature (e.g. financial control, taxation)
By the scope of activities – MT tendency to blend-in and become one – common functions
Internal – national level
External - international level

50.

5 MOST COMMON STATE FUNCTIONS
• Political – external and internal global
- national and social security, protection of State sovereignty.
Economic – regulates and protects economy of a State (private
property, international trade etc).
• Social – protection of rights and freedoms, maintaining adequate level
of living, ensure proper work conditions, work-pay, welfare.
• Ideological - education, science, culture, religion.
• Ecological/ environmental – protection of the environment.

51.

INTERNAL STATE FUNCTIONS
Political Function – protection of democracy (обеспечение народовластия.) in the form of:
implementing the will of People in legislature and other decisions;
maintaining State Sovereignty, control/governing of State territories;
ensuring democracy – power to the people;
official representation of the people – government is responsible and reports to people;
protection of constitutional order (строй) and the form of government.
Economics Function – in a free market economy:
establishing an economics development policy;
managing State-owned enterprises (nuclear industry, space programs, public transportation
etc.);
supporting entrepreneurship and free labor, protection of private property, regulation of
monopolies, consumer right protection, etc.;
protecting economic sovereignty of a State, promoting international trade.

52.

KEY RATE
KEY RATE is the minimum interest rate at which the Central Bank provides loans to
commercial banks for a period of 1 week; and, at the same time, it is the maximum rate at
which the Central Bank is prepared to accept deposit funds from the banks.
It plays a key role in setting interest rates on Bank loans and the impact on inflation and
the cost of funding of banks.
RAISING THE KEY RATE occurs when there is economic uncertainty resulting from instability
of the external environment and increased volatility in financial markets.
volatility is the measure of risk of a financial instrument over a given period of time.
the need to limit significantly increased devaluation and inflation risks.

53.

INTERNAL STATE FUNCTIONS ( CONT.)
Social Function – public welfare (обеспечение общественного благополучия,) – equal
opportunities for all.
social protection for the needy (e.g. unemployed, handicapped, elderly, orphans, and
refugees);
minimum level of living (subsistence minimum);
protection from negative effects of inflation;
protection of freedom of labor and its conditions;
provision, protection, and maintenance of education, culture, health, and housing – done in a
form of financial support.
Ecological Function – State must ensure environmental safety of its citizens.
Taxation and Financial Control – these functions depend on the nature and purpose of a State.
The transition to a Democracy gives priority to the protection of human rights and freedoms and
the enforcement of law and order.
– State functions change accordingly.

54.

EXTERNAL STATE FUNCTIONS ( BASED ON STATE
SOVEREIGNTY )
Principles of global/world economic integration:
State sovereignty over its natural resources – sustainable development.
Freedom of choice on integration forms – how we participate in the world economy.
Equality and mutually beneficial co-operation.
Elimination of discrimination.
State Defense
Sufficient forces for self-defense
And international obligations

55.

EXTERNAL STATE FUNCTIONS ( BASED ON STATE
SOVEREIGNTY )
Support of World Peace
Maintain peaceful State, elimination of nuclear weapons, demilitarization of international
territories, fight with terrorism and organized crime etc.;
Respect territorial integrity of States.
International Co-operation
States have the duty to co-operate with one another, irrespective of the differences in
their political, economic and social systems,
“States should co-operate in the economic, social and cultural fields as well as in the field of
science and technology and for the promotion of international cultural and educational
progress. States should co-operate in the promotion of economic growth throughout the world,
especially that of the developing countries.”

56.

STATE FUNCTIONS (GLOBAL)
Activities of a State, which combine the characteristics of internal and
external functions.
- ensure and guarantee the rights and freedoms of men;
- monitor the achievements of scientific-technical progress
affecting health of mankind and environment;
- curbing the proliferation of weapons of mass destruction;
- the fight against terrorism.

57.

STATE FORMS
LECTURE 5
• Form of government - форма правления
• Territorial structure - государственное устройство
• Political regime/mode - государственно-правовой (политический)режим.
FORM OF STATE GOVERNANCE – форма правления
3 characteristics of a State form of governance – what it is about:
1. organization of State Supreme Bodies (высших органов государства),
their structure, manner of formation, population participation in the formation
of a State;
2. the relationship among State Bodies and the population;
3. competencies of State Supreme Bodies.

58.

2 MAIN FORMS OF STATE GOV’T
Monarchy – absolute, dual, parliamentary
Republic – parliamentary, presidential, mixed.
Absolute Monarchy (Brunei, Oman, SA)
Sole ruler
State sovereignty belongs to the
Monarch
Succession of power – by blood/by dynasty
Lifetime position – no legal grounds for the removal of a monarch
All power is in the hands of a monarch
No liability for mishandling the power, mistakes – responsible only to God and the
history.

59.

MONARCHY (CONT.)
• Dual Monarchy – legislative and representative organs (parliament).
Monarch does not legislate, but has the power of absolute veto. Political
decisions are made together – monarch and parliament. (Bhutan, Jordan,
Kuwait, Morocco).
• Parliamentary Monarchy
supported by traditions;
Monarch’s power is limited in all spheres;
based on the notion of parliamentarism and separation of powers;
executory power is realized by a Government and controlled by a
Parliament;
multiple political parties;
Parliament passes the laws, monarch signs them (purely symbolic);
e.g. UK, Belgium, Spain, Norway, Sweden, Netherlands etc.

60.

FORMS OF GOV’T - REPUBLICS
REPUBLIC – common characteristics
• Democracy
• The power is vested in elected State bodies
• The source of power is people, who elect national and local state bodies
• Limited periods of power for Parliament and the President
• Head of the State and its officials bear political and legal responsibility for
their actions

61.

PARLIAMENTARY REPUBLIC
Government is formed by the Parliament (the majority/coalition). Government
answers/reports/is responsible to the Parliament, not the President.
Characteristics
• The Supreme power belongs to the Parliament
• President is elected by the Parliament, not the people
• Government is formed by the Parliament. Head of the Government is the
leader of majority/coalition, not the President
• Parliament may dissolve the government (vote of no confidence/distrust)
• President has no power of veto, call a referendum or declare a state of
emergency
• E.g. Finland, Germany, Italy, Hungary, India etc.

62.

PRESIDENTIAL AND MIXED REPUBLICS
Presidential Republic
The President is the Head of the State and the Head of the government
The President is elected by people
The government is formed by the President
The government answers/reports/is responsible to the President
E.g. USA, Argentina, Mexico, Brazil etc.
Mixed Republic
President has strong power
Head of the gov’t is a PM
Parliament participates is forming the gov’t (approves candidates)
Gov’t answers to the President and the Parliament
E.g. France, RF, Poland etc.
Russian Federation

63.

TERRITORIAL STRUCTURE – UNITARY STATE
Unitary center of State power. Single, common authorities (one Parliament, one
government, one Supreme Court)
One legal system, unified judicial system
Single citizenship
Single-channel (federal) taxation system
Administrativ/-territorial units have no political power, but may differ in economic, social
and cultural spheres.
Admin-territorial units have the same/equal legal status.
Centralized – no local self-government, local officials are appointed by the central gov’t
Decentralized – local authorities are elected and have significant independence.
MT – regionalism – admin-territorial units have local gov’t and own legislature.
(Italy and Spain). No state sovereignty.

64.

TERRITORIAL STRUCTURE – FEDERATION STATES
• Legal and political independence of subjects – may have own constitution
• Two-tier system of public authorities – Federal and local (subject)
• Two legal systems
• One house in a Parliament represents the interests of fed subjects
• Double citizenship
• Multiple-channel system of taxation
• No complete sovereignty (no right of secession, Int. law), supremacy of
federal law
• Separate subject-matter jurisdictions (разграничение предметов ведения)
of federation and its subjects (4 types)

65.

JURISDICTION – FEDERAL AND SUBJECT
Exclusive competencies/jurisdiction for federation is established; the rest belongs to
the subjects – higher independence of subjects
Exclusive competence/jurisdiction of subjects is established; the rest belongs to the
federation – higher level of centralization
Competencies/jurisdictions are established for federation and subjects; the rest
belongs to either – may go for either centralization or independence
Exclusive competencies/jurisdictions are established for federation, subjects and
competing interests (joint jurisdiction) – very problematic/tedious legally – RF
established exclusive jurisdiction for federal and competing interests, the rest
belongs to subjects.
National v. Territorial (more stable) Federations
Confederation – interstate association – association of sovereign states.

66.

CONFEDERATIONS
Temporary union of sovereign States, usually unstable; either breaks up or becomes a
federation
Characteristics:
1) сохранение за объединившимися государствами суверенитета практически в полном
объеме. Они продолжают иметь собственные государственные органы, гражданство,
конституцию, законодательство, самостоятельно осуществляют государственную власть
на своей территории;
2) она создается на договорной основе, поэтому носит добровольный характер;
3) для достижения целей, послуживших основанием для объединения, формируются
необходимые органы управления, которые могут принимать управленческие решения и
нормативные акты по ограниченному кругу вопросов;
4) отсутствие единого гражданства и единой территории;
5) суверенитет принадлежит каждому из объединившихся государств;

67.

CONFEDERATION (CONT.)
6) рекомендательный характер актов органов конфедерации, для вступления их в силу
требуется одобрение высшими органами субъектов объединения;
7) нет общей конфедеративной собственности, налогов; финансовые средства
образуются по соглашению субъектов;
8) осуществление обороны конфедерации союзной армией, которая состоит из воинских
формирований субъектов конфедерации;
9) право сецессии, т. е. свободного выхода из конфедерации в одностороннем порядке
без согласия других членов.

68.

STATE POLITICAL REGIME (ГОСУДАРСТВЕННОПРАВОВОЙ РЕЖИМ )
A set of techniques, methods, and processes through which a State realizes its power
Democratic, Totalitarian, Authoritarian
Democracy
People are the only source of State power;
Personal freedom, freedom of enterprise, private property
Guarantee of rights and freedoms
Separation of Powers, decentralization of State Power
Public election and removal of public officials
Legal mechanisms to insure citizen participation and monitoring of gov’tal agencies
Minority opinions matter
Political pluralism (parties, ideologies, beliefs)
Legal political opposition

69.

STATE POLITICAL REGIME ( AUTHORITARIAN)
State is governed by a small group of privileged individuals (the Elite). Headed
by a leader.
• Citizens have no control/say in the governing of a State
• Elite’s power is not limited by law
• Multiple political parties are allowed but not opposition
• Economy and private life are free from political control
• State interests have priority over personal interests
• Coercion and violence are applied against open political opposition

70.

STATE POLITICAL REGIMES ( TOTALITARIAN)
Complete/comprehensive control of a State over all aspects of citizens’ lives. Common use of
violence, threat, and coercion
One, unified ideology for the entire State
Intolerance to any dissent
State censorship; monopoly on information
Suppression of human individuality, mass terror on its own population
Government and the party are united in one
Rigid centralization of a State authority headed by a leader
No local self-government
No private property, no privacy.
3 types of totalitarian regime:
Left totalitarism – communism
Right totalitarism – fascism (aggressive racism)
Religious totalitarism – Islam

71.

LEGAL FORMS OF A STATE
Monocratic State
State power is concentrated in the hands of one entity (monarch, military council)
Centralization of gov’t
Authoritarian methods of government
No separation of power (all in one hands)
Dominant-Segment State. (Доминантно-сегментарная форма)
Between monocratic and polycratic States
Some separation of power, but no checks and balances
Found in dual and semi-parliamentary monarchies.
Polycratic State.
Democracy
Full separation of powers
Equality of branches, checks and balances
Guaranteed personal rights and freedoms
Coercion applies only for the protection of society.

72.

THE STATE MECHANISM
LEC.6
• State functions are realized through state mechanism
• Governmental organs (government apparatus) and
governmental organizations
• Governmental organizations - 2 types:
• Protective function (military, police, prisons, incarceration
institutions)
• Economic, social and Cultural functions (educational,
scientific research institutions, media, transport etc.)
• We include gov’t org in state mechanism b/c State is not only a
political org, but also has cultural, social and econ functions.

73.

FEATURES OF STATE MECHANISM:
• It is an integrated (целостная ) hierarchical system of State bodies and
organizations. Integrity is ensured by common principles of organization and
operation, uniform goals and objectives.
• Primary structural parts of State mechanism are governmental organs and
organizations;
• The mechanism provides means to realize public authority and state
functions;
• To ensure compliance with the law, the mechanism has direct instruments
of coercion – courts, prisons, armed forces, etc.;
• The structure of State mechanism is flexible and depends on the task at
hand.

74.

FEATURES OF GOVERNMENTAL ORGANS
• Independency - part of a State. Legally established via
elections, appointments etc.
• Endowed with authority stipulated (обусловленный) in
normative legal acts.
• Has the right to legislate (within the scope of its competencies)
• Has the right to use coercion (within the scope of its
competencies)
• Acts on behalf of a State
• Employs civil servants (special status)
• Funded by a State and local budgets.

75.

TYPOLOGY OF GOVERNMENT ORGANS
• By separation of powers
• By method of establishment (primary/secondary)
• By scope of power (central/federal/subject/local)
• By scope of competencies (general/special;
government/ministries)
• By method of decision (collegiate/peer, sole)
• Emergency organs
• In federations – federal and local.

76.

COMMON PRINCIPLES OF GOV’TAL ORGANS
Legal procedure for establishment and operations
• Principle of legality – THEY ARE LEGAL
• Optimal structure and high efficiency of operations
• Professionalism and high competency levels of civil servants
• Protection of civil servants from unwarranted interference
• Different scope of competencies in different organs
• Public exposure, accessibility to public scrutiny (тщательное
исследование, контроль)
• Availability of public service to all population
• Separation of powers
• Protection and priority of human rights
PRINCIPLES MAY VARY DEPENDING ON STATE’S DEVELOPMENT STAGE

77.

SEPARATION OF POWERS
Legal basis for the operation of a State
Main developers Charles Montesquieu (1689-1755), John Locke (1632–1704) et al.
Started to develop at the fall of feudal states and emerging capitalism
Gov’t branches may not gather or dissolve themselves sua sponte
Legislative branch may not issue judgments
Executive branch determines legislative sessions
Checks and balances
RF – the principle of separation of power is in art. 10 of the Constitution of RF.
The best example of the principle of separation of powers and checks and balances is THE
CONSTITUTION OF THE USA.

78.

CHECKS AND BALANCES
The three branches of gov’t are formed via different methods
• Legislative – elected by the people
• Executive – President and vice-President are elected through indirect election,
members of the cabinet are chosen by the President and approved by the
Senate.
• Judicial – USSC – chosen by the President, approved by the Senate
All branches have different length of terms (time wise). H of Reps – 2 years,
senators – 6 years, the Pres – 4 years, judges – for life. No full and simultaneous
change of power.
Each branch has enough power to prevent other branches from usurping the
power
• Veto, impeachment, etc.

79.

LEGISLATIVE BRANCH
Elected collegial organ – the Parliament
Organization, competencies and composition are regulated by the Constitution
and other legal acts of constitutional legislature.
Usually 2 houses;
• lower house is formed through direct elections (RF – 5 years, USA – 2 years),
• upper house – elected, inherited, appointed – in federations represents the
subjects
Functions
Legislative
Representative
Constituent
Controlling

80.

LEGISLATIVE BRANCH (CONT.)
• Functions (cont.)
• Exclusive power to create and approve State budget
• Ratification of international treaties
• Some judicial and quasi-judicial (partly/partially) functions
– impeachment of a president
• Legislative function may be exercised by monarchs (Qatar,
Oman, Saudi Arabia) and through a referendum.

81.

EXECUTIVE BRANCH
• The execution and implementation of the laws and management of the
society.
• Vertical hierarchy
• Headed either by a prime-minister or a president
• 3 levels of territorial organization:
• National/federal executive power
• The executive authority of a subject of Fed
• The executive bodies of local self-government
• Competencies : general (president, governors) and special (ministries,
departments (ведомства)

82.

EXECUTIVE BRANCH - CHARACTERISTICS
• Relative independence established in the Constitution and/or constitutional
normative acts
• Universality – power functions continuously and on the whole territory of a
State
• Subjectivity to the law
• Possible control by the judicial branch
• Acts in the name of a State
• Right of coercion within the limits of the law
• Right to issue compulsory normative acts (may be vetoed by the President
or deemed unconstitutional by the Judicial branch – both only if act
contradicts the Con or Con law)

83.

JUDICIAL BRANCH - CHARACTERISTICS
Autonomy and independence. Subject only to the constitution and
constitutional acts
• Exclusive functions: legal interpretation, preventive, legal restoration of
rights, and judicial review.
• Strict adherence to the law of procedure
• Acts in the name of a State
• Right of legal initiative (usually the highest courts in a State; RF – 3 high
courts)
• Monitors the constitutionality on laws and acts
• Ensures the uniform application of the law
• Connection with other branches – uses laws created by legislative; enforces
through the executive.

84.

3 THEORIES OF BUREAUCRACY
• 1. Rational Bureaucracy (Max Weber)
• Bureaucrats are professional civil servants – necessary competent part
of gov’t apparatus. They do not create material assets but perform
socially useful functions
• Bureaucratic organization – institution for solution and management of
society according to the letter of law
Strict adherence to legal processes
• Strictly hierarchal organization
• Everything is recorded in form of written documents and stored
• All civil servants (officials) must have knowledge of law
• Objective approach to the solutions. No subjective influence.
• Believed to represent the most perfect model of management

85.

• Marxist Theory
• Denial of worth and social value of bureaucracy as a system of
management
• Against professional managers (civil servants), anyone can manage the
State. «Каждая кухарка может управлять государством»
• Eastern (imperial, Asian, Chinese)
• The main goal of bureaucrats is to serve the Emperor, not the people.
• No professional specialization; people are fungible.
• Greater supply of civil servants than demand. All are financially
dependent on the Emperor.
• Very strict control
• Never became public service

86.

BUREAUCRACY VS. BUREAUCRATISM
• Characteristics of Bureaucratism:
• Separation of bureaucrats from the society – bureaucratic power
becomes independent and irresponsible
• Officials transform into an independent power, which operates
without much of control –democratic principles suffer – officials
are the only competent people
• Officials are people – cannot be totally objective
• Leads to procedural formalism
• Very large apparatus - Hard to control

87.

LIMITATIONS OF CIVIL SERVICE RF
Cannot be engaged in other paid activity, except pedagogical, scientific
and creative;
• Cannot be a Deputy of the legislative body and local self-government;
• A public servant may not engage in entrepreneurial activities;
• Cannot receive fees for publications and performances as the state civil
servant;
• Prohibited to receive from physical persons and legal entities gifts, services,
payment entertainment, recreation, transportation costs and other rewards
official duties;
• Cannot participate in strikes;
• Prohibited to travel on business trips abroad at the expense of private and/or
legal entities;
• Duty to keep state and official secrets including retirement

88.

POLITICAL SYSTEMS
LEC.7
Multi-party system without a dominant party. (Belgium, Netherlands,
Holland)
No party has absolute majority in the parliament
Need for coalitions, unions etc.
• Multi-party system with a dominant party. (Mexico until recently, France with
C. de Gaulle)
• One party has the absolute majority in the parliament – the government is
one-party
• 3. Dual-party system – difficult to organize another party
• 4. Single-party system – authoritarian states
• 5. No-party system – Muslim countries (Qatar, Saudi Arabia, Kuwait)