Advances in Natural, Human-Made, and Coupled Human-Natural Systems Research: Volume 3 3030781046, 9783030781040

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Lecture Notes in Networks and Systems 252

Svetlana G. Maximova Roman I. Raikin Alexander A. Chibilev Marina M. Silantyeva   Editors

Advances in Natural, Human-Made, and Coupled Human-Natural Systems Research Volume 3

Lecture Notes in Networks and Systems Volume 252

Series Editor Janusz Kacprzyk, Systems Research Institute, Polish Academy of Sciences, Warsaw, Poland Advisory Editors Fernando Gomide, Department of Computer Engineering and Automation—DCA, School of Electrical and Computer Engineering—FEEC, University of Campinas—UNICAMP, São Paulo, Brazil Okyay Kaynak, Department of Electrical and Electronic Engineering, Bogazici University, Istanbul, Turkey Derong Liu, Department of Electrical and Computer Engineering, University of Illinois at Chicago, Chicago, USA Institute of Automation, Chinese Academy of Sciences, Beijing, China Witold Pedrycz, Department of Electrical and Computer Engineering, University of Alberta, Alberta, Canada Systems Research Institute, Polish Academy of Sciences, Warsaw, Poland Marios M. Polycarpou, Department of Electrical and Computer Engineering, KIOS Research Center for Intelligent Systems and Networks, University of Cyprus, Nicosia, Cyprus Imre J. Rudas, Óbuda University, Budapest, Hungary Jun Wang, Department of Computer Science, City University of Hong Kong, Kowloon, Hong Kong

The series “Lecture Notes in Networks and Systems” publishes the latest developments in Networks and Systems—quickly, informally and with high quality. Original research reported in proceedings and post-proceedings represents the core of LNNS. Volumes published in LNNS embrace all aspects and subfields of, as well as new challenges in, Networks and Systems. The series contains proceedings and edited volumes in systems and networks, spanning the areas of Cyber-Physical Systems, Autonomous Systems, Sensor Networks, Control Systems, Energy Systems, Automotive Systems, Biological Systems, Vehicular Networking and Connected Vehicles, Aerospace Systems, Automation, Manufacturing, Smart Grids, Nonlinear Systems, Power Systems, Robotics, Social Systems, Economic Systems and other. Of particular value to both the contributors and the readership are the short publication timeframe and the world-wide distribution and exposure which enable both a wide and rapid dissemination of research output. The series covers the theory, applications, and perspectives on the state of the art and future developments relevant to systems and networks, decision making, control, complex processes and related areas, as embedded in the fields of interdisciplinary and applied sciences, engineering, computer science, physics, economics, social, and life sciences, as well as the paradigms and methodologies behind them. Indexed by SCOPUS, INSPEC, WTI Frankfurt eG, zbMATH, SCImago. All books published in the series are submitted for consideration in Web of Science. For proposals from Asia please contact Aninda Bose ([email protected]).

Svetlana G. Maximova · Roman I. Raikin · Alexander A. Chibilev · Marina M. Silantyeva Editors

Advances in Natural, Human-Made, and Coupled Human-Natural Systems Research Volume 3

Editors Svetlana G. Maximova Altai State University Barnaul, Russia Alexander A. Chibilev Steppe Institute of the Ural Branch Russian Academy of Sciences Orenburg, Russia

Roman I. Raikin Department of Radiophysics and Theoretical Physics Altai State University Barnaul, Russia Marina M. Silantyeva Faculty of Biology Altai State University Barnaul, Russia

ISSN 2367-3370 ISSN 2367-3389 (electronic) Lecture Notes in Networks and Systems ISBN 978-3-030-78104-0 ISBN 978-3-030-78105-7 (eBook) https://doi.org/10.1007/978-3-030-78105-7 © The Editor(s) (if applicable) and The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 This work is subject to copyright. All rights are solely and exclusively licensed by the Publisher, whether the whole or part of the material is concerned, specifically the rights of translation, reprinting, reuse of illustrations, recitation, broadcasting, reproduction on microfilms or in any other physical way, and transmission or information storage and retrieval, electronic adaptation, computer software, or by similar or dissimilar methodology now known or hereafter developed. The use of general descriptive names, registered names, trademarks, service marks, etc. in this publication does not imply, even in the absence of a specific statement, that such names are exempt from the relevant protective laws and regulations and therefore free for general use. The publisher, the authors, and the editors are safe to assume that the advice and information in this book are believed to be true and accurate at the date of publication. Neither the publisher nor the authors or the editors give a warranty, expressed or implied, with respect to the material contained herein or for any errors or omissions that may have been made. The publisher remains neutral with regard to jurisdictional claims in published maps and institutional affiliations. This Springer imprint is published by the registered company Springer Nature Switzerland AG The registered company address is: Gewerbestrasse 11, 6330 Cham, Switzerland

Program Committee

Roman I. Raikin, Candidate of Physical and Mathematical Sciences, Associate Professor, Vice Rector for International Activities, Associate Professor, Altai State University, Russia, Chairperson Evgeny V. Zhuravlev, Candidate of Physical and Mathematical Sciences, Assoc. Prof., Director, Institute of Mathematics and Information Technologies, Altai State University, Barnaul, Russia Sergey V. Makarov, Doctor of Physical and Mathematical Sciences, Professor, Director, Institute of Digital Technologies, Electronics and Physics, Altai State University, Barnaul, Russia Svetlana G. Maksimova, Head of the Department of Psychology of Communications and Psychotechnology, Chief Researcher of the Department for Organization and Support of Research, Development and Technological Works, Doctor of Sociology, Professor, Altai State University, Barnaul, Russia Anton A. Vasilyev, Director of the Law Institute, Head of the Department of Theory and History of State and Law, Doctor of Law, Associate Professor, Altai State University, Barnaul, Russia Marina M. Silantyeva, Dean, Faculty of Biology, Head of the Department of Botany, Doctor of Biological Sciences, Professor, Altai State University, Barnaul, Russia Ishenbek S. Kadyrov, Doctor of Technical Sciences, Professor, Department of Electrification and Automation of Agriculture, Kyrgyz National Agrarian University named after K. I. Scriabin, Bishkek, Kyrgyz Republic Evgeniy P. Krupochkin, Candidate of Geological Sciences, Associate Professor, Head of the Department of Economic Geography and Cartography, Altai State University, Barnaul, Russia Oleg V. Ostanin, Candidate of Geological Sciences, Associate Professor, Head of the Department of Physical Geography and Geoinformation Systems, Altai State University, Barnaul, Russia Alexander G. Redkin, Candidate of Geological Sciences, Associate Professor, Head of the Department of Recreational Geography, Tourism and Regional Marketing, Altai State University, Barnaul, Russia

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Program Committee

Gennady Ya. Baryshnikov, Doctor of Geographical Sciences, Professor, Professor of the Department of Nature Management and Geoecology, Altai State University, Barnaul, Russia Alontseva, Daria L., Doctor of Physical and Mathematical Sciences, Professor, Department of Instrumentation and Automation of Technological Processes, East Kazakhstan State Technical University named after D. Serikbayev, UstKamenogorsk, Kazakhstan Ella P. Shurina, Doctor of Technical Sciences, Professor, Department of Computational Technologies, Novosibirsk State Technical University, Novosibirsk, Russia Aleksandr N. Dunets, Head of the Department of Economic Geography and Cartography, Doctor of Geographical Sciences, Associate Professor, Altai State University, Barnaul, Russia.

Organizing Committee Mezhov, Stepan I., Doctor of Economics, Professor, Director, International Institute of Economics, Management and Information Systems, Head of the Department of Finance and Credit, Altai State University, Barnaul, Russia, Chairperson Alexander V. Matsyura, Doctor of Biological Sciences, Professor, Head of the Department of Zoology and Physiology, Altai State University, Barnaul, Russia Tatyana V. Antyufeeva, Candidate of Geological Sciences, Associate Professor, Head of the Department of Nature Management and Geoecology, Altai State University, Barnaul, Russia Sergey D. Mamenov, Lecturer at the Department of Physical Geography and Geoinformation Systems, Head of the R&D Program of the Geographical Institute of the Altai State University, Barnaul, Russia Lyubov A. Khvorova, Candidate of Sciences, Associate Professor, Head, Department of Theoretical Cybernetics and Applied Mathematics, Altai State University, Barnaul, Russia Alexander N. Sazhenkov, Candidate of Sciences, Associate Professor, Head, Department of Mathematical Analysis, Altai State University, Barnaul, Russia Viktor N. Sedalishchev, Doctor of Technical Sciences, Professor, Head, Department of Computer Engineering and Electronics, Altai State University, Barnaul, Russia Andrey N. Romanov, Doctor of Technical Sciences, Professor, Head, Basic Department of Information Technologies and Physical Methods in Environmental Research, Altai State University, Barnaul, Russia

Contents

Advances in Natural Systems Research Bubbling Pressure in Clay Soils as a Physical Quantity and Approximation Parameter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Timofey G. Kalnin, Evgeny V. Shein, and Angelina V. Suzdaleva

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Geodetic Observations of Building Settlings on Weak Water-Saturated Clay Soils . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Yuri A. Novikov and Vasiliy V. Novohatin

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Paleogeography of the Black and Azov Seas and Their Coasts in Pleistocene and Holocene (Within the Krasnodar Region of Russia) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Dmitry A. Gura, Tatiana A. Volkova, and Dmitry A. Lipilin Territorial Features of Manifesting Hazardous Hydrological Phenomena in the Altai Republic . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Olga V. Zhuravleva, Andrey V. Karanin, and Maria G. Sukhova Assessment of Surface Water Quality in the Markha River Basin on the Territory of the Nyurba Ulus (District) of the Republic of Sakha (Yakutia) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Marta I. Ksenofontova, Petr P. Danilov, and Igor N. Makarov Research on High-Viscosity Oil of the Zyuzeyevskoye Field to Select the Controlling Method for Asphaltene, Resin, and Paraffin Substances Deposition in Oil Production . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Dinar Z. Valiev, Ruslan A. Kemalov, and Alim F. Kemalov Chemical Synthesis of Magnetic Materials of the Nd2 Fe14 B SiO2 Alloy of Core–Shell Nanocomposites . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Odiljon E. Abdurakhmonov, Daria A. Vertaeva, and Evgeny V. Yurtov

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Advances in Coupled Human-Natural Systems Research Methodology for Developing a Geoinformation Project for Rational Nature Management of the Land and Property Complex of Russian Northern Territories . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Marina A. Podkovyrova, Tatyana V. Kondratova, and Olga N. Volobueva The Pyrological Situation in the Steppe Regions of North Eurasia and Adjacent Territories: FIRMS Data Analysis for the Multi-year Period . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Vladimir M. Pavleichik and Juriy A. Padalko The Ecological State of Vegetation in Urban Areas of Various Administrative Districts of Ulan-Ude: A Comprehensive Assessment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Alena A. Ievskaya, Erzena G. Imeskenova, and Tatyana M. Korsunova

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A Fractal Character of the Multidimensional Ecological Niche: Formation in Real Habitats in South Trans Urals . . . . . . . . . . . . . . . . . . . . . 107 Iskander Yu. Usmanov, Arkady V. Scherbakov, Vyacheslav B. Ivanov, and Angelina V. Ivanova Pre-migratory Congregations of Grey Cranes as a Resource for Sustainable Development of Territories: Conflicts and Solutions . . . . 121 Nadezhda Yu. Kiseleva and Sergei V. Bakka Indicators of Monitoring Objects of Specially Protected Natural Territories: The Case of the Tyumen Region, Russia . . . . . . . . . . . . . . . . . . 135 Valentina M. Okmyanskaya Organization of Recreational Areas as a Way of Effective Management of Natural Objects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 147 Olga V. Bogdanova Method of Energy and Resource Saving Based on the Implementation of Life Cycle Contracts in the Implementation of National Capital Construction Projects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 157 Aleksandr I. Eremkin and Inna K. Ponomareva Formation of a Tourist and Recreational Component in the Natural and Ecological Framework of the Land and Property Complex of the Nefteyugansky District . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 165 Marina A. Podkovyrova, Daria D. Payvina, and Olga N. Volobueva Scientific Foundations and Methods of Nature-Similar Technologies in Agriculture of the Steppe Zone in the Orenburg Pre-Ural Region . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 173 Yury A. Gulyanov, Sergey V. Levykin, and Ilia G. Yakovlev

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Freezing Fruits in the Environment of Carbon Dioxide . . . . . . . . . . . . . . . . 183 Igor A. Korotkiy, Evgeniy N. Neverov, Pavel S. Korotkih, and Alexey N. Grinyk Megaprojects of the Twentieth Century and Recent Spatial Developments in Agricultural Regions in Russia’s European and Ural Parts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 191 Alexander A. Chibilyov, Sergei V. Levykin, and Alexander A. Chibilyov Jr. The Coal Generation Technology Analysis with Combustion Products Utilization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 201 Igor A. Korotkiy, Yevgeniy N. Neverov, Elena A. Zhidkova, and Pavel S. Korotkih Influence of Eccentricities and Axis Deviations on Stress–Strain State Indicators of Reinforced Concrete Columns in the Frameworks of Multi-storey Buildings . . . . . . . . . . . . . . . . . . . . . . . . . 207 Anatoliy V. Lastovka, Tamara V. Danchenko, and Mariy L. Berseneva Sustainable Social Systems and Social Cohesion The Concept of Resort Regions (Territories) Sustainable Development: Factors and Indicators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 221 Yuriy I. Dreizis, Eugenia V. Vidishcheva, and Andrey S. Kopyrin Philosophical and Sociological Aspects of Sustainable Regional Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 237 Ivan Y. Makarchuk, Vladislav Y. Panchenko, and Oleg I. Savin Urban–Rural Migration as Part of Sustainable Territorial Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 243 Oleg P. Chekmarev, Pavel M. Loukitchev, and Pavel A. Konev Sustainable Economic Development: The Problem of Regional Inequality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 251 Marina V. Moroshkina Human Trafficking: Economic Threats for Global World and Regions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 261 Ludmila D. Erokhina and Aleksey K. Erokhin Migrant Right Protection in the Context of National Security in the Eurasian Space: Problems of Legal Regulation in Russia . . . . . . . . 269 Victor M. Boer, Sergei U. Andreitco, and Rasid B. Bulatov Formation of a Unified Social Space in Russia and China: Intercultural Communication Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 279 Maria M. Plotnikova, Svetlana I. Bairamova, and Ping Ma

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Migration Processes and Their Management Through Cultural Tools: A Metacultural Approach . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 291 Sergey E. Yachin, Oksana Yu. Kaplun, and Shao Yupei Value Attitudes Towards Older People as Social Sustainability . . . . . . . . . 299 Inna V. Zaychikova, Irina I. Patsakula, and Elena I. Khachikyan Life-Meaning Orientations of Pre-retirement Aged Residents in Southern Siberia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 307 Syrga M. Mombey-ool, Chochagay N. Mongush, and Anna S. Frokol Psychological Safety of Young People in the Face of Risk and Uncertainty of the Social Environment . . . . . . . . . . . . . . . . . . . . . . . . . . 319 Nadezhda B. Parfenova, Elena A. Mititsina, and Anna A. Bizaeva Preserving Human Potential in Russia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 331 Anna B. Sukhoveeva Social Security in the Moscow Region Within the Eurasian Integration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 339 Galina I. Osadchaya, Irina V. Leskova, and Tatyana N. Yudina Comparative Analysis of Social Ideas on Patriotism of Russians and Residents of Western European Countries . . . . . . . . . . . . . . . . . . . . . . . 355 Mikhail V. Tarasov Sustainability in the Tatarstan Service Sphere . . . . . . . . . . . . . . . . . . . . . . . . 365 Varvara Yu. Kulkova, Anna A. Derbeneva, and Elena A. Dolonina The Idea of Restoration of the Elected Bodies of Popular Representation in the History of Russian Political Thought in the 1850s—Early 1860s . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 375 Vyacheslav A. Dolzhikov Taking Action for Greater Security and Effective Partnerships for Sustainable Development Safety and Security in the Arctic: Strategic Resource Planning in Emergencies Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 387 Alexandr V. Matveev and Tamara B. Chistyakova International Cooperation in the Field of Science, Innovation, and Education Between Russia and the European Union . . . . . . . . . . . . . . 397 Tatiana A. Baranova, Aleksandra M. Kobicheva, and Elena Yu. Tokareva Genetic Information Security in the Eurasian Space: Comparative and Legal Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 411 Ekaterina V. Evstifeeva and Natalia V. Dorodonova

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Approaches to Investing in Innovations and Ensuring Ecological Safety in the Regions of Russia: Cluster Analysis . . . . . . . . . . . . . . . . . . . . . 419 Ekaterina V. Tsenina and Vera M. Voronina The Artistic Culture of the Greater Altai in People’s Diplomacy . . . . . . . 437 Sophia M. Belokurova, Elena A. Mushnikova, and Mikhail Yu. Shishin Exploring Ways to Promote the Russian Language: Focus on Western Mongolia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 445 Ivan A. Koltsov, Yelena A. Kirichenko, and Maidarjav Altansuvd Security Architecture in the Southeast Asian Strategic Region . . . . . . . . . 453 Vladimir N. Lukin, Tamara V. Musienko, and Alexandr V. Matveev Ensuring Environmental Safety in the Eurasian Countries: On the Way to Greater Integration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 463 Elena N. Abanina, Dmitriy A. Agapov, and Yulya A. Plotnikova EU–ASEAN Foreign Policy and Solutions to Enhance EU–Vietnam Trade and Investment Cooperation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 473 Nguyen Viet Ha Cooperative Maritime Security Between EU and ASEAN in the South China Sea: Lessons Learned for Vietnam . . . . . . . . . . . . . . . . 485 Luong Thi Kim Dung Cooperation of the United Nations and Private Military and Security Companies in Peace-Keeping . . . . . . . . . . . . . . . . . . . . . . . . . . . 497 Yuliya V. Puzyreva and Anastasia A. Kozlova Standards in the Eurasian Economic Union: The Case of Medical Devices Registration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 505 Khedi A. Rasaeva Digital Technologies for Gun Control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 513 Artem A. Shmidt and Ekaterina A. Merkel A Strategic Planning System for Science and Technology Development in the Emergence of a New Global Economic Mode: Experiences from China and Lessons for the Countries Transitioning to Market Economy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 519 Gennady P. Belyakov, Naira A. Bagdasaryan, and Louise R. Batukova

Advances in Natural Systems Research

Bubbling Pressure in Clay Soils as a Physical Quantity and Approximation Parameter Timofey G. Kalnin , Evgeny V. Shein , and Angelina V. Suzdaleva

Abstract Water retention in dispersed soils and grounds is determined by the solid phase properties, which are integrally regulated by the water retention curve (WRC). One of the parameters defining this characteristic is the air inlet pressure (bubbling pressure), which can be revealed by approximating the WRC and independent physical experiments. The bubbling pressure was detected in heavy loamy soils and calculated from the WRC. The value calculated from WRC is 2–4 times higher than the value obtained in the experiments. Since the value of the bubbling pressure is widely used to characterize the transition of soils and grounds from anaerobic to aerobic conditions, it is recommended to use experimental data for this kind of assessment of the state of dispersed natural objects. Keywords Soil hydrology · Water retention · Bubbling pressure · Aerobic and anaerobic conditions in Albic Glossic Retisols · Haplic Chernozems · Phaeozem albic · Water retention curve

1 Introduction Abbreviations Used • • • • •

WRC—water retention curve θ—volumetric water content pF—water pressure Pb—bubbling pressure OMC—organic matter content.

T. G. Kalnin (B) · E. V. Shein · A. V. Suzdaleva Lomonosov Moscow State University, Moscow, Russia e-mail: [email protected] E. V. Shein Dokuchaev Soil Science Institute, Moscow, Russia © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 S. G. Maximova et al. (eds.), Advances in Natural, Human-Made, and Coupled Human-Natural Systems Research, Lecture Notes in Networks and Systems 252, https://doi.org/10.1007/978-3-030-78105-7_1

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Sustainable development of modern agricultural production requires long-term maintenance of high soil fertility while maintaining a favorable environmental situation. It becomes possible with the help of predictive mathematical models, including the fertility of the central biological object in the biosphere—the soil cover. The main challenges of soil biological science are (1) studying and predicting the hydrological regimes of soils; (2) calculating optimal moisture reserves; and (3) optimizing technological solutions for the favorable environmentally safe management of soil and ground hydrothermal regimes. The characteristics mentioned above can be calculated using data on climate change, drought risks, and the genesis of bog soils. Researchers continuously face the problem of using soil parameters in modeling, calculations, and technological operations with the development of digital technologies in agriculture. The problem is that the parameters can be mainly obtained in two ways. The first method involves direct experiments as an independent physical quantity. The second method includes the approximation procedures of the soil processes by the equation in which this value is the approximation parameter of the main physical dependences [5, 7]. For example, to predict soil contamination risk, the value of the coefficient of soil sorption is required. It can be revealed by direct experiments or approximating the Langmuir equation. However, the sorption coefficients obtained by approximation differ significantly. Predictive calculations using approximate values of the sorption coefficient lead to deliberately erroneous results. Therefore, the problem arises of detecting differences in these two methods of obtaining quantitative values of the desired magnitude and the preference for using the corresponding value in digital calculations of various natural processes. In modern soil hydrology, the basic hydrophysical characteristic (WRC), as a relationship between volumetric moisture (θ) and soil water pressure (pF), is of fundamental importance. This characteristic determines the water retention and availability of soil moisture for plants since this characteristic is the basis for calculating the differential moisture capacity which is used in all hydrological mathematical models [1, 3, 10]. There is an opinion that the shape of the WRC changes in the range of soil water pressure pF from 1 to 2.5: it falls sharply, almost parallel to the abscissa axis (pF axis), on the ordinate axis (volumetric humidity axis, θ). This point is usually called the air inlet pressure point or bubbling pressure; this value varies from − 10 (− 15) to − 180 (− 200) cm of the water column [2]. Indeed, at this moment, the moisture pressure decreases significantly. This process leads to the fact that capillary forces are no longer able to retain moisture in large capillaries, and air enters them. Conditions transform from anaerobic to aerobic. Soil processes that determine soil fertility and stability change. At this point, the three-phase capillary system is already fully represented in the soil: the solid phase—soil capillary moisture—soil air. This sharp kink of the WRC proved to be a serious “stumbling block” when describing the WRC using a mathematical expression, that is, when approximating the WRC by a smooth function. Recently, almost all hydrological and drainage calculations are using the Van Genuchten equation [9].

Bubbling Pressure in Clay Soils as a Physical Quantity …

θi − θr Se = = θs − θr

((

1 1+(α Pκ−c )n

)m

θs

5

for Pκ−c < 0 for Pκ−c ≥ 0

,

where α is a parameter equal to the reciprocal of the air inlet pressure or bubbling pressure (Pb); r Se = θθsi −θ —relative humidity; −θr θ s , θ r , θ i —saturation soil water content, residual and corresponding to capillarysorption pressure of moisture (Pκ−c ); n—a positive number that has a value more than one and is an empirical parameter. m = 1 − 1/n. The numerical value of α and the air inlet pressure (Pb) calculation can be revealed by empirically obtaining the WRC and approximating it with the equation presented above [6]. However, in soil hydro physics, the question remains unclear: is the value of α the physical soil value, or is it just a parameter of a successful and well-used WRC approximation? This study compares the pressure value Pb obtained based on the calculation of α from the WRC and determined by special methods in independent experiments. Accordingly, the research tasks are: (1) experimentally determine the WRC of several soil objects of different texture and structure; (2) to identify α and the bubbling pressure value Pb by approximating the Van Genuzchten equation; (3) to detect the bubbling pressure Pb in independent experiments; (4) to compare the bubbling pressure Pb obtained by different methods and find out to what extent the α pressure Pb bubbling obtained by the value α corresponds to the experimentally determined values of the air inlet pressure (bubbling pressure Pb).

2 Materials and Methods We took soil samples from soil sections along soil genetic horizons at appropriate depths. The samples were then undisturbed and had a cylindrical shape with a diameter of 5 cm and a height of 7 cm. We stored the samples in a refrigerator at 5–7 °C at natural humidity before the experiments. As a result, we investigated several clay soils. Albic Glossic Retisols (Lomic, Cutanic, WRB 2014) Moscow Region, the village of Eldigino. 56° 08' 023'' north latitude, 37° 048' 116'' east longitude. A detailed description of soil formation conditions and some physical properties is given by Ivanov et al. [4]. The samples undisturbed by the addition of horizons: (1) A (0– 30 cm), which was divided within the trench into A arable (0–10 cm), fawn-light gray A arable (10–20 cm), previous plowing A arable (20–30 cm); (2) EL (30–40 cm) with fragments of BEL horizons and BEL morphons; (3) BT1 (40–60 cm) which lies

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in a solid horizon from a depth of 40–50 cm, (4) BT2 (60–85 cm). Besides, we examined the samples taken in the same layers as comparative replicates. Typical Black Earth Haplic Chernozems (Loamic, Aric, Pachic WRB, 2014). Kursk region, Petrinka village, black fallow on a seven-field crop rotation). Latitude 51° 037' 48'' , longitude 36° 15' 15'' . A humus profile with A arable (0–35) and (35–55), B (55–90), B1 (90–110) and BC (110–124) horizons boils from 42 cm, and carbonate mycelium is noted from a depth of 55 cm. The density in arable horizons varies from 1.18 to 1.37 g per cm3 and decreases in the profile reaching 1.17–1.21 g per cm3 at a depth of 35–30 cm. Phaeozem albic, Vladimirskoe Opolie (Vladimir region, Suzdal region). The plots were located near the city of Suzdal, in the fields of the Federal State Budgetary Institution, Verkhnevolzhsky Federal Agrarian Scientific Center. Coordinates: 56° 25' 21'' north latitude, 40° 26' 48'' east longitude, altitude at 119 m above sea level. A characteristic feature of this soil is the presence of a second humus horizon: a dark horizon with a high content of OM at a depth of 50–65 cm. The question of the genesis of this horizon is debatable, connected with the formation of the soil cover of the Opolie landslide history of Shein and Troshina [8]. The main results are presented in Table 1. For undisturbed soil samples, the main hydrophysical characteristic was determined by the capillary meter method [6, 7]. The parameter of Van Genuchten equation α was defined by approximating the WRC by this equation. Considering the basic theoretical proposal of van Genuchten and other scientists about the inversely proportional ratio of α and bubbling pressure, we calculated the value of the bubbling pressure as 1/α. In special independent experiments, we studied the air bubbling pressure. To achieve our goals, we created transparent cylindrical clips with a diameter of 1–2 cm larger than the diameter of the samples. The bottom of the cage was covered with thick filter paper. The clip was hermetically connected to the burette through the rubber hose. The soil sample was placed in a cartridge with filter paper. The sample was sealed with water-saturated clay filling the gap between the sample and the cylinder walls to avoid the “wall effect of moisture movement” of air penetration between the cage wall and the soil sample. Through the burette, the sample was saturated with stagnant water until a clear shine of water was seen on the surface of the sample. The sample was in a saturated state until about a day was left in the experiment to determine the air inlet pressure remained to reach equilibrium. In the experiment, the burette was lowered gradually at intervals of 5–10 min, creating a vacuum in the sample moisture equal to the difference between the upper edge of the sample and the meniscus in the burette in the form of a suspended column of water. As the burette was lowered, the moisture pressure was monitored at the lower edge of the filter paper sample. With the apparent appearance of air bubbles, we recorded the value of the suspended column of water. The value amounted to the value of the air inlet pressure of the sample Pbexp .

Bubbling Pressure in Clay Soils as a Physical Quantity …

7

Table 1 Some physical and chemical properties of the genetic horizons of the studied soils Horizon Depth of the sample (cm)

Pb , cm (appr), Pb (exp.) 1/α

Density of organic matter

OMC %

Grand composition

A'pl , (0–10)

161.3

32

1.18

1.37

Clay loam

A''pl (20–30)

108.7

30

1.34

1.08

BEL (40–50)

35.5

12

1.51

0.45

Silty clay loam

BT2 (70–80)

50.0

18

1.56

0.37

Silty clay loam

Apl (10–20)

149.00

43

1.18

3.27

Silty clay

Apl (20–30)

138.86

52

1.27

2.98

Silty clay

109.1

23.5

1.08

2.65

Clay loam

Albic glossic retisols

Haplic chernozems

Phaeozem albic Apl (5–15) Apl (20–30)

122.1

23.3

1.24

2.63

Clay loam

AB (40–50)

86.5

54.4

1.35

1.14

Clay loam

Ah2nd hum (50–60)

52.8

28.4

1.21

3.12

Silty clay Loam

B1 (70–80)

68.8

49.2

1.37

1.23

Silty clay loam

Structural state Albic glossic retisols A'pl , (0–10)

Aggregated, a large number of macropores, aggregates of different sizes

A''pl (20–30)

Well aggregated, mainly 3–5 mm aggregates

BEL (40–50)

Large prismatic pads with humus “mirrors” standout

BT2 (70–80)

Coarse prismatic, alternating with an unformed columnar structure that breaks along cracks

Haplic chernozems Apl (10–20)

Aggregated homogeneous granular structure, aggregates 0.2–5 mm prevail

Apl (20–30)

Homogeneous, also, larger aggregates are found

Phaeozem albic Apl (5–15)

Arable aggregate structure, lumpy-granular

Apax (20–30)

A compacted layer that breaks down into large peds together with individual units

AB (40–50)

Weakly aggregated, small cracks

Ah2nd hum (50–60)

Prismatic units of 5–7 mm are found, disintegrate into prismatic dense units, silica powder

B1 (70–80)

Prismatic units of 5–7 mm are found, disintegrate into prismatic dense units, silica powder

Source Compiled by the authors

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3 Results and Discussion Table 1 presents the bubbling pressures at different horizons obtained in special experiments, Pbexp , cm of the water column and when approximating WRC by the Van Genuchten equation, Pbappr , cm as a value equal to 1/α. The values of Pbappr significantly exceed the experimentally obtained Pbexp . Moreover, the most significant discrepancies are observed in horizons with a well-defined aggregate structure, in which interparticle cracks occur; the soil pads are faceted, clearly distinct (e.g., the Arable Albic Glossic Retisols Haplic Chernozems horizon). To a lesser extent, the differences in the air inlet pressures are represented in a more homogeneous structure of smaller horizons B. Therefore, the air inlet pressure during capillarimetrical determination of the WRC is recorded in well-structured horizons. In special experiments, this structure manifests itself in air movement through small cracks in the pores along the interaggregate space. Figure 1 shows the relationship between the Pbappr (calculated) from the WRC approximation and the bubbling pressure of air entering into loamy soils obtained in special experiments to determine the air inlet pressure (Pbexp ). To create this dependence, we used the data of control and repeated samples taken at the same depths and in the soils presented in Table 1. 350

300

250

Pb_appr

200

150

100

50

0 10

15

20

25

30

35

40

45

50

55

60

Pb_exp

Fig. 1 The relationship between the calculated Pb from the WRC approximations (Pbappr ) and those obtained in special experiments to determine the air bubbling pressure (Pbexp ) as the air inlet pressure in loamy soils. Source Compiled by the authors

Bubbling Pressure in Clay Soils as a Physical Quantity …

9

Figure 1 shows that these experimental production methods and approximation calculation of the pressure of air inlet into the soil vary significantly and systematically. The data obtained in the experiments related to a more detailed structure of the pore space of soils, including meso- and macropores, which appear at lower air inlet pressures. These values determined by the WRC approximation are much higher. Therefore, we can state that using the WRC approximation minimizes the role of macro- and mesopores and may complicate the assessment and prediction of soil transition from anaerobic to an aerobic state.

4 Conclusion The air bubbling pressure, a hydrological parameter of the soil, is a reference property that determines the transition of the hydrological regime of soils from anaerobic to aerobic conditions. These results can be obtained in special experiments and in the WRC approximation, which is reliably identified with a high degree of reliability in loamy soils. However, the air bubbling pressure experimentally established on a special installation is significantly lower than the pressure value calculated from the WRC approximation, which systematically (2–4 times) exceeds the experimental air bubbling pressure. Macro- and mesopores play a crucial role in the formation of the aeration regime of soils, especially in prismatically aggregated pedals of heavy loamy, often fractured subsurface horizons (AB, B, etc.). We do not recommend using the value of the air inlet pressure obtained by the WRC approximation for aerobic or anaerobic conditions due to insufficient physical substantiation of the hypothesis about the role of this value in structural soils with pronounced macroand mesoporosity, as well as a large difference between an experimental and certain amount of air bubbling pressure. Acknowledgements The financial support was provided by the Russian Scientific Fund (project No. 19-29-05112) Digital physics and soil hydrology: the basics of spatial-dynamic analysis, prediction of risks of critical situations, and optimal control.

References 1. Bacher MG, Schmidt O, Bondi G, Creamer R, Fenton O (2019) Comparison of soil physical quality indicators using direct and indirect data inputs derived from a combination of in-situ and ex-situ methods. Soil Sci Soc Am J 83(1):5–17. https://doi.org/10.2136/sssaj2018.06.0218 2. Bolotov AG, Shein EV, Makarychev SV (2019) Water retention capacity of soils in the Altai Region. Eurasian Soil Sci 52(2):187–192. https://doi.org/10.1134/S1064229319020030 3. Bünemann EK, Bongiorno G, Bai Z, Creamer RE, De Deyn G, de Goede, R, Pulleman M et al (2018) Soil quality—a critical review. Soil Biol Biochem 120:105–125. Retrieved from https:// doi.org/10.1016/j.soilbio.2018.01.030 4. Ivanov AL, Shein EV, Skvortsova EB (2019) Tomography of soil pores: from morphological characteristics to structural-functional assessment of pore space. Eurasian Soil Sci 52(1):50–57

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5. Poluektov RA, Terleev VV (2005) Modeling the moisture retention capacity of soil with agricultural and hydrological characteristics. Russ Meteorol Hydrol 12:73–77 6. Shein EV, Karpachevskii LO (2007) Theory and methods of soil physics. Grif and K, Moscow, Russia 7. Shein EV, Ryzhova IM (2016) Mathematical modeling in soil science. IP Marakusheva, Izhevsk, Russia 8. Shein EV, Troshina OA (2012) Physical properties of soils and the simulation of the hydrothermal regime for the complex soil cover of the Vladimir Opolye region. Eurasian Soil Sci 45(10):968–976 9. Van Genuchten MT (1980) A closed-form equation for predicting the hydraulic conductivity of unsaturated soils. Soil Sci Soc Am J 44(5):892–898 10. Zangiabadi M, Gorji M, Shorafa M, Khorasanik SK, Saadat S (2017) Effects of soil pore size distribution on plant available water and least limiting water range as soil physical quality indicators. Pedosphere 30(2):253–262. Retrieved from https://doi.org/10.1016/S10020160(17)60473-9

Geodetic Observations of Building Settlings on Weak Water-Saturated Clay Soils Yuri A. Novikov

and Vasiliy V. Novohatin

Abstract Water-saturated clay soils of the Tyumen region causes several design and production difficulties. One of the important tasks of engineering and construction practice is geodetic observations of engineering structures on weak water-saturated clay soils to determine their precipitation and displacements. The paper contains the results of geodetic observations of settlings of an apartment building on weak soils. The method of observations, instruments, and controlled parameters is described. We present schedules of development of deposits, considering their non-uniformity. The paper presents the forecast of the development of the average precipitation of the building in time according to the theory of filtration consolidation. Keywords Geodetic · Geotechnical · Monitoring · Settling of buildings and structures · Weak water-saturated clay soils · Uneven precipitation

1 Introduction Complex engineering and geological conditions characterize the territory of Western Siberia, where weak water-saturated clay and peeled soils prevail in the near day surface [10]. The construction of industrial and civil structures on such soils is hampered by the significant deposits, which lead to deformation of buildings and constructures. Analysis of deformations of structures located on the considered soils showed that they are characterized by three main features specific for the whole group of weak soils, which one should consider while designing the structures [1, 3]: • High compressibility of soils, leading to considerable precipitation of structures; • Low strength (low shear resistance (considering natural pore pressure by 20–30% reduces the value of strength characteristics of weak clay soils); • Long duration of precipitation, sometimes reaching several decades. Y. A. Novikov (B) · V. V. Novohatin Industrial University of Tyumen, Tyumen, Russia e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 S. G. Maximova et al. (eds.), Advances in Natural, Human-Made, and Coupled Human-Natural Systems Research, Lecture Notes in Networks and Systems 252, https://doi.org/10.1007/978-3-030-78105-7_2

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Y. A. Novikov and V. V. Novohatin

2 Materials and Methods Within the contract for the implementation of geodetic works, the authors carried out observations of a two-section residential house located on the territory of Tyumen. We draw up a geodetic observation program of vertical settlings based on the obtained data on the engineering and geological features of the site, structural features of the building. According to the program, we carried out the following works as part of monthly observations: • Visual inspection and evaluation of installed equipment; • Assessment of the state of the control geodetic network of the object; • Taking samples and performing periodic geodetic measurements on installed equipment; • Analysis of observations; • Geotechnical forecast of stabilization of foundation precipitation in time; • Preparation of a monitoring report. We examined the marks of observed strain-sedimentary grades by the geodetic method and geometrical leveling according to the program of II class of measurements with the “Instruction on leveling of I, II, III and IV classes” of GKINP (GNTA) -03-010-03. We used high-precision digital leveler Trimble DINI 03 complete with bar code LD 12 (Fig. 1b, c). Geometric leveling in all cycles was within the identical measurement scheme. We fixed the places of leveling installation, and short beams performed leveling at equal distances between shoulders (from the middle), places of leveling installation were fixed. In each measurement cycle, the same tools and rails were used. The racks were numbered and installed on the same stamps or benchmarks. Sedimentary marks were in the form of trimming of reinforcement arranged in the base of the building under construction, with a fixed point for the installation of the rack heel (Fig. 1a). We used the Professor Popov’s method for systems of closed levelling moves, and polygons [4]. Misalignment in moves and polygons did not exceed the tolerances determined:

Fig. 1 Equipment for levelling works: a general view of strain-and-garden mark; b leveler DiNi 03; c invar rail LD 12. Source Compiled by the authors

Geodetic Observations of Building Settlings on Weak Water-Saturated …

13

√ fhdmissible = ±0.5 n. where n Number of stations in levelling. The mean quadratic leveling error was determined: η2 =

1 Σ d2 . 4n r

where n Number of stations in the course; d Difference of forward and reverse excesses during (millimeters); r Course length. Stability calculation of control points of the geodetic control network was performed by: /

)2 Σ ( i ΔHik ; n−1 ΔHik = h ik − h k0 . σ =

where ΔHik Excess of i point relative to the reference point in the k cycle. We performed the analytical method of calculation precipitation of the conditional foundation by the method of layer-by-layer summation of deformations of the lineardeformable base with conditional limitation of the compressible thickness, according to SP 24.13330: ) n n ( Σ Σ σzp,i − σzy,i × h i σzy,i × h i +β × . S=β× E E e,i i i=1 i=1 The standard load at the level of the base of the conditional foundation was 302.03 kPa. Vertical stress from the dead soil weight at the base level of the conditional foundation was determined from the following expression: σzg,0 = 4.08 × 10 + 8.6 × 10.2 + 2.82 × 10.12 = 157.06 kPa Calculation of foundation settlement is given in Table 1. The draught due to punching of piles at the level of the base of the conditional foundation was: ΔS P = 0.0179 m.

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Y. A. Novikov and V. V. Novohatin

Table 1 Settlement computation Z (M)

hi

Gzp

Gzγ

Gzg

0

0

302.03 93.59

4.6

4.6 280.59 86.95 141.016 70.508

93.59

0.5 Gzg Ei 46.795

2z/b a

Gzp (cp)

Gzγ (cp) S (cm)

20,000 20,000 0.61 0.929 291.31 90.26756

3.699143

10.6 6

210.82 65.33 184.936 92.468

6000 1.41 0.698 245.70 76.13547 13.56528

16.6 6

154.94 48.01 228.856 114,428

6000 2.21 0.513 182.88 56.66875 10.09683

20.6 4

131.08 40.62 258.136 129.068

6000 2.74 0.434 143.01 44.31487

5.263805 32.63

Source Compiled by the authors

Sediment due to pile barrel compression: ΔSc =

302.03 × (9.4 − 0.9) P × (l − a) = = 0.0009 m. E×A 3.06 × 107 × 0.09

Total draught of conditional foundation: S = Se f + ΔS p + ΔSc = 32.63 + 1.79 + 0.09 = 34.51 cm.

3 Results Field measurements were imported into the CREDO software package (DAT credo, levelir credo, deformation credo). Based on the results of observations for deformation and sedimentary processes in the program complex credo, schedules of precipitation development in time, graphs of the gradient of vertical displacement (Figs. 2 and 3). Based on the results of analytical calculations of foundation precipitation in time, it was built a graph with the comparison of calculated and actual data (Fig. 4). Non-stabilized sediment of compressible base thickness S t was determined by: St = S × U. where S Final (complete) stabilized sediment of the soil layer, U Degree of consolidation (compaction) of the soil column. The degree of consolidation according to the theory of filtration consolidation was determined by:

Geodetic Observations of Building Settlings on Weak Water-Saturated …

15

Fig. 2 Schedule of uneven vertical movement of sedimentary marks on the last cycle of measurements (mm). Source Compiled by the authors

Fig. 3 Isolines of vertical movements on the last observation cycle. Source Compiled by the authors

( 8 1 1 × e−25N U = 1 − 2 × e−N + × e−9N + π 9 25 ) 1 1 × e−81N + · · · . + × e−49N + 49 81 The value N was calculated by: N=

π 2 × cv × t . 4 × h2

The time value t i at different values N and values of the degree of consolidation was determined by: t=

4 × h2 × N . π 2 × cv

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Y. A. Novikov and V. V. Novohatin

Fig. 4 Development of building foundation precipitation in time s = f (t). Source Compiled by the authors

where cv is the consolidation factor defined by: cv =

kf . m v × γw

where k f Soil filtration coefficient, centimeters/year; γw 10 kN/m3 specific weight of water.

4 Discussion Analysis of the results of the calculation in the program complex Credo and comparison, data of analytical calculation of foundation precipitation in time allowed to draw the following conclusions: • For the period of writing, the actual average settlement of the building is 41% less than the calculated settlement in time according to the theory of filtration consolidation; • Maximum value of the unevenness of the building sediment during the observation period was 28.7 mm, which is due to different engineering and geological conditions of the base of the building and is an essential criterion for an indirect assessment of the building’s heels;

Geodetic Observations of Building Settlings on Weak Water-Saturated …

17

• Analytical forecast of the development of the building roll in time should be evaluated by calculating the building deposits according to the best and worst engineering and geological conditions varying in the base of the building.

5 Conclusion Geodetic observations as part of geotechnical monitoring are an indispensable element in the construction or reconstruction of buildings and structures, given the soil conditions of the Tyumen region. Timely observations allow to assess with great confidence the results of possible risks and avoid accidents. The results obtained during the geotechnical monitoring of the studied object are the basis for the systematization of the data array and forming a common base of observations of building precipitation in the Tyumen region. This clarifies the theoretical background for predicting the development of precipitation over time. According to the scientific community, determining the settlement of buildings on weak clay soils without considering the time factor is devoid of physical meaning. Acknowledgements The materials of the article are part of the future doctoral dissertation of one of the authors. We are grateful for the help of national consultiplies and scientific and production association “Tyumen Main Architectural and Construction Department”.

References 1. Abeliav M (1983) Construction of industrial and civil constructions on weak water-saturated soils. Stroyizdat House, Moscow, USSR 2. Bernd H, Staroverov SV, Myasnikov YV (2015) On the possibility of using digital survey for geodetic monitoring of engineering structures. News higher educational. Geodesy Aerial Photogr 1:86–87 3. Boldyrev G, Zhivaev A (2013) Geotechnical monitoring. Eng Res 10–11:22–27 4. Bolshakov V, Markuse Y, Golubev V (1989) Adjustment of geodetic constructions. Publishing House “Nedra”, Moscow, USSR 5. Buildings and Structures (2014). Rules for inspection and monitoring of structural state. GOST 31937-2011 from 1 Jan 2014. Standartinform, Moscow, Russia 6. Buildings and Structures (2017) The rules of geotechnical monitoring under construction. SP 305.1325800.2017 from 18 Apr 2018. Standartinform, Moscow, Russia 7. Engineering Geological site Investigations for Construction (1997) SP 11-105-97 from 1 Mar 1998. PNIIIS of the State Committee for Construction of Russia, Moscow, USSR 8. Gersevanov M (1975) Guidelines for monitoring deformations of the base and foundations of buildings and structures. Stroyizdat House, Moscow, USSR 9. Gulyaev Y (2008) Prediction of deformations of structures based on the results of geodetic observations. SSGA, Novosibirsk, Russia 10. Gvozdetsky H (1973) Physiographic division into districts of the Tyumen region. Publishing House of Moscow University, Moscow, USSR 11. Khoroshilova Z, Khoroshilov V (2012) Engineering structures deformation monitoring as a component of geodetic monitoring. In: Interexpo GEO-Siberia, vol 1, pp 77–80

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12. Malkov A, Kobeleva N (2016) The development of a programme for monitoring precipitation structures based on system approach system study of deformations of structures. In: Proceeding from Interexpo GEO-Siberia-2016: the XII international. Science congress: “geodesy, geoinformatics, cartography, marksheyderiya”. SGUGiT, Novosibirsk, Russia 13. Novikov YA, Shchukina VN (2017) Preparatory stage for instrumental monitoring and structural inspection of buildings and structures. Adv Eng Res 133:773–778 14. Timofeev VY, Masalsky OK, Ardyukov DG, Timofeev AV (2015) Local deformation and rheological parameters by measurements in Italaya station gallery (Baikal region). Geodyn Tectonophys 6:245–253 15. Vyatkina E, Shushakova O (2007) Construction of industrial and civil constructions on weak water-saturated soils. Science and Youth. Publishing House of ALTGTU, Barnaul, Russia, pp 48–56

Paleogeography of the Black and Azov Seas and Their Coasts in Pleistocene and Holocene (Within the Krasnodar Region of Russia) Dmitry A. Gura , Tatiana A. Volkova , and Dmitry A. Lipilin

Abstract The processes of water exchange in the Black Sea with the Mediterranean and Caspian Seas during the Quaternary were multidirectional. Anthropogenic transformations resulted in negative environmental changes in the level of water bodies and water quality. The evolution of inland water bodies, to which these seas belong, largely depends on links with the Mediterranean Sea. The evolution of the East Azov Sea landscapes shows a tendency of insignificant changes in climatic characteristics and preservation of steppe vegetation throughout the Holocene. In the study, we indicate the unique features of the hydrological regime, climate, flora, and fauna of the Black and Azov Seas. Besides, we conducted a comparative analysis of the evolution of the physical and geographical situation of the basins of the Black and Azov Seas. As a result, we established the general patterns and features of the development of basins in terms of multiscale and multidirectional changes in the Pleistocene and Holocene. In addition, we restored the picture of the formation of coastal geosystems of the Azov–Black Sea Basin within the Krasnodar Krai. The coastal geosystems are formed depending on the interaction of marine and land geosystems. The development of the Holocene coastal landscapes and their components is characterized by a gradual increase in continentality and an enhanced anthropogenic impact. Keywords Coastal geosystems · Coastal landscapes · Azov–Black Sea Basin · Pleistocene · Holocene

D. A. Gura (B) Kuban State Technological University, Krasnodar, Russia e-mail: [email protected] T. A. Volkova Southern Department of the Institute of Oceanology named after P. P. Shirshov Russian Academy of Sciences, Gelendzhik, Russia e-mail: [email protected] D. A. Lipilin Kuban State University, Krasnodar, Russia Kuban State Agrarian University, Krasnodar, Russia © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 S. G. Maximova et al. (eds.), Advances in Natural, Human-Made, and Coupled Human-Natural Systems Research, Lecture Notes in Networks and Systems 252, https://doi.org/10.1007/978-3-030-78105-7_3

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1 Introduction The development and success of paleogeography are associated with (1) extensive geological surveys, (2) exploration of minerals, (3) the accumulation of large amounts of factual material, and (4) the identification of patterns of spatial distribution and genetic occurrences of various types of sedimentary, volcanogenic, and metamorphic rocks. Paleogeography is based on an integrated approach and uses various research methods and factual materials obtained from a wide range of geological, geographical, climatic, paleontological, and other studies. Modern ideas about the development of the hydrosphere, atmosphere, climate, biota, and other components of nature have changed due to the application of numerous research methods, including (1) lithological-facies, (2) geotectonic, (3) geochronological (stratigraphic, radiological, and paleomagnetic), (4) paleontological (taphonomic, paleoecological, paleobiogeographic, and studies of individual groups of organisms), (5) paleopaedological, and many others. In recent years, the economic importance of the coastal regions of the Black and Azov Seas has increased many times. This trend is reflected in a significant increase in investment in the reconstruction of cities and the development of new territories and water areas to construct recreation facilities and the promotion of marine tourism. Protected natural territories, forests, agricultural lands, settlements, ports, health resorts, and other objects are located on the abrasive and accumulative shores of the Black and Azov Seas. These provisions determine the research relevance and its practical significance. The main objective of the study is to describe the paleogeographic events that occurred in the basins of the Black and Azov Seas in the Pleistocene and Holocene. Besides, we aim to restore the dynamics and development of coastal geosystems that are the basis for establishing various modern territorial socio-economic systems [14]. The study of the South Seas is crucial due to the search and exploration of new oil and gas deposits and solid minerals on the continental shelf. This research direction deals with the fundamental problems of stratigraphy and paleogeography of the Azov–Black Sea Basin and the correlation of sediments with coeval formations of the Mediterranean and Caspian Seas. All these interacting and interdependent system elements and structures cannot be considered in isolation from each other. As part of the fundamental elements, the basis of the geosystem is its geological features, which determine (1) the patterns of distribution of moisture, energy, and matter; (2) the diversity and contrast of landscape complexes; (3) the landscape functionality; and (4)the features of anthropogenic systems. However, understanding the current processes and patterns existing in coastal geosystems is impossible without realizing the evolution of these spatial formations throughout the previous eras [14].

Paleogeography of the Black and Azov Seas and Their Coasts …

21

2 Materials and Methods Paleogeographic analysis should be based on the basic (general) methods of geography and geology. During the study, we used (1) lithological–paleogeographic, (2) palynological, and (3) comparative-descriptive methods. The comparative-descriptive method is the oldest general method used in the scholarship. It is a general scientific method of comparison and analogy and obeys its rules, although it has its specifics. The essence of this method is to compare and identify the similarities and differences in the properties, states, and processes of geosystems, as well as their components existing simultaneously; either located nearby or far away in space and time, which are influenced by the same (with different intensity) or different factors. The lithological–paleogeographic method involves solving genetic issues by organically linking data on modern sedimentation and ancient rocks to identify similarities and differences between them. Besides, it implies the obligatory consideration of historical and geological connections between various geological phenomena and processes. The palynological (spore-pollen) method is widely used for paleogeographic reconstructions of continental settings. This is the most convenient method from a series of micro-paleontological methods since the study objects are the microresidues (pollen and spores) of higher plants, which are present in a significant amount in many types of continental sediments. Therefore, they can be extracted with direct access to the rocks and from the well cores. The analysis of the composition of fossil paleoflora and palynospectra allows to reconstruct (1) the composition of paleoflora, (2) the zonal type of vegetation cover, (3) the succession of phytocenoses, (4) the facies sedimentation conditions, and (5) the types of climate. Furthermore, it enables researchers to obtain quantitative information on many climatic parameters (e.g., temperature, humidity, etc.).

3 Results The Black Sea is a unique reservoir with a complex geological history and dramatically changed conditions over time. From a geological point of view, the relatively young Azov Sea can be considered a bay or part of the Black Sea [11]. The shelf occupies about 25% of the total water area. Its border runs at a depth of 90–110 m, reduced to 140–160 m only on the Southwestern coast of Crimea. The smallest shelf width (up to several kilometers) is observed on the Caucasian and Asia Minor coasts. The water area of the Azov Sea is entirely located within the shelf. The mainland slope covers 40% of the total water area. The slope of the bottom within its limits in some areas (Southern Crimea, Caucasus) is very steep (up to 35°).

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A deep-water depression with a flat bottom depth of about 2000 m takes up 35% of the basin area. The Earth’s crust within this depression belongs to the suboceanic type; there is no granite layer, and sediments up to 14 km thick lie right on the oceanic basalts. In terms of the structure of the Earth’s crust, the Black Sea is closer to the oceans than to epicontinental seas, such as the Baltic Sea or the seas of the Russian Arctic. A comparative analysis of the faunae of the Caspian and Pontic Basins, including the same species of Didacna, allowed us to correlate the Caspian and Pontic Basins. The analysis of the areal distributions of representatives of the Caspian and the Black Sea fauna in the ancient Manych Strait sediments showed the direction of shellfish migration and the unilateral or bilateral communication between basins (see Fig. 1). One of the Black Sea peculiarities is the reduced salinity of its waters (approximately half of the oceanic one at just 18–20‰) and the stratification of the water column. Simultaneously, the upper water layer up to a depth of 50 m has a salinity of 18–19‰. Below this level, the salinity increases to 22‰ at a depth of 500 m, and further, it almost does not increase to the bottom at − 22.3‰ [1]. As the desalinated lighter water of the upper layer floats on the surface of the deeper saline and denser layers, the resulting stratification of seawater prevents vertical mixing of water masses. Under these conditions, oxygen dissolved in water does not enter the deep-water column and even less reaches the bottom. This leads to the fact that the zone of hydrogen sulfide infection is deprived of life (except for anaerobic bacteria). The upper border of the hydrogen sulfide zone passes at a depth of 100 m (on average). Nevertheless, it can rise to 50–60 m from the surface [16]. Bottom fauna does not live below these depths. Water exchange in the Black Sea occurs through two straits: the Kerch and Bosphorus. Communication through the Bosphorus is essential for the ecological condition of the sea basin. It is a narrow winding shallow strait with a length of 31 km and a width of 0.7 and 3.1 km. The maximum and minimum depths of the strait are 106 m and 32 m, respectively. The average depth of the strait is 65 m. The minimum depth is critical, as it determines the threshold for the flow from the Black Sea to Marmara. The water level slopes to the south and the difference between the seas is 35 cm. This creates conditions for the formation of flow from the Black Sea and the formation of the upper Bosphorus current, 40 m deep at the strait entrance. This current brings the desalted Black Sea waters with a salinity of 17–18‰ to the Sea of Marmara. The deep parts of the Bosphorus form the lower Bosphorus current in the north direction, carrying the water of the Sea of Marmara with a salinity of 30–36‰ to the Black Sea [3]. The average speed of the upper and lower currents is 2 km/h. Upper current discharge (340–360 km3 per year) is twice that of the lower Bosphorus (170 km3 per year). The intensity of water exchange varies from season to season and depends on the volume of river flow. Saltwater inflow from the Sea of Marmara through the lower reaches declines strongly in the first half of the year when the river flow increases and the Black Sea level rises. In the second half of the year, when the river flow

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Fig. 1 The evolution of the physical and geographical situations in the Black, Azov, and Caspian Sea basins. Source Compiled by the authors

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decreases, the upstream intensity is reduced, but the saline water volume is coming from the downstream increases. These processes of water exchange during the Quaternary were multidirectional. With the Pleistocene transition, the Mediterranean Sea waters penetrated the Black Sea Basin through the Bosphorus Strait and formed the Chaudian Basin, whose level was much lower than the modern one by 70–80 m, and with salinity levels reaching 10–15‰. The Early Chaudian transgression formed a basin connected to the Mediterranean Sea. Although brackish mollusks of the genus Didacna [21] continued to develop in lagoons, there was already a semi-marine basin with a salinity of up to 10–15‰ in the open sea. A slight regression was followed by a transgression of the Late Chaudian Sea. Judging by the rich marine fauna of mollusks and foraminifera, the salinity of the basin was not lower than that of the modern Black Sea (15–20‰). The sea level at that time was probably tens of meters higher than today. Widespread penetration of Mediterranean waters and fauna occurred at the end of the phase, when the first semi-marine basin in the Black Sea appeared, designated as caradenism. The middle Pleistocene stage includes ancient Euxine and Uzunlar deposits. The ancient Euxine Basin, a transgressive basin with a level close to or slightly higher than the present one, had a limited connection with the Mediterranean Sea. It developed in warm times, namely, the Lichvin interglacier. The Uzunlar Basin deposits are characterized by a mixed mollusk fauna, including both brackish and Mediterranean forms. The fauna composition of the lower part of the section of the Uzunlar terrace in the stratotype of Lake Uzunlar indicates an increase in the salinity of the basin, which used to be an open firth with a broad connection to the sea [7]. The Karangataean sediments, along with the Tarhankuta and New Euxine sediments, belong to the Late Pleistocene and have the most contrasting fauna composition. These sediments are known throughout the Black Sea region and are best represented on the Kerch and Taman Peninsulas: (1) Karangat Cape, (2) Eltigen, (3) Chokrak Lake, (4) Uzunlar Lake, and (5) Kazantip Peninsula. The ancient Ashei Terrace is connected with the independent Ashei development phase. Ashei deposits have not yet been found on other coasts of the Black Sea. Perhaps, this basin also contains Chinese layers found between the Uzunlar and Karangat deposits located on the eastern shore of Uzunlar Lake [6]. The maximum phase of the Karangataean transgression is the Eltigen phase. The richest fauna with Mediterranean mollusk species (e.g., Acanthocardia tuberculata, Mactra corallina, Aporrhais pes pelicani, etc.) and foraminifera (e.g., Massalina secans and Quinqueloculina bicornis) are found in its sediments. On the Caucasian coast, this phase may correspond to a Shahei or Agoi terrace. The Karangataean transgression is a significant milestone in the Pleistocene history of the Black Sea, a large interglacial transgression with a level exceeding the current one by 6–7 m and with a maximum salinity in the Pleistocene [9]. Its deposits are widespread; thus, the paleogeography of this basin has been thoroughly studied [19]. The Karangataean transgression occurred in the warm period and is reasonably compared with the Mikulin interglacier of the East European Plain. Transgressive phases represent the Karangataean deposits with the corresponding ages of 140–150, 125, 100, and 80 thousand years. They are separated by interruptions corresponding

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to the regressive phases. However, the oldest phase (140–150 thousand years) does not fit into the isotopic phase 5 of the last interglacial phase. The deposits of the post- Karangataean transgression are found in the Karkinit Gulf at negative marks called Tarhankutskikh. The Tarkhankut sediments contain mollusk fauna of (1) Cerastoderma glaucum Reeve, (2) Dreissena polymorfa Pall., (3) Dr. rostriformis Desch., (4) Monodacna sp., (5) ostracode Leptocythere, (6) Tyrrhenocythere, (7) Cyprideis, and others. Judging by the fauna composition, the salinity of the Tarhankut Basin was lower than that of the modern Black Sea. Its level did not exceed − 20 to − 25 m. Despite the relatively low level of this basin, it appears to have had bilateral relations with the Mediterranean Sea. The Tarhankut transgression in the Black Sea depression gave rise to a deep New Euxine regression. The New Euxine sediments are known only from the Black Sea shelf, usually at depths from 30 m and below. Later, a submerged coastline was established at a depth of about 80 m, which seemed to correspond to the New Euxine Basin. The New Euxine sediments contain a very depleted complex of brackish mollusks that do not even include Didacn: (1) Monodacna colorata Eichw., (2) Hypanis plicatus Eichw., (3) Dreissena rostriformis Desch., (4) Dreissena polymorfa Pall., and (5) Turricaspia lincta Mil. As a result of the glacioeustatic rise of the ocean level, the waters of the Mediterranean Sea penetrated through the Bosphorus into the Black Sea Basin at the beginning of the Holocene [17]. These waters began to form the semi-marine basin that still exists today. The appearance of the most ancient marine fauna elements dates 9000–7000 years ago [12]. The transgression developed extremely fast at the initial stage, with an average speed of 5 mm/year. Within 3500 years, its level rose by 18 m. At that time, relics of the New Euxine semi-submerged water basin with the Caspian fauna were still preserved in the shallow water zone, while the central part of the Black Sea water area was a semi-marine basin. The maximum level rise above the present-day level occurred at the end of the Atlantic and the beginning of Subboreal. At this time, a terrace with the richest Holocene mollusk fauna and a height of 3–5 m was formed, known as the Ancient Black Sea Terrace. In the late Holocene, there was a rapid decrease in sea level from − 10 to − 15 m abs. (Fanagorean regression). The subsequent Nymphean transgression rose by 2–3 m above the current level [2]. This transgression was short-term and did not rise above − 0.7 m abs. mark. After the Nymphean transgression, a new decrease of sea level to − 3 m abs. occurred approximately from the tenth century (Korsun regression). Detailed studies of the Caucasian coastal zone revealed a more complex picture of fluctuations in the Black Sea level in the Late Glacial and Holocene periods. At least six major regressive-transgressive phases complicated the transgressive sea level rise. This was reflected in the migration of sediments of the coastal facies and wave-surface shafts both in plan and height within the upper part of the shelf and in the phases of deepening river valleys. They are well-dated by radiocarbon definitions and archaeological data. After the deep Antes regression to the level of − 80 to − 90 m abs. about 18,000 years ago, the first (Yenikal) transgressive phase in the series

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of Novoeuksa transgression to the level of − 35 to − 40 m abs. was recorded about 13,000–16,000 years ago. The second (New Euxine) transgressive phase with a maximum between 12,000 and 9500 years ago reached the level of − 22 to − 25 m. However, this was not accompanied by water salinization, as its sediments only contained brackish New Euxine mollusk fauna, namely, (1) Dreissena polymorfa Pall., (2) Clessiniola variabilis, (3) Micromelania caspia, and (4) Monodacna caspia. It was probably a New Euxine semi-submerged basin supported by the waters at the beginning of the late Glacial transgression. The subsequent regressive phase was accompanied by a decline in sea level of up to − 50 to − 55 m abs. The next (Bugasian) transgressive phase of the fauna of the semi-marine basin reached the level of − 20 m about 9500–7900 years ago. At this time, the waters of the Mediterranean Sea first penetrated through the Bosphorus. This fact is evidenced by the presence of larvae and young shells of sea mollusks, namely, (1) Cerastoderma lamarscki, (2) Chione gallina, and (3) Spisula subtrunculata in the area of Adler– Pitsunda. According to several radiocarbon tests, the age of this phase dates from 10,530 + 190 B.P. to 10,130 + 180 B.P. Changing its regression has led to a decrease in sea level by up to − 27 to − 30 m. Perhaps, around this time, the semi-aquatic basin regime was restored. The subsequent Vityazevskaya two-peak transgressive phase occurred about 7900–5900 years ago and reached the isobath 10 m. The mollusk fauna in the Kerch Strait is represented by Cerastoderma lamarscki, Abra ovata., and mussel fauna, such as Mytilus galloprovincialis, at a depth of 35 m or more. The regressive phase that replaced it was accompanied by a decrease in sea level to –20 m. The new (Calamite) transgressive phase (about 6000–3800 years ago) has already reached the current level and was characterized by Calamite mollusk fauna in the Kerch Strait. On the Caucasian coast, biocoenoses were created that were almost identical to modern ones. At this time, coastal deposits of the ancient Black Sea terrace were formed on the coast [20]. The Calamite transgression was complicated by small (2–4 m) regressions, and its three maximum peaks were dated to 5800, 5300, and 4500 years, respectively [15]. A significant regression occurred about 4300–4100 years ago at − 10 to − 20 m abs. marks were noted (local names include Kunduk, Hajibei, Varna, etc.). Later, about 3500–3000 years ago, the sea level recovered, and the sediments of the New Black Sea terrace formed in the coastal zone. The maximum (Jametinous) transgressive phase in the Holocene (4000– 2550 years ago) reached 1–2 m abs. This process was accompanied by stops and even small drops in sea level when the peatlands were formed in Colchis and the Danube Delta. This period was marked by the broadest connection with the Mediterranean Sea, the highest salinity, and the richest fauna with Mediterranean elements of the Jemeti complex. There were three peaks (3700, 3100, and 2600 years ago, respectively) in the Jemetian transgression, of which the average is the maximum. Two regressive phases separate them with an amplitude of 2–4 m.

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The subsequent Fanagorean regression resulted in a decrease in the level to − 10 to − 15 m. Then, the New Black Sea Terrace was mastered by ancient Greek settlers (5th to sixth centuries BC). In the cultural layers of the ancient Greek settlement of Phanagoria, its age was determined in the range of 2500–2300 years ago. The last transgression, the Nymphean, occurred about 2300–1200 years ago and barely exceeded the current sea level. The Nymphean transgression had three peaks: 2200, 1900, and 1200 years ago, respectively, divided by two regressive phases with amplitudes of 2–4 m. The composition of fauna and salinity did not differ from the modern Black Sea. In the Postlenimfeian time, there were small fluctuations near the current level, particularly the Korsun regression of the 9th–eleventh centuries with the decrease of sea level to − 3 to − 4 m abs. The Kuban Sea delta revealed a seashore wall fixed at the sea level rise during the 13th–fourteenth centuries (Horde transgressive phase). Based on the paleogeographical reconstructions within the considered region, several sea basins have been restored, including the Karangatskiy, Novoevksinskiy, Jemetinskiy, and the Bugazskiy-Vityazevskiy semi-submerged water basin and the Kalamitskiy semi-marine basin. The water area of the Karangatskiy pool used to be slightly larger than that of the modern water area of the Black Sea and was formed within the modern land bays. Currently, this no longer exists. The sea basin occupied the entire water area of the Azov Sea and part of the adjacent land. The Taganrog Bay and the lower reaches of the Don were penetrated by a rather salty basin (up to 20‰ or more). It was a strait connecting the Sea of Azov with the Gulf of Manych, which penetrated the depths of the Don steppes along the Don and Manych valleys for 200 km, at least to the Eastern Manych. The Kerch Strait was broader and deeper, and the Black Sea waters came in larger quantities [8] compared to the current one. Moreover, the estuaries, including those of the Taman-Anapa coast, consisted of sea gulfs (Tsokur, Vityazevsky). The Caucasian coastline was close to its present-day location. Only in Western Georgia, there was an enormous sea gulf, the Colchis Gulf. The sea level was reconstructed based on the positions of the sea terraces and sea sediments. On most parts of the coast, the Karangataean sediments are now elevated above sea level. In areas of intense tectonic uplift, such as the Caucasian coast, these terraces reach 45 m above the current sea level. In tectonically stable areas, such as the Kerch and Taman peninsulas, the roof of marine sediments of this age reached 8–12 m [4]. The depths of the Karangataean Basin did not differ much from the depths of the Black Sea, given that its level was 8–12 m higher than the modern one. For a deep-water depression, this was insignificant. However, in shallow waters, it played an essential role in salinity and biocoenosis distribution. This was especially true for straits, where great depths provided large amounts of saline water. Therefore, the Kerch Strait depth was several times greater than the current depth, which contributed to an increase in the salinity of the southern part of the Azov Sea. Based mainly on the composition of the organisms inhabiting the Karangataean Basin, we can assume that its salinity was significantly higher than in the modern Black Sea. In the open part of the sea, the salinity probably reached 30‰, approaching

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the salinity of the coastal waters of the Mediterranean Sea. This is evidenced by the remains of fairly polygaline organisms, in particular, (1) Acanthocardia tuberculata, (2) Mactra coralline, (3) Aporrhais pes pelican, (4) Paphia senescens, and others, which do not live in the Black Sea today due to its low salinity. This fact is also evidenced by the remains of nanoplanktons (coccolithophoride and plankton foraminifera). In the main water area, the salinity of the basin was 20–30‰. At the same time, the salinity distribution in the Karangataean Basin, as in the modern Black Sea, was quite complicated. In the Azov Sea, the salinity was significantly higher than today. Stenogaline mollusk species inhabited more than 20‰ and its southern part (Chokrak Bay), namely, Acantocardia tuberculate and Paphia senescens, and plankton foraminifera. These organisms did not inhabit the northern part of the Azov Sea, where salinity was lower (but not below the modern Black Sea). Up the Taganrog Strait and further to Manych Bay, the salinity probably decreased to 10‰. The rest of the Black Sea, including the deep-water depression, had a 30‰ salinity. The higher salinity of the Karangataean Basin was due to a stronger lower current, which supplied large masses of salty Mediterranean waters to the Black Sea Basin. However, the Bosphorus Strait was also deeper when the sea level was higher, and that the water exchange was more intensive. The salinity of the Karangataean Basin did not remain stable but changed as the sea level changed. During the phases of transgression and level rises, salinity increased, while during the regressive phases, it fell along with the sea level decrease. The amplitude of these fluctuations hardly exceeded 5–10‰ due to the considerable volume of Black Sea waters. The water temperature in the Karangataean Basin was higher than in the modern one, as evidenced by oyster-serpule-algae biogermes and heat-loving mollusks (Acanthocardia tuberculata and Paphia senescens), now living in the Mediterranean Sea. The New Euxine Basin, whose regression peak occurred during the maximum cooling of the late Pleistocene (20,000–18,000 years ago), occupies a special place in the Black Sea Quaternary history. It is the only large, semi-water type basin that is an almost fresh lake with a one-way confluence with the Mediterranean Sea. The New Euxine Basin level is established by the spread of coastal beach deposits at a depth of 80–90 m. The radiocarbon age of this coastline is 18,000–17,000 years. This level is in good agreement with the structure of the sedimentary thickness of the Bosphorus Strait, where young sediments fill the strait to the point of − 100 m. During the peak of the Wurm Ice Age, around 18,000 years ago, when the ocean level fell 100 m below the current level, the Black Sea lost a two-way connection with the ocean, and its level after the Mediterranean Sea level fell almost to the threshold of the Bosphorus runoff. The sea basin was transformed into a semi-water basin, and as the water balance became positive, excess water was discharged through the Bosphorus into the Sea of Marmara.

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Since the New Euxine Basin level was 80–90 m below the Black Sea, the water depths were also less by the same amount. Although this was insignificant for the deep-water depression, the decrease in the level resulted in significant shallowing and even complete drainage in the shallow shelf areas. When the Azov Sea water area was utterly drained, the Don Valley crossed the dried-up sea bottom and passed into the Black Sea depression through the Kerch Strait [10]. To the south of the strait, the deposits of the ancient Don Delta were discovered. The main space of the dried-up bottom of the Azov Sea was occupied by the lake-alluvial plain, which was crossed by valleys of the steppe rivers of the Azov region. The Kerch and Bosphorus Straits did not exist at that time, and in their place, there were valleys through which freshwater from the ancient Don and excess freshwater from the New Euxine Basin were discharged. These waters penetrated the Sea of Marmara and transformed the sea basin into a semi-submerged one. Meanwhile, the sediments of the basin were dominated by silt in the deep-water depression, and silt with an admixture of shells on the shelf prevailed in the sediments of the basin. The coastal ramparts are composed of pebbles and shells. Layered silt (turbidites) developed on the continental slope and its foot, indicating a widespread flow from the Black Sea basin slopes. The slope processes were widely developed in the eastern part of the basin. Due to the decrease in sea level and the draining of most of the shelf, the width of the New Euxine basin shelf sharply decreased. Along the coasts of most of the Crimea and the Caucasus, the shelf was only a few kilometers wide. All these changes resulted in reducing the Black Sea and the Azov Sea by almost 100,000 km2 . At the regression peak, the area of the Novoeuksinskiy Basin was only 360,000 km2 . In the water balance of the Novoeuksinsky Basin, there was probably a substantial excess of freshwater comparable to a drain of the Danube; in other words, the powerful river was flowing through Bosphorus. Almost complete desalination and the change of the type of basin from sea to semisubmerged caused fundamental changes in the composition of organisms. Marine organisms were completely extinct, while brackish elements, such as the Caspian shellfish Didacna, were mostly extinct. Only freshwater, brackish, and weakly brackish species remained in the fauna. Dreisena polymorpha, Dr. rostriformis, Dr. r. bugensis, Monodacna, Adacna, and Hypanis dominated the mollusks. Pure freshwater mollusks, such as Viviparus, or Unio pictorum., inhabited river estuaries and freshwater lakes. The fauna composition and the number of species decreased tenfold compared to the sea due to the destruction of the marine ecosystem. A new ecosystem, a semi-aquatic ecosystem, has just begun to take shape. Apart from brackish water fauna of the Caspian type with Didacna, the semiaquatic species and biocenoses were also found in the previous sea reservoir in estuaries and those in the oppressed state. Once the basin became semi-submerged, these species, mainly dredgers, and monodacs, occupied the freed-up ecological niche and captured the entire water area of the New Euxine Basin. This process was facilitated by the complete absence of competitors, as marine and brackish species became extinct when the basin was desalinated.

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The poverty of bottom biocoenoses also determined the poverty of the species composition. Three main types of bottom communities are distinguished. The relatively deep waters of the inner shelf and continental slope were inhabited by Dreisena rostriformis. This species, formed in the brackish water isolated Pliocene–Quaternary basins of the Ponto-Caspian Sea, is the most adapted to lake-sea conditions. The coastal shelf was inhabited by mollusks (Dreisena polymorpha), which adapted to fresh and oxygen-rich water masses. It currently lives in almost all rivers of the south of the East-European Plain and in the Moscow River and water management systems. Finally, the most desalinated parts of the water area in fresh lakes and estuaries were inhabited by freshwater fauna that had migrated from rivers and lakes. In particular, Viviparus and Unio pictorum unionides dominated here. The water masses of the Novoe Vxin Basin differed sharply from the modern ones in terms of their physical, chemical, and ecological characteristics. The water temperature was lower than the present one as the climatic conditions of the surrounding land were quite severe [13]. During the Pleistocene glaciation maximum cold periglacial steppes reached the northern coast of this basin. Forests were forming here, and the permafrost went far to the south. As for the basin itself, it was covered with ice for most of the year. The salinity of the New Euxine Basin was very low and did not exceed 5‰. Therefore, we can talk about mineralization instead of salinity. The composition of continental salts consisted of calcium, magnesium, and CO3 ions. The living conditions were an oligotrophic reservoir with the entire water column saturated with oxygen. There were no signs of hydrogen sulfide contamination. On the contrary, up to depths of 400 m and more, the New Euxine silts showed traces of oxidation in the form of admixtures of ferrous minerals. In contrast to the modern Black Sea, the New Euxine Basin can be considered inhabited to the very bottom; its water masses were well mixed and oxygenated. The phenomena of water stratification and stagnation were not observed. The Bugazsko-Vityazevsky semi-submerged water basin was formed at the beginning of the Holocene when the post-Glacial rise in water level continued and reached the isobath at 30–35 m around 8000–9000 years ago. The rise in sea level can be related to the post-Glacial transgression of the World Ocean, which supported the freshwater inflow from the Black Sea Basin. The salty waters of the Mediterranean Sea have not yet penetrated the Black Sea in large quantities. Therefore, the composition of the fauna and the isotopic composition of shells do not yet reflect the presence of seawater. Salinity remained within 5‰. The water area expanded along with sea-level rise, especially on the north-western shelf. However, water had not yet penetrated the Azov Sea. There were small freshwater estuaries, and there was no Kerch Strait, through which the ancient Don flowed. Notably, the larvae of Cerastoderma edule and other marine elements appeared on the Caucasian coast in the early Holocene. This fact may indicate short-term phases of seawater penetration through the Bosphorus. Episodic connections of this basin with the Mediterranean Sea are not excluded, making it different from the New Euxine Basin of the late Pleistocene.

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The Calamite semi-marine basin was established in the Early and Middle Holocene when the Black Sea Basin was filled with salty Mediterranean waters. Therefore, the oceanic transgression level exceeded the Bosphorus runoff threshold, and saltwater entered the New Euxine Basin. Sea waters flooded almost the entire area of the modern shelf, and the Azov Sea was restored. The sea reached the modern coastline and penetrated the valleys, tens and hundreds of kilometers upstream. This phenomenon was facilitated by the pre-Holocene deepening of the valleys of large rivers. Currently, these valleys are primarily filled with Holocene sediments. This event happened quickly; one might say catastrophically and caused a severe environmental crisis. As a result, the salinity increased sharply to 10–15‰. The type of salinity changed from continental to oceanic. The isotopic composition of water dropped dramatically, and the stratification of water masses by salinity and the formation of hydrogen sulfide contamination zone began. The biota underwent especially significant changes. In most water areas, freshwater organisms were destroyed by marine transgression, and their remains were pushed back into freshwater estuaries. Most of the shelf area was rapidly occupied by marine species and biocoenoses infiltrated from the Mediterranean Sea. The main shelf area was quickly occupied by marine species and biocoenoses infiltrated from the Mediterranean Sea. The inner shelf was dominated by Mytilus galloprovincialis—Spisula subtruncata biocoenoses on siltstone-columbine soils. Meanwhile, the outer shelf and the coastal zone with sandy siltstones were occupied by the Cerastoderma glaucum—Abra ovata biocoenosis. Finally, the desalinated biocoenoses of Chione gallina were formed along the periphery of the semi-marine basin and in the shallow waters of the Azov Sea, where salinity dropped to 10‰. There were anaerobic water masses with hydrogen sulfide infestation in the deepwater depression below 150 d–200 m. The lifeless bottom of the depression was covered with silt sediments. On the continental slope, located east of Novorossiysk and Sinop, slope processes were associated with the sliding precipitation along the slopes as the formation of turbidite and mudflows increased. In the late Holocene, the Jemeti Peninsula was formed when the post-Glacial sea level rise continued and reached its maximum of + 1 to + 2 m abs. about 3100 years ago. The environmental conditions in the basin were close to the modern ones. The salinity of the basin rose above 15‰, but only in the coastal zone; it has not yet reached 10–15‰ in the Azov Sea. The increase in salinity enriched the fauna composition coming from the Mediterranean Sea, and the biocoenosis became more diverse. In the relatively deep part of the shelf, the biocoenosis of phaseoline silt with Modiolus phaseolinus and mussels with Mytilus galloprovincialis appeared. The fauna of biocoenosis of the outer shelf continued to settle with Cerastoderma glaucum—Corbula—Abra and the coastal shallow water biocoenosis, Chione gallina. The desalinated estuaries were home to the brackish water biocoenosis Monodacna—Unio, a relic of the New Euxine Basin. The development of nature in the Eastern Azov region is closely connected with the evolution of the Black and Azov Seas, the mountain structure of the Greater Caucasus, and the evolution of the Kuban River itself. In the late Pleistocene, the Novoeuksinskaya regressive

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phase was widespread in the Azov and Black Sea basins. Around this time, steppe and semi-desert landscapes with wood vegetation in the river valleys extended on the coastlines. Furthermore, Paleo Kuban, Paleo Beysug, and Paleo Chelbas Rivers flowed in the eastern part of the drained sea, with the last two flowing into the PaleoDon. In the lower reaches of the Kuban River, alluvial deposits accumulated, and delta formation occurred. According to the palynological studies of the Holocene estuaries, the development of nature in some parts of the Eastern Azov was uneven throughout the Holocene. In the Ancient Holocene (more than 10,000 B.C.), steppe landscapes prevailed in the Eastern Azov region. Dry steppes and semi-desert formations with mauve in the northern part of the area were distributed. At this time, the areas of water bodies were gradually being reduced. Moreover, some of them were disappearing. In the southernmost areas, humidification was more typical than in other areas due to the greater spread of water bodies. Forests of oak, hornbeam, elm, and other broadleaved tree species grew on the slopes of the lowlands of the Northwest Caucasus. Separate groves of alder, willow, and other trees spread in the valley of the Kuban River. Pine forests occupied the higher mountain ranges of the Northwest Caucasus. Reduced water areas associated with the Azov Sea regressive phase increased multigrained meadow vegetation, dominated by herbaceous, wormwood, and complexcolored cereals. The average annual temperatures for the Holocene period were about 9.4 °C in the north and up to + 12 °C in the south. Epy average July temperatures ranged from + 24.5 °C to + 21.8 °C. Mean January temperatures also varied slightly from + 2.7 °C in the southern part of the area to − 2 °C in the northern part. The annual precipitation varied from 650 to 500 mm in the direction from south to north. According to palynological data, the vegetation type of this period can be attributed to dry steppes and semi-deserts. Forest groups were also found in the valleys of large rivers. This period is characterized by a more continental climate with greater participation in the cover of steppe and semi-desert communities. The Early Holocene (9000–10,000 B.C.) corresponds to the ancient Azov layers. The steppe landscapes spread along the Azov Sea coast were characterized by greater participation of woody vegetation. Moreover, an extensive gulf occupied part of Kuban Delta at that time. The southern part of the bay was separated from the sea by a system of spits. The resulting lagoon was gradually covered by river load and was dissected by narrow, elongated islands delineating smaller residual water bodies (predecessors of modern limans). The central and northern parts of the delta were brought to the sea by repeated blockages by the Angelinsky Erik, then the main tributary of the Kuban, from the west. Containers limited by these shafts were gradually discharged by river load, thereby splitting the Kuban Eric canals into separate estuaries. The main reason for the emergence of the liman structure of the coastal strip of the delta was the formation of sandy-shell ridges on the foothills. Such ridges have been traced at a distance of 20–30 km from the marine edge of the delta. The vegetation cover of the areas surrounding the estuaries consisted mainly of cereal meadows and grass and mudflow communities. In the river valleys and beams, small parts of the forest were distributed, consisting mainly of alder, poplar, oak (in more elevated areas), and elm. Forest areas to the south of the Protokha River and on gentle

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slopes of the lowlands were represented more widely. On the river floodplains, alder and willow were more common. Grass vegetation-covered vast areas and formed landscapes mainly consisting of grass meadows, with the dominant role of cereals and more mesophilic grasses. The presence of marshy areas contributed to the spread of fern and green mosses. The diversity of the cover of tree species and mesophilous grass can be explained by mitigating climatic conditions, such as high humidity. During this period, the average annual air temperatures ranged from + 10 °C in the northern part to + 12 °C in the south of the studied area. In July, the average monthly temperatures also varied slightly from + 22 °C in the south to + 23 °C in the north. Simultaneously, the average temperatures in the coldest month (January) ranged from − 2.8 °C in the northern part of Eastern Azov to + 3.3 °C to + 4.6 °C in the south. Annual precipitation (600–800 mm per year) increased slightly compared to the previous period. During the Early Holocene, there were qualitative changes in vegetation. The wood vegetation, especially in the southern part of the Eastern Azov, received prerequisites for a more significant distribution due to favorable conditions. In the Middle Holocene (6200–3400 B.C.), on the coast of the Azov Sea, there were forest groups with an admixture of broad-leaved species spread along the valleys of large rivers up to their confluence with the Black Sea. The appearance of reservoirs in the modern Kuban Delta is associated with the mid-Locene transgression of the Azov Sea and the tectogenic landslide in the West Kuban Trough. As a result, a vast bay was formed, which eastern border passed through the Angelinsky Erik. Sandy and sandy beetle sediments of this time (up to 20 m thick) belong to marine and lake sediments and, in some cases, to alluvial lake sediments. This period also included the formation of ridges that separated the bay water area into distinct water bodies. According to radiocarbon dating, the age of Stepanovskaya Spit separating the Beysug Estuary from Khanskiy Lake is about 6000 years. The Derevyankovskaya Spit formation in the Protoka River basin started about 5–5.6 thousand liters spit x. Gardens (− 5 to 5.3 thousand B.E.). At that time, there was extensive afforestation of the territory in the Eastern Azov region. In the northern part of the area, one can still find the dominant grass and meadow steppe communities. Lowland forests, alders, oaks, elms, and maples moved along the valleys in the Eastern Azov region. Oak forests with an admixture of hornbeam, maple, and linden were stretched throughout the hills and slopes. Beech was also occasionally found on these hills and slopes [18]. Pine forests were located on the middle mountain ranges of the Caucasus, while mesophilous grass meadows dominated along the banks of water bodies. Ferns and green mosses were more common in the vegetation cover of coasts and afforested floodplains of rivers, thereby indicating greater humidity and more moderate average annual temperatures. This time is defined as the climatic optimum. The conditions for the growth of woody vegetation in the studied area were most favorable. The average annual temperatures of this time ranged from + 10.3 °C in the north to + 12.6 °C in the south. The average July temperatures ranged from + 21.0 °C in the south to + 24.0 °C in the north. The average January temperatures ranged from + 3.0 °C in the south to + 2.5 °C in the north. The annual precipitation reached 550 mm in the northern parts of the region and 900 mm in the southern foothills.

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The Late Holocene (3000 years and less) is characterized by an increase in a continental climate. At that time, steppe vegetation spread along the Azov Sea coast, and forest areas decreased. Furthermore, the main features of the current hydrological regime of the delta were formed. Two large tributaries of the Kuban Delta (the northern and southern ones) were formed. After that, the fragmentation of large estuaries into smaller ones and their intensive filling with precipitation began. For the most part, lake and alluvial limans and alluvial floodplain sediments of the rivers were spread. Steppe vegetation in the northern part of the Eastern Azov was characterized by greater xerophyte, which significantly reduced the forest area. Woodlands were also reduced in the southern regions adjacent to the foothills. Currently, preserved forest areas testify to the past and demonstrate their wider range. The reasons for the forest decline are likely to be climatic (e.g., a decrease in moisture content). However, the human impact cannot be excluded. In the areas around the estuaries, the main areas were occupied by grass meadows. Zones with saline soils and sand and shell beaches were more common, indicating that grass, wormwood, and cereals also settled there. Vegetation data from the Late Holocene suggest that the climate was drier than it is today. The average climatic indicators of this time are close to the modern ones, although they have some differences. Therefore, the average annual temperatures range from + 9.8 °C in the north of the Beysug and Akhtar estuaries to + 13.1 °C in the south. The average temperature in July ranged from + 23.3 °C in the north to + 24.7 °C in the south, while the average temperature in January ranged from − 3.4 °C in the south to − 4.1 °C in the north. During this period (360 mm in the northern part and up to 490–500 mm in the southern part of the study area), annual precipitation decreased compared to the previous period. Consequently, the analysis of all the actual materials revealed the formation of the modern landscape appearance of the steppe zone and the Kuban River delta during the Late Holocene.

4 Discussion Based on the analysis results, we performed paleogeographic reconstructions of the development of the Black and Azov Seas, and their respective coasts were performed during the Pleistocene and Holocene (within the Krasnodar Krai). Climatic and hydrological factors were crucial in the formation of the South Sea basins. The Pleistocene Sea Basin, which included the Black, Azov, and Caspian Seas, repeatedly changed its shape, area, and depth; it was divided into parts and restored. The Manych-strait played a significant role in the Neo-Pleistocene history of the Caspian and Pontic basins. In the Caspian Sea, it controlled the level of extensive cold transgressions. In the Pontic basin, it managed the distribution of warm marine basins. Taking the waters of the Caspian transgressions and delivering them to the Pontic basin, the strait contributed to increased water mass, changes in their hydrological, hydrochemical, environmental parameters, and alterations in the faunal

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appearance of reservoirs. In the Neo-Pleistocene, the Black Sea basin, as an intermediate link between the Caspian and Mediterranean Seas, experienced repeated water invasions from these reservoirs. This phenomenon resulted in the diversity of mollusk species across the marine sediment section, thereby representing ecologically different groups. At the beginning of the Holocene, a group of islands was located on the Taman Peninsula site, amongst the strait connecting the Black and Azov Seas. The Kuban River flowed into this strait to the east of the present city of Slavyansk-on-Kuban. Its deposits covered a vast area, now occupied by the villages of Ivanovskaya, Poltavskaya, Slavyansk-on-Kuban, and many others. This fact is evidenced by the traces of ancient canals and vast reservoirs that were once a sea bay and became estuaries later. In place of the bay, the modern delta of the Kuban River was formed, which was common to the Azov and Black Seas. Previously, a group of large and small islands formed large areas of land, as the delta was filled with river sediments. Canals appeared between the islands, connecting a group of estuaries. Then, individual canals that filled the entire gaps of estuaries or part of them turned into continuous riverbeds. Rare brackish water species inhabited the estuaries and desalinated them. In the Neo-Pleistocene Pontic basins, the biodiversity of mollusks depended on the invasion of the Caspian or Mediterranean fauna elements. The Karangat Sea basin had the greatest biodiversity. In the Ancient Holocene, steppe landscapes became widespread. The northern part of the Eastern Azov region was dominated by dry steppes and semi-desert formations with the prevalence of haze cereals and wormwood. More hygrophilous vegetation grew in the southern part. Broad-leaved forests are spread along the slopes of the lowlands of the Northwest Caucasus. In the Early Holocene, steppe landscapes still existed in the northern part of the Eastern Azov region and south of the river. For comparison, canals are more common in forests. The appearance of landscapes, as before, was associated with the formation of grassy vegetation. Various grass meadows occupied the most extensive areas between the estuaries. Wide participation in the cover of tree species and mesophilic forbs became possible due to the softening of climatic conditions in the direction of greater moisture. Meanwhile, the Middle Holocene is characterized by greater afforestation and a significant distribution of forests in the south of the region. In the northern part, grass and meadow communities predominated. Furthermore, woody plants were spread along the beams and river valleys. This is the optimum climatic time, during which the conditions for the growth of woody vegetation in the study area were most favorable. In the Late Holocene, the climate was characterized by increased dryness, which led to widespread herbaceous phytocenoses. The steppe vegetation of the northern part of the region was more xerophytic. Forest areas in the southern part were significantly reduced. The modern appearance of the vegetation cover of the Kuban River delta was gradually formed at this time.

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5 Conclusion In the evolution of landscapes of the Eastern Azov Sea, there is a clear trend of minor changes in climatic characteristics and the preservation of the steppe vegetation throughout the Holocene. In different periods, it occupied larger or smaller areas. The steppe vegetation was most common in the Ancient and Late Holocene. In the Early and especially in the Middle Holocene, the role of forest formations increased in the landscapes. About 1000 years ago, the leading northern tributary of the river was a tributary of the canal, which flowed into the vast Akhtar estuary. The discharge of sediment from the southern part of the bay and the extension of the tributary led to a deflection of the canal to the west. There was a gradual redistribution of the flow in favor of the central limans. The southern tributary of the Kuban also migrated, flowing into the Black and Azov Seas. Their direction changed at least four times in the last thousand years [5]. Accordingly, the water regime of estuaries has changed. Alterations in the delta hydrography and water regime over the last 200 years are mainly due to anthropogenic factors. The collapse of the Kuban River reduced the flood runoff into the estuaries. In the middle of the fourteenth century, more than 70 Eriks were covered with water, which led to the significant salinization of the Zhesterskie and Kulikovskie estuaries. In the first 30 years of the twentieth century, most central and Akhtarsko-Grivensky estuaries were saline (and some dried up). By 1930, there were 295 estuaries in the Kuban Delta with a total area of 1114 km2 , of which 19 had areas of more than 10 km2 and 82—less than 1 km2 . The area of the open water mirror was 600 km2 . Later, the construction of three large irrigation systems during 1930–1940 led to an increase in the inflow of river water into delta reservoirs and the growth of the area of open water mirror to 860 km2 . Simultaneously, their total number decreased to 252 due to the siltation and overgrowth of some small lakes. The regulation of the Kuban River flow by reservoirs with a total volume of 5.62 km3 (in 1975) and the transfer of 2.2 km3 per year (in 1987) outside the basin significantly transformed the water regime of the Kuban River. The total volume of non-refundable water consumption in the basin was 7 km3 per year or about 60% of the annual flow rate. Moreover, there was a significant redistribution of runoff along the river tributaries, which changed their role in the water supply of delta estuaries. The river runoff to estuaries was reduced to 22%. At the same time, the inflow of return water to the estuaries increased. In the 90 s, the total area of the lake fund of the Kuban Delta was 650 km2 . As a result of anthropogenic changes, there were negative ecological changes in water level and quality. Changes in the hydrochemical composition of water flowing into estuaries and the regulation of seven out of 12 sea garlands contributed to the eutrophication of estuaries, which belongs to the macrophytic type. The evolution of intracontinental water bodies, to which the seas in question belong, largely depends on the links with the Mediterranean Sea. It is known that the rise and fall of sea levels have geocratic and eutrophic causes. When the level rises, links are established with the Mediterranean and Caspian Seas, which lead to the

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spread of marine, brackish water representatives. For comparison, the reduced links promote the spread of freshwater forms that are more isolated. These processes are reflected in the lithological complexes of bottom sediments. Coastal geosystems are formed depending on marine and terrestrial geosystems and their relationships. The development trend of the Holocene coastal landscapes and their components was characterized by a gradual increase in continentality and an enhanced influence of certain anthropogenic factors. Acknowledgements The reported study was funded by the Russian Foundation for Basic Research and the administration of the Krasnodar Krai, under project number 19-45-230004. Studying the patterns of formation and dynamics of geosystems of large marine accumulative forms of the coasts of the Krasnodar Krai.

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Territorial Features of Manifesting Hazardous Hydrological Phenomena in the Altai Republic Olga V. Zhuravleva , Andrey V. Karanin , and Maria G. Sukhova

Abstract The growing number of hazardous and unfavorable hydrological phenomena necessitates detailed studies at the global and regional levels. This study aims to identify the territorial features of the manifestation of hazardous phenomena (HP) in the Altai Republic. Rural settlements were chosen as a territorial unit since it is most expedient to manage natural risks within such administrative boundaries. This is the first research conducted on the territory of the Republic on such a large scale. As a result of the conducted research, the authors obtained fairly complete and objective information on a set of hazardous hydrological phenomena affecting the territory of rural settlements of the Altai Republic, the causes of their occurrence, development patterns, the scale of distribution, and the danger of manifestation in various natural and economic zones of the region. It was found that the dominant types of negative impacts are flooding, black ice, coastal erosion, and mudflows. The spread of processes, their activity, and periods of activation depend on the regimeforming factors. On the territory of more than 50% of rural and urban settlements of the Altai Republic, emergencies occurred due to the activation of the hydrogenic processes. Keywords Hazardous hydrological phenomena · Territorial distribution · Altai republic

O. V. Zhuravleva (B) · A. V. Karanin · M. G. Sukhova Gorno-Altaisk State University, Gorno-Altaysk, Russia e-mail: [email protected] A. V. Karanin e-mail: [email protected] M. G. Sukhova Institute for Water and Environmental Problems, SB RAS, Barnaul, Russia © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 S. G. Maximova et al. (eds.), Advances in Natural, Human-Made, and Coupled Human-Natural Systems Research, Lecture Notes in Networks and Systems 252, https://doi.org/10.1007/978-3-030-78105-7_4

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1 Introduction The World Economic Forum (WEF) regularly publishes lists of global risks. Over the past years, in the top five risks, ranked by probability of occurrence, the first positions are occupied by such risks as extreme weather events, failure of climate change mitigation and adaptation, and natural disasters [13, 14]. Thus, the importance of studying dangerous natural phenomena for the world community is demonstrated. According to the data published on the website of the Federal State Budgetary Institution “All-Russian Research Institute of Hydrometeorological Information— World Data Center” [1], the share of hazardous hydrological phenomena is 20% of the total number of hazardous natural phenomena registered in the territory of the Altai Republic from 1991 to 2019. Starting from 2004, hazardous hydrological phenomena are repeated annually (except 2008). In 2016, the number of dangerous hydrological events exceeded the number of dangerous meteorological events. Official statistics record only a small part of dangerous phenomena. Therefore, a general analysis of the situation is essential, which is possible only with the involvement of various sources of information. The risk of damage from the negative impact of hydrogen phenomena generated by water bodies depends on the vulnerability of the hazardous object, i.e., the ability to withstand a process causing certain damage. In this aspect, most residential areas, engineering and economic facilities, and residential buildings are quite vulnerable. The hazardous processes of the hydrogenic group, being a factor of active influence on the living conditions of a person, play a significant role in assessing the ecological conditions of their residence. At the moment of their manifestation, they become a limiting factor in the management of territories.

2 Materials and Methods Geographic information systems QGIS and GRASS were used as tools for performing spatial analysis, cartographic work, and collecting cartometric statistics. General geographic data used to localize the studied phenomena are represented by vector layers of linear (river network, road network) and areal strikes (borders of regions and municipalities of the Altai Republic). The outlines of the settlements were digitized using high-resolution satellite images from Google and Yandex services. Congestions, jams, black ice, areas of flooding, the development of coastal erosion, and mudflows were mapped according to our field observations, reference books, and statistics of the services of the Hydrometeorological Center and the Ministry of Emergency Situations (MES) in the Altai Republic [1, 3, 5, 6, 11, 12]. The correlation of these phenomena with the territories of municipalities was carried out by the overlay method. The assessment of avalanche hazard in the studied region turned out to be fraught with specific difficulties. Traditionally, when calculating the probability of avalanche

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formation, it is customary to consider the steepness of the slope and the thickness of the snow cover. However, a reliable, continual assessment of the snow cover thickness in the Altai Republic was never carried out. Measurements were always limited to individual locations, mainly in the north of the region. It is impossible to extrapolate the results of these measurements to the entire region due to the complex rugged relief. Therefore, the integral assessment of avalanche hazard, involving the use of an indicator of the snow cover thickness, was not carried out. Instead, a terrain avalanche hazard assessment was carried out, which provides some understanding of the location of avalanche areas and the overall level of avalanche threat [2, 4, 10]. The population across the territory is unevenly settled; there are vast unpopulated areas. In addition to the average avalanche hazard of the relief, avalanche-prone areas located near settlements were localized. The water supply of municipalities with surface waters was calculated based on a flow accumulation raster built using a digital elevation model. The raster’s quantitative values showed good agreement with the data of 23 water-measuring stations in terms of the average annual water discharge; the correlation coefficient between the data series was 0.981. The consistency of the analyzed values made it possible to construct several regression equations, of which the power function showed more accurate results. The function’s application to the runoff accumulation raster allowed to extrapolate the data of water measuring stations to the entire territory of the Republic. The resulting assessment of the Altai Republic’s municipalities according to their exposure to hazardous hydrological phenomena and processes was carried out using the scoring method.

3 Results Rural settlements of the Maiminsky district are mainly subject to minor flooding, flooding, and coastal erosion. The maximum activity is typical for the peak of high water and abnormal rainfall floods. The provision of protection structures is average along the Mayma River and low on the Ulalushka River. Rural settlements of the Choysky region are affected by minor flooding, flooding, and coastal erosion. The formation of mudflows and black ice is also possible. The activation of the indicated processes has a pronounced seasonality. The climatic conditions of the Turochak district determine the fallout of a significant amount of precipitation, which determines the high water content of the rivers. Many settlements experience the negative impact of water bodies in the form of flooding and coastal erosion. The activation of hydrogenic processes is often due to a technogenic factor, including incorrect regulation of river flow, dredging developments that transform the alluvial relief and change the river flow. Some rural settlements of the Chemal region are subject to the negative impact of black ice. First of all, these are the villages of Askat and Beshpeltir, located along the tributaries of the Katun River. The village of Askat is located at the mouth of

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the Askat River—the left tributary of the Katun River. In the village Beshpeltir, water bodies are represented by the Uznezya River and its tributaries—Uytushken, Chichke, Beshpeltir, and Kolbajok. All water bodies are predominantly snow-fed. The flood, as a rule, has two waves, in April and May–June. The maximum activity of ice processes occurs in February–March. Within the borders of the Ongudai administrative district, such hydrogenic processes as black ice, coastal and plane erosion, and flooding negatively impact villages. The negative influence is average high, sometimes very high, and sometimes even reaches the level of a local emergency. The dominant type of negative impact of water bodies in rural settlements of the Shebalinsky district is black ice. Mudflows along the Kamlak River are extremely rare. The Ust-Kansk district mainly experiences the negative impact of black ice. Periodic flooding of the territory is recorded in the village of Korgon. Rural settlements in the Ust-Koksinsky district are negatively affected by flooding and erosion. Additionally, with a high intensity of floods, flooding of coastal areas is recorded. In general, the territory is marked with avalanche-prone areas on mountain slopes. The territory of the Ulagan district is marked with the presence of ice jamming. Moreover, settlements are periodically flooded and are affected by ice formation processes. The climatic conditions of most of the Kosh-Agach district are severe, which causes the widespread development of negative processes. The dominant type of impact is black ice, flooding, and mudflows. Most of the villages experiencing ice flooding have fairly effective protection structures in the form of anti-ice ramparts, which sometimes can have considerable length covering practically the entire village. A different situation is developing in villages, the territory of which is partially flooded at the peak of high water. Protection structures in these areas are fragmentary or none. Their efficiency is low, and the condition is often unsatisfactory. Thus, the territories of all municipalities can be ranked by the number of occurring unfavorable hydrological phenomena. The resulting assessment of the degree of susceptibility of the municipalities of the Altai Republic to hazardous hydrological phenomena and processes was carried out using the scoring method. We used such evaluative indicators as the presence on the territory of rural settlements of ice jams, black ice, flooded areas, the development of coastal erosion, mudflows, avalanche-prone areas within a radius of 500 m from them, settlements with the lowest water availability per person. If five or more hazardous hydrological processes and phenomena are observed on the territory, it can be described as a territory of very high exposure. There are three districts of very high exposure within the territory of the Altai Republic (Fig. 1)— the city of Gorno-Altaysk, the Chemal rural settlement, and the Tenginskoe rural settlement.

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Fig. 1 The exposure to hazardous hydrological phenomena in rural settlements of the Altai Republic. Source Compiled by the authors

The areas of high exposure include territories with four hazardous phenomena manifested. This group included 11 rural settlements—Kyzyl-Ozekskoye, Kamlakskoye, Cherginskoye, Balyktuyulskoye, Kuraiskoye, Ongudayskoye, Shashikmanskoye, Birblinskoye, Cherginskoye, Ust-Koksinkoye, and Korgonskoye. The districts of the group with significant exposure to HP are influenced by three different negative processes or phenomena. This group includes Talitskoe, Maiminskoe, Ognevskoe, Elinskoe, Dyektiekskoe, Verkh-Uimonskoe, Gorbunovskoe, Verkh-Apshuyakhtinskoe, Uznezinskoe, Chendekskoe, Beshpeltirskoe, Ininskoe, Mukhor-Tarkhatinskoe, Chelushmanskoe, Chibitskoe, Chagan-Uzunskoe, Saratanskoe, and Kazakhskoe rural settlements. The processes and phenomena creating such a complex situation were described above. The group of average exposure (1–2 HP) includes 52 rural settlements: 1. 2.

Aktash Aktelskoe

44

3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17. 18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34. 35. 36. 37. 38. 39. 40. 41. 42. 43. 44. 45. 46. 47.

O. V. Zhuravleva et al.

Amurskoe Anosinskoe Artybashskoe Baragashshkoe Beloanuyskoe Beltirskoe Besh-Ozyokskoe Biykinskoe Cheposhskoe Chernoanuyskoe Chibilinskoe Choiskoye Dmitrievskoe Elekmonarskoe Ilyinskoe Karagayskoe Karakokshinskoe Karakolskoe Kaspinskoe Katandinskoe Kebezenskoe Khabarovskoe Kokorinskoe Kosh-Agachskoe Kozulskoe Kuladinskoe Kupchegenskoe Kurmach-Baigolskoe Kuyusskoe Manzherokskoe Mayskoe Mendur-Sokkonskoe Nizhne-Taldinskoe Ortolykskoe Paspaulskoe Shyrgaytinskoe Souzginskoe Syokinskoe Taldinskoe Telengit-Sortogoiskoe Tobelerskoe Turochakskoe Ulaganskoe Uluscherginskoe Ust-Kanskoe

Territorial Features of Manifesting Hazardous Hydrological Phenomena …

48. 49. 50. 51. 52.

45

Ust-Muninskoe Ust-Mutinskoe Yaboganskoe Yakonurskoe Ynyrginskoe.

The rest of the territory can be attributed to the group of low exposure to HP. Here, the situation is calmer, dangerous phenomena are either not observed or rarely appear on a small scale.

4 Discussion The ranking of the territories allowed us to generalize information and identify territories that need special attention since there is a high risk of extreme water-ecological and emergencies. The next stage of the work is to analyze the possibilities of managing the identified situation and develop measures to reduce the negative impact. Natural risk management is a priority. The management strategy will be successfully developed if there is an adequate assessment of the situation in a particular territory. Risk management is the final stage in solving the problem of analyzing natural hazards, the vulnerability of people and the economy, and risk assessment [9]. The measures used in the management procedure should be aimed at reducing the intensity or recurrence of abnormal natural phenomena, reducing the vulnerability of the sociotechnical sphere, and mitigating the consequences of natural disasters. Managing the development of most natural hazards is challenging since many of them defy direct control [8]. Risk management often takes an indirect path—reducing vulnerability through measures to increase resilience, security, and adaptation of people and infrastructure to natural hazards. To this end, preventive measures are being taken to protect the population and increase infrastructure resilience. Economic activity is streamlined, and the territory is used rationally, natural risks are insured, etc. To prevent and minimize damage to the population and economy of the Altai Republic caused by hazardous situations, it is advisable to develop measures according to the degree of territory’s exposure to HP. Thus, for example, for a group of municipalities where five or more dangerous phenomena are recorded, it is necessary to envisage measures to clean up river beds to improve drainage and ice drift, provide regulated development of hazardous areas and insurance of residential buildings. Actions to resettle the residents should be worked out in case of an aggravation of the situation. Based on the spatial characteristics, it is necessary to work out the engineering protection of settlements. For municipalities with a low degree of danger, measures for the regulated development of hazardous areas are quite sufficient so far.

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5 Conclusion The developed ranking of the territory according to the degree of hydrological hazard, based on the compiled information database on the municipal formations of the Republic, made it possible to generalize the results and show the cumulative danger to the population. The obtained results can be used by economic entities and the authorities of municipalities for the development and adoption of managerial decisions to minimize and prevent threats caused by hazardous hydrological phenomena. Acknowledgements The work was carried out within the framework of state tasks of organizations where the authors work.

References 1. “All-Russian Research Institute of Hydrometeorological Information—World Data Center” (2019) Information about unfavorable weather conditions and dangerous hydrometeorological phenomena that caused social and economic losses on the territory of Russia. Retrieved from http://meteo.ru/data/310-neblagopriyatnye-usloviya-pogody-nanjosshie-eko nomicheskie-poteri 2. Bobrova DA (2017) Building a map of natural avalanche complexes for lowland areas (on the example of the Sakhalin Island). Bull Far Eastern Branch Russ Acad Sci 4(194):141–146 3. Dostovalova MS (2013) Report on the object “pre-flood survey of flood-prone areas and water bodies of the Altai Republic—tributaries of the Katun River”. Funds of OJSC “Altai-Geo”, Gorno-Altaysk, Russia 4. Dyshlyuk SS, Drannikova ZA (2013) Modern application of GIS technologies for monitoring snow avalanches. Interexpo Geo-Siberia 7:93–97. Retrieved from https://cyberleninka.ru/art icle/n/sovremennoe-primenenie-gis-tehnologiy-pri-monitoringe-snezhnyh-lavin 5. Kanaev LA, Kakurina EG (eds) (1986) USSR avalanche cadastre. In: Siberia and the Far East, vol 15–20. Gidrometeoizdat, Leningrad, USSR 6. Ministry of Emergency Situations of the Altai Republic (2019) Operative information. Retrieved from https://04.mchs.gov.ru 7. NASA JPL (2013) NASA shuttle radar topography mission global 3 arc second sub-sampled V003. https://doi.org/10.5067/MEaSUREs/SRTM/SRTMGL3.003 8. Osipov VI (2010) Natural risk management. Bull Russ Acad Sci 80(4):291–297 9. Ragozina AL (ed) (2003) Natural hazards of Russia. The assessment and management of natural risks. KRUK Publishing Company, Moscow, Russia 10. Seversky IV, Blagoveshchensky VP (1983) Avalanche hazard assessment in mountainous areas. Nauka, Alma-Ata, USSR 11. Sokolov AA (ed) (1976) Catalog of congestion and ice jam areas of the rivers of the USSR, vol 2. Gidrometeoizdat, Leningrad, USSR 12. Soloviev AS, Kalach AV, Parinov AV (2014) Features of mathematical modeling of the zone of distribution of an avalanche. Bull Voronezh Inst State Fire Serv Ministry of Emerg Situat Russ 4(13):64–68. Retrieved from https://cyberleninka.ru/article/n/osobennosti-matematiches kogo-modelirovaniya-zony-rasprostraneniya-snezhnoy-laviny 13. World Economic Forum (2017) Global risk report, 2017. Retrieved from http://reports.wef orum.org/global-risks-2017 14. World Economic Forum (2019) Global risk report, 2019. Retrieved from http://www3.wef orum.org/docs/WEF_Global_Risks_Report_2019.pdf/

Assessment of Surface Water Quality in the Markha River Basin on the Territory of the Nyurba Ulus (District) of the Republic of Sakha (Yakutia) Marta I. Ksenofontova , Petr P. Danilov, and Igor N. Makarov Abstract The paper presents the results of hydrochemical research of surface water of the Markha river basin of the Nyurba district. The main sources of water supply in this district are the Vilyu river, its tributary—the Markha river, and various lakes. Localities situated on the watershed of the Markha river are acutely lacking in water supply sources. This area is marked by shallowing of lakes due to a combination of several factors: a dry summer, an increase of forest fires, and an artificial decrease in the water level. In total, we tested 60 samples of surface water and bottom sediments. The researched lake waters of the Nyurba district are characterized by low to high mineralization. The pH varies from neutral to highly alkaline waters. In terms of hardness, they are characterized from very soft to very hard waters. The ionic composition is dominated by bicarbonates, sodium, magnesium, and calcium. Besides the lakes of the Khaty village in the drying stage (where the dominance of sulfates in the anionic composition is noted), there is an increase in mineralization, main ions, biogenic elements, manganese, iron, and copper, exceeding the standards of Maximum Permissible Concentration (MPC) for water in commercial fishery reservoirs by several tens of times. The greatest variations in the accumulation of trace elements are observed in the bottom sediments of thermokarst lakes. They are characterized by the accumulation of zinc, manganese, cobalt, arsenic, nickel, plumbum, and ferrum. Keywords Surface water of the Markha river · Thermokarst lakes · Hydrochemistry · Maximum permissible concentration (MPC) · Nyurba district · Water quality

1 Introduction Historically and geographically, most rural localities in Central Yakutia were formed near water sources—lakes and rivers. M. I. Ksenofontova (B) · P. P. Danilov · I. N. Makarov Research Institute of Applied Ecology of the North NEFU, Yakutsk, Russia e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 S. G. Maximova et al. (eds.), Advances in Natural, Human-Made, and Coupled Human-Natural Systems Research, Lecture Notes in Networks and Systems 252, https://doi.org/10.1007/978-3-030-78105-7_5

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In the catchment areas of lakes, logging of tree and shrub vegetation is observed. In addition, the increase in the area of haymaking and cultivated land leads to the development of erosion processes and siltation of lakes, the construction of large livestock farms on the banks of lakes—to the removal of livestock waste into reservoirs. The application and storage of large amounts of mineral fertilizers, including pesticides and herbicides, lead to removing various substances to the lakes, and the flow of municipal wastewater increases every year. Overall, all these factors lead to the degradation of reservoirs and the development of the eutrophication process due to an increase in the intake of organic substances and related biogenic elements to the reservoir. The processes of its destruction are intensified, the redox conditions of the environment change, and the content of mobile forms of trace elements in the water increases. The Nyurba ulus (district) of the Republic of Sakha (Yakutia) is one of the largest industrial, cultural, and administrative districts of Sakha. The district is situated on the territory of the Central Yakut plain; the main waterways are the Vilyu river and its tributary—the Markha river. The lake system of the studied territory is represented by reservoirs of thermokarst, thermokarst-erosive, and water-erosive (ancient) origin, belonging to the basin of the Markha river. Recently, the issue of water supply to the population of the Nyurba ulus [in particular, rural settlements of the Markhinsky Kust (district)] has become acute. Due to the dry summer, severe forest fires, and incorrect measures for lowering reservoirs, the drying up of lakes is observed, which has led to an acute shortage of water for the needs of the rural population.

2 Materials and Methods The current research is based on the results of field research conducted in July 2019 by employees of the Research Institute of Applied Ecology of the North named after Professor D. D. Savvinov of North-Eastern Federal University (NEFU) of the Nyurba ulus (district). We collected 60 samples of surface water and sediments in total. Surface water sampling was carried out under GOST 31861-2012 (Water. General requirements for sampling). Bottom sediments were selected according to the GOST 17.1.5.01-80 (Nature protection. Hydrosphere. General requirements for sampling bottom sediments of water bodies for contamination analysis). To determine the water quality of the studied streams, we used the Maximum Permissible Concentration (MPC) for water in commercial fishery reservoirs according to the Order of the Ministry of Agriculture of the Russian Federation On approval of standards of water quality of water bodies of fishery significance, including the maximum permissible concentrations of harmful substances in the waters of water objects of the fishery of December 13, 2016 № 552. For sanitary and hygienic assessment of surface water, we relied on the GOST 2.1.5.1315-03 (Maximum Permissible Concentrations of chemical substances in the water of water bodies of economic, drinking, and cultural water use).

Assessment of Surface Water Quality in the Markha River Basin …

49

Table 1 Local geochemical background of bottom sediments Element

Pb

Ni

Mn

Cd

Co

Cr

Zn

As

Fe

Lakes (n = 23)

1.98

3.13

326.1

0.05

1.06

1.12

17.8

Cu 5.9

0.49

139.4

Markha river (n = 60)

5.61

3.82

163.1

0.04

5.11

4.52

15.4

12.7

0.3

140.9

Source Compiled by the authors

Due to the lack of standards for MPC for bottom sediments, we used a local geochemical background to determine the quality. It was calculated for mobile forms of trace elements with 1H nitric acid extraction for the Viluy river basin (Table 1). Chemical and analytical work was carried out in the Laboratory of Physical and Chemical Methods of Analysis Research Institute of Applied Ecology of the North of NEFU using methods of capillary electrophoresis, atomic absorption spectrometry, fluorimetry, potentiometry, photometry, and gravimetry.

3 Results Thermokarst lakes are widespread almost everywhere, but the most common are placed on: 1. The cover deposits of ancient leveled denudation plains and plateaus composed of Mesozoic sedimentary rocks; 2. The covers of the current denudation plains and plateaus with the same Mesozoic rocks; 3. The medium and high terraces of large rivers in Central Yakutia. The forms of thermokarst lakes are diverse, sometimes exceptionally complex. Within the region, there are thermokarst basins of round, oval, elongated, and with varying degrees of complexity forms. The rounded shape of thermokarst lakes indicates that the process of melting underground ice continues since the rounded shape of the lakes is most favorable for the uniform distribution of incoming heat. As the thermokarst process develops, the forms of lakes become more complex and take on a complex shape [1]. Lakes belonging to the erosion-thermokarst type are the most ancient in Central Yakutia, as evidenced by the maximum thickness of bottom sediments (up to 4.5– 5.5 m) [2, 3]. Water-erosive lakes (old ones) are formed due to the opening of through channels or changes in the main riverbed. These lakes can be periodically connected to the river, mainly during high water [2, 3].

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The researched lake water of the Nyurba district is characterized by low to high mineralization, and the pH varies from neutral to highly alkaline waters. In terms of hardness, they are characterized from very soft to very hard waters. The ionic composition is dominated by bicarbonates, sodium, magnesium, and calcium. Besides the lakes of the Khaty village in the drying stage (where the dominance of sulfates in the anionic composition is noted), there is an increase in mineralization, main ions, biogenic elements, manganese, iron, and copper, exceeding the standards of MPC for water in commercial fishery reservoirs by several tens of times. Most of the studied waters have a high colority and turbidity, which does not meet hygienic standards. According to them, lake waters also do not meet the requirements for manganese and ferrum. In most lake water, fluorides, strontium, and barium are recorded, probably due to the underground water (talics) involved in reservoir feeding. In addition, most of the lakes are in the eutrophication stage, which is confirmed by high concentrations of phosphate and nitrite ions. The process of eutrophication is influenced by a combination of agricultural and household runoff and a small amount of precipitation (the predominance of evaporation over precipitation). This process is complex and irreversible and may eventually lead to water blooming. One of the naslegs (districts) of the Nyurba district, where an acute shortage of drinking water due to the lack of surface and underground sources suitable for drinking is observed, gets water supply from Megezhek nasleg (district) (Khaty village). Nearby lakes are drying up (Fig. 1). The exact cause of the drying process is unknown. But it is probably due to a combination of several reasons: (1) draining of water from lakes, (2) dry summers, (3) low precipitation, and (4) a decrease in the underground supply of reservoirs. Drinking water is brought from the Malykai village by a single vehicle—a water carrier. The population collects and uses rainwater for their needs. For watering cattle in the summer, a pit was dug and filled with water from the Markha river by a water carrier (Fig. 2). In winter, the problem of cattle watering is even more acute due to the freezing of lakes to the bottom. To solve the problem of water supply, the initiative of the residents was to build an artificial dam to block the water of the Mar Yuryakh stream. The only source of water supply for educational institutions is the Bagadya lake. The drying lakes of the Khaty village are characterized by high mineralization with an alkaline environment and very hard water. Sulfates, magnesium, and sodium dominate the ionic composition. The concentration of suspended matter in water and biogenic elements (ammonium, nitrites, and phosphates) increases. We also recorded high concentrations of manganese, copper, iron, and phenols. The color index reaches up to 210°, turbidity—up to 9 Formazine Nephelometric Units (FNU). Currently, an artificially created reservoir on the Mar Yuryakh river is unsuitable as a source of water supply, as there are very high concentrations of manganese (up to 7 MPC for water in commercial fishery reservoirs) and iron (up to 6 MPC for water in commercial fishery reservoirs). Besides, the indicator of color (up to 300°) and turbidity (13.5 FNU) do not meet the hygienic standards.

Assessment of Surface Water Quality in the Markha River Basin …

51

Fig. 1 The lake is in the process of drying up. Source Compiled by the authors

Fig. 2 The hole for the watering of cattle in the village of Khaty. Source Compiled by the authors

The only possible water supply source remains the Bagadya lake only. However, in connection with small quantities of precipitation in the warm season, and the prevalence of evaporation over precipitation may be fluctuations in the reservoir level to decrease water surface area and depth, which in consequence may lead to the deterioration of the lake water.

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One of the sources of water supply for localities is the Markha river water. The Markha river is a major left tributary of the Vilyu river. In the basin of the watercourse, there are large industrial hubs, such as the Aikhalsky, Udachninsky, and Nyurba districts, mining, and processing plants for diamond production of ALROSA Diamond Company. During the study, it was characterized by low mineralization with an alkaline and slightly alkaline environment and soft water. The ionic composition of water throughout the river remained stable of the bicarbonate class of the calcium group. The excess of MPC for water in commercial fishery reservoirs standards was noted on average 1.9 times for manganese, 6.7 times—for copper, and 4 times—for iron. The Markha river water does not meet the hygienic standards in terms of color (on average 2.2 times) and iron (up to 1.3 times). Detection of barium in the water of the river Markha and the presence of salt deposits in the coastal zone may indicate the discharge of highly mineralized groundwater, which origin is unknown and requires additional research. Bottom sediments are traditionally used as an indicator to identify the composition, intensity, and extent of pollution. They are one of the most informative indicators of the state of water ecosystems and their key component. The bottom sediments of the studied lakes are, on average, slightly alkaline (pH = 7.2–8.2). The content of organic substances, on average, reaches up to 25% (Sorg 11.1–42.3%). The maximum content of organic substances was found in the Indebil lake (Wodey village). This content of organic substances is typical for bottom sediments of thermokarst lakes. Sulfates and calcium dominate the cationic-anionic composition of the bottom sediments of the studied lakes. The greatest variations in the accumulation series are observed in the bottom sediments of the Moosani lake at the point of the intake and Mar Yuryakh river. They are characterized by the accumulation of zinc, manganese, cobalt, arsenic, nickel, lead, and iron. At the same time, at another point (under the village) of Moosani lake exceeding the local background is not revealed. Perhaps this variation is due to the high content of organic matter at point one (water carrier) and in Staritsa lake up to 26% by weight. The high content of organic matter well accumulates trace elements. Accumulation of nickel, cobalt, and ferrum has been recorded in the lakes of the Akaninsky naslega. In Woday lake, the bottom sediments are enriched with iron. In three samples of bottom sediments of the Jencyudya lake, the excess of the geophone is not marked. Thus, the accumulation of mobile forms of trace elements is observed in bottom sediments, where there are quite high levels of organic substances since these substances accumulate them well. In the bottom sediments of the Markha river and its tributary Kuonanchan, the condition is mainly alkaline (pH = 8.1–8.9). The content of organic matter is quite low and, on average, is 1.3% (0.19–19.4%). The maximum content of organic matter was found in the bottom sediments above the Malykai village. The cationic-anionic composition of bottom sediments is dominated by bicarbonates, chlorides, calcium, and magnesium.

Assessment of Surface Water Quality in the Markha River Basin …

53

In a tributary of the Markha river, the Kuonanchaan river, there is an accumulation of ferrum. There is no excess of the local geochemical background in the bottom sediments of the Markha river to the Maljegar village. In the bottom sediments of the Markha river under Yengoldzha village and further downstream to the Kirov village, there is an accumulation of iron and manganese. Near the Zharkhan village, we revealed an excess of the local background for iron. Thus, in the bottom sediments of the Markha river, there are excesses relative to the local background—manganese and ferrum.

4 Discussion We found that the surface water supply sources from the studied lakes are more similar in chemical composition to the Muosaany, Uren, and Kubalaah lakes. Uren and Kubalaah are located at a distance from the village. Lake Muosaany is situated in the vicinity of the locality, so it is mandatory to observe the Sanitary Protection Zone (SPZ), and in addition, the probability of water quality deterioration is very high due to agricultural and household runoff. In addition, a competent approach to the design of an artificial reservoir on the Mar Yuryakh stream with preliminary engineering-hydrometeorological and ecological surveys, followed by the organization of the bed of a small reservoir, would allow solving the problem of the lack of a drinking water source in the Khaty village. Further research is needed to predict changes in surface water quality.

5 Conclusion The main sources of water supply for the population of the Nyurba ulus are surface waters—the Vilyu river and its tributary, the Markha river, and thermokarst erosionthermokarst and water-erosion lakes. The share of underground water use is very low since most of the underground water requires pre-treatment for further use as a source of water supply. It should be noted that the Viluy and Markha regions are subject to technogenic impact by the ALROSA Diamond Company. There is a particularly tense situation in providing the population of the Nyurba district with high-quality drinking water after an emergency dam break on the Ireli river and the arrival of human-made water in the Vilyu river, where 2/3 of the population was without a single source of water supply. Due to climate change and the irrational use of water resources, localities of the watershed of the Markha river have an acute shortage of water supply. Currently, the issue of alternative sources of water supply at the level of municipalities and state bodies of the Republic of Sakha is resolved in Nyurba ulus.

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References 1. Bosikov NP (1991) Evolution of the alases of Central Yakutia. Yakut ASSR: Melnikov Permafrost Institute, Yakutsk, p 127 2. Pestryakova LA (1983) Typological meaning of morphometric indicators of Central Yakutia. Issues of rational use and protection of natural resources of various types of permafrost lakes. Yakut ASSR: Yakutsk State University, Yakutsk, pp 89–96 3. Zhirkov II (1983) Morphogenetic classification as a basis for rational use, protection, and reproduction of natural resources of permafrost lakes (on the example of Central Yakutia). Issues of rational use and protection of natural resources of various types of permafrost lakes. Yakut ASSR: Yakutsk State University, Yakutsk, pp 4–46

Research on High-Viscosity Oil of the Zyuzeyevskoye Field to Select the Controlling Method for Asphaltene, Resin, and Paraffin Substances Deposition in Oil Production Dinar Z. Valiev , Ruslan A. Kemalov , and Alim F. Kemalov Abstract The paper considers the current views on the government deposits of asphaltene, resin, and paraffin substances in oilfield equipment and possible solutions to this issue. The authors introduce classification and choose the most effective solvent to determine the optimal method for controlling sediments. The solutions of each sediment component are analyzed by the conductometric method of dispersion analysis with the help of the Coulter counter particle size analyzer, and there is a comparative evaluation of the sizes and ratios in sediments of various oils. In the various oils of the Zyuzeyevskoye field, the content of resinous-asphaltenic substances is above the critical value of 35 wt%. The decrease in the proportion of resinous-asphaltenic substances in the Vereiskian, Bashkirian, and Tournaisian reservoirs is associated with an increase in the oil-bearing rock age. Branching of paraffinic structures and high condensation of polyaromatic structures affect all production processes and oil treatment and transportation. The paper presents the influence of hydrocarbon composition on the development mechanism, composition, and properties of asphaltene, resin, and paraffin substances. The research demonstrates that in order to select the most effective ways of organic substance sediment prevention and removal from the physical–chemical point of view, one needs to obtain an idea about the composition and the properties of the initial oil and the developed deposits. Keywords Asphalt and resin paraffin substances · Carbonic oils · Development · Bottom · Hydrocarbons · Composition · Production · Transportation

1 Introduction With the development of light oils, in just a few years, the basis of the hydrocarbon potential of Tatarstan will be carbonic oils. These oils differ in their basic physicochemical properties and composition [4]. D. Z. Valiev (B) · R. A. Kemalov · A. F. Kemalov Kazan Federal University, Kazan, Russia e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 S. G. Maximova et al. (eds.), Advances in Natural, Human-Made, and Coupled Human-Natural Systems Research, Lecture Notes in Networks and Systems 252, https://doi.org/10.1007/978-3-030-78105-7_6

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During oil production, they encounter one of the issues causing the complication in automatic oilfield equipment and further transportation through pipelines. These deposits accumulate in the flowing parts of oilfield equipment and on the inner surface of pipes, which leads to a decrease in oil production and transportation system productivity [2]. Deposits of asphaltene, resin, and paraffin substances (ARP-S) increase the equipment wear, energy costs, and pressure in a system. Currently, this issue is exceptionally urgent for the production and transportation of hydrocarbons. The following factors influence the development of ARP-S: . . . . .

Pressure reduction; Intensive gas release; Temperature drop; Composition of hydrocarbons; Temperature gradient change.

2 Materials and Methods The primary method of ARP-S removal is the prevention of deposit development on oilfield equipment, but if the deposits have developed, then the secondary method consists in removing these sediments [3]. ARP-S deposits are formed in a bottom hole zone of a well, on the walls of a wellbore, and oilfield equipment. The authors propose the following methods of prevention and disposal of these sediments: . The injection of reagents, acids, coextractants, suppressing the development of paraffin bunches during the extraction and the transportation of hydrocarbons into a system; . The covering of the inside of an oil field equipment with a layer reducing the adhesion of ARP-S to the pipe walls; . The injection of biodegradable composition into an extracting medium, which prevents the development of ARP-S; . The installation of electric heaters at a well bottom designed to maintain the temperature above the melting point of paraffin in a well; . The increase of asphalt-resinous compound percentage; . The maintenance of constant pressure in the system of oil production equipment at the well bottom; . The use of exothermic reactions, and, thus, the increase of produced hydrocarbon temperatures at the bottom of a well and the prevention of asphalt-resinous and paraffin deposit development. One should note that while selecting one or more ARP-S prevention methods or removal, the composition and the properties of hydrocarbons, the percentage ratio of asphaltenes, resins, and paraffin should be considered [1].

Research on High-Viscosity Oil of the Zyuzeyevskoye Field to Select …

57

Determination of particle size of oil dispersed systems is carried out by conductometric method using the Coulter Counter analyzer of the TA-II model of IDF Production (UK). The determination of dispersity by the conductometric method is based on measuring the electrical resistance at the moment when the particles pass through the calibrated micro-holes. The working apertures (tubes) of different diameters are used to determine the particle size of the disperse system. The working volume of the sample is 0.5 ml. The research uses the method of IR spectroscopy to analyze oils and their components. Furthermore, it evaluates the average molecule of the studied objects based on spectral coefficients.

3 Results The research object is the high-viscosity oil of the Zyuzeyevskoye field. A feature of this field is the production of carbonic (high-viscosity) oil, which is characterized by a reduced yield of straight-run light fractions and a high content of sulfur and metals. Characteristics of Zyuzeyevskoye oil treated in accordance with the requirements of GOST R 51858-2002 are illustrated in the work [4]. The authors select oil samples from four productive reservoirs for the analysis. They include Vereiskian, Baskirian, Bobrikovskian, and Tournaisian. Table 1 presents the results of the oil composition of individual reservoirs. By studying the distribution of oil components, one can trace the patterns associated with an increase in the age of oil-bearing rocks represented by carbonate rocks (Vereiskian-Bashkirian-Tournaisian). According to the compositional data for all studied oils, the content of resinous-asphaltenic substances exceeds the critical concentration. Table 1 The composition of oils of individual reservoirs Reservoir/stage, well number

Composition, in wt% I. B. − 200 °Ca

Oils

Benzene resins

Alcohol-benzene resins

Asphaltenes

1

2

3

4

5

6

Vereiskian; 2518 14.9

35.9

37.6

8.3

3.3

Bashkirian; 962

12.6

47.6

27.3

7.6

4.9

Bobrikovskian; 2363

11.5

45.3

29.8

10.2

3.2

Tournaisian; 2325

9.0

46.0

26.2

9.6

9.2

Source Compiled by the authors a I. B. initial boiling

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Samples of deposits ASP-B of Tatnefteprom-Zyuzeyevneft JSC belong to the asphaltene type. For the ASP-B asphaltene type, the most effective solvent is an aromatic solvent [4]. These solvents have an excellent dissolving power concerning asphalt-resinous substances. The nature of the action of the solvent consists in dissolving the resins, which are the binding agent of paraffin agglomerates, and the partial dissolution of asphaltenes, transferring deposits on pipelines into suspended particles that are easily carried away by the flow. Besides, in the course of this paper, solutions of each component of deposits are analyzed with the Coulter Counter particle size analyzer in order to evaluate the sizes comparatively, their ratios in sediments of various oils. The study results are presented in Tables 2 and 3 and Fig. 1. The particle sizes are represented as the Poisson distribution in (Fig. 1). As can be seen from the graphs, there is an almost identical repetition of the curves obtained during the analysis of the group components of various ASP-Bs. From the authors’ perspective, this fact allows one to preliminarily conclude that in the investigated sediments, despite the different origin and differences in the group composition, the ASP-B components do not differ in their characteristics from each Table 2 Particle sizes of ASP-B in the Zyuzeyevskoye oilfield well No. 2321. TatneftepromZyuzeyevneft JSC Channel range (µm)

% of the total particle number Paraffins

Resins

Asphaltenes

1

2

3

4

1.26–1.59

0

0

0

1.59–2.00

6.7

6.9

7.1

2.00–2.52

8.2

7.9

8.7

2.52–3.17

5.9

6.3

6.3

3.17–4.00

7.5

7.7

7.4

4.00–5.04

6.5

6.3

5.8

5.04–6.35

6.7

6.8

6.8

6.35–8.00

7.9

7.7

7.5

8.00–10.1

4.8

4.3

4.3

10.1–12.7

8.1

7.9

7.7

12.7–16.0

7.1

7

6.8

16.0–20.2

5

5.4

5.3

20.2–25.4

5.9

5.8

5.7

25.4–32

5.3

4.3

5.2

32–40.3

4.9

5

5

40.3–

8

7.9

7.8

Source Compiled by the authors

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Table 3 Particle sizes of ASP-B in the Zyuzeevsky deposit borehole. No. 961 of TatneftepromZyuzeyevneft JSC Channel range (µm)

% of the total particle number Paraffins

Resins

Asphaltenes

1

2

3

4

1.26–1.59

0

0

0

1.59–2.00

6.1

6.8

7.6

2.00–2.52

7.5

7.7

8

2.52–3.17

6.1

6.1

6.2

3.17–4.00

7.5

7.5

7.6

4.00–5.04

6.1

6

6.2

5.04–6.35

6.8

6.7

6.8

6.35–8.00

6.9

7.5

7.6

8.00–10.1

4.3

4.2

4.3

10.1–12.7

7.8

7.6

7.7

12.7–16.0

6.9

6.8

6.8

16.0–20.2

5.9

5.3

5.4

20.2–25.4

5.8

5.6

5.8

25.4–32

6.6

5

4.6

32–40.3

5

5

5

40.3–

8.2

7.8

7.9

Source Compiled by the authors

other. It is possible to assume that the group components have approximately the same molecular mass and structure. ARP-S development factors. The authors have learned that the thickness of ARP-S deposits depends on the depth (Fig. 2). Figure 3 depicts asphaltene-resinous and paraffinic deposits. In the process of analyzing Figs. 2 and 3, one should note that the development of ARP-S on the borehole wall is associated with a temperature drop, thereby making it challenging to extract hydrocarbons from the formation. In addition, dynamics growth does not occur in the oil extraction industry [6].

4 Discussion The authors introduce classification and choose the most effective solvent to determine the optimal method for controlling sediments. The solutions of each sediment component are analyzed by the conductometric method of dispersion analysis with

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Fig. 1 Poisson distribution of asphaltene particles in a solution of benzene. Source Compiled by the authors

the help of the Coulter counter particle size analyzer, and there is a comparative evaluation of the sizes and ratios in sediments of various oils. Samples of deposits ASP-B of Tatnefteprom-Zyuzeyevneft JSC belong to the asphaltene type. For the ASP-B asphaltene type, the most effective solvent is an aromatic solvent. These solvents have an excellent dissolving power with respect to asphalt-resinous substances. The nature of the action of the solvent consists in dissolving the resins, which are the binding agent of paraffin agglomerates, and the partial dissolution of asphaltenes, transferring deposits on pipelines into suspended particles that are easily carried away by the flow. Based on the research results, one can observe almost the exact repeatability of the curves obtained in analyzing the group components of various ASP-Bs. The research reveals that in the investigated sediments, despite the different origin and differences in the group composition, the ASP-B components do not differ in their

Mass content of ARP-S in the composition of deposits,%

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80 70 60 50 40 30 20 10 0 50

250

450

650

850

1050

1250

1450

Depth of deposits ARP-S sampling, m 2 1

Fig. 2 Dependence of deposit thickness on depth. 1—Paraffins, 2—ARP-S. Source Compiled by the authors

Fig. 3 Deposits of asphaltene, resin, and paraffin substances. Source Compiled by the authors

characteristics from each other, so it is possible to assume that the group components have approximately the same molecular mass and structure. In general, in the various oils of the Zyuzeyevskoye field, the content of resinousasphaltenic substances is above the critical value of 35 wt%. The decrease in the proportion of resinous-asphaltenic substances in the Vereiskian, Bashkirian, and Tournaisian reservoirs is associated with an increase in the oil-bearing rock age. Branching paraffinic structures and high condensation of polyaromatic structures affect all production processes, treatment, and transportation of oil [5].

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5 Conclusion The paper explains the influence of hydrocarbon composition on the ARP-S development mechanism, composition, and properties. The authors also illustrate the methods for removing deposits associated with the use of various additives and reagents and the methods for the prevention of sediment development. The research demonstrates that in order to select the most effective ways of organic substance sediment prevention and removal from the physical–chemical point of view, one needs to obtain an idea about the composition and the properties of the initial oil and the developed deposits. High-molecular components of oil, namely, their composition, structure, and percentage ratio, have particular importance in many factors that determine the propensity of hydrocarbons to develop asphalt-resinous and paraffinic deposits. Bearing in mind the properties and composition of hydrocarbons, their thermal and hydrodynamic conditions in a productive reservoir, and selecting the methods of fighting with ARP-S properly, one can avoid oilfield equipment and pipeline wear. At one time, this is an economically advantageous condition for the oil and gas industry, which in turn contributes to the reduction of overhaul number and reduced downtime of wells, provides the extension of the equipment life and the rhythmic work of industry, while also reducing the cost of oil production. Acknowledgements The research is conducted according to the Russian Government Program of Competitive Growth of Kazan Federal University.

References 1. Acevedo S, Castro A, Negrin JG, Fernandez A, Escobar G, Piscitelli V, Delome F et al (2007) Relations between asphaltene structure and their physical and chemical properties: the rosarytype structure. Energy Fuels 21(4):2165–2175 2. Glushchenko VN, Silin MA, Ptashko OA, Denisova AV (2008) Oilfield chemistry: complication in the reservoir-well-oil processing and pumping facility system: a tutorial. Maks Press, Moscow, Russia 3. Ibragimov NG, Khafizov AR, Shaidakov VV, Khaidarov FR, Emelyanov AV, Golubev MV, Laptev, AB (2003) Complications in oil production. Monograpfiya, Ufa, Russia 4. Kemalov AF, Kemalov RA, Valiev DZ (2013) Studying the structure of difficult structural unit of high-viscosity oil of the Zyuzeevskoye field by means of structural and dynamic analysis on the basis of a NMR and rheological researches. Oil Ind 2:63–65 5. Oh K, Terry RA, Milind DD (2004) Asphaltene aggregation in organic solvents. J Colloid Interface Sci 271(1):212–219 6. Valiev DZ, Kemalov RA, Kemalov AF (2019) Regulating temperature of oil saturation with paraffins to avoid asphaltene, resin and paraffin substances deposition during oil production. In: IOP conference series: earth and environmental science, vol 282. Institute of Physics Publishing, Chengdu, China, p 012023. https://doi.org/10.1088/1755-1315/282/1/012023

Chemical Synthesis of Magnetic Materials of the Nd2 Fe14 B SiO2 Alloy of Core–Shell Nanocomposites Odiljon E. Abdurakhmonov , Daria A. Vertaeva , and Evgeny V. Yurtov

Abstract We formed nanoparticles of the alloy with the composition Nd–Fe–B using the chemical method of co-precipitation reduction by reducing agent sodium borohydride. The nanoparticle size was 35–95 nm. The silica coating was applied after stabilizing the nanoparticles with APTMS. The core of Nd–Fe–B alloy nanoparticles covered by a SiO2 shell. The Nd2 Fe14 B SiO2 nanoparticles were obtained with an average particle size of 35–125 nm with a shell width of 8–15 nm. The magnetic properties of Nd2 Fe14 B SiO2 powder are as follows: coercive force Hc = 241.75 Oe, magnetization value M = 39.32 emu g−1 , and residual force Mr = 5.38 emu g−1 . Keywords Iron-neodymium-boron particles · Magnetic nanoparticles · Particles coated with silicon dioxide

1 Introduction Permanent magnets based on rare earth magnets were discovered at the end of the twentieth century. These magnets were considered a high magnetocrystalline anisotropy due to their high physical characteristics, such as coercive force and magnetization. Such magnets as Nd–Fe–B, based on rare earth, were used in many applications like electric vehicle motors, wind turbines, energy conversion systems, and data storage systems [3]. Modern technologies require simultaneous minimization of the volume of magnets with an increase in magnetic characteristics. Compared to other magnets, the Nd2 Fe14 B systems have maximum product energy of 56 kOe (∼ 445.7 kJ/m3 ) with a residual force of ∼ 14 kg (1.4 T) and an intrinsic coercive force of ∼ 10 kOe (796 kA/m) [2]. As of today, the primary methods for obtaining Nd2 Fe14 B magnets are physical (metallurgical) methods, such as (1) arc melting [12], (2) mechanochemical grinding [9], (3) mechanical alloying, and (4) rapid quenching [14]. However, metallurgical methods have many disadvantages, such as (1) a uniform particle size distribution, (2) O. E. Abdurakhmonov (B) · D. A. Vertaeva · E. V. Yurtov Russian University of Chemical Technology D. I. Mendeleev, Moscow, Russia e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 S. G. Maximova et al. (eds.), Advances in Natural, Human-Made, and Coupled Human-Natural Systems Research, Lecture Notes in Networks and Systems 252, https://doi.org/10.1007/978-3-030-78105-7_7

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the complexity of obtaining nanosized particles, (3) a uniform range of particle distribution, (4) long processing times, and many others. All shortcomings ultimately lead to a deterioration in the magnetic properties and an increase in the product cost [1]. We used chemical synthesis methods to obtain the magnets of the Nd2 Fe14 B system. Chemical synthesis methods are a promising alternative to the physical method. The use of chemical methods for the production of permanent magnets Nd2 Fe14 B has many advantages, such as (1) uniform particle morphology, (2) controlled particle size, (3) reduced energy consumption, (4) shorter preparation time, and (5) lower cost of starting reagents. Many works were carried out using chemical methods to synthesize magnetic nanoparticles of the Nd–Fe–B system. Nd2 Fe14 B nanoparticles were obtained by the sol–gel method when citric acid was used as a precursor for gel formation, and citrate Nd–Fe–B compounds were crosslinked using ethylene glycol. The formed gel was burned to obtain metal oxide powder, after which it was reduced using a reductiondiffusion process. The formed magnetic Nd2 Fe14 B nanoparticles had a coercive force of ∼ 6.1 kOe, and the saturation magnetization of ∼ 21 A m2 /kg [4, 5]. Swaminathan et al. proposed the synthesis of nanoparticles of magnets of the Nd–Fe–B system by microwave combustion of an organic gel [13]. After reduction processes, the coercive force of the resulting Nd2 Fe14 B powder was ∼ 8.0 kOe, and the saturation magnetization was ∼ 40 A m2 /kg. [6] chemically synthesized Nd2 Fe14 B nanoparticles with an average diameter of 50–70 nm. The magnetic properties of these nanoparticles were at the values of the coercive force and saturation magnetization, 133.89 Oe and 88.83 A m2 /kg, respectively. Ma et al. and Parmar et al. reported on the preparation of Nd–Fe–B alloys using nitrate salts by making compact granules that were more efficient in solid reduction and phase transition to obtain a higher coercive force [10, 11]. However, due to the high negative potential of reducing neodymium Nd3+ = − 2.43 eV, it is difficult to co-reduce it with iron, which has a reduction potential of Fe3+ = − 0.057 eV. Nonetheless, due to the higher negative potential of neodymium, compared to iron, it is rather difficult to co-reduce them in one medium. Moreover, Nd2 Fe14 B nanoparticles are reactive and tend to oxidize in air, which became a key problem. The general method is to coat the nanoparticles of the Nd–Fe–B system with silicon dioxide. The choice of SiO2 for the shell is due to its good thermal stability, electrical insulation, and oxidation resistance, which has been widely used to coat magnetic particles in recent years [8]. This paper presents the chemical synthesis method of Fe–Nd–B nanoparticles using iron and neodymium salts. For the first stage of the synthesis, we used the method of reduction with sodium borohydride. For the second stage, we conducted ultrasonic treatment to obtain uniform size particles in the nanometer range (30– 100 nm). The resulting particles were subjected to strong oxidation. Then, to minimize the oxidation effect, we passivated these particles in a continuous nitrogen flow. After these manipulations, we additionally coated the particles with silicon dioxide using the Stober method. When nanoparticles are coated with silica, the particles usually agglomerate, so we used the APTMS modifier to stabilize them.

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Besides, we studied the obtained surface of Nd2 Fe14 B with an insulating SiO2 coating by TEOS and APTES methods, the effect of the coating and its influencing factors, and the magnetic properties of the coated powder.

2 Experimental Part 2.1 Materials As starting materials, we used the following reagents: neodymium chloride hexahydrate NdCl3 · 6H2 O (99.9%), iron chloride hexahydrate FeCl3 · 6H2 O (99.9%), sodium borohydride NaBH4 (99.8%), ammonium hydroxide NH4 OH (24%, 0.91 g/cm3 ), sodium hydroxide NaOH · 0.5H2 O (52.05%), isopropyl alcohol C3 H8 O, 3-aminopropyl triethoxysilane (APTMS) C9 H23 NO3 Si (97%), and tetraethylorthosilicate (TEOS) C9 H23 NO3 Si (98%) and argon Ar (99.999%).

2.2 Obtaining Nanoparticles of the Nd–Fe–B System by Co-deposition To obtain the Nd–Fe–B composite nanoparticles system, we used a special method involving the co-precipitation of metals from salts of iron (III) chloride, neodymium chloride with a reducing agent sodium borohydride. In 50 ml of water, we dissolved 0.0015 mol of neodymium chloride (0.5381 g) and 0.0078 mol of iron (III) chloride (2.101 g). Also, we dissolved sodium borohydride 0.012 mol (0.45396) in 50 ml of water. Then, we added the NaBH4 solution to the metal salt solution with continuous stirring using a magnetic stirrer in argon. The resulting precipitate was separated with a magnet and repeatedly washed with distilled water. Finally, we dried the obtained solution in a freeze dryer at a temperature of − 50 °C and vacuumed at 500 Pa.

2.3 Modification of Nd–Fe–B Nanoparticles with APTMS Before coating Nd–Fe–B nanoparticles with SiO2 shell, we carried out a preliminary modification of these particles with sodium citrate. Nd–Fe–B particles were added to an aqueous solution of (3-aminopropyl) trimethoxysilane (0.001 M). The solution was exposed to ultrasound for 10 min. Then, we placed the solution in a thermostat for 1 h at 80 °C with constant stirring (1000 rpm). The resulting particles were separated using a permanent magnet, repeatedly washed with distilled water, and dried at room temperature.

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2.4 Synthesis of a SiO2 Shell on the Surface of Nd–Fe–B Nanoparticles We obtained a silicon dioxide shell on the surface of Nd–Fe–B nanoparticles using a modified Stober method. The precursor of the SiO2 shell is tetraethoxysilane (TEOS). The procedure for creating a shell on the surface of Nd–Fe–B nanoparticles included the following steps: TEOS and H2 O 20 ml were added to the Nd–Fe–B nanoparticles in specific amounts of the ratio of alcohol to water 1:4. Next, isopropyl alcohol was added and sonicated for 10 min. After recirculation, 2 ml of an aqueous ammonia solution was added to maintain an alkaline environment, and the mixture was stirred with an overhead stirrer for 24 h (700–1100 rpm). We separated the resulting Nd2 Fe14 B SiO2 nanoparticles using a permanent magnet, repeatedly washed it with distilled water and alcohol, and placed it in a freeze dryer at a temperature of − 50° C in a vacuum of 500 Pa for the next 6 h. After drying, the dried powder was thermally treated at 800 °C in an argon atmosphere for 1 h. As a result, we got Nd2 Fe14 B SiO2 . Figure 1 presents the scheme of synthesis of a nanocomposite magnetic material with a core–shell Nd2 Fe14 B SiO2 coating.

3 Discussion of Results 3.1 Equipment We used a high-resolution scanning electron microscope SEM JEOL 1610LV with an energy dispersive spectrometer for electron probe microanalysis SSD X-Max Inca Energy (JEOL, Japan; Oxford Instruments, UK) to analyze the surface morphology and determine the composition of the powders before and after encapsulation of powders in a SiO2 shell. Next, we analyzed the structure of the coated powder using a Nicolet 380 FTIR spectrometer. For the analysis, the average number of scans was 64, the resolution was 4 cm−1 , and the recording range was 400–4000 cm−1 . The magnetic properties were measured at room temperature using a VSM-250 vibrating sample magnetometer (China). To dry the samples under overcritical conditions under vacuum, we used a Labconco Free Zone 1 freeze dryer (Helicon). Also, we examined specimens (Ultrathin sections) using a JEM 100CX transmission electron microscope (JEOL, Japan) at the UNIQEM Collection Core Facility, Research Center of Biotechnology of the Russian Academy of Science.

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Fig. 1 Scheme of synthesis of a nanocomposite magnetic material with a core–shell. Source Compiled by the authors

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3.2 Experimental Results In the process of co-precipitation, a simultaneous reaction occurs with the formation of nanoparticles of the Nd–Fe–B system, followed by their growth and agglomeration. The products of chemical co-precipitation under the conditions of supersaturation of the solution result in the formation of insoluble nanoparticles of the Nd– Fe–B system. Nucleation is a crucial step in the chemical co-precipitation process during which ultrafine particles are formed. In chemical co-precipitation, the reaction process is influenced by several factors, such as the concentration of precursors and the ratio of the metal Nd3+ , Fe3+ and—ions, which are directly related to the properties of Nd–Fe–B nanoparticles, including morphology, composition, and particle size. In addition, it is well known that boron saturates metals in a diffusion reaction, and the metal/boron ratio varies widely. Depending on the concentration of sodium borohydride, the co-precipitation reaction can proceed by one of the following reactions [7]: − BH− 4 + 2H2 O = BO2 + 4H2 ↑

(1)

+ − + BH− 4 + 2M2 + 2H2 O = 2M + BO2 + 4H + 2H2 ↑

(2)

− BH− 4 + 2H2 O = B ↓ +OH + 2.5H2 ↑

(3)

This technique for the synthesis of co-precipitation of nanoparticles has an advantage in synthesizing ultrafine sizes of a metal powder. Furthermore, this method allows for controlling the kinetics of nucleation by controlling the concentration of sodium borohydride. The conducted experiment shows that the synthesis of an alloy based on Nd and Fe by co-precipitation with these advantages has a significant result from accelerating the reduction-diffusion reaction to form a ternary Nd–Fe–B alloy. In practice, the size and shape of nanoparticles at the time of synthesis, used by co-precipitation, are favorable for the diffusion of neodymium into the Fe–B alloy. SEM (a), TEM (b), and EDS spectrum (c) in Fig. 2 show the morphology and chemical composition of Nd–Fe–B nanoparticles in the precipitate prepared by the co-precipitation method. EDS data shows that the ratio of neodymium, iron, and boron is about 14, 67, and 18 (%). The SEM image shows that the particles are agglomerated into larger particles without a precise shape. Although the particle size and shape cannot be accurately determined by this method, analytically, Fig. 2a, TEM image (b) shows that the synthesized nanoparticles are composed of tiny particles with a similar cubic shape. The fact that the synthesized nanoparticles consist of very small Nd–Fe–B aggregates is easily understood from the TEM images and the particle distribution histogram in Fig. 2b, c. During this synthesis, the resulting nanoparticles of the Nd–Fe–B system are scattered in the range from 35 to 95 nm. The average nanoparticle size is 55 nm.

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Fig. 2 a SEM, the image of Nd–Fe–B nanoparticles after precipitation reduction with sodium borohydride; b TEM. Images of Nd–Fe–B nanoparticles and histogram of particle size distribution, respectively; c EDS analysis: spectrum and elemental composition of a mixture of Nd–Fe–B powders synthesized by the co-precipitation method. Source Compiled by the authors

Nd–Fe–B nanoparticles in this co-precipitation system are aggregated in the form of a chain up to a micrometer long due to large surface, energy, and dipole—dipole interactions between individual particles [7]. Before coating nanoparticles with a SiO2 shell, to prevent aggregation, Nd–Fe–B powders are subjected to ultrasonic treatment and further modified to control the particle shape using surfactants, for instance, APTMS. When the surface of the Nd–Fe–B powder is coated without the APTMS modification, amorphous SiO2 can form. The reaction formula is as follows [8]: (C2 H5 O)4 Si + 4H2 O → Si(OH)4 + 4C2 H5 OH

(4)

Si(OH)4 → SiO2 + 2H2 O

(5)

Nd–Fe–B powder has polarity and a poor affinity for non-polar TEOS. To improve the affinity between them, the Nd–Fe–B powder is modified with APTMS. Figure 3 shows the schematic diagram of the coating. The polar amino groups in APTMS can act on the surface of the Nd–Fe–B powder, and the final non-polar alkoxy group is similar to the alkoxy group in TEOS, which can facilitate the bonding of APTMS and TEOS. This step improves the TEOS affinity for the Nd–Fe–B powder and contributes to the continuous, uniform formation of the SiO2 network on the surface of the Nd–Fe–B powder.

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Fig. 3 Scheme of SiO2 powder coating Nd2 Fe14 B@SiO2 shell core. Source Compiled by the authors

The TEM image (a)—with a magnification resolution of 20,000× or 0.14 μm = 140 nm with a scale size, (b)—with a magnification resolution of 50,000× - 0.056 μm = 56 nm with a scale size in Fig. 4, shows the particles of Fe–Nd–B coated with silicon dioxide. The micrograph demonstrates that the cluster of particles was coated with silica instead of individual particles. When coated with a shell during synthesis, core–shell nanoparticles of the Nd–Fe–B @ SiO2 system are formed from 35 to 125 nm. The average particle size of nanoparticles is 67 nm, the shell width is 8– 15 nm. EDS data reveal that the ratio of neodymium, iron, and boron to the surface shell of SiO2 is about 9, 34, 12, and 45 (%). Figure 5 shows the FTIR spectra of two samples. Sample 1 includes modified TEOS coated powders after freeze-drying. Figure 5 (Sample 1) has one broad absorption peak at 3450 cm−1 , which corresponds to the stretching vibration of incomplete condensation of silanol groups (Si–OH), as well as the remaining absorbed moisture. The peak in the absorption region at 2900 cm−1 belongs to the symmetric and asymmetric vibrations of C–H bonds; therefore, it indicates that the TEOS hydrolysis reaction with APTMS is not complete. The vibration peaks belonging to the Si–O–Si groups are attributed to the asymmetric and symmetric bond vibrations observed at 1643, 1045, 785 cm−1 , and 450 cm−1 and belong to the bending vibration of the Si–O–Si bond as a weak band. The FTIR shows that the original powder coated with TEOS after calcination at a temperature of 800 °C (Fig. 5, Sample 2) has four main absorption peaks in the frequency range at 1398, 1100, and 810 cm−1 and a bending mode at 465 cm−1 belonging to Si–O–Si groups [8]. All these data indicate that a core–shell Nd2 Fe14 B SiO2 coating exists on the powder surface.

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Fig. 4 TEM images of Nd2 Fe14 B SiO2 core–shell nanoparticle samples coated with SiO2 ; a 140 nm with scale size; b 56 nm with scale size; c EDS analysis: spectrum and elemental composition of a mixture of modified nanoparticles core–shell Nd2 Fe14 B SiO2 . Source Compiled by the authors

Fig. 5 FTIR spectra of Nd2 Fe14 B SiO2 powder: (Sample 1) raw modified powders coated with TEOS after freeze-drying; (Sample 2) TEOS coated powders after calcination at 800 °C. Source Compiled by the authors

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Fig. 6 Hysteresis loop of unbaked Nd–Fe–B alloy after co-precipitation and Nd2 Fe14 B SiO2 core– shell powder after firing. Source Compiled by the authors

We studied Nd–Fe–B alloys using the VSM method with an applied field up to 2 T at 300 K. Figure 6 shows the hysteresis loop of the unannealed Nd–Fe–B alloy after co-precipitation and powder, the core–shell coating Nd2 Fe14 B SiO2 , after annealing. Figure 6 indicates that for the unannealed Nd–Fe–B alloy, the coercive force (Hc ), magnetization (M), and residual force (Mr ) are about 274.02 Oe and 66.33 emu g–1 and 8.86 emu g–1 , respectively. For an alloy coated with a shell SiO2 , Nd2 Fe14 B@SiO2 after firing, the coercive force (Hc ), magnetization value (M), and residual force (Mr ) are about 241.75 Oe, 39.32 emu g−1 and 5.38 emu g–1 , respectively. The data reveal that the Nd2 Fe14 B ternary phase coated with a SiO2 shell has a solid magnetic phase so that their magnetic phase shows the behavior of the solid phase. These phenomena indicate that it is expedient to use the synthesized Nd2 Fe14 B SiO2 nanoparticles as the precursor for reducing (diffusion process, and the ferromagnetic Nd–Fe–B alloy can be obtained using the reduction) diffusion process.

4 Conclusions The Nd–Fe–B nanoparticles system was synthesized by the co-precipitation method. As a result, we successfully coated the Nd–Fe–B system with the Nd2 Fe14 B SiO2 core (shell) by the Stober method. The TEM and EDX photographs confirmed that

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SiO2 encapsulated the Nd–Fe–B alloy. Additionally, the interaction of the Nd–Fe– B core with the SiO2 shell was confirmed by FTIR results. The Nd–Fe–B system coated by SiO2 has a positive effect by eliminating the oxidation of nanoparticles. The magnetic properties of the Nd2 Fe14 B SiO2 core–shell have a coercive force (Hc ), magnetization value (M), and residual force (Mr ) about 241.75 Oe, 39.32 emu g− 1, and 5.38 emu g−1 , respectively, which allows one to use it as a precursor for further production of highly coercive permanent magnetic materials.

References 1. Abdurakhmonov OE, Yurtov EV, Savchenko ES, Savchenko AG (2020) Chemical synthesis and research nanopowder of magnetic hard alloy Nd15 Fe78 B7 . J Phys Conf Ser 1688:012001. https://doi.org/10.1088/1742-6596/1688/1/012001 2. Coey JMD (2009) Magnetism and magnetic materials. Cambridge University Press, New York, NY 3. Coey JMD (2020) Perspective and prospects for rare earth permanent magnets. Engineering 6(2):119–131. https://doi.org/10.1016/j.eng.2018.11.034 4. Deheri PK, Shukla S, Ramanujan RV (2012) The reaction mechanism of formation of chemically synthesized Nd2 Fe14 B hard magnetic nanoparticles. J Solid State Chem 186:224–230. https://doi.org/10.1016/j.jssc.2011.11.022 5. Deheri PK, Swaminathan V, Bhame SD, Liu Z, Ramanujan RV (2010) Sol−gel based chemical synthesis of Nd2 Fe14 B hard magnetic nanoparticles. Chem Mater 22(24):6509–6517. https:// doi.org/10.1021/cm103148n 6. Hussain A, Jadhav AP, Baek YK, Choi HJ, Lee J, Kang YS (2013) One pot synthesis of exchange coupled Nd2 Fe14 B/α-Fe by pechini type sol–gel method. J Nanosci Nanotechnol 13(11):7717–7722. https://doi.org/10.1166/jnn.2013.7833 7. Km CW, Km YH, Cha HG, Kang YS (2007) Study on synthesis and magnetic properties of Nd–Fe–B alloy via reduction–diffusion process. Phys Scr T129:321–325. https://doi.org/10. 1088/0031-8949/2007/t129/071 8. Li L, Chen Q, Gao Z, Ge Y, Yi J (2019) Fe@SiO2 @(MnZn)Fe2 O4 soft magnetic composites with enhanced permeability and low core loss for high-frequency applications. J Alloy Compd 805:609–616. https://doi.org/10.1016/j.jallcom.2019.07.016 9. Liu X, Hu L, Wang E (2013) Cold compaction behavior of nano-structured Nd–Fe–B alloy powders prepared by different processes. J Alloy Compd 551:682–687. https://doi.org/10.1016/ j.jallcom.2012.10.192 10. Ma HX, Kim CW, Kim DS, Jeong JH, Kim IH, Kang YS (2015) Preparation of Nd–Fe–B by nitrate–citrate auto-combustion followed by the reduction–diffusion process. Nanoscale 7:8016–8022 11. Parmar H, Xiao T, Chaudhary V, Zhong Y, Ramanujan RV (2017) High energy product chemically synthesized exchange coupled Nd2 Fe14 B/α-Fe magnetic powders. Nanoscale 9(37):13956–13966. https://doi.org/10.1039/c7nr02348k 12. Sun H, Liu WQ, Zhang XR, Yue M, Zhang DT, Zhang JX (2011) Coercivity enhancement in Nd–Fe–B sintered permanent magnet doped with Pr nanoparticles. J Appl Phys 109(7):07A749. https://doi.org/10.1063/1.3565415 13. Swaminathan V, Deheri PK, Bhame SD, Ramanujan RV (2013) Novel microwave assisted chemical synthesis of Nd2 Fe14 B hard magnetic nanoparticles. Nanoscale 5(7):2718–2725. https://doi.org/10.1039/c3nr33296a 14. Wang CG, Yue M, Zhang DT, Liu WQ, Zhang JX (2016) Structure and magnetic properties of hot deformed Nd2 Fe14 B magnets doped with DyHx nanoparticles. J Magn Magn Mater 404:64–67. https://doi.org/10.1016/j.jmmm.2015.12.016

Advances in Coupled Human-Natural Systems Research

Methodology for Developing a Geoinformation Project for Rational Nature Management of the Land and Property Complex of Russian Northern Territories Marina A. Podkovyrova , Tatyana V. Kondratova, and Olga N. Volobueva Abstract The research relevance is due to the fact that in recent decades the development of the Northern territories of the Russian Federation (their land-property complexes) is characterized by intensification, which is primarily associated with the needs of the economy and the necessity of more active involvement of natural resources in economic turnover. Traditional and industrial nature management is carried out over large areas, often coexisting in the same geographical space. As a result, there are territories where the economic interest of operating companies collides with the traditional way of life of the indigenous North peoples, in other words, conflict zones. In terms of industrial development of the Northern territories, the most crucial problems are (1) the environmental optimization of naturaleconomic systems, (2) the conservation of natural resources, and (3) the historically established traditional nature management. In this regard, we propose a methodology for the development of a geoinformation project and give its approbation. The project is based on the cartographic and modeling methods using the MapInfo Professional software product. Keywords Northern territories · Land—property complex · Traditional nature management · Subsoil use · Conflict of interest zones · Environmental optimization of natural—economic systems · Geoinformation project · Rational nature management · Monitoring of natural resources

M. A. Podkovyrova (B) · O. N. Volobueva Industrial University of Tyumen, Tyumen, Russia e-mail: [email protected] T. V. Kondratova Zapsibgazprom OJSC, Tyumen, Russia e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 S. G. Maximova et al. (eds.), Advances in Natural, Human-Made, and Coupled Human-Natural Systems Research, Lecture Notes in Networks and Systems 252, https://doi.org/10.1007/978-3-030-78105-7_8

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1 Introduction Given the significant scale of industrial development of the Northern territories of the Tyumen region, Russia, it is essential to evaluate the state of natural complexes in terms of intensive industrial development and predict the changes in geo—and ecosystems taking into account the existing natural—resource potential of the oil field territories and adjacent land masses. Ultimately, this approach allows us to determine the types of long—term use of oil fields and propose measures for rational nature management and land resources protection. The rational nature management aims to provide society with the necessary amount of materials of a certain quality to meet the growing needs, with their economical use and efficient reproduction [1, 3–5, 9].

2 Literature Review Many works of Russian scientists are devoted to this issue. For example, N. Reimers defines modern rational and irrational nature management and emphasizes the importance of the practical significance of environmental laws [9]. Yu. Efremova determines the main components of rational nature management [4], while T. Emelyanova pays special attention to the system of traditional nature management [2], V. Kozin and V. Petrovsky characterize the modern potential of nature management and consider the principles and methods of nature management, as well as the vulnerability and sustainability of ecosystems [3, 7, 13, 14] contributed to the study of the problems of the North, rational land and nature management. There are various approaches to assessing the state of land resources and natural— resource potential. However, some scientists clearly emphasize the relevance of using geoinformation technologies that allow (1) operating significant information resources, (2) creating thematic maps, and (3) solving modern environmental management problems [11, 13, 14]. The study aims to develop a corresponding geoinformation project Geoinformation analysis of the technogenic impact on natural resources to assess the existing technogenic impact on the territory of an oil field and analyze possible adverse technogenic changes in the natural environment, considering the current natural-resource potential of the studied territory.

3 Materials and Methods To develop the geoinformation project, we used different methodologies [1, 5, 12]: . Collecting, grouping, and processing source information: (1) statistical and calculated data; (2) graphic base; (3) text documents; (4) cadastral and land management documentation;

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. Identifying natural, climatic, spatial, and territorial features of the studied territory [component analysis of licensed areas (geosystems)]; . Investigating the systems of traditional nature management and subsoil use; . Defining the concept of sustainable development of the given area and parameters of rational nature management; . Establishing sources of technogenic impact on all components of the studied geosystems; . Studying technological processes occurring on the territory of oil fields and stages of the life cycles of objects (on multi-well pads and communication corridors); . Determining factors and the degree of influence on the components of the studied geosystems; . Assessing the ecological condition of the territory under the oil and gas facilities and license areas; . Developing the structure and formation of graphical and semantic databases (DB) using the GUI in the MapInfo Professional program; . Establishing areas of manifestation of technogenic processes and the level of intensity of technogenic impact, taking into account the stages of the life cycle of object; . Identifying environmental risks and establishing the degree of sustainability of the natural—technogenic system (license areas); . Creating environmental restrictions on the use of license areas, implementing landscape-ecological optimization of natural—economic systems, and introducing environmental measures for rational nature management.

4 Results and Discussion Surgut district is one of the most developed industrial regions of the Khanty-Mansi Autonomous Area. Enterprises of the fuel and energy complex, which account for 97% of the total production, determine the industrial basis. The district has 129 licensed areas with 203 exploitable oil fields that strongly impact the environment. Traditional nature management in the region covers about 55% of its territory. We assessed the environmental status of the field and the license area based on data obtained from sampling and analysis of environmental components: (1) atmospheric air, (2) groundwater, (3) bottom sediments, and (4) soil. According to the results of the analysis of atmospheric air samples, the MPC of pollutants was not exceeded [6, 8]. The analysis of surface waters showed an excess of MPC for a number of pollutants, caused mainly by natural processes. Simultaneously, water bodies are located at different distances from polluting facilities and have a high ability to transport substances. It is practically impossible to determine the level and radius of the impact of an oil and gas complex on surface waters. Therefore, we did not consider this indicator when determining the ecological state of the territory exposed to anthropogenic impacts from oil and gas facilities. According to the results of groundwater pollution,

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Table 1 The results of a quantitative chemical analysis of soils in the area with multi-well pads and communication corridors Name of the component to be determined

Unit of measurement

MPC p.x

Exceeding Δ MAC

36.1

100

1P-91.4 2P-22.7

58.3

100

1P-15.3 2P-6.5

Indicator content 1P

2P

3P

191.4

122.7

106.5

In the area of the multi-well pad Oil products

mg/kg

In the area of the communication corridor Oil products

mg/kg

115.3

Source [12]

we found components with excesses of the values of the limiting concentrations that are associated with anthropogenic (technogenic) impact from oil and gas facilities. The values of oil products in the selected bottom sediments were 5.8–8.9 mg per kg, which corresponds to its maximum permissible value (20 mg per kg). The results of a quantitative chemical analysis of soils showed an excess of the MPC of oil pollution (in accordance with the Pikovsky rationing scale, more than 100 mg per kg) (Table 1). According to the data obtained, the concentration of pollutants decreases with distance from the object of oil and gas concentration. The level of oil products and the area of contamination in groundwater and soils near the multi-well pad are much higher, unlike the polluting source (communication corridors). Considering the time factor and the effectiveness of any system within certain spatiotemporal limits, we should note that the processes of constant anthropogenic and technogenic impact on natural systems will eventually cause their functional breakdown under the characteristic effect of the law of internal dynamic equilibrium. This fact, once again confirms the need for a comprehensive multivariate analysis of natural-economic systems. In our opinion, an effective, comprehensive study of the technogenic impact of multi-well pads on the land resources of the Povkhovskoye field (including license areas), according to the studies performed, is possible when using the geoinformation project Geoinformation analysis of the technogenic impact on natural resources. To create this project, we used the cartographic and modeling methods in the MapInfo Professional software product. The collection, storage, and provision of information were carried out using modern GIS technologies. Conducting research, we formed the following [11–13]: . Conflict zones (Fig. 1). . A layer “Multi-well pads” (formed by entering attributive data [name, stage of the life cycle of the well cluster], and graphic data characterizing the spatial location of the object) (Table 2).

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Fig. 1 Location of conflict zones in the territory of Povkhovskoye field of the Surgut district. Source [12] Table 2 The formation of the layer Multi-well pads

Attributive data (Table Multi-well pads)

Source [12]

Graphic data (Layer Multi-well pads)

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Fig. 2 Zones of technogenic pollution (soil pollution by oil products). Source [12]

. The layer Zones of technogenic pollution was built based on the results of an environmental assessment of land resources—indicators of the content of oil products in soil samples (Fig. 2). When determining the areas of technological impact, we formed the information layers taking into account the following indicators and processes: . . . . .

Land categories Zone of territories of traditional nature management (patrimonial lands) Zone of low degree of indentation by a ravine network Flood zone Zone of thermokarst processes (Fig. 3).

Ultimately, based on the formed system of information layers, we determined the following levels of technogenic impact on the natural-territorial complex and its natural-economic (technogenic) systems of the Povkhovskoye field: (1) satisfactory, (2) weak, (3) medium, (4) strong, as well as the corresponding zones (Fig. 4). We formed all zones using Surfer, a three-dimensional mapping software program that runs under Microsoft Windows. This program easily converts the entered data into (1) a contour, (2) surface, (3) wireframe, (4) vector, (5) image, and (6) hatched area. Almost all the map parameters can be adjusted to get the desired image. Using Surfer speeds up the creation of high-quality maps and makes it easier. We propose to include thematic layer Zones (levels) of technogenic impact in the geographic information project (Fig. 4).

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Fig. 3 Zones characterizing natural conditions and processes on the territory of the Povkhovskoye field. Source [12]

5 Conclusion In the conditions of coexistence of two diametrically opposite types of nature management and subsoil use, one can develop the geoinformation project Geoinformation analysis of the technogenic impact on natural resources in the system of ecological monitoring of lands [10–14]. The proposed geographic information project is a complex of attributive and graphic data of information layers. The most appropriate database structure is the following set of information layers in the MapInfo Professional program: . Land categories; . Multi-well pads; . Zones of technogenic pollution;

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Fig. 4 Zones (levels) of technogenic impact from oil and gas facilities on the territory of the Povkhovsky oil field. Source [12]

. . . . . . .

The zone of traditional nature management (patrimonial lands); Conflict zones with anthropogenic impact on the natural-territorial complex; The zone of thermokarst processes; Flood zone; Zones (levels) of technogenic impact; Zones of environmental risk; Zones of environmental restrictions and encumbrances on land use.

For further research, one can supplement the database with other information layers. Geoinformation analysis of the intensity level of the technogenic impact of multiwell pads on the components of the environment showed that the largest areas (radii) of zones of heavy pollution with oil products are formed at the last stage of the life cycle of multi-well pads—liquidation. Therefore, to maintain the GIS in working order, one should periodically make changes in connection with the transition of

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oil and gas facilities to the next life cycle, which, in turn, requires special types of surveys, including new field ones. The data of geographic information analysis are the basis for the development of environmental measures, ensuring rational nature management, as well as improving the system of environmental restrictions in the implementation of various types of land and nature management.

References 1. Binder IO, Oleynik AM, Podkovyrova AM, Piterskikh AS, Golubev IO (2019) Landscape and environmental analysis and anthropogenic disturbance of the Varandey oil field. Test Eng Manag 81:1876–1882 2. Emelyanova TA (2004) Organization of rational use and protection of land resources in the northern territories of the Russian Federation (theory, methodology, practice). GUZ, Moscow, Russia 3. Kozin VV, Petrovsky VA (2005) Geoecology and nature management: conceptual and terminological dictionary. Oikumena, Smolensk, Russia 4. Krupskaya LT, Zvereva VP, Leonenko AV (2013) Impact of technogenic systems on the environment and human health in the Priamurye and Primorye territories. Contemp Probl Ecol 6:223–227 5. Mikhno VB, Bevz VI, Gorbunov AS (2014) Landscape and -ecological analysis of the territory of the municipal districtsity. Bulletin of Voronezh State University. Series: geography. Geoecology 3:40–47 6. Ministry of Ecology and Nature Management (1992) Guidelines on the procedure for environmental impact assessment (EIA) when choosing a site, the development of feasibility studies and construction projects (reconstruction, expansion and technical re-equipment) of economic facilities and complexes. Gosstandart, Moscow, Russia, 01 Jan 1992 7. Mirzejanova ZG, Climina EM (2007) Landscape diversity in the system of indicators of sustainable development development indicest: theoretical basis grounds for the of database formation of a database. Acad Sci 4:255–263 8. Plyusnin VM, Sorokovoy AA (2013) Geoinformation analysis of the landscape structure of the Baikal natural territory. Academic Publishing House Geo, Novosibirsk, Russia 9. Podkovyrova MA (2019) Theory, methodology and practice of the formation and development of a sustainable land-property complex (land use). Tyumen Industrial University, Tyumen, Russia 10. Podkovyrova MA, Proshina VV (2019) The role of cadastral provision in the formation of territories of traditional nature management of indigenous peoples of the Far North on by the example of the Numto Naturale Park. In: Kryakhtunov AV (ed) Proceedings from of international conference: modern problems of land cadastral activity, urbanization and the formation of a comfortable urban environment, vol 1. Tyumen Industrial University, Tyumen, Russia, pp 383–389 11. Podkovyrova MA, Oleinik AM, Matveeva AA (2018) Landscape-ecological approach to optimization of natural-management systems of administrative districts. Int J Civ Eng Technol 9:513–521 12. Podryadchikova ED, Kushina TV, Kondratova TV (2017) Analysis of the technogenic impact on the territory of the Puhovskaya ovkhov oil field located in the Surgut region district of the Khanty-Mansiysk Autonomous Okrug-Ugra. In: Karpik AP (ed) Proceedings from of National scientific and practical conference: regulation of land and property relations in Russia: legal and geospatial support, real estate valuation, ecology, technological solutions. Siberian State University of Geosystems and Technologies, Novosibirsk, Russia, pp 147–150

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13. Rogatnev YM (2016) New stage of land relations and land use after the reforms. Land Manag Cadastre Monit Land 8:5–13 14. Varlamov AA (2009) Theory and methods of conducting state land monitoring as an information basis of the state real estate cadastre. State University of Land Management, Moscow, Russia

The Pyrological Situation in the Steppe Regions of North Eurasia and Adjacent Territories: FIRMS Data Analysis for the Multi-year Period Vladimir M. Pavleichik

and Juriy A. Padalko

Abstract Grass fires are typical phenomena in the vast region of North Eurasia, including the landscapes of the steppes and adjacent natural areas. Insufficient knowledge of the geography of forest fires, their activation over the past decades, and the increased impact on various groups of steppe biota determine the research relevance. The study aims to identify the spatial and temporal patterns of grass fire development at the macro-regional level. As the primary source of data on fires and analyzed parameters, we used the global archive of FIRMS thermal anomalies. We established that the steppe zone of North Eurasia is characterized by the most significant variability in the long-term dynamics of fires. The spatial distribution of thermal anomalies did not correlate with decoding the burned areas from the satellite images. We found the highest density of hot spots in the most agriculturally developed regions (the West-Black Sea part of the steppes and adjacent territories), where agricultural incineration was a traditional method of nature management. Thus, a specific feature of the archives of thermal anomalies of FIRMS was the ability to record live fires on arable land, which was almost impossible to implement directly based on satellite images for objective reasons. The paper considers the long-term dynamics and evaluates the relationship between agricultural fires on arable land and fires on pasture and hay lands on the example of the steppe zone of Russia. These results implicitly confirmed that uncontrolled agricultural fires on arable land caused a significant part of the steppe fires. This fact was also supported by analyzing the seasonal distribution of thermal anomalies, the absolute maximum of which falls at the beginning of agricultural work (April–early May). Also, we revealed the specifics of the formation of pyrogenic conditions in azonal and intrazonal landscapes. We found that steppe fires are phenomena based on spatial and temporal patterns revealed in the complex interaction of natural and anthropogenic factors. Keywords Steppe fires · Burned areas · Hot spots · North Eurasia · Natural zone

V. M. Pavleichik (B) · J. A. Padalko Institute of Steppe UB RAS, Orenburg, Russia e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 S. G. Maximova et al. (eds.), Advances in Natural, Human-Made, and Coupled Human-Natural Systems Research, Lecture Notes in Networks and Systems 252, https://doi.org/10.1007/978-3-030-78105-7_9

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1 Introduction Wildfires are one of the most significant factors in the formation of modern landscapes. We should note that most studies focus on forest areas that are significant as a natural renewable resource (wood) and contribute to creating favorable conditions at different levels (from local to global). The attitude to steppe fires is ambiguous. On the other hand, grass fires have negative ecological consequences, affecting various steppe biota groups and the steppe landscape. Steppe fires also contribute to global climate change and environmental degradation, changing the balance between carbon deposition and migration [5, 6, 11]. In this regard, the main research stage is (1) to assess the scale of forest fires, (2) to analyze the long-term and seasonal dynamics of fires, and (3) to identify the leading factors of their occurrence and spread. Such studies can be carried out with the help of remote sensing data. There are two main ways to obtain results reflecting the spatial and temporal patterns of fire development: decoding fires directly from satellite images or using data on live fires as a set of thermal anomalies (hot spots). Both sources of information are specific to the use but contribute to identifying certain aspects and patterns of fire development with a sufficient degree of reliability. Our study uses a source of data on thermal anomalies due to the vast study area and the need to analyze a long timeline of data.

2 Materials and Methods Eurasia is the only continent where one can observe the classical latitudinal distribution of natural zones, from polar deserts and tundra to arid deserts. The pyrological situation is primarily determined by the zonal structure of lowland landscapes, mainly due to the climate, vegetation cover, and agricultural production specialization. We formed a geoinformation (cartographic) base reflecting the latitudinal-zonal and sectoral differentiation of the steppes of North Eurasia and adjacent territories. Based on this database, we analyzed regional features affecting the development of grass fires. As the central schemes, we used the maps Zones and Types of Vegetation in Russia and Adjacent Territories [7], Vegetation and Physical-geographical zoning [9, 10], and other cartographic materials. The study area is a vast zone bounded by the meridians of 22° and 87° east longitude and the parallels of 57° and 42° north latitude; its area is 7855 thousand km2 . Most of the territory (about 80%) is occupied by flat zonal landscapes, bounded on the periphery (from the west, south, and east) by mountainous areas and seacoasts. The most complete and widespread line of zonal landscapes (> 3 thousand km2 ) with a predominance of grassy ecotopes (from foreststeppe to southern desert) is marked in the central sector of North Eurasia. Fires and agricultural fires are characteristic of azonal (foothills of mountainous areas) and intrazonal (valleys and deltas of rivers, shallow waters, and islands) landscapes.

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Given the expanse of the study area, as initial data on forest fires, we took the archives of data on FIRMS thermal anomalies (Fire Information for Resource Management System, a product of the University of Maryland and NASA) for 2001– 2018, which are in the public domain and contain all the necessary attribute information. We sampled the data within the selected areas (zoning units) in the context of individual years. Besides, we did not take into account the accumulation of thermal anomalies arising from stationary anthropogenic sources. Any fire monitoring system uses live data on hot spots; images of the MODIS spectrum radiometer installed on the Terra and Aqua space satellites are used as the main source data. The final results are characterized by an inevitable divergence due to differences in the algorithms for decoding thermal anomalies (different monitoring systems). In general, the lack of objective mapping of grass fires is due to the following factors: (1) the instantaneity of the shot associated with the frequency of the satellite flight (3–4 times a day); (2) the short duration and rapidity of the grass fires; and (3) unfavorable meteorological conditions (cloudiness). We checked FIRMS data in the context of annual values for the period under review. We used data on several key sites obtained by decoding Landsat images [8]. As a result, for the entire period of 2001–2017, we revealed a relatively high degree of similarity between these compared (real and indirect) parameters. The data correlation coefficient is about 0.7 (with moving averages up to 0.8), even if we take different parameters, primary data sources, and territories. Therefore, for any potential drawbacks of FIRMS data, this source of information about grass fire development is one of the most accessible and relatively reliable ones.

3 Results and Discussion The developed scheme adequately reflects the regional differentiation of landscapes and, accordingly, the pyrological situation features (Fig. 1).

Fig. 1 The scheme of the landscape zoning of North Eurasia. Source Compiled by the authors

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Note Natural zones (1–4): 1—forest; 2—forest-steppe; 3—steppe; 4—desert; 5— high-altitude zones; 6—shallow waters and marine areas; 7–9 key territories where the burned areas were decrypted from Landsat and MODIS satellite images. Designation Forest zone (F). South taiga (F-1); Sub-taiga (F-2); Deciduous forests (F-3). Forest-steppe zone (FS). Dniester-Dnieper (FS-a); Dnieper-Trans-Volga (FS-b); Trans-Volga (FS-c); West Siberian (FS-d); Crimean-Caucasian (FS-e). Steppe zone (S). North steppe (S-1) —West-Black Sea and Crimean (S-1-a); EastBlack Sea (S-1-b); Trans-Volga and North Kazakhstan (S-1-c); South Ural-North Kazakhstan (S-1-d). Middle (dry) steppes (S-2)—Black Sea (S-2-a); Volga-Don (S2-b); Trans-Volga (S-2-c); Kazakhstan (S-2-d). South (deserted) steppes (S-3); Black Sea (S-3-a); Trans-Volga-Ural (S-3-b) zonal (z) and azonal (az); East Kazakhstan (S-3-c). Desert zone (D). North deserts (D-1)—Caspian (D-1-a), zonal (z), and azonal (az) (the delta of Volga, Ural, and Emba rivers); North Turan (D-1-b). Middle deserts (D-2)—Aral-Caspian (D-2-a); Central and East Turan (D-2-b). South deserts (D3)—South Turan (D-3-a). Areas of a high-altitude zone, pre-mountainous (pM) and mountainous (M) regions—Ural (U); Caucasus (C); Tian-Shan (TS); Altai (A); Crimea (C); Carpathian and Trans-Carpathian (Cr); Stara Planina and The Upper Thracian Plain (SP). Shallow water and maritime entitlements (W). The delta of the Volga River (V), Ural and Emba Rivers (U–E). We sampled data on the selected landscape contours in the context of the specified period. This step allows us to assess the long-term dynamics of fires and the degree of similarity and differences within different geographical regions using statistical analysis. We presented the results of the analysis of long-term samples (in terms of the average density of thermal anomalies, units/thousand km2 ) in the form of a summary table and a series of diagrams (Fig. 2). We assumed that due to the significant extent of the study region (about 5 thousand km), the intensity and long-term dynamics of the fires are characterized by regional features due to changes in weather and climatic conditions as the continentality increases and the specifics of nature management changes. At the same time, the results do not represent significant long-term differences. There are several years with increased ignition indicators (from 2002–2005 to 2008–2009), followed by a period of reduced values, until the end of the time scale under consideration (2018). It is worth noting that the course of generalized data (from forest-steppe to deserts) by sector is described by indicators of the steppe zone, the share of which in the long-term section ranges from 60–80%. The apparent similarity of the long-term line between different sectors indicates the general direction of fire development factors: natural (weather—climatic) and anthropogenic. Simultaneously, in some natural areas, the long-term course of fires is not that obvious. In forest-steppe and

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Fig. 2 Long-term dynamics (2001–2018) of the average density of thermal anomalies (units/thousand km2 ) in the landscapes of North Eurasia. Source Compiled by the authors

desert landscapes, values are generally similar to the data for steppe regions but are less subject to annual amplitudes. A comparative analysis of the northern steppes of the Pre-Urals and Trans-Urals clearly shows a decrease in the share of areas used in agricultural production and an increase in the number and area of fires in the meridional (eastern) direction. The natural zones of North Eurasia are characterized by the reverse pattern with the

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distribution of thermal anomalies. We observed the maximum values in the extreme western sector in many subzones of the steppes, almost entirely occupied by arable agricultural landscapes. According to the density of hot spots, the absolute maximum is observed in the fully developed Black Sea middle steppes and adjacent areas of Russia, Ukraine, and Bulgaria. Thus, in the steppe zone, the data on thermal anomalies reflected a direct relationship between the general development of land resources and the practice of burning plant residues. The presence of underutilized land practically does not affect the overall statistics in the context of sectors of natural zones and becomes apparent only when comparing lands that are fundamentally different in use (another significant discrepancy. Thus, decoding the burned areas from satellite images for the Trans-Volga–Trans-Ural region indicates that steppe fires are most common in the subzones of the middle and desert steppes and the northern deserts. Their number and area are sharply reduced to the north and south of this zone. In the first case—due to the abundance of arable land; in the second—due to a decrease in aboveground phytomass and the density of the grass. In the data on thermal anomalies, the maxima are concentrated in the most developed natural zones– forest-steppe and north steppe (for the three eastern sectors), and in the middle steppe for the West-Black Sea (extreme west) sector. Hence, we determined an essential feature of the archives of thermal anomalies. The burning of plant residues is carried out at certain stages of arable land cultivation. Land cultivation follows directly after agricultural fires; thus, fire use and the extent of its spread can only be recorded in general terms, according to live ignitions from the MODIS thermal anomalies database. The long periodicity and low quality of Landsat images hinder the assessment of such fires. Modern geoinformation studies confirm the problem of reliable accounting of agricultural fires on arable and fallow lands [4]. Considering the data obtained, we can say that the use of archived data on thermal anomalies to study the factors and dynamics of the pyrological situation has a limited scope of tasks to be solved or requires additional geoinformation studies. It is necessary to differentiate data on heterogeneous regions by conditionally natural steppe territories and arable land. The number of hot spots that record the systematic burning of plant residues in the fields (stubble, underutilized haystacks, straw stacks, etc.) outweighs the anomalies formed due to steppe fires. Data on hot spots should be used in the comparative analysis of homogeneous (by degree and nature of development) geographical regions to identify long-term dynamics. To understand the correlation of fires on arable and pasture-hay lands, we calculated the distribution of hot spots for these types of land. As the initial geoinformation layer, we used a detailed map of Russian arable land [3]. We confirmed that the density of hot spots on arable land is significantly higher than on pasture and hay lands (Fig. 3). The long-term course of the indicator for these types of agricultural land is almost identical. The correlation coefficient of long-term lines ranges from 0.77 to 0.91 for natural areas characterized by agricultural development, including foothill areas. This fact indirectly indicates that uncontrolled agricultural fires cause a significant part of the steppe fires on arable land. This fact is confirmed by analyzing the seasonal

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Fig. 3 Long-term distribution of hot spot density (units per 100 km2 ) on arable and pasturehayfields lands within the north (S-1) and middle (S-2) steppes of North Eurasia. Source Compiled by the authors

(daily) distribution of thermal anomalies, the absolute maximum of which falls at the beginning of agricultural work (April—early May). The data obtained indicate that the fire phenomena are uneven in time due to both natural and climatic conditions and socio-economic factors. Natural zones and subzones are most homogeneous within land-use systems. Taking into account the possibility of using long-term data on live fires within five critical sites in the Trans-Volga-Ural region, we correlated them with data on hot spots using a natural-pyrologic zoning scheme. The sites in the southern outskirts of the northern steppes, mainly in the Trans—Volga—Ural sector (four out of five), confirm that the proximity of correlations is high (0.67 with the S-1 sector and 0.69 with the S-2 sector). Consequently, according to the pyrological situation, the data on hot spots confirm that the southern part of the northern steppes is closer to the middle steppes’ subzone adjacent to the south due to a temporary decline in agricultural development in this part of the subzone. Besides, the analysis of the generality of long-term data for subzones and sectors confirms this fact; at the same time, the uniformity of the compared data (hot spots) increases the strength of the connection. The values of the correlation coefficients are reduced to a slight degree of proximity only in the comparison between the most remote (in the latitudinal aspect) subzones—the northern and southern steppes. The strength of long-term data lines for the eastern (Trans-Ural) sector is weaker but remains within the average range. The facts given above relate to large geographical regions relatively homogeneous in their landscape structure and their corresponding types of nature use (mainly agricultural). Simultaneously, the peculiarities of the formation of the pyrological situation in azonal and intrazonal landscapes that have signs of a background landscape are of particular interest. In terms of the range of research problems, we considered

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the features of the formation of reed fires in floodplain-delta landscapes and grassy foothill areas. As for the fires in the Volga Delta (in the first line) and other rivers that flow into the Caspian Sea (the Ural and Emba rivers), there is an apparent discrepancy between themselves and zonal conditions—background fires in the desert zone. This fact becomes evident both in the long-term aspect and in the seasonal distribution and spatial development. Taken together, this suggests that reed fires in the vast Volga Delta have a completely different origin than steppe and desert fires. Foothill territories are interesting from the perspective of landscape adaptation of nature management systems and the preservation of traditional use of plant resources in complex differentiated relief conditions. At this stage of the study, it is possible to note the degree of consistency of fire development indicators in the background and azonal landscapes over a long period.

4 Conclusion The archives of FIRMS hot spots are among the most common sources of information concerning natural ignitions; researchers use them when studying different fire development aspects. The identified limitations in using this source of information should be taken into account in the methodology of such studies. This archive is a product prepared and used by fire monitoring systems, primarily for obtaining operational information about the development and spread of fires. For objective reasons, these automated systems cannot fully reflect the areas affected by the fires. Simultaneously, the interpretation of data on hot spots allows one to understand a general situation on the spread of fires for any selected area. Using this data for large regions and long-term intervals increases the reliability of the results. The presence of attribute information, by date and time of each hot spot, makes this data source indispensable compared with other data in round-the-clock terms (e.g., to study the role of weather and climatic conditions). The task of differentiating data on fires, taking into account the type of land use, is still promising, which contributes to obtaining a reliable picture of the pyrological situation and assessing the environmental significance of the pyrogenic factor within conditionally natural lands (pastures and hayfields). The long-term dynamics of wildfires in different regions have a different orientation [1, 2]. The steppes of Northern Eurasia and the surrounding natural areas are very susceptible to grass fires. Over the past two decades, fire hazards have been caused by the decline in agricultural production in the former Soviet Union (Russia, Kazakhstan, and Ukraine) and the formation of vast plots of underutilized land. At the same time, there is a tradition of using fire for agricultural purposes. These factors lead to the formation of a complex pyrological environment with negative environmental consequences. The research results show that the pyrological situation in the considered natural zones has its specifics due to natural and anthropogenic factors.

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Acknowledgements The paper was done within the framework of the grant of the Russian Foundation for Basic Research No. -05-00088 and the subject of the state assignment No. AAA-A17-117012610022-5.

References 1. Arora VK, Melton JR (2018) Reduction in global area burned, and wildfire emissions since the 1930s enhance carbon uptake by land. Nat Commun 9(1):1–10 2. Artes T, Oom D, de Rigo D, Durrant TH, Maianti P, Liberta G, San-Miguel-Ayanz J (2019) A global wildfire dataset for the analysis of fire regimes and fire behavior. Sci Data 6(1):1–11 3. Bartalev SA, Plotnikov DE, Loupian EA (2016) Mapping of arable land in Russia using multiyear time series of MODIS data and the LAGMA classification technique. Rem Sens Lett 7(1):269–278 4. Hall JV, Loboda TA, Giglio L, McCarty GW (2016) A MODIS-based burned area assessment for Russian croplands: mapping requirements and challenges. Rem Sens Environ 184:506–521 5. Lin HW, Jin YF, Giglio L, Foley JA, Randerson JT (2012) Evaluating greenhouse gas emissions inventories for agricultural burning using satellite observations of active fires. Ecol Appl 22(4):1345–1364 6. McCarty JL, Ellicott EA, Romanenkov V, Rukhovitch D, Koroleva P (2012) Multi-year black carbon emissions from cropland burning in the Russian Federation. Atmos Environ 63:223–238 7. Ogureeva GN (ed) (1999) Zones and types of vegetation in Russia and adjacent territories. Map of scale 1:8000000. Lomonosov Moscow State University, Moscow, Russia 8. Pavleichik VM, Chibilev AA (2018) Steppe fires in conditions the regime of reserve and under changing anthropogenic impacts. Geogr Natl Recour 39(3):212–221 9. Veselova LK, Geldyeva GV, Medeu AR (2010) Physical-geographical zoning. In: Medeu AR (ed) National Atlas of the Republic of Kazakhstan, vol 1. Natural conditions and resources. Institute of Geography, Almaty, Kazakhstan, pp 123–124 10. Volkova EA, Rachkovskaya EI, Sadvokasov RA, Safronova IN, Khramtsov EN (2010) Botanical and geographical zoning. In: Medeu AR (ed) National Atlas of the Republic of Kazakhstan, vol 1. Natural conditions and resources. Institute of Geography, Almaty, Kazakhstan 11. Witham C, Manning A (2007) Impacts of Russian biomass burning on UK air quality. Atmos Environ 41(37):8075–8090

The Ecological State of Vegetation in Urban Areas of Various Administrative Districts of Ulan-Ude: A Comprehensive Assessment Alena A. Ievskaya , Erzena G. Imeskenova , and Tatyana M. Korsunova Abstract This paper presents the research results of a comprehensive assessment of the ecological state of vegetation of 48 public gardens located in various administrative districts of Ulan-Ude. The study of the current state of vegetation of public gardens will allow us to assess the environmental situation in the urban area. As a result of route observations, an observation zone was created in the public gardens under study. Besides, we fully described the vegetation in each location. Also, we identified the types of plantations, their age structure, and quantitative composition. Then, we assessed the ecological state of vegetation based on a complex of bio-morphological features. All data obtained were included in the passport of the landscaping area. In addition, we evaluated the sanitary condition of tree and shrub species in the landscaping sites to identify the factors of their weakening. As a result, we found that tree and shrub plantations in the studied public gardens have a heterogeneous species composition and low species diversity. Speaking about the age structure of urban plantations, we noted a predominance of tree and shrub species of the third age class. We calculated the factors of a comprehensive ecological assessment of vegetation in all public gardens of Ulan-Ude. The study revealed that most of the gardens are in a weakened and extremely weakened state. Therefore, we carried out a qualitative assessment of the state of flower beds and lawns in the studied gardens. As a research result, we noticed the natural degradation of vegetation in the green space of Ulan-Ude due to the impact of natural and anthropogenic factors on the urban environment. Keywords Inventory · Public gardens · Tree and shrub vegetation · Flower decoration · Lawns

A. A. Ievskaya (B) · E. G. Imeskenova · T. M. Korsunova Buryat State Agricultural Academy named after V. R. Filippov, Ulan-Ude, Russia e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 S. G. Maximova et al. (eds.), Advances in Natural, Human-Made, and Coupled Human-Natural Systems Research, Lecture Notes in Networks and Systems 252, https://doi.org/10.1007/978-3-030-78105-7_10

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1 Introduction Trees and shrubs of Ulan-Ude gardens are an integral and essential environmental component ensuring the sustainability of the urban ecosystem. Recently, the issues of increasing the sustainability of tree and shrub plantations have become increasingly important. Therefore, there is a need for a comprehensive assessment of the vegetation state of public gardens located in various administrative districts of Ulan-Ude. Thus, one of the most critical problems of the current landscaping system is the lack of reliable information on the study of the vegetation state in urban areas and its dynamics over the past 50 years, which is relevant in this study. The ecological situation of Ulan-Ude is characterized by its instability and a high level of technogenic pollution. According to the Federal Service for Hydrometeorology and Environmental Monitoring in the Russian Federation, Ulan-Ude is included in the Priority List of cities with the highest air pollution level. All cities of the Priority List are located in the Asian part of Russia, which have particularly unfavorable weather conditions for the dispersion of impurities, which leads to an increase in air pollution in urban areas [2]. Consequently, another urgent problem of Ulan-Ude is the adverse environmental situation, which requires prompt measures to develop a gardening system to enrich the diversity of tree and shrub species resistant to urban pollution.

2 Materials and Methods The study aims to conduct a detailed inventory of green spaces in the public gardens of Ulan-Ude and analyze their ecological state. Registration of landscape and architectural objects in Ulan-Ude was carried out based on route observations using the complete examination of the studied public gardens and registration of plots within their borders in June–August, 2016–2018. As a result, we performed a comprehensive description of the vegetation. Public gardens (squares) are the most common category of urban green areas in Ulan-Ude. The objects of the study are tree and shrub plantings, flower beds, and lawns located in three administrative districts of Ulan-Ude: (1) Zheleznodorozhny, (2) Sovetsky, and (3) Oktyabrsky. These districts differ in their characteristics (location, occupied area, population, etc.). Their brief description is given below. The Zheleznodorozhny District is located in the north-eastern part of Ulan-Ude and has a rectangular shape. Its territory is dominated by cluster housing. In the central part, the Zheleznodorozhny District borders with the Sovetsky District, in the southeastern part—with the Oktyabrsky District. The eastern part of the Zheleznodorozhny District is adjacent to the Zaigraevsky Rural District of the Republic of Buryatia, in the northern part—to the Ivolginsky Rural District. The total area of the district is 14,160 ha. The research was conducted in 18 public gardens of the Zheleznodorozhny District, with a total area of 11.01 ha. The density of the green zone is 0.08%.

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The Sovetsky District is located in the western part of Ulan-Ude. Its territory is prevailed by sporadic buildings; it has a pentagonal shape. In the southern part, the Sovetsky District borders with the Oktyabrsky District; in the north-eastern part, it borders with the Zheleznodorozhny District. In the northern and western parts, the Sovetsky District borders with the Ivolginsky Rural District of the Republic of Buryatia. The total area of the district is 9160 ha. The studies were carried out in 14 public gardens of the Sovetsky District, with a total area of 6.21 ha. The density of the green zone is 0.06%. The Oktyabrsky District is located in the southern and south-eastern part of UlanUde and is characterized by block construction. In the northern and north-eastern parts, it is adjacent to the Sovetsky and Zheleznodorozhny Districts. In the western part, the Oktyabrsky District borders with the Ivolginsky rural District, in the eastern and southern parts—with the Zaigraevsky and Tarbagataisky Rural Districts. The total area of the district is 20,250 ha. The studies examine 16 public gardens of the Oktyabrsky District, with a total area of 10.72 ha. The density of the green zone is 0.05%. The methods used as the basis for the registration and detailed inventories of vegetation within the studied public gardens are given further [3, 8]. We carried out the inventory of urban plantings in Ulan-Ude to obtain the registration data and unbiased information about the vegetation state. The inventory procedure in the studied squares was divided into several stages. The first stage included an on-site examination of the studied public gardens. We created a network of permanent test plots for a detailed, comprehensive assessment of changes in the vegetation state dynamics. The data obtained were recorded in the work logs of the landscaping objects with the subsequent insertion of the landscaping objects in the passport. As a part of the second stage, we performed a detailed inventory of the existing tree and shrub plantings using the route and visual method and the continuous enumeration method, including (1) species identification, (2) basic biometric indicators, (3) status categories, and (4) phytosanitary conditions. The third stage involved statistical processing of materials, which included issuing a passport for each landscaping object, indicating a brief description of (1) the study area, (2) composition, (3) age structure, (4) condition of tree and shrub plantings, (5) quality of flower beds and lawns, and (6) their phytosanitary condition.

3 Results During the reconnaissance survey, we studied the total area of landscaping objects and all landscaping elements to assess the state of plantings in the studied public gardens. We conducted the quantitative field recording of tree and shrub plantings using a method of complete surveying with the subsequent inclusion of the obtained data in the inventory sheet of the passport of the landscaping object. Between 2016 and 2018, we surveyed 16,607 objects of tree and shrub plantings on a total area

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of 27.94 ha. As a result, we found that the studied public gardens significantly lack green spaces, which does not correspond to gardening standards in the dry steppe zone. According to 2.07.01-89 Construction Standards and Rules “Urban planning. Planning and development of urban and rural settlements” (paragraphs 9.13–9.15, 9.19), the minimum acceptable level of green spaces for public gardens should be 10 m2 /person [7]. On the territory of the studied public gardens, this indicator ranges from 5.3 m2 /person (the Oktyabrsky District), 6.7 m2 /person (the Sovetsky District), and up to 7.7 m2 /person (the Zheleznodorozhny District). Therefore, if green spaces do not meet the standards, then further degradation of the environmental situation in the administrative districts of Ulan-Ude is inevitable. Improvement of environmental situation can be achieved by increasing the area of urban plantations and improving their sanitary condition [9, 10]. The distribution of plantings in the studied public gardens of Ulan-Ude is uneven and significantly varies by administrative regions, but the density of green spaces is extremely low. In Ulan-Ude, we identified the following main types of plantings: dense, mostly clustered, or mixed; sparse, low-density mixed; single plants. Route observations in the public gardens of Ulan-Ude showed that the species composition of tree and shrub plantings at landscaping sites differs significantly across administrative districts of the city. We detected the botanical identity of trees and shrubs by the determinant [1]. The species composition of trees and shrubs in the studied public gardens is represented by 33 species belonging to 27 genera and 13 families. The largest number of species (12) is represented by the Rosaceae family [5]. The main tree species in the studied public gardens are represented by a limited number of genera: (1) Ulmus pumila L., (2) Populus balsamifera L., (3) Acer negundo L., (4) Malus baccata (L.) Borkh. The following species prevail among the shrubs: (1) Caragana arborescens Lam., (2) Ribes diacanthum Pall., (3) Syringa vulgaris L., (4) Crataegus sanguinea Pall. [4]. Agropyron cristatum L., Elytrigia repens L., Bromopsis inermis Leyss. (Holub.), and Poa pratensis L. dominates in the grassy cover of the studied squares, which is usually not high and has a heterogeneous structure. As part of the research, we studied biometric indicators (height, trunk diameter) of tree and shrub plantings. The obtained biometric indicators of the main tree species are shown in Tables 1, 2 and 3. Studying the age structure of the plantings, we established that in most of the studied public gardens, the prevailing plants are Ulmus pumila L. and Populus balsamifera L., aged 30–45 years, planted mainly in rows and clusters. On the territory of Studencheskiy garden square, Acer negundo L., plants aged 10–35 years dominated. In the public gardens of the Buryat State Agricultural Academy named after V. R. Filippov, near the monument to V. B Borsoev, the plantings of Sorbus sibirica Hedl. and Prunus padus L. aged 5–15 years were found planted in a clustered mixed way [4]. In 2018–2019, a few Betula pendula Roth., aged between 5 and 7, were planted in the public garden named after F. Senchikhin and near the registry office of the Zheleznodorozhny District. Mixed cluster plantings of Larix sibirica

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Table 1 Average biometric indicators of the main plant species in the studied public gardens of the Zheleznodorozhny District of Ulan-Ude Name of the area

Names of tree and shrub species Height (m) Diameter (cm) 12.6 ± 0.2

15.1 ± 0.6

Populus balsamifera (L.)

13.3 ± 0.2

33.5 ± 0.4

Acer negundo (L.)

4.5 ± 0.4

8.5 ± 0.4

Malus baccata (L.) Borkh

4.3 ± 0.2

5.2 ± 0.4

The Zheleznodorozhny District Ulmus pumila (L.)

Source Compiled by the authors

Ledeb., Picea obovata Ldb., Pinus sylvestris L., and Pinus sibirica Du Tour aged from 4 to 8 years were noted on the territory of Cosmos public garden. In 2017– 2018, mass plantings of Malus baccata (L.) Borkh aged 3–5 years were made in the following public gardens: (1) 60 Years of Victory, (2) Molodezhny, (3) Zhuravly, and (4) the square in Rodina street. Most of the tree and shrub plantings in the studied gardens, aged from 1 to 5 years, have a spontaneous character; they are mostly in good condition and, with appropriate care, can partially replace existing old-growth plantings. As a next step, we conducted a comprehensive assessment of the ecological state of vegetation, according to the main bio-morphological characteristics, which is to calculate a Strategic Environmental Assessment Coefficient (SEAC), which reflects their general living condition. The SEAC on the territories of the studied areas of Ulan-Ude differs significantly. Due to the high physiological age of trees and shrubs and a large percentage of mechanical damage in Molodezhny, 60 Years of Victory, Slavy public gardens, and square in Rodina street (The Zheleznodorozhny District), the value of the SEAC ranges from 2.6 to 3.5. In Yablonevy public garden and near the Kristall cultural center (The Sovetsky District), the value of the SEAC ranges from 3.5 to 3.7, which indicates their very weakened condition and gradual degradation. On the territory of Zodchy, Rovesnikam ushedshim v boy (Relatives who went into battle), Semeynogo otdykha (Family recreation), and Yunoshesky garden squares (The Oktyabrsky District), the value of the SEAC ranges from 2.8 to 3.2, which indicates an increasing degree of tree and shrub plantings weakening, affected by pests and diseases. Therefore, we found that the vegetation of most of the studied public gardens in Ulan-Ude belongs to the category of weakened or extremely weakened plantings. In all Ulan-Ude garden squares, both old-growth and young trees and shrubs were mechanically damaged. In the studied public gardens, most tree and shrub plantings were damaged by frost; frost cracks are prevailing in old-growth planting Ulmus pumila L. (in the Buryat State Agricultural Academy named after V. R. Filippov and Yablonevy square gardens), Populus balsamifera L. (in Gostiny Ryad, Alleya Slavy public gardens, in Kuibyshev street.); and less often in young plantings of Acer negundo L. (in Studenchesky public garden, Moskovskaya street) [6]. In most of the studied public gardens, many tree and shrub plantings lose their decorative qualities due to a complex of diseases and pests. The plants of Caragana arborescens Lam. were infected by mildew in June–July in a public garden named

Source Compiled by the authors

43.2 ± 0.4 6.5 ± 0.4 4.2 ± 0.4

14.3 ± 0.4 5.5 ± 0.5 5.3 ± 0.2

Populus balsamifera (L.)

Acer negundo (L.)

Malus baccata (L.) Borkh

Diameter (cm) 16.5 ± 0.3

Height (m) 10.6 ± 0.4

Names of tree and shrub species

Ulmus pumila (L.)

Name of the area

The Sovetsky District

Table 2 Average biometric indicators of the main plant species in the studied public gardens of the Sovetsky District of Ulan-Ude

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Table 3 Average biometric indicators of the main plant species in the studied public gardens of the Oktyabrsky District of Ulan-Ude Name of the area

Names of tree and shrub species

Height (m)

Diameter (cm)

The Oktyabrsky District

Ulmus pumila (L.)

9.6 ± 0.2

15.5 ± 0.3

Populus balsamifera (L.)

11.3 ± 0.2

25.3 ± 0.2

Acer negundo (L.)

4.3 ± 0.4

6.4 ± 0.6

Malus baccata (L.) Borkh

3.2 ± 0.2

2.8 ± 0.6

Source Compiled by the authors

after A. S. Pushkin, by the monument to V. B. Borsoev, in Studenchesky public garden, along 50 Years of Oktyabrya avenue. The old-growth plantings of Populus balsamifera L. in Raduga public garden and square in Kuybyshev street were infected with leaf mold. Also, we determined that Nectria canker damaged Crataegus sanguinea Pall. in Gostiny Ryad public garden and near the Voinam pogibshim ot ran v gospitalyakh monument, as well as the plants of Ribes diacanthum Pall. in the Yunoshesky square garden and the square in 50 Years of Oktyabrya avenue. Besides, we revealed that rust fungi damaged Larix sibirica Ledeb growing in a square named after A. S. Pushkin and the plants of Populus balsamifera L. in the following public gardens: (1) Temp, Semeinogo Otdykha, and in Rodina street. The plants of Malus baccata (L.) Borkh in Raduga public garden were damaged by scab. Two drying specimens of Populus balsamifera L. died of poplar fungus. Much of Ulmus pumila L. and Malus baccata (L.) Borkh plantings in Yunoshesky, Zodchy, Yablonevy, and Molodezhny public gardens and the square in 50 Years of Oktyabrya avenue were damaged by Aphididae in the middle of July–early August. Aspen moth (Phyllocnistis suffusella Z.) was found in Populus balsamifera L. in Zodchy public garden and the square in Kuybyshev street. In addition, we assessed the quality of flower beds in the studied square gardens. We found flower beds only in some landscaping sites. The quality of flower beds depends on the plant density regarding modern requirements and a competent approach to the diversity of flower crops considering environmental requirements. The Zheleznodorozhny District. In the public garden of the Buryat State Agricultural Academy named after V. R. Filippov, there are both large and small flower beds with the predominance of Petunia × hybrida hort. ex Vilm., Salvia splendens Sellow ex Schult., and Ageratum houstonianum Mill. in their composition. Plants are in good condition. In 60 Years of Victory, Temp public gardens and in the square named after P. F. Senchikhin flower beds are represented by long and so-called school flower beds with the predominance of Petunia × hybrida hort. ex Vilm. and Salvia splendens Sellow ex Schult. Mostly, the plants are in satisfactory condition. In public gardens named after A. S. Pushkin and Alleya Slavy, flower beds mainly consist of Petunia × hybrida hort. ex Vilm., in Pogranichnikam square garden and square in Rodina Street, flower beds are represented by herbaceous borders

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consisting of Petunia × hybrida hort. ex Vilm, Tagetes patula L., Tagetes erecta L., and Ageratum houstonianum Mill. These flower beds are in poor condition. The Sovetsky District. In Alexandrovsky Sad, Gostiny Ryad public gardens, in Kuybyshev Street, near the State Public Health Institution, City Polyclinic No. 1, the flower beds are in a satisfactory condition. They are represented mainly by large and small flower beds, consisting of Petunia × hybrida hort. ex Vilm., Tagetes erecta L. and Tagetes patula L. Near the monument named after V. B. Borsoev and in Yablonevy public garden, flower beds are in an unsatisfactory condition. The Oktyabrsky District. In Studenchesky, Yunoshesky, Darkhan, Zodchy public gardens, flower beds are represented mainly by Petunia × hybrida hort. ex Vilm., Kochia trichophylla Stapf., and Cineraria maritima L. They are in satisfactory condition. On the territory of Altan Bulag, Detstvo, and Semeynogo Otdykha public gardens, we noted the unsatisfactory condition of the flower beds, consisting of Petunia × hybrida hort. ex Vilm. Therefore, during the research, we found the following types of flower crops in flower beds: (1) Petunia × hybrida hort. ex Vilm., (2) Kochia trichophylla Stapf., (3) Cineraria maritima L., (4) Salvia splendens Sellow ex Schult., (5) Ageratum houstonianum Mill., (6) Tagetes erecta L., (7) Tagetes tenuifolia Cav., and (8) Tagetes patula L. Furthermore, we assessed the quality of lawns in the studied public gardens. We managed to find the lawns only in the Alexander Gardens (the Sovetsky District), Karl Marx Boulevard (the Oktyabrsky District), and the public garden named after P. F. Senchikhin (the Zheleznodorozhny District). In other cases, the square gardens have a natural grassy ground cover. The following species mainly represent the diversity of lawns in studied squares: (1) Lolium perenne L., (2) Agrostis tenuis Sibth., (3) Poa pratensis L., (4) Trifolium repens L., (5) Festuca pratensis Huds. As of the growing season of 2019, the condition of the lawn in the upper part of Karl Marx boulevard was improved and found to be in a satisfactory condition. However, in the lower part of the studied square, its condition is mainly unsatisfactory (the grass cover is severely disturbed and thinned in some places, the living ground cover is fragmentary, the nature of grass bedding is independent and clustered). In the Alexander Gardens, the lawn is in good condition, the nature of the grass bedding is closed and diffuse. Compared to the growing season of 2017–2018, the condition of the lawn in the square named after P. F. Senchikhin was improved, and in 2019, it was found to be in good condition. Consequently, one of the most vital decisions is the organization of a municipal water supply system to solve the problem of placing and maintaining flower beds, lawns, and natural ground grass cover in good condition.

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4 Discussion Most of the studied public gardens of Ulan-Ude do not meet current landscaping requirements and are homogeneous in species composition. Moreover, the existing vegetation is rapidly losing its decorative qualities. Therefore, one should examine Ulan-Ude gardens regularly to obtain objective information about their vegetation state. This strategy will allow timely identification of landscaping objects that need improvement and take measures to maintain their sustainability at the beginning of their weakening. In current conditions, it is necessary to develop a comprehensive program of longterm city landscaping, including (1) planning of greening territories, (2) restoring and reconstructing the existing green spaces, and (3) carrying out landscaping based on statistical data from all existing greening projects. Besides, the city should have a priority action plan based on the issued long-term landscaping plan to put in order all current plantings of the city. Simultaneously, with the help of planned measures, the plantings should be protected, rehabilitated, and prevented from danger. According to the survey results, it is planned to develop all necessary measures for the maintenance, reconstruction, and ongoing care of green spaces.

5 Conclusion The study of the condition of the plantings in the studied public gardens of Ulan-Ude allowed us to assess the ecological state of the urban territory in the administrative districts of the city. The analysis of the obtained data on assessing the ecological state of vegetation in public gardens confirms the need to develop a concept to optimize the system of green spaces in Ulan-Ude. The landscaping of the studied squares carried out mainly in 1950–1960, led to the predominance of plants of the same type that are currently represented by single and cluster plantings of (1) Ulmus pumila L., (2) Populus balsamifera L., (3) Acer negundo L., and (4) Malus baccata (L.) Borkh.; they are more susceptible to damage by a complex of pests and diseases. Due to the lack of an adapted irrigation system in most public gardens, there is an increased risk of reducing their aesthetic appeal and the longevity of vegetation. As a research result, we emphasize the natural degradation of the vegetation state in the landscaping areas of Ulan-Ude, which is due to the impact of natural and anthropogenic factors on the urban environment.

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References 1. Anenkhonov OA, Pykhalova TD, Osipov KI, Sekulich IR, Badmaeva NK, Namzalov BB, Tubanova DY (2001) Determinant of plants of Buryatia. Republic Printing House, Ulan-Ude, Russia 2. Federal Service for Hydrometeorology and Environmental Monitoring (Roshydromet) (2019) Overview of the state and environmental pollution in the Russian Federation for 2018. Retrieved from http://www.meteorf.ru/upload/iblock/ede/Obzor_2018_%D0%B8%D1%81% D0%BF%D1%80%D0%B0%D0%B2%D0%BB%D0%B5%D0%BD%D0%BD%D1%8B% D0%B9_301019.pdf 3. Government of Saint Petersburg (2007) The order of the Government of Saint Petersburg “on the approval of the methodology for assessing the ecological status of public gardens of St. Petersburg”, 30 Aug 2007, p 90. Retrieved from http://docs.cntd.ru/document/8460717 4. Ievskaya AA, Korsunova TM, Imeskenova EG (eds) (2019) Proceedings of A-RSPC: agrotechnologies of the 21st century. PPC Prokrost, Perm, Russia. Retrieved from https://pgsha.ru/exp ort/sites/default/science/science_files/chast_-1.pdf 5. Ievskaya AA, Korsunova TM, Imeskenova EG (2020) The state of green spaces of public gardens. Bull Irkutsk State Agric Acad 96:24–30. Retrieved from http://vestnik.irsau.ru/files/ v96.pdf 6. Ievskaya AA, Korsunova TM, Imeskenova EG (eds) (2017) Proceedings of ISAC: modern technologies in agronomy, forestry and methods of regulating soil fertility. Ulan-Ude, Russia: Buryat State Agricultural Academy after V. R. Filippov. Retrieved from https://www.elibrary. ru/download/elibrary_32435220_69456307.pdf 7. Ministry of Construction and Housing and Utilities of the Russian Federation (2016) SNiP 2.07.01-–89* Urban development. Urban and rural planning and development, vol 1034. Moscow, Russia, 30 Dec 2016. Retrieved from http://docs.cntd.ru/document/456054209 8. Ministry of Construction of the Russian Federation (1997) Methodology for the inventory of urban green spaces. Moscow, Russia. Retrieved from http://docs.cntd.ru/document/471809197 9. Potapova EV, Sokolova OE, Barkhatova OA (2019) Green areas as an element of sustainable development in urban settlements. IOP Conf Ser Earth Environ Sci 315. https://doi.org/10. 1088/1755-1315/395/1/012023 10. Trubina LK, Nikolaeva ON, Mullayarova PI (2019) The environmental monitoring and management of urban greenery using GIS technology. IOP Conf Ser Earth Environ Sci 395:012065. Retrieved from https://doi.org/10.1088/1755-1315/395/1/012065

A Fractal Character of the Multidimensional Ecological Niche: Formation in Real Habitats in South Trans Urals Iskander Yu. Usmanov, Arkady V. Scherbakov , Vyacheslav B. Ivanov , and Angelina V. Ivanova Abstract In this paper, we investigate whether the distribution pattern of chemical elements in soils is consistent with the stochastic distribution in ecologically equivalent habitats. Secondary literature indicates that the stochastic distribution of chemical elements in soils is widespread. However, there is no evidence of the universality of this soil property. The fractal analysis allows us to make statistically reliable conclusions about the object of the study. We took the content of 21 soil elements from 1 m2 in the combined sample as a single self-similar structure. Besides, we carried out the scaling of individual samples as well as the total cumulative sample. Our study revealed that the distribution of elements in soils has a fractal self-similar nature. Moreover, we defined the self-similarity of the soil description structures as a combination of two characteristics: (1) the concentration of each parameter varies widely; (2) the changes in each element occur independently of the others. In the habitats of individual plants, Glycyrrhiza korshinskyi Grig., conditions are formed with different effects on physiological processes in the roots. The latter means that plants must change adaptation complexes in each habitat. In our case, the fractal analysis results may extend the revealed properties to all ecologically equivalent soils. Keywords Flavonoids · Biosynthesis of flavonoids · Stochastic fractals · Glycyrrhiza korshinskyi Grig. · South Trans-Urals

I. Yu. Usmanov · A. V. Scherbakov · V. B. Ivanov (B) · A. V. Ivanova Nizhnevartovsk State University, Nizhnevartovsk, Russia e-mail: [email protected] I. Yu. Usmanov Ufa State Petroleum University, Ufa, Russia © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 S. G. Maximova et al. (eds.), Advances in Natural, Human-Made, and Coupled Human-Natural Systems Research, Lecture Notes in Networks and Systems 252, https://doi.org/10.1007/978-3-030-78105-7_11

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1 Introduction The concept of an ecological niche requires clarification. Therefore, the properties of space (geometric or multidimensional) inside a niche are homogeneous and discussed to compare different niches. However, as for plants, the homogeneity of the “inner space” of the niche does not fit in with the peculiarities of physiological adaptations of plants. Niches are defined as the boundaries of tolerance at which plants can survive. These boundaries are described under the Liebig–Shelford tolerance law with two limitations: factor deficiency and factor excess. In general, the distance between honey in two limits is described by the “dose-effect” curve with the minimum values of the biological parameter at the edges and the maximum effect in the center. Consequently, the concentration of a substance within the tolerance limits for a given plant has physiological significance. Mechanisms of movement and transformation of soil compounds of various elements (inorganic and organic) have been known for a long time [3, 10, 11, 19, 33]. We can classify these forms of movement, both vertical between the horizons of the soil and the parent rocks and horizontal, into the following groups: 1. Physical transfer of capillary solutions, phase transitions between soil solution and soil particles; 2. Chemical substitution processes, oxidation or reduction, pH-dependent processes increase or decrease the mobility of processes determined by soil enzymes; 3. Influence of immobilized soil enzymes and microorganisms on the formation of root-habitat horizons [1, 2, 26]; 4. Horizontal and vertical transfers by plants, insects, fungi, and microorganisms; 5. Shifts due to soil erosion in the original rocks that form alluvial and talus massifs; 6. Processes related to landscape dynamics. These numerous diverse mechanisms are often described fragmentarily [5]. The mobility of any compound in the soil is determined by the properties of the compound itself and the characteristics of the environment. The mobility and direction of movement of any compound are often independent of the mobility and distribution of other compounds. Tilman [26] considers pulsation and disturbance an essential feature of the plant habitat. Under the conditions of the Southern Trans-Urals (Trans-Ural Peneplain), we noted numerous facts concerning the independent redistribution of separate compounds regarding their (1) solubility, (2) pH, (3) salinity of the environment, and other factors [7, 10–12, 16]. According to the data, we can assume that the variability of soil parameters is a stochastic process in which any combination of soil compounds can be formed. Mutual neutrality of the processes is a condition for the stochastic formation of the soil composition. Many neutralist concepts show weak (statistically insignificant) interdependence of various biological processes [4, 18]. In our case, the neutralistic properties of combinations of soil features are based on two characteristics:

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1. The concentration of each of the measured parameters varies greatly, which can be determined by direct instrumental measurements; 2. Changes in each of the detected elements occur independently of the changes in the other measured parameters. One can identify the latter using correlation analysis. However, such an analysis does not allow one to go beyond the limits of the experimentally obtained measurements. In this case, the neutrality of the combination of soil characteristics as a fundamental property remains unproven. Such evidence may serve as an assessment of the variability of soil factors in the habitats where plants successfully develop. In this regard, a direct proof of the multiplicity of neutralistic properties of the systems under study is necessary [25]. There are many mathematical interpretations of the properties of neutrality. Nevertheless, the most common approach is a fractal analysis of a wide range of systems, including soil and biological ones [22]. As the basic concept of fractal analysis, the self-similarity property must be realized in hierarchical systems, where any part of the hierarchy has the same properties. As for soils, each description of soil parameters should also have the same properties. As noted by Gelashvili et al. [4], self-similarity is, “ a unique property of fractals allowing to make statistically correct conclusions about the object as a whole based on available information on a part of the object.” Therefore, due to the fractal analysis, we can evaluate the validity of the assumption that the neutralist stochastic system for the soil composition is a fundamental property of the soils of the plains.

2 Materials and Methods Study area. The Trans-Ural Peneplain is a vast accumulation and denudation plain stretching along the eastern slope of the Urals for hundreds of kilometers from north to south and a width of 30–60 km [10]. Soils are homogeneous: black earth soils ranging from ordinary to underdeveloped ones. The vegetation is represented by the communities of the class Festuco-Brometea Br.-Bl. 1951 and similar steppe communities of the Festuco-Limonietea class Karpov et Mirkin 1985 [17]. The peculiarity of the region is the saturation of the subsoil rocks with compounds of various metals, which is designated as the Krasnouralsko-Sibai-Gaisk copper province with numerous geochemical anomalies and deposits [21, 27, 28]. To isolate ecologically equivalent soil complexes on the territory of the Trans-Ural Peneplain, we obtained samples at the points of distribution of the endemic of the Southern Trans-Ural Korzhinsky licorice (Glycyrrhiza korshinskyi) Grig. Recently, this species successfully colonized. Although there were only several local populations listed in the Red Data Book of the Bashkir Autonomous Soviet Socialist

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Fig. 1 The points of soil sampling at the places of growth of ten cenopopulations of Glycyrrhiza korshinskyi located in the boundaries of the Krasnouralsko-Sibay-Gaisk copper ore province of the Trans-Ural Peneplain. Source Compiled by the authors

Republic, in the report “Rod Licorice in the Southern Urals” [20], more than 60 habitats of this species have been identified. The effective colonization of Korzhinsky’s licorice occurs in small curtains, often spaced a few kilometers apart. Since the cenopopulation persistently exists and resumes under this regime of resettlement [24], we assumed that there are some favorable soil conditions ecologically suitable for this species. The sampling points are shown in Fig. 1. Selection and analysis of soil samples. In each population, we took five samples from the soil horizon from zero to ten cm from the area of 1 m2 by the envelope method and then mixed them. Consequently, the smallest area that will be discussed in the fractal analysis hierarchy is 1 m2 . Chemical analyses. Before the analysis, the soil was dried for four days to an airdry state. The content of Na, Fe, S, B, P, Mg, K, Ca, Al in the upper soil horizon was determined in an aqueous sample extract (100 mg) with an atomic absorption spectrometer (Hitachi 207, Japan). Hr—hydrolytic acidity was measured by pHmeter (Kappen method). Mobile copper was determined by reverse polarography. The residual content of general and mobile forms of heavy metals was measured with a Contr-AA Analytic atomic absorption spectrometer [14]. The total mineralization was determined by measuring the electrical conductivity of the soil extract.

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Data analysis. An analysis of the similarity of the groups of detected correlations was carried out using the Koch dispersion index, a measure of similarity or difference in the series of descriptions: Jd = (T − S)/(n − 1) · S, where: T is the sum of all possible correlations (S1 + S2 + S3 + … + Sn); S is the number of general correlations; N is the number of lists [6]. At the third stage of the work, we analyzed the aggregate of soil indicators to comply with fractal logic. We made calculations using the methods of Gelashvili et al. [4]. For the fractal analysis, the soil indices in the North–South gradient presented in the gradient were first transformed into a hierarchical matrix designed to estimate the self-similarity of the observed pattern. This matrix included (1) data from individual descriptions, (2) data of descriptions grouped by two and by five samples; and (3) total values of parameters (Fig. 2). Moreover, linear mathematical models are better for describing the properties of self-similarity (Table 1). Due to the facts mentioned above, we can suggest that the distribution of soil elements corresponds to fractal logic. Subsequently, according to the methodology, the following indices were calculated from the matrix data:

Fig. 2 Pattern-matching scheme for hierarchical matrix construction. Source Compiled by the authors

Table 1 The values of the Akaike criterion for linear and quadratic models −3

−2

AIC lin.

0.38

− 0.98

AIC quad.

4.96

2.97

q

Source Compiled by the authors

−1

0.5

1.5

2

3

− 3.31

− 5.87

− 0.23

− 4.79

− 3.96

− 3.39

− 2.48

0.61

− 0.52

5.33

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N is the total sample size. This index varied from one (single sample) to ten (all investigated sites) (Fig. 1). Pi is the index of diversity, the proportion of each compound in the overall picture. q is the order of the moment of distribution. q means the degree to which the pi of each element should be built. Simultaneously, some authors of the methodology [4] accept the range q from − 3 to 3. Mq is the moment of the distribution of substances by classes. For this purpose, we used the following expression: Mq (N) =

(N ) Σ

q

pi

i=1

The values indicated in this expression are described above. At the first stage, for each value of q, we calculated the set of moments Mq. The property of self-similarity can be proved if the correlation between log Mq and log N is observed for the entire range of q [4]. Consequently, the self-similarity property is the first condition for the object to correspond to fractal formalism principles. However, the same property of self-similarity (according to the methodology) can also have objects of a regular nature described by relatively simple laws. One can estimate the irreducibility of the observed pattern implementing simple formulas by the Akaike information criterion [AIC], which we calculated using the formula (for small samples): AI C = ln

n+k RSS + n n − k − 2,

where: n is the total amount of the analyzed data; k is the number of parameters of the form; RSS is the sum of the squares of deviations from the predicted values [23]. AIC is calculated for linear and quadratic models, describing the dependence of log Mq on log N. Higher values of this criterion for the quadratic model than for the linear in the entire range of orders of the moment of distribution (q) indicate the possibility of fractal properties for the object under study (Fig. 3). We evaluated the self-similarity of the studied samples by the reliability of the linear dependence of the logarithms of N and Mq indices. The applicability of the fractal hypothesis is based on the results of the comparison of the AIC for linear and quadratic models. The second condition is satisfied. Therefore, the results of fractal analysis of soil indices allow us to conclude that the observed pattern of distribution of soil indices in the habitats of licorice Korzhinsky on the plains of the Trans-Ural Peneplain may be fractal.

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Fig. 3 The values of the Akaike criterion for linear and quadratic models. Source Compiled by the authors

3 Results and Discussion The absolute values of the soil parameters are shown in Table 1. The figures indicate the content of each substance in mg/kg soil. As shown in Table 2, the differences in concentration values are large and reach tenfold s for Cu, Zn, FeO, CaO. Switching to the circular diagram of the relative variability of the content of soil elements (Fig. 4), we can see that there are practically no identical combinations of the elements studied. Pie charts are represented in fractions of the maximum value of each parameter. The results of the analysis by descriptive statistics method are shown in Table 2 and Fig. 5. The order of sampling sites is the same as in Fig. 1. The results of the fractal analysis are presented in Tables 1 and 3. We found that the distribution of elements in the soil has self-similarity properties. Independent changes in the concentration of soil compounds are manifested in a low overall proportion of significant correlations between them. In addition, correlations between individual parameters may or may not manifest themselves, or change sign from (+) to (−) and vice versa, depending on habitat characteristics and dynamics [8, 13, 17, 32]. It is of fundamental importance that there are no stable links between the series of variability in the content of elements. We carried out the sampling taking into account the ecological equivalence of licorice sites. Correlation matrices change drastically in the sequence of their allocation, which indicates their random nature.

7.39

0.43

1.45

0.67

0.3

1.34

0.04

Co

2.3

MgO

6.61

34.3

1.9

0.39

4.9

195

888

49.7

0.79

19.5 3.21

4.43

1.74

0.49

1.53

145

539

70.3

1.28

0.12

1.49

0.03

0.87

3.58

5.43

14.7

32.5

10.2

99.6

89.5

11.6

5.94

5

12.8

1.54

0.63

4.05

113

458

78.1

1.17

0.17

1.47

0.06

0.33

5.87

6

24.7

47.4

9.23

78.3

101

16.2

6.04

4

The average values are calculated based on three analytical replicates

3.29

0.99

2.7

1.67

5.69

TiO2

CaO

6.12

0.86

1.86

0.05

Fe2 O3

FeO

629

115

566

157

SiO2

Al2 O3

1.07

47

1.29

64.7

Cu

Mn

1.89

0.04

Zn

0.03

1.36

0.02

4.85

4.18

15.2

31.2

B

1.81

73.4

120

Mo

5.65

3.23

OH

27.7

6.64

17.7

6.27

K

Humus

3.99

16.8

7.95

33.9

Hr

P

112

118

88.6

75.9

P2 O5

K2 O

20.7

6.99

6.51

30.7

6.27

10.2

pH

3

2

Cenopopulation

1

Sum of bases

Parameter

2.83

21.2

0.98

0.73

4.3

104

501

49.5

1.23

0.22

0.83

0.03

1.96

8.74

6.01

25.4

22.2

3.64

121

95.7

42.8

6.74

6

Table 2 Soil indicators on sites or habitats of singe plants of Glycyrrhiza korshinskyi

2.58

4.21

1.67

0.37

1.54

160

599

68.5

1.26

0.05

1.29

0.02

1.35

1.4

5.98

17.8

30.5

9.06

109

91.6

9.68

6.06

7

2.65

9.57

0.98

1.43

4.99

121

579

33.6

1.07

0.24

0.73

0.04

2.21

6.29

6.64

26.8

14.4

3.25

121

111

49.4

5.83

8

3.04

18.2

0.94

1.22

4.74

110

340

50.7

1.32

0.24

0.86

0.03

1.22

7.47

5.65

22.3

15.2

6.05

112

78.1

23.2

5.01

9

2.8

25.1

0.97

0.75

4.49

96.4

449

54.1

1.14

0.23

0.93

0.03

1.51

10.1

6.79

25.7

25.7

4.14

112

104

40.0

6.48

10

3.37 ± 1.28

15.34 ± 10.18

1.34 ± 0.40

0.69 ± 0.41

3.85 ± 1.62

132.20 ± 3.14

550.52 ± 14.50

56.62 ± 13.40

1.23 ± 0.12

0.20 ± 0.12

1.04 ± 0.32

0.03 ± 0.01

1.45 ± 0.56

5.72 ± 2.62

5.96 ± 0.76

21.73 ± 5.04

26.97 ± 10.28

6.49 ± 2.61

106.82 ± 16.99

94.62 ± 13.00

25.49 ± 14.55

6.19 ± 0.55

Mean ± stand. dev.

114 I. Yu. Usmanov et al.

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Fig. 4 The average values of the content of substances for ten habitats of plants Glycyrrhiza korshinskyi. In this case, G. korshinskyi plants are invasive because they live on land removed from agricultural use. Source Compiled by the authors

Assessment of possible combinations of soil elements based on arithmetic combinatorics. The change of limits occurs under various climatic and weather processes affecting physical and chemical soil properties. Therefore, the set of multidirectional mechanisms of redistribution of soil elements in real conditions shows all stochastic process signs. Recombinations of soil limits are weakly correlated with each other. Analyzed compounds in the soil can be combined in any way, which means that the number of combinations of limits increases in geometric progression from the number of analyzed parameters. However, a simple arithmetic recalculation of possible combinations does not prove that these combinations can exist. Fractal analysis is useful to clarify these perspectives. Fractal analysis. The fractal analysis aims to evaluate the properties of the system to form self-similar structures with increasing size, number of elements, and lengthening time series. The algebraic procedure of fractal analysis is formulated in detail. In our case, as a self-similar structure, we used a description of the soil composition in one separate description of soils with 1 m2 . We defined the generality of self-similar soil descriptions as a set of two characteristics: (1) the concentration of each of the measured parameters varies in a wide range; (2) the changes in each of the detected elements occur independently of the changes in the other measured parameters. The hierarchy is based on attaching descriptions and then creating a combined list of elements with different concentrations. To identify similarities in the organization of soil complexes, we carried out a fractal analysis of a set of descriptions of soil complexes. Moreover, we performed all procedures provided by the algorithm of fractal analysis of Gelashvili et al. [4].

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Fig. 5 The content of chemical elements in soil samples. Source Compiled by the authors

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Table 3 The value of the correlation coefficients between the logarithms of the exponents N and Mq for different values of q Exponent of the moment of distribution q = − 3 q = − 2 q = − 1 q = 1.5 q = 2 Correlation coefficient

− 0.90

− 0.90

− 0.90

− 0.90

q=3

− 0.90 0.90

Source Compiled by the authors

4 Conclusion According to modern concepts, self-similarity in a wide range of their organization levels is a remarkable feature of objects with fractal nature. In this case, objects of fractal nature occupy an intermediate position between objects with rigid internal determination and objects with a predominantly stochastic nature. In both cases, there is a broad range of transition states (regular fractal systems on the one hand, and stochastic systems on the other), which does not necessarily allow us to consider a given multilevel object with fractal properties. Nevertheless, it can be argued that objects of strict regular nature (where all organization levels are interconnected) will not have a fractal nature. Conversely, the absence of rigid internal consistency between the elements of systems can lead to a large number of possible self-similar parameter combinations. All habitats of the Southern Trans-Ural region with cenopopulations of Korzhinsky licorice may have self-similarity properties. In the soils studied, the self-similar structure will be a combination of soil elements, when the concentration of each element varies greatly, and each element changes independently of the others. The revealed features of the soils of the Trans-Ural Peneplain can serve as the basis for the formation of numerous plant adaptations to the stochastic pulsating regime of soil complexes formation. The obtained data indicate the need for further study of the adaptive capacity of the organization, which would ensure the survival of plants in multidimensional pulsating ecological niches [15, 29–31]. According to the statistical and fractal analysis results, the fractal organization of soil complexes is shown, which indicates the absence of restrictions on the appearance of self-similar combinations. When the information is compressed, obtaining statistically average values, the variety of factors of the root-inhabited environment is lost. If we compare individual habitats (Fig. 1), we can reveal a wide range of conditions in the root habitat. Considering the average characteristics of habitats, we cannot consider the whole variety of conditions under which plants successfully develop and survive. Therefore, it seems appropriate to introduce the additional concept of “individual multidimensional niche of plants.” Acknowledgements The chromatographic analysis was carried out on the equipment of the common use center “Chemistry” of Ufa Federal Research Centre of the Russian Academy of Sciences. The work was done due to the grant from the Russian Foundation for Basic Research (RFBR) 18-44-860006 r_a.

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Pre-migratory Congregations of Grey Cranes as a Resource for Sustainable Development of Territories: Conflicts and Solutions Nadezhda Yu. Kiseleva

and Sergei V. Bakka

Abstract The paper studies the ways to solve the problem of conservation of biological resources in the interests of sustainable development in anthropogenically transformed territories on the example of protection of pre-migratory congregations of the grey crane. Material for the study was collected in 1985–2019 years. To analyze the information sources, we used sociological methods (surveys and questionnaires), surveys, and monitoring of congregations. By 2005, 125 pre-migratory congregations of grey cranes were identified, including 9 large ones (numbering more than 1000 individuals). To date, the number of clusters has decreased. At the same time, the number of cranes increased in large congregations where agricultural production is maintained. This increases the species’ vulnerability and the conservation and resource value of large congregations. Conflicts of interest in nature protection and nature management are becoming more acute. We consider four groups of conflicts, namely: (1) “Agriculture and cranes,” (2) “Hunting and cranes,” (3) “Construction of linear objects and cranes,” and (4) “Tourism and cranes.” It is shown that they do not serve as an insurmountable obstacle to preserving large clusters of cranes. The development of eco-tourism does not create new conflicts but contributes to the resolution of existing ones. The scale developed by the authors allowed us to assess for the first time the significance of pre-migratory congregations of gray cranes as a resource for the development of eco-tourism and justify the highest potential of the Baryatinsky congregation in the Nizhny Novgorod Region. Plans for the construction of the Moscow–Kazan highway, which cuts through the place where cranes spend the night and coincides with the main route of daily migration, pose an extreme threat to its existence. As a result, there will be a reduction in the number of cranes or even a complete collapse of the congregation. A resource for eco-tourism will be lost. Moving the highway line beyond the territory of the congregation will allow preserving a valuable natural object and use it effectively in the future in the interests of sustainable development of the region. N. Yu. Kiseleva (B) Minin Nizhny Novgorod State Pedagogical University, Nizhny Novgorod, Russia e-mail: [email protected] S. V. Bakka State Nature Reserve “Nurgush”, Kirov, Russia © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 S. G. Maximova et al. (eds.), Advances in Natural, Human-Made, and Coupled Human-Natural Systems Research, Lecture Notes in Networks and Systems 252, https://doi.org/10.1007/978-3-030-78105-7_12

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Keywords Biological resources · Grus grus L. · Gray crane · Red Book · Important Bird Areas (IBAs) · Privolzhsky Federal District · Pre-migratory congregations · Natural resource management conflicts · Eco-tourism

1 Introduction The problem of conservation of biological resources in anthropogenically transformed territories in the interests of sustainable development is one of the most pressing in the current environmental management [5, 6, 23–25, 30]. The paper considers this problem on the example of conservation of pre-migratory congregations of gray cranes, which have a high potential for use as a resource for the development of eco-tourism. The formation of premigration clusters is an important feature of the biology of the grey crane (Grus grus L.), listed in the Red Books of many regions of European Russia. Staying for several weeks on a pre-flight cluster is necessary for successful seasonal migration of cranes to their wintering grounds. Pre-migratory congregations are formed exclusively on vast territories that combine virtually uninhabited swampy areas (they serve as places for overnight stays) and vast farmlands where cereals, corn, and legumes are cultivated (birds feed on harvested fields). Places of large congregations are the key areas of the gray cranes’ range that need to conserve the existing system of nature management [8, 11, 16]. The grey crane is a well-known bird, the hero of fairy tales, stories, and legends that has a beautiful voice and a spectacular appearance. These circumstances make the observation of the cranes is especially attractive for many nature lovers. Large crane congregations, which gather tens of thousands of observers, become an essential resource for the development of eco-tourism and a factor of sustainable development of territories [9, 13, 18, 20]. On the contrary, large congregations of birds that use farmland for feeding lead to conflicts of interest with producers of agricultural products. Several countries have accumulated considerable experience in resolving conflicts between conservation of crane congregations and agricultural environmental management [3, 22, 26, 28]. In Russia, the resource potential of pre-migratory congregations is still used minimally [1, 9]. The formation of social groups ready to use this resource and protect it is in its infancy. At the same time, crane congregations are very vulnerable and can easily be lost due to various natural resources management project implementation.

2 Materials and Methods The research methodology is based on the identification and protection of the key territories that are most important for the conservation of populations of specific bird species (Important Bird Areas Program)—a priority area of territorial bird protection implemented at the international level [7, 27].

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We identified and studied pre-migratory congregations in 1985–2019 in the Nizhny Novgorod Region (an area of 76.9 thousand km2 ) and in 1999–2005 in the Privolzhsky Federal District (an area of 1038 thousand km2 ). We used the following methods of collecting material: (1) analysis of information sources (scientific publications, research reports, etc.), (2) sociological (surveys, questionnaires) survey, and (3) monitoring of congregations. The survey and questionnaire data were processed using mathematical and cartographic methods. The volume of studies carried out is characterized by Table 1. Field studies of pre-migratory congregations of cranes were carried out in September. We identified the spatial structure (places of sleeping, feeding, diaries and watering places, and the main routes of daily migration) and determined the number of birds. The number was recorded during (1) the morning departure of birds from the place of the overnight stay, (2) the day (when feeding in the fields), and (3) in the evening when the birds returned for the night stay. We also estimated (in hundreds of meters) the distance of flushing cranes, which serves as an integral indicator of the severity of the anxiety factor in the territory of the congregation. We collected and analyzed information about threats to the existence of congregations and their degree of severity. We developed the following scale to assess the significance of pre-migratory grey crane congregations as a resource for eco-tourism development (Table 2). Threats to the Baryatinsky congregation, which has the greatest resource potential for the development of eco-tourism in the Privolzhsky Federal District, were assessed both during the field research in 1985–2019 and the authors’ expert activities. The likely impact on the congestion of the planned Moscow–Kazan highway (M-12) was analyzed. Information about the route was received from the project organization after discussion at a meeting of the Ecology Committee of the Legislative Assembly of the Nizhny Novgorod Region. Using GIS methods, we correlated the route line Table 1 Volume of the research Methods of collecting information

Quantitative indicators

Years

Surveys of workers in forestry, hunting, and agriculture, biology teachers, and nature lovers

1570 people

1984–2014

Surveys of workers of forestry and hunting facilities, and educational institution

797 questionnaires, 106 answers 192 questionnaires, 90 answers 2597 questionnaires, 151 answers

1982 1985–1986 1998

Surveys of pre-migratory gatherings, including

16 clusters, 3920–8400 individuals

1985–2019

– One-time monitoring

6 clusters, 1170–2230 individuals

1985–2011

– Two–three times monitoring

5 clusters, 1230–2670 individuals

1985–2012

– Long-term monitoring

5 clusters, 1520–3500 individuals

1985–2019

Source Compiled by the authors

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Table 2 Scale of assessment of the significance of pre-migratory congregations of gray cranes as a resource for eco-tourism development Parameters

Characteristics corresponding to the scores 1

2

3

Cluster size (individuals)

Up to 100

101–500

More than 500

Stability of the spatial structure

Low

Medium

High

Population trend

Declining

Stable

Growing

Flight zone as an integral 1000 and more indicator of the level of the anxiety factor (m)

500–900

200–400

Aesthetic attractiveness of the enclosing landscape

Low

Medium

High

Accessibility of the territory for observers

Hard

Average

Easy

Tourist infrastructure

Absent and requires There is development Developed a large investment to potential and sporadic create private initiatives

Environmental and Absent environmental-educational activities related to cranes (Crane Day, Crane Festival, etc.)

Sporadic, carried out irregularly

Systemic, organized regularly

Source Compiled by the authors

and the location of structural elements of pre-migratory congregations of cranes. The amount of probable damage is calculated based on a regulatory document [19].

3 Results By 2005, 125 pre-migratory congregations of gray cranes were identified in the Privolzhsky Federal District (Table 3). Most of them are small, numbering dozens of individuals. However, there are nine large congregations where the maximum number of cranes reaches 1000 or more individuals. In 1999, in the Nizhny Novgorod Region, there were 31 clusters of more than 10 cranes. The dynamics of their state in 1999–2019 are shown in Table 4. We saw the collapse predating congregations in terms of the decline of agriculture in other regions. Congregations ceased to exist in the Tuzhinsky District of the Kirov Region and in the Kilemarsky District of the Republic of Mari El, each of which concentrated up to 500 individuals.

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Table 3 Number of pre-migratory congregations and the number of cranes gathering on them in the regions of the Privolzhsky Federal District No.

Region

Number of pre-migratory gatherings

Total number of cranes, individuals

1

Kirov Region

2

Nizhny Novgorod Region

3

Orenburg Region

4

Penza Region

1

30

5

Perm Krai

37

16,100

6

Republic of Bashkortostan

18

3000

7

Republic of Mari El

2

300

8

Republic of Mordovia

1

100

9

Republic of Tatarstan

11

2500

10

Republic of Udmurtia

1

400

11

Chuvash Republic

3

1000

12

Samara Region

1

100

13

Saratov Region

2

200

14

Ulyanovsk Region

6

2300

125

31,530

Volga Federal District, total

3

1400

37

4000

2

100

Source Compiled by the authors

Table 4 Dynamics of the number of cranes in pre-migratory congregations on the territory of the Nizhny Novgorod Region in 1999–2019 Nature of the dynamics of the number of cranes in the cluster Number of clusters Total number of cranes in years 1999 2019 Significantly increased

3

1370 2900

Remained at the same level

4

230

230

Significantly reduced

4

270

60

The cluster has disappeared

20

1280

0

Total

31

3150 3190

Source Compiled by the authors

We consider the distance of a crane’s rouse (the distance from a person to a bird at the moment of its take-off) as an integral indicator of the severity of the anxiety factor in the congregation’s territory. It depends on the frequency of cases of human persecution of cranes, including the intensity of poaching. In the Volga Federal District, the minimum distance of flight zone (200–300 m) was observed

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in the Republic of Mari El, where the traditions of worshipping cranes have been preserved. In the Kirov Region, where there is the highest activity of hunters, cranes took off, noticing a person at a distance of more than 1000 m. In other regions, the distance of flight zone was 500–700 m. Based on the analysis of literature and our own research, we have identified four groups of conflicts of interests of nature users with the existence and protection of pre-migratory congregations of gray cranes: “Agriculture and cranes,” “Hunting and cranes,” “Construction of linear objects and cranes,” “Tourism and cranes.” For large pre-migratory congregations using the scale developed by us (Table 2). The score of significance as a resource for the development of eco-tourism was calculated (Table 5). Our assessment showed that the most significant potential has the Baryatinsky cluster of gray cranes in the Pilninsky district of the Nizhny Novgorod Region. It is known from the end of the nineteenth century [31]. The congregation has been regularly studied since 1985 [4]. The presence of a crane congregation, along with one of the largest waterfowl, stops in the center of European Russia (including 30,000 geese) on the spring flight, determined the allocation of two key ornithological territories of world significance: “Sumerlinskaya” and “Floodplain of the Algashki river” [27]. Places for feeding cranes are located in the fields in the Nizhny Novgorod Region, places for sleeping in the swampy floodplain of the Sura river—in the territory of the Republic of Chuvashia. Every day, at dawn and sunset, cranes perform daily migrations between these territories. Movements of birds between separate feeding places in fields, between feeding places and watering places, happen throughout Table 5 Assessment of the significance of large pre-migratory congregations of gray cranes as a resource for the development of eco-tourism in the Privolzhsky Federal District Federal subject of Russia

Location of the pre-migratory gathering of cranes

Significance for ecological tourism, points

Nizhny Novgorod Region

Pilninsky district, Baryatino village

22

Ulyanovsk Region

Sursky district, Lava and Sara villages

19

Republic of Tatarstan

Kamsko-Ikskij zakaznik (nature 19 reserve)

Republic of Bashkortostan

Belskaya floodplain

17

Perm Krai and Republic of Udmurtia

Floodplain of the Kama river, below Tchaikovsky

15

Kirov Region

Podosinovsky district, Kayskoe swamp

13

Perm Krai

Kama-Keltminsky swamps

13

Perm Krai

Kama-Vishersky swamps

13

Perm Krai i Kirov Region

Verkhnekamsk swamps

12

Source Compiled by the authors

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the day. The Baryatinskoe pre-migratory congregation of gray cranes is one of the largest in European Russia. Recorded the maximum number of birds in 2011–2019 was around 1500–2000 individuals. From May to early July, at least 200 individuals are kept on the territory of the congregation. In July, the number of birds begins to grow, reaching 500–1000 individuals by the end of August–early September. The peak number is usually observed in the third decade of September. The absolute majority of birds present on the congregation’s territory gather for overnight stays in the swampy floodplain of the Sura river. Most birds fly in the morning and evening along the main daily migration corridor at an altitude of 10–30 m. Before flying across the forage fields and before leaving for the night, birds usually concentrate on the starting field. The overnight sites of the pre-flight cluster are stable. The main corridor of daily migrations and the starting field are used by birds every year, daily, in August–September. The distribution of birds in forage fields and the use of watering places depend on the crops cultivated in the current year and the timing of harvesting in individual fields. The high number of cranes, the stability of the cluster structure, the aesthetic attractiveness of the landscape, and the convenience of bird watching from the high Bank of the Sura river determine the value of the territory of this cluster as a resource for the development of eco-tourism. On the territory of the Baryatinsky congregation, the negative attitude of agricultural producers to cranes was not noted. The use of this territory by hunters is minimal. Students and teachers regularly celebrate the day of the crane. Organized eco-tourism is not yet developed here. Currently, there is a threat of destruction of the crane congregation in connection with plans for the construction of the Moscow–Kazan M-12 highway. The initial version of the route of the planned M-12 Moscow–Kazan highway creates an extremely high threat to the Baryatinsky congregation of cranes. For 12 km, the route almost coincides with the main corridor of daily bird migrations and crosses the Northern part of the overnight area.

4 Discussion To date, the number of pre-migratory congregations of gray cranes in agricultural landscapes of the Privolzhsky Federal District and other regions of Russia has significantly decreased. A redistribution of congregating birds accompanied this process without reducing their total number. In the context of a decline in agriculture, many small and medium-sized clusters disintegrated both in Russia and abroad [10, 12, 17]. At the same time, there is an increase in the number of birds in large congregations in places where agricultural production is maintained (Table 4). The process of consolidation of individual congregations increases the vulnerability of the gray crane, listed in the Red books of many regions of European Russia. The conservation

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and resource value of such congregations is growing. At the same time, the consolidation of congregations exacerbates conflicts of interest in nature protection and nature management. We considered four groups of conflicts of interests of nature users with the existence and protection of pre-migratory congregations of gray cranes: . “Agriculture and cranes.” In international and domestic practice, the damage to agriculture from cranes is discussed [15, 21]. There are known cases of bird deaths from pesticides used in agriculture [2, 14]. In the Privolzhsky Federal District, this conflict is poorly expressed. Cranes feed mainly on harvested fields and occasionally use winter crops. Thus, the damage to grain production is insignificant. The local population’s awareness of the possibility of using pre-migratory congregations of cranes as a resource for eco-tourism development would completely resolve the occasional conflict situations; . “Hunting and cranes.” The common crane is not the hunting species in many regions of European Russia and included in the Red books. Hunting on the territory of individual congregations (especially near places where the birds spend the night) becomes a significant factor of concern for birds. There are cases of illegal crane hunting. This conflict is resolved by strengthening the protection of hunting grounds from poachers, increasing the ecological culture of hunters, and regulating hunting during the existence of clusters. In recent years, there has been a tendency to expand the services provided by hunting farms: they include photo hunting. Cranes as a valuable object of photo hunting can become an additional resource for hunting farms; . “Construction of linear objects and cranes.” The construction of highways, gas and oil pipelines, and power lines through the territories of clusters can cause significant damage or completely destroy them. Migration congregations of animals are protected by the legislation of the Russian Federation. However, the designers usually do not have information about such congregations and do not consider them in the project documentation. There is a need for a cadaster of large migration congregations of animals that are mandatory for accounting when designing economic infrastructure facilities; . “Tourism and cranes.” Watching cranes is the most eco-friendly method of using them as a resource. Tourism activities can increase the concern factor for birds. If simple rules of behavior are observed, and observation sites are equipped with elements of tourist infrastructure, bird disturbance is minimized. The development of eco-tourism is becoming a factor in developing public support for the protection of biological diversity, specially protected natural areas, and key ornithological territories [9, 29]. Thus, none of the conflicts of interest is an insurmountable obstacle to preserving large pre-migratory congregations of gray cranes. The development of eco-tourism does not create new conflict situations. It helps to resolve existing ones. The scale of assessment of the significance of pre-migratory congregations of gray cranes as a resource for the development of eco-tourism developed by us, allowed us to justify the highest potential of the Baryatinsky congregation. Currently, this

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cluster is the largest in the Nizhny Novgorod Region and one of the largest in the Central part of European Russia. The high number of birds with a tendency to increase determines its particular importance for conserving the species. The low intensity of conflicts with agricultural production and hunting nature management creates conditions for the conservation of the congregations and its use in the interests of sustainable development. Plans to build the M-12 Moscow–Kazan highway pose an extreme threat to the existence of this cluster. The current proposed trajectory of the route cuts through the place where cranes spend the night and coincides with the main route of daily migrations of birds. Cranes begin to show concern when a person appears at a distance of about one km, and when approaching 500–700 m take off. Therefore, the presence of feeding, resting, and sleeping cranes in a strip less than one km wide on both sides of the highway under construction will be impossible. During the long-term records of cranes on the pre-migratory congregation, it was noted that even the presence of a stationary observer on the path of daily migrations causes noticeable concern and changes in the direction of movement of flying groups of birds. Passing of the highway under construction along the main corridor of daily migrations of cranes will make this migration route impossible. The overnight stay of a pre-migratory congregation of cranes has a complex structure, representing a congregation of wetlands between which birds move even during one night. A strong disturbance of birds on any of the congregations’ sites of the overnight stay will lead to its destruction. In the most optimistic scenario, the construction of the M-12 highway on the selected territory will reduce the number of pre-flight clusters by 1000 individuals. Based on the characteristics of the biology and ecology of the species, it is more likely that the pre-migratory congregation will almost completely disintegrate, i.e., the population will decrease by at least 2000 individuals. If the planned highway route does not change, no system of measures for the conservation of wildlife (limiting the duration of construction work, regulating noise pollution, etc.) will help avoid the destruction of the congregation. The gray crane is listed in the Red books of the Nizhny Novgorod Region and Republic of Chuvashia, therefore, the destruction of its habitats is unacceptable. Regardless of the conservation status of animal species, Russian legislation requires the preservation of their concentration areas and main migration routes. We calculated the minimum possible damage to the pre-migratory congregation of gray cranes (when reducing the number of birds by half), equivalent to 21,610,000 rubles. More likely is the disintegration of the congregation. In this case, the amount of damage will reach 43,210,000 rubles. Monetary compensation for the damage caused to the congregation will not eliminate violations of Federal legislation and will not compensate for the loss of one of the largest pre-migratory congregations of gray cranes in European Russia. The destruction of a significant natural object within a key ornithological territory of global significance will negatively resonate in the scientific and environmental community on a national and international scale. A resource for eco-tourism will be lost, which is contrary to the interests of long-term sustainable development of the territory.

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The transfer of the highways’ route beyond the territory of the congregation will help to preserve a valuable natural object and use it effectively as an eco-tourism resource in the future. The observation of thousands of cranes will become available to residents of the Moscow region, will contribute to the creation of tourist infrastructure and sustainable development of the Pilninsky district. Considering environmental requirements will positively impact the image (including on an international scale) of the planned activities and organizations that carry them out.

5 Conclusion By 2005, 125 pre-migratory congregations of grey cranes were identified on the territory of the Privolzhsky Federal District, including 9 large ones where the maximum number of cranes reaches 1000 or more individuals. To date, the number of premigratory congregations of gray cranes in agricultural landscapes of the Privolzhsky Federal District has significantly decreased. This process was accompanied by a redistribution of congregating birds without reducing their total number. With the decline of agriculture, many small and medium-sized congregations have collapsed. At the same time, there is an increase in the number of birds in large congregations in places where agricultural production is maintained. The process of consolidation of individual congregations increases the vulnerability of the gray crane, listed in the Red books of many regions of European Russia. The conservation and resource value of such clusters is growing. At the same time, the consolidation of congregations exacerbates conflicts of interest in nature protection and nature management. We considered four groups of conflicts of interests of nature users with the existence and protection of pre-migratory congregations of gray cranes: “Agriculture and cranes,” “Hunting and cranes,” “Construction of linear objects and cranes,” and “Tourism and cranes.” None of the conflicts of interest is an insurmountable obstacle to preserving large pre-migratory congregations of gray cranes. The development of eco-tourism does not create new conflict situations. It helps to resolve existing ones. The scale that we developed for evaluating the significance of pre-migratory gray crane congregations as a resource for the development of eco-tourism allowed us to justify the highest potential of the Baryatinsky congregation (the largest in the Nizhny Novgorod Region and one of the largest in the Central part of European Russia). The high number of birds with a tendency to increase determines its particular importance for conserving the species. The low intensity of conflicts with agricultural production and hunting nature management creates conditions for the conservation of the congregation and its use in the interests of sustainable development. Plans to build the M-12 Moscow–Kazan highway pose an extreme threat to the existence of this congregation. The current proposed trajectory of the route cuts through the place where cranes spend the night and coincides with the main route of daily migrations of birds. The construction of the route will reduce the number of pre-migratory congregations by at least 50% or even to complete disintegration. A

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resource for eco-tourism will be lost, which is contrary to the interests of long-term sustainable development of the territory. To minimize damage to the pre-migration cluster of cranes, it is necessary to change the direction of the highway. Moving the highway line beyond the territory of the congregation will save a valuable natural object and, in the future, effectively use it as a resource of eco-tourism in the interests of long-term sustainable development of the territory. Acknowledgements The authors thank the Russian Birds Conservation Union for the support of studies in 2000–2005 and the Ministry of ecology and natural resources of the Nizhny Novgorod Region for the support of the current research work in 1998–2010. A large amount of research in the Privolzhsky Federal District was collected with the support of the Ministry of Education of the Russian Federation in the project “People and birds” (Mass actions of the Union for the protection of birds of Russia) as an effective mechanism for continuous environmental education of the population and the development of social partnership (No. 1815 of August 5, 2003).

References 1. Astashina NI (2014) Prospects of diversification of service activity at the organization of recreational wildlife management. Balt Humanit J 4(9):123–124 (in Russian) 2. Austin JE (2018) Threats to cranes related to agriculture. In: Cranes and agriculture: a global guide for sharing the landscape. International Crane Foundation, Baraboo, Wisconsin, pp 83– 116 3. Austin JE, Sundar KG (2018) Methods to reduce conflicts between cranes and farmers. In: Cranes and agriculture: a global guide for sharing the landscape. International Crane Foundation, Baraboo, Wisconsin, pp 117–141 4. Bakka S, Kiseleva N (2013) Research and conservation of the Eurasian crane in Nizhniy Novgorod Region. In: Proceedings of the 7 European crane conference. Crane Conservation Germany, pp 159–164 5. Berger-Tal O, Saltz D (2019) Invisible barriers: anthropogenic impacts on inter- and intraspecific interactions as drivers of landscape-independent fragmentation. Philos Trans R Soc B Biol Sci 374(1781). https://doi.org/10.1098/rstb.2018.0049 6. Elsukova E, Lebedeva M, Olifir D, Korshunov M (2017) The status and the problems of the forest resource usage (on the example of the Leningrad region). Paper presented at the international multidisciplinary scientific geoconference. Surveying, geology and mining, ecology management—SGEM, vol 17, no 33, pp 665–670. https://doi.org/10.5593/sgem2017H/33/ S14.083 7. Heath MF, Evans MI, Hoccom DG, Payne AJ, Peet NB (2000) Important bird areas in Europe: priority sites for conservation. In: BirdLife conservation series no 8. BirdLife International, Cambridge, UK 8. Ilyashenko EI (2016a) Critically important areas for the common crane (Grus grus Linnaeus, 1758) (Gruidae, Aves). Povolzhskiy J Ecol 2:199–208 (in Russian). https://doi.org/10.18500/ 1684-7318-2016-2-199-208 9. Ilyashenko EI (2016b) Cranes in agricultural landscapes as a base for ecological tourism and education development. Transbaikal State Univ J 11(1):93–103 (in Russian) 10. Ilyashenko E, Markin Y (2013) Results of questionnaires of 1982 and 2007 on the Eurasian crane staging areas in the European part of Russia. In: Nowald G, Weber A, Fanke J, Weinhardt E, Donner N (eds) Proceedings of the VIIth European crane conference. Crane Conservation Germany, Groß Mohrdorf, pp 165–173

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Indicators of Monitoring Objects of Specially Protected Natural Territories: The Case of the Tyumen Region, Russia Valentina M. Okmyanskaya

Abstract The paper substantiates the need to develop a methodology for monitoring objects of specially protected natural areas of the Tyumen region. The methodology will help to preserve the unique areas of nature in conditions of increasing environmental problems. Those problems are related to forest resources, mineral, and fuel energy resources, violations, and degradation of natural ecosystems on large territories. To develop a methodology for monitoring objects of specially protected natural areas of the Tyumen region, the author studies spheres of influence and forms the main factors that have a negative impact on natural complexes. Based on the dominant actions of the negative factor, the author proposes a classification of specially protected natural areas of the Tyumen region: (1) areas with industrial activity, and (2) areas with limited natural resources, recreation, urbanization, and conservation. Based on the type of protected area and the impact of identified factors on the natural complex, the author registers and calculates the generated sets of monitoring indicators in specially protected natural areas. The proposed classification, as well as the identified anthropogenic factors of influence, will become the basis for further development of methods for monitoring unique natural complexes in the region. Keywords Protected areas · Monitoring of specially protected natural areas · Monitoring methodology · Factors influencing land monitoring · Monitoring indicators · Tyumen region

1 Introduction Specially protected natural areas play an important role in the preservations of the natural environment, the study of biological and landscape diversity, unique and exemplary natural sites, historical and cultural heritage, and the solving of some other problems. V. M. Okmyanskaya (B) Industrial University of Tyumen, Tyumen, Russia e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 S. G. Maximova et al. (eds.), Advances in Natural, Human-Made, and Coupled Human-Natural Systems Research, Lecture Notes in Networks and Systems 252, https://doi.org/10.1007/978-3-030-78105-7_13

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Therefore, following the legislation, the territories of unique natural complexes and objects are completely or partially excluded from the traditional, intensive economic turnover [13]. However, today the quality condition of protected natural areas, mainly of regional significance, is disappointing due to the anthropogenic impact on natural complexes. The negative impact is caused by human activities that affect certain components of the natural environment—the subsoil, soil, air, surface and underground water, flora and fauna, and the state of the protected area as a whole. One of the most effective methods to ensure control over the unique natural complexes and obtain the necessary information to justify and make management decisions on planning economic activities is creating a system of environmental monitoring. It should be created on the federal level since the main part of natural complexes and objects with an established regime of special protection have a regional status [1]. Currently, there is no unified system of requirements for monitoring specially protected natural areas on the federal level, which is why each subject develops its own methodology, while in some regions, it is absent [12]. Table 1 shows some existing methods for monitoring specially protected natural areas of regional significance developed at the federal level. As a result of the analysis of existing methods for monitoring specially protected natural areas of regional significance, the author draws the following conclusions: . Due to the absence of the unified monitoring concept at the Federal level, regional normative legal acts define the content, functions, tasks, and regulations to conduct monitoring research; . A variety of approaches characterizes the legal regulation of the federal subjects of Russia on the implementation of monitoring of specially protected natural areas and the application of its results; . The lack of unified approaches to monitoring objects leads to differences in the structure, frequency of monitoring studies, observation methods, and recorded indicators. It makes sense because each subject of the Federation and the natural complexes system developed in it have its own regional characteristics. However, the definition of mandatory sections of methodological recommendations, as well as the requirements for their content at the Federal level, will allow coordinating the activities of state authorities of subjects in solving problems. The authors consider monitoring objects of specially protected natural areas of the Tyumen region, considering the Khanty-Mansi Autonomous District-Yugra and Yamalo-Nenets Autonomous District. The monitoring system is based on the principle proposed in the work “Land and real estate monitoring” by Giniyatov [5]. Monitoring of objects of specially protected natural areas should be understood as a set of works on monitoring, assessing, and forecasting the state and use of the lands of objects of specially protected natural territories, as the essential component of the natural and economic complex, using mostly remote sensing methods of the Earth.

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Table 1 Analysis of some methods for monitoring protected areas Federal subjects of Russia Structure of the protected area monitoring system

Monitoring object

Sverdlovsk region

(1) The number of protected areas, their total area, and conservation index (2) Status and category of protected areas (3) Cadastral number, clusterization, profile, and year of creation (4) The list of the main objects of protection (5) The departmental subordination (6) Location (7) The regime of environmental management and zoning of protected areas (8) Measures to improve the state of protected areas (9) The number of PA institutions staff (10) Security of protected areas (11) Scientific and environmental education activities on the territory of protected areas (12) The cost of maintaining protected areas (13) Map material

– – – –

–

Mammals Birds Plant community Collection of samples for dendrochronological monitoring Pollution of the atmosphere, surface water, soil, and sources of anthropogenic impact Basic meteorological characteristics Water management systems and structures Recreational load

(1) Name, category, profile, status, year of creation, and the total area (2) Location (3) The list of the main objects of protection (4) The main features of nature (vegetation, forest fund, biological diversity, etc.) (5) Regime and zoning of the territory (6) Objects and factors that negatively affect protected areas (7) Measures to improve the state of protected areas (8) Map material

– – – – –

Soils Surface water Forests and other vegetation Animals and other organisms Atmospheric air

Perm region

–

– –

(continued)

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Table 1 (continued) Federal subjects of Russia Structure of the protected area monitoring system Komi Republic

(1) Remote sensing data and mapping of protected areas (space images and cartographic information on protected areas) (2) Chemical indicators of natural protected areas (the content of the main components of natural environments, impurities, and toxicants) (3) Biological diversity of protected areas (description of a wide range of species, biological resources, key species, and habitats) (4) Landscape processes (analysis of landscape and geobotanical structure of natural complexes) (5) Environmental management and anthropogenic impacts (definition of the existing environmental management regime and anthropogenic violations)

Monitoring object – Natural complexes, landscapes of protected areas, and their ecological system – Biological and landscape diversity – Objects of the animal world and hunting resources and their habitat – Objects and natural complexes experiencing the negative anthropogenic impact of economic and other activities

Source Government of the Perm Region [7], Government of the Republic of Komi [8] and Sverdlovsk Region Government [14]

For the development of land monitoring, we should identify the main negative impact factors affecting the condition of natural complexes. Using them as a basis, we later can develop a system of indicators to assess the degradation degree of natural complexes and objects that consider regional peculiarities. It makes the current research relevant.

2 Materials and Methods The area of protected areas and their share in the Tyumen region’s total area is constantly changing. In 2018, in comparison to 2014, the total area of specially protected natural areas increased, mainly in the South of the Tyumen region and the Yamalo-Nenets Autonomous District [2–4]. First, it is related to the formation of new objects on reserved land plots [6, 9, 10]. As of January 1, 2019, the total area of specially protected natural areas of the Tyumen region, including the Khanty-Mansi and Yamalo-Nenets Autonomous

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Districts, amounted to 11,794.13 thousand ha. 70.6% of the area is in the YamaloNenets Autonomous District (Fig. 1). Currently, there are more than 130 specially protected areas in the Tyumen region. Each has a different level of management and categories. Most of the natural complexes are located in the South of the Tyumen region (Fig. 2). Specially protected natural areas should be distinguished not only by categories, levels of management, and profiles, but also by anthropogenic factors of influence. Relying on the analysis of the main anthropogenic factors affecting specially protected natural territories of the Tyumen region that reduce the quality of the components of the natural environment, the author distinguishes the following types of protected areas (Fig. 3). The specifics of monitoring the objects of specially protected natural areas of the Tyumen region are determined at the first stage, determining the type of specially protected natural territory depending on the prevailing anthropogenic factor. Thus, according to the type of specially protected natural area, the developed methodology will determine the indicators recorded and calculated in the monitoring process and the frequency of monitoring studies. Following the current factor, the main negative consequences for protected areas can be identified (Table 2). The proposed classification of specially protected natural areas of the Tyumen region will allow developing a methodology for monitoring the natural objects, identifying the main monitoring indicators that will allow making conclusions about the

Fig. 1 Distribution of the area of specially protected natural areas of the Federal subject. Source Compiled by the author

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Fig. 2 The distribution of objects of specially protected natural territories according to levels of management. Source Compiled by the author

object’s quality and, if necessary, providing a set of measures to reduce the negative impact.

3 Results In accordance with the type of specially protected natural area, we determine a set of mandatory indicators for the observation and evaluation during monitoring (Table 3).

4 Discussion The proposed classification of specially protected natural areas and identified main anthropogenic factors affecting natural complexes that negatively impact the state of the object will form the basis of the methodology for monitoring the lands of objects of specially protected natural areas of the Tyumen region. These groups of indicators for each type of protected area should be tested experimentally. However, based on the abovementioned research, we can distinguish the main monitoring stages (Fig. 4). When developing a methodology for monitoring the objects of specially protected natural areas of the Tyumen region, it is necessary to determine the composition and content of the work at each stage.

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Fig. 3 Types of specially protected natural territories. Source Compiled by the author

5 Conclusion The research concluded the following results: . The author developed a classification of protected areas in the Tyumen region, which is the predominant factor associated with human activities. Besides, the author selected five types of unique natural complexes and objects with industrial activity, areas that allow limited natural resources, recreation, urban, and conservation;

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Table 2 Factors of monitoring protected areas and their consequences Factors of negative impact on protected areas

The effect

Oil and gas industry Objects of development of oil and gas fields

1. Violation of the hydrological regime 2. Violation of linear land type 3. Transformation of forest ecosystems 4. Reducing species diversity 5. Increasing the level of hydrocarbons in all natural environments

Accidents at oil and gas field facilities

1. Increasing the level of hydrocarbons in all natural environments 2. Destruction or degradation of forest and swamp ecosystems adjacent to the accident site

Forestry

1. Cutting down valuable wood species 2. Deforestation 3. Education wetlands 4. Reducing the number of animals and plants

Traditional nature management of low-numbered peoples of the North

1. Violation of soil and vegetation cover 2. Destruction of rare plant species

Recreational activities

1. Transformation of recreational zone ecosystems (trampling, compaction and degradation of soil cover, degradation of natural vegetation, the emergence of drift plant species, destruction of rare plant species) 2. Littering 3. Illegal logging 4. Violation of lichen cover as a result of trampling and driving vehicles when collecting wild plants 5. The occurrence of forest fires through the fault of holidaymakers 6. Poaching

Influence of the urban environment

1. Violation of soil and vegetation cover 2. Noise impact on the animal world 3. Air pollution 4. Destruction or degradation of forest resources

Source Compiled by the author

. Highlighted the main factors of influence on specially protected natural areas, which are caused by regional features; . Formed groups of indicators for each type of specially protected natural area, which will be tested experimentally in future studies; . Proposed the main stages of monitoring the lands, which are the basis for the monitoring method development.

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Table 3 System of indicators for monitoring specially protected natural territories of the Tyumen region Type of specially protected natural area

Influence factor

Indicators

1.1 Specially protected natural areas where hydrocarbon resources are extracted

Objects of development of oil and gas fields

The area of land within the boundaries of protected areas occupied by field development facilities Total indicators of soil contamination with oil and petroleum products, heavy metals, etc. The degree of development of negative natural processes on land within the boundaries of protected areas Quality state of the water system Ambient air quality Assessment of hydrogeological, engineering-geological conditions State of underground water The activity of geological processes Forest stand disturbance and damage The degree of disturbance of the vegetation cover The number of rare and endangered species within the boundaries of protected areas Quantitative indicator of species listed in the Red books

1.2 Specially protected natural areas where forest management is carried out

Forestry

The degree of development of negative natural processes on land within the boundaries of protected areas Forest stand disturbance and damage Sanitary condition of the forest stand Quality of the animal world’s habitat (continued)

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Table 3 (continued) Type of specially protected natural area

Influence factor

Indicators

2. Specially protected natural areas where limited use of natural resources is allowed

Traditional nature management of small indigenous peoples of the North

Area of disturbed land

Recreational activity

Area of disturbed land

The degree of disturbance of the vegetation cover Quantitative indicator of species listed in the Red books

3. Recreational 3.1 Tourism industry does not provide the construction of capital facilities within the borders of specially protected natural areas

Area of cluttered land The degree of disturbance of the vegetation cover Quality state of the water system Sanitary and hygienic conditions of reservoirs The physical condition of historical and cultural heritage sites The area of land within the boundaries of protected areas occupied by engineering communications, road and path networks, buildings, etc.

3.2 Tourism industry provides the construction of capital facilities

Area of disturbed land Sanitary and hygienic conditions of reservoirs Area of water bodies within the boundaries of protected areas Quality of the animal world’s habitat Quantitative indicators of species listed in the Red books The physical condition of historical and cultural heritage sites 4. Urban (specially protected natural areas located within the city and on adjacent territories within a 20 km radius)

Influence of the urban environment

Noise level Ambient air quality Area of disturbed land (continued)

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Table 3 (continued) Type of specially protected natural area

Influence factor

Indicators Area of cluttered land The area of land within the boundaries of protected areas occupied by engineering communications, road and path networks, buildings, etc. The degree of disturbance of the vegetation cover

5. Reserve

Total indicator of soil contamination Quality state of the water system Ambient air quality Quantitative and qualitative indicators of the state of the animal and plant world Number of objects of historical and cultural heritage and their physical condition

Source Compiled by the author

1. Definition of the type of specially protected natural area depending on the prevailing type of activity 2. Identification of the main factors affecting the specially protected natural area 3. Creating a system of monitoring indicators

4. The definition of the methods of obtaining information

5. Implementation of field and office work 6. Development of protection measures based on the assessment of the state of a specially protected natural area Fig. 4 Stages of monitoring objects of specially protected natural areas of the Tyumen region. Source Compiled by the author

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References 1. Budarova VA, Cherezova NV, Martynova NG, Medvedeva JD, Dubrovskiy AV (2018) Information technologies for monitoring the territory of subsoil use. Rev ESPACIOS 39(16):37. Retrieved from http://www.revistaespacios.com/a18v39n16/18391637.html 2. Federal State Statistics Service of the Russian Federation (2014) Information about specially protected natural territories for 2014. Rosstat, Moscow, Russia 3. Federal State Statistics Service of the Russian Federation (2016) Information about specially protected natural territories for 2016. Rosstat, Moscow, Russia 4. Federal State Statistics Service of the Russian Federation (2018) Information about specially protected natural territories for 2018. Rosstat, Moscow, Russia 5. Giniyatov IA (2015) Land and real estate monitoring. Siberian State University of Geosystems and Technologies, Novosibirsk, Russia 6. Government of the Khanty-Mansi Autonomous District (2013) Resolution of the government of the Khanty-Mansi Autonomous District-Ugra “On the concept of development and functioning of the system of specially protected natural territories of the Khanty-Mansi Autonomous District-Ugra for the period up to 2030”, 12 July 2013, no 245-p. Khanty-Mansiysk, Russia 7. Government of the Perm Region (2013) Resolution of the government of the Perm region “On approval of the procedure for monitoring specially protected natural territories of regional significance”, 17 Oct 2013, no 1433-p. Perm region, Russia 8. Government of the Republic of Komi (2017) Order of the government of the Republic of Komi “On approval of the concept of development of the system of specially protected natural territories of regional significance in the Republic of Komi for the period up to 2030”, 2 Oct 2017, no 444-p. Syktyvkar, Russia 9. Government of the Tyumen Region (2014) Resolution of the government of the Tyumen Region “On measures to determine and reserve lands of specially protected natural territories of regional significance”, 30 Dec 2014, no 735-p. Tyumen region, Russia 10. Government of the Yamalo-Nenets Autonomous District (2013) Resolution of the government of the Yamalo-Nenets Autonomous District “On approval of the state program of the YamaloNenets Autonomous District environmental protection for 2014–2021”, 25 Dec 2013, no 1135p. Salekhard, Russia 11. Milyaev DV, Savelyeva AD (2017) Prospective targets of geological exploration in the Siberian platform and criteria of their feasibility. Georesursy Georesour 19(2):88–96 12. Okmyanskaya VM, Bogdanova OV (2020) The problem of forming a system of indicators for monitoring objects of specially protected natural territories. Rev ESPACIOS 41(15):16. Retrieved from https://www.revistaespacios.com/index.html 13. Russian Federation (1995) Federal law “On specially protected natural territories”, 14 Mar 1995, no 33. Moscow, Russia 14. Sverdlovsk Region Government (2007) Resolution of the government of the Sverdlovsk region “On the procedure for monitoring specially protected natural territories of regional significance”, 3 Aug 2007, no 751-pp. Yekaterinburg, Russia 15. Tyumen Regional Government (2014) Resolution of the Tyumen Regional Government “About information of the government of the Tyumen region on implementation of the Law of the Tyumen region “On specially protected natural territories in the Tyumen region””, 23 Oct 2014, no 2336. Tyumen region, Russia

Organization of Recreational Areas as a Way of Effective Management of Natural Objects Olga V. Bogdanova

Abstract After analyzing the work of Russian and international scientists in the field of investment activities of specially protected natural areas, we revealed that the involvement of natural objects is a complicated process. That is why it became necessary to organize the territory of objects of specially protected natural areas so that the effectiveness of their use was evident at the economic, environmental, and social levels. This paper proposes an algorithm for forming a recreational area on the example of municipalities of the Tyumen region. We considered the main components of the concept of a recreational area. Also, we identified indicators that allow us to assess the investment attractiveness of objects of specially protected natural territories. Besides, we examined the factors influencing the level of tourist and recreational activity of the nearest settlements that contribute to ecological tourism development in specially protected natural areas. The proposed methodology will create conditions for the sustainable development of the natural territories of the region and increase the investment attractiveness of environmental facilities. Keywords Specially protected natural areas · Ecological tourism · Effective management of natural territories · Recreation · Recreational area

1 Introduction According to modern concepts, objects of specially protected natural areas [PAs], in addition to nature conservation, should contribute to the well-being of the local population, provide environmental education and opportunities for the development of tourism and outdoor recreation. We established that one of the main problems of the development of PAs is the lack of modern tourist and recreational infrastructure that promotes ecotourism without compromising the conservation of natural complexes. The organization of effective land management of PAs in the country should be based on the preferential development of activities that maximize and fully use the O. V. Bogdanova (B) Industrial University of Tyumen, Tyumen, Russia e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 S. G. Maximova et al. (eds.), Advances in Natural, Human-Made, and Coupled Human-Natural Systems Research, Lecture Notes in Networks and Systems 252, https://doi.org/10.1007/978-3-030-78105-7_14

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available tourist and recreational resources. High development potential for the safe use of PAs, which is characterized by the volume and variety of resources, such as (1) natural conditions, (2) geographical location, (3) historical heritage, (4) the level of development of the material and technical base of tourism, (5) the saturation of objects, (6) their compatibility, (7) tourist and recreational areas, (8) the degree of attractiveness, and many other factors. Furthermore, the development of effective use of PAs depends on (1) the availability of tourist centers in the context of existing and developing links of modern and promising modes of transport in international and national tourism; and (2) the time and means necessary for tourists to travel to this region. One of the methods of effective management of PAs can be the formation of recreational areas.

2 Materials and Methods For the effective management of PAs objects in Russia, there is an approach according to which territories are zoned based on tourist and recreational activities. In our opinion, this approach makes sense and can be used. When designing the possibilities of the territory concerning the development of tourist destinations, Preobrazhensky [3] contrasts two research positions. On the one hand, one can proceed from the resource, and on the other hand, from the needs of tourists. Analyzing the basic model of the recreation system, the scientist indicates the leading role of tourists as the Central subsystem. Also, he noted that the condition and properties of other subsystems depend on the requirements of the Central subsystem. The target function of the tourism system is defined as the greatest possible satisfaction of tourist needs. Preobrazhensky believed that the analysis of the emerging subject–object relations is based on the scheme of the relationship between the tourist and the environment. According to this scheme, if the researcher gives preference to the human factor, then he works with a class of anthropocentric systems; that is, systems owned by individuals with their needs, motivations, preferences, and assessments [2]. If the researchers identify the surrounding world as the leading subsystem (whether it is a natural or cultural-historical complex), then they are forced to work with a class of nature-centric models, where other values rule: (1) nature protection, and (2) regulation of human activity. We agree with the second judgment and define the object of PAs as a priority system for the formation of a recreational area. The formation of a recreational area consists of the following stages [4]: . Determination of the main core, the object of PAs within the boundaries of the most investment-attractive municipal district; . Allocation of secondary territories (less investment-attractive PAs, objects of historical and cultural heritage, additional recreational facilities) in one route to the main core;

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. Identification of the nearest settlements as the central place for overnight accommodation based on the proposed method, depending on the level of tourist and recreational potential of the settlement; . Establishment of the leading logistics links between the objects, the construction of a thematic route; . Defining the boundaries of the recreational area. To determine the level of tourist potential of a settlement, one should calculate two indicators. The capacity of the infrastructure is calculated using the formula: B = Q1 + Q2 where: B—infrastructure; Q1—spa and wellness organizations; Q2—hotels and similar accommodation facilities. The second indicator is the distance from the object of PAs to the settlement. Let us build a matrix of settlements from the point of view of tourist and recreational placement on the objects of PAs. In our opinion, the value that determines the level of settlements can be the medium value for the region. This step allowed us to determine the levels of settlements taking into account the regional features of the placement. After determining the level of tourist and recreational potential of the settlement relative to the PAs, one can form a logistics scheme of tourist accommodation to implement ecotourism and the provision of tourist services on the territory of PAs municipal area. Table 1 characterizes the selected levels of settlement (Fig. 1). Thus, this approach will allow local governments to analyze the settlements of the municipal district when managing PAs. It will also help them to identify the areas that are most suitable for the implementation of ecological exploitation of PAs. Figure 2 shows the algorithm for forming a recreational zone. Investment—attractive objects of protected areas can be combined with less attractive objects, thereby defining recreational zones, the territories within which a special regime of entrepreneurial activity can operate. A recreation area can perform the following functions: (1) regulation of planning for the placement of new objects; (2) use of previously placed objects; and (3) optimal use of exhibition objects. These zones should be created as zones of intensive economic development of the tourist and recreational type based on a comprehensive design of their development. The project for the creation and development of zones can be based on the idea of increasing the tourist flow by (1) providing year-round access to the objects of PAs, (2) developing infrastructure, and (3) creating a modern tourist complex that allows one to fully use the existing significant tourist potential of the territory and involving it in the federal tourist logistics (Fig. 3). The definition of recreational zones based on PAs will contribute to recreational areas as part of the socio-economic space, which has a complex (ecological-socioeconomic) nature and geosystem organization. We can define the organization of

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Table 1 Characteristics of the levels of tourist and recreational potential Name of the level of tourist and Conventional signs Characteristics recreational potential of settlements High level

Settlements are optimal in terms of tourist and recreational accommodation relative to protected areas where infrastructure facilities are located and located relatively close to protected areas

Medium level

Settlements of an acceptable level of tourist and recreational accommodation regarding PAs may contain (not) many infrastructure objects but located at a relatively (not) considerable distance from the protected area

Low

Settlements of unsuccessful location regarding PAs are located at a great distance from protected areas with poor infrastructure

Source Compiled by the authors

В, pieces

10 7 5 3

1

10

20

40

70

10

≤10

S, km

Fig. 1 Matrix of assessment of settlements by the level of tourist and recreational potential. Source Compiled by the authors

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Fig. 2 The algorithm for forming a recreational area. Source Compiled by the authors

recreational areas as the spatial–temporal relationship of socio-economic objects, phenomena, and processes, which location and functioning are determined by the investment and recreational potential of PAs and the tourist and recreational activities of people. Dunets [1] noted that the tourist and recreational space [TRP] can be characterized by (1) the density of objects and phenomena; (2) coherence, hierarchy, and temporal heterogeneity; (3) the degree of transformation of the natural components of the landscape; and (4) the cyclicity of tourist and recreational activities. The basis for the formation of the TRP is the tourist and recreational activity of people (individual or group) in the process of their interaction with the natural, economic, and social environment. The needs of people in recreation, the nature of their tourist and recreational activities determine the direction and speed of the TRP development. A complex linear-nodal structure characterizes the tourist and recreational space. The elements of the TRP territorial structure can have both natural and socio-economic origin. A homogeneous combination of elements can form areas, and a complex combination can form regions.

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Symbols

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Meaning Settlements with a high level of tourist and recreational accommodation Settlements of the medium level of tourist and recreational accommodation PAs with medium investment potential in specially protected natural areas PAs with low investment potential

Symbols

Meaning Historical and cultural heritage monuments, views, etc. Protected areas with high investment potential Recreational area

Route

Fig. 3 The model of the recreational area. Source Compiled by the authors

3 Results The creation of recreational zones is aimed at (1) promoting recreational facilities in a particular region; (2) contributing to the development of ecological tourism and effective management of PAs; (3) creating an attractive tourist image and brand of the territory; and (4) increasing its investment attractiveness. In our opinion, this process is facilitated by the development of historical routes based on the interaction of PAs with environmental exploitation and settlements with objects of historical and cultural heritage. Figure 4 presents an example of the formation of a recreational zone in the Tobolsk municipal district of the Tyumen region. We chose the Abalaksky Nature Reserve as the main PA. Besides, we analyzed the settlements according to two criteria: (1) remoteness and (2) tourist potential. Table 2 shows the calculation of the tourist and recreational potential of the settlement of the Tobolsk district.

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National Nature Reserve, which included settlements with different tourist and recreational potential levels. There are also objects of historical and cultural heritage, hot springs, and objects of PAs. Symbols

Value Abalak National Nature Reserve

Nature monument of regional significance Polyanovsky Bor

Nature monument of regional significance Medansky grove

Natural monument of federal significance Ievlevsky

Symbols

Value Historical and cultural heritage sites Settlements with a high potential for tourist and recreational accommodation Settlements with a medium potential for tourist and recreational accommodation Settlements with a low potential for tourist and recreational accommodation Thermae

Fig. 4 The recreational area of the Tobolsk district of the Tyumen region. Source Compiled by the authors

154 Table 2 Calculation of the tourist and recreational potential of the settlement of the Tobolsk district

O. V. Bogdanova Name of the settlement

S value, km

Value B, pieces

Settlement level

City of Tobolsk

28.5

9

High level

Abalak Village

4

4

High level

Poluyanova Village

23.1

1

Low level

Karachino Village

40

1

Low level

Sumkino Village

28.3

3

Medium level

Source Compiled by the authors

Based on these calculations, a recreational zone was formed around the Abalak. After forming a recreational zone, one can identify a particular route with the intersection of protected areas of different levels of investment attractiveness and the nearest settlements with an assessment of the potential of tourist and recreational accommodation. The logistics scheme is primarily associated with the airport and railway station located in the city of Tyumen.

4 Discussion The organization of tourist and recreational space is an essential task at international, national, regional, and local levels. However, fundamental research that reflects the territorial organization and effective use of specially protected natural objects is not enough to solve national economic problems. The territorial problems of studying the tourist and recreational space are related to the influence of natural and socio-cultural resources on tourism development and the formation and territorial organization of tourist and recreational complexes. The introduction of amendments to the legislation regulating the activities of PAs objects at all levels and the development of territorial planning documents considering the proposed concept is of particular importance for solving this problem.

5 Conclusion The formation of a recreational area as a structural, territorial unit of land management of regional PAs acts as an independent territorial economic object and system. Being an open system, the recreation zone has connections with other systems of society, which is expressed in the exchange of products, information, activities, and the

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process of solving its regional tasks; it takes into account the development of the entire economic mechanism of the regions of Russia. The functioning of recreational areas in a market economy largely depends on the planning and forecasting of their work, which should be considered when developing territorial planning documents for municipal districts and subjects of the Russian Federation.

References 1. Dunets AN (2011) Tourist and recreational space of the mountain transboundary region: organization theory and development. Dissertation of doctor of geographical sciences, Saint Petersburg State University, St. Petersburg, Russia 2. Esina EA (2017) On the issue of legal bases of ecological tourism in specially protected territories. Izv RGO 2:5–23 3. Mezenina OB (2013) Formation of an effective land management system of the Russian Federation: theory, methodology, and practice. Dissertation of doctor of economic sciences, University of Land Management, Moscow, Russia 4. Rodriguez JMG (2014) Systematization of forest management experience in the central American integration system (SICa) member states. Publishing House of the Agricultural Engineering Project, Moscow, Russia

Method of Energy and Resource Saving Based on the Implementation of Life Cycle Contracts in the Implementation of National Capital Construction Projects Aleksandr I. Eremkin and Inna K. Ponomareva

Abstract The application of life cycle contracts for capital construction projects proved to be useful in the international construction industry. The life cycle contract model helps the customer delegate design, construction, and operational risks to the contractor and focus on the key indicators of the capital construction project and monitoring tasks. Therefore, after the capital construction project is put into operation, its maintenance falls on the contractor’s shoulders. The amount of operating costs is directly proportional to the quality of the work performed, which encourages improving it at all production stages. Signing the life cycle contract for capital construction projects as part of the general contract at the design, construction, and operation stages will allow us to solve the goals and objectives set out in this paper to implement national projects in Russia. Further studies should analyze the risks and benefits for the customer and contractor in capital construction in terms of life cycle contracts. The further case study should present a mathematical algorithm for assessing the impact of the life cycle contract on the economy of capital construction projects. Keywords Capital construction · Comfortable environment · Life cycle contract · National project · Resource-saving · Energy saving

1 Introduction The investment-construction industry is a modern form of public economic policy. It represents a type of investment aimed at (1) constructing new facilities, (2) reconstructing and restoring old buildings, and (3) using modern building materials and technology based on the development of the construction industry. This method of A. I. Eremkin Penza State University of Architecture and Construction, Penza, Russia e-mail: [email protected] I. K. Ponomareva (B) Penza State Agrarian University, Penza, Russia e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 S. G. Maximova et al. (eds.), Advances in Natural, Human-Made, and Coupled Human-Natural Systems Research, Lecture Notes in Networks and Systems 252, https://doi.org/10.1007/978-3-030-78105-7_15

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investment has a positive impact on the economic development of the region and the country. Only the ultimate result directly unites construction enterprises and the construction industry, including enterprises of related industries. From the point of view of the final product, it is essential to consider the total management of production processes in the construction industry and manufacturing throughout the entire life cycle of the object. The status and development of the investment-construction industry in Russia and its subjects are reflected in the normative legal acts representing the housing policy of Russia. Namely, the priority Russian projects determine the main development directions of the construction industry in the short-term and the long-term. Given the high level of uncertainty, the significant multi-faceted nature, and the demand for such a phenomenon as advanced scientific, technical, and socio-economic development based on national projects, we propose to identify one of the critical areas of ensuring this national strategy—the management of capital construction and real estate in their reproduction and maintenance as crucial elements of the national wealth of the country. Therefore, the research object is developing capital construction projects based on life-cycle contracts for the implementation of such national projects as Housing and Urban Environment, Safe and High-Quality Roads, Bridges and Overpasses related to capital construction projects. This approach allows one to create comfortable conditions, energy-saving, and resource-saving measures in the construction throughout the entire life cycle of the object. This step will positively impact the national economy and the living conditions of citizens [2].

2 Materials and Methods The main problem of implementing national projects is the impact of two mutually exclusive trends. First, it is a priority to increase (1) energy efficiency, (2) energysaving, (3) import substitution, (4) the number of modern technologies, (5) materials, and (6) scientific and technical achievements in the construction of innovative products. Simultaneously, it is necessary to create comfortable living conditions, which will require additional investment. Second, signing government contracts for life cycles will save the budget, reduce the cost of investment projects and capital construction in reproducing all types of real estate. This step will require a sufficient number of affordable housing, including social type, when implementing the national project Housing and Urban Environment; a large number of safe roads during the national project Safe and High-Quality Roads; repair of bridges and overpasses in emergency and pre-emergency condition within the national project Bridges and Overpasses. To assess the impact of the life cycle contract on the quality of construction projects, operating periods, capital savings, energy efficiency, and comfortable living conditions, we analyzed the national project Housing and Urban Environment, the implementation period of which is 2018–2024 [1].

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As part of the life cycle contract, it is vital to identify the objectives of this national project: . Providing affordable housing for middle-income families and giving them opportunities to purchase (build) housing using a mortgage loan, the rate of which should be less than 8%; . Developing rental housing for low-income citizens; . Increasing the volume of housing construction to at least 120 million m2 per year; . Enhancing the comfort of the urban environment, the quality index of the urban environment by 30%, and halving the number of cities with an unfavorable environment according to this index; . Creating an effective mechanism for direct participation of citizens in the formation of a comfortable urban environment, increasing the share of citizens involved in solving urban development issues; . Ensuring the stable reduction of poor housing stock; . Developing low-rise comfortable wooden construction; . Planning and building instead of poor housing; it is important to build economyclass housing. To achieve the research goals, we considered the following project tasks: . Improving housing finance mechanisms through (1) the development of the market for mortgage centers and the construction of rental housing, (2) a phased transition from raising funds for shared construction of apartments and real estate to other forms of housing finance that protect the rights of citizens and reduce risks; . Modernizing the construction industry and improving the quality of industrial housing construction by restricting the use of outdated technologies and encouraging the introduction of advanced technologies in design and construction, improving the mechanisms of government support for the construction of standard housing; . Reducing the administrative burden on contractors and developers, improving the regulation of housing and utilities; . Ensuring the effective use of land plots for mass housing construction, provided that the green fund and the territories where natural objects of ecological, historical, cultural, recreational, or health significance are located, preserved, and developed; . Implementing government measures to support citizens in improving their housing conditions, providing housing for the categories of citizens established by Federal Law, large families, and young families; . Developing secondary vocational education in construction, urban economy, and architecture and implementing professional development programs for specialists in these areas; . Creating mechanisms for the development of a comfortable urban environment, integrated development of cities and other settlements, taking into account the quality of the urban environment;

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. Establishing mechanisms for the relocation of citizens from the inadequate housing stock, ensuring compliance with their housing rights established by the Russian legislation. We set the goals and objectives for implementing the national project Housing and Urban Environment considering the wishes of the regions and their urban specifics. This paper summarizes the recommendations sent by 37 Russian regions. Most of them are aimed at changing the current regulation in housing and utilities. Namely, when implementing the four main directions of the national project (a comfortable urban environment and housing, affordable mortgages, rental construction, early settlement of emergency housing stock), it is necessary to pay attention to the climatic features of the subjects of Russia, transport accessibility, architectural traditions, and the local landscape. To implement the national project Housing and Urban Environment by 2024, the government of the Russian Federation has provided the necessary conditions and set such tasks as (1) increasing the availability of mortgage loans and reducing their interest rates to 8%; (2) putting 120 million m2 of housing into operation annually. Besides, to further substantiate and update the life cycle contract, we considered the example of the national project Safe and High-Quality Roads. For implementing the national project Safe and High-Quality Roads (2018–2024), 4.7 billion rubles have been allocated from the Russian budget [3]. The national project has the following goals: . Increasing the share of regional roads that meet the regulatory requirements in their total length by at least 50% (relative to their length as of December 31, 2017); . Decreasing the share of federal and regional highways operating in the overload mode in their total length by 10% compared to 2017; . Reducing by half the number of places of concentration of road accidents (accident-dangerous areas) on the road system compared to 2017; . Decreasing the mortality rate from road accidents by 3.5 times compared to 2017 to a level not exceeding four people per 100 thousand people (by 2030, the goal is to achieve zero mortality); . Forming a list of the best, advanced technology, materials, and technological solutions for the reuse and increase the share of road contracts under the national project, which provides for the use of new technologies and materials included in the list, to 80% by the end of 2024; . Increasing the share of contracts for roadworks within the national project, which provides for the performance of works according to the principles of the life cycle contract, which provides for the unification of various types of road works in one contract, to 70% by the end of 2024 in the total volume of new government contracts for the performance of major repair and maintenance of highways; . Increasing the share of the roads of the Russian Ministry of Defense that meet the normative requirements to 60% by the end of 2024.

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To achieve the goals of the national project Safe and High-Quality Roads, the following tasks are provided: . Performing annual roadwork on the system of public roads to bring them into a normative condition; . Adopting regulatory legal acts that provide for bringing the norm on the transfer of tax revenues from the budgets of the constituent Russian subjects from excise taxes to 100%; . Amending the Russian Budget Code, providing for an increase in the coefficient for the formation of the basic size of the Federal Road Fund; . Creating a federal center for the coordination of work on the prevention of violations of norms and rules in road traffic; . Ensuring the functioning of an automated information system for tachographic control to ensure that drivers of vehicles comply with the working and rest regime; . Supplying chromatographs for the detection of intoxication in local medical institutions. As a result of solving the above tasks and problems, it is planned to reach the following indicators by 2024: . Creating and implementing a list of the best, advanced technology, materials, and technological solutions for reuse; . Adopting regulatory legal acts aimed at improving the system of training of drivers; . Implementing and maintaining an information system for monitoring the formation and use of road funds at all levels and updating the data annually; . Designing a system for organizing the movement of vehicles and pedestrians, improving road safety; . Developing a system for assisting victims of road accidents; . Adopting regulatory legal acts aimed at strengthening the responsibility for the most dangerous offenses in road traffic; . Ensuring the safe participation of children in traffic. The measures provided for federal projects and the collective assessment results are adequate and sufficient to achieve the national development goals of Russia until 2024. The necessity of these measures is also confirmed by the method of collective assessment based on the need to streamline the financing of these measures. Bring the roads up to standard condition contributes to (1) improving the quality of life of the population, (2) economic and social development of the subjects of Russia, (3) enhancing economic relations between the subjects of Russia, and (4) improving the quality of road transport. These measures of the national project will ensure positive demographic trends and socio-economic development of the regions.

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We believe that life-cycle contracts for road construction projects will contribute to the following factors: . Increasing in the share of contracts involving the use of new technologies and materials based on import substitution; . Enhancing the share of regional and interregional roads and the road system of urban agglomerations that meet normative requirements.

3 Results We developed the following integrated algorithm for preparing and concluding life cycle contracts for capital construction projects during the implementation of national projects: 1. 2.

Monitoring of previously concluded contracts; Conducting a comparative assessment of concluded (current) contracts and contracts planned for the conclusion; 3. Assessing the possibility of increasing the volume or type of work within the planned contracts; consolidating lots during the conclusion of contracts; reviewing the terms of existing contracts under the Federal Law “On the contract system in the field of purchases of goods, works, and services for state and municipal needs” [6]. reviewing the terms of existing contracts following the Federal Law “On purchases of goods, works, and services by certain types of legal entities” [5]; 4. Determining the possibility of including additional types of work in concluded contracts; 5. Evaluating work plans for a specific capital construction project, taking into account the projected changes in existing normative legal acts; 6. Including the conditions for implementing the indicator in the agreement on the provision of other inter-budget transfers; 7. Choosing the method of placing a state order, according to the Federal Law “On the contract system in the field of purchases of goods, works, and services for state and municipal needs” [6] or according to the Federal Law “On purchases of goods, works, and services by certain types of legal entities” [5]; 8. Preparing documentation for the conclusion of life cycle contracts for capital construction projects, taking into account the information, conclusions, and decisions taken on the above points; 9. Adopting an act of the supreme executive authority of a subject or municipality on the issue of securing lots or types (volumes) of work with a direct indication of the need for implementation of the Decree “On national goals and strategic objectives of the Russian Federation through to 2024” [4]; 10. Concluding a life cycle contract for capital construction projects as part of the tender documentation; 11. Executing work, issuing results.

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4 Discussion The national project under consideration involves the annual commissioning of more than 1.5 million apartments and 300,000 individual residential buildings over 6 years, along with an increase in the quality of the urban environment by 30% and a halving of the number of cities with unfavorable environmental conditions, as well as creating an effective mechanism for the relocation of citizens from emergency housing. 30 million Russian families should move from emergency housing to comfortable housing within 6 years of implementing the national project Housing and Urban Environment. At the same time, it is essential to build displaced residential buildings in their places of permanent residence. About one trillion rubles will be allocated for this purpose, with 90% of the funds coming from the federal budget, the rest from the regions and municipalities, and funds from extra-budgetary sources. It is planned to settle at least five million units of emergency housing stock annually. For this purpose, the following financial support is expected for implementing the national project: 2019—6 billion rubles; 2020—4.3 billion rubles; 2021—3.6 billion rubles. One way to solve the problem is to conclude a life cycle contract, which will ensure the quality of constructing facilities and reduce costs for the entire cycle period.

5 Conclusion We think that the estimated initial (maximum) contract price for the life cycle of capital construction projects can be calculated and made up of the prices for the design estimate documentation as a single document. Simultaneously, various justifying approaches can be used that do not contradict the current Russian legislation. The conclusion of the life cycle contract for capital construction projects as part of the general contract at the design, construction, and operation stages will allow one to solve the goals and objectives set out in this paper for implementing national projects in Russia. Further studies focusing on the conclusion of life cycle contracts need to analyze the risks and benefits for the customer and contractor in capital construction. The further case study should present a mathematical algorithm for assessing the impact of the life cycle contract on the economy of capital construction projects.

References 1. Eremkin AI, Filchakina IN (2018) About energy conservation in construction. Educ Sci Mod World Innov 5(18):153–162 2. Eremkin AI, Gorozhanina MA (2019) Energy-saving measures in the climate control of buildings abroad and in Russia. In: Proceedings of the XX international scientific and practical conference

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4. 5. 6.

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problems of energy saving in the industrial and housing and communal complexes. Penza State University of Architecture and Construction, Penza, Russia, pp 59–63 Eremkin AI, Savelyev AA, Bagdasaryan AG (2019) Ways of efficient energy consumption in the construction of new and previously built housing. In: Proceedings of the XX international scientific and practical conference problems of energy saving in industrial and housing and communal complexes. Penza State University of Architecture and Construction, Penza, Russia, pp 64–69 Presidential Executive Office (2018) Decree “On national goals and strategic objectives of the Russian Federation through to 2024”, 7 May 2018, no 204. Moscow, Russia Russian Federation (2011) Federal Law “On purchases of goods, works, and services by certain types of legal entities”, 18 July 2011, no 223-FZ. Moscow, Russia Russian Federation (2013) Federal Law “On the contract system in the field of purchases of goods, works, and services for state and municipal needs”, 4 Apr 2013, no 44-FZ. Moscow, Russia

Formation of a Tourist and Recreational Component in the Natural and Ecological Framework of the Land and Property Complex of the Nefteyugansky District Marina A. Podkovyrova , Daria D. Payvina, and Olga N. Volobueva

Abstract In the paper, we substantiate the need to improve the system of the naturalecological framework of Nefteyugansky district, Russia. On the one hand, the need is due to the increased degradation of natural (land) resources under the anthropogenic and technogenic impact of the oil and gas complex. On the other hand, the necessity is caused by the real need to develop tourist-recreational infrastructure in the economy and nature management of the district. The study aims to analyze the state of the land-property complex of the district, assessing its natural-resource, tourist, recreational, and socio-economic potential. Using national and foreign experiences, we propose several techniques that allow us the following: (1) investigating the supporting frameworks as the basis for the formation and development of a municipal district; (2) determining the current state of the natural-ecological framework; (3) studying trends in the development of the economy; and (4) examining the possibilities of expanding the socio-economic area regarding tourist-recreational activities. Therefore, these possibilities will allow optimizing the existing system of the natural-ecological framework soon. An integrated landscape-ecological approach to improving the natural-ecological framework of the municipal district will ensure the most sustainable development of the studied territory. This approach focuses on the formation of a tourist-recreational component, as well as optimization of natural-economic systems. Keywords Land-property complex · Industrial development of the northern territories · Natural-ecological framework · Tourist-recreational component · Integrated landscape-ecological and framework approaches · Optimization of natural and economic systems · Ecological balance · Sustainable development of the territory

M. A. Podkovyrova (B) · D. D. Payvina · O. N. Volobueva Industrial University of Tyumen, Tyumen, Russia e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 S. G. Maximova et al. (eds.), Advances in Natural, Human-Made, and Coupled Human-Natural Systems Research, Lecture Notes in Networks and Systems 252, https://doi.org/10.1007/978-3-030-78105-7_16

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1 Introduction The natural-ecological framework is the key component of the integrated landscape and ecological (ecological and economic) approach. This approach plays a significant role in solving the problems of environmental status and rational organization of land use of municipal districts in the North of the Tyumen Region, Russia, ensuring their sustainable development (preserving flora, fauna, soils, water resources, and specially protected areas) (Fig. 1). The natural-ecological framework is based on several supporting frameworks: (1) socio-economic (resettlement, transport), (2) natural, (3) environmental, and (4) nature-management. It is a kind of tool in: . Nature management and land use through the regulation of land use regimes . Optimization of the targeted use of land resources (land-property complex) . Conservation and restoration of natural resource potential [1, 2, 5, 9, 11–15]. The natural-ecological (ecological) framework is a guarantee of ecological balance. It is the basis for rational nature management [9, 11, 14]. However, during the industrial development of the Northern territories, the anthropogenic impact associated with the development of oil fields and the construction of new oilfield facilities significantly affects the environment (natural-territorial complex). In these conditions, it is necessary to (1) study and analyze additional resources to strengthen the entire framework or its structural elements (tourist-recreational land use), and (2) monitor the land use. These tasks determine the research relevance [1, 3, 7, 11, 12].

National natural-ecological framework

Regional natural-ecological framework

Local natural-ecological framework

Fig. 1 Spatial and hierarchically arranged system of the natural-ecological framework. Source Podkovyrova [11]

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2 Materials and Methods The research object is the land-property complex of Nefteyugansky Municipal District of Khanty-Mansi Autonomous Area. The research was conducted according to the accepted methodology [4, 6–8, 11, 12]. We investigated the features of the formation and functioning of the land and property complex of the Nefteyugansky municipal district. The formed network of specially protected natural territories is remarkable. This network ensures (1) the preservation of unique natural complexes and objects under anthropogenic and technogenic loads; (2) typical zonal natural complexes; (3) a variety of flora and fauna; and (4) traditional nature management. Besides, we analyzed the use and condition of natural (land) resources and the tourist-recreational potential of the municipal district. Also, the study concerns the formation, conditions, and functioning of the supporting frameworks of the district territory: (1) resettlement (socio-economic), (2) transport and environmental (natural-ecological), the framework of the targeted land use. To improve the existing natural and ecological framework of the municipal district, we assessed its tourist-recreational potential. In addition, we studied the factors ensuring the most sustainable development of the land-property complex of the Nefteyugansky Municipal District during the formation of the tourist-recreational component in its natural-ecological framework. A cluster analysis of the territory of the district, according to the degree of stability of land resources to anthropogenic loads, allowed us to determine the land masses of the Nefteyugansky district with various degrees of environmental sustainability: (1) critically weak—8%; (2) very weak—12%; (3) weak—22%; (4) medium—33%; and (5) high—25% [5, 7]. Furthermore, we developed a technique of forming a tourist and recreational component on the territory of Nefteyugansky Municipal District based on a framework and landscape-ecological approach. Using this method, we designed the trajectories of three tourist and recreational routes, taking into account the following: . . . . . . . . . .

Degree of recreational accessibility; Attractiveness; Flexibility of routes; Development of tourist infrastructure; Timing of the possible recreational use of tourist flows; Degrees of recreational and environmental loads; Uniqueness of territories; Degree of popularization of objects; Degree of favorableness regarding emergencies; Degree of risk (natural and human-made).

Tourist Recreational Route No. 2 (Pyt-Yakh–Nefteyugansky Nature Reserve– Sentyabrsky–Kut-Yakh–Specially Protected Area, Historical and Cultural Heritage of Punsi–Kut-Yakh–Salym–Salymsky National Park–Sorovskie Lakes, Monument

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Fig. 2 Schemes of tourist-recreational routes No. 2, 3 in the Nefteyugansky municipal district of the Khanty-Mansi Autonomous Area. Source Podkovyrova [11]

of History and Culture–Salym–Pyt-Yakh) is the longest one (Fig. 2). At this stage, we identified opportunities and developed a methodology for the formation of touristrecreational land use. Finally, we studied the factors and indicators for assessing the improved system of the natural-ecological framework of the Nefteyugansky municipal district.

3 Results and Discussion In the research, we used a framework approach reflected in the materials of territorial, landscape, and regional planning and land management [4, 6, 7, 12]. Also, we considered, analyzed, and modeled the following supporting frameworks: (1) socio-economic, (2) transport, (3) natural-ecological (with a touristrecreational component).

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The results of the analysis of tourist-recreational potential revealed the following [10, 12, 15]: . In the case of industrial development of the studied territory (technogenic transformation of natural resources of the area—2.5%, disturbed land—6.0%), the priority task is to form a system of specially protected natural territories including natural parks and reserves; . Protected areas and forest resources in the Nefteyugansky District make up 37%. However, the share of ecologically valuable natural complexes in the taiga zone does not correspond to the optimal parameters. We found that the following factors contribute to the development of the touristrecreational framework (with its land management) in the Nefteyugansky Municipal District: Preservation and development of the natural resource potential of the area (specially protected territories and objects of Historical and Cultural Heritage of Punsi; Nefteyugansky Nature Reserve, with an area of 649.0 thousand ha; Salymsky Natural Park; Historical and Cultural Monument Sorovskie Lakes); 1. 2.

3. 4. 5.

6. 7.

Cognition and preservation of traditional nature management, its social, economic, environmental, and ethnic roots; Increasing importance in terms of environmental friendliness and uniqueness of natural landscapes, as well as reducing the degree of variability of natural landscapes (natural-territorial complexes); Maintaining a balance of environmental components; Biodiversity conservation; Managing the development of natural-economic systems of the land-property complex (preserving them in optimal condition, maintaining the ability to develop natural-territorial complexes without losing their natural resource potential); Implementing the integrated landscape-ecological approach to the organization of the use of natural resources of the municipal district; Using the following basic principles of landscape-ecological optimization of natural-economic systems of the studied area: . Regional, taking into account territorial integrity; . Typological, regarding the systems with common features; . Dynamic, considering the interaction of all elements of natural-economic systems; . The principle of comprehensiveness, examining the interaction of naturaleconomic systems within the boundaries of a municipal district.

8. 9. 10. 11. 12.

Conservation of historical and cultural heritage; Preservation and enrichment of culture and religion; Economic development (mining, manufacturing, attracting investment); Improvement of social development of the municipal district; Development of a network of internal and external (1) cultural, (2) spiritual, (3) economic, (4) tourist, (5) recreational, and (6) transport links.

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We determined the degree of environmental sustainability based on the landscapeecological zoning and a comprehensive landscape-ecological assessment of the territory, taking into account (1) technogenic and anthropogenic loads, (2) negative physical and geographical processes, and (3) the protective and resource functions of natural-economic systems [1, 4, 5, 8, 11, 12]. The main indicator of the assessment is the level of anthropogenic load, which is associated with: . . . . . .

Emergencies; Continuous concentrated deforestation; Forest fires caused by humans; Continuous loads; Pollution of land resources with heavy metals and industrial waste; Manifestation of natural and human-made environmental risks.

According to the assessment results, considering the prospects for the development of this territory (34% of the presence of environmentally stabilizing territories), we can conclude that an internal dynamic equilibrium characterizes it. This phenomenon allows maintaining the stability of the natural-territorial complex under existing anthropogenic loads, expressed by anthropogenic disturbance of landscapes over an area covering 20%. The weighted average value of the environmental sustainability coefficient of the territory of the Nefteyugansky Municipal District is 0.35.

4 Conclusion The scholarship suggests the following methods of forming a tourist-recreational framework [1, 2, 4, 6–9, 11, 12, 14]: . Assessment of the natural-resource potential of natural-economic systems of the land-property complex of the municipal district that are potentially suitable for this purpose; . Evaluation of changes in natural landscapes and natural-economic systems. Their landscape and environmental optimization; . Estimation of anthropogenic and natural risks; . Territorial modeling of tourist-recreational routes and land uses that will provide socio-economic and environmental sustainability in the development of a landproperty complex of the area, creating conditions for the promotion and protection of the system of specially protected areas; . Establishment of restrictions and encumbrances of rights in the use of land plots subject to inclusion in the parameters of tourist-recreational land use; . Modeling of a tourist-recreational framework; . Development of a forecast for the ecological and economic use of natural (land) resources.

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The presented methodology for the formation of the tourist-recreational component of the natural-ecological framework in the development of the Northern territories of the Tyumen region allows us to conclude that the natural-ecological framework is a modeled system that takes into account (1) climatic, (2) landscape, (3) geographical, and (4) socio-economic conditions. Besides, it includes closely interrelated (1) environmental, (2) environment-forming, (3) environment-stabilizing, (4) recreational, and (5) natural-economic subsystems. Due to these factors, the system can provide integrated sustainable development optimal for a particular territory.

References 1. Binder IO, Oleynik AM, Podkovyrova AM, Piterskikh AS, Golubev IO (2019) Landscape and environmental analysis and anthropogenic disturbance of the Varandey oil field. Test Eng Manag 81(11–12) 2. Chibileva VA (2004) The natural and ecological framework of the Orenburg region and its role in formation of recreational potential. Dissertation of Candidate of Geographical Sciences, Steppe Institute, Ural Branch of the Russian Academy of Sciences, Orenburg, Russia 3. Durrant T, Hiedever R (2009) Applying quality assurance procedures to environmental monitoring data: a case study. J Environ Monit 11:774–781 4. Karasev AS (2015) The territorial structure of the tourist and recreational potential of the FinnoUgric regions of Russia. Dissertation of Candidate of Geographical Sciences, Mordovian State University, Saransk, Russia 5. Kochergina ZF (2007) Landscape-ecological fundamentals bases of land use rationalization of land use (based on the materials from of the forest-steppe zone of the Omsk region). Publishing House of Omsk State Agrarian University, Omsk, Russia 6. Komarova ME (2005) Conditions and factors of formation and development of tourist regions of Russia. In: Komarova ME (ed) Proceedings of the 2nd all-Russian scientific and practical conference. Staritskaya Tipografiya, Tver, Russia, pp 31–34 7. Kurashko IA, Payvina DD (2018) Methodological approaches to formation of tourist and recreational land use on the territory of the Nefteyugansk municipal district. In: Shcherba VN (ed) Proceedings of the international conference: geodesy, land management and cadastre: science and production. Omsk State Agrarian University, Omsk, Russia, pp 329–335 8. Mikhno VB, Bevz VI, Gorbunov AS (2014) Landscape and environmental analysis of municipal territories: landscape-ecological analysis of the territory of the municipality. Bull Voronezh State Univ Ser Geogr Geoecol 3:40–47 9. Mirzekhanova ZG (1997) Ecological framework of the territory—the basis of sustainable development. In: Mirzekhanova ZG (ed) Proceedings of the international conference: Sikhote-Alin: conservation and sustainable development of a unique ecosystem. Dalnauka, Vladivostok, Russia, pp 33–34 10. Plyusnin VM, Sorokova AA (2013) Geoinformation analysis of the landscape structure of the Baikal natural territory. Geo, Novosibirsk, Russia 11. Podkovyrova MA (2019) Theory, methodology and practice of the formation and development of a sustainable land-property complex (land use). Tyumen Industrial University, Tyumen, Russia 12. Podkovyrova MA, Payvina DD (2017) The study of potentially suitable territories for the organization of tourist-recreational land use (on the example of the Nefteyugansk municipal district of KMAO-Yugra). In: Oleynik AM (ed) Proceedings of the first international conference actual problems of geodesy, cadastre, rational land and environmental management. Tyumen Industrial University, Tyumen, Russia, pp 71–74

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13. Rogatnev YuM (2016) A new stage in the development of land use and land relations in the post-reform period. Land Manage Cadastre Monit Land 8:5–13 14. Stoyashcheva NV (2007) Ecological framework of the territory and optimization of nature management in the South of Western Siberia (on the example of Altai krai). Publishing House SB RAS, Novosibirsk, Russia 15. Volkov SN (2006) The main directions of development of land management in the Russian Federation (2007–2011). Land Manage Cadastre Monit Land 8:4–32

Scientific Foundations and Methods of Nature-Similar Technologies in Agriculture of the Steppe Zone in the Orenburg Pre-Ural Region Yury A. Gulyanov , Sergey V. Levykin , and Ilia G. Yakovlev

Abstract This study focuses on the impact of different primary tillage methods on the formation of full-grown winter wheat seedlings in the Orenburg Pre-Urals. During 2016–2019, we conducted field studies on ordinary chernozems in the western zone of the Orenburg Region using short crop rotation: fallow → winter wheat → spring wheat → barley. Field and laboratory tests, observations, and records were carried out using conventional methods. Statistical analysis of the experimental data was performed in Excel. The densest and well-organized shoots of winter wheat were observed during direct sowing of spring wheat and barley as well as during doublecrossing of fallows (8–10 cm) when one could see an almost contiguous, shallow (1.0–1.5 cm) layer of green manure layer. The number of well-planted plants at a sowing rate of 5.0 million seeds/ha reaches 475–485 units/m2 . The highest daily speed of seedling growth (6–8%) was observed by the 10th day after the sowing. The fullest shoots (92–95%) were formed by the 20th day. The results can be used in the systems of landscape-adaptive agriculture of the Orenburg Pre-Ural Region and steppe areas of Russia with similar natural and climatic conditions. During the increasing climate aridity, new measures will help stabilize grain production, form conditions for safe use of natural resources, protect the environment, and maintain the environmental safety of agricultural technologies. Keywords Safe nature use · Environmental protection · Effective use · Nature-like technologies · Winter wheat

1 Introduction Plowing is one of the most resource-intensive activities in crop cultivation. According to Russian scholars and experts, it requires about half of the energy and a quarter of the labor costs, which is caused by the fact that many farms still use annual deep tillage Y. A. Gulyanov (B) · S. V. Levykin · I. G. Yakovlev Orenburg Federal Research Center of the Ural Branch of the Russian Academy of Sciences Institute of Steppe of Ural Branch of the Russian Academy of Sciences, Orenburg, Russia e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 S. G. Maximova et al. (eds.), Advances in Natural, Human-Made, and Coupled Human-Natural Systems Research, Lecture Notes in Networks and Systems 252, https://doi.org/10.1007/978-3-030-78105-7_17

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[18]. Unstable yields with conventional tillage, especially in the condition of natural and anthropogenic changes, reduces production profitability [10, 13]. Antiquated technological approaches cause negative ecological consequences, leading to overall land degradation, worsening of the ecological state and functional qualities of lands. Russian agriculture needs effective development and scientific substantiation of resource and energy-saving tillage systems, which would have an absolute nature conservation orientation. It is imperative in the post-virgin lands within the steppe zone of the Russian Federation, where optimization of the nature management structure assumes taking deteriorated lands out of turnover and allocating the most areas for intensive agriculture [5]. Since the mid-twentieth century, the global scholar community has accumulated considerable experience in reducing resource and energy spending in crop cultivation. The most successful efforts were made in minimizing or abandoning deep tillage in favor of shallow tillage [18]. Shallow tillage reduces the physical load on the soil. Green manure helps keep moisture [12], improves soil structure [7, 16], increases soil permeability [8], and reduces erosion risks [1]. Minimum tillage combined with the straw mulch reduces the need for soil mineralization [10]. Direct sowing without any tillage (no-till) became widespread in the last decades. The thickness of the green manure layer is important for these technologies [13]. Scholarly literature states that the thickness of the layer must be at least 1–2 cm, and its distribution should be equal and homogenous [3]. There are the following principal advantages of mulching technologies: (1) good protection of a field from erosion, especially on slopes [11], (2) retention of snow, (3) prevention of soil freezing, and (4) more effective accumulation of moisture in the spring and summer of the following year. Straw mulch promotes the development of humus microflora, increases the biological activity of the soil, and improves its phytosanitary conditions [6]. We have established non-tilled soil has optimal density and structure, able to absorb intensive precipitation and meltwater without water erosion [3, 9]. However, many researchers note that the positive effect of no-till technologies is only noticeable after several years of stable use. The optimal volume of dry biomass left on the field must be no less than 10 t/ha per year [13], which is only possible if precipitation is at least 700–1000 mm at a year. In southern steppe regions of Russia, microorganisms process green manure faster than it accumulates after the harvest. Precipitation is a crucial factor in the formation of a stable cover of plant residues, and the process of its formation might last for a long time [19]. Therefore, no-till technologies are the most successful in Argentine, the USA, West Europe, and other countries where annual precipitation exceeds 1000 mm. In less moist areas, including the steppe regions of Russia, cover crops (e.g., vetch, peas, mustard, Sudan grass, or winter rye) should be grown. Cover crops restore and maintain the balance of green manure on the surface during harvests and sowings [3]. It is often impossible to receive full-fledged shoots due to complete soil desiccation during the harvest of preceding crops. Some researchers believe that minimum tillage is more efficient than no-till technology in such moisture conditions [19]. Such approaches, lying at the heart of conservation agriculture, were practiced in the late

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twentieth century by Maltsev. He popularized tillage directed at increasing productivity and maintaining soil fertility via fertilizers and green manure. He famously said, “If we do not fight nature and do not plow, the upper layer of the soil will be easier to reach” [14]. In the climate of the Orenburg Pre-Urals, the lack of precipitation, along with the instability of gross yields and low crop yields, can be observed. Therefore, scientific explanation of natural-like technological methods of soil tillage in the crop rotation is highly relevant. Low, unstable productivity and gross yield of winter wheat confirm that traditional moldboard plowing and spring–summer growth on fallows is not ideal for this crop. This leads to inefficient use of soil moisture and, as a consequence, sparse seedlings and low density of productive grass stand at harvest. Shallow tillage, direct sowing, and green manure are especially prospective in such arid environments as the steppes of Russia. In this study, we aim to reveal the influence of soil tilling methods on the formation of full-grown shoots of winter wheat. We set the following tasks: • Generalize Russian and foreign experience in minimal tillage explain the prospects of implementing it in the steppe zone of the Orenburg Pre-Ural region; • Analyze the dynamics of atmospheric moisture in 1999–2019 and study agrometeorological conditions during 2016–2019 at the studied area; • Study the peculiarities of winter wheat germinability with different tillage methods; • Analyze the practical significance of research results.

2 Materials and Methods During 2016–2019, we conducted field studies in the dry steppe zone of the Orenburg Pre-Ural region on ordinary chernozem. The soil on the experimental ground was ordinary chernozem with humus content in the arable layer of soil 4.2%, mobile nitrogen (NO3 )—1.63 mg/100 g soil, hydrolyzable nitrogen—10.6 mg, mobile phosphorus (P2 O5 )—5.16 mg, exchange potassium (K2 O)—33.0 mg/100 g soil. The study area has inadequate and unstable precipitation, long frosty winters with little snow, short and rapid springs, rapidly changing hot dry summers, and long warm and dry autumns. The Selyaninov’s hydro-thermal coefficient (HTC) indicates that the climate is arid (HTC of 0.6–0.8). The temperature regime and insolation of this area does not limit the growth of traditional crops [4]. In this study, we examined different tilling methods of short-rotation winter wheat: fallow → winter wheat → spring wheat → barley. We chose the Novoershovskaya variety of soft winter wheat (Triticum aestivum V.). The analyzed methods of tillage were: • Traditional tillage with the non-moldboard deep loosening of soil (23–25 cm) for spring wheat and barley + fallow field plowing (23–25 cm);

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• Resource-saving tillage including double-cross disk harrowing (8–10 cm) for all cultures of crop rotation; • Minimal tillage, including direct sowing of spring wheat and barley, and doublecross disk harrowing of a fallow field (8–10 cm). Green manure was distributed annually on the surface of a field simultaneously with harvesting. After the harvesting of spring wheat and barley, herbicide Uragan Forte (2.0–2.5 kg/ha) was used along with the main tillage after 14 days. Pre-sowing preparation of fallow field includes surface harrowing and double tillage to the depth of seed embedment (5–7 cm) by all studied methods. Winter wheat was sown in the third decade of August. The seeding rate was 5.0 million germinable seeds/ha, which had been preliminarily treated with Maxim fungicide (2.5 kg/t). Mineral fertilizers (93 kg/ha total) were applied in three stages: (1) 36 kg/ha at the moment of the sowing (ammophos, 60 kg/ha), 34 kg/ha as plant-root fertilization in the spring (nitrophos, 90 kg/ha), 23 kg/ha (urea, 50 kg/ha) as foliage spraying. The consumption of the working solution was 300 l/ha, the concentration was 16.6% urea and 7.6% other substances. Crops were treated by Fundazol fungicide (0.5 kg/ha) to protect them from snow mold and Karate insecticide (0.2 l/ha) against aphids and cicadas. Fields with spring wheat and barley during tilling were treated by Cowboy Super herbicide (150 ml/ha). Records and observations were carried out by generally accepted methods under methodological instructions by Dospekhov and Moiseichenko et al. [2, 15]. Statistical data was processed in Excel.

3 Results and Discussion The main factor that ensures the expansion of arable lands in the Orenburg Pre-Ural region is providing winter wheat growth by sufficient soil moisture [4]. Analysis of the amount of precipitation over the previous 20-year period demonstrated obvious annual dynamics and a steady redistribution trend over the seasons, with increased aridity in some months. Thus, the average multi-year value of precipitation was at the level of 367.0 mm. Overall, precipitation varied from 239.0 mm (2014) to 474.0 mm (2013), reaching 65.1–129.2% of the norm with the variation range of 235.0 mm. Nine analyzed years (45.0%) were rainier. The average-annual amount of dryer years reached 361.0 mm— almost equal to the overall average. Typically, precipitations increased in cold seasons and reduced in warm seasons, with an evident growth of aridity during summer (especially in August). The precipitation falling during the winter and the beginning of the spring (December–April) was more at 24.0 mm (11.2%). Simultaneously, precipitation was reduced by 30.0 mm or 16.0% in the summer and the beginning of the autumn (May–September). In August, rainfall was extremely poor (21.0 mm); it was reduced compared to average multi-year values (34.0 mm) at 13.0 mm or 38.2%.

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Fig. 1 Effect of shower rains on winter wheat grown in arable fallows, 2019. Source Compiled by the authors

One of the most important features of the modern climate in the Orenburg PreUral Region is long dry summers without rain, which end with rapid precipitation in the form of heavy downpours. Then, during a short interval of time (10–20 min), abundant precipitation falls in amounts that can exceed half of the monthly norm. Shower rains harm field crop cultivation, especially in areas tilled with conventional methods. They remove the upper fertile layer from fields, destroying already formed crops, and causing erosion (Fig. 1). Showers occur in April and May, but the most abundant precipitation is in June and July. In April, showers ranged from 15 mm (2005) to 25 mm (2008), while monthly precipitation norms were 25 mm (2005) to 68 mm (2007). These showers were observed in 4 out of 20 years. In May and June, showers occurred in 7 out of 20 years. In July—13 out of 20 years. During 1999–2019, 6 mm of showers or 18.8% (at the avg. of 32 mm) occurred in May. In June—8 mm or 22.8% (at the avg. of 35 mm). In July—19 mm or 47.5% (at the avg. of 40 mm). Such cases were recorded in the summer periods of 2017–2018; they caused rapid flows in the fields cultivated according to the traditional technology. Observations showed that the soil on plots with minimal tillage, protected by plant residues and having a natural structure, adsorbs more moisture and resists water better. It should be noted that the amount of precipitation varied significantly in some years depending on the growing seasons of winter wheat (Fig. 2).

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Fig. 2 The dynamics of precipitation according to periods of winter wheat vegetation, the West zone of Orenburg Region. Source Compiled by the authors

Overall, the precipitation changed by 107.0 mm (46.3%) during the growing season, having the highest values in 2016–2017 (338 mm) and the lowest in 2017– 2018 (231 mm). During the fallow period (April–June), precipitation ranged from 97 to 120 mm, which was 14–37 mm (10.4–27.6%) less than the previous 20-year period and 26–49 mm (17.8–33.5%) less than the multi-year average. For the period of the active autumn vegetation (August–October) in average for three years of the study, it was recorded 79 mm precipitation that was less than an average for the preceded 20 years (at 7 mm or 8.1%) or at the average multi-year values (at 26 mm or 24.7%), the range of variation was 57 mm or 100.0%. The specific feature of the study period was extreme aridity in August with precipitation from 2 mm (2016) to 8 mm (2018). Temperature conditions in the period of vegetation were characterized by less scaling (Table 1). Thus, the coefficient of variation of an average daily temperature for the fallow period and autumn vegetation of winter wheat was 3.3%. Still, it was only 1% in the period of seedling emergence and active autumn vegetation from August to October. Nevertheless, we should note a tendency of average daily temperatures increasing during the mentioned period as in comparison with average values for last twenty years (at 0.1 and 0.7 °C) so with average values for many years (at 1.5 and 2.0 °C). Therefore, the sum of effective temperatures for April–October was higher than the average temperature for the last twenty years at 322 and 624 °C higher than average values of many years. The period of the autumn vegetation (August–October) was warmer at 69 °C and 183 °C, respectively. Despite the stable growth of temperature, the HTC tended to fall, indicating an increase in aridity in the fallow period and the beginning of winter wheat vegetation. The average multi-year values of HTC were 0.91 (arid) for April–October and 0.91 (arid) for August–October, but it became 0.72 (arid)—0.67 (extremely arid) for the last twenty years; its average value was 0.56 (extremely arid)—0.59 (extremely arid) during years of the study.

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Table 1 The hydro-thermal description of the autumn period Indicator

Precipitation, mm

The sum of effective temperatures, °C

HTC, mm/°C (by Selyaninov)

Average daily air temperature, °C

2016

226/114

3421/1334

0.66/0.85

16.1/14.6

2017

187/67

3230/1328

0.57/0.50

15.1/14.5

2018

154/57

3431/1358

0.44/0.42

16.0/14.8

Coefficient of variation, %

19.1/38.4

3.3/1.1

14.9/38.7

3.5/1.0

Average for 2016–2019

189/79

3361/1340

0.56/0.59

15.7/14.6

Average for 1999–2019

220/86

3039/1271

0.72/0.67

15.6/13.9

2737/1157

0.91/0.91

14.2/12.6

Overall average 251/105

Note In the numerator—for April–October; in the denominator—for August–October Source Compiled by the authors

In general, the noted trends of atmospheric moisture and environmental effects associated with long-term wasteful use of land resources have prompted an in-depth analysis of technological approaches in zonal agriculture within the Orenburg PreUral Region. As we noted in previous studies [4], for a high and stable winter wheat yield, the formation of complete shoots is important. This directly depends on the amount of soil moisture at the sowing depth. Among the technological approaches we studied, the most vigorous and dense sprouts of winter wheat were recorded by the technology of minimum tillage in all years of the study, when a nearly continuous, shallow layer of mulch of plant and soil layer (1.0–1.5 cm) was observed on the surface of the fallow field (Table 2). The number of plants with normal germination under the indicated tillage approach ranged from 460 units/m2 in 2018 (the least humid year) to 475– 485 units/m2 in 2017 and 2016 (more humid years). According to this indicator, the resource—saving cultivation technology demonstrated good sprouts, in which a mosaic layer of green manure was visible on the surface of the fallow field by the time of sowing. The sparsest shoots (an average of 410 pcs/m2 in three years) were observed with traditional tillage technology. A slightly pronounced green manure layer was observed in the field with spring wheat and barley during crop rotation. However, it was completely absent on the fallow soil. In general, the period of seedling emergence was quite long, lasting more than 20 days. The best seedlings were seen on the minimum tillage technology, where the seedling density already reached 46–63% at 10 days after sowing; by the 15th day, it was 72–92%. By that moment in arid conditions of 2016 (HTC—0.85), shoots have been practically formed, and the further increase of their number (to 97%) was at the level 4–5%. In extremely arid conditions of 2017 (HTC—0.50) and dry conditions of 2018 (HTC—0.42), shoots emerged rapidly in the following days. The densest

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Table 2 Seedling vigor of winter wheat under different technologies of tillage in crop rotation (2016–2019) Method

Years

The dynamics of seedling emergence, units at 1 m2 /seedling density, %/a relative speed of the growth of seedling density, % in a day Time after sowing 5 days

1

2

3

10 days

15 days

20 days

25 days

2016

80/16/3

170/34/4

260/52/4

420/84/6

422/85/0.2

2017

75/15/3

150/30/3

240/48/4

405/81/7

410/82/0.2

2018

70/14/3

135/27/3

225/45/4

385/77/6

398/79/0.4

Avg.

75/15/3.0

151/30/3.0

241/48/4.0

403/81/6.6

410/82/0.2

2016

105/21/4

195/39/4

360/72/7

450/90/4

453/91/0.2

2017

85/17/3

160/32/3

300/60/6

410/82/4

420/84/0.4

2018

75/15/3

145/29/3

275/55/5

400/80/5

402/81/0.2

Avg.

88/17/3.4

166/33/3.2

311/62/6.0

420/84/4.4

425/85/0.2

2016

120/24/5

315/63/8

460/92/6

480/96/1

485/97/0.2

2017

95/19/4

240/48/6

380/76/6

465/93/3

475/95/0.4

2018

80/16/3

230/46/6

360/72/5

450/90/4

460/92/0.4

Avg.

98/20/4.0

261/52/6.4

400/80/5.6

465/93/2.6

473/95/0.4

Source Compiled by the authors

shoots (92–95%) were noticed by the 20th days after the sowing, and the further increase of their number was only 1–2%. The worst sprouts were seen under traditional tillage. Their complete formation has lasted for 25 days, and the seedling fullness was only 82% on average for three years, varying from 79% (2018) to 85% (2016). The technology of resource-saving tillage had the average value of analyzed indicators where seedling fullness was equal to 85% (from 81 to 91%). The highest relative speed was observed with minimal tillage technology at the level 6–8% per day by the 10th day after the sowing. With resource-saving tillage, this indicator reached the maximal values (6–7% in a day) by the 15th day; with conventional tillage—only after 20 days. In our opinion, methods of tillage and soil conditions played a significant role in the formation of germinability and seedling vigor. The most optimal moisture in the upper layer of soil to seeds could swell and germinate, accumulated under a plant-soil mulching layer. It formed after the total rejection of tillage for spring wheat and barley in crop rotation and double-crosse disk harrowing of a fallow field. The traditional technology of tillage was the most ineffective practice. It caused an extreme loss of moisture in fallow, lightweight soils due to physical evaporation. We note that good germinability and even age of crops prevents secondary heterogeneity of the vegetation cover, which is especially is essential for digital agricultural technologies. Homogeneous plant ecosystems do not require extremely high doses of agrochemicals in separate plots. This forms the conditions for safe nature use,

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environmental protection, and the maintenance of ecological security of agricultural technologies.

4 Conclusion In the increasingly arid conditions of the Orenburg Pre-Ural Region, the prospects of green manure and minimal tillage are extremely high. The best result in fallow → winter wheat → spring wheat → barley rotation was observed in the direct sowing of spring wheat and barley and double-crossed disk harrowing (8–10 cm) on the fallow field. In this case, a contiguous shallow layer of green manure and soil layer (1.0–1.5 cm) is visible on the surface. Several traditionally germinating plants at a seeding rate of 5.0 million seeds/ha reach 475–485 units/m2 . The highest relative growth rate of 6–8% per day is observed on the 10th day after sowing, and the fullest shoots (92–95%) are formed on the 20th day after sowing. This field experiment could be used to introduce the best technologies of tillage to the Orenburg Pre-Ural region and other regions of the steppe zone in Russia. Adaptation to adaptive-landscape agriculture promotes stabilization of grain production, helps maintain the ecological security of land resources, and protects the biological diversity of steppes. Acknowledgements The study was conducted in the framework of the research subject “Steppes of Russia: Landscape and Ecological Bases of Sustainable Development, Justification of Nature-Like Technologies under Conditions of Natural and Anthropogenic Environmental Changes,” project number GR AAAA-A17-117012610022-5.

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8. Kahlon MS, Lal R, Varughese MA (2013) Twenty-two years of tillage and mulching impacts on soil physical characteristics and carbon sequestration in Central Ohio. Soil Tillage Res 126:151–158 9. Klik A, Eitzinger J (2010) Impact of climate change on soil erosion and the efficiency of soil conservation practices in Austria. J Sci Food Agric 148:529–541 10. Korchagin VA, Goryanin OI (2009) Soil-protective and water—sawing technologies of cultivation of summer grain crops in black earth steppes of Middle Volga region. Agrar Bull Southeast 2(2):43–44 11. Lenka NK, Lal R (2013) Soil aggregation and greenhouse gas flux after 15 years of wheat straw and fertilizer management in a no-till system. Soil Tillage Res 126:78–89 12. Liebelt P, Fruhauf M, Suleymanov R, Komissarov M, Yumaguzhina D, Galimova R (2015) Causes, consequences and opportunities of the post-Soviet land use changes in the forest-steppe zone of Bashkortostan. GEOÖKO. Goettingen 36:77–111 13. Litsukov SD, Shiryaev AV, Kuznetsova LN, Linkov SA, Segidin AN (2013) Agroecological assessment of no-till technology in the Belgorod region. Bull Kursk State Agric Acad 9:46–48 14. Maltsev TS (1985) Fertility and harvest. Agriculture 4:2–4 15. Moiseichenko VF, Trifonova VF, Zaveryukha AKh, Yeshenko VE (1996) Fundamentals of scientific research in agronomy. Kolos, Moscow, Russia, p 336 16. Mulumba LN, Lal R (2008) Mulching effects on selected soil physical properties. Soil Tillage Res 98:106–111 17. Precipitation and air temperature (n.d.) Retrieved from http://aisori-m.meteo.ru/waisori/select. xhtml 18. Siraev MG (2016) Effective methods of the fallow land preparation for seeding of winter wheat. Bull Bashkir State Agrar Univ 3:36–40 19. Telegin VA, Gilev SD, Tsymbalenko IN, Ionina NV (2015) T. S. Maltsev—the founder of modern resource-saving soil-protective agriculture in the Trans-Urals. Agriculture 7:24–25

Freezing Fruits in the Environment of Carbon Dioxide Igor A. Korotkiy , Evgeniy N. Neverov , Pavel S. Korotkih , and Alexey N. Grinyk

Abstract In the human diet, biologically active substances, found in fruits, play a special role. Their consumption can improve immunity, remove toxic elements and waste, as well as enrich the body with vitamins. Due to this fact, the demand for fruits and vegetables is constantly increasing. Flash freezing is the best way of food thermal treatment since it allows to preserve the quality and nutritional value of fresh fruit and vegetable product during long-term storage. There are various methods of freezing, differing in the way heat is removed from the product. The most common freezing methods are based on conduction, convection, and heat transfer during phase transformations. In practice, most often, the cooling medium is cold air of various temperatures (− 30 to − 40 °C), supplied at different speeds. The most commonly used methods of freezing fruits and vegetables are the following: (1) unilateral contact; (2) bilateral contact; (3) liquid-coolant freezing; (4) unilateral contact airflow; (5) transverse airflow; (6) in the fluidized bed. Contact unilateral freezing is used in several freezing devices; refrigeration is carried out on a cooled metal plate. The negative aspect of this method is insufficient heat transfer on the surface of the frozen product and the long freezing time. Keywords Freezing · Carbon dioxide · Air-gas medium · Fruits · Temperature regime

1 Introduction Fluidized bed freezing refers to an ultrafast freezing method. Liquid nitrogen, freon, and similar materials can be used as a liquid coolant. With this method of freezing, the entire surface of the product gives off heat. Low temperatures of the coolant ensure rapid freezing within minutes or seconds, depending on the type of product and the coolant and the product dispersion [3]. I. A. Korotkiy (B) · E. N. Neverov · P. S. Korotkih · A. N. Grinyk Kemerovo State University, Kemerovo, Russia e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 S. G. Maximova et al. (eds.), Advances in Natural, Human-Made, and Coupled Human-Natural Systems Research, Lecture Notes in Networks and Systems 252, https://doi.org/10.1007/978-3-030-78105-7_18

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The common disadvantage of these systems is insufficient heat exchange. The most promising methods are freezing fruits in gaseous and snowy carbon dioxide environments with a temperature of − 78 ± 2 °C. To analyze these processes, we produced an experimental bench for monitoring changes in the temperature field and heat flux density of products, the duration of refrigeration treatment, and the mass consumption of carbon dioxide (CO2 ).

2 Materials and Methods To study different modes of operation of the fruit freezing apparatus, we designed and assembled an experimental bench. Several fruit freezing experiments were performed on this bench. As a result, dependences of temperature field changes and heat flux density were obtained, this freezing time was significant, and it exceeded the amount of carbon dioxide (CO2 ) consumed.

3 Results and Discussion In Fig. 1 shows a thermogram of the process of freezing fruits and vegetables in a gaseous carbon dioxide atmosphere with a temperature of − 78 ± 2 °C. One thermocouple was installed in the geometric center of the product (at a depth of 10 mm). A sensor was installed on the surface of the fruit to measure the heat flux density. The process of freezing in a gaseous carbon dioxide environment is shown in Fig. 1. The thermogram of the process of freezing fruit and vegetable products can be divided into three stages. At the first stage (1–5 min for mushrooms; 1–13 min for cabbage; 1–3 min for potatoes), there was an intensive decrease in the temperature of the product caused by the temperature difference between the ambient and product

Fig. 1 Thermogram of the process of freezing fruits and vegetables in a gaseous carbon dioxide atmosphere with a temperature of − 78 ± 2 °C. Source Compiled by the authors

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temperatures. At the second stage (6–20 min for mushrooms; 14–32 min for cabbage; 4–12 min for potatoes), the temperature of the product remained almost unchanged because the cryoscopic temperature of the product was achieved. At the third stage (23–30 min for mushrooms; 33–47 min for cabbage; 13–20 min for potatoes), the temperature of the product drops to freezing temperature. The freezing time of products varies due to the amount of moisture, the chemical composition of the products, and the crystal formation rate. Diagram of the change in the heat flux density on the outer surface of the fruit during freezing in a gaseous carbon dioxide medium with a temperature of − 78 ± 2 °C is shown in Fig. 2. The maximum value of the heat flux density on the outer surface of mushrooms is qmax = 830 W/m2 , potatoes, and cabbage qmax = 600 W/m2 . The most intense heat removal is observed at the initial stage, when the temperature difference between the cooling medium and the product is maximum (and, therefore, the heat flux density is the highest). When the temperature of vegetables begins to decrease, a decrease in the heat flux density is observed, and at the end of the process, it approaches the minimum values. The difference in the dynamics of the heat flux density graph depends on the product area and the intensity of heat transfer of the product. Figure 3 shows a diagram of changes in the heat transfer coefficient during freezing in a gaseous carbon dioxide atmosphere with a temperature of − 78 ± 2 °C. The diagram is based on the calculated values of the heat transfer coefficient. The maximum value of the heat transfer coefficient is potato αmax = 35.66 W/m2 K, mushroom αmax = 22.37 W/m2 K and cabbage αmax = 15.68 W/m2 K. The difference in the dynamics of the graph of the heat transfer coefficient depends on many factors: (1) the type and mode of fluid motion, (2) physical properties, (3) dimensions, (4) shape, (5) roughness of the product. Further studies were carried out using snowy carbon dioxide. In Fig. 4 shows a thermogram of the process of freezing fruits in an environment of snowy carbon dioxide with a temperature of − 78 ± 2 °C.

Fig. 2 Heat flux density during refrigeration in a gaseous carbon dioxide environment. Source Compiled by the authors

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Fig. 3 Heat transfer coefficient during refrigeration in a gaseous carbon dioxide environment. Source Compiled by the authors

Fig. 4 Temperatures in the bulk of the product during refrigeration in a snowy carbon dioxide environment. Source Compiled by the authors

One thermocouple was installed in the geometric center of the product (at a depth of 10 mm). A sensor for measuring heat flux density was installed on the surface of the fruit. From the graph, one can see that the potatoes are frozen more intensely, the mushroom is frozen a little slower, and the longest freezing is cabbage. The initial temperature of fruits and vegetables is + 16 °C. The duration of freezing is much shorter than previous methods, which is an advantage of this method. A diagram of the change in the heat flux density on the outer surface of the fruit during freezing in the atmosphere of gaseous carbon dioxide with a temperature of − 78 ± 2 °C is presented in Fig. 5. The maximum value of the heat flux density on the outer surface is potato qmax = 5578 W/m2 , mushroom qmax = 2795 W/m2 , and cabbage qmax = 1875 W/m2 . At the initial time, when the temperature difference between the cooling medium and the product temperature is maximum, we can observe the most intense heat removal process, and therefore the maximum heat flux density. When the fruit temperature begins to decrease, a decrease in the heat flux density is observed, and at the end of the process, it approaches the minimum values (Fig. 6).

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Fig. 5 Heat flux density during refrigeration in a snowy carbon dioxide environment. Source Compiled by the authors

Fig. 6 A diagram of the change in the heat transfer coefficient during fruit freezing in a snowy carbon dioxide environment with a temperature of − 78 ± 2 °C is shown. Source Compiled by the authors

The diagram is based on the calculated values of the heat transfer coefficient. As shown in the graph, the maximum value of the heat transfer coefficient is potato αmax = 75.89 W/m2 K, mushroom αmax = 31.87 W/m2 K and cabbage αmax = 20.9 W/m2 K. The value of the heat transfer coefficient is higher, compared to other methods. This mainly because of the large temperature transfer at the beginning of the freezing process. The intensity of freezing in the environment of snowy carbon dioxide is more effective than in the environment of gaseous carbon dioxide. Since the freezing time in the snowy carbon dioxide environment is much shorter than the best experience, the heat transfer coefficient and heat flux density are much longer than in the gaseous carbon dioxide environment.

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Having analyzed these results, we can draw the following conclusions: . Freezing duration in snowy carbon dioxide is much shorter compared with other methods of freezing; . Products dry less in snowy carbon dioxide; . These two factors make the method of snowy carbon dioxide freezing easy to implement.

4 Conclusion We found that carbon dioxide has recently been increasingly used in closed refrigeration systems, being one of the most promising agents. A laboratory bench simulating the process of refrigeration treatment of products by different freezing methods has been developed and created. Additionally, we found that product drying with carbon dioxide cooling is much less. Moreover, we proved that the product in the environment of snowed carbon dioxide freezes faster than in other freezing methods. We have established that the traditional methods of freezing products have several serious drawbacks.

References 1. Altunin VV (1975) Thermophysical properties of carbon dioxide. Publishing House of Standards, Moscow, Russia 2. Antonov AN, Arkharov AM, Arkharov IA (2015) Low-temperature technology machines. Cryogenic machines and tools. Textbook for Universities MSTU im. N.E. Bauman, Moscow, Russia 3. Anurov SA (2017) Cryogenic gas separation technologies. AR-Consult, Moscow, Russia 4. Buyanov ON, Gorokhov AA, Neverov EN (2005) Investigation of the operation of a generator— dispenser of snowy carbon dioxide. Bull Int Acad Refrig 4:20–21 5. Danilov MM, Nazarova AS (2016) Influence of the parameters of the gas mixture on the magnitude of the formed crystals of carbon dioxide. Sci J NRU ITMO Ser Refrig Air Condition 4(24):1–5 6. Danilov MM, Smirnov AS (2014) The main features of the formation of the solid phase of carbon dioxide. Bull Int Acad Refrig 2:37–40 7. Feliu JA, Manzulli M, Alós MA (2017) Determination of dry-ice formation during the depressurization of a CO2 re-injection system. CETCCUS 8. Frozen mushrooms. Specifications (2014) GOST R 55465-2013 from July 01, 2014. Standartinform, Moscow, Russia 9. Khovalyg DM, Sinitsyna M, Baranenko AV, Tsoi AP (2014) Energy efficiency and environmental safety of low temperature technology. Sci J NRU ITMO Ser Refrig Air Condition 1:2–6 10. Neverov EN (2012) Production and use of carbon dioxide in industry: monograph. Kemerovo Technological Institute of Food Industry, Kemerovo, Russia 11. Neverov EN, Korotkikh PS (2019) Investigation of the heat transfer process during cooling of trout using carbon dioxide. Techn Technol Food Prod 49(3):383–389

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12. Neverov EN, Grinyuk AN, Tretyakova NG (2015) The use of carbon dioxide for cooling rabbit carcasses. In: Current problems of science and education, 2. Retrieved from http://www.sci ence-education.ru/129-22318 13. Neverov EN, Korotkiy IA, Korotkih PS, Lifenceva LV (2019) The method of carbon-dioxide recovery in fish-processing industry. IOP Conf Ser Earth Environ Sci 1(224):31457 14. Pimenova TF (1982) Production and use of dry ice, liquid and gaseous carbon dioxide. Light and Food Industry, Moscow, Russia 15. Porutchikov AF, Krysanov KS, Korolev IA (2014) New areas of application of regenerative refrigeration and gas machines. News MSTU “MA-MI” 3(21):58–62 16. Quick-frozen potatoes. General specifications (2017) GOST 33314-2015 frozen potatoes. General specifications from January 01, 2017. Standartinform, Moscow, Russia 17. Quick-frozen vegetables and their mixtures. General specifications (2013) GOST R 546832011 from January 01, 2013. Standartinform, Moscow, Russia 18. Sarfraz M, Ba-Shammakh M (2018) ZIF-based water-stable mixed-matrix membranes for effective CO2 separation from humid flue gas. Can J Chem Eng 96(11):2475–2483. https://doi. org/10.1002/cjce.23170

Megaprojects of the Twentieth Century and Recent Spatial Developments in Agricultural Regions in Russia’s European and Ural Parts Alexander A. Chibilyov, Sergei V. Levykin, and Alexander A. Chibilyov Jr.

Abstract The aftermath of the projects realized in the twentieth century was considered in the paper. All these projects aimed to transform the environment within the USSR agricultural regions to increase agrarian land productivity. A scale of anthropogenic influence on landscapes of steppe and forest-steppe zones was studied using the mapping method and analysis of statistical data. Based on the carried-out studies and considering an assessment of the state of geoecological landscape, the main problems of modern steppe land use were detected. The authors discuss a list of naturesimilar technologies that would promote to conserve and restore natural diversity and to form stable and high-productive landscapes. Keywords Steppe and forest-steppe zones · Megaprojects of the twentieth century · Agro landscapes · Nature-similar technologies

1 Introduction Occupying a national scale in the history of our country, megaprojects were directed to modernize nature management and to solve actual tasks of economic development in the society (Trans-Siberian Railway (1891–1916), GOERLO (1920–1935), the Atomic Project (1942–1949) and others). A realization of megaprojects practically always changed the structure of the economy and led to the deformation of landscape structure. Physical components of a megaproject consisted of a building of material objects (infrastructure), which were the implementation of the idea. These physical objects changed configuration and special features of the natural framework. They were practically always connected with unfavorable changes in the environment. Steppe is one of the most transformed biomes in the country in ecological relation. This area had been an original polygon where global state megaprojects had been A. A. Chibilyov · S. V. Levykin · A. A. Chibilyov Jr. (B) Institute of Steppe Orenburg Federal Research Center of the Ural Branch of the Russian Academy of Sciences (OFRC UB RAS), Orenburg, Russia e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 S. G. Maximova et al. (eds.), Advances in Natural, Human-Made, and Coupled Human-Natural Systems Research, Lecture Notes in Networks and Systems 252, https://doi.org/10.1007/978-3-030-78105-7_19

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realized for a long time. At present, the aftermath of the megaprojects defines the social-economic and environmental situation in regions. They formed the vast complex of problems having a national scale: depopulation, soil degradation, desertification, water resources decrease, biological diversity reduction, a formation unclaimed land fund, etc. [3]. The principal risks of any megaproject are errors in selecting the aim and insufficiency of scientific explanation of a potential effect or damage. These risks often increase when an object of transformation is nature itself. In the twentieth century, the steppe space of Eurasia repeatedly underwent numerous “transformations.”

2 Megaprojects of the Twentieth Century Among the most significant megaprojects (realized, unfinished, planned but remained on paper) we may note the following: “The Stalin Plan of the Nature Transformation” (1948–1953) [4], the Virgin Land Campaign (1954–1965) [9], the Plan of Land Reclamation (1966–1991) [13], the Project to Transfer the Siberian Rivers Flow to Central Asia (1971–1985) [11]. The first “steppe project” was developed by Dokuchaev under the organization of the “Special Expedition to Test and Account Different Methods of Forest and Water Economy in the Steppe of Russia” [5]. Dokuchaev’s ideas were laid on the base of “The Stalin Plan of the Nature Transformation” (1948) [4]. This large-scale project on landscape transformation as any project connected with virgin lands development, in large part, defined a modern view of steppes in Russia and Kazakhstan. The Stalin Plan of the Nature Transformation was aimed to form field protecting forest plantations, to introduce grassland crop rotation, and to build artificial water reservoirs to secure high and stable harvests in steppe and forest-steppe regions. This megaproject should last for 15 years and did not have analogs in the global practice on its complexity and scale. The Plan’s principal aim was to avoid droughts, sand, and dust storms in the Volga region, West Kazakhstan, North Caucasus, and Ukraine. The creation of the local woodland belt system was worked out, besides forming eight federal woodland belts [4]. This grand program, which conceptually combined tasks of environmental transformation and receiving of high harvests, was realized by one third. After Stalin’s death, the Plan was stopped: forest-protection stations were eliminated, and forest plantations and artificial water reservoirs were left without maintenance. The grass rotation system underwent a sharp critic and was practically forbidden. The cessation of the Plan turned to extensive methods of arable lands expanding. Such megaproject in the European part of the USSR was changed by a new large-scale transformational megaproject aimed to plow new areas in the east part of the steppe zone and became famous as the Virgin Land Campaign.

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Table 1 A scale of the preliminary plan’s exceeding of virgin lands development Territory

Preliminary plan of plowing Real plowing for (1954), thousand ha 1954–1960, thousand ha

An order of plan overfulfilment

Kazakhstan

7500

25,484

At 3.4 times

Russia

5500

16,352

At 3.0 times

13,000

41,836

At 3.2 times

USSR, total

Source Russian Federal State Statistics Service [8]

The Virgin Land Campaign, according to a preliminary plan, stipulated plowing 13 million ha of new lands. It was a reasonable, scientifically based limit of virgin land development that corresponded to economic possibilities and the level of development of industrial power in the country. But in the government’s idea, it was only the first step of virgin land development. Resolution of Plenum of the CPSU Central Committee on March 2, 1954 “On the Further Increase of Grain Production in the Country and on Virgin and Fallow Lands Development” [9] set the task to increase squares under crop cultures in the virgin lands to 28–30 million ha by 1956. In total, 45.2 million ha of new areas were plowed during 1950–1963: 19.7 million ha in Russia and 25.5 million ha in Kazakhstan [8]. A border of dry arable lands came nearer to grey forest and taiga soil in the north and sand and brown desert soil in the south by the middle of the 1960s. The main unique feature of the Virgin Land Campaign was the overfulfilment of plans, and the plowing occurred everywhere (Table 1). Virgin land development, to a considerable degree, leveled regional differences in the specialization of agriculture between administrative-territorial units in the Russian Federation and the Kazakh SSR, promoted to form a broad belt of virgin land use where grain farming played a dominant role. Meanwhile, the initial parameters of agricultural development in two republics of the USSR were different. Plowing of vast land massifs in 1954–1963 destroyed a border existed before which had been separated, in a varying degree, developed steppes of the Ural-Siberian Russia from virgin steppes of North Kazakhstan. With respect to both scale and time, the Virgin Land megaproject was the largest one in the history. There was plowed 45.2 million ha of natural and fallow lands that exceeded the original plan at tree-fold (Figs. 1 and 2) [2]. Principals of new agrarian politics of the country for the future were approved on the federal level. Mechanization, chemicalization, and amelioration were determined as the main factors of agriculture development. The considerable fund of new agricultural lands, including areas plowed during the Virgin Land Campaign in the regions characterized by complex agroclimatic conditions, became a predecessor of a large-scale program concerning the amelioration of agricultural lands. The Plan of Land Reclamation (Amelioration). The Ministry of Land Reclamation and Water Economy of the USSR established in 1965 was called to realize this program under the Resolution of Council of Ministers the CPSU Central Committee on June 16, 1966, No. 465 “On Wide Development of Land Reclamation to Have High and Stable Harvests of Grain and Other Crops” [13] (Fig. 3).

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Fig. 1 The dynamics of areas under crops in forest-steppe and steppe zones of Russia and Kazakhstan. Source Russian Federal State Statistics Service [8]

Fig. 2 A square of plowed virgin and fallow lands in forest-steppe and steppe zones of Russia and Kazakhstan for 1954–1965. Source Russian Federal State Statistics Service [8]

A square of irrigated lands in the Russian Soviet Federal Socialist Republic [RSFSR] was 1.5 million ha by 1965. Some scientists and experts noticed a lack of required experience to develop a line of crops using irrigation [7]. The program provided to conduct a large scale works on irrigation within large massifs of agricultural lands in steppe and dry steppe regions of the country (the Volga region (Povolzhie), North Caucasus, Siberia). Since 1966, squares of flooded

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Fig. 3 A plan to transfer a part of the Siberian rivers flows to Central Asia. Source compiled by the authors

areas increased many times and reached 21 million ha by 1990 (about 12% of the total agricultural square in the country). The next scale megaproject in our country touched vast territories of the steppe zone from Krasnodarsky Kray to Altaisky Kray. The discrepancy of expectations from this project with a real situation regarding the productivity of crops in the middle of the 1980s XX century caused the arguments between land reclamation experts, soil scientists, and plant growers who expressed concern about an excessive enthusiasm of hydro-melioration. The appearance of ecological problems was due to the lack of stopwater on the bottom of canals and violation of watering norms that led to the growth of groundwater, soil waterlogging, saline land formation and settlements flooding, and other aftermaths. After 15 years of the program realization, more 1.8 million ha demanded to build a collector-drain network, and almost 1/3 water-melioration systems needed some reconstruction. Nevertheless, after the next Plenum of the CPSU Central

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Committee (1984) “A Long-Term Program of Land Reclamation and Increase of Efficiency of Meliorated Lands Use” [10], a complex of actions was continued to be realized. From 1986 to 1990, it was planned to put into operation 3.3 million ha of irrigated lands and improve the technical conditions of existing irrigation systems on the square of more 5.6 million ha. The program provided to bring irrigation lands up to 30–32 million ha by 2000 in the USSR. The plan was not realized. The maximal square of irrigated areas reached 6.1 million ha in 1990. The more large-scaled and grand project to transfer a part of the Siberian rivers flow to Central Asia was not fulfilled. The Plan to Transfer a Part of the Siberian Rivers Flow into Central Asia. A resolution of the CPSU Central Committee and Council of Ministers No. 612 accepted on May 24, 1970 “On Prospects to Develop Land Reclamation, to Control and Redistribute Rivers Flows for 1971–1985” [11] was announced an immediate necessity to transfer 25 km3 water at the year by 1985. In 1978 “Soyuzgipprovodkhoz” was established—the All-USSR Institute of Water Construction and Development of Appropriate Projects. About 160 organizations worked to develop a transfer of Siberian Rivers into Central Asia and Kazakhstan, to the Aral and Caspian Seas. In the second part of the 1980s, the social and economic situation changed. At the same time, society and the government’s attitude to projects concerning the water flows transfer changed too. On August 14, 1986, the CPSU Central Committee and Council of Ministers of the USSR accepted a resolution “On Cessation of Works to Transfer a Part of North Siberian Rivers Flow” [12]. The considered large megaprojects of the second part of the twentieth century had their aftermaths. They were expressed in the development of the industrial base of organizations and plants, establishment of project agencies, creation of operational structures in a different level, building of accommodations, objects for social and cultural purpose, infrastructure in rural areas, and development of science and human resources. New spheres of the national economy were formed. A current view of steppe agro landscapes in North Eurasia, the structure and specifics of agriculture, and the complex of agroecological and social problems are the heritage of the successive megaprojects mentioned above. In the European part of the country in the Trans-Volga-Ural region, the complete plowing of improved pastures, hayfields, and remains of virgin lands laid over the agroecological framework of the Stalin plan. Interconnected aftermaths of megaprojects of 1950–1960s are expressed especially brightly in the east part of the steppe zone, where the Virgin Land Program was, mainly, realized. Also, the ideology of forest reclamation is put over this project. Overall, two Soviet megaprojects—the Stalin Plan and Virgin Land Campaign—led to the replacement of steppe vegetation due to forest reclamation and large-scale plowing. According to enormous financial resources, work, and energy, these mega projects had been the unprecedented stress for the steppe zone, turned it out a long-term balanced state in the east, and created the whole system of new landscapes in the Trans-Volga-Ural region in the west. In the post-virgin land period, a forest reclamation framework, partly formed, and a considerable part of arable lands was abandoned—thus, steppe ecosystems obtained a chance for self-restoration.

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When the USSR broke up, the epoch of grand megaprojects, which had been a cause of complex challenges forming spatial development in the steppe Eurasia, finished (Table 2). Based on a complex assessment of the geoecological state in the steppe regions of European Russia and the Ural, we can define the main problems appropriate to modern nature management (Fig. 4): . anthropogenic fragmentation of conditionally natural (pasture and hayfield) and model (nature preserves) steppe landscapes, “island” of ecosystems, a lack of an ecological link of a space; . degradation of steppe grass biocenoses due to the influence of overgrazing, anthropogenic load, pollution by dump and waste products; . anthropogenic desertification—a formation of vast anthropogenic-modified waste grounds on unused lands; . reduction of soil fertility due to use of soil-cost technologies; . destruction of landscapes and biological diversity, a formation and aggressive spreading of points of alien biota components; Table 2 Contemporary challenges of a spatial development in the south of the European part of Russia No. p/p

Contemporary challenges

Long-term ways of their solution

I

Negative aftermath of agrarian and industrial influence on landscapes

Development and introduction of nature-similar and convergent technologies in agriculture, forest reclamation, water economy and in a depth usage

II

Reduction of a developed space, a formation of little-active zones and the unclaimed land fund

Working out of theoretical grounds of the framework principle of a spatial development as a factor of nature-economical systems stability. Detection and introduction of alternative forms of nature management, optimization of ecological-stabilized functions of the unclaimed land fund

III

Interregional contrasts leading to a formation of depressed regions

Development of principals of a spatial equity, leveling disproportions between regions

IV

Weak infrastructure facilities of the most part of a subregion

Detection of new priorities of a spatial development (the Great Silk Way, a search for alternative types of economy, tourism)

V

Geopolitical threats and actual problems Developing principles for stable of safety in the boundary areas development in the boundary areas, transboundary territorial systems (basins, transport communication, etc.). Using a social-economical effect of the border and impact of increased natural diversity within the boundary areas to optimize the integration process

Source Russian Federal State Statistics Service [8]

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Fig. 4 Main agroecological problems of the steppe region in European Russia and the Ural. Source compiled by the authors

. realization of groundless melioration actions (irrigation, afforestation, etc.); . activation of natural fires and risks of ecological crises; . environment pollution (water, soil, air), a formation of anthropogenic areas of pollution, especially in the course of gas-and-oil extraction; . ecological-hydrological problems caused by the growth of needs in water, control of the river flow and climate changes; . a formation of the unclaimed land fund and capture of lands by dishonest land users whose aim is to obtain economic benefits by any cost. For the Russian economy in the current political conditions, a reduction of the natural potential in the vast boundary territory is hugely objectionable. Steppes of Eurasia have required a new sophisticated program (which we would not call a megaproject). This program would aim to develop convergent and nature-similar technologies to optimize spatial development in the southern regions of European Russia and the Ural-Siberia regions under climatic and anthropogenic changes, and directed to solve the following tasks: . to analyze existing and expected challenges for the spatial development of the steppe regions in European Russia and the Ural; . to test modern geo-informational, digital, convergent methods of the environment study to optimize nature management; . to develop alternative nature-similar technologies of a land-depth usage on the base of territorial frame planning; . to generalize the best experience and to create typical schemes to optimize nature management on the example of critical regions and municipal units;

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. to work out models of stable nature management in the steppe regions considering principles of continuity of ecological networks and frame schemes of spatial development.

3 Concluding Remarks The given program (megaproject) should consider the Russian steppe as a critical territory of the biosphere, a specific axis of convergence of natural and applied sciences through which the most significant agricultural belt (and not only agricultural) may turn into a driver of economic development of the Russian Federation. In the realization of the spatial development program, transcendental technologies should be worked out to optimize agro landscapes in Russia’s steppe zone. Such techniques should be directed to develop the constant network of territorial landscapes conservation, to protect models of untouched nature as a landscapeecological reserve, geoecological counterbalance, and nature laboratories. On the other hand, it would be directed to increase plant growth productivity with a soil fertility conservation which provides [1, 6]: . to maintain an optimal balance of different types of agricultural lands and to introduce soil-restoration crop rotation; . to enter an agro landscape land turnover which promotes to their self-rehabilitation and natural processes of fertility restoration; . to use for agriculture only elite soil that does not require additional melioration, to use resource-saving methods of soil cultivation, which would prevent degradation of the upper fertile layer and support the optimal soil structure; . to manage pasturable ecosystems, to develop underproductive and unused lands as pastures; . to form a forest reclamation framework on the base of restoration of natural forest-steppe diversity to create the most stable, ecologically functional and economically low-cost forest plantations and a link crop rotation; . to irrigate pastures, to arrange drinking places and cattle stands out the hydrographical network; . to arrange fire-prevention actions on the base of the natural diversity of ecosystems to reduce steppe fires sharply; . to work out a complex of agrotechnical and agrochemical technologies including fallow sideration, contour agriculture, minimal soil cultivation, organic fertilizer introduction, aerobic composting of vegetation, and livestock farms’ wastes to conserve and maintain nature-similarity; to conserve soil moisture including using mulch; to use interactive digital agriculture. Introduction of nature-similar technologies (on the given stage—agrarian nature management) on the fundamental scientific base will promote to increase the prevailing culture of steppe nature management. It provides to intensify agriculture,

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to increase biopotential productivity and the gross yield under reduction of sown areas. The development of a convergent approach can solve these issues and helps to level the aftermath of the agroecological megaprojects of the twentieth century. Acknowledgements The paper was prepared in the frame of the subject “Steppes of Russia: landscape-ecological grounds of stable development, nature-similar technologies explanation under natural and anthropogenic changes of the environment” (No. GR AAAA-A17-117012610022-5).

References 1. Chibilyov AA (1992) Ecological optimization of steppe agrolandcapes. Ural Branch of the Russian Academy of Sciences, Sverdlovsk, Russia 2. Chibilyov AA (2004) Lesson of tselina (virgin land). Vestn Sci Soc Hum 3:109–116 (in Russian) 3. Chibilyov Jr AA (2016) Renewed strategical natural resources of stable development in regions within the RF steppe zone. Adv Mod Nat Sci 3:214–219 (in Russian) 4. Council of Ministries of USSR and the CPSU (b) (1948) A resolution on a plan of field protecting plantations, introduction of grass crop rotation, building of ponds and water reservoirs to ensure high and stable harvest in steppe and forest-steppe regions of the USSR European part (October 20, 1948, No. 3960). Moscow, USSR 5. Dokuchaev VV (1892) The steppes before and in our days. The Printing House by E. Evdokimov, Saint-Petersburg, Russia (in Russian) 6. Gulyanov YuA, Chibilyov AA (2019) Ecologization of steppe agrotechnologies under natural and anthropogenic changes of environment. Theoret Appl Ecol 3:5–11 (in Russian) 7. Kolganov AV, Sykhoy NV, Shkura VN, Shchedrin VN (2016) Development of melioration in lands having the agricultural purpose in Russia. RusSRIPM, Moscow, Russia (in Russian) 8. Russian Federal State Statistics Service (1994) Development of agriculture in the main regions of virgin and fallow lands development. Republican Informational-Publishing Centre, Moscow, Russia 9. The Central Committee of the Communist Party of the Soviet Union (1954) The Resolution of the Plenum of the CPSU Central Committee “On the further increase of grain production in the USSR and on virgin and fallow lands’ reclamation” (March 03, 1954). Moscow, the USSR (in Russian) 10. The Central Committee of the Communist Party of the Soviet Union (1984) The Resolution of the Plenum of the CPSU Central Committee “On the long-term program of melioration, increase of efficiency of meliorated areas’ use towards stable rise of the productive fund of the country” (October 23, 1984, No. 1082). Moscow, the USSR (in Russian) 11. The Central Committee of the Communist Party of the Soviet Union and the Council of Ministers of the USSR (1970) The Resolution of the CPSU Central Committee and the Council of Ministers of the USSR “On prospects of land melioration, regulation, and reallocation of rivers’ flow in 1971–1985. Work to large rivers’ turn” (May 24, 1970, No. 612). Moscow, the USSR (in Russian) 12. The Central Committee of the Communist Party of the Soviet Union and the Council of Ministers of the USSR (1986) The Resolution of the CPSU Central Committee and the Council of Ministers of the USSR “On cessation of work regarding transfer a part of north and Siberian rivers’ flow” (August 14, 1986). Moscow, the USSR (in Russian) 13. The Council of Ministers of the CPSU Central Committee (1966) The Decree of the Council of Ministers of the CPSU Central Committee “On the scale land melioration to have a high and stable harvest of grain and other crops” (June 06, 1966, No. 465). Moscow, the USSR (in Russian)

The Coal Generation Technology Analysis with Combustion Products Utilization Igor A. Korotkiy , Yevgeniy N. Neverov , Elena A. Zhidkova , and Pavel S. Korotkih

Abstract The paper focuses on the development of clean coal technologies. The authors argue that such technologies will allow to win inter-fuel competition with natural gas. The technology for capturing CO2 from gas has long existed outside of the electric power industry. Carbon dioxide must be moved after capturing to a place of useful use or long-term storage, using a gas pipeline or in a liquefied state, which is quite problematic and requires additional costs. The authors argue that the most effective technology is the Allama cycle, based on the CO2 use as a working medium at thermal power plants. Keywords Clean technology · Coal · Allama cycle

1 Introduction The coal generation has been the mainstay of the world’s electric power industry for many decades. The priority direction for the coal-fired generation development is to increase primarily the efficiency due to cogeneration and environmental friendliness of coal-fired thermal power plants, as well as to develop their own competencies in “clean coal” technologies. The development of these technologies will allow to win inter-fuel competition with natural gas, despite the trends to reduce its price, diversify production sites, and transport methods. Also, such developments are aimed to improve the efficiency and environmental friendliness of coal-fired thermal power plants, since the most part of the challenges faced by coal-fired generation are related to the environment. The climate policy tightening and the increase in the cost of CO2 emissions eventually leads to the fact that even the most advanced coal-fired generation becomes unprofitable without additional special measures to capture carbon dioxide in the flue gases of thermal power plants. I. A. Korotkiy · Y. N. Neverov · E. A. Zhidkova · P. S. Korotkih (B) Kemerovo State University, Kemerovo, Russia e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 S. G. Maximova et al. (eds.), Advances in Natural, Human-Made, and Coupled Human-Natural Systems Research, Lecture Notes in Networks and Systems 252, https://doi.org/10.1007/978-3-030-78105-7_20

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The technology for capturing CO2 from gas has long existed outside of the electric power industry (in chemistry, petrochemistry). However, it will have to be used on a much larger scale at coal-fired thermal power plants. Carbon dioxide must be moved after capturing to a place of useful use or long-term storage, using a gas pipeline or in a liquefied state, which is quite problematic and requires additional costs [1]. In our opinion the most effective technology is the Allama cycle, based on the CO2 use as a working medium at thermal power plants.

2 Materials and Methods The Allama cycle is a new energy cycle that uses a variety of hydrocarbon fuels. At the same time, it allows to catch almost 100% of emissions, including almost all CO2 emissions, while remaining competitive in terms of electricity cost. The proposed system achieves these results by using a semi-closed Brighton recovery cycle that uses supercritical CO2 as the working fluid, which significantly reduces energy losses in comparison with steam and air-based cycles. In normal cycles, the separation and removal of low-temperature combustion impurities, such as CO2 , results in large additional capital costs and increased spurious power. As a result, in normal cycles their removing can increase the cost of electricity by 50–70% [2]. In addition, the cycle can work with little or no water. This system employs only one turbine, uses a small installation area, and requires fewer components than conventional hydrocarbon-fueled systems. The Allama cycle was first introduced in GHGT-11 [3]. Since then, the significant progress has been reached. However, no detailed study of the system using coal as a fuel has been made. Traditional energy cycles, such as the combined natural gas cycle (NGCC), supercritical coal cycles, and combined integrated gasification (IGCC) cycles, require the expensive equipment addition to reduce efficiency in order to reduce and capture CO2 and other pollutants emissions. These cycles analysis has shown that additional CO2 removal systems can increase the cost of electricity by 50–70%, while no more than 85% of the generated by the combustion of hydrocarbon fuels CO2 is captured.

3 Results and Discussion The proposed Allama cycle scheme uses a new approach in reducing emissions by using oxygen combustion and a high-pressure supercritical CO-working medium in a high-recovery cycle. The proposed energy cycle involves the use of transcritical CO2 . The cycle works with a single turbine that has an inlet pressure of about 300 bar. The scheme of a thermal power plant working on the Allama cycle is shown in Fig. 1.

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Fig. 1 The scheme of a thermal power plant working on the Allama cycle. Source Compiled by the authors

The fuel under pressure (14) is burned in the presence of a hot oxidizer stream containing a mixture of CO2 and nominally pure oxygen (13, provided by an air separation unit—ACS), and a hot recirculating CO2 stream (9) under depleted combustion conditions. The exhaust gas flow coming out of the combustion chamber expands, passes through the turbine, reducing the temperature to 700 °C (1). After the turbine the exhaust gas flow enters a recuperative heat exchanger that transfers heat from the hot exhaust gas flow to the above-mentioned high-pressure CO2 stream, a recirculating flow that acts as the combustion products intercooler and lowers the temperature at the turbine inlet to an acceptable level of 1150 °C, as well as an oxidizer flow that supplies oxygen to the fuel combustion zone. Leaving the primary heat exchanger (2), the turbine exhaust gas flow is cooled to a temperature close to the environmental temperature, and the water which is formed during combustion is separated (3). Then the fluid flow, mainly CO2 , is re-compressed (4), cooled (7), and pumped to a pressure of approximately 300 bar, where it then re-enters the recuperative heat exchanger cold part. At some point before entering the heat exchanger, part of the recirculated CO2 (10) is mixed with oxygen (11) to form a flow of an oxidizing mixture (12), which is fed separately to the heat exchanger and the turbine. In the main process heat exchanger, the recirculating flows are reheated from the turbine hot exhaust before returning to the combustion chamber at temperatures exceeding 700 °C. To maintain the mass balance in a semi-closed cycle, a high-purity CO2 part is selected for disposal.

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In high cycle efficiency achieving an important factor is ensuring the necessary pressure and temperature at the turbine inlet. These parameters depend on the allowable stress level for a high-nickel alloy, such as Inconel 617 [11]. The operating temperature at the heat exchanger hot end is within the range of 700–750 °C. This limits the temperature at the turbine inlet to a range of 1100– 1200 °C. To cope with the high temperature at the inlet, the use of heat-protective coatings, which are applied in gas turbine engine technology, is provided. Solid fuel, such as coal or biomass, must be converted to fuel gas before it can be used. Leaving the quenched gasifier at temperatures from 250 to 300 °C, the product contains all the coal impurities, as well as a large amount of steam. After purification before combustion the fuel gas is burned under such conditions that any impurities such as H2 S, COS, CS2 , NH3 , and HCN are converted to their oxidized forms SO2 , NO, H2 O, and N2 . The 30-bar pressure of the turbine output flow ensures that the reaction kinetics is quite effective at the NO oxidation stage. The H2 SO4 concentration will depend on the cooling temperature, the environment, and the sulfur content of the coal used, ranging from 10 to 40% by weight. H2 SO4 can be converted directly to CaSO4 by reaction with a limestone suspension in a simple stirred tank reactor. Ca(NO3 )2 is highly soluble in water and can be extracted separately if desired. Nitric acid helps to remove mercury contamination. The Allama cycle for thermal power plant is shown in Fig. 2. The input to the turbine is defined by point A, and the output from the turbine is defined by point B, which also refers to the input of the recuperative heat exchanger hot end. The heat of the fuel entering the combustion chamber is equivalent to A–K. The heat which is transferred from the turbine outlet to the high-pressure recirculating flow B–C, and the heat which is received by the flow from this heat transfer is equal

Fig. 2 The Allama cycle for thermal power plant. Source Compiled by the authors

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to K–J. After cooling the environment from points C, B, D and water separation, the cooled gas from the turbine enters a two-stage CO2 compressor with an inlet to the intercooler at point E. At the second stage, it is compressed F, G, at a pressure above the critical pressure (mainly CO2 ) flow. Then the supercritical CO2 is cooled to a temperature close to the environment temperature at H. This leads to an increase in density from 0.15 to 0.85 kg/m3 . The clean CO2 product is removed at or before this point, and the remaining process flow is fed to the recuperative heat exchanger. It is possible to see that there is a very significant imbalance between the heat released at the outlet of the low-pressure turbine (B–C) and the heat required to increase the temperature of the high-pressure recirculating flow (K–I). This imbalance is determined to a very large difference in the specific CO2 heat capacity in the recirculating flow of 300 bar compared to the turbine output flow of 30 bar at the recovery heat exchanger low temperature end. The imbalance can be corrected by adding a significant amount of external heat within the range from 100 to 400 °C to the recirculating CO2 , corresponding to the heat which is required from points I to J. A convenient heat source can emanate from the adiabatic operation of the air compressors and the recirculating compressor. Although this increases the compressor power consumption, the overall effect is positive.

4 Concluding Remarks The high efficiency does not depend on the quality and coal type. The other advantages of using coal include a reduced water consumption. The solid fuel cycle can significantly save water compared to the basic indicators of IGCC and SCPC. To commercialize the solid fuel cycle, the main problems that need to be solved were identified: the choice of the appropriate gasification technology (cost and performance optimization); the need for anti-corrosion treatment due to additional impurities found in coal synthesis gas; the development of additional ways to remove pollutants from the system; and the modernization of the combustion chamber.

References 1. Yoosook H, Maneeintr K (2018) Geological storage coupled with water alternating gas for enhanced oil recovery. Chem Eng Trans 63(217):217–222 2. Korotkaya EV, Kireev VV (2016) Energy efficiency analysis of the sea buckthorn (Hippophae rhamnoides) fruits quick freezing. Foods Raw Mater 4(1):110–120 3. Neverov EN (2016) The use of carbon dioxide for the cold processing of fish. Bull Krasnoyarsk State Agrar Univ 4:125–131 4. Neverov EN, Korotkiy IA, Korotkih PS, Lifenceva LV (2019) The method of carbon-dioxide recovery in fish-processing industry. IOP Conf Ser Earth Environ Sci 224(1):012039

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5. Dyshlyuk LS, Sukhikh SA, Ivanova SA, Smirnova IA, Subbotina MA, Pozdnyakova AV et al (2018) Prospects for the use of cedar nuts in dairy industry products. Food Raw Mater 6(2):264– 280 6. Neverov EN, Grinyuk AN (2018) The use of carbon dioxide for the transport of rabbit meat. In: International conference on intelligent solutions for agriculture, vol 151, pp 825–829 7. Prosekov AYu, Ivanova SA (2016) Providing food security in the existing tendencies of population growth and political and economic instability in the world. Foods Raw Mater 4(2):201–211. https://doi.org/10.21179/2308-4057-2016-2-201-211 8. Fryer PJ, Versteeg C (2008) Processing technology innovation in the food industry. Innov Manag Policy Pract 10(1):74–90. https://doi.org/10.5172/impp.453.10.1.74 9. Belozerov GA, Dibirasulaev MA, Koreshkov VN (2009) Modern technologies and equipment for refrigeration processing and storage of food products. Refrig Equip 4:18–22 10. Dibirasulaev MA, Belozerov GA, Ryzhova SG (2015) The effect of cooling conditions of meat products subjected to heat treatment on the shelf life. Actual Probl Field Creat Innov 3:40–43 11. Ishevsky AL, Davydov IA (2017) Freezing as a method of food preservation. Theory Pract Meat Process 2(2):43–59. https://doi.org/10.21323/2414-438X-2017-2-2-43-59 12. Ishevsky AL, Domoratsky SS, Grishina IV (2011) Rapid assessment of shelf life of food products. Meat Technol 98(2):28–30 13. Ovsyannik AV (2018) Modeling of heat transfer processes during boiling of liquids. GSTU named after P.O. Sukhoi, Gomel, Belarus 14. Osokin AV (2018) Development of a mathematical model of the movement of granular material in dies of a flat matrix granulator. Bull Irkutsk State Techn Univ 22(4):43–61. https://doi.org/ 10.21285/1814-3520-2018-4-43-61 15. Antipov ST, Ovsyannikov VYu (2016) Heat and mass transfer in concentrating liquid media by moisture freeze-out. Res J Pharm Technol 9(12):1451–1459 16. Ovsyannikov VYu, Klychnikov AI, Sharov AV (2018) Investigation of units condition of rotortype milling machines based on vibration analysis. In: Proceedings of the 4th international conference on industrial engineering ICIE 2018. Springer, Cham, Switzerland, pp 233–239 17. Potapov AN, Prosin MV, Magilina AM (2013) Development of extractors for the system “solid body—liquid.” Techn Technol Food Prod 30(3):80–84 18. Ovsyannikov VYu, Klychnikov AI, Lobacheva NN, Berestovoy AA (2019) Concentration of cattle blood by moisture freezing. IOP Conf Ser Earth Environ Sci 315:042021, 1–6 19. Gordenchuk AD, Kudryashova OS (2019) A conversion method for the preparation of calcium formate. Theor Found Chem Eng 53(4):591–595 20. Gordenchuk AD, Elokhov AM, Kudryashova OS (2017) The influence of a number of parameters on the crystallization process of calcium formate. Bull Technol Univ 20(22):9–12

Influence of Eccentricities and Axis Deviations on Stress–Strain State Indicators of Reinforced Concrete Columns in the Frameworks of Multi-storey Buildings Anatoliy V. Lastovka , Tamara V. Danchenko , and Mariy L. Berseneva Abstract The paper focuses on the features of calculating the stress–strain state of compressed load-bearing elements of frame buildings, the dependence of the functional efficiency of compressed frame columns on the designed load-bearing capacity, technology, and quality of the corresponding construction processes. The formation of eccentricities and deviations of the cross-section axes for the frame columns results from insufficient design solution quality (taking into account the possible manifestation of the phenomena under consideration) or construction work. Consideration of the eccentricity and axis deviation manifestations requires developing a particular algorithm for the examination of the actual parameters of the stress–strain state and the development of a measure set necessary to increase the load-bearing capacity of the frame columns of multi-storey buildings. The analytical material proposed in this paper can be used to develop methodological recommendations for increasing the load-bearing capacity for extra-centrally compressed reinforced concrete columns of multi-storey frame buildings. This paper is designed to avoid such situations in the process of calculating concrete and reinforced concrete structures. Keywords Reinforced concrete columns · Multi-storey frame buildings · Compressed load-bearing elements · Concrete properties · Load application eccentricity · Stress–strain state parameters · Structural solutions · Reinforcement of the column cross-section

A. V. Lastovka · T. V. Danchenko (B) · M. L. Berseneva Siberian Federal University, Krasnoyarsk, Russia e-mail: [email protected] A. V. Lastovka e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 S. G. Maximova et al. (eds.), Advances in Natural, Human-Made, and Coupled Human-Natural Systems Research, Lecture Notes in Networks and Systems 252, https://doi.org/10.1007/978-3-030-78105-7_21

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1 Introduction An important factor in improving the quality of multi-storey buildings and increasing the construction volume is the rational choice of the construction and structural system of the building, which ensures economic efficiency and rational use of labor and material resources [3]. Features of reinforced concrete as the material of the primary vertical load-bearing structural elements of multi-storey buildings. Load-bearing structural elements made of precast and monolithic reinforced concrete are currently widely used to construct frames of multi-storey buildings and structures. The wide use of reinforced concrete as a building material for structures of construction objects is associated with its following primary characteristics [2, 4]: • • • • • • •

High level of durability; Environmental friendliness; Wear resistance; Weather resistance; Fire resistance; Relatively low operating costs; Availability of materials for the manufacture of structures.

Heavy loads are characterized by load-bearing structural elements in the formats of compressed structural elements (columns and pillars) of multi-storey buildings and structures. It is customary to use a braced structural diagram in frame multi-storey buildings (primarily made of prefabricated reinforced concrete elements of factory manufacture). In this case, the columns and the frame crossbars (with hinged joints in the nodes) perceive only the vertical load, and the horizontal load is transmitted through the floors to rigid transverse vertical connections [5].

2 Materials and Methods The primary sources and reasons for the formation of the frame column axis eccentricities and deviations are the nature of the work of compressed vertical reinforced concrete supporting elements of the frame from their height, which is determined by the planned height of the floor, the method of floor division, and the type of end anchorage (rigid, hinged, or free). The mentioned conditions are considered in the calculations by introducing a particular value for the estimated length of the compressed element l0 [8, 9, 18, 19]. Examples of a cross-section of a vertical load-bearing reinforcement of reinforced concrete element under central and eccentric compression are shown in Figs. 1 and 2. The longitudinal working armature (), under the conditions of applying a central compressive force, functions uniformly for compression. Then the most rational way

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Fig. 1 A method for reinforcing the cross-section of a vertical bearing element under central compression. Source Compiled by the authors

is to place it around the entire perimeter of the cross-section, and the shape of the cross-section is square (h = b, see Fig. 1). When the compressive force is applied outside the center, the primary longitudinal working armature () is located along the short side h of the rectangular cross-section (h < b, see Fig. 2). The short side h becomes perpendicular to the action direction of the bending moment caused by the manifestation of the eccentricity e0 of the application of the longitudinal compressive force N. At high eccentricity values e0 , the part of the working armature located on the side opposite to the eccentricity may be in the stretched zone of the cross-section of the reinforced concrete column. Determining the shape, size, and cross-sectional area of the longitudinal working armature (and), and the designation of the concrete class are the primary indicators in the planning of the load-bearing capacity of vertical load-bearing elements of the frame, depending on the possibility of eccentricity [13, 15, 20].

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Fig. 2 A method for reinforcing the cross-section of a vertical bearing element under eccentric compression. Source Compiled by the authors

Precast concrete columns of floor-by-floor breakdown (as part of the structural system of a multi-storey building) under conditions of central and off-center compression, depending on the application of the longitudinal force N, are shown in Fig. 3. • Columns of the design grades K−1 and K−3 (central rows, along the axes B and C)—centrally compressed elements; • Columns of the design grades K−2 and K−4 (upright rows, along the axes A and D)—eccentrically compressed elements. A feature of the design of centrally and eccentrically compressed precast concrete columns of a multi-storey building frame is the division into similar elements of a simple form and reinforcement scheme. These structural elements of multi-storey buildings are included in the joint work on the perception of compressive forces by organizing joints of the “column bottom-column top” form. Multi-storey frame building columns serve their function under the influence of an external compressive load N (longitudinal force) applied with a specific eccentricity value e0 (Fig. 4).

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Fig. 3 Frame structural system of a multi-storey building with the use of precast concrete columns of floor-by-floor breakdown. Source Compiled by the authors

In the process of considering both possible load applications, one can replace the combination of the axial compressive force (or force with a random eccentricity e0) and the bending moment (Fig. 4b) with the resultant compressive force acting with an eccentricity: e0N = M/N and vice versa (Fig. 4a). The location in the structural system of a multi-storey building of columns of K−2 and K−4 design grades (upright rows, along the axes A and D, see Fig. 3), which perceive an additional load from wind influences and their own weight of mounted

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a) a longitudinal force N applied with an eccentricity e0 acts on the column

b) the column is affected by a longitudinal force N applied without eccentricity e0 and a bending moment M

Fig. 4 External compressive load conditions N. Source Compiled by the authors

self-supporting reinforced concrete wall panels, is an example of an eccentrically compressed structural element of a frame. The result of the manifestations of random eccentricities caused by the incorrect installation of prefabricated elements in the design position or the heterogeneity of the concrete mixture laid in the structure of a monolithic reinforced concrete column may be an eccentric load on the compressed reinforced concrete structural elements of the frame. The primary calculation schemes for determining the parameters of the stress– strain state of eccentrically compressed structural elements of the rectangular crosssection are depicted in Fig. 5 [10, 16, 17]. Option 1 (Fig. 5a)—the authors examine the design situation using an eccentrically compressed column and a longitudinal load N, which is applied to the considered bearing element with a significant eccentricity e0 . In the case of a significant amount of eccentricity, the design solution does not provide for the use of excessive reinforcement of the cross-section with a stretched armature. The limit state achieves the yield strength of the steel by the stretched working armature. Option 2 (Fig. 5b)—the authors consider the design situation using an eccentrically compressed column and a longitudinal load N, which is applied to the considered bearing element with a slight eccentricity e0 . In this case, the design

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Fig. 5 Fundamental schemes for calculating cross-sections of eccentrically compressed rectangular (square) elements. Source Compiled by the authors

solution (with a small amount of eccentricity) allows one to use excessive reinforcement of the cross-section with a stretched armature. The limit state deconstructs the concrete of the compressed cross-section zone without forming and developing stretch areas. Option 3 (see Fig. 5b)—the authors examine the design situation using an eccentrically compressed column and a longitudinal load N, which is applied to with a slight eccentricity e0 . In the case of a slight eccentricity, the design solution allows one to use excessive reinforcement of the cross-section with a stretched armature. The destruction of the concrete of the compressed cross-section zone with the simultaneous formation and development of stretch areas characterizes the limit state. Simultaneously, the stretched or less compressed armature in the reached limit state remains underutilized. The strength of an eccentrically compressed structural element for cases of large eccentricities is dependent on the state of the stretched working armature and, for cases of slight eccentricities—on the compressive strength of the concrete.

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3 Results The indicators of the concrete and armature strain diagram (Fig. 6) allow one to comprehensively assess changes in the mechanical, strength, and deformative properties of concrete and armature of various types. Figure 7 describes the possible stress distribution over the height of reinforced concrete and eccentrically compressed structural element.

Fig. 6 Diagram of nonlinear concrete strain. Source Compiled by the authors

Fig. 7 Stress distribution variants over the height (length) of the compressed load-bearing element. Source Compiled by the authors

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• Figure 7a shows the calculation scheme in which the stretched zone is entirely absent. Exclusively compressive forces occur along with the entire height of reinforced concrete and eccentrically compressed structural element; • The authors demonstrate the calculation scheme in Fig. 7b. The scheme implies that both compressive and tensile forces occur along the height of reinforced concrete and eccentrically compressed structural element; • Figure 7b shows the calculation scheme in which there are areas with tensile forces along with the height of reinforced concrete and eccentrically compressed structural element [6, 7, 11]. The stress distribution variant (Fig. 7a) is typical for the analysis of centrally loaded reinforced concrete columns or eccentrically loaded load-bearing elements with small eccentricity values e0 or small values of flexibility λ. The stress distribution variant (Fig. 7b) is typical for the analysis of eccentrically loaded load-bearing elements with large eccentricity values e0 . The appearance and development of cracks are possible in stretched areas. An additional check of the loadbearing capacity of the off-center compressed element for deflections is required in case of occurrence and growth of cracks. The stress distribution variant is typical for the analysis of eccentrically loaded load-bearing elements, in which the eccentricity of the external longitudinal force application is located at the extreme point of the core of the reduced cross-section of the compressed structural element or very close to it from the center of gravity (Fig. 7b).

4 Discussion The formation of the majority of mathematical models aimed at determining the parameters of the stress–strain state of compressed reinforced concrete structures is based on analyzing the regularities of concrete strain. The data necessary for the calculation model are obtained by analyzing the relationship between the stress parameters σ and the relative strain ε (load-strain diagrams) [1, 14]. For example, the international organization EKB-IFSC (The International Federation for Structural Concrete), when performing nonlinear calculations of reinforced concrete structures, takes a diagram of the state of concrete with a falling branch as a complete diagram of concrete (establishing the relationship between stresses and strains) (Fig. 6) [12].

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5 Conclusion Mass construction of multi-storey residential buildings in Russia using a steel frame is carried out with the mandatory calculation and control of deflection changes, considering the parameters of the stress–strain state of compressed reinforced concrete columns. The linear strain model of the calculation allows one to consider changes in deflections at any stage of loading structures, which is relevant when calculating structures with a complex stress state. The paper analyzes the primary reasons for the occurrence of eccentricities and axes deviations of the frame columns. The mathematical models proposed by the authors indicate the relationship between the stress and strain parameters. The variants of the design situation that determine the changes in the stress–strain state from the working reinforcement and the strength of the concrete itself are considered. The topic is relevant, has practical significance, and can be used to develop methodological recommendations. Despite the high technical performance and safety quality, builders are constantly looking for improvements in the properties of monolithic frames and the efficiency of their use. The mentioned aspect reduces the consumption of expensive steel armature and reduces the construction budget.

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10. Kraev AN (2014) Substantiation of sand reinforced bedding in weak clay soils under strip foundations (Dissertation of the Candidate of Technical Sciences). Tyumen State University of Architecture, Building and Civil Engineering, Tyumen, Russia 11. Lodygina ND, Sharapov RV (2014) Features of the calculation of the structure foundations in the carstified territories. Vestn Tambovskogo Universiteta 19(5):1439–1441 12. Mailyan RL, Mailyan DR, Veselev YA (2010) Engineering structures. Feniks, Rostov-on-Don, Russia 13. Matrosov AV (2009) Numerical-analytical algorithm of the initial parameter method for calculating beams on an elastic foundation. Vestn Saint Petersburg Univ 2:72–81 14. Matrosov AV, Shirunov GN (2015) A superposition method for solving a problem of an elastic isotropic parallelepiped. Vestn Saint Petersburg Univ 2:77–90 15. Matvienko MP, Dyba VP, Al Eqabi HHA (2015) Experimental verification of new methodology for the flexible ferroconcrete foundation of the bearing capacity university news. North-Caucasian Reg Tech Sci Ser 3(184):80–84 16. Mokhtar R, Ibrahim Z, Jumaat MZ, Hamid ZA, Rahim AHA (2020) Behaviour of semi-rigid precast beam-to-column connection determined using static and reversible load tests. Meas: J Int Meas Confederation 164:108007 17. Naumkina YV (2013) Reinforcement of strip foundations with conversion into a solid slab of variable rigidity with preliminary stress of the earth foundation (Dissertation of the Candidate of Technical Sciences). Tyumen State University of Architecture, Building and Civil Engineering, Tyumen, Russia 18. Vayas I, Ermopoulos J, Ioannidis G (2019) Springer tracts in civil engineering. Springer Nature, Cham, Switzerland 19. Wang F, Yang J, Nyunn S, Azim I (2011) Effect of concrete infill walls on the progressive collapse performance of precast concrete framed substructures. J Build Eng 32:101461 20. Zhang Z-Y, Ding R, Nie X, Fan J-S (2020) Seismic performance of a novel interior precast concrete beam-column joint using ultra-high performance concrete. Eng Struct 222:111145

Sustainable Social Systems and Social Cohesion

The Concept of Resort Regions (Territories) Sustainable Development: Factors and Indicators Yuriy I. Dreizis , Eugenia V. Vidishcheva , and Andrey S. Kopyrin

Abstract In the modern world, the successful development of the tourist region is impossible without a sustainable development concept. Several various external and internal factors influence the development of resort regions (territories). The role and effect of such factors may differ in strength and duration, as well as in their impact. These factors are systematized according to the influence on tourist regions’ sustainability. Indicators of sustainable development of resort areas are important for reflecting the state of the regional economy. Based on current approaches, the resort sustainability should be assessed with a comprehensive analysis of four groups of indicators: (1) socio-economic, (2) environmental, (3) tourist, and (4) anthropogenic load indicators. The authors develop an algorithm to build a simulation model designed to predict trends in the stability of tourist territories. The research shows that further development of resort region economy, infrastructure, and the creation of conditions for its accelerated and sustainable development is possible only based on regional sustainability strategies. Keywords Tourism region · Sustainable development · Internal and external factors · Simulation model

1 Introduction Sustainability in terms of development implies long-term balanced development of a territorial entity, accompanied by moderate use of resources with all stakeholders involved. Regarding the resort destination territories, the issue of sustainability is most relevant since the pursuit of profit increases the load on the territory. It leads to irrational spending of tourist and recreational potential.

Y. I. Dreizis (B) · E. V. Vidishcheva · A. S. Kopyrin Sochi State University, Sochi, Russia e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 S. G. Maximova et al. (eds.), Advances in Natural, Human-Made, and Coupled Human-Natural Systems Research, Lecture Notes in Networks and Systems 252, https://doi.org/10.1007/978-3-030-78105-7_22

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The work of many representatives of science is devoted to the study of the territory sustainable development characteristics [3–5, 7, 11, 16, 17, 20, 22]. One of the main approaches to sustainable research is based on indicator systems [3, 4, 11, 13, 14, 17, 19, 22]. The existing systems of sustainable development indicators are characterized by a lack of consensus regarding the required set. These systems are more focused on assessing the development sustainability of countries and regions. They are significantly less applicable to certain small territories, especially those with specific socio-economic and environmental development (tourist territories). Currently, the research of sustainability criteria development is far from complete. Such studies are mostly applicable to large unspecialized administrative-territorial entities. When considering sustainable development issues, the mechanisms of modeling and optimizing managerial decision-making processes that aim to achieve sustainable development are practically never used. Also, no studies are describing the use of intelligent systems to create and implement territorial development strategies. We understand a tourist region as the territory in which the regional economy’s priority sectors are areas of activity focused on the recreation and tourism organization. These industries are represented by a set of enterprises, organizations, or institutions in tourist and recreational services and related industries. Horizontal ties unite these enterprises. Their interaction should lead to an increase in the efficiency of both the economic aggregate and its individual components. At the same time, the efficiency of the regional economy branches functioning should be directly linked to the environmental and social components [12, 16, 18, 21]. The tourism and resort sectors are complex and interconnected sectors of the economy. Their base is the presence of natural resources, recreational potential in the region, objects of historical and cultural heritage, developed infrastructure of accommodation facilities and services, transport accessibility, and human resources [10, 13, 14, 17, 19, 22]. Federal or regional target programs are most often the basis for the development and subsequent implementation of programs for the tourist regions’ development. These programs define the goals and objectives of territorial development and longterm planning [1, 2, 8, 15]. The tourist region is a complex system that includes various subsystems (economic, social, environmental, etc.). Therefore, to determine the direction of its sustainable development, it is necessary to define what should be understood by the sustainability of such a complex system. Sustainable development of tourist territories is a balanced long-term development of the natural resource and cultural potential of the region with its moderate use and continuous restoration, considering the interests of both residents and tourists [3, 4, 11, 13, 14, 17, 19, 22]. The condition for preserving and ensuring the renewability of regional resources (natural, recreational, and cultural resources) is important for the tourism-oriented regions’ sustainable development. This is mostly relevant for resort territories [10, 12, 13, 14, 16, 17, 18, 19, 21, 22].

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Objectives of the economic development of the territory

Environmental efficiency

Economic efficiency

Sustainable development of the tourist territory

Objectives of the preservation of the ecological state of the territory

Objectives of the social development of the territory

Fig. 1 Elements of resort region sustainable development [22]

The specific features of the territories under consideration require their presentation as ecological and economic social systems. The regional socio-economic system for tourist areas should be considered as a complex nature-saving system that combines its ecological, economic, and social components as a single entity. The “complexity” of a tourist territory (destination) as a system can be understood as the presence of many interconnected loops of positive and negative feedback. The internal dynamics of the system can have a significant impact on the behavior of the system and determine the way along which it will develop. Such integrated complexes have properties of counter intuitiveness, inertia, and resistance to administrative innovations that are unpleasant for those trying to manage them. Figure 1 represents a traditional, detailed typology of sustainable development elements of a territory, based on its main specialization, and needs. The main objective of resort territory sustainable development involves rational and efficient use of existing material and recreational natural resources. This development relies on creating the basis for a stable increase of socio-economic level and quality of residents and visitors’ life over a long period, and the formation of the basis for sustainable future generations’ existence. When a state of sustainability is reached, the regional system should no longer turn into other conditions. As the essential elements of any territory sustainable development, including tourist area, subject to assessment and constant monitoring, many researchers identify three main integrated blocks: (1) social, (2) economic, and (3) environmental [19, 22]. The goals of resort regions’ sustainable development can also be divided into three interconnected blocks (Fig. 2). To achieve the sustainable development of tourist areas (which is closely linked with the development of the regional economy and its engineering, transport, and social infrastructure), it is necessary to set goals for preserving regional recreational

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Social and demographic development

Social and administrative development

Development of landscape and recreational zones

Environmental protection

Development of socioeconomic structures

Cultural, spiritual and ethnic development

Economic development

Sustainable development of tourist territory Fig. 2 The system of sustainable development goals [19, 22]

resources, ensuring mutual consideration of the interests of both the local population and tourists. In the plans for regions integrated development to achieve the goal of sustainable development, it is usually necessary to solve the following main tasks [1, 8, 15, 17, 19, 22]: • Development of strategic directions for territories development, including urban planning, economic, social, and other types of regional activities; • Regional infrastructure development; • Construction of facilities, primarily for the most important tourism and service industries in the regional economy; • Development of the tourism industry as one of the core activities of the region’s economy; • Maintaining the tourist and recreational orientation of the region’s economy; • Increasing the attractiveness of the territory by bringing transport and engineering infrastructure in line with the current requirements, improving the quality of tourist service, developing a current infrastructure for the tourism and service industry; • Development of the architectural and spatial environment of the region with the preservation of historical, cultural, natural, recreational, and urban planning frameworks following the General Development Plan of the territory (if available); • Growth of potential and competitiveness of tourist accommodation facilities in the region; • Increasing the role and importance of the tourist region as a trade and transport center; • Development of commercial, business, and service facilities, and tourist service infrastructure;

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• Population growth in the region—positive dynamics can be achieved by addressing social issues: reducing mortality, increasing the birth rate, and migration growth. The migration growth in the region can be connected with the improvement with the quality of the regional environment, increasing the competitiveness of enterprises in the regional economy (and hence—the growth of vacancies number), increasing the tourist flow and the region’s income; • Development of the social component—a growth of residents quality of life by increasing the quantity and quality of health, education, physical culture, and sports institutions), social security of the local population; • Recognition of the priority natural ecological approach in addressing economic, urban development, transport, and other tasks, which are directly related to the tourist region sustainable development; • Development of transport and engineering infrastructure of the territory, providing its reliability. Territorial planning for the development of tourist regions should aim to unite facilities and subjects of the region’s tourism industry—the main branch of the regional economy. It is also necessary to consider the specifics of the functional purpose of such tourist and recreational facilities, social, economic, environmental, and other factors of the regional economy [1, 8, 15, 17, 19, 22]. The features of territorial planning and development of such tourism-oriented regions and the factors are considered that influence the transition to a state of sustainability and the possibilities of factors modeling for making appropriate management decisions at the level of territory.

2 Materials and Methods The research aims to: (1) determine the main external and internal factors and analyze their impact on the formation of the concept of resort regions sustainable development, and (2) to develop an algorithm and mathematical model for selecting priority areas of development to achieve and then maintain the state of sustainability of the tourist territory. The subject is indicators of sustainable development and main external and internal factors that influence the tourist territory sustainable development. The methodological basis of the research is a systematic approach. The main methods are analysis and synthesis. The authors also used expert methods to obtain and systematize the data, as well as a multi-criteria approach adapted to the specifics of the research object.

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3 Results and Discussion The image of the resort begins to play a dominant role in ensuring the current requirements for quality of the living environment, recreation, tourism, and resort areas sustainable development, which should be developed based on regional development strategies. The General Plan for the sustainable socio-economic development of tourist territories, connected with the ecological state of natural resources—is a document of integrated territorial development planning. This document should provide the main directions for sustainable development. It should determine the long-term development strategy of the territory using spatial analysis of social, economic, and environmental factors [1, 8, 15, 19, 22]. At the same time, the natural resource potential for such territories is the main tourist-generating factor. For tourism-oriented territories, the environmental component of sustainable development is crucial.

3.1 Factors Influencing the Development of Tourist Territories It is necessary to consider various external and internal factors affecting sustainable development when developing General Plans (Programs) for the development of tourist territories (regions) [1, 2, 8, 15]. Assessment of the impact of these factors based on the system of socio-economic and environmental indicators of sustainable development of tourist regions and trends is presented in works of Belyaev [3], Gukalova [11], Dreizis et al. [8], Oborin [17], Shvets [19], Vidishcheva et al. [22]. The main external factors affecting the tourist territories’ sustainable development include the following: • Natural resources (climatic, geographical, ecological, balneological, recreational, water and forest, landscapes, etc.), the attitude to its preservation in the region, and the level of environmental security. These resources attract tourists to the region and provide competitive advantages for the tourism industry development. Tourism is a consumer of regional natural resources. Its excessive development can undermine the sustainability of the natural environment, disrupt the ecological balance, and lead to a decrease in the territory development rate; • Competitiveness level of both the resort region and its tourism enterprises that provide appropriate spa and tourism services, the quality of regional tourism products, the level of service, transport accessibility, etc.; • Cultural, historical, and confessional factors are also crucial. Together with natural factors, this group significantly affects the decision of tourists to visit the region; • The territorial environment—the local population of the tourist region, is the bearer of appropriate cultural values and is extremely involved in providing tourist and recreational services. It is a combination of the resort territory, its natural and

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recreational resources, local traditions, culture, and appropriate socio-economic conditions to provide the services of regional tourism and regional life. It means that both production and consumption of tourist and recreational services are carried out on this particular territory; • Economic factors—its influence is in the close relationship between the development trends in the tourism industry and regional economic development. Economic growth in the region leads to an increase of tourism indicators, while economic decline and depression reduce the main indicators in the tourism sector. This correlation determines the significant impact of economic factors on the resort territories’ sustainability. Social factors—reflect the needs, interests, mood, and expectations of the territorial community. Social factors that influence the tourist regions sustainable development include the following: • The level of goods and service consumption in the region, which allows determining the life quality in a particular tourist territory; • The level of education and culture of the regional population, the growth of which has a positive impact on the quality of tourist and recreational services provided in the resort territory, the level of service and medical care, etc.; • Social mobility as a factor determining the trend of current society development. This factor significantly affects people’s decision on tourist products or attractive tourist region; • Demographic factors, including the population’s growth and improvement of life quality in the tourist region, affect the tourist flow. Political and legal factors • Political situation in the world and countries, the policy of opening or closing borders significantly affects the tourism sector’s activity. Military conflicts, terrorism, and extremism are a severe threat to the tourism industry and will not contribute to the tourist regions long-term sustainable development; • Softening of administrative control in the tourism sector contributes to the revitalization of both the industry itself and other related areas of regional activity. Innovation and technological factors are associated with scientific and technological progress in technics and technologies, primarily in information and communication technologies. The Internet and relative services, including new smart technologies, expand tourist information access to the regional tourist services. They improve the organization of tourist products and their component sales and provide new opportunities for tourists’ access to the necessary regional information. Factors of international influence are of economic, social, cultural, and political nature. These factors are closely related to the current international processes, including globalization. Global economic processes, the international situation, and the relations between countries affect the development of various sectors of the economy, country, and individual regions, including tourist territories.

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Internal regional factors, as well as external factors, have an impact on the achievement of tourist regions’ sustainable development. These factors include the corresponding trends and processes in the regional economy industries of a particular resort region, primarily in tourism and related sectors (service, transport, ecology, social sphere, etc.). The main internal factors ensuring tourist regions sustainable development include, namely: • Factor of tourist product value for consumers involves a permanent analysis of the regional market of tourism, marketing research of separate tourist enterprises, and tourist territory. Considering this factor will make it possible to effectively expand the range of tourism services for consumers of regional tourism products. It will increase the demand for regional products both in the tourism industry and in other sectors of the regional economy, and thereby increase the competitiveness of the region and its tourism sector, and, accordingly, the quality and opportunities of the social sphere; • Factor of emergence, creation of new tourist needs and the possibility to meet them, increases territory and tourism industry competitiveness, and other related sectors of the regional economy. Expanding the segmentation of the regional tourism market and other related sectors in the regional economy, the diversification of tourism development in the established tourist territory space will contribute to long-term and sustainable regional development; • Factor of tourist activity coordination determines integration processes between participants of the regional market of tourist services on the resort territory at horizontal and vertical levels. It is a cooperation of regional enterprises and organizations to create and mutually promote regional tourist products, considering the specifics of the territorial tourist market. Regional tourist products are formed based on territorial infrastructure. They directly depend on the existing competitive advantages of the tourism region, the intensity, and trends of the existing demand for tourist products; • Material and technical factors. Its innovative development enables a more rational use of regional recreational resources, preserves the natural environment of the region, determines the quality of services in the tourism industry and related sectors of the regional economy (hospitality industry, transport, catering, recreation, retail trade, excursion services), and facilitates the transition to a state of sustainable development in the region; • The qualification level of labor resources in the tourist region plays an important role as an element of the social component of territories sustainable development. This factor is a necessary condition for the competitiveness of both the regional tourist product and the entire economy of resort regions; • Factor of modern information and communication technologies can be defined as an infrastructure component system that ensures the collection, processing, storage, and dissemination of regional information necessary for regional economic entities and government bodies.

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The abovementioned factors can have both extensive and intensive impact on the tourist regions’ sustainable development. Extensive factors are factors of growth in the number of working-age population on the territory, increasing the number of tourism facilities and infrastructure created without using modern development trends. Intensive factors include the following: • Improving the qualification level of regional labor resources, primarily for the tourism industry and related sectors of the regional economy; • Technical improvement of the material base in the tourism industry and related sectors of the regional economy. Figure 3 shows a total list of factors that affect the tourist regions and industry sustainable development according to the results [17, 19, 22] and the systematization presented above. The research, analysis, and consideration of the above factors are necessary for the tourist region to reduce the negative impact on the development by external environmental factors, to find the necessary reserves within the tourist region for its development, to develop the strategy for the transition of the territorial system to sustainable development. Clearly, the resort territory sustainable development can be represented as a set of regional characteristics (Fig. 4).

3.2 Algorithm for Simulation Modeling to Forecast Trends in the Stability of Tourist Territories Regional authorities need to analyze territorial data and predict trends in the dynamics of territorial socio-economic and social indicators to (1) develop and implement the strategy for the sustainable development of tourist areas and (2) adopt sound management decisions. The most relevant indicators allow achieving and maintaining stability in resort territory development for a long time. Research results provide the basis for developing a mathematical model that allows reviewing priorities and measures to adjust the development path of the tourist territory using updated data on the region to achieve a state of sustainability. Monitoring of socio-economic development of tourist territories can be carried out based on the generation of statistical trends of indicators or its growth rates. Calculation technology: estimation of annual values of socio-economic and environmental indicators of the region’s development based on incoming reported statistical information. Forecasting of indicators to assess progress towards a sustainable condition of the territory development can be performed relying on the general modeling algorithm, with a form: • Systematization and formalization of data; • Cognitive modeling;

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External factors of tourist territory development

Internal factors of tourist territory development

Stage 1 Assessment of the level of competitive advantages of the resort area Identify global development priorities, a set of goals and targets, strategies and measures to achieve them Development of the main strategic directions for the development of the tourist territory ё Define private strategies, detail goals, group sub-goals and tasks Development of a programme of activities to address current development challenges Development management strategies for tourism territory

Stage 2 Assessment of the conditions of options for managing the development of the tourist territory taking into account the possible costs Optimization of the chosen strategy for managing the development of the tourist territory taking into account risks Development of operational action plans for the implementation of the development management strategy of the tourist region

Stage 3 Implementation of the stages and implementation of the activities of the strategy for managing the development of tourist territories Monitoring and evaluation of the implementation of the strategy of managing the development of tourist territories, adjustment of plans

Fig. 3 Factors influencing tourist territories sustainable development. Source [17, 19, 22]

• • • • •

Program modeling and refinement of regression formulas and equations; Verification of the model; Sensitivity analysis and optimization of the model structure; Simulation modeling and performance of computational experiments; Analysis of modeling results.

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Economic stability

Social satisfaction of population

Moderate anthropogenic load

Positive ecological situation

Tourist relevance of territory

Fig. 4 Elements of sustainable development of the resort destination. Source Compiled by the authors

The paper presents the first two stages of the algorithm and the conceptual modeling—the base for the computer model’s subsequent implementation. The output of the conceptual modeling stage is the diagrams of cause-and-effect relationships, in the construction of which the key indicators and factors that affect the territorial system and its correlations are highlighted. The methodology for assessing the sustainability of the tourist area is based on the World Bank methodology for calculating “true economy,” which was first proposed by D. Peirce and J. Atkinson in 1993. This method was adapted for application at the municipality level (tourist territory), but not the whole country. The model assumes that the calculated “true savings index” will characterize the rate of savings accumulation in the tourist territory after depleting natural recreational resources and damage from environmental pollution. It is measured as a percentage of gross territorial income. A positive level of true savings will lead to welfare increase, while negative values indicate an “anti-sustainable” type of development. The cognitive model is presented in a digraph. Its vertices are significant factors in the study area, and arcs are correlations and mutual influences. The model diagram (Fig. 5) shows the output variable in red and the input variable in green (its values can be changed). Other variables will be calculated. The correlations in Fig. 5 are described in Table 1. From the presented model, we see that the resulting measure of stability (adjusted net profit) is affected by several feedback cycles, both positive and negative. For example, increased spending on health and education directly increases adjusted net savings by increasing human capital investment. However, an increase in region attractiveness leads to migration, population growth, and increased anthropogenic load on the territory, which reduces the stability of the tourist territory.

Education expenditure

Healthcare expenditure

R7 (+)

Investment in human capital

R9 (+)

R4 (+)

R10 (+)

R24 (-)

R3 (-)

R13 (+)

R5 (+)

R23 (+)

R16 (+)

Number of tourists

R20 (+)

R22 (+)

R19 (+)

R21 (-)

Recreational resources

Accommodation facilities and tourist infrastructure

R18 (+)

Anthropogenic load on the destination

Investment

R15 (+)

Population

CO2 emissions

R6(+)

R12 (+)

Gross municipal product

R11 (+)

Gross savings

R14 (+)

Depletion of recreational resources

Fig. 5 Causal relationship diagram. Source Compiled by the authors

R8 (+)

R1 (+)

Adjusted net savings

R2 (-)

R17 (+)

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Table 1 Description of correlations in Fig. 5 (designed by the authors) Name of communication

Description

Type

R1. Investment in human capital—adjusted net savings

Increased investment leads to increased net savings

Positive

R2. Recreational resource depletion—adjusted net savings

The greater the loss from exhaustion, the smaller the adjusted net savings

Positive

R3. CO2 emissions—adjusted net accumulations

Carbon dioxide emissions damage reduces Positive net accumulations

R4. Gross savings—adjusted net savings

Increasing initial savings increases net savings as well

Positive

R5. Anthropogenic load on the destination—CO2 emissions

The increase of anthropogenic load increases the emissions of carbon dioxide

Positive

R6. Anthropogenic load on the destination—depletion of recreational resources

High anthropogenic load leads to Positive depletion of natural recreational resources

R7. Healthcare expenditure—investment in human capital

Healthcare expenditure is a part of human capital investments

Positive

R8. Education expenditure—investment in human capital

Education expenditure is a part of human capital investments

Positive

R9. Gross municipal product—healthcare expenditures

An increase in the regional (territorial) product leads to an increase in healthcare expenditures if all else being equal

Positive

R10. Gross municipal product—education expenditures

An increase in the regional (territorial) product leads to an increase in education expenditures, if all else being equal

Positive

R11. Gross municipal product—gross savings

In case of gross product changes, savings change in the same direction

Positive

R12. Gross municipal product—population

When the economic situation in the region Positive improves, migration increases and, consequently, the population increases

R13. Gross municipal product—investments

An increase in the gross product leads to an increase in investments

R14. Investment in human capital—population

High investment in human capital leads to Positive an increase in population due to migration to a favorable region, as well as by reducing mortality and increasing life expectancy

R15. Population—gross municipal product

All other things being equal, a more Positive populated region has a larger gross product

R16. Investment—accommodation facilities and tourist infrastructure

Investments are used to build new accommodation facilities and improve infrastructure

Positive

Positive

(continued)

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Table 1 (continued) Name of communication

Description

R17. Investment—recreational resources

Investments allow performing restoration Positive activities for natural recreational resources

Type

R18. Accommodation facilities and tourist infrastructure—number of tourists

Tourist flow increases with better tourist infrastructure and more places in the accommodation facilities

Positive

R19. Number of tourists—anthropogenic load on the destination

The more tourists, the greater the anthropogenic load on the territory

Positive

R20. Population—anthropogenic load on the destination

The larger the permanent population, the Positive greater anthropogenic load on the territory

R21. Anthropogenic load on the destination—recreational resources

Anthropogenic load leads to premature degradation of natural resources

R22. Recreational resources—number of tourists

Recreational resources increase the tourist Positive flow

R23. Number of tourists—gross municipal product

Tourist spending increases the gross product of the municipality

R24. Gross municipal product—adjusted net savings

Adjusted net savings are the ratio of Negative savings to the gross product, so an increase in gross product, all other things being equal, leads to a decrease in adjusted net savings

Negative

Positive

It should be noted that these models are extremely sensitive to the value of the influence coefficients of variables on each other. Besides, these values can be dynamic and change over time. Thus, an important part of further research is the formalization of correlations, the search for regression coefficients, and the analysis of sensitivity to external factors.

4 Conclusion Tourist territories are affected by various external and internal factors. Its role and influence degree may differ, both in strength and duration and in the direction of influence in different periods. These factors are usually random, and certain instability of the development model is true for the economy of tourist regions. Identification, analysis, and possible use of external and internal factors to manage all aspects of regional activities are important to ensure sustainable development of tourist territories. To get a complete picture, it is necessary to perform a comprehensive, integrated study of external and internal factors that have both a positive and negative impact on the development of the region.

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To solve the problems of tourist territories’ sustainable development, it is also essential to determine and study the nature, size, and possible periods of instability in regional development associated with the influence of various external and internal factors. Therefore, constant monitoring is necessary to identify and determine deviations from the state of sustainable development in the region, which may be caused by external and internal factors of different nature. It can be useful for regional management to assess the possibilities of managing external and internal factors to ensure the regime of the tourist territory sustainable development. The results of the current research are necessary for planning, organization, management, and forecasting the development of all components of regional activities. Further development of the economy and infrastructure of such tourist territories and the creation of conditions for its accelerated and sustainable development is possible only based on the consistency of updated Development Strategies (Plans) for the tourist territories with the relevant concepts and programs for sustainable development of regions. Development and implementation of a sustainable development strategy for tourism-oriented territories should be based on the implementation of a sequence of relevant stages of the regional program, implemented as separate projects. To develop and implement a Sustainable Development Strategy for tourist territories and make management decisions, regional authorities need to analyze territorial data and forecast trends in the dynamics of territorial socio-economic and social indicators. It can be performed on the basis of the developed general modeling algorithm based on the cognitive model. Acknowledgements The research was prepared with the financial support of the RFFR and the Administration of the Krasnodar Krai (grant 19-410-230049 r_a).

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6. Cerin P (2006) Bringing economic opportunity into line with environmental influence: a discussion on the Coase theorem and the Porter and van der Linde hypothesis. Ecol Econ 56(2):209–225 7. Cooper PJ, Vargas M (2004) Implementing sustainable development: from global policy to local action. Rowman and Littlefield Publishers Inc., Lanham, MD 8. Dreizis YI, Anisimova N, Darakchyan G, Karamova A (2019) Planning of Sochi region development based on the general plan for the post-Olympic period. E3S Web Conf 91:05004. https://doi.org/10.1051/e3sconf/2019910 9. Edwards C (2009) Resilient nation. Retrieved from: https://www.demos.co.uk/files/Resilient_ Nation_-_web-1.pdf 10. Gudz PV (2012) The mechanism of development of resort and recreational areas in modern conditions (Avtoref. Dissertation of Candidate of Economical Sciences). Donetsk State University, Donetsk, Ukraine 11. Gukalova IV (ed) (2015) Competitiveness of territories and quality of life of the population: approaches, assessments, prospects. SibAK, Novosibirsk, Russia 12. Hunter C (2001) Sustainable tourism as an adaptive paradigm. In: Knowles T, Diamantis D, El-Mourhabi JB (ed) The globalization of tourism and hospitality: a strategic perspective. Cromwell Press, London, UK 13. Kiekbaev EG (2014) Indicators of sustainable tourism development and their use in federal tourism development programs in Russia. Sochi J Econ 1(29):78–80 14. Kornienko EL (2010) Formation of directions for increasing the sustainable development of the territory based on internal factors (Avtoref. Dissertation of Candidate of Economical Sciences). Chelyabinsk State University, Chelyabinsk, Russia 15. Nefedkina SA (2012) State and regional support for the development of the tourist and recreational complex of the city of Sochi in preparation for the 2014 winter Olympic and Paralympic games. Bull Sochi State Univ 4(22):104–112 16. Neves P (2006) Tourism towards sustainable regional development. Division for Urban Planning, Royal Institute of Technology, Stockholm, Sweden 17. Oborin MS (2017) Sustainable development of the resort and recreation complex as a factor in the growth of the regional economy. Bull Udmurt Univ 27(4):34–47 18. Sharpley R, Telfer D (2008) Tourism and local agenda 21. The role of local authorities in sustainable tourism. Retrieved from: https://ru.scribd.com/document/259610383/Tourism-and-LocalAgenda-21-The-Role-of-Local-Authorities-in-Sustainable-Tourism 19. Shvets YY (2011) Analysis of the factors of innovative development of the tourism sector. Scientific notes of the Tavrichesky national university named after V. I. Vernadsky. Econ Manage 24(63):118–126 20. Stoddart H (2011) A pocket guide to sustainable development governance. Retrieved from: http://www.india-environment-portal.org.in/files/sdgpocketguideFINAL-no%20crop% 20marks.pdf 21. United Nations Environment Programme (UNEP) (2004) Definition sustainable tourism. Retrieved from: http://www.unep.fr/scp/tourism/sustain/ 22. Vidishcheva EV, Dreizis YI, Kopyrin AS (2019) Analysis of theoretical approaches to assessing the sustainability of development of resort regions (territory). Bull Acad Knowl 1:79–86 23. World Tourism Organization (WTO) (2004) Indicators of sustainable development for tourism destinations: a guidebook. World Tourism Organization, Madrid, Spain

Philosophical and Sociological Aspects of Sustainable Regional Development Ivan Y. Makarchuk , Vladislav Y. Panchenko, and Oleg I. Savin

Abstract This paper examines the formation of the system of sustainable regional development. It also discusses the current social transformations. Nowadays, a new system of relations between different geopolitical regions is being formed. The balance between global and regional levels will be of particular importance for future generations. The growing significance of the regional level can be attributed to the threat of losing sociocultural identity. There are many historical examples of how civilizations faded into the dustbin of history for good due to the loss of their social and cultural identity. The authors provide details of the global-regional world order and point out the inherent internal relations of this system. Establishing the core principles of sustainable regional development involves turning to the historical roots, which contribute to the self-identification of a given society. The authors’ view is based on the idea that regional development plays a crucial role in globalization. The authors reveal the key features of the interaction between global and regional factors in a social dimension during a crisis. This study concludes that the natural desire of humanity for integration undoubtedly concerns, among other things, regional economic and cultural activities. Keywords Sustainable regional development · Regional sustainability · Regional sociology · Global-regional world order · Social evolution · Social transformation

I. Y. Makarchuk (B) · O. I. Savin Siberian Federal University, Krasnoyarsk, Russia e-mail: [email protected] I. Y. Makarchuk · V. Y. Panchenko Krasnoyarsk State Agrarian University, Krasnoyarsk, Russia V. Y. Panchenko Federal Siberian Research Clinical Center under FMBA of Russia, Krasnoyarsk, Russia Research Institute of the Federal Penitentiary Service of Russia, Moscow, Russia © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 S. G. Maximova et al. (eds.), Advances in Natural, Human-Made, and Coupled Human-Natural Systems Research, Lecture Notes in Networks and Systems 252, https://doi.org/10.1007/978-3-030-78105-7_23

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1 Introduction Research on sustainable regional development enables us to develop mechanisms for coping with the negative impact of globalization. Regional sustainability is a solution to the negative consequences of globalization, which allows one to address the natural desire of ethnic groups for self-determination effectively. Sustainable regional development illustrates the dialectical law of unity and the conflict of opposites since the contradictions between social processes are manifested the most at the regional level. Such processes display themselves to the fullest degree at the macro and micro levels. Their regulation and the consistent resolution of contradictions often occur at the intermediate level. Contemporary patterns of change associated with globalization lead to the unification and standardization of the world, highlighting the role of sustainable regional development in defending the idea that each culture in the world is unique and special. Examining regions as sustainable social units allow us to build a promising model based on the harmonious relations in a future version of the global-regional structure. Sustainable regional development is of interest to researchers of various fields and schools of thought due to several reasons. As a distinct scientific category, sustainability is an essential criterion for assessing national development. Secondly, the relevance of studies on regional sustainability is sharply growing because of the geopolitical transformations in the past decades that stemmed from major world events. The global transition from a unipolar world to a multipolar one is another important reason for making regional policy crucial. Besides, in current world politics, there is a need to replace the subject-object relations, typical for the era of globalization, with a more harmonious system of interregional interactions, in which states will maintain their sustainability and keep their stabilizing role. Nowadays, depending on the research field, scholars may define sustainability differently, especially when the core concepts of their domains are based on social laws. It appears reasonable to use existing social patterns to develop the concept of sustainable regional development. Thus, in the current globalizing world, philosophical and sociological research on sustainable regional development may help to shed new light on the features of globalization as a process.

2 Materials and Methods To explore sustainable regional development, the authors employ the philosophical and general scientific method of inquiry.

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As the primary philosophical method, this paper uses the methodological framework of dialectical materialism. This method allows the authors to examine sustainable regional development from dialectical logic and its basic principles (objectivity, completeness, comprehensiveness, particularity, and unity of the historical and logical). General scientific methods (i.e., analysis and synthesis, generalization, comparison, concretization, logical and systematic approaches, and historical methods) allow deepening the current understanding of the role of sustainable regional development in a globalizing world.

3 Results The systemic crisis of civilization, solely driven by consumption, results from its overreliance on technology and rational individualism fundamental to the Western model of society. However, the dominance of rationality over spirituality puts humanity on the verge of disaster. When people are only motivated by their biological instincts, it undermines what makes them human in the first place. The external orientation develops a simplistic attitude to the environment, which has led Western social and economic thought to a pure rationalist understanding of sustainable development. In fact, sustainable development aims to address the current needs of humanity without jeopardizing the existence of future generations [4, pp. 123–124]. Therefore, the ultimate goal of societal development is to achieve a situation in which living conditions and the use of resources satisfy the needs of people, with regional systems, maintaining their integrity and stability at the same time. Philosophical and sociological approaches to analyzing sustainable regional development profoundly contribute to a deeper understanding of the current and interconnected world. In many respects, these approaches influence government social policy. Examining a region as a subject of international relations, regionalization appears to be the optimal form of the future world order since it involves the civilizational approach. In particular, Jaspers [3, pp. 115–116] proposes the idea of the polarity of civilizations. This idea suggests that the original polarity can manifest itself in different ways throughout the centuries. In our opinion, the stability of the entire world is directly connected with the effective building of the global-regional system. Undoubtedly, during the construction of the above-mentioned system, many significant problems are likely to arise due to the existing contradictions between global and regional social trends. We believe that giving up social institutions, which are historically significant and ingrained in a particular society, may eventually lead to identity loss. A philosophical and sociological analysis of sustainable regional development allows finding ways to effectively strike a balance between global and regional interests to build a society free of conflict.

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Several geographical and political factors determine sustainable regional development. Thus, we emphasize the need for a general philosophical and sociological analysis of regional sustainability in the context of globalization, complicated by the aspirations of some leading countries for global dominance and the revival of a unipolar world. Sustainability is an effective solution to current crises partially caused by forced globalization. It may also offer an alternative to the current world order marked with the global influence of some cultures. Sustainable regional development is connected with the issue of self-identification closely related to the question of universal values and their different interpretations. We believe that values should be a part of the self-identification process and play a leading role in it. It is worth mentioning that the dialectical approach to regionalization sees it as a real alternative to the negative consequences of globalization.

4 Discussion If the environment were not put at risk, people would need to take less protective measures or would not require them altogether. That is why scholars focus on ensuring the further development of globalization through sustainable development [7]. One of the most important tasks of the social system is to instill a sense of togetherness in a multinational and multireligious society, transforming it into a single, cohesive entity. Even though it may sound paradoxical, growing social crises play a crucial role in giving a sense of identity to a particular society. Despite breaking the social and cultural traditions preserved throughout the centuries, such crises also let us discover new cultural features and make us reassess traditional ideas about our cultural identity. In fact, consumer society is increasingly losing its image of a role model for a wide range of communities. One of the major problems in modern Western culture concerns the destruction of the spiritual environment resulting from the fact that the role of traditional sources of morality and motivation, capable of maintaining social order, is growing weaker [6, p. 40]. Regional sustainability is primarily influenced by the dialectical contradictions, which are intrinsic parts of the social processes occurring at the regional level. The resolution of the main contradictions depends on the distinct features in the development of regions and the diverse interregional relations, whose nature and structure appear to be more volatile and uncertain than conventional international relations. Possible alternatives to solving regional issues should be viewed from a long-term perspective. Since we define a region as a part of a country, it seems reasonable to consider the regional political system as an integral part of the entire political system in a particular country. We argue that global sustainability is yet to be achieved because we do not have conclusive evidence for this process at the regional level. Therefore, we believe that regions are not ready to serve as the solid foundation of global sustainability yet.

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At the regional level, sustainable social development should incorporate a social welfare system aiming to address the needs of the most vulnerable groups. It should also include efforts to combat any form of ethnic or religious discrimination. In this regard, the relationship between the locals and migrants is left unaddressed. It is a new challenge, and there are no effective long-term solutions for this issue yet. However, political scientists and sociologists warn that this problem is likely to escalate and aggravate the existing tensions, resulting in serious social conflicts. In this respect, regional sustainability and development may help prevent social issues from transforming into economic and political ones. Thus, from a social standpoint, we define regional sustainability as ensuring the optimal and stable conditions during crises by implementing necessary social and economic policies allowing society to function effectively and productively. History, cultural mindset, and traditions play a crucial role in sustainable development. In this regard, international experience in promoting sustainability makes a positive contribution. To better understand the significance of sustainable regional development in crises, it is important to examine the situation from a demographic point of view. Even though the influence of demographics may be less noticeable than that of the economic processes, the demographic situation has considerable disruptive potential compared to all other factors. It can be attributed to the distinct features of the demographic development in the region and the unpredictable nature of this phenomenon. For instance, the population exodus from a region may not necessarily be due to the lack of jobs for the male half of the population, but it may occur for some reason. In this case, the economic situation may be exacerbated by social factors, which, in turn, may lead to further complications and regional instability, since new migrants will eventually settle down and start their families, worsening the inferiority complex among the local male population that decided to stay in the region. Being close to equilibrium is a prerequisite for a social system to achieve drastically new levels of development. It is explained in the law of expanded reproduction, which states that the system may scale up or down, depending on the situation [5, p. 207]. Individuals and society as a whole should understand that responsibility for the life of people and the existence of humanity goes beyond the current situation, and it requires more than a global outlook on the world around us. The decisive factor in implementing this ontological project is the general level of spiritual development of human society, reinforced by the spiritual and moral development of individuals, in particular. This approach reflects the fact that sustainable development aims to ensure the survival of humanity, i.e., it is focused on preventing potential threats to human existence or containing them to the extent necessary [1, p. 128]. At the same time, Gryakalov [2, p. 79] rightly emphasizes that when society is leaning too much toward liberalism and radical elimination of conflicts utilizing specific discourse strategies, ethics, communicative actions, etc., it is essential to conceal and push conflicts to the periphery of society, which turns out to be just as detrimental. Ultimately, such a policy has a negative impact on communities by silencing people and suppressing their ideas. Such is the happy life of the latest generations, full of political correctness and human rights.

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5 Conclusion The current globalization stage is marked with the emergence of new kinds of discourse reflecting the fundamental values of society. They may contribute to or hinder the sustainable development of particular social institutions. The analysis of the role of the regional factor in developing sustainability demonstrates that globalization may negatively affect regional cultures since it has huge potential to undermine the social and cultural foundations of ethnic groups. Therefore, it is vitally important to preserve the dignity of each person living in a particular region while fostering and conveying core human values across generations. In the context of sustainable regional development, social crises are of particular importance regarding the issue of self-identification. The examination of the situation at the regional level allows to extrapolate sustainability to a larger scale due to several reasons: • At the regional level, it is easier to track actual social processes that also occur at higher levels; • In smaller communities, it is easier to respond to potential local crises promptly; • Regional experience is more suitable for sharing among people because it is closer to the household level; • The mechanisms of social sustainability work more effectively at the regional level because they are based on the self-preservation instinct, which is reflected in the behavioral patterns of individual social units. In conclusion, we would like to point out that regional issues appear to be the result of social transformations. Therefore, addressing global challenges is impossible without paying close attention to the broad experience accumulated at the regional level.

References 1. Danilov-Danilyan VI (2003) Sustainable development (theoretical and methodological analysis). Econ Math Methods 39(2):123–135 2. Gryakalov NA (2017) Figures of terror-2. Publishing house of the Russian Christian Humanitarian Academy, St. Petersburg, Russia 3. Jaspers K (1991) The meaning and purpose of history. Politizdat, Moscow, USSR 4. Kudashov VI, Chernykh SI, Iatsenko MP, Rachinsky DV (2017) Axiological transformation in global education as a consequence of information technology. Prof Educ Mod World 7(2):968– 975 5. Kushelev VA (2018) A metaphysical solution to the paradox of time and the paradox of space as the paradox of subjectivity, vol 1–2. Publishing house of the Russian Christian Humanitarian Academy, St. Petersburg, Russia 6. Panarin AS (ed) (1999) The philosophy of history. Gardariki Publishing, Moscow, Russia 7. Ursul AD (2001) Ensuring security through sustainable development. Secur Eurasia 1:443–456

Urban–Rural Migration as Part of Sustainable Territorial Development Oleg P. Chekmarev , Pavel M. Loukitchev , and Pavel A. Konev

Abstract The paper presents the positive and negative effects of human migration from rural areas to urban areas and vice versa. It also considers two types of migration between rural and urban areas: officially registered and circular migration. The authors attend to the population flow between urban and rural settlements that is active annually in both directions. Simultaneously, the flow from the country to the city is typically more expressed and leads to the depersonalization of the Russian countryside. Nevertheless, direct and reverse flows contribute to the increasing sustainability of urban and rural areas’ development. However, the development of the latter at present, according to the authors, is possible only by actively forming the socioeconomic infrastructure in rural areas and preserving possibilities of the rural population to live in single-family houses on individual land property. A further consumer attitude towards rural areas and the human capital formed there reduces the potential for sustainable development of the countryside and the long-term prospects of urban settlement. The authors also consider that migration from rural areas positively affects the urban labor market in terms of reducing the need for migrants from foreign countries. Keywords Sustainable development of territories · Migration · Urban settlements · Rural settlements

O. P. Chekmarev (B) Saint-Petersburg State Agrarian University, Saint Petersburg, Russia e-mail: [email protected] P. M. Loukitchev Balic State Technical University “VOENMEH”, Saint Petersburg, Russia P. A. Konev Leningrad State University named after A. S. Pushkin, Luga, Russia © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 S. G. Maximova et al. (eds.), Advances in Natural, Human-Made, and Coupled Human-Natural Systems Research, Lecture Notes in Networks and Systems 252, https://doi.org/10.1007/978-3-030-78105-7_24

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1 Introduction Initially, the term sustainable development had a pronounced emphasis on the ecological balance [7], which was the subject of destruction due to various socio-economic human activities. However, since the first mention, the meaning of the term has changed a lot. Now, it reflects an understanding of the comprehensive balancing need for goals and potentials in the triad of sustainable development areas (environmental, economic, and social) (Sustainable development 2016). One of the most important elements of the sustainable development of territory is human capital. It plays many functions in the system of sustainable development. On the one hand, meeting people’s needs and improving their quality of life is one of the key target functions of sustainable development. The totality of people—with numerous and heterogeneous connections between individuals and groups of the population—generates the social component of the sustainable development triad. Human, and in a broader sense, social capital is the most important production factor. It participates in the formation and disclosure of the economic potential of sustainable development. The territory formation of human capital can occur either naturally, in the form of the birth of children in families living in this territory or through migration. At the same time, migration is a relatively quick way of solving primarily the economic problems of the territories, usually associated with a shortage of labor. At the same time, many authors also emphasize the presence of various migration costs. It is especially important for Russia to study the migration between cities and the countryside (villages). At the same time, most international studies are devoted to the migration processes of the rural population to cities or the analysis of the potential of small farming forms in the countryside in conditions of production concentration [15]. The primary motivators for fleeing to the city are the following: (1) unsettled life and leisure; (2) problems with employment; (3) limited growth opportunities of a person’s social status and other problems of life in modern rural areas. Most researchers agree that rural migration is an essential factor in replenishing the human capital of cities while emphasizing the problems associated with rural area depopulation. Some researchers attend to the processes of reverse migration from cities to rural areas. They often consider the suburbanization processes as a natural development of urban settlements [1]. Rare domestic and foreign studies touch upon other migration forms (ruralization, urbanization, etc.) [9, 11]. Despite the numerous studies of population migration between urban and rural areas, they present an extremely weak and episodically analysis of mutual support issues for the sustainable development of urban and rural areas through migration processes. Therefore, the purpose of this article is to determine the general parameters and conditions for the occurrence of positive and negative effects arising from the mutual flow of human capital from the countryside to cities and back, considering its qualitative characteristics.

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2 Materials and Methods Based on the potential of the empirical research base provided by Rosstat information and some alternative sources of statistical information [9, 13], when considering migration flows between cities and villages, we will proceed with two types of them. On the one hand, these are the movements of citizens within the country observed by Rosstat and accompanied by registration at the place of stay or residence. Generally, this migration, associated with moving to a new residence place for temporary work or study, is of a relatively long-term nature. The second type of migration is more of a circular nature when a citizen moves to a new place for a while and does not carry out registration procedures. It can include short-term vacation, shift work, daily movement from the countryside to the city to work, etc. Simultaneously, the movement of townspeople to their own or rented summer cottages and garden plots, departure to perform seasonal work in rural areas (logging, harvesting, etc.) refer to the same migration type in the field of migration from the city to rural areas. To reflect the qualitative characteristics of the migrating human capital, the authors used open research data and state statistics on health and value attitudes of the population and its groups, birth rates, and other socio-economic characteristics [9, 13].

3 Results Table 1 presents a quantitative assessment of population migration between rural and urban areas based on official statistics. Table 1 Absolute indicators of migration to rural areas and cities, including migration gain from foreign countries Year

Directions of internal Russian migration, number of people per year

Population migration gain due to foreign countries

From city to city

From village to village

Net To city migration gain in city from village

From village to city

From city to village

To village

2015

1,932,917

967,817

848,308

386,864

119,509

173,254

72,130

2016

1,942,134

955,573

857,865

375,681

97,708

200,490

61,458

2017

2,011,053

952,811

854,960

365,643

97,851

161,288

50,590

2018

2,083,445

994,669

893,399

374,368

101,270

93,056

31,798

Source [13]

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According to the presented data, the main flow of migrants represents the migration between cities. The movement of the population from one rural area to another is in the last place in terms of migration rates. However, from the point of view of the research objectives, the most interesting is the analysis of migration flows between cities and villages. As we can see from the table, there is a strong mutual population migration from city to village and back at 850–950 thousand people per year. Thus, the inflow of the population from the city to the countryside compensates for the significant part of the outflow of the rural population to the cities. Undoubtedly, a significant part of the return inflow is associated with the return of rural residents from long-term leaving for work or partial return of rural youth from their places of study [8]. However, it is also associated with the deliberate move of townspeople to the countryside in some cases. Among them are family homestead and ecovillage owners [3] and people whose relocation is associated with creating farms. The main flow of reverse relocation near major cities is most likely associated with relocation to rural areas of pre-retirement and retirement age people [9]. Nevertheless, the persistent difference between the number of people coming to rural and urban areas suggests that rural areas are donors of cities in human capital. The researchers [9] note the presence of not only young people and the working-age population among the migrants to cities, but also older people. Nevertheless, the first two groups prevail over the third one. The situation is not the same for reverse migration. A very modest part of the youth, who left for the city to study, returns to the countryside. However, many people of pre-retirement and early retirement age return there. From the point of view of sustainable development of rural areas and cities, this poses a long-term threat. Indeed, such a nature of the mutual flow can cause a gradual decline of the feeding of human capital to the city from the countryside as there will be processes that prevent the active renewal of human capital (the growth of problems with absolute fertility rates) and its development (insufficient provision of rural areas with an educated population of working age, etc.). Now, the net inflow of migrants from the countryside provides from 1/3 to 1/2 of the total migration inflow of the urban population. In fact, it matches international migration, which we can see from the data in Table 1. It is evident that, compared with foreign labor forces, people from rural areas have a significant advantage in terms of socialization, the absence of second-generation problems, and other negative consequences of international migration [14]. We also pay attention to the fact that rural areas have great potential for forming human capital for the city, both in terms of quantitative parameters and some of its qualitative characteristics. Official statistics record the constant excess of the total fertility rate in rural areas compared to urban settlements. According to Novoselova [10] and Toshchenko [16], the prevalence of family values among the rural population is consistently higher than among the urban. This allows us to put forward the following hypothesis: with some changes in rural life, the rural population can potentially be a stable donor of human capital in cities without the need for foreign migration.

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We should also attend to some positive qualitative characteristics of the human capital formed in rural areas. For instance, the Rosstat data [13] reflect a higher level of health of the rural population, primarily at a young age, relative to the health of urban youth. An important advantage of human capital in rural areas is more pronounced value orientations, which are scarce in the urban environment but are highly demanded in economic activity. Thus, there is a higher level of general trust among the villagers [4, 5]. N. N. Yarushkin and N. N. Satonina note in their studies that rural youth has a higher value of exciting work and active life concerning urban youth [17]. In addition to migration associated with the registration of a new place of residence or stay, we can speak of significant flows of unregistered or partially registered circular migration. This migration type is mainly determined by short-term seasonal workers, side workers, and commuters in the city direction. According to K. V. Averkieva and D. Yu. Zemlyansky, the total share of such workers heading to the city and other settlements to earn money in the Central Black Earth Region is about 1/3 of the employed rural population [2]. Moreover, E. V. Antonov and T. G. Nefedova note a sharp differentiation in the level of circular migration from district to district of the Russian village [9]. The basis of the reverse circular migration from city to village is summer residents in the broadest sense: owners of garden plots and country houses, tenants of summer cottages, etc. Of course, these migrations have a significant effect, first, in the regions located relatively close to the million cities or in the territories immediately adjacent to them. In the latter case, mostly suburbanization processes arise. Such migration gives rise to both positive and negative effects both for rural areas and for the migrants and rural residents themselves. Table 2 presents the overall benefits and costs of urban–rural migration. According to the data given in the table, when solving infrastructure problems and expanding the diversity of potential employment in rural areas, it is possible to create a sufficiently strong and stable over time mutual reinforcement of the development of rural and urban areas. The urban environment can support what is less developed in rural areas (the quality of various educational services, the potential for social development of human capital). However, at the same time, more active reproduction of human capital and endowing it with a system of values that are in demand for economic relations go better in rural areas. In this sense, the city is a consumer of human capital formed in the countryside. Nevertheless, we can positively perceive the reverse processes of migration from urban to rural areas. For instance, the resettlement of older people to rural areas can increase educational potential, the social project, and medical support development in rural areas, etc. [6].

4 Discussion The idea about the expedient mutual reinforcement of the human capital of the city and the countryside for their sustainable development cannot be realized without

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Table 2 Primary private and public socio-psychological and economic benefits and costs of internal migration to rural and urban areas Migration direction

Benefits Public

Private

Public

Private

From village to city

Human capital gaining and increasing in the development opportunities of some of its qualitative characteristics; Savings on infrastructure building

Improving the life quality of the material component and the availability of infrastructure benefits; Increasing employment opportunities

Growing of social problems from the population concentration; Increasing load on the infrastructure

Narrowing of living space; Breaking of functional and effective communication; Increasing the rhythm of life

Increasing future confidence while living on the ground; Rhythmicity and polyfunctionality of life, a sense of the connection between the work and its result; Communication with nature

Increasing load on infrastructure facilities; In some cases, increasing conflicts between residents and migrants

Lack of social infrastructure Narrowing the spectrum of possible employment

From city to Growing public safety; Reducing social tension in village cities; Growing of human capital of the territory; Growing of income sources and volume of the rural population; Forming of conditions for the development of some qualitative characteristics of human capital

Costs

Source Developed by the authors

observing some binding conditions. The following conditions are especially worth highlighting, according to the authors: • The inadmissibility of widespread urbanization processes attempting to transfer both the settlement pattern and the way of life of the townspeople to the countryside. The dominant residence of the rural population in houses located on land plots is fundamental for preserving the value of human capital formation in rural areas. The marketability of products produced on the land is not fundamentally important. The main thing is for families to live on the land and use it for various ecological and agricultural purposes. In this case, the fundamental conditions for developing valuable human capital qualities, such as a sense of owning, responsibility for the actions, and a sense of the connection between labor costs and the result will be preserved. Conditions and motives for childbirth will also remain. • The state should significantly strengthen its work on the creation of socioeconomic infrastructure in rural areas. The development of countryside will expand the range of potential areas of labor activity and alternative employment in rural areas. It will bring the countryside closer to urban areas in terms of the availability of social, household, and other benefits as well.

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If not to pay attention to the points noted, the positive aspects of the interaction between the city and rural areas in terms of the formation and use of human capital will flow in the direction of the dominance of the interests of the city. In the long term, it will finally undermine the ability of the countryside to replenish cities with high-quality human capital. Both the depopulation of rural areas and the problems of large cities and the structural shortage of personnel will only increase, which casts doubt on the possibility of long-term sustainable development of the country.

5 Conclusion At the end of the article, we can formulate the following main conclusions based on the research results: Currently, there is a decrease in the potential of rural areas in Russia as a place of reproduction and formation of human capital. The urban areas actively use human capital formed in rural areas. It significantly reduces the demand for migratory labor from foreign countries and leads to smoothing out potential problems related to the process. The study of mutual migration flows (village-city) shows a significant number of potential and partly real positive effects from this process. The city and the countryside, exchanging human capital, form the best conditions for the sustainable development of each other. Increasing sustainability of the development of rural and urban areas is possible only if the state increases its attention to the creation of a socio-economic infrastructure in rural areas, as well as preserving (or better expanding) the ability of rural families to live on land and care for the land belonging to the family.

References 1. Alonso W (1964) Location and land use. Towards a general theory of land rent. Harvard University Press, Cambridge, Massachusetts 2. Averkieva KV, Zemlyansky DY (2016) The structure of employment of the rural population in the Central Black Earth Region. Bull Moscow Univ. Ser 5: Geogr 2:75–81 3. Chekmarev OP (2019) Potential of family homesteads in sustainable development of rural areas. News Int Acad Agric Educ 46:158–161 4. Interpersonal trust (2019) Public opinion foundation. Retrieved from: https://fom.ru/TSenno sti/14215 5. Kozyreva PM, Smirnov AI (2010) Trust and its role in the consolidation of Russian society. In: Gorshkova MK (ed) Social factors of consolidation of Russian society: sociological dimension. Novyy khronograf, Moscow, Russia, pp 160–199 6. Matysiak I (2017) Elderly people as key actors behind social innovations in Rural areas. Centrum Bada´n i Innowacji Pro-Akademia 24:30–37 7. Meadows DH, Meadows DL, Randers J, Behrens WW (1972) The limits to growth: a report for the club of Rome’s project on the predicament of mankind. Universe Books, New York, N. Y.

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8. Nefedova TG, Mkrtchyan NV (2017) Rural migration and dynamics of agricultural employment in the regions of Russia. Bull Moscow Univ. Ser 5: Geogr 5:58–67 9. Nefedova TG, Averkieva KV, Makhrova AG (eds) (2016) Between home ... and home. Reversible spatial mobility of the Russian population. Novyy khronograf, Moscow, Russia 10. Novoselova EN (2014) Traditional family in a big city: social atavism and necessary value. Bull Moscow Univ. Ser 18: Sociol Polit Sci 4:166–188 11. Paveliuc-Olariu C (2010) The analysis of the effects of rurbanization on rural communities in the north-east development of Romania. Adv Agric Botanics—Int J Bioflux Soc 2(1):41–48 12. Prokopenko OV (ed) (2014) Sustainable development of an enterprise, region, and society: ´ aska, innovative approaches to ensuring. Drukarnia i Studio Graficzne Omnidium, Ruda Sl˛ Poland 13. Rosstat statistics (n.d.) Federal state statistics service. Retrieved from: https://www.gks.ru 14. Sergienko AM, Goncharova NP (2015) Labor migrants in agriculture: practices of interaction with local rural residents of the border agrarian region. News Altai State Univ 3(1):190–194 15. Szumelda AU (2019) Agriculture and everyday realities on small farms—an entrepreneurial challenge to farmers between the desire for autonomy and a secure existence. Two instances from east and south-east Poland. J Rural Stud 67:57–68 16. Toshchenko ZT (ed) (2016) The life world of Russians: 25 years later (late 1980s–middle 2010s). Scientific publication. TsSP i M, Russia 17. Yarushkin NN, Satonina NN (2007) Values and socio-psychological adaptation of rural and urban student youth. Bull Samara Humanitarian Acad. Ser “Psychol” 2:147–152

Sustainable Economic Development: The Problem of Regional Inequality Marina V. Moroshkina

Abstract The paper aims to analyze the dynamics of economic development of regions assessed by the GDP per capita and identify the reasons for regional differences in the period of 1990–2017. Within this task, the research object is the regions of Russia, and the research subject is the level of interregional differentiation in terms of GRP per capita. When researching interregional differences, the author has used methods applied in convergence modeling, the Gini coefficient, and the Theil index. The research allows determining and analyzing the level of interregional differentiation and identifying the impact of inflation on the dynamics of regional differences in the regions of Russia. As part of the analysis of the behavior of entropy coefficients, there is no divergence (increase in divergence) in the Russian regions in terms of GRP per capita. The paper shows that during periods of rising oil prices, the level of divergence between the regions of Russia increases, and a decrease in budgetary donations to weak regions is a possible reason. As a result of the research and identification of a trend towards reducing regional differences, the author notes a process of convergence of regions in the long term. The obtained results can be used in writing strategic documents and programs for territorial and regional development. Keywords Russian regions · Economic growth · Convergence · Coefficient of variation · Interregional differentiation · GRP per capita · Gini coefficient · Theil index

1 Introduction Heterogeneity of spatial and territorial development determines economic policy and measures to achieve economic growth [3]. The topic of uneven development of the territory is relevant since the problem of interregional differentiation can be traced in most countries of the world community [6, 28]. M. V. Moroshkina (B) KarNC RAS Institute of Economics, Petrozavodsk, Russia e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 S. G. Maximova et al. (eds.), Advances in Natural, Human-Made, and Coupled Human-Natural Systems Research, Lecture Notes in Networks and Systems 252, https://doi.org/10.1007/978-3-030-78105-7_25

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In scientific works, researchers and scholars define spatial development differently. With respect to the research object and subject, there may be different forms of representing this concept [12]. In the regional economy, spatial development is a set of economic, organizational, regulatory, and institutional directions forming structural changes in the economy and creating conditions for economic transformations in the territory that affect the quality of people’s lives [20]. Interest in the problem of regional differentiation leads to the emergence of new theories and models of economic and regional development. Models of new economic geography, a new theory of trade, and a new theory of growth can be examples of this process [5]. In conceptual approaches, one of the main tasks of the economy is to reduce interregional inequality [4]. The problem of uneven regional development in the Russian Federation remains the main problem of governance. The fundamental point is that there are, on the one hand, contradictions between the strategic goals aimed at equalizing the social and economic indicators of regional development, and on the other hand, differences between the constituent entities of the Russian Federation in terms of economic, social, demographic, production, and investment potential and other areas of territorial development. The research hypothesis suggests that during the period of structural transformation of the economy, the process of regional development is characterized by an increase in inequality in terms of GRP per capita. Within the paper, the problem of asymmetry of territorial development is considered in terms of GRP per capita. The paper aims to study the dynamics of regional economic development and identify the causes of regional differences. As part of this task, the research object is the regions of Russia, and the research subject is the process of interregional differentiation. The author attempts to analyze the level of change in the entropy coefficients (Gini coefficient, Theil index, and coefficient of variation) during structural transformations. Comparing the dynamics of changes in the coefficients of differentiation with the processes of structural transformation of the economy is a significant research result. Analysis of research on the regional economy has revealed the need to study the degree of regional stratification of Russian regions with consideration of the impact of inflation on the differentiation indicators of the process.

2 Materials and Methods Researchers have studied the problems of regional development and heterogeneity since the late 1950s. In the theory of Lösch [16], the main factor is determined by the location of productive forces, the specialization of the economy, and the level of accessibility of the territory. The concept of accessibility includes the geographical and transport accessibility of production for the main processes of economic activity, distribution, and consumption [29]. The Russian Federation is of particular interest to researchers of regional inequality due to a large number of heterogeneous

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territories characterized by a high level of interregional differentiation [10]. The convergence theory is one of the approaches to the analysis of interregional differentiation. Scholars use this theory to conduct a comparative analysis of the dynamics of economic development of regions and differentiate regional development levels [7, 8, 9, 24]. Some researchers analyze economic and social indicators and investigate the issues of convergence or divergence of regions by individual factors, rate, and indicators [13, 14]. The main theories of regional development are applicable to various regional processes and allow assessing the level of regional differentiation by some social and economic indicators. The interregional convergence hypothesis is one of these areas. It is based on the works of famous economists of the neoclassical theory of international trade [11, 19, 22, 23]. In most studies, the main importance in assessing regional development is given to the central location, which is the point for attracting production, labor, and other resources [27]. A similar phenomenon is observed around the megacities of Moscow and Saint Petersburg, which attract nearby territories and provide them with a high potential for development. Some works analyze the impact of expanding production capacity on the processes of regional growth. When analyzing the economies of scale, Jane Jacobs notes the process of saving consumption in large. The model based on the statistical analysis of economic and social factors proposed by Barro and Sala-i-Martin allows estimating the level of regional inequality [1, 2]. Stymne and Jackson [25] use the traditional method of calculating the Gini coefficient, the Atkinson index, and the Theil index, which allows analyzing assessments of the population’s well-being and quality of life [26]. For analyzing regional differentiation, some scholars use econometric models of convergence, which makes it possible to determine the presence or absence of uneven development of individual territories. Most researchers conclude that the increase in regional differences is due to a small group of regions that have significant potential for economic development [15]. As a result of consideration of the existing theories and research, the author says with a high degree of confidence that the topic of interregional differentiation is quite relevant, and research on this topic is conducted by scholars of different directions and allows considering the heterogeneity of territorial development in different ways. In order to solve the tasks set in the paper, the author has formed a database of statistical data on the regions of Russia for the period under study. The author’s database on economic and social indicators has also served as the statistical research base [17]. The author has performed the analysis of regional development and the assessment of unevenness based on GRP per capita. The research makes it possible to understand how much the level of interregional differentiation has changed over 20 years and what reasons influenced this process [18]. The author has assessed regional differentiation of territories based on a comparative analysis of three indicators of interregional asymmetry: coefficient of variation, Gini coefficient, and Theil index.

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As the first indicator, the author has used the coefficient of variation, which characterizes the presence or absence of inequality in territorial development. A model of βconvergence and σ-convergence based on the neoclassical growth theory has formed the basis for the convergence analysis. The coefficient has allowed comparing the level of differences for individual economic indicators. The formula for calculating the coefficient of variation is as follows: / Σ n 2 1 i=1 (x i − x av ) n (1) σt = xav where: σ t —coefficient of variation at time t; x i —regional development indicator (i—region), i = 1; n—number of regions; x av —average value of the estimated development indicator. The confirmation of the presence of σ-convergence necessitates the following condition expressed as an inequality to be met: σt + T < σt

(2)

The Gini coefficient is the second indicator used in the study. It allows determining the degree of regional stratification by an economic or social indicator. The author has calculated the Gini coefficient from the regional data of the indicator under study (in this case, it is the GRP per capita indicator): g=

N N Σ Σ | | 1 |xi − x j | 2 2 · x · N i−1 j−1

(3)

where: x i —GRP value at current or comparable prices in region i; j—average value; N—number of regions. The Theil index measuring the level of social inequality is the third indicator [26]. T heil T =

N Σ xi / X xi ∗ ln X pi /P i=1

(4)

where: Σ X= xi —GRP per capita (total value calculated for the regions of the Russian Federation); x i —GRP Σ per capita in region i of the Russian Federation; P= pi —population number (total value of the defining characteristic for the regions of the Russian Federation);

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pi —population number in region i of the Russian Federation. As a result of calculating three indicators of interregional differentiation, the author has performed a comparative analysis of interregional differentiation by the entropy coefficients, which makes it possible to conclude about the level of heterogeneity of Russian regions.

3 Results Within the paper, the author has examined a set of data for the constituent entities of the Russian Federation by GRP per capita. Table 1 presents a fragment of the data set for GRP per capita. The author has considered the interregional differentiation of Russian regions based on the analysis of the GRP per capita indicator. Studying regional differences can occur based on various methods and tools. The author has applied three different coefficients of differentiation within the current research. The author has calculated the entropy coefficients for GRP per capita: coefficient of variation, Gini coefficient, and Theil index. Table 2 presents the results. Analysis of Table 2 and Fig. 1 shows that interregional differentiation in the regions of Russia is increasing. Trends in the Gini coefficient and the Theil index coincide. The transformation processes that occurred after the economic crisis of 1998 have led to an increase in differentiation, which slightly decreased at the beginning of 2000. Table 1 GRP per capita of Russian regions, mln rub (bln rub before 1998) Region/Year

1996

2004

2012

2016

2017

Belgorod region

14,955.5

75,650

354,982.9

470,874.3

506,420.9

Bryansk region

11,294.9

37,673.4

166,654

233,701.0

253,100.4

Vladimir region

12,830.2

49,621.5

200,178.9

281,366.9

300,273.6

Voronezh region

20,158.3

50,003.5

243,941.3

360,418.2

370,610.4

Ivanovo region

8578.3

35,780.6

129,826

174,995.3

182,398.1

Kaluga region

9649.9

56,570.2

286,496.7

368,913.4

411,565.3

Kostroma region

6940

52,367.9

199,326.8

247,313.7

256,848.4

Source Compiled by the author based on Rosstat

Table 2 The value of the entropy coefficients in terms of GRP per capita Coefficient/Year

1996

2000

2004

2008

2012

2016

2017

Coefficient of variation

1.42

0.74

0.77

0.75

0.74

0.70

0.71

Gini coefficient

0.27

0.31

0.32

0.31

0.31

0.31

0.31

Theil index

0.34

0.37

0.42

0.41

0.48

0.48

0.47

Source Compiled by the author

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Fig. 1 The value of the entropy coefficients in terms of GRP per capita

Nevertheless, after the 2008 crisis, structural changes again influenced the situation towards an increase in regional asymmetry. The coefficient of variation shows a trend different from the dynamics of the Gini coefficient and the Theil index. At the beginning of the period under study, there is a change in economic development trends. A stable increase in the coefficient of variation observed from 1995 to 1998 is replaced by a decrease. Since 2001, the dynamics of the coefficient of variation have stabilized, and there are no sharp jumps. As a result of current trends in the world markets and markets of products and natural resources, the availability of natural resources plays a significant role in regional development. At the present stage, the dependence of economic development on energy prices is significant. The resource component of the Russian economy has always been high, and its manufacturing sector depends on raw materials. When comparing the results obtained in the study with different regional entropy coefficients, the author notes that it would be interesting to analyze and compare them with changes in the cost of natural resources (Table 3). Changes in the dynamics of oil prices occur unevenly and depend on the economic policy of the state and global trends. A comparative analysis of the behavior of the cost of Russian oil and the processes of divergence or equalization of Russian regions allows an understanding of whether changes in oil prices affect the dynamics of regional development and the level of heterogeneity of Russian regions. Accounting for oil prices determines the dependence of the economy on the cost of energy and Table 3 Changes in the cost of oil resources in 1996–2017 Year

1996

2000

2004

2008

2012

2016

2017

Brent oil price

20.5

28.3

38.3

97.7

121.4

44.0

55.6

Source Compiled by the author based on [21]

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Fig. 2 Dynamics of interregional differentiation of Russian regions and the price of oil

the level of additional revenues to the federal budget in the form of rent received. The peculiarity of the oil industry in the Russian Federation lies in the fact that part of the income is estimated as rent and distributed between the state and companies. Moreover, it represents the areas necessary to ensure the development of the economy. The author has considered the dynamics of differentiation of Russian regions with consideration of the overall price level of the Theil index and the Gini coefficient in current and comparable prices, using the index difference indicator formula (5), which evaluates the impact of the price factor on the level of differentiation of Russian regions, determining the level of inflation (Fig. 2). ) ( IGini.T heil = IGini T heilcurr ent prices − IGini T heilcomparable prices ∗ 1000

(5)

The behavior of the coefficients of interregional differentiation responds to the dynamics of changes in the cost of energy resources. The stable dynamics of growth in energy prices lead to increased federal budget revenues, which is explained by state subsidies to regional economies that level the overall array of Russian regions.

4 Discussion The uneven development of regions estimated based on calculating the entropy coefficients has shown the presence of divergence processes. The calculation of the entropy coefficients based on GRP per capita has shown an increase in regional differences in certain periods. The obtained results suggest a growing degree of regional differentiation and a higher increase in prices in developed regions. As part of the research, the author has assessed the dependence of the level of regional differentiation and the cost of energy resources. Changes in federal policy in the context of persistently high energy prices are reflected in high financial flows to subsidized regions, which allows these regions to increase regional budget revenues. Reduced regional differentiation results from this process.

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The research has shown that periods of economic development are accompanied by higher state investments in the regional budget and characterized by higher rates of development of weak regions. State support and redistribution of budget funds and mitigation of territorial differences allow weaker regions to develop faster. During periods of economic downturn, budget allocations to subsidized regions are reduced. Therefore, to accelerate economic growth, state support is directed to regions with competitive advantages that can change the negative dynamics of the economic development of the country.

5 Conclusion The research has shown that the presence of a resource component in the economic structure is one of the factors affecting the growth of regional differences. The author has analyzed the influence of the cost of energy resources on the level of interregional differentiation. The calculations have shown that the discrepancy between Russian regions increases during periods of rising oil prices. A decrease in budget subsidies to weak regions is a possible reason for an increase in the gap between regions. During periods of unstable dynamics of energy prices, the processes of convergence and divergence of Russian regions also demonstrate asynchronous dynamics. Hence, the author notes that the process of convergence of Russian regions is ambiguous and depends on a large number of different factors and processes that should be assessed based on determining the degree of impact on economic development. Acknowledgements The research is conducted with the financial support of the Russian Foundation for Basic Research (RFBR) within the scientific project “Interregional Differentiation of Russian Regions” (No. 19-010-00549).

References 1. Barro RJ, Sala-i-Martin X (1991) Convergence across states and region. Brooking Pap Econ Act 1:58–107 2. Barro RJ, Sala-i-Martin X (1995) Economic growth. The MIT Press, Cambridge, MA 3. Bufetova AN, Kolomak EA (2017) National heterogeneity in the regions of Russia. ECO J 4:110–123 4. Dorofeenko VV, Loskutova VV (2018) Theories of economic development. Manager 4(86):12– 20 5. Elibiev SB (2019) Conceptual approaches to regional economic growth in problem regions. Manage Econ Sys 122. Retrieved from http://uecs.ru/ekonomicheskiy-analiz/item/5458-201904-08-07-41-16 6. Glushchenko KP (2016) On applying the Gini coefficient and other indicators of inequality. Voprosy Statistiki 2:71–80 7. Granberg AG (2000) Fundamentals of regional economics. HSE University, Moscow, Russia

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8. Granberg AG, Zaitseva YuS (2003). Gross regional product: Interregional comparisons and dynamics. SOPS, Moscow, Russia 9. Granberg AG, Suslov VI, Suspitsin SA (2007) Multi-regional systems: Economic and mathematical research. Institute of Economics and Industrial Engineering within the Siberian Branch of the Russian Academy of Sciences, Novosibirsk, Russia 10. Gubanova ES, Kleshch VS (2017) Methodological aspects in analyzing the level of nonuniformity of socio-economic development of regions. Econ Soc Changes Facts Trends Forecast 10(1):58–75. https://doi.org/10.15838/esc/2017.1.49.4 11. Heckscher E (1949) The effects of foreign trade on the distribution of income. Ekonomisk Tidskrift 13:497–512 12. Kolmakova EM, Kolmakova ID, Degtyareva NA (2018) Spatial development of the region in the context of the strategy of socio-economic growth. Bull Chelyabinsk State Univ 3(413):30–37 13. Kolomak EA (2010) Interregional inequality in Russia: economic and social aspects. Prostranstvennaya Ekonomika 1:26–35 14. Kolomak EA (2013) Uneven spatial development in Russia: explanations of the new economic geography. Vopr Ekon 2:132–150 15. Lavrovsky BL, Shiltsin EA (2009) Russian regions: Convergence or stratification? Econ Math Methods 45(2):31–36 16. Lösch A (1959) The economics of location. Izdatelstvo Inostrannoy Literatury, Moscow, USSR 17. Moroshkina MV (2016) Differentiation of Russian regions by the level of economic development. Stud Russ Econ Dev 4(157):09–115. https://doi.org/10.1134/S1075700716040122 18. Moroshkina MV (2017) Territorial income differentiation adjusted for inflation. Actual Probl Econ Law 11(2(42)):48–66 19. Ohlin B (1933) Interregional and international trade. Harvard University Press, Cambridge 20. Okrepilov VV (2010) Spatial economics and quality (on the example of the North-West of Russia). In: Materials of the international scientific-practical conference: theory and practice of spatial development—experience of the North-West of Russia and the Federal Lands. SaintPetersburg, Russia, pp 10–13 21. RuStock (2016) Oil price table by year. Retrieved from http://www.rustock.info/oil-gas/87-tab lica-cen-na-neft-po-godam.html 22. Samuelson PA (1948) International trade and the equalization of factor prices. Econ J 58:84–163 23. Samuelson PA (1949) International factor-price equalization once again. Econ J 59:97–181 24. Shtulberg BM (ed) (2002) Long-term forecasting of the territorial economic development of Russia. SOPS, Moscow, Russia 25. Stymne S, Jackson T (2000) Intra-generational equity and sustainable welfare: A time series analysis for the UK and Sweden. Ecol Econ 33:219–236 26. Theil H (1967) Economics and information theory. North-Holland Publishing Company, Amsterdam, Netherlands 27. Vlasyuk LI (2016) Assessing the effectiveness of the concentration of economic activity in the cities of the Russian Federation. Sovremennyye Tendentsii Razvitiya Nauki i Tekhniki 12(10):10–14 28. World Development Report (2009) Reshaping economic geography. The World Bank, Washington, DC 29. Zemtsov SP, Baburin VL (2016) Assessing the potential of the economic and geographical position of the regions of Russia. Economy of Region 12(1):117–138. https://doi.org/10.17059/ 2016-1-9

Human Trafficking: Economic Threats for Global World and Regions Ludmila D. Erokhina and Aleksey K. Erokhin

Abstract Human trafficking is a global problem affecting the interests of people of all ages and countries. The social and economic costs of human trafficking significantly harm society and individuals. The problem of human trafficking raises several issues: (1) poverty, (2) social justice, (3) social integration, (4) justice, and (5) the rule of law. Therefore, the topic is highly relevant for theorists and practitioners of the entire world community. The study aims to consider human trafficking in Russia in terms of (1) demand, (2) costs, (3) risk, (4) revenues, and (5) profitability. To achieve this goal, we used a set of methods to study the social and economic reasons for human trafficking in Russia and neighboring countries of the South-East. Also, we analyzed relevant Russian and foreign secondary literature on this topic. We conclude that it is necessary to strengthen government levers to eliminate the economic grounds for human trafficking. Keywords Slave Labor · Sexual exploitation · Forms of human trafficking · Shadow market · Legal business

1 Introduction The concept and characteristics of criminal activity specified in the twenty-first century as “trafficking” were formulated in the UN Convention Against Transnational Organized Crime [31] and its protocol [33]. The term “human trafficking” in these documents is defined as “the recruitment, transportation, transfer, harboring,

L. D. Erokhina (B) Far Eastern Federal University, Vladivostok, Russia e-mail: [email protected] Pacific State Medical University, Vladivostok, Russia A. K. Erokhin Vladivostok State University of Economics and Service Branch in Artem City, Artyom, Russia e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 S. G. Maximova et al. (eds.), Advances in Natural, Human-Made, and Coupled Human-Natural Systems Research, Lecture Notes in Networks and Systems 252, https://doi.org/10.1007/978-3-030-78105-7_26

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or receipt of persons by means of threat or use of force or other forms of coercion—abduction, fraud, deception, abuse of power or position of vulnerability—or the giving or receiving of payments or benefits to achieve the consent of a person who has control over another person for exploitation. Exploitation shall include, at a minimum, the exploitation of the prostitution of others or other forms of sexual exploitation, forced labor, service or servitude, slavery or practices similar to slavery, or the removal of organs. In the scholarship and documents of governmental and non-governmental organizations, trafficking appears primarily as a crime that results in the degradation of human dignity and undermines the enjoyment of human rights and fundamental freedoms [6, 10, 23]. In January 2010, that specific understanding of human trafficking was confirmed by the European Court of Human Rights, which, in accordance with Article 4 of the European Convention on Human Rights, acknowledged trafficking as a form of slavery and forced labor [11]. Nevertheless, other important aspects (economic ones) of human trafficking remain virtually unexplored. This knowledge gap is a major obstacle to effective counteraction to human trafficking.

2 Materials and Methods This paper is based on the compilation of numerous sets of statistical data ([32, 34]; Trafficking in persons report 2019) and expert evaluation. It is extremely difficult to assess human trafficking as a lucrative criminal business due to its elusive and multidimensional nature. The critical problem is that the key issue of human trafficking is the sale or exploitation of a person for profit. However, “victims of human trafficking” are not always aware of their status or the real nature of the activity they are subjected to. Moreover, public opinion often does not distinguish between “voluntary” solicitation and the coercion that accompanies human trafficking. Definitions of trafficking also vary by country and region, making it difficult to assess. Victims of Trafficking and Violence Protection Act of 2000 accepted in the USA considers a person a victim of trafficking if they were subjected to force, fraud, or coercion—regardless of whether they were born in a state of slavery or were made into a slave, or whether they agreed to work for traffickers, or whether they committed illegal acts because of their servitude [27]. These broader inclusion criteria were used in the model law “On protection of victims of trafficking” adopted by the Inter-Parliamentary Assembly of the Member States of the Commonwealth of Independent States [IPA CIS] in 2008 [5]. It is not easy to understand the empirical reality of human trafficking. We used several approaches to research this issue. However, none of them is completely satisfactory or objective. As a rule, scholars use an action-oriented approach to collect data on the income from trafficking. This approach provided the basis for measuring the scope of human trafficking by describing trafficking situations and using approximate calculations of the number of victims of trafficking multiplied by their price

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[1, 2]. Evaluations considering the economic aspects of human trafficking tend to focus on a single form of trafficking, such as (1) sexual trafficking [4, 32], (2) labor trafficking [16, 17], or (3) child labor [8, 22]. In the 1990s, a gender approach emerged in the study of human trafficking. That approach focused on the gender distribution of the labor market and the contribution of women and men to different sectors of the economy [7, 35]. This approach recognized that one should apply UN documents, in particular, the Convention to Eliminate All Forms of Discrimination Against Women [CEDAW] Convention [30], when investigating discriminatory processes. In the early twenty-first century, Frank Laczko proposed using a root-cause approach, considering the factors that contribute to human trafficking by countries of origin and the risks that lead to this phenomenon [15]. In contrast, the basic methodology used in this study is a comprehensive approach, which offers “an opportunity to understand the factors that comprise the human trafficking market and make it a profitable business—including the study of demand, costs, and risks, as well as income producing items and profitability—and, ultimately, the removal of powerful incentives and elimination of trafficking” [1].

3 Results International human trafficking appears to be undertaken by multidimensional organizations with their internal structures, management, and control standards. Moreover, human trafficking thrives in countries that provide explicit and implicit political and economic support for its continued existence. The realities of modern human trafficking indicate its scope and profitability. According to general estimates of observers and experts, about 40.3 million men, women, and children are in a state of slavery. Among the regions where modern slavery flourishes, the Asia—Pacific region ranks second after Africa [34]. Experts find an explanation for the growing trends in the human trafficking market in the general patterns of transnational organized crime, “First of all, it inevitably appears in places where and when one can make extreme profits. Second, it strives to take advantage of economic, political, and social instability, as well as inter- and intra-governmental conflicts” [20]. The reasons for human trafficking are complex. However, some works offer detailed analyses of the causes ([28]; Best Practices 2009). These studies reveal a complex set of social and economic determinants of human trafficking, including (1) the spread of poverty and unemployment, (2) lack of economic prospects in the regions, (3) the development of the shadow economy, (4) illegal migration, and (5) corruption. Complicated political and economic reforms of the 1990s in Russia led to a sharp decline in living standards. Many Russian citizens sought to find work abroad in the entertainment field or as unskilled labor, hoping to escape from poverty and start earning good money. There were routes that Russians used to travel en masse

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to Europe, Turkey, Japan, China, and South Korea. Few people knew about the phenomenon known as “human trafficking.” The risks were recognized only after extensive media coverage, along with scholarship and NGO reports of real trafficking in Russian citizens [26, 29]. After the financial crisis of 2008 and the influx of migrants from underdeveloped regions to Europe and other countries, the number of Russian citizens leaving for work sharply decreased. As of today, human trafficking in Russia is more of an internal problem than an external one. The main reason for its existence is economic. By the end of 2019, the number of people with income below the living wage in Russia amounted to 17.6 million, or 12% of the total population of the country [25]. Besides, the number of those who consider themselves residents of the “bottom social stratum” has increased dramatically [14]. The population living under the poverty line in Russia is mainly concentrated in depressed rural areas or single-industry towns, where residents cannot find decent jobs and wages. Those who are marginalized are not limited to specific groups but represent most of the affected population. Even if they are not at risk of absolute poverty, there is a growing wage gap in the current development stage, making cities attractive to large segments of the population in remote areas. As a result, the workingage population moves from rural areas and small towns to metropolises with a higher risk of unemployment and favorable conditions for human trafficking. Such a situation is crucial for the population of the neighboring countries of Russia: Tajikistan, Uzbekistan, Moldova, and Ukraine. For example, 62% of the population of the Republic of Tajikistan lives below the poverty line [14]. Many people go to Russia, searching for a better life. However, the Russian labor market has its limitations, so people are forced to accept any job. They work without any social or legal guarantees just to survive. Consequently, the risk of being exploited and sold becomes equal for foreigners and Russian citizens. Difficult economic situations reduce the personal social standards of people and, accordingly, their obligations to society and the government. Simultaneously, the boundaries of social norms are expended to levels that are unacceptable from the point of view of human rights. Traffickers of live goods in Russia use the growing nihilism about laws and government control to extend their criminal activities, which bring large dividends. The wider such businesses grow, the faster consumption patterns are deformed, income and property are redistributed, and markets for illegal goods and services are broadened. Their scope and structure can vary significantly. Nevertheless, criminal enterprises offer a range of goods and services, among which a significant sector includes (1) forced prostitution, (2) forced labor, (3) trafficking in human organs, (4) trafficking in children, and many other illegal operations. The specifics of the illegal market and its pricing are determined by many factors affecting the nature and position of supply and demand curves. Among these factors, the elasticity of supply and demand plays a leading role in the offered price structure. The less elastic the demand for a product or service, the higher the stability of shadow-market relations, and the more they are subject to market monopolization by organized criminal groups [3].

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The flexible structure of human trafficking allows traders to overcome national borders and “embed” their criminal businesses into networks of illicit international commerce. Experts of the international research program Global Financial Integrity estimate the annual turnover of the global transnational “black market” at between 1.6 and 2.2 trillion dollars per year ([18], p. xi). “The volume of human trafficking is over 150.2 billion dollars in profits each year. The Asia–Pacific region is responsible for 51.8 billion dollars of this market, with around 11.7 million victims. Developed Economies and the European Union is responsible for another third of the market value with 46.9 billion dollars” ([18], p. xii). Trafficking in people takes the fourth place after (1) counterfeit and pirated goods (923 billion dollars to 1.13 trillion dollars annually), (2) illegal organ trade (840 million dollars to 1.7 billion dollars), and (3) drug sales (426 billion dollars to 652 billion dollars) ([18], p. xii). Consequently, as in any business, supply and demand influence the formation of a multi-level network structure of traffickers involved in moving, buying, and selling “live merchandise,” as well as making a profit. The structure of traders is based on the core organizational principles. Some of them form a horizontal link among almost equal subjects with a low degree of labor division. Other structures function as hierarchically organized groups; each takes its place in a vertical direction and performs complex tasks. However, in many cases, “Human trafficking is playing a growing role in terrorist and insurgent activities and groups, and the spread of the internet has provided traffickers with additional, far-reaching means to reach both victims and victimizers” ([18], p. xii). Several well-organized criminal groups of traffickers (recruiters, guards, and customers), employers, owners, and administrative employees represent the first level. The second level consists of consumers of slave labor, who may “knowingly or ignorantly buy goods or agricultural products produced or collected by victims of trafficking; customers can use the services of women and children forcibly engaged in prostitution. Trafficking may be beneficial to the structure of legal enterprises or to individuals working in organizations engaged in human trafficking or interacting with them on a permanent basis or during the trading process” [1]. Third parties involved in consumer demand represent the third level: (1) travel agencies and tourist offices, (2) government officials, (3) health care providers, (4) insurance companies, (5) corrupt officials and border police services, (6) embassy employees, (7) owners of hotels and restaurants, and many other people. Unprotected Work [21] and McCarthy [19]. The degree of involvement of these officials and legal actors may be a determining factor in how long and how well organizations can function as traffickers. Such criminal groups may be of various types: from individuals working independently to a complex network of organizations involved in many facets. Some organizations may have a horizontal structure with a low degree of labor division, while others are built on a hierarchical structure in which different people perform difficult tasks. Members of a group can be united based on blood, family, or clan affiliation, or they can be connected by experience and knowledge of a particular market, and interest in the profits.

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4 Discussion The human trafficking market operates continuously, constantly renewing itself and drawing in new victims. A report from Global Financial Integrity states that income from the sale of drugs, weapons, and human trafficking in Russia constitutes almost 46% of the Russian GDP [12]. Of course, human trafficking cannot exist without tacit complicity within the structure of social and political institutions. Therefore, its formation and operation modes develop organically within the macrostructure of society. During the years of transformation, researchers note that one of the most striking manifestations of moral malaise in government and social institutions was corruption—“the creation of a Russian alliance between the national bourgeoisie and state structures” [24]. There are direct channels of interaction between government agencies and Russian businesses. Through them, officials funnel huge sums to lobby for the interests of big, often criminal, business. According to the World Bank, the annual market for corrupt services equals one trillion dollars. According to some estimates, the Russian share is about a third of the total (316–350 billion dollars) [13]. Part of this amount is spent on bribing officials so that the organizations and individuals involved in human trafficking remain unhindered. Therefore, there is a vicious circle: businesses pay for the services of officers, deputies, and government officials, who, in turn, support criminal organizations and undermine the credibility of the Russian society to the authorities and their will to oppose human trafficking. Until this cycle is broken, human trafficking will continue to exist despite the concerted efforts of law enforcement agencies and public organizations.

5 Conclusion The key point of human trafficking is the sale or exploitation of a person for profit. The international ban on trafficking in human beings create illegal markets that respond to economic logic and incentives. Future research should aim to (1) find adequate methods for assessing the true scale of trafficking, and (2) prevent traffickers from creating a “black market.” The Russian government should create real conditions for improving living standards and eliminating corruption to eradicate the fertile ground on which the economy generates human trafficking.

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References 1. Aronovitz A, Toyerman G, Turukanova E (2011) Analysis of human trafficking as a business model: a path to more effective crime prevention. Office of the Special Representative and Co-Ordinator for Combating Trafficking in Human Beings, Vienna, Austria 2. Bales K (2004) Disposable people: New slavery in the global economy. University of California Press, Berkeley, CA 3. Bekrjachev AK, Belozerov IP (2000) The shadow economy and economic crime. In: Bekrjachev AK, Belozerov IP (eds) Transnational trafficking of women and children. Omsk State University, Omsk, Russia. Retrieved from http://www.ex-jure.ru/law/news.php?newsid=1269 4. Cho S-Y, Dreher A, Neumayer E (2013) Does legalized prostitution increase human trafficking? World Dev 41:67–82 5. Commonwealth of Independent States (2008) Model Law “On assistance to victims of trafficking in human beings”. In: Adopted by the inter-parliamentary assembly of the CIS member states. Resolution 030-12 plenary session, 03 Apr Retrieved from http://docs.cntd.ru/document/ 902124613 6. Commonwealth of Independent States (2012) On combating trafficking. Bull InterParliamentary Assembly, 4, 26–75 7. Erokhina L (2004) Trafficking in women in the Russian Far East: a real or imaginary phenomenon. In: Stoker S, Shelly L (eds) Human traffic and transnational crime: Eurasian and American perspectives. Rowman & Littlefield Publishers, Inc., New York, N.Y., pp 79–94 8. Erokhina LD (2012) Child labor exploitation (social and criminological analysis). Privoljskiy Nauchniy Vestnik 4(8):95–103 9. Erokhina LD, Buryak MYu (2003) Trafficking in women and children for sexual exploitation in a social and criminological perspective. Profobrazovanie, Moscow, Russia 10. European Commission (2013) European Union states slow to respond to trafficking. European Commission, Brussels, Belgia. Retrieved from https://ec.europa.eu/archives/commission_2 010-2014/malmstrom/news/archives/2013/04/20130415_en.htm 11. European Council (2011) On preventing and combating trafficking in human beings and protecting its victims. Council directive 2011/36/EU of 5 April 2011. Official J Eur Union 15(4):1–11 12. Freitas S, Kar D (2013) Russia: illicit financial flows and the role of the underground economy. Global Financial Integrity Org., Washington, DC 13. Haken J (2013) Transnational crime in the developing world. Report of the Global Financial Integrity Org. Global Financial Integrity Org, Washington, DC 14. Ismoilien Z (2019) Tajikistan: beyond poverty. Central Asian bureau for analytical reporting. Retrieved from https://cabar.asia/ru/tadzhikistan-za-porogom-bednosti/ 15. Laczko F (2005) Data and research on human trafficking. Int Migr 43:5–16 16. Levin M, Pokatovich E (2006) The economy of illegal commercial sex: Red light on blue background. INDEM, Moscow, Russia 17. Matvienko AV (2008) Socio-economic preconditions of the worst forms of exploitation of labor in Russia. In: Borisova VD, Vasin VD (eds) Particular growth and development of regional socio-economic systems: papers of the IV All-Russian scientific-practical conference. Editorial and publishing department, Perm State Agricultural Academy, Penza, Russia, pp 22–25 18. May Ch (2017) Transnational crime and the developing world. Report of the Global Financial Integracy Org. Global Financial Integracy Org., Washington, DC 19. McCarthy L (2014) Human trafficking and the new slavery. Annu Rev Law Soc Sci 30:221–242 20. Nomokonov VI (2011) Far East as a strong link in transnational crime. Daily News. Retrieved from www.novostivl.ru/msg/15790.htm 21. OSCE (2010) Office of the special representative and co-ordinator for combating trafficking in human beings. In: Unprotected work: Invisible exploitation: trafficking of the purpose of domestic servitude. Vienna, Austria.

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22. Pankratova LS (2007) Commercial sexual exploitation of children as a social problem in the context of transformation of the political system of Russia. In: Gaman-Golutvina OV (ed) Transformation of the political system of Russia: Problems and prospects. Abstracts of international scientific. Russian Association of Political Science, Moscow, Russia, pp 245–247 23. Pennington JR, Ball AD, Hampton RD, Soulakova JN (2009) The cross-national market in human beings. J Macromark 29(2):119–134 24. Royeykov YI (2005) Preface. In: Godunov I (ed) Combating organized crime. Higher school, Moscow, Russia, pp 1–8 25. Russian Statistical Bureau (2019) The poverty level according to Rosstat. Retrieved from https://rosinfostat.ru/uroven-bednosti/ 26. Sirotin YuA, Bessonova VM (eds) (2006) The new criminal legislation of Russia: the interaction of law enforcement agencies and non-governmental organizations. materials of the second allRussian assembly of non-governmental organizations to combat trafficking in human beings. Publication of the Russian Federation State Duma, Moscow, Russia 27. The 106th United States Congress (2000) Victims of trafficking and violence protection act of 2000. Retrieved from https://www.govinfo.gov/content/pkg/PLAW-106publ386/pdf/PLAW106publ386.pdf 28. Tyuryukanova E (2006) Forced labour in the Russian Federation today: Irregular migration and trafficking. IOM, Moscow, Russia 29. Tyuryukanova EV, Erokhina LD (eds) (2002) Human trafficking: sociocriminological analysis. Academia, Moscow, Russia 30. UN General Assembly (1979) Convention on the elimination of all forms of discrimination against Women. In: Adopted and opened for signature, ratification, and accession by General Assembly resolution 34/180 of 18 December 1979. OHCHR, New York, NY. Retrieved from https://www.ohchr.org/EN/ProfessionalInterest/Pages/CEDAW.aspx 31. United Nations (2000) Protocol to prevent, suppress and punish trafficking in persons, especially women and children, supplementing the United Nations Convention against transnational organized crime. In: Adopted by resolution A/RES/55/25 November 15, 2000 the2000 the fiftyfifth session of the General Assembly of the UN. United Nations, New York, NY. Retrieved from https://www.ohchr.org/en/professionalinterest/pages/protocoltraffickinginpersons.aspxh 32. United Nations Office on Drugs and Crime (2018) Global report on trafficking in persons. UNODC, New York, NY 33. United Nations (UN) (2000) Protocol against the smuggling of migrants by land, sea, and air, supplementing the United Nations convention against transnational organized crime. In: Adopted by resolution A/RES/55/25 November 15, 2000 the fifty-fifth session of the General Assembly of the UN. United Nations, New York, NY. Retrieved from https://www.unodc.org/ documents/middleeastandnorthafrica/smuggling-migrants/SoM_Protocol_English.pdf 34. Walk Free Team (2019) The global slavery index, 2019. Retrieved from https://www.globalsla veryindex.org/ 35. Whisnant R (2007) Trafficking and prostitution reconsidered: new perspectives on migration, sex work, and human rights. Hypatia 22(3):209–215 36. Yadova MA (2013) Poverty and inequality in Modern Russia: 10 years later. In: Gorshkov MK, Tikhonova NE (Eds) Institute of the sociology of the Russian academy of science, Moscow, Russia

Migrant Right Protection in the Context of National Security in the Eurasian Space: Problems of Legal Regulation in Russia Victor M. Boer , Sergei U. Andreitco , and Rasid B. Bulatov

Abstract The article involves an analysis of human rights protection in Russia in the national security context. The authors identified a set of problems both for migration in general and for individual categories of migrants. These categories include forced, labor, and other types of migration. This article lists typical right violations of foreign citizens and gives recommendations for improving the legal regulation and practice of protecting foreign citizens’ rights by government bodies and civil society institutions. The effectiveness of protecting migrant rights is linked to the security level in society as a whole. The article analyzes the specifics of integration measures and migration policy implementation in General. The authors take into account the opinion of many experts received during the focus interview. Problems related to the shortcomings in the mechanism’s function of protecting foreign citizens’ rights related to migrants’ identity are presented. It is pointed out that it is unacceptable to approach the fight against violations of migration legislation when the focus is on bringing to justice solely migrants without due attention to violations by employers and intermediaries. Shortcomings in the implemented measures are listed, and the attention is focused on the successful practices of foreign citizens’ right protection. Keywords Migration · Human rights · National security

1 Introduction Nowadays, when migration is discussed, it is often seen as a threat to national security. Simultaneously, existing approaches often do not separate migration categories (labor, forced, et al.). Such approaches also provoke migrant phobia and

V. M. Boer · S. U. Andreitco (B) · R. B. Bulatov Saint-Petersburg State University of Aerospace Instrumentation, Saint-Petersburg, Russia e-mail: [email protected] V. M. Boer e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 S. G. Maximova et al. (eds.), Advances in Natural, Human-Made, and Coupled Human-Natural Systems Research, Lecture Notes in Networks and Systems 252, https://doi.org/10.1007/978-3-030-78105-7_27

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hate-speech. The rhetoric about countering negative phenomena related to migration misses protecting the rights of migrants themselves. The authors of the article conclude that protecting the migrants’ rights contributes to improving the national security level both in the country of origin and in the country of reception. The authors conducted a study of foreign citizens’ rights protection in Russia. A unique feature of the approach was the different migrant group separate analysis (forced, labor). The study resulted in several recommendations for improving foreign citizens’ right protection in the context of national security. The results of the study were tested by several NGOs (St. Petersburg branch of the Russian Red Cross, the PSP fund), as well as by many government bodies (Commissioner for Human Rights in St. Petersburg, the Committee for Interethnic Relations and Implementation of Migration Policy in St. Petersburg). Very often, in the context of migration in Russia [4]. Illegal—illegal migration and illegal—Illegal migrants are discussed (the latter term is deplorable from the point of view of human rights value and can be considered an example of hate—speech). The problem is when to consider the migration flow illegal and concerning whom. Russian law enforcement practice displays [5] that foreign citizens are primarily considered violators, and in the case of migration, measures will undoubtedly be taken to bring them to quite severe justice. However, unconscientious employers and people who have involved a migrant in illegal labor activities may well avoid responsibility. Currently, foreign citizen integration and adaptation is primarily assigned to the constituent entities of the Russian Federation. Many problems exist in this area, many of which are related to misunderstood integration and adaptation processes, ignoring the scientific community position. A significant part of integration events is one– time, limited by the participant number, and it often has a cultural and leisure nature. However, it is apparent that it is impossible to integrate a migrant from, for example, Uzbekistan, into Russian society exclusively by arranging Uzbek music concerts. Moreover, visitors to such cultural events do not have any difficulties appreciating the migrants’ culture. Such events should be expanded to the broadest possible range of participants. It is necessary to stabilize the migration legislation and provide foreign citizens with information primarily in their native language. Nowadays, there are many brochures, leaflets, and other materials that expand on the Russian migration legislation’s details and stay regulations. However, such materials become outdated very quickly. One should also consider the high cost of their production. If we discuss the actual mass information distribution among foreign citizens, it should be noted that such materials should be available on the Internet. The information accessibility is set to reach the broadest possible range of foreign citizens and save budget funds. At the same time, it is impossible to find such memos on the Ministry of Internal Affairs of Russia website. Although the government authorities’ positive initiatives are worth noting, it suffices to mention St. Petersburg’s experience because there is

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a particular migration portal for foreign citizens (migrantinfo.kmormp.gov.spb.ru) where the information is translated into their native languages. Unfortunately, unlike many foreign studies [13], in Russian legal science (to a lesser extent, this is typical for sociological and psychological studies), researchers’ attention is less often focused on the individual himself, his status, and the reasons that pushed him to migrate. The specific nature of migrant rights protection is that they are often denied an appropriate legal protection level. Simultaneously, the equality and discrimination prohibition principles laid down in the 19 articles of the Constitution of the Russian Federation and international treaties [14] were overlooked. It should also be considered that some of the so-called illegal migrants themselves are victims of violations by employers and other persons engaged in foreign citizens’ labor exploitation. It is necessary to raise the right protection problem of such a category of foreign citizens as well. Finally, this will help protect the foreign and the Russian Federation citizens’ rights. The labor exploitation of illegal migrants is key to many immigration violations and is the basis for migration processes criticism in General.

2 Materials and Methods In the study process, the authors used statistical data from the Ministry of Internal Affairs of the Russian Federation (Summary of the leading indicators of activities on the migration situation in the Russian Federation for January-December 2019) (Source), analyzed regulatory legal acts [1], practices of government bodies and civil society institutions of foreign citizens’ right protection. The authors conducted interviews [10] with experts in foreign citizens’ rights protection, particularly police officers, the office of the Commissioner for Human Rights, the Red Cross office, et al. The questionnaire contained three blocks of questions: • Results and effectiveness of migration policy implementation in Saint Petersburg; • Assessment of the current national legislation regulating the entry, exit, and stay of foreign citizens and apatrides, legalization problems, right implementation, and corruptogenic factors in the activities of the executive bodies and other government bodies of St. Petersburg; • Improving proposals for the work of executive bodies aimed at developing migration policy in St. Petersburg. The experts were: • The public and political figures of Saint Petersburg, including the Saint Petersburg Legislative Assembly deputies and the inner–city municipal councils; • The faculty and research staff of state educational organizations of higher vocational education and scientific organizations located in Saint Petersburg; • The St. Petersburg business community representatives;

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• The heads and deputy heads of the executive bodies, as well as their employees whose official duties include the implementation of anti-corruption policies; • The migration agency employees with at least two years of work experience; • The law enforcement officers with at least two years of work experience. The survey, which included 20 respondents, was conducted by interviewing the experts or receiving questionnaires from them. After processing (position generalization, final recommendation development, targeted to the authorities and NGOs), the results were transferred to the Commissioner for Human Rights office, the Ministry of Internal Affairs, and were used when working with foreign citizens. The advantage of this method was the ability to get the expert community’s position in the context of a particular region.

3 Results The study showed that foreign citizens are not considered on a practical level as human trafficking and labor exploitation victims in Russian law enforcement practices. This flaw is regarded as a systematic failure in the field of migration policy. The authors believe that it is correct to stop the system, which allows these violations to occur so often. However, the mass prosecution of migrants gives quantitative indicators of law enforcement agencies’ work, which is their actual focus. Simultaneously, the authors may argue that attempts to increase responsibility for business migration offenses are met with opposition. The factors of overwhelming pressure and corruption risks are at play. However, the comparative analysis of patents issued to foreign citizens and the number of received declarations, and the police activity analysis shows that it is a widespread practice among employers not to sign employment contracts. Moreover, the contract is often signed with an intermediary, not with a direct employer. The analysis of foreign citizens’ appeals to government bodies revealed their extreme passivity in their right protection, caused by a wide range of reasons, which can be attributed to the fear of government persecution caused by known or alleged violations on the foreigner’s part. They also include (1) low legal literacy, (2) fear of extralegal reprisals, et al. Legal base analysis suggests that the current legislation does not specify the status of foreign citizens’ family members on a practical level. The only exception can be attributed to the status of highly qualified specialists, where the status of a family member is stipulated in law. In other cases, the legislator can seem to forget that foreign citizens can have spouses and minor children. Supposedly, such behavior is deliberate and is associated with an unwillingness to pay additional social costs for foreign citizens’ non-working family members, but in any case, such issues should

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be stipulated in the law. Moreover, if one’s goal at the conceptual level is not only temporary labor migration to Russia, but integration into Russian society, then the status of a foreign citizen’s family member and his right protection should be focused on more. One way to improve the mechanisms for foreign citizens’ right protection may be to differentiate migrants depending on their qualifications and occupation. In General, the mechanisms for foreign citizens’ right protection can and should differ depending on the migration categories: (1) forced, (2) labor, (3) educational, (4) family reunification, et al. One should keep in mind that when exploiting the labor of foreign citizens, such schemes as outsourcing and outstaffing are common. The actual employer avoids responsibility. Labor rights protection is a particular problem. One does not know of using such mechanisms as creating trade unions or organizing strikes by foreign citizens as means of their right protection. If there are exploitation problems, it indicates the scale of the problem. A significant number of foreign citizens do not have contracts with their employers. It is sufficient to compare the number of issued patents and the number of declarations about the employment contract signing with foreign citizens. The problem is prolonged in its essence and is still very far from being resolved. Simultaneously, as in other cases, the fight against these violations is mainly reduced to prosecuting foreign citizens themselves, while the employer avoids responsibility. In this regard, any changes in legislation in the migration field should be carried out with the broadest possible legal informing of foreign citizens by all available means, including: • • • •

The work of the joint migration centers; Russian diplomatic missions and consular offices; Posting information on relevant websites including in foreign languages; The distribution of manuals, brochures, and other materials among foreign citizens.

In addition to improving the foreign citizens’ legal literacy level, the above mentioned will provide them with adequate preparation for changes in the current legislation and minimize illegal actions against migrants. Article 37 of the Constitution of the Russian Federation proclaims the right to free and safe labor. The category of foreign citizens is significantly often faced with violations of both labor freedom and safety. There are facts of forced labor, apparent work safety violations, as the Rostrud data regarding the check of the worksites of foreign citizens show. One can use St. Petersburg data mentioned in the regular reports of the Commissioner for Human Rights. It is necessary to strengthen the employer’s administrative and criminal responsibility for safe labor violations regarding foreign citizens. The practices of public migration councils that existed in the Federal Migration Service of Russia and were abolished in 2016 must be brought back. Such councils

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should be created by the territorial bodies of the Ministry of Internal Affairs or by the heads of constituent entities. This council demands creating working subgroups devoted to protecting individual migrant categories, such as migrant children and labor migrants. If it is impossible to create separate public councils, at least it is essential to create separate working groups within public councils by the territorial bodies of the Ministry of Internal Affairs in the constituent entities of the Russian Federation. Nowadays, it is necessary to improve the foreign citizens’ quality of residence in the Russian Federation. Moreover, they need to be provided with a wide range of services in health care and social services. The living conditions of foreign citizens are also needed to be improved. By implementing the above mentioned, one protects not only the rights of foreign citizens but also our citizens’ rights.

4 Discussion In agreement with the opinion of Isakulov, joint information and consultation centers (e.g., Russian–Uzbek) could provide migrants with the necessary information of social and legal nature concerning employment and residence both before departure and upon arrival. It is also required to inform about public help organizations [7]. The author’s personal experience illustrates the need for such counseling services. The country of residence and the country of citizenship protect the rights of foreign citizens. By this, the role of governments is linked to their democracy. Thus, democratic countries can ensure the travel of foreign citizens to countries, which respect migrant worker rights. A number of countries are trying to restrict the departure of their citizens. As the world experience in implementing various migration policies shows, it is almost impossible to manage migration. In most countries, it lives its own life [2]. Many scientists and experts point out that illegal migration poses a severe threat to the security and rights of Russian citizens. Illegal migrants are not subject to state registration, are excluded from the official employment system, tax system, and the state’s social security system, which, in turn, makes them a part of the shadow economy [3]. It is interesting that researchers deny illegal migrants social security and do not consider such migration a threat to the migrants themselves, apparently assuming that all illegal migrants deliberately violate the law. We repeat our idea that illegal migrants have the right to security, including social, although with certain restrictions. One should note that some of the illegal migrants are victims of human trafficking and labor exploitation. The 2018 Global Migration Report highlights that migration management at the global level underwent significant changes in recent years. Most notable include: (1) the adoption of the 2016 New York Declaration for Refugees and Migrants by the UN General Assembly, (2) recent distribution efforts of the two international treaties. This chapter examines how such changes can contribute to a more

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effective global management of international migration. In recent years, the remarkable progress through step–by–step processes of counseling, cooperation, and confidence–building is summed up while recognizing the disruption in the system and significant challenges that need to be addressed [17]. Traditionally, foreign citizens are classified as socially vulnerable groups or at– risk population. However, the research work on the right protection of socially vulnerable groups is, unfortunately, minimal in Russia. This research problem is prevalent in Western countries. The changes in the structure of migration, shown through sociological research, are needed to be taken into account during the development of mechanisms for protecting the rights of migrant children. Family immigration is increasing, and the number of migrant children, including those of school age, is gradually increasing, too. Sociologists say that the tendency of increasing family migration will continue. In this regard, it is necessary to develop measures to counteract migrant children’s possible rights violations in school. Foreign scholars rightly point out the difference in the approaches of state authorities to migration [11]. The latest migration crisis in the EU played a significant part in this [6]. The mentioned also sparked a surge of interest in migration research in the context of national security [13].

5 Conclusion In conclusion, it is necessary to prevent the segregation of foreign citizens and to overcome xenophobia. One should take into account the negative experience of many foreign countries. Ethnically mixed individuals have fewer problems and a higher level of tolerance. The so—called manual management characterizes the protection of human rights. One should recall the situation with the mass movements of Ukrainian citizens. In the absence of relevant norms, critical decisions were made at the establishment level, for example, the Ukrainian citizens’ stay on the territory of the Russian Federation was repeatedly extended, and the masses recognized the status of temporary territorial asylum. Ultimately, there is an opinion that Russia will start ranking labor migration by the scoring system, which has already been done in many countries. Ensuring foreign citizens’ right to use their native language is a separate area of right protection work. In this regard, the approach to hiring translators needs to change drastically. Currently, this problem is better solved in criminal procedure, and there are many more problems in administrative law and procedure. The lack of a coordination center is one of the problems of foreign citizens’ right protection. The Ministry of Internal Affairs is the main body in the field of migration and belongs to law enforcement. However, it cannot perform the full range of tasks,

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including (1) the right protection of foreign citizens and (2) work coordination of the other bodies. Thus, it is necessary to create negotiation and coordinational platforms for discussing and resolving problems in migration. It should be noted that very few activities are currently being carried out regarding the integration of new migrants, with shallow coverage in terms of the number of participants and very little funding. Furthermore, there is a lack of complete statistical data in the field of migration. Very little data is publicly available, which makes it challenging to conduct useful sociological research. It is essential to post sociological data on the Ministry of Internal Affairs website, as well as on the websites of territorial bodies in the field of migration. Independent research on the division of labor between citizens of the Russian Federation and foreign citizens is currently required. One should also study the division of labor into so—called male and female spheres in the migration field. The negative aspect is that foreign citizens are much less inclined to defend their rights. They are more forgiving despite the violations against them. This fact is completely unacceptable and requires a radical change in the legislature and law enforcement approach. They need to add more categories of foreign citizens permitted to get social help, including foreign citizens who are family members of citizens of the Russian Federation. The main reasons for the small number of appeals to state institutions by foreign citizens are: (1) low right protection mechanism awareness, (2) lack of confidence in the effectiveness of their right protection, (3) lack of time, (4) migration law violation on their part, and (5) concerns about being deported when applying to state institutions. We advise developing a series of information and reference materials entitled How Not to Become a Victim of a Crime. The series will include human trafficking, corruption, housing market fraud, discrimination, crimes against life and health involving nationality or religion, et al. There are no significant improvements in the outsourcing and outstaffing despite the ban on the agency labor (Federal Law No. 116-FZ of 05.05.2014 “On Amendments to Selected Legislative Acts of the Russian Federation”). The state needs to counteract this type of employment. By analogy with other constituent entities of the Russian Federation, it is possible to develop criteria for evaluating the work of intermediary organizations (in Sverdlovsk Region—developed by the Public Advisory Council) and their voluntary accreditation. The organization of significant interactions between institutes in the migration field is one of the problems with practical preventive activities. Based on the experts’ survey, we propose to create inter–agency working groups devoted to migration issues at the Federal and regional levels. They should include the Prosecutor’s Office, the Ministry of Internal Affairs, and public organizations. It is necessary to arrange a

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meeting at least once a quarter. It is also possible to create expert groups on the following issues: (1) the prevention of crimes committed by foreign citizens and against foreign citizens, (2) the adaptation and integration, (3) the labor migration, (4) the forced migration. The involvement of civil society institutions in preventive work is insufficient. We also need to expand our work with organizations working in the migration sector in general, not only with diasporas. By protecting the migrants’ rights, people can reduce the severity of migration problems. It is necessary to deal with the causes of violations, not with the effect— foreign citizens who are violators. It is crucial to improve the current legislation, inform migrants, prevent violations primarily by employers and intermediaries and not by foreign citizens themselves. These measures will help reduce the number of migrants with unregulated legal status and migrants who commit relevant violations of the migration law. We require further research on the protection specifics of selected categories of migrants. Moreover, we need further analysis of protection by individual institutions.

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15. The International Organization for Migration (IOM) (2018) Global report on migration. Retrieved from http://moscow.iom.int/russian/rpublications.html 16. The official portal in the field of migration (n.d). Retrieved from migrantinfo.kmormp.gov.spb.ru 17. UN General Assembly (1966) On economic, social and cultural rights: An international covenant (adopted 16.12.1966 by Resolution 2200 (XXI) at the 1496th plenary meeting of the UN General Assembly). Vedomosti of the Supreme Soviet of the USSR 17, 29

Formation of a Unified Social Space in Russia and China: Intercultural Communication Problems Maria M. Plotnikova , Svetlana I. Bairamova , and Ping Ma

Abstract The public policy of strategic rapprochement with China leads to enhanced international cooperation and increased tourist flows. The problems of intercultural interaction in various areas of human life also require particular attention. On the one hand, the governments of Russia and China urge people to realize their shared responsibility for further cooperation. On the other hand, some media describe China as an alien and dangerous country. Therefore, cultural differences hinder constructive cross-cultural interaction and lead to tension in relations. The analysis of scholarship on intercultural cooperation problems in the Russian and Chinese humanities allows us to claim that intercultural communication is an essential area of theoretical and empirical research in both countries. The cultural contact between the peoples of the two countries, which differ in cultural and historical experience and mentality, requires searching for solutions to overcome the problematic situations arising in the intercultural communication during the formation of a single socio-cultural space. Keywords Intercultural communication · China · Cultural value matrix · International cooperation · Conflict · Educational technology

1 Introduction Currently, China is a strategic partner of Russia. This fact implies practical, long-term cooperation between the two countries in many areas. However, cultural differences create specific tension in the relationship, which is not appropriate to discuss. In the context of modern globalization and the enormous possibilities of electronic translators, it is becoming increasingly difficult to hide the true attitude of peoples toward each other with declared friendship and mutual understanding. It is no secret that Chinese textbooks say that Siberia is a “temporarily lost territory” of China, while the Russian media write that “the Chinese bought everything they could buy” and “the Chinese captured Lake Baikal.” At the first acquaintance with the Chinese M. M. Plotnikova (B) · S. I. Bairamova · P. Ma Irkutsk State University, Irkutsk, Russia e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 S. G. Maximova et al. (eds.), Advances in Natural, Human-Made, and Coupled Human-Natural Systems Research, Lecture Notes in Networks and Systems 252, https://doi.org/10.1007/978-3-030-78105-7_28

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culture, Russian people immediately notice that Chinese culture is different from the Russian one. This alienness manifests itself in everyday life, business, and traditional art. The Chinese also note the difference in cultures, paying particular attention to our straightforwardness. The history of relations between cultural groups, social processes, and media content affect cross-cultural interaction. We identify several reasons for the cautious attitude of Russians towards China. One of the reasons is the foreign policy of China, based on strategic thinking and applied in RussianChinese relations since the signing of the Treaty of Nerchinsk in 1689. The second reason is cultural compatibility; and the third is the influence of stereotypes about the nations. As a result of analyzing current Russian and Chinese research on problem situations in cross-cultural interaction, we concluded that this phenomenon is not formed automatically. Effective intercultural competence should be cultivated by developing special technologies aimed at teaching people constructive behavior in conflict situations of intercultural interaction.

2 Materials and Methods To study the problem of cross-cultural communication, we analyzed the scientometric studies of Russian and Chinese scientists, the topics of which reflect the problems of cross-cultural communication (跨文化 kuà wén huà) for the period from 2010 to 2020. The use of systematization and typification [26, 32, 37] allowed us (1) to summarize the current opinions and trends in the research of cross-cultural communication and dialogue between Russia and China, (2) identify the main research areas; (3) explore the possibilities of spreading previously formulated theories and concepts; (4) determine the specifics of cross-cultural interaction in the context of cultural globalization. We analyzed the concept of culture in Russian and Chinese using conceptual analysis [6, 18, 24, 44]. The analysis of the international relations of China and its foreign policy required a comparative historical method [22, 31].

3 Results The analysis of the works of various authors on the problems of intercultural communication showed that the interests of Chinese scientists include (1) intercultural pragmatics, (2) cultural comparison, and (3) improvement of the student’s competence in cross-cultural relations in the process of teaching foreign languages [50, 53, 56, 57]. After the entry of Chinese firms into the international market and the growth of the number of multinational companies, the interest of Chinese scientists in the study of cross-cultural communications has arisen [27, 49, 57]. These studies show that the theoretical model of cross-cultural communication skills mainly contains elements

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based on Western mentality and behavior, with a strong Eurocentric and Americancentrist orientation. In recent years, Chinese scientists aim to develop a model of cross-cultural competence based on the cultural traditions of China [29, 46, 52, 57]. Recently, Russian scientists have focused on (1) the methodology of teaching foreign languages in the context of the formation of students’ intercultural competence [3, 21], (2) translation as a form of intercultural communication [19], (3) the comparison of languages and cultures [43], and (4) the specifics of intercultural communication [15, 16]. The most significant aspect of the works of Russian scientists is the study of cross-cultural communication in the linguistic aspect. Crosscultural communication has been established in the context of teaching foreign languages. Leontovich notes that Russian linguistics developed several terms that are almost unknown to Western researchers, such as (1) language personality, (2) concept, and (3) concept sphere. In her opinion, the linguistic bias of cross-cultural communication hinders the development of this science, as the term itself and the science as a whole become unclear [25]. We cannot fully agree with this point of view, since linguistic studies on cross-cultural pragmatics are highly productive, because they allow us to clarify culture-related differences. Language is the only tool that can reveal the hidden realm of mentality, because it determines how the world is divided into different cultures. People tend to give non-existent universality to the same words in their native and foreign languages, thereby causing blunders in understanding. To illustrate this, we can show the differences in the content of the seemingly universal word culture in Russian and Chinese. The etymology of the word culture goes back to the Latin culture, which meant the cultivation of the land. The semantic change in its meaning is associated with the metaphorical transfer of what was created in agriculture to what was created in general as a result of human development. In the dictionary of Ozhegov, the first meaning of this word is “the totality of industrial, social, and spiritual achievements of people,” thus, culture means what is created by people and their will. In Chinese, the word culture consists of two characters. Etymologically, the first word 文 wen meant a sacred tattoo of shamans and priests of the archaic era. Later, in the real discourse, it began to denote any pattern or decoration; this resulted in the transition to the meaning of the written sign. The second word, 化 hua, means to transform, change, or create. These two characters can be translated as transformative influence through a written sign. If culture is a written creation, only someone who can write and read characters can become a cultural person. The concept of culture in Chinese science determines spiritual creativity and its inheritance [14] through written sources. Russian culture is linear, its history is separated from modernity, while Chinese traditional culture is cyclical. Russian culture has evolved, and ancient texts have been consistently translated into Greek, Old Slavonic, Latin, and modern Russian. Over time, the handwriting has changed significantly. The stability of Chinese hieroglyphic writing and freedom from phonetization ensures the graphic and lexical consistency of classical texts. It makes it possible for every educated person to read the texts of the collective memory of many epochs at different development stages of China. The former supreme leader of China, Hu Jintao, in his report to the XVII Congress of the CPC in 2007, noted,

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“in the modern era, culture is becoming an increasingly significant source of national cohesion and creativity, an important factor in the competitive struggle of a national ideology that is rich in spirituality < … > . We must strive for advanced socialist culture, for a new upsurge of socialist cultural construction, stimulate the cultural creativity of the whole people, and strengthen the authority of national culture with the help of soft power” [14]. Among the most relevant topics of scholarship in Russia and China, it is possible to note studies of (1) issues of intercultural communication in the globalization context [11, 14, 20, 35, 40, 51, 54], (2) the hypotheses of the third culture [12, 13], (3) cultural identity issues [1, 36], studies of conflict as a form of intercultural communication [9, 47], teaching intercultural dialogue in the spirit of the new paradigm non-dialogue of cultures [2, 38, 42]. Scientists of both countries note that modern globalization processes adjust the development of intercultural communication, since it is the globalization of culture that is a vivid manifestation of intercultural communication.

4 Discussion The awareness of the world as a single space enriches the cultures of different countries in various life areas. For example, in Russian culture, the love for green Chinese tea, traditional Chinese medicine, health-improving gymnastics, and feng shui takes root. According to Golyshev, cultural globalization is “a complex, universal, diverse, and multi-faceted socio-cultural process of integration of countries, nationalities, and ethnicities, forming a voluntary global humanistic unity that determines the possibility of earthly existence” [11], as a result of which a new type of personality should appear—a global one. Simultaneously, over the entire period of the realizing integration processes of combining humanity into a single social space, cross-cultural interaction problems have not decreased but have become even more urgent. This fact makes it necessary to find adequate solutions to overcome intercultural conflicts against the background of a mismatch of the cultural value matrix, which combines “national, religious, cultural, educational, and family traditions, established legal customs and widespread spiritual and moral values” [45]. At the end of the twentieth century, global competence became an essential component of education. In 2018, the Program for International Student Learning Assessment included global competence in its agenda. The report of the American Council for International Intercultural Education and the Stanley Foundation’s Education for the Global Community considered global competence as an awareness of the interconnection and interdependence of countries and peoples, political and economic systems, as the ability to accept the presence of various cultural values and live in a multicultural society [35]. Musha Doerr includes five main components in the content of global competence: (1) knowledge of current world events or specific cultures, (2) empathy for others, (3) approval of other peoples and cultures, (4) foreign language proficiency, and (5) implementation of tasks in a different cultural environment [8]. The concept of tolerance has entered the thesaurus of pedagogical science. It is

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necessary to decide whether tolerance means passive acceptance of another culture, readiness for constant concessions, or rejection of national traditions and customs in favor of effective intercultural interaction. The scientists identify several reasons for the cautious attitude of Russians towards China. The first reason is the foreign policy of China. For example, stratagem diplomacy, which is currently receiving increasing attention [5]. Stratagem is one of the cultural attributes of Chinese society. The scientist Myasnikov believes, “the stratagems in the foreign policy of China were a synthesis of a situational assessment and a theoretically developed plan or plans in case of a repetition of such situation” [30]. We have identified stratagem 7 of 36 Chinese stratagems, which is discouraging for people with a European mindset. This strategy is also called the strategy of creative exaggeration. It focuses on the need to present phantoms that offer an entirely different description of reality to the enemy, this is a method of mixing concepts, replacing some concepts with others, confusing partners in arbitrarily selected “historical” precedents [33]. Russian diplomacy, represented by Count VladislavichRaguzinsky, a prominent diplomat of the epoch of Peter the Great, found a worthy answer, “everyone owns only what their own now” during the signing of the Treaty of Kyakhta in 1727. When Chinese diplomats insisted on drawing the border between the Qing Dynasty and Russian Empire along the Angara and Lake Baikal, Raguzinsky proposed drawing the border along the Kerlen and Tola rivers, located 15 days away from the last Russian guard on the Selenga Road. We emphasize that the modern press still writes, “The Chinese are seizing Lake Baikal” [4]. In the 1920s, the new Chinese authorities began to issue maps on which the territories of neighboring countries that did not belong to China were designated as Chinese. Buturlinov et al. [7] note that in 1959, the most complete map of the lost territories was compiled, indicating the year when it was lost and to whom it passed. On this map, the Tashkent region passed from China to Russia in 1864, the left bank of the Amur and Priamurye passed from China to Russia in 1860. Russia and Japan seized the island of Sakhalin after 1875. Chinese historians continue this trend in modern Chinese historiography, even if published in Russian [34]. In the context of our topic, we would like to quote, “In July 1860, Russia occupied Haishenwai on the Pacific coast, which was an attractive access to the sea in the Asian part of Russia. Haishenwai in Chinese means trepang bay. It used to belong to Jilin Province during the Qing Dynasty. Russia called this small fishing port Vladivostok” [39]. The second reason deals with the problem of cultural compatibility. Following Medvedev, we understand cultural compatibility as “the consonance of the mental structures of interacting cultures, the coincidence of spiritual values, and the archetypal elements that make up their basis” [28]. In terms of the civilizational approach, China is defined as one of the genetically autonomous civilizational centers. Chinese civilization arose independently of other ancient civilizations, having passed a specific path of historical development. Besides, China is the only country that emerged in the Neolithic era and still exists today. China surprises with its stable cultural traditions, which were not interrupted even during the foreign

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expansion [23]. Russian culture developed under the significant influence of European culture, interacting with peoples who had a genetic connection and belonged to a single Christian space. That is why it is easier for Russians to communicate with Western civilization, they understand European values better than Chinese philosophy. Russians perceive Chinese millennial culture, which has a strong influence on the behavior of its citizens and their mentality, as a threat to their cultural identity. The third reason concerns the influence of stereotypes about Russia and China, transmitted from generation to generation and are often taken for granted. Given that Russia has developed over several centuries under the influence of European ideas, the Western perception of China has become the source of Russian ideas about this country. The first negative image of China was formed in the works of P. Ya. Chaadaev, V. G. Belinsky, and A. I. Herzen, who regarded China as a benchmark of stagnation and hypocrisy. The close contact of modern Russians with China happened in the 1990s, when Chinese migrants have poured into Russia. Dyatlov [10] distinguishes the main characteristics of this image: (1) unpretentiousness, poverty, and unsanitary conditions, ingratiating behavior, (2) high competitive potential, due to a combination of working capacity, labor discipline, and minimum wage requirements; (3) cultural alienation and the desire to preserve it; (4) the presence of migrants behind their backs, while dormant, but with a vast potential for power in China. Dyatlov notes that even positive qualities had a negative connotation: if they are patriotic, they are disloyal to Russia; if they help their compatriots, they are a clan. In the context of the expansion of intercultural contacts, such complex interethnic relations require new ways that ensure the effectiveness of mutual understanding and do not hinder the preservation of one’s own cultural identity. There is still an opinion that the intensification of contacts at the intercultural level increases cultural awareness and sensitivity. Nevertheless, practice and modern research do not confirm this statement. Khukhlaev, in his paper, referred to experiments proving that in the absence of specially organized training, such experience does not increase the ability to effectively interact with people of another culture [17]. Nobody can accuse, for example, the rector of a university of having little experience in crosscultural contacts. However, there was such a case in a Russian university. An incident occurred that cast doubt on the further cooperation of this university with a Chinese university. The Chinese delegation was invited to the international conference held by the Russian university, the secretary of the Chinese Communist Party of the Chinese university headed the delegation. After the plenary session, the rector of the Russian University said that he had pressing matters, quietly left. In the afternoon, the rector was supposed to meet and host a gala dinner with the Chinese delegation, which the entire Chinese delegation refused to attend. The Russian rector was offended and refused to cooperate with them further. An analysis of the situation showed that the secretary of the Chinese university was confused by the fact that the Russian rector left the event first. From his point of view, this was a gross violation of etiquette, since in Chinese universities, the position of secretary of the Communist Party is hierarchically higher than that of a rector.

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Participants of cross-cultural communication for effective interaction must know the culture of the communication partners, spiritual values, traditions, and the national mentality features. The learning process is based on the concept of teaching the dialogue of cultures. We understand the dialogue of cultures as a way of communication between representatives of two or more cultures, when each side recognizes the other as equal, shows interest in it, admits its differences, respects its uniqueness, and through knowledge and comparison, deepens its identity [48]. Traditionally, Chinese language classes pay great attention to texts devoted to describing cultural phenomena and sights of China. It is crucial to teach students to respect the culture they are studying and to find common ground between their native culture and the one they are studying. However, according to Sysoyev, this may lead to unreasonable expectations that representatives of other cultures will also share and put into practice the concept of dialogue. In this regard, he suggests reviewing the content of teaching intercultural communication [41]. Unfortunately, the objective reality shows that the tolerance program contributes to the fact that there is silence on the negative experience of cross-cultural interaction and the ignorance of ethnic differences. We share the opinion of Tareva on the need to review the status of intercultural dialogue in the linguodidactic method. In addition to getting acquainted with the cultural values of another country and comparing it with their own culture, it is also necessary to prepare students for such communicative situations when “cultures (native and studied) are in ideological antagonism” [42]. Pedagogical techniques that are proposed to involve students in cross-cultural communication are active learning technologies. They include case technologies for solving and analyzing practical problem situations to overcome the difficulties of cross-cultural interaction. Situations can be reproduced from the point of view of different cultures. Situation analysis allows students to consolidate theoretical knowledge about the features of the studied culture or recall important rules of interaction with a representative of another community. Information that has been independently analyzed is better remembered. For example, students may be asked to analyze a situation, when a student was late for a class. She noticed the Chinese teacher walking down the hall to the classroom. The student quickened her pace, ran past the teacher into the classroom, closed the door behind her, and managed to sit down at her desk before the teacher entered the classroom. The Chinese teacher gave a lesson and then asked the school management to remove this group from his schedule, as he no longer wanted to hold classes in this group. Students can analyze the situation from the point of view of a Russian student and from the point of view of a Chinese teacher. As a rule, Russian students, considering the situation from the point of view of a Chinese teacher, assumed that (1) the student accidentally hit the teacher; (2) the teacher was offended that she did not greet him; (3) it is forbidden to run ahead of the teacher; (4) the teacher thought that the student laughed at the fact that he was also late. In this situation, the teacher was offended that the student closed the door almost in front of him. From his point of view, the student demonstrated that she did not want him to teach classes. If the student respected the teacher, she would hold the door open and let the teacher enter the classroom first. Students can read many

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texts about ancestor worship in China and analyze modern forms of the teachings of Confucius on filial piety, but only in practice they can best understand that respect for elders is a traditional Chinese value. Particular cases always arouse a high interest in interpreting situations and emotionally involve the students. This technique is crucial because it is possible to create a cultural assimilator from the analyzed situations, which can be used for self-learning in the future.

5 Conclusion Today, all people are ethnocentric; therefore, they firmly believe that their culture is normal, and the other cultures should be the same. If during communication, they encounter situations that, in their opinion, differ from the norms of their culture, they automatically attribute negative traits to the interlocutor. To learn how to overcome bias in relations with representatives of other cultures, one should consciously develop cross-cultural competence. Nonetheless, it requires cognitive and communication training. The growing complexity of the geopolitical situation in the world provokes an increase in inter-ethnic tensions and conflicts. Simultaneously, during globalization, the number of intercultural contacts is inevitably increasing, which requires the training of specialists in various fields competent in intercultural communication. Most modern approaches have one common drawback: intercultural learning methods mainly focus on providing knowledge and information about the culture. Effective cross-cultural learning should (1) involve participants in the discussion of cross-cultural conflicts, (2) allow students to analyze the cross-cultural situation, (3) highlight the values of both cultures, (4) understand other cultures and relate them to the characteristics of their native culture.

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Migration Processes and Their Management Through Cultural Tools: A Metacultural Approach Sergey E. Yachin , Oksana Yu. Kaplun , and Shao Yupei

Abstract The strategic task of Russia to cooperate with its closest neighbors and improve its migration policy requires an overall assessment of its potential in terms of the ability to build this cooperation on favorable terms for the country and ensure its national security. This study aims to reveal the significance of metacultural potential in interacting with migrants mainly from countries of other civilizational types. At the same time, we focus on the framework nature of cultural factors in relation to economic and political factors in terms of reproducing social systems in current conditions. The heuristics of the metaculture concept determines the fundamental and innovative nature of the research. This paper emphasizes the ambiguity and inconsistency of the migration processes. The main challenges of migration arise from the violation of the social adaptation processes of migrants. We assume that the solution to migration problems does not require an administrative approach. Instead, it is better to use project management. Managing migration, one should use the tools of metaculture and education. Moreover, we pay special attention to the opportunities and benefits of professional training and education of migrants. Career opportunities should be an important part of integrated migration policy. Keywords Migration · Migration challenges · Migration management · Metaculture · Socio-cultural adaptation · Migration policy · Education

S. E. Yachin · O. Yu. Kaplun (B) Far Eastern Federal University, Vladivostok, Russia e-mail: [email protected] S. E. Yachin e-mail: [email protected] S. Yupei Weinan Normal University, Weinan, China © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 S. G. Maximova et al. (eds.), Advances in Natural, Human-Made, and Coupled Human-Natural Systems Research, Lecture Notes in Networks and Systems 252, https://doi.org/10.1007/978-3-030-78105-7_29

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1 Introduction Human migration is an essential factor in national and regional development. The issue of labor migrants in Russia remains relevant for the Far East, where the share of foreign labor force remains higher than in other regions of the European part of Russia, which is probably due to the structural nature of the economic sector [3]. Foreign migrants have become an integral part of the Russian labor market, partially solving the problem of filling vacancies that are not in demand among the local population [2]. Meanwhile, this situation creates other problems, including (1) the increase in illegal migration, (2) a decrease in employment opportunities for local residents, (3) an additional burden on social institutes, and (4) a decline in international relations. An important question arises: can we control these processes through project management, so that the country could benefit from them? If we do not consider an administrative approach to be a part of project management, we should admit that today the disorderly state of affairs largely forces us, sometimes belatedly, to apply the administrative approach to solving emerging issues, and this proves to be ineffective. We treat the symptoms without taking control of the whole situation. There are no key management factors, such as (1) an established feedback mechanism, (2) clear goals, (3) forecasting, (4) coordinated actions of the authorities, aimed at changing the dynamics for the better. Administrative measures are intended to maintain the current balance, therefore, playing a crucial role. Nevertheless, since it has become increasingly clear that the existing state of affairs is not efficient, the administrative approach as a prevailing measure is destructive for the future of the country.

2 Materials and Methods The metacultural approach involves a specific combination of traditional and modern socio-cultural research methods. The framework of the metacultural approach includes (1) anthropological approach—M. Scheler, A. Gehlen; (2) dialogic approach—F. Dostoyevsky, M. Bakhtin, F. Frank, V. Bibler; (3) philosophical hermeneutics—M. Heidegger, H.-G. Gadamer, P. Ricœur, E. Betti, J. Habermas; (4) systems theory—N. Luhmann [7]. The modern anthropological approach suggests considering the basic structure of human existence as a constituent reality with all its cultural and social principles (M. Scheler). This idea is the main criterion for the viability of cultural forms and social institutes. The dialogic (joint) approach to the concept of human existence allows us to rationalize the cooperative nature of any creative activity, and therefore, present the issue of interaction of individuals within cultural boundaries as a major analytical and practical challenge.

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The hermeneutic approach is supplemented by the modern theory of social systems that allows us to objectify and operationalize the meaning of social forms. According to this approach, the meaning is determined by the law of form, resulting from reinterpreting a point of difference within the existing form. The mechanism of reinterpreting the point of difference (margin) within the system of oppositions ensures the self-reproduction of the system. Metaculture concept determines the conditions of achieving such a state of the national (original) culture that can comprehend and use creative products of other cultures for its own development and, in turn, influence other cultures, revealing their creative potential.

3 Results 3.1 Requirements for the Project Management Procedure Among the many reasons for replacing the management approach with an administrative one is the absence of necessary tools or, more precisely, the existing distrust of using some of them and belief in their inefficiency. The tools in question are cultural. Cultural tools are institutionalized methods of transferring knowledge, values, and concepts from one social subject to another. In contrast to economic and political management, cultural management works by transmitting certain conceptual messages (i.e., a concept with personal meaning) to the subject. No rational and responsible management can exist without cultural tools. Economic and political incentives (through legal regulation) are either ineffective or destructive without a cultural background. That is why modern political advisers define their work as the management of public consciousness. While economic and administrative tools could be implemented at the top management level, although with some losses, cultural tools cannot be used at the middle and lower levels. Everything is distorted, and everything positive turns negative. Knowledge is the most significant and common type of conceptual message. The main cultural institution is the education system. However, there are other tools, including (1) pieces of art, (2) mass media, (3) religious organizations, and (4) science as a system of obtaining new knowledge. We should emphasize that these tools are cultural, although they can be transformed into a conceptual meaning of personal values, such as knowledge, images, spiritual values (that is why they are usually referred to as “the soft power”). Administrators do not fully understand that soft power is a modern and effective tool that cannot be regulated directly. Any attempt at direct administrative intervention will destroy the tool, reduce it to economic, political, or legal concepts, which, in turn, are much less productive.

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3.2 Project Management of Migration Processes It is the lack of attention to cultural tools and education as their main component that hinder the large-scale project management of migration processes. Unfortunately, these tools are only productive when combined with economic, political, and legal measures; they need funding and political proactivity. Only a combination of economic, political, and cultural factors can control this process. At the same time, the cultural element should be the core element of this combination. There are at least two reasons for this emphasis: the dominant role of the human factor (human assets) and the framework nature of the cultural production cycle compared to political and economic cycles. Project management of migration processes starts with defining the goal. Only a certain goal can determine the choice of means and estimate the necessary amount of resources. Besides, the goal should be culture-related, for instance, in terms of Human Qualities of the Local Population (A. Peccei), using a Human Development Index [HDI] to measure this. This coefficient summarizes the demographic, economic, and cultural parameters of the population, being the most objective criterion for regional development. HDI in Primorsky Krai exceeds 0.8 which indicates a high level of development, according to the UN scale [4]. Nevertheless, the HDI of Primorsky Krai is lower than in other Russian regions, while Moscow, Tyumen, and Saint Petersburg are the leaders. At the same time, the ongoing integration of Russia into the economic, political, and cultural sectors of the Asia Pacific Rim is a perfect basis for achieving this goal. This idea of integration should become a model for creating a new migration policy. The modern approach to integrative migration policy requires migrants to adapt to the new society and its customs [3].

3.3 Administrative Approach to the Problem Migration processes have both advantages and disadvantages; they provide opportunities and have pitfalls. That is why the government should learn to manage migration processes, not migrants [3]. The current administrative procedure for treating migration processes has the following characteristics: • Problems with migrants result from the flaws of Russian legislation and the lack of proper control over the implementation of laws; sometimes we provoke violations ourselves; • Increase in the level of illegal migration among foreign citizens is caused by inconsistency in the implementation of migration legislation; • Illegal employment among migrants is the main reason for illegal migration and the risk of creating social tension. This fact is evidenced by administrative data and the crime rate among migrants [1].

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These characteristics of migration processes in Primorsky Krai stem from the problems that government regulation of migration has accumulated over the previous years, including the following: • Development and implementation of a comprehensive strategy for managing and regulating migration processes in Russia should have been created in the first years of its establishment as an independent country; • Twenty years of occasional management and dealing with local problems as well as with unsupervised or supervised, but not controlled migration processes, immigration spheres, and domestic migration generated several challenges for the Russian national security [6]. As a result, administrative workers believe these problems are best solved via the improvement of legislation, even without analyzing the current functioning of the system, which is closely related to the values of the subjects of legal relations. We should pay particular attention to the problems of integrating migrants into the new society since they are a part of the cultural environment. The first problem with migrant integration is the lack of interest among most migrant workers in becoming a part of the recipient culture by learning about its history, traditions, and language. A possible reason for this lack of interest in linguistic integration could be the existence of a parallel subculture of migrants that meets their linguistic and cultural needs [3]. The second problem is that migrants are low-skilled and not fully integrated into the labor market. The third problem is the separation of migrant communities with a tendency to create their own independent society. Migrants from North-East Asia usually choose the Russian Far East for their temporary settlement due to its proximity to the border and their home country. They find it difficult to integrate into the recipient society, mostly content with their migrant social network. Interaction with Russian citizens often happens out of necessity. It is also worth mentioning another trend of labor migration from the North-East Asian countries. There are almost no people in this group who come to Russia with their families. Most of them are single men. In most cases, any interaction with authorities or employers is mediated through the host organization or an official representative of the country. Such a low level of social integration in the recipient society often makes NorthEast Asian migrants a less important part of the labor market (for example, the fishing industry) that affects the regional economic situation. Therefore, there is a contradiction: on the one hand, migrants change local society, and on the other, remain unassimilated in it. The fourth problem is the mutual alienation existing between local residents and migrants. Focusing on the relationship between the local population and migrants, we should note that we will not be able to meet the goals of regional development without making some changes. Usually, this issue is considered through the concept of tolerance.

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4 Discussion 4.1 Discussion of Labor Migrants’ Status To get a clearer picture of the current situation, we should take into consideration the point of view of labor migrants. Their main motivation for leaving their previous place of residence is a significant gap between different social groups in their financial situation and standard of living. Relocation is associated with expectations of higher personal income, regular wage, new life prospects, access to social security benefits, and comprehensive education [5]. We believe that cultural cooperation between Russia and the above-mentioned countries plays a significant role in migration processes, primarily in terms of the values and motivations of migrants. The research results indicate that the way migrants perceive the situation reflects the way the authorities and local residents perceive it. In other words, the interviewed migrants also confirm the absence of cultural motivation and existing alienation from the local population. Another conclusion to consider is the reluctance of migrants, who speak Russian, to share this “cultural asset” with their compatriots. On the one hand, Russian citizens are becoming increasingly intolerant towards migrants. On the other hand, migrants themselves do not have the cultural motivation to integrate into Russian society. The result is the alienation of migrants from the local population and the aggravation of interethnic conflicts. Understanding the scope of the problem, we can conclude that the elimination of cultural tools from migration management contributes a lot to the current situation. Although we should emphasize that cultural factors are also essential; they are still primarily administrative.

4.2 Sociocultural Adaptation of Migrants Through Professional Training In our opinion, the solution to this problem is the socio-cultural adaptation of migrants through their professional training. The education system is a complex institution of socialization, involving its own economic (the economy of knowledge), political, and legal components. Nevertheless, the core element of the system is its cultural nature. The current shift to economic, political, and administrative importance of education is destabilizing the complex structure of the entire system. Therefore, we regard migration management through the education system as a multifaceted approach to solving most current issues. First of all, such an approach provides the solution to the problem of low motivation among labor migrants. It is not easy to imagine an employee who would not be interested in improving their skills.

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Second, it eliminates the problem of dehumanizing migrants and treating them only as labor force. Also, their professional training increases the payment for services provided, which also increases their motivation. Third, this motivation should and must be the basis for exposing them to other integration factors, such as learning language, history, and rules of cohabitation in our country. The current situation provokes more irritation with the necessity to learn these things instead of being interested in them. Fourth, this approach promotes the region as a place with employment and educational opportunities. This idea could create a positive image of the entire Russian Far East. Fifth, professional training is self-sustained and, in many ways, similar to any other investment. Sixthly, it creates a transparent framework for administrative regulation of migration flows.

5 Conclusion To demonstrate the significance of the cultural factor in the modern world, we used factual material. The current trend of culture becoming a leading factor of migration policy and national security is presented from methodological and theoretical standpoints. This factor is responsible for the reproduction of the main national asset— human resources. In addition, this factor contributes to the development of national identity and becomes the basis for the national political priorities after a certain exposure period. Based on the understanding of this trend, the research examines the importance of cultural tools in the effective adaptation of migrants and the achievement of national policy goals. The metacultural potential is defined as the ability of a nation to influence other cultures from a creative standpoint and use the creative products of other cultures for its own development. Metacultural approach to international relations is seen as an alternative for soft power doctrine implemented in many leading countries, including the USA and China. The ideas of metaculture oppose soft power principles while striving to achieve the same goal: to increase the attractiveness of one culture among others. Education is a key component in the modern concept of culture. This cultural aspect is responsible for producing human resources. In this respect, it becomes a fundamental part of the economy and an area of special interest for the government. The National policy considers education a “soft power” and a cornerstone mechanism for ensuring its international success in terms of personnel competition. National education policy as a part of metacultural concept has its explicit and more practiceoriented representation: in a practical sense, the metacultural potential of a country can be established through its education system that is a platform for transmitting values and ideas from one culture to the outside world.

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Creating more opportunities for professional retraining and advanced training of migrants will change the entire migration management strategy. The tasks of controlling migration flows will be shifted towards developing a long-term migration model instead of a short-term one. All in all, the strategies mentioned above will help (1) solve the major problem of introducing migrants into Russian society, relieve social tension, and contribute to international relations.

References 1. Avdeev YA, Pushkarev SG (2011) How can do we keep preserve the our Far East? Orient Inst J Proc Inst Orient Studies 2:25–135 2. Magomedov KO (2013) Problems of labor migration problems in the Russian Federation. Monit Public Opin Econ Soc Changes 5(117):52–60 3. National Strategy Institute (2014) Social risks of immigration. Report. Retrieved from http:// www.instrategy.ru/pdf/246.pdf 4. Panischenko MI, Kocheva EV (2013) Analysis of the development level of Primorsky Krai based on the Human Development IndexAnalysis of the level of development of the Primorsky Territory on the basis of “human development index”. In: Kutaev ShK (ed) Economics in the 21st Century: Theory and practice. Proceedings of the material collection 3rd international scientific and practical conference, Vladivostok, Russia: SIC Testing, pp 146–148 5. Petrushin IV (2010) World economic crisis and features of immigration to Russia. Bull Russ State Hum Univ 3:231–242 6. Shirokov AI (2014) Innovative methods in decision-making methods in the migration policy. Sci Modern Soc 6:123–125 7. Yachin SE (ed) (2016) Culture and politics. In: Metacultural potential of Russia’s cooperation with North-Eastern Asian countries as a resource of its national security. Vladivostok, Russia: Dal’nauka

Value Attitudes Towards Older People as Social Sustainability Inna V. Zaychikova , Irina I. Patsakula , and Elena I. Khachikyan

Abstract Recently, the concept of sustainable development attracts increasing public attention again. In 2002, Russia also developed the concept of sustainable development. Its social policy has a goal of forming and functioning civil society, in which the vital interests and rights of most citizens are coinciding and coordinated. The article presents the results of an empirical study of three age groups of subjects with a total number of 335 people: (1) elderly and senile people (over 60 years old)—94 respondents; (2) people of pre-retirement age (50–55 years old)— 109 respondents; (3) middle-aged people (30–45 years old)—132 respondents. The study showed that it is necessary to direct efforts to create conditions for realizing the potential of people of retirement, pre-retirement, and middle age in the following: (1) in understanding requirements that the new situation of development imposes on people; (2) in understanding how to displace the locus of control on the internal making one’s own efforts to overcome fears and searching for new solutions to overcome oneself in this unstable world and become different; (3) in looking for new formats of one’s own harmonious existence. Keywords Socially sustainable development of personality · Demographic aging of the population · Socio-economic changes

I. V. Zaychikova Financial University Under the Government of the Russian Federation, Moscow, Russia I. I. Patsakula (B) Kaluga Branch of Financial University under the Government of the Russian Federation, Kaluga, Russia e-mail: [email protected] E. I. Khachikyan Kaluga State University K.E. Tsiolkovsky, Kaluga, Russia e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 S. G. Maximova et al. (eds.), Advances in Natural, Human-Made, and Coupled Human-Natural Systems Research, Lecture Notes in Networks and Systems 252, https://doi.org/10.1007/978-3-030-78105-7_30

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1 Introduction There are various interpretations of the concept of sustainable development. Some talk about the importance of preserving nature and the environment, while others emphasize the need to achieve democracy and equality in society [10]. However, in our opinion, it is necessary to agree with those who demand to consider society and nature as a unified whole. Until people achieve the necessary socio-economic living conditions, no one will protect the environment. The concept of sustainable development implies that human is the core value. In this regard, human participation in the processes that form the sphere of human life becomes significant. In practice, it means that various social groups of people should have the opportunity to participate in decision-making in the process of life. Moreover, they should contribute to the achievement of harmony in the ecosystem and its connection with society. The social dimension includes environmental ethics, quality of life, well-being, and care for future generations. The main goal of sustainable development is to inspire people to continually improve their situation [4]. People should be aware of their role in the universe, learn to live by what they need most and dearly. Sustainable development is about balancing everything [3]. In this regard, studies that consider the challenges of modern world economies, one of which is population aging, are gaining interest. The largest number of older people live in modern society nowadays. Their number exceeds the total population of the planet, which was in the seventeenth century [1]. Each era has its age structure, and its restructuring changes the entire face of society, all its social institutions, including the family. Even at the end of the last century, the demographic aging of the population was not a significant problem. However, the situation changed dramatically, and it makes not only demographers worry about it. At present, scientists fully realize and clarify the rapid progress of this phenomenon. No one doubts the speed of this phenomenon spreading around the world. The consequences of this process began to affect all sectors of social activity, and the surge in interest of scientists in the numerous problems of people in the later period of human life became evident. Contemporary research and scholarly papers and books on old age provide the causes that lead to an unprecedented increase in aging populations in many countries around the world and confirm them with tables and opinions of respected scientists (Fig. 1) [11]. If back in 1950, people over 65 accounted for 7.7% of the population of the world. In 2019 the share increased to 19, and in 2050, it will exceed 27%. Almost half of the population of Russia (47%) will retire by 2060. Most countries will have to reform their pension systems. Amid a shrinking workforce, they will have to finance the growing number of retirees, who will also receive their pension longer than generations before. Without reforms and accelerated growth in labor productivity, the growth rate of the world economy could slow down, and the well-being of people could decline [5].

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Fig. 1 The proportion of the population over 65. Source (United Nations, Department of Economic and Social Affairs, Population Division [11])

This demographic situation determines the formation of new needs and abilities of older people and the rejection of outdated ideas about old age. The problem of the value of older age and the ideals of the older people becomes an essential element of modern sustainable social development and the psychological climate of society, which is formed in a situation of ongoing socio-economic changes. As a result, the following foreign materials deserve attention: • Materials on the prospects for social development of people in the late period of life (Quinn, Burkhauser, Kaye); • Materials on relationships with children and grandchildren (Cherlin, Furstenberg, Doka, Mertz); • Materials on the problems of suicide among people in late life (Manton, Blazer, Woodbury, Riley, Waring); • Materials on the adaptation of the elderly in a situation of loss of health (Lieberman, Tobin); • Materials on the development of personality in the period of late adulthood and old age in cases such as leaving the professional role, change in marital status (loss of a spouse), or change of place of residence (move to a nursing home) (Larson, Bearon, Baltes, Erikson, Pekk) [6, 9]. Besides, Chernenko presented the following ideas in the studies: (1) the construction of a model for changing the life course in an aging society; (2) the development of mechanisms for activating the personal potential of the elderly; (3) various sociopolitical, recreational, communicative, and educational practices of integrating older

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people into social interactions [2]. The works of Krasnova contain the analysis of factors contributing to overcoming the crisis of late age [7]. Thus, modern scientific literature presents research on accepting oneself in old age and fears associated with this process quite insignificantly. At the present stage of development, it also seems essential to understand to what extent representatives of different ages are ready to participate in the processes that form the sphere of their current or future life after leaving their professional role.

2 Materials and Methods The authors undertook the study of three age groups of subjects, with a total volume of 335 people: (1) people of the elderly and senile age (over 60 years old)—94 respondents; (2) people of pre-retirement age (50–55 years old)—109 respondents; (3) middle-aged people (30–45 years old)—132 respondents. All subjects, who took part in the study, live in the Kaluga Region. The essential means of collecting primary information was the questionnaire survey. It served for research and then a subsequent comparison of the psychological characteristics of representatives of different age groups. Attitudes as mental phenomena expressing the tenets of a person to various socially significant objects—in this case to the elderly—became the main subject of the study [12]. When considering the structure and functions of attitudes, the so-called multicomponent view of this phenomenon appears productive. According to the multicomponent view, the structural organization of the attitude includes three components: (1) the cognitive component (different kinds of knowledge about the subject of the attitude); (2) the affective component (the emotional assessment of the subject of the attitude); and (3) the behavioral component (behavioral actions to the subject of the attitude). According to the position of L. L. Thurstone, attitudes are a degree of effect for or against the object with an adjustment for the age of a person [6]. The research aimed to study the following aspects: (1) the perceptions of people of different age groups; (2) value attitudes towards the elderly; (3) self-identification; (4) the image of the future; (5) organization and planning of time; and (6) the possibility of personal development during retirement.

3 Results Ninety-four representatives of the older generation, who became respondents in the research, are over 60. All of them receive a pension, and some continue to work. The survey they took part in showed the following results. Only a third of the respondents are willing to continue working even voluntarily. Probably, this group of respondents includes those people whose physical health allows them to do it. One-third of the respondents need consulting assistance. It

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is possible that among them, there are just those representatives who need social involvement and leisure, but under terms of social support from the state, organizations, or municipal authorities. However, the information field of such services, in the opinion of the respondents, is insignificant. Another one-third of the respondents are likely to have health problems, reflecting it in their answers. Most of the older people surveyed (55%) are not ready to experience stress due to changes in their usual living conditions. Some respondents (10.3%) need to find contacts either with representatives of their age or people of different ages. It is possible that the feeling of being alone causes the choice of these answers. A quarter of the respondents are inclined to shift the responsibility to the state for preparing preretirees for retirement. These people are probably those who experienced some stress during the retirement period. Only 10% of the people surveyed have a developed reflective component, which allows them to plan to prepare for a new life stage— retirement. Social ties with children in the period after 60 years become significant. Thus, the frequency of meetings with their children in this group is the following: (1) 59.6% of the respondents, living separately, meet their children every day; (2) 26.9%—once a week; and (3) 13.4% of the respondents—once a month. It is known that work is a kind of foundation that determines the meaning of life for many people. Losing this support, those who retire often experience loneliness and uselessness to the immediate environment. It often leads to depression, illness, or interference with the lives of close people. According to the survey, 35.9% of the respondents noted that they retired because their family needed them: their children and grandchildren, whom they had to help. The other 12.8% of the respondents noted that they had retired due to the following reasons: health reasons, fears about personality changes and changes in the usual lifestyle, and the fact that they will have much free time they can devote to themselves. About 6.4% of the respondents, respectively, noted that their fears about the upcoming retirement were associated with the fact that there will be much free time they will not be able to use and that they will never be able to live without their usual professional work. Of the representatives of this age group, 5.2% surveyed were afraid of the upcoming loneliness and fear that their children and grandchildren will not need them. Furthermore, only 7.7% of the respondents retired because the retirement age approached. A survey of the age group from 50 to 55 years old showed that the image of people who retired and continued their careers has a more positive connotation. According to 42% surveyed in this age group, those who retire continue to grow and change. When they reach the retirement age, the respondents themselves (63.4% surveyed) will continue to work in the same place for some time. Only 21.5% of the respondents plan to take a break after retirement. It suggests that 78.5% of the respondents still feel a willingness to work and be active: to create their own business or find a job from home. Of the representatives of this age group, 66.6% believe that the well-being of a pensioner depends on health, and 26.9% of the respondents noted that it depends on the size of the pension. The biggest fear for representatives of this age group is that after retirement, pension payments will be small (76.4% of the respondents noted this). Only 12.9% are afraid that their health will deteriorate. Moreover, only 11.8%

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of the respondents believe that a pre-retirement person should prepare for retirement, realizing that this is an inevitable process. A survey of middle-aged people (30–45 years old) showed the following results. Most representatives of this age group have a positive image of retired people. For them, people who retired and continued their careers have, in some sense, a translation to a new qualitative state: it is a rebirth, the beginning of a new phase of education and training. However, some stereotypes give a negative connotation to the image of a modern pensioner in the eyes of this age group. In the opinion of middle-aged people, they are not prepared to accept old age, have to work to pay for the last stage of their lives, and have possible health problems. The survey showed a conflict in the ideas of middle-aged people about the image of a pensioner and themselves when they reach the age of retirement. In fact, 73.3% surveyed see themselves as active working people of retirement age in the future. It means that they associate retirement with the loss of the previous quality of life, severed social ties, and possible loneliness, representing the rejection of old age. The remoteness of retirement probably creates only an understanding among the respondents that an individual will inevitably have social, economic, and psychological problems during retirement. However, most of the respondents would like to view this period as a period of taking care of themselves, an opportunity to be with their family, and, finally, to realize what they could not realize until retirement. A quarter (25%) of the respondents surveyed believe that retirement relates to the fact that the family needs them: children and grandchildren who need help. At the same time, 33.6% of the respondents noted that retirement is determined by the opportunity to devote a large amount of free time. Most respondents in this age group associate the idea of retirement with the following fears: • Fears about personality changes and changes in their usual way of life (24.1%); • Fears associated with the inability to manage a large amount of free time (5.25%); • Worries about the fact that they will not be able to find ways to cope with new difficulties (5.3%); • Fears that they will never be able to live without their usual professional work and that their children and grandchildren will not need them, and they will be alone (3.4%). Thus, 41.4% of the respondents associate retirement with various fears. Of those who retired in the age group over 60, most of the respondents (64.1%) also experienced retirement with various fears. Statistical analysis of the results obtained by the Fisher transformation showed statistically significant differences in the features of the retirement period between the two age groups surveyed. Indicative, in this case, is the presence of fears in connection with the idea of retirement. There are significant differences in the frequency of occurrence of various fears between the age groups of 30–45 years old and over 60 years old (ϕ = 3.423; p < 0.01).

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4 Discussion Old age is not only an opportunity for summing up the results of the previous stage. It also creates conditions for progressive personal development based on experimenting with life roles [1]. Whether people use this opportunity depends both on them and society. As for the personal potential of those people who retired, many of them continue to work (48% of the respondents over 60) or have additional earnings (52% of the respondents in this group). Some of the respondents are most focused on the role of grandparents. Among the middle-aged respondents, only 5% take responsibility for their well-being in retirement and believe that it depends on planning their own lives while external circumstances determine the rest. Among people of pre-retirement age, there are 11% of such respondents. There is a particular discrepancy in the perceptions of middle-aged people about the image of a pensioner and themselves when they reach the age of retirement. Most of them (73.3%) still consider themselves active, working people of retirement age in the future. Even more respondents (81%) believe that they will have a small pension. At the same time, 53% of the respondents believe that modern pensioners have to work to pay for the last stage of their lives. In general, they are not prepared to accept old age and even have possible health problems.

5 Conclusion All groups of the respondents see retirement as a crisis moment of life. They associate the main experiences with various fears: (1) fears about changes of personality and their usual way of life; (2) the inability to dispose of a large amount of free time; (3) the fact that they will not be able to find ways to cope with new difficulties; (4) the fact that they will never be able to live without their usual professional work; and (5) the fact that their children and grandchildren will not need them, and they will be alone. On the one hand, stereotypes, perceptions, and attitudes act on people and prevent them from living for themselves and enjoying life in retirement. On the other hand, retirement is a search for a new meaning of life and new opportunities that people were deprived of because of work. Nevertheless, behind all fears, the vital moment is to learn to live for oneself, and not for the sake of work or the money it brought. There is a conflict of attitudes in accepting oneself during retirement among the pre-retirees and middle-aged people surveyed. It is associated with an understanding of inevitable modern problems (social, economic, and psychological) and the desire to minimize or avoid them when retirement comes. In modern society, negative socio-psychological attitudes and stereotypes towards older people still exist. They are associated with the fact that the elderly take someone else’s place at work, have health problems, get tired, and cannot work at full strength.

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These attitudes demoralize those people who reached retirement age but are still full of strength and energy. The results obtained confirm the necessity of creating conditions for the realization of the personal potential of people of retirement, pre-retirement, and middle age in order to the following: (1) understanding requirements imposed on them by new development situation; (2) understanding how to shift the locus of control to the internal one making one’s own efforts to overcome fears, searching for new solutions to overcome oneself in this unstable world and become different; and (3) looking for new formats of one’s own harmonious being, which determines, among the other things, internal social sustainability [8]. Acknowledgements This research was carried out with financial support from the Russian Foundation for Basic Research and the Kaluga Region Government. Project No. 19-413-400001 “Psychological readiness of older people for socio-economic changes in the environment (based on the example of residents of the Kaluga region)”.

References 1. Alperovich VD (1998) Gerontology. Old age. Sociocultural Portrait. Moscow, Russia: Prior, Ekspertnoye byuro 2. Chernenko TV (2005) Integrated old age: practices of social participation (Abstract of a dissertation of Candidate of Sociological Sciences). Saratov State Technical University, Saratov, Russia 3. Dalevska N, Khobta V, Kwilinski A, Kravchenko S (2019) A model for estimating social and economic indicators of sustainable development. Entrepre Sustain Issues 6(4):1839–1860. https://doi.org/10.9770/jesi.2019.6.4(21) 4. do Prado GF, Piekarski CM, da Luz LM, de Souza JT, Salvador R, de Francisco AC (2020) Sustainable development and economic performance: gaps and trends for future research. Sustain Develop 28(1):368–384. https://doi.org/10.1002/sd.1982 5. Kholyavko A, Overchenko M (2020) By 2060, almost half of the population in Russia will be pensioners. Vedomosti. Retrieved from https://www.vedomosti.ru/economics/articles/2020/ 01/22/821263-2060-godu 6. Kraig G, Bokum D (2005) Developmental psychology, 9th edn. Peter, Saint Petersburg, Russia 7. Krasnova OV (2014) Retirement and identity of women. Psychol Res 7(35):6–7 8. Marktanner M (2019) Exploring the future of Russia’s economy and markets: towards sustainable economic development. Int Aff 95(2):497–498. https://doi.org/10.1093/ia/iiz033 9. Norris-Baker C, Scheidt R (1994) From “our town” to “ghost town”?: the changing context of home for rural elders. Int J Aging Hum Dev 38:181–202 10. Puaschunder J (2017) Global responsible intergenerational leadership: the quest of an integration of intergenerational equity in corporate social responsibility (CSR) models. Nat Res Manage Concepts, Methodol, Tools, Appl 1:265–278. https://doi.org/10.4018/978-1-52250803-8.ch014 11. United Nations, Department of Economic and Social Affairs, Population Division (2019) World Population Prospects 2019 (online ed). Retrieved from https://population.un.org/wpp/ 12. Uznadze DN (2014) Philosophy, Psychology, Pedagogics. The science of mental life. Moscow, Russia: Smysl

Life-Meaning Orientations of Pre-retirement Aged Residents in Southern Siberia Syrga M. Mombey-ool , Chochagay N. Mongush , and Anna S. Frokol

Abstract The search for the meaning of life is relevant for every person. Throughout life, a person sets goals and objectives, achieving which contributes to a greater fullness of life. The meaning of life is different for every person; most scholars have their interpretations of the term. We used the D. A. Leontyev’s “Life-Meaning Orientations” test to determine the meaning of life, which a person may find in the future, present, past, or in all three projections of life. The paper examines the lifemeaning orientations of the residents of the Republics of Altai, Tyva, and Khakassia. In this study, we use the data of 562 respondents of pre-retirement age. Statistical processing of the results was performed using the Microsoft Excel software with the data analysis function. The empirical study results show that the Republic of Khakassia respondents are more preoccupied with life-meaning orientations than the respondents from the Republics of Altai and Tyva. The paper researches the personal meanings and values of pre-retirement age people, which form an integral system of the highest values and fundamental ideas. Keywords Life-Meaning orientations · Values · Pre-retirement age · Tyva · Khakassia · Altai · Meaning of life · Meaningfulness

1 Introduction The meaning of life becomes an important issue in a person’s life beginning from the childhood. It accompanies personality formation. Religious teachings, philosophical treatises, and even psychological literature attempt to explain the issue. Dating back to the ancient schools of thought, one can find questions related to the search for the meaning of “being.” Socrates, Plato, Diogenes, Aristotle, and many other luminaries of ancient Greek philosophy were devoting their studies to the problem of finding the meaning of life. The founders of entire psychological schools, now well-known, such as Z. Freud, C. G. Jung, A. Adler, and V. Frankl and other equally S. M. Mombey-ool (B) · C. N. Mongush · A. S. Frokol Tuvan State University, Kyzyl, Russia e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 S. G. Maximova et al. (eds.), Advances in Natural, Human-Made, and Coupled Human-Natural Systems Research, Lecture Notes in Networks and Systems 252, https://doi.org/10.1007/978-3-030-78105-7_31

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well-known psychologists, were dealing with personal meanings. Not only foreign but also Russian psychology is fully engaged in studying the issue of explaining the meaning of life. Most scientists who deal with personal meanings issues, in addition to the results of their research, rely on their own life experiences and personal observations [1, 3, 6, 7, 11]. In his works, well-known Russian psychologist D. A. Leontyev differentiates the meaning of life from personal meanings. The meaning of life is a more general and dynamic hierarchy of meanings, depending on the general orientation of the individual [16]. The transformed meaning of a person’s life is expressed in personal meanings. He offers a new term for the time, “meaning orientations,” which includes personal needs and values, the worldview, and the person’s inner world. Viktor Frankl’s works describe the desire to find the meaning of life as an innate mechanism and the main engine of personal development. V. source of human activity is precisely the meanings that a person sees in own actions [13]. The new concept of “existential vacuum” consists in a lack of precise meanings for an individual. Furthermore, this fact becomes the cause of many psychological problems. Well—known humanistic psychologist Rogers presents the meaning of life as the process of a person’s self-actualization (using the potential to the maximum). Moreover, the ultimate state of perfection consists not necessarily in self-actualization itself. A person will always have new goals to achieve and new heights to climb [19]. Thus, Abraham Maslow’s studies suggest that after satisfying basic needs, a person begins to strive to identify and achieve their own meaning in life (Maslow, 1954/2011). Russian scientist Chudnovsky sees the meaning of life as a predominant idea that contains the driving force and purpose of a person’s life [11]. Abulkhanova-Slavskaya believes that a person can have a meaning of life equal to their worldview [2]. According to works of Rubinstein, the meaning of life is defined as becoming useful for others, self-improved [21]. Life-meaning orientations are a dynamic, individual hierarchy of the highest values of a person, including the goals of life, motivation, the orientation of the individual, and the ability to take responsibility for their own life based on their satisfaction with it. According to the views of Chudnovsky, life-meaning orientations contribute to personal growth. They reflect the presence of a significant goal in life and how much a person considers their life eventful and bright, emotionally intense and exciting, and to what extent they are satisfied with achieving their own goals [10]. According to Allport, values are personal meanings that (if particularly important) allow one to be aware of the value [4]. In accordance with Leontyev, Frankl, and other scientists’ beliefs, the most significant and highest value orientations for the individual are life-meaning orientations that contain the direction of all human thoughts. The difference between life-meaning orientations and value orientations, according to Bratus, is an absolute lack of awareness of the former. However, the values of an individual are included in their conscious part [9].

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Literature analysis allowed us to draw the following conclusions: ● Life—meaning orientations are the highest level of human values, which includes a system of personal meanings and higher values (depends on the individual’s general orientation). The most significant and highest value orientations for an individual are life-meaning orientations that contain the direction of all human thoughts. ● The criteria of LMO are the presence of goals in life that give meaningfulness and direction to life, and also a locus of control that gives a sense of control over life’s efforts and actions. Also, the quality characteristics of a person’s life process— eventfulness and emotional intensity—describe LMO. The process of life includes the fullness of life with personal meanings that give taste and brightness to life. The following characteristics are life results in the form of satisfaction with the life scenario. They also include life meaningfulness as the fullness of a young person’s life with personal meanings that reflect the highest human values. ● The value system is an established system of value orientations that give meaningfulness and fulfillment to life. This system gives life a taste and acts as an orienting point, and achieving these goals fills life with satisfaction. The values of each person have an individual nature. They are usually formed during the socialization of a person and depend on the social environment. The highest values are the life-meaning orientations of a person, which control a person’s behavior and activity. ● Values are divided into goals-means and goals—results. Goals-means are usually defined as instrumental values that include the qualitative characteristics of a person as the desired qualities-firmness in views, diligence, and education. Instrumental values help in achieving goals-results that make up the meaning of a person’s life. Goals—results or intrinsic values include orienting points that include the quality of life that a person pursues, for example, financially secure or family life, social recognition, etc. Thus, life-meaning orientations as the embodiment of an individual’s highest values can be correlated with the intrinsic values of a person. The degree of development of the research topic, theoretical positions on the problem of the formation of ideals and life values at the stage of personal development is often found in the fundamental research of Russian and foreign scientists, such as [5, 8, 12, 13, 14, 16, 17, 19, 20, 21].

2 Materials and Methods The study involves respondents of pre-retirement age. The respondents’ age range differs depending on sex as, according to the Russian pension system, retirement occurs for men and women in a different manner (women retire five years earlier). The average age of respondents is 50. The sample comprises 359 women and 203 men. The women’s age limits are from 44 to 50 (the Tyva Republic is equated to

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the territories of the Far North (Extreme North), therefore people retire earlier). The men’s age limits are from 49 to 54. Consequently, the study sample includes 562 people who are residents of the Republics of Altai, Tyva, and Khakassia. We use diagnostic tools to test the hypothesis to set the research goals and objectives. In choosing the method, we consider the results of the pilot study: (1) ease of use, (2) speed in processing the results, (4) reliability and validity, (5) question and instruction accessibility for the respondents, and (6) the possibility of using the data obtained through mathematical processing. The study uses the James Crumbaugh and Leonard Maholic’s “Life-Meaning Orientations” (LMO) test (WCS) [15]. Leontyev’s well-known LMO test is widely used to study and determine a person’s meaning of life. A person can determine the meaning of life either in the future (goals), in the present (current process), in the past (results), or in all three projections of life simultaneously. The LMO test contains statements that show meaningfulness, the presence of a goal, and satisfaction with life results. The LMO test consists of five scales: ● ● ● ● ●

Life goals (purpose); Life process or the interest and emotional intensity of life; Life results or satisfaction with self-actualization; Locus of control—I (I am the master of life); Locus of control—life or controllability of life.

We use the Microsoft Excel software with the data analysis function for statistical data processing (descriptive statistics, Student’s t-test for comparing independent samples). The research consists of a diagnostic procedure, during which we specify the features of the respondents’ life-meaning orientations.

3 Results The preliminary theoretical and empirical study of residents’ of different republics of the Altai-Sayan region life-meaning orientations is evident when analyzing the specific psychological literature. We theoretically analyze psychological phenomena and formulate a hypothesis for the consistency of empirical research. The goals of the empirical research are to: ● ● ● ● ● ●

Define diagnostic tools for the study of life-meaning orientations; Cover the sample of respondents, the database, and the sample of research data; Conduct the research; Obtain the results of the empirical research; Process, analyze, and interpret the data obtained through mathematical statistics; Make a conclusion based on the results.

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During 2019 and 2020, an empirical study was conducted, which consisted of three actions: ● Based on the formed diagnostic methods, we studied the data of respondent groups; ● Furthermore, we performed a quantitative analysis of the results through mathematical statistics; ● Finally, we interpreted the study results. Statistical processing of the obtained diagnostic results was performed using the Microsoft Excel software. To specify the features of the respondents’ life-meaning orientations, we use the descriptive statistics method and calculate the variables of the general respondent group. The calculated scale indicators of the general respondent group (562 respondents) for the LMO test are shown in Table 1 and Fig. 1. By using the LMO methodology, we made calculations showing that an average level on the scales can characterize a respondent group: ● “Life goals (purpose)” (average M = 29.746 points): most of the respondent group have a score of 6–65 points. There is a significant difference between the average and high level. These factors may indicate that, on average, the sample of respondents can be described as purposeful, having goals in life. These goals give life direction, meaning, and time perspective. ● “Process of life” (M = 28.104 points): most of the sample of respondents have scores in the range of 6–65 points; the average level is significantly different from the high level. It depicts that respondents perceive the process of life as emotionally intense and meaningful. Table 1 The data of descriptive statistics according to the methodology “life-meaning orientations.” Name of the method/scale

Average, (M)

Standard deviation, (σ)

Minimum, (min)

Maximum, (max)

Life goals (purpose)

29.746

8.161

6

65

Process of life

28.104

7.399

6

65

Life results

24.269

6.467

5

38

Locus of control—I

20.072

6.016

3

83

Locus of control—life

28.738

8.281

6

94

102.453

27.190

20

342

Life meaningfulness

Source Compiled by the authors

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Fig. 1 Results of calculating descriptive statistics for both groups (average values). Source Compiled by the authors

● “Life results” (M = 24.269 points): most of the sample of respondents have results of 5–38 points; the average level is slightly different from the high level. Therefore, on average, respondents are characterized by life results or satisfaction with self-actualization. ● “Locus of control—I” (M = 20.072 points): most of the sample of respondents have results of 3–83 points; there is a significant difference between the average and high level. Consequently, the respondents can be described as having faith in their strengths and freedom to build a life in accordance with the goals, tasks, and meaning of life. ● “Locus of control—Life” (M = 28.738 points): most of the sample of respondents have results of 6–94 points; the average level is significantly different from the high level. It may indicate that respondents are mostly convinced that a person controls their life. They can freely and independently make decisions and implement them. ● “Life meaningfulness” (M = 102,.43 points): most of the sample of respondents have results of 20–342 points; the average level is significantly different from the high level. It shows that the average respondent group is characterized by life meaningfulness. The respondents are divided into three groups: (1) respondents from the Tyva Republic, (2) respondents from the Altai Republic, (3) respondents from the Republic of Khakassia. It is followed by a comparative analysis using the LMO methodology (including the Student’s t-test), which allows one to compare independent samples by the level of expression of the characteristic. The study results are presented in Tables 2, 3, and 4.

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Table 2 Analysis of statistically significant differences using the “life-meaning orientations” methodology for the Republics of Tyva and Khakassia Scales

Tyva

Khakassia

Student’s t-test

Importance

M

{

M

Life goals (purpose)

29.85 ± 0.42

8.06

35.41 ± 1.46

8.26

− 3.74

p = 0.02

Process of life

27.95 ± 0.38

7.26

29.97 ± 0.89

5.06

− 1.54

p = 0.3

Life results

24.46 ± 0.33

6.28

25.59 ± 0.93

5.26

− 0.99

–

Locus of control—I

20.05 ± 0.28

5.49

21.16 ± 0.92

5.19

− 1.10

p = 0.3

Locus of control—life

29.10 ± 0.39

7.44

29.41 ± 1.45

8.22

− 0.22

–

Life meaningfulness

102.75 ± 1.38

26.67

103.13 ± 3.42

19.37

− 0.08

–

σ

Source Compiled by the authors

4 Discussion We applied the Student’s t-test during the calculations. It allowed us to identify the spread of the LMO methodology in three respondent groups from the Republics of Altai, Tyva, and Khakassia. A significant difference was revealed as a result of comparing the levels of life goals of the respondents from the Republics of Tyva and Khakassia. The respondents’ level of life goals from Khakassia is significantly higher than the level of life goals of respondents from the Republic of Tyva (p = 0.02). Under those circumstances, the respondents from the Republic of Khakassia (M = 35.41) are characterized by a developed life goal setting, while in the respondent group from Tyva, the level of life goals is lower (M = 29.85). We could suggest that the respondent group from Khakassia live a more meaningful life. Comparing the life processes of respondent groups from the Republics of Tyva and Khakassia revealed a significant difference—the life goals in the respondent group from the Republic of Khakassia are significantly higher than in the group from Tyva (p = 0.3). In that case, the respondents from Khakassia (M = 29.97) have higher involvement in the process of life than the respondents from Tyva (M = 27.95). For example, we could suggest that the Republic of Khakassia respondents live a more meaningful life.

29.969 ± 0.894

25.594 ± 0.930

21.156 ± 0.918

29.406 ± 1.453

103.125 ± 3.423

Process of life

Life results

Locus of control—I

Locus of control—life

Life meaningfulness

Source Compiled by the authors

35.406 ± 1.460

M

Khakassia

Life goals (purpose)

Scales

19.365

8.218

5.194

5.260

5.058

8.257

{

101.591 ± 2.403

27.721 ± 0.806

19.903 ± 0.587

23.532 ± 0.570

28.097 ± 0.653

28.325 ± 0.637

M

Altai

29.818

10.006

7.279

7.077

8.100

7.904

σ

0.279

0.892

0.926

1.559

1.256

4.577

Student’s t-test

p = 0.8

–

p = 0.4

–

–

p = 0.02

Importance

Table 3 Analysis of statistically significant differences in the “life-meaning orientations” methodology for the Republics of Khakassia and Altai

314 S. M. Mombey-ool et al.

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Table 4 Analysis of statistically significant differences using the “life-meaning orientations” methodology for the Republics of Tyva and Altai Student’s t-test

Importance

8.06

− 1.98

–

27.95 ± 0.38

7.26

0.21

–

7.08

24.46 ± 0.33

6.28

− 1.48

–

19.90 ± 0.59

7.28

20.05 ± 0.28

5.49

− 0.25

p = 0.8

Locus of control—life

27.72 ± 0.81

10.01

29.10 ± 0.39

7.44

− 1.74

–

Life meaningfulness

101.59 ± 2.40

29.82

102.75 ± 1.38

26.67

− 0.44

p = 0.7

ScaScales

Altai

Tyva

M

σ

M

σ

Life goals (purpose)

28.32 ± 0.64

7.90

29.85 ± 0.42

rocess of life

28.10 ± 0.65

8.10

Life results

23.53 ± 0.57

Locus of control—I

Source Compiled by the authors

Comparing the Locus of control—I of respondent groups from Tyva and Khakassia revealed a significant difference. The life goals in the group from Khakassia are significantly higher than in the group from Tyva (p = 0.3). Thus, the respondents from Khakassia (M = 21.16) have higher involvement in the process of life than the respondents from Tyva (M = 20.05). We could assume that the respondents from Khakassia are characterized by greater faith in their strengths and freedom to build a life in accordance with the goals, tasks, and meaning of life. Comparing the life processes of respondent groups from the Republics of Altai and Khakassia revealed a significant difference—the life goals in the respondent group from the Republic of Khakassia were significantly higher than in the group from the Republic of Altai (p = 0.02). Under those circumstances, the respondents from the Republic of Khakassia (M = 35.41) are characterized by a developed life goal setting, live a more meaningful life, while in the respondent group from the Altai Republic, the level of life goals is lower (M = 28.325). Comparison of the Locus of control—I of respondent groups from the Republics of Altai and Khakassia revealed a significant difference—the life goals in the group from the Republic of Khakassia are significantly higher than in the group from the Republic of Altai (p = 0.4). These factors may indicate that respondents from Khakassia (M = 21.16) have higher involvement in the process of life in contrast to respondents from Altai (M = 19.90). Respondents from the Republic of Khakassia

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have greater self-confidence and freedom of choice to live their lives in accordance with goals, tasks, and meaning of life. Comparing the meaningfulness of life of respondents from the Republics of Altai and Khakassia revealed a significant difference. The life goals in the group from Khakassia are significantly higher than in the group from the Republic of Altai (p = 0.8). In other words, the respondents from Khakassia (M = 103.125) are characterized by a higher involvement in the process of life than for respondents from Altai (M = 101.591). Besides, respondents from the Republic of Khakassia are characterized by greater self-confidence and freedom of choice to live their lives in accordance with goals, tasks, and meaning of life. Comparison of the Locus of control—I of respondent groups from the republics of Altai and Tuva revealed a significant difference—the life goals in the group from Tyva are significantly higher than in the group from Altai (p = 0.8). Therefore, the Republic of Tyva (M = 20.05) respondents have higher involvement in the process of life than respondents from the Republic of Altai (M = 19.90). We believe that the respondent group from Tyva can be described as having faith in their strengths and freedom to build a life in accordance with the goals, tasks, and meaning of life. Comparing the life meaningfulness of respondent groups from the Republics of Altai and Tyva showed a difference. The respondents’ life goals from the Republic of Tyva are significantly higher than those from the Republic of Altai (p = 0.7). Moreover, the respondents from Tyva (M = 102.75) are more involved in the process of life, while the level of the Locus of control—I is lower in Altai (M = 101.591). As a result, we can assume that respondents from the Republic of Tyva are characterized by greater self-confidence and freedom of choice to live their lives in accordance with goals, tasks, and meaning of life.

5 Conclusion Based on the results of the comparative analysis, we can conclude that: ● The indicators on the scale of “Life goals (purpose)” are the highest for Khakassia residents. Indicators for the residents of Tyva and Altai follow. These provisions have statistically significant differences. The pre-retirement aged residents of Altai are characterized by the meaningfulness of life, life orientation, and time perspective more than the residents of the Republics of Khakassia and Tyva; ● Indicators on the “Locus of control—I” scale are the highest for Khakassia residents, followed by Tyva and Altai. Residents of Khakassia, in comparison with other respondent groups, have more faith in their strengths, freedom to live their lives in accordance with their goals, tasks, and meaning of life; ● Involvement in the life of pre-retirement aged people is significantly higher in Khakassia than in Tuva residents. We may suggest that people of pre-retirement age in Khakassia demonstrate more significant life meaningfulness indicators and involvement in life events;

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● Indicators on the “Life goals” scale are the highest for Khakassia residents, followed by Tyva and Altai. People of pre-retirement age in Khakassia have more faith in their strengths, freedom to live their lives in accordance with their goals, tasks, and meaning of life, compared to other groups. The initial component of the personality organization (its “foundation”) are values. In the human mind, values cannot be isolated. They form an individual system with a specific structure and hierarchy in the presence of different values in strength and significance. The criteria of LMO are the presence of goals in life that give meaningfulness and direction to life, and also a locus of control that gives a sense of control over life’s efforts and actions. The process of a person’s life, its qualitative characteristics such as eventfulness and emotional intensity are also descriptive of LMO. The process of life includes the fullness of life with personal meanings that give taste and brightness to life. The following features are life results in the form of satisfaction with the life scenario. They also include life meaningfulness as the fullness of a young person’s life with personal meanings that reflect the highest human values. Therefore, the empirical research results suggest that the LMO of the residents of Khakassia reflects the assessment of the passing life segment (the feeling of how productive and meaningful it is). These people can be described as people with a high level of understanding of life and its goals, the achievement of which will give satisfaction and confidence in their ability to set goals, tasks and achieve results. Acknowledgements The research was supported by RFBR No. 19-013-00229 A.

References 1. Ababkov VA, Perrez M (2015) Adaptation to stress. In: Fundamentals of theory, diagnostics, and therapy. Moscow, Russia: Rech 2. Abulkhanova-Slavskaya KA (1981) Personal development in the process of life. In: Antsyferova LI (ed) Psychology of personality formation and development. Nauka, Moscow, USSR, pp 19–44 3. Alexandrova LA (2009) On the concept of resilience in psychology. In: Yanitsky MS (ed) Siberian Psychology Today. Kemerovo, Russia: Kuzbassvuzizdat, pp 82–90 4. Allport GV (1998) Personality in psychology. Moscow, Russia: KSP+; Saint Petersburg: YUVENTA 5. Ananyev BG (2001) Human as an object of cognition. Saint Petersburg, Russia: Piter 6. Antsyferova LI (2014) Personality in difficult life conditions: reinterpretation, transformation of the situation and psychological protection. Psychol J 14(2):23–29 7. Besputina IF (2015) Formation of life-meaning orientations of psychology faculty students. Sci Methodol Electron J Koncept 18:106–110 8. Bozhovich LI (1997) Problems of personality formation. In: Feldstein DI (ed) 2nd edn. Moscow, Russia: Institute of Practical Psychology; Voronezh: MODEK 9. Bratus BS (1988) Personality abnormalities. Moscow, USSR: Mysl 10. Chudnovsky VE (2006) Formation of personality and problems of the meaning of life. Moscow, Russia: Moscow Psychological and Social Institute; Voronezh: MODEK

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Psychological Safety of Young People in the Face of Risk and Uncertainty of the Social Environment Nadezhda B. Parfenova , Elena A. Mititsina , and Anna A. Bizaeva

Abstract The research contributes to the study of the personal security of young people in terms of risk and uncertainty in the social environment. The paper aims to substantiate the structure of psychological security of the individual and describe its parameters in student communities living in Russian regions with different economic, demographic, and socio-cultural conditions (Pskov region and the Republic of Dagestan). We regard the manifestations of social and personal insecurity as prerequisites for increasing the sensitivity of young people to negative social influences, including extremist ones. To identify indicators of psychological security and attitudes to extremist threats, we used a standardized author’s questionnaire (N = 283) describing the structure of psychological security, consisting of (1) cognitive, (2) emotional, (3) value, and (4) behavioral components. Also, we identified several contradictions in student communities in terms of the severity of psychological security parameters. The high level of concern for students’ physical and economic well-being, political, and environmental situation in the world indicates their psychological insecurity. Against this background, some students allow the possibility of participating in youth performances to fight for their rights. At the same time, we can consider the values of students’ social activities, mutual help, and protecting individual rights as a resource for developing resilience to negative social impacts. These trends are more pronounced among students living in Dagestan. Keywords Psychological security · Social instability · Youth · Extremism

1 Introduction Due to the long-term socio-economic and political reforms in Russia and the transition to a new education system, there is an increase in social uncertainty and destabilization of socio-cultural regulation in contemporary youth communities. Today, young people face many social contradictions affecting them. On the one hand, mass N. B. Parfenova · E. A. Mititsina (B) · A. A. Bizaeva Pskov State University, Pskov, Russia e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 S. G. Maximova et al. (eds.), Advances in Natural, Human-Made, and Coupled Human-Natural Systems Research, Lecture Notes in Networks and Systems 252, https://doi.org/10.1007/978-3-030-78105-7_32

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media promotes the ideas of socio-political freedoms and welfare. On the other hand, young professionals face difficulties in employment and getting the necessary material and housing conditions for independent life. This contradiction can be resolved through the purposeful activity of young people. They should seek to gain socio-political and professional competence, selfdevelopment, and participation in public organizations that promote an active life position. Thus, they can enter the labor market as a competitive specialist. However, such a contradiction may remain unresolved for quite a long time and lead to a difficult life situation, including passive or affective protest behavior [11]. This situation is hazardous for young people since uncertainty is caused by external instability and objective transformation processes. Such a situation also reflects the specifics of youth as subjects who are still in the process of personal and spiritual development, determining their social status. We should note that information propagated by the mass media, internet platforms, and social networks can influence the subjective image of the world of young people, their system of goals, motives, needs, ideology, and values. Such propaganda contributes to adopting negative radical forms of behavior by young people if it contains extremist ideological influences [8]. Information flow that falls on young people causes discrepancies between the dominant ideologies of the world and stimulates them to share the opinion of the majority of their reference group, the student community. Student communities are represented by departments, study groups, and individual regional universities, which have common interests (education), exchange information, and attend similar social events. The impact of current challenges and risks of extremist influence on young people is reflected in the concepts of sociology and psychology related to the concepts of “social insecurity” [3], “social vulnerability” (Pauwels et al. [6]), “social exclusion” [9]. Therefore, [4] notes the growing social exclusion of young people experiencing social risks or the crisis of traditional social institutions (family, school, media). Simultaneously, sociologists regard social exclusion as a way to resolve the conflict between young people and society, which results in social discrimination, social exclusion, and marginalization manifested in various forms of exclusion of young people from society. According to Zubok [13], social exclusion makes people feel underestimated and deprived by society. Quite often, they do not have access to essential life-support resources. Since the 1990s, researchers have been concerned about the impact of the changing social environment in Russia on the spiritual, moral, emotional, and socio-political development of young people [12]. In current economic conditions, young people, on the one hand, act as a fully adapted social group, ready to take responsibility for their lives. On the other hand, there is a shift in values not in favor of spiritual and moral guidelines but increased self-destructive behaviors. In addition to the orientation of some young people to integration and social interaction, there is a trend of social isolation, reduced interest in intercultural dialogue, which can provoke the radicalization of the youth environment.

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We believe that one can analyze the social well-being of young people in Russia from the perspective of psychological security. Baeva [1] notes that social security is a mandatory component of psychological security, “which means that social institutions perform their functions to meet the needs, interests, and goals of the entire population of the country, effectively ensuring the quality of life and health of the people” (p. 68). In our previous study of socio-psychological security in the face of an expected terrorist threat [7], we proved that the state of society is a fundamental social factor that determines the socio-psychological security of an individual. At the same time, we consider social and psychological security as a sense of self-security in interaction with the social environment, based on the assessment of the environment as not carrying a threat of destructive influences, as well as the search for resources to counter emerging dangers and active actions to prevent and eliminate them. Since psychological security is a complex concept, we consider the following components: ● Cognitive (knowledge and assessment of economic and socio-political problems of the region, country, and the world); ● Emotional (a sense of security from destructive influences, lack of anxiety and fear, reduction of tension, and confidence in the future); ● Value-orientation (stability, self-realization); ● Behavioral (patterns of behavior in the current socio-economic conditions). Therefore, the relevance of the problem is due to the increased interest of psychologists and sociologists in the impact of social uncertainty on the judgments of students about (1) social security, (2) protection from the influence of extremists, and (3) insufficient development of the theoretical basis for measuring the construct of insecurity among student communities in the context of social uncertainty, current challenges, and risks. In this regard, the main research task that we set for ourselves in this work (from the standpoint of a system-structural approach) is to identify the main components of “psychological security” among students and conduct a comparative analysis of Russian student communities living in different economic and socio-cultural conditions.

2 Materials and Methods To obtain empirical data, we used the survey method. The questionnaire included open questions and scales that had previously passed psychometric tests to identify indicators of socio-psychological security of young people. The questions revealed the structural components of the security of student communities at risk of extremist influence related to the following components:

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● Cognitive: perceptions of extremist influences associated with loss, uncertainty, difficulties, and inability to control events; perception of the extremist threat as a feeling of uncertainty, insecurity, loss of trust in others and low self-esteem; perception of the social security, the impact of media on young people concerned with the political situation in the world, armed conflicts, terrorist threats, and environmental problems; ● Emotional: the frustration of social security in key life areas, vulnerability to national problems and the immaturity of civil society, trust in sources of information about terrorist acts, attitude to extremist actions as a way to attract attention to the problems of young people, assessment of the experience of the terrorist threat, feeling defenseless due to dangerous diseases or violent crime in contemporary Russian society, insecurity due to financial difficulties, corruption, uncertainty about the future; ● Value: career values and opportunities, the importance of active participation in youth organizations, self-knowledge, mutual help, the values of fighting for justice and their rights, freedom, and enjoyment of material well-being; ● Behavioral: constructive and non-constructive behavior in the face of the expected extremist threat, participation in the protest youth movements. The study analyzed low, medium, and high scores (points on a 4(5)-point Likert scale, corresponding to the statements “never,” “rarely,” “sometimes,” “often,” and “always,” from which young people should choose. Interpreting the respondents’ answers, we took into account the fact that the respondents, expressing their attitude to a social environment (especially extremism) consisting of several options, usually decide when they are not fully informed about the nature of the options from which they have to choose. Therefore, according to the theory of systems, the choice of a respondent in a situation of uncertainty can be interpreted as the degree of confidence (uncertainty) in the decision-making process. Responses with a probability higher than 0.6 (“yes,” “agree,” “always,” “often,” or “no,” “never,” “rarely”) were analyzed as affirmative with the corresponding direction; responses with a probability lower than 0.6 (“it is hard to say,” “I agree rather than disagree,” “I disagree rather than agree,” “sometimes”) were considered as a zone of subjective uncertainty, reflecting the respondent’s uncertainty in the phenomena of social reality. We surveyed students of top universities in two different subjects of Russia: Pskov State University [PSU] (N = 157) and Dagestan State University [DSU] (N = 126). According to The Russian [2], the Pskov region and the Republic of Dagestan are parts of different federal districts with similar economic situations but different demographic and socio-cultural situations. Therefore, these regions have similar GDP indicators and have a low level of industrial production and income. In Dagestan, the unemployment rate is significantly higher. In both regions, there is a relatively intensive outflow of population to more affluent areas. Pskov region has a much lower population density, low birth rate, and low life expectancy. In the Republic of Dagestan, there are closer inter-generational ties and higher social activity of the population, proved by many registered public associations, including religious

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ones (Islam is the predominant religion). Consequently, in the course of the study, we assume that the specifics of the social conditions described above may cause differences in students’ perception of various socio-psychological security criteria. Further, when describing the study results, two samples of students will be briefly highlighted: PSU students and DSU students. We obtained a large amount of empirical material during the empirical study using a questionnaire subjected to factor analysis for the corresponding components of psychological security. The result of factor analysis was a transition from many initial variables to a significant number of generalized factors. Also, we used the principal component method (Varimax rotation method) to isolate the factors. There were many factors whose own values were greater than one, the significance of the factor weights of variables was more significant than 0.4, and the accumulated variance percentages for the integral indicator were higher than 50%. Subsequently, we analyzed the generalized factors by the degree of expression in students (frequency analysis). Besides, the study used a comparative analysis of the Mann–Whitney U test.

3 Results Using factor analysis, we obtained 34 generalized characteristics of psychological uncertainty. Here, we consider only those characteristics for which there are statistically significant differences or trends towards differences. As additional information revealing generalized and specific factors for the main components of psychological uncertainty, we present the frequency distribution among student communities. Cognitive component: ● Factor 1. “Ideas of injustice and fear of extremism, terrorism, and world armed conflicts” (37.4% of variance) include extremism (0.856), terrorism (0.854), nationalism (0.677), and world armed conflicts (0.582). ● Factor 2. “Ideas about injustice and fear caused by the political situation in the world and environmental problems” (23.7% of variance), which includes the political situation in the world (0.923), environmental problems (0.503), and unemployment (0.477). ● Factor 3. “The perception of information in the media about extremist acts as honest and objective” (11.4% of variance), inspires optimism in the present and confidence in the future (0.846), provide full and honest information about the possible socio-economic restructuring of the country (0.833), exacerbates nationalist intolerance (0.613). The given factors indicate contradictions in the structure of the cognitive component of psychological security. On the one hand, information about extremist threats, armed conflicts, and the unfavorable economic, political, and environmental situation makes young people feel unjust and endangered. On the other hand, this information

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Table 1 Comparative analysis of the cognitive component of psychological security in PSU and DSU student communities Indicators

Mean rank PSU

DSU

Mann–Whitney U-test

Significance level

1

Factor 1. “Ideas of injustice and fear caused by extremism, terrorism, and world armed conflicts.”

34.87

44.26

468.5

0.050

2

Factor 2. “Ideas about injustice and fears about the political situation of the world and environmental problems.”

31.53

50.94

301.5

0.000

3

Factor 3. “The perception of media information about extremist acts as honest and objective.”

30.29

42.06

278

0.027

Source Compiled by the authors

seems objective and encouraging since it allows them to be aware of the situation in the world, country, and region. We differentiated these factors among the respondents of the studied student communities (Table. 1). One can see that DSU students have higher scores on all indicators. A more detailed analysis of the students’ responses showed that 50% of DSU students, in contrast to PSU students (18%), mark the quality of education, the destructive influence of the media, and unemployment as prerequisites for the spread of extremism in the region. Social inequality as a prerequisite for the spread of extremism is more often mentioned by PSU students (70%) in contrast to DSU students (57%). The decrease in national culture level is also more pronounced among PSU students (35%) compared to DSU ones (7%). Approximately the same number of students in both student communities (66% and 57%) note the growth of corruption as a condition for the spread of extremism. While 60% of PSU students see the main cause of religious extremism in the purposeful “incitement” of extremist organizations to aggression against other religions, DSU students note the crisis of school and family institutions and its impact on religious extremism. More than 40% of respondents in both samples note a low legal consciousness and lack of tolerance, as well as a distorted system of values in contemporary society. Emotional and value components: ● Factor 1. “A sense of insecurity because of the threat of disease and violent crime in contemporary Russian society” (26.7% of variance), which includes the spread of life-threatening diseases among young people (AIDS, hepatitis, etc.) (0.880),

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violent crime (0.811) (rape, robbery, violations of traffic rules, etc.), the threat of terrorist acts (0.760), drug prevalence (0.752). Factor 2. “Feeling helpless due to financial difficulties” (24.9% of the variance), includes the discrepancy between the wages of young professionals and a living wage (0.881), financial difficulties in the purchase of housing (0.839), insufficient government support for education and health (0.778), unjustified increase in competition for young professionals to get jobs (0.638). Factor 3. “Importance of participation in youth organizations, self-knowledge, and mutual help” (16% of variance), includes active participation in youth organizations (0.800), improving leadership skills (0.702), ability to understand oneself (0.701), helping people in difficult life situations (0.526), the joy of communicating with others (0.501). Factor 4. “Importance of fighting for justice and one’s rights” (12.2% of variance), includes fighting for justice and one’s rights (0.754), fighting for positive change in the country (0.632), the ability to stand against injustice (0.596). Factor 5. “Uncertainty in the future is due to reduced activity and an abundance of negative information” (10% variance), which includes a decrease in socio—political activity among young people (0.782), the threat of armed conflicts (0.730), abundance of negative information in the media (0.711), tensions in the world politics (0.606).

Therefore, the structure of the emotional component of psychological security of young people reveals feelings of anxiety, uncertainty, and self-doubt due to the impact of negative social factors affecting the health, physical, and material wellbeing of an individual, as well as the socio-political situation in the country and the world. In a wide range of student values presented in the questionnaire (career values, the realization of one’s potential, freedom, and material well-being, the importance of one’s family, etc.), civil and patriotic values occupy a significant place, which can be the driving force of the social activity of young people (participation in public associations, volunteerism, and fighting for justice and one’s rights). These factors differ in their severity in the studied student communities (Table 2). The data obtained indicate that students living in the Republic of Dagestan are more emotional concerning physical security. They are also quite alarmed and pessimistic about the negative information broadcast by the media. We can observe an exceptionally high level of statistical significance with an extremely high average rank of DSU students (almost three times higher than the rank of PSU students) for the factor “Importance of participation in youth organizations, self-knowledge, and mutual help,” which reflects a high readiness for social activities. There is a trend towards differences between the two samples for other variables of the emotional and value components. However, they did not reach a statistically significant level. Consequently, the factor “Feeling helpless due to financial difficulties” has an average rank higher among PSU students, while the factor “Importance of fighting for justice and one’s rights” has an average rank higher among DSU students.

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Table 2 Comparative analysis of factors of emotional and value components of psychological security in PSU and DSU student communities Indicators

Mean rank PSU

DSU

Mann–Whitney U-test

Significance level

1

Factor 1. “A sense of insecurity because of the threat of disease and violent crime in contemporary Russian society.”

33.79

43.98

414.5

0.053

2

Factor 4. “Importance of participation in youth organizations, self-knowledge, and mutual help.”

26.66

60.08

58

0.00

3

Factor 5. “Uncertainty in the 29.85 future due to reduced activity and an abundance of negative information.”

40.63

292

0.036

Source Compiled by the authors

Behavioral Component: Factor 1. “Participation in youth movements for ideological reasons and a sense of protest” (46.3% of variance), would not participate under any circumstances (0.805), would participate to express their sense of protest (0.676), for ideological reasons (0.620). Among the behavioral intentions of young people in psychological security, generalized factor attracts the most attention. On the one hand, it combines a sharply negative attitude to protests, and on the other hand, their permissibility in cases of violation of personal rights. According to this factor, representatives of student communities showed significant differences (U = 373; P = 0.027) with a higher average rank among DSU students. The survey results suggest that in the context of negative social influences, many institutions are increasing the probability of non-constructive behavioral strategies: passivity and addiction, anxiety, surfing the internet, pessimism, refusal of any actions, escape from the routine, and hope for a miracle. We have identified the following features of the attitude of young people to the risk of extremist influences against the background of social instability. By the nature of the impact, 68% of DSU students primarily note the influence of radical religious organizations with access to a broad youth audience through internet platforms and social networks. PSU students are more likely to experience destructive effects resulting in mental disorders and suicidal tendencies. A third of the respondents point to the unemployment and changes in the values of young people as the reasons for the involvement of young people in extremist groups, while half of the respondents see the main reason in the personal immaturity of students.

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The real experience of countering extremist manifestations in the region is crucial. PSU students did not have to deal with them in everyday life, while 53% of DSU students at least once had such an experience. Answering the question, “if a person was insulted for their national or religious affiliation in your presence,” 74% of DSU students would stand up for the victim. PSU students (63%) see the main activities of extremist organizations in the region as propaganda and organizing mass socio-political events (27%), while DSU students (32%) associate their activities with terrorist acts and the use of firearms. More than 60% of the respondents condemn the actions of religious extremist organizations. About 40% of the respondents believe that the most effective means of preventing extremism are (1) radical measures that provide for more strict criminal liability for extremism, (2) prohibition of destructive religious and national associations, and (3) total censorship. As for the PSU students, 37% of them are focused on less radical ways: (1) ensuring mandatory compliance with the law, (2) socio-economic development of the region, (3) conducting spiritual, moral, and educational work. However, when asked about their readiness to participate in the prevention of extremism and radicalism in educational, organizational, and leisure activities, about 40% of the respondents were unsure, while 45% answered “No.”

4 Discussion In this study, we interpret the insufficient development of psychological security as a prerequisite for unstable social influences, including extremist ones. We can give a broad outline of such a trend. Difficulties in the self-realization of young professionals in recent decades, incomplete socio-economic, political, and educational reforms, and a decline in the cultural dialogue between ethnic communities cause tension among young people, thereby violating personal security. The extremist idea develops and becomes increasingly protesting, resulting in rallies, marches, and speeches. This idea arose under the influence of certain social conditions, political or religious-spiritual confrontation, and media broadcasting, which is fixed in the minds of young people, especially those who are “detached” from active socio-political and professional activities. Our research has shown that students cannot fully develop a sense of psychological security under the influence of an uncertain social environment. As a complex, integral phenomenon, psychological security in the studied student communities contains some structural contradictions. In particular, at the cognitive level, students’ minds are dominated by negative social situation assessments regarding political and economic events and the environmental situation. However, despite this trend, students do not avoid this information. On the contrary, they believe that it allows them to assess events and make reasonable decisions objectively. The emotional component of psychological security is represented primarily by a sense of insecurity and concern for their physical and material wellbeing, which, combined with the expressed importance of fighting for their rights and active participation in youth associations, can increase the likelihood of exposure

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to extremist influences. This fear is reinforced by the behavioral component, which suggests that students, although generally disinclined to engage in radical interventions, allow such behavior if their rights are violated. Working on the concept of psychological security, we pay attention to social uncertainty and the subjective uncertainty of mental images of the surrounding reality, which manifest themselves in the uncertainty of the respondents’ judgments. We should note that from 30 to 45% of the respondents, answering questions that are part of the generalized factors of psychological security, demonstrated a high degree of uncertainty (“it is hard to say,” “rather yes than no,” etc.). Therefore, in our opinion, students project an immature attitude toward social reality and incoming information and inactivity, and growing pessimism. The uncertainty in their judgments is due to both the uncertainty of events in the country and the defense mechanisms of an immature person. Disorienting one’s position can reduce the resistance to adverse social impacts during the exchange of information in social networks and increase the attractiveness of radical youth movements based on ideological and protest grounds. Significant differences in psychological security parameters revealed between the two student communities indicate that students living in the Republic of Dagestan tend to assess almost all psychological security indicators negatively. They are more sensitive to violations of the personal right to security. This trend may relate to (1) more pronounced ethnic traditions of active resistance to violence, (2) a sense of community within the family, age, and professional group, and (3) historical experience in fighting terrorist acts on their land. Based on the data obtained, we can say that the youth of the Republic of Dagestan have a higher level of civil-patriotic and social activities, which can lead to an increased risk of youth performances or have a positive direction established by socially significant figures. We consider social uncertainty the main factor in the development of psychological insecurity. However, it can be assessed from a different point of view, namely, as a condition necessary for the development of stability of individuals and the formation of their resources for coping with unusual, unpredictable situations. Russian psychological research pays special attention to the positive attitude to uncertainty, the rejection of the illusion of stability, and the unambiguity of the world picture. Uncertainty is recognized as a fundamental condition typical of all living and developing things [5]. Recognition of uncertainty and tolerance to it is a condition and a sign of individuals’ psychological maturity and health. Resistance to uncertainty is a personality trait that allows a person to feel relative comfort in an unusual situation and perceive it as new opportunities. The primary “tool” of overcoming uncertainty is the meaning [10]. We share this point of view and believe that it is necessary to overcome the consequences of social uncertainty among students in the process of psychological support, relying on existing personal resources (traditional family values, values of national security, and patriotism). Therefore, countering extremist influences acquires a positive meaning.

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5 Conclusion Our research contributes to the study of the influence of the social environment on the psychological well-being and personal and ideological positions of the younger generation, which is currently relevant from the sociological, political, philosophical, and psychological aspects. We have proposed a conceptual model of psychological security for student communities that reveals cognitive, emotional, value, and behavioral components. This measure allowed us to develop a methodology for measuring the main components of psychological security in conditions of social uncertainty and extremist influence risks on young people. The study revealed that the structure of the psychological security of students is contradictory. Simultaneously, the most negative manifestations that characterize students’ psychological insecurity are feelings of threat and severe anxiety for their physical and economic well-being, as well as discomfort from the abundance of negative media reports. There is also concern about the acceptability of young people participating in extremist activities out of a desire to protect their rights. Simultaneously, students’ social activity, mutual help, and protecting personal rights can contribute to the development of resilience to negative social impacts. These trends are more pronounced among students living in Dagestan. In general, the revealed contradictions suggest that young people in contemporary Russian society cannot be called “lost generation” with the transformation of values. Young people are active and have fairly pronounced traditional values, contributing to their self-identity and psychological security in difficult life situations.

References 1. Baeva IA (2006) Psychology of security as the direction of psychological science and practice. Nat Psychol J 1(1):66–68 2. Federal State Statistics Service (2019) Russian Statistical Yearbook 2019. Moscow, Russia: Rosstat 3. Fieulaine N, Apostolidis T (2015) Precariousness as a time horizon: how poverty and social insecurity shape individuals’ time perspectives. In: Stolarski M, Fieulaine N, Van Beek W (eds) Time perspective theory; review, research and application. Springer, Cham, Switzerland, pp 213–228 4. Inglehart RF (2018) Cultural evolution, people’s motivations are changing, and reshaping the world. Cambridge University Press, Cambridge, United Kingdom 5. Leontiev DA, Mandrikova EY, Rasskazova EI, Fam AH (2011) Personal potential in a situation of uncertainty and choice. In: Leontiev DA (ed) Personal potential: structure and diagnosis, Moscow, Russia: Smysl, pp 511–546 6. Pauwels LJR, Vettenburg N, Gavray C, Brondeel R (2011) Societal vulnerability and troublesome youth group involvement: the mediating role of violent values and low self-control. Int Crim Justice Rev 21(3):283–296 7. Sereda EI, Parfenova NB (2013) Psychological security of young people in the context of the expected terrorist threat. PskovSU Publishing House, Pskov, Russia

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8. Seraphin A, Frau-Meigs D, Hassan G (2017) Youth and violent extremism on social media: mapping the research, Paris, France: United Nations Educational, Scientific, and Cultural Organization 9. Van de Walle T, Coussée F, Bouverne-De Bie M (2011) Social exclusion and youth work—from the surface to the depths of an educational practice. J Youth Stud 14(2):219–231 10. Zinchenko VP (2007) Tolerance to uncertainty. News or psychological tradition? In: Bolotova AK (ed) Person in a situation of uncertainty, Moscow, Russia: TEIS, pp 9–33 11. Zinchenko VP, Perelygina EB, Zotova OY (2016) Perceptions of extremism in the youth daily consciousness. Proc Soc Behav Sci 233:322–326 12. Zubok YA, Chuprov VI (2016) Socio-cultural mechanism of self-regulation of moral processes in the youth environment in a changing social reality. In: Osipova GV, Osadchiy GI (eds) Social reality of the 21st century: Threats and challenges. Social and socio-political situation in Russia in 2014. Moscow, Russia: Institute of Socio-Political Research of the Russian Academy of Sciences, pp 190–203 13. Zubok YA (2015) The phenomenon of risk in sociology: the experience of youth research. Moscow, Russia: Scientific Research Institute Infra M

Preserving Human Potential in Russia Anna B. Sukhoveeva

Abstract Since 1990, the United Nations Development Programme has published a series of annual Human Development Reports in which the Human Development Index (HDI) is calculated for each country. From 1990 to 2018, Russia made significant progress in terms of human development. However, the Russian Far East (RFE) has a low level of socio-economic development, as well as poor medical and demographic situations. The research aims to identify potential opportunities and limitations for the social development of Russia and the RFE regions to ensure economic security. The author uses the method of HDI calculation for cross-country and regional comparisons of socio-economic development in Russia. Russia belongs to the countries with a high HDI ranking (49th in 2018 with a value of 0.824). The low level of health of the Russian population is the main reason preventing Russia from entering the 20 regions with a very high HDI. From 2010 to 2016, three groups of RFE regions are identified based on HDI value and its constituent private indices. The grouping of RFE regions by HDI revealed the main constraints hindering their social development—a low level of development of the social sphere and demographic potential, as well as a low level of income. Russia belongs to countries with a very high HDI but with significant limitations in social development and low level and quality of life. Keywords Human development index · Social and economic security · Russia · Human potential · Social development · Quality of life · Regions · Russian far east

A. B. Sukhoveeva (B) Institute of the Complex Analysis for Regional Problems, Far Eastern Branch of the Russian Academy of Sciences, Birobidzhan, Russia e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 S. G. Maximova et al. (eds.), Advances in Natural, Human-Made, and Coupled Human-Natural Systems Research, Lecture Notes in Networks and Systems 252, https://doi.org/10.1007/978-3-030-78105-7_33

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1 Introduction Under the conditions of the developing market economy in Russia, insufficient funding of social sectors led to the decreased quality and accessibility of education, culture, and medical care. Consequently, we can see a decrease in the quality of human potential in the country and its regions. To a large extent, the size and structure of accumulated human capital are determined by the size and composition of the population; their assessment is determined by demographic processes. The decline of the qualitative features of the population (low health indicators, high crime rate, and insufficient level of culture and education) should be considered the most significant negative factors in the social sphere hindering social development and stability and making it difficult to ensure the social and economic security of Russia and its regions [1]. The May decrees of the President of the Russian Federation identify the urgency of eliminating threats to economic security in the social sphere. These decrees clearly describe government measures for reducing differentiation of the population by income, improving the quality and accessibility of medical and educational services, reducing unemployment, and improving the quality of human potential [2]. The study of problems related to the development of human potential seems extremely relevant and timely, especially in the context of cross-country and regional comparisons. As a rule, each country formulates its own economic growth strategy defining goals, objectives, and programs to achieve a high level of human development. The assessment of the social situation should be an essential component of strategies and programs, including the evaluation of the achievements and challenges of regional differences in the economic development of the country as a whole and of each region in particular. The author used a variety of research approaches to define and determine the content of “human potential,” “social development,” and “quality of life.” Due to the multidimensional nature of the categories for conducting cross-country and interregional comparisons, integral indicators are used to estimate various components determining the quality of life [3]. The HDI is the most commonly used method. The HDI was developed by the United Nations Development Programme (UNDP) and calculated annually for all UN countries since 1990 [4]. Between 1990 and 2018, all regions and groups of countries made significant progress in human development. The global HDI reached 0.728 in 2018, up 21.7% from 0.598 in 1990. All over the world, people are living longer, better educated, and have better life opportunities. Since 1990, life expectancy has increased by seven years, and the primary education system is presented in more than 130 countries [5]. The Russian Far East (RFE) is marked with its own specifics due to the processes of its development and settlement, the density of locales and transport links, and the medical and demographic situation [6, 7].

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Recently, the development of the RFE has become one of the top priority strategic goals of the twenty-first century. It has been repeatedly mentioned in official documents (Government of the Russian Federation, 2017). The success of the development of the RFE is determined by the qualitative and quantitative characteristics of the human potential in the region. The research aims to identify potential opportunities and limitations for the social development of Russia and its Far Eastern regions.

2 Materials and Methods The author uses the HDI calculation method to conduct cross—country comparisons of Russian socio-economic development with some European and Asian–Pacific countries. These indicators show the ratings of countries according to changes in key human potential characteristics from 1990 to 2018. At the regional level, the author uses the HDI to compare the main regional socio-economic indicators of the RFE regions from 2000 to 2016. The HDI is calculated as the arithmetic mean of three different components. These components are the following [3, 4]: ● Longevity, defined through life expectancy; ● Education determined by literacy indicators (with weight 2/3) and the proportion of students among children and youth aged 6–23 years (with weight 1/3); ● Income determined by the gross domestic product (GDP) on a purchasing power parity (PPP) basis. For each dimension, the value of the index is computed on a scale of 0–1, where 0 corresponds to the minimum and 1 to the maximum assigned value for the corresponding indicator [8]. The HDI technique has several advantages. First, the objectivity of the calculations is provided by reliable statistical information. This method makes the calculation results available for rechecking since the HDI reporting considers data provided by the United Nations Population Division, the World Bank, and the UNESCO Institute for Statistics. Second, the HDI was calculated for all UN countries since 1990, which is a sufficiently long period for intercountry and regional comparisons of the current levels of social development [9, 10]. However, this integral indicator also has many shortcomings. This index was the subject of many comments and criticisms from foreign and Russian researchers. Taking the criticism into account, in 2010, the authors of the HDI finalized the calculation methods by adjusting the indicators after considering the levels of social inequality within countries [11, 12].

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3 Results and Discussion The HDI can be used to identify differences between developed, developing, and underdeveloped countries. This indicator is of particular use in assessing the impact of economic policies on the quality of life. According to the HDI, countries are classified into four categories—countries with (1) very high, (2) high, (3) medium, and (4) low human development index. In 2018, the leaders of this rating included in the top ten countries were the following countries [4]: ● ● ● ● ● ● ● ●

Norway (0.954); Switzerland (0.946); Germany (0.939); Australia (0.938); Hong Kong (0.939); Sweden (0.937); Singapore (0.935); Netherlands (0.933).

In Norway, which ranks the first position, the average life expectancy was 82.3 years in 2018. Gross domestic product (GDP) per capita based on purchasing power parity (PPP) was $68,059, and the literacy rate was 100%. A similar situation is observed in Ireland, Switzerland, Germany, Hong Kong, and Singapore. The general worldwide trend is moving toward the improvement of human development. In 2010, 46 countries were in the group with a very high HDI. By 2018, the number of countries in the high HDI group reached 62. From 2014 to 2018, the socio-economic development of the leading European countries did not change. In 2014–2019, Singapore, Hong Kong, Japan (0.909), and the Republic of Korea (0.924) improved their ranking. Russia belongs to the list of countries with a high HDI, ranking 49th in 2018 with a value of 0.824 and rising from the 71st place in 1990 [4, 13]. The low life expectancy of the Russian population is the main reason preventing Russia from entering the 20 regions with a very high HDI. Since 1991, life expectancy in Russia saw a catastrophic decline due to the ongoing socio-economic transformations in the country. The highest value was recorded in 2019 (72.4 years for both sexes). Moreover, life expectancy in Russia is significantly lower compared to Japan or Singapore (84 years for both countries), or developing countries from the high HDI category, such as Morocco (80 years), Albania (78 years), and Thailand (77 years). Therefore, life expectancy in Russia is 5–7 years lower than the average level reached by developing countries and 10–12 years lower than in the most developed countries. The RFE has the largest area of the country but a low population. The RFE is the most demographically disadvantaged region. The population was 6,165 thousand people in 2017, which was 10% lower than its level in 2000. The main factor in reducing human potential remains a negative migration balance. However, some positive trends in improving the vital statistics were noted due to demographic and

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socio-economic reasons (an increase in the number of women of reproductive age, an increase in the number of births, an increase in the income of the population, and the adoption of maternal capital stimulating fertility). Since 2014, the Republic of Sakha (Yakutia) has seen natural population growth. Since 2016, the Kamchatka Krai, Khabarovsk Krai, Sakhalin Region, Magadan Region, and the Chukotka Autonomous Okrug also have a natural population increase. However, it is lower than the migration loss of the population from the regions. The Primorsky Krai, Amur Region, and the Jewish Autonomous Region have a steady decline in the total population caused by the natural population loss and migration outflow. As a whole, the HDI in the Far East District totaled 0.868 [14]. The regions of the RFE significantly differ in the HDI. In 2016, the high HDI group (with a value above 0.800) included all RFE regions. However, several contradictions exist between the general indicator of HDI and its constituent parameters affecting the formation of human potential. Three groups of RFE regions characterized by different concentrations of human potential were identified based on the HDI and its constituent special indices of longevity, education, and income for the period from 2010 to 2016. It was also possible to identify potentially promising opportunities and conditions for development (Fig. 1). The first group with relatively high starting positions for forming human potential includes highly developed regions of raw materials export-oriented type, such as the Sakhalin and Magadan Regions, and the Republic of Sakha (Yakutia) (25.8% of the district population). The Republic of Sakha (Yakutia) has a stable natural population growth and the highest life expectancy. These regions are marked with multidirectional dynamics in the natural movement of the population with low life expectancy values and a relatively stable level of economic development. The second group includes the Chukotka Autonomous Region, Primorsky Krai, Khabarovsk Krai, Kamchatka Krai, and the Amur Region (71.6% of the district population). These regions have multidirectional dynamics of natural population movement and economic development, and low life expectancy. This is a significant limitation in the development of the regional demographic potential. The Khabarovsk Krai (21.6% of the district population) is a medium-developed industrial and agricultural region with positive population growth and a developed social infrastructure network. The Primorsky Krai (31.1% of the district’s total population) is marked with a developed network of medical, logistics, and educational infrastructures. The Chukotka Autonomous Region is one of the less developed resource regions with a high infant mortality rate, low life expectancy, and relatively high incomes. The third group includes the underdeveloped agrarian region, the Jewish Autonomous Region (21.6% of the district population), which has low incomes, high infant mortality rate, and low life expectancy. The most significant differences in the socio-economic development of the RFE regions are demonstrated by the indicator of investment in fixed assets as an indicator of regional investment attractiveness.

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Fig. 1 Human development index in the Russian Far East for the period from 2010 to 2016. Source [14]

Using correlation analysis, the author identified a relationship between the fixed capital investment and the HDI in addition to its constituent income and longevity indices.

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When studying the relationship between investments in the FER regions with respect to fixed assets and the HDI, we obtained an average level of dependence (r = + 0.45 + 0.66) based on the income index (r = + 0.65 ÷ + 0.67) and a high level of dependence based on the longevity index (r = + 0.77 ÷ + 0.86).

4 Conclusions The analysis of the Report on human development of Russia showed a steady increase in the HDI from 1990 to 2018. It should be noted that Russia belongs to countries with very high HDI but with significant limitations in social development and low level and quality of life of the population. The grouping of the RFE regions by the HDI revealed the main constraints on their social development (the low level of development of the social sphere and demographic potential in addition to the level of the income component of the population). Russia needs to develop new programs and implement the Presidential programs to improve the level of health and quality of life of the population. Particular attention should be paid to the Russian regions where the HDI is not high enough. Acknowledgements The study was carried out on the research topic “The current state and evolution of the socio-economic system of the region in the context of globalization (On the example of the Jewish Autonomous Region)” of the Institute of the Complex Analysis for Regional Problems, Far Eastern Branch of the Russian Academy of Sciences.

References 1. Menshikova EA (2019) Human potential development as a factor of ensuring economic security. Bulletin Pacific National Univ 3(54):53–62 2. Presidential Executive Office (2017) The decree “On the economic security strategy of the Russian Federation for the period up to 2030” (May 13, 2017 No. 208). Moscow, Russia 3. Ungar M, Lerner R (2008) Introduction to a special issue of research in human development: resilience and positive development across the life span: a view of the issues. Research Human Dev 5(3):135–138. https://doi.org/10.1080/15427600802273961 4. UNDP (2019) Human Development Report 2019: Beyond income, beyond averages, beyond today: Inequalities in human development in the 21st century. New York, NY: UN 5. Rocha R, Ferraz C, Soares R (2017) Human capital persistence and development. Am Econ J Appl Econ 9(4):105–136. https://doi.org/10.1257/app.20150532 6. Grigorieva EA, Sukhoveeva AB (2020) Quality of life, reproductive health, and social security: medical and social environment in the Russian far east. Geogr Environ Sustain 13(1):92–98. https://doi.org/10.24057/2071-9388-2019-48 7. Sukhoveeva AB (2019) Natural and ecological factors for assessing the quality of life. In: IOP conference series: earth and environmental science 381:012031. https://doi.org/10.1088/17551315/381/1/012087

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8. Sagar A, Najam A (1998) The human development index: a critical review. Ecol Econ 25(3):249–264 9. Hopkins M (1991) Human development revisited: a new UNDP report. World Dev 19(10):1469–1473 10. Lind NC (1992) Some thoughts on the human development index. Soc Indic Res 27:89–101 11. Lind NA (2019) Development of the human development index social indicators research. Soc Indic Res 146(5):409–423. https://doi.org/10.1007/s11205-019-02133-9 12. Zambrano E (2014) An axiomatization of the human development index. Soc Choice Welfare 42(4):853–872. https://doi.org/10.1007/s00355-013-0756-9 13. United Nations Development Programme. [UNDP] (1991) Human Development Report. New York, NY: Oxford University Press 14. Bobyleva SN, Grigorieva LM (2018) Report on human development in the Russian Federation. Moscow, Russia: Analytical center under the Government of the Russian Federation 15. Kelly AC (1991) The human development index: “Handle with care.” Popul Dev Rev 17(2):315–324. https://doi.org/10.2307/1973733 16. Luque M, Perez-Moreno S, Rodriguez B (2016) Measuring human development: A multicriteria approach. Soc Indic Res 125:713–733. https://doi.org/10.1007/s11205-015-0874-0 17. Sukhoveeva AB (2013) Territorial differentiation of population health indicators in the conditions of transformation of the socio-economic environment of the Far Eastern regions. Geogr Nat Resour 3:105–110

Social Security in the Moscow Region Within the Eurasian Integration Galina I. Osadchaya , Irina V. Leskova , and Tatyana N. Yudina

Abstract The paper aims to determine the integration process content of the Eurasian Economic Union member states and factors providing social security in the Moscow region within the Eurasian integration. Moscow is the region with the increased level of health and social well-being risks. The authors analyze the framework of categories and concepts used to ensure social security, examine the main approaches to interpreting the term, and identify the key elements of the triad: personality, social group, and community. They emphasize developing a strong social security system that reaches the level of the critical state objectives. Social security is an element of the system that ensures national security and the security of the social sphere of life in the Moscow region. The authors point out the main trends in the social sphere within the integration process of labor migrants. The paper presents sociological research results that demonstrate the nature and dynamics of interethnic relations among citizens of the Eurasian Economic Union member states and the nature of emerging problems of interethnic interaction among migrants that come to the Moscow region for work. Ensuring the level of security in the Moscow region is not sufficient and requires a detailed review. The opportunities for workers that are directly related to existing legal barriers within the framework of Eurasian integration remain unrealized. Keywords Social security · Moscow region · Social security · National security · Eurasian economic union · Eurasian integration · Labor migrant · Migration process · Integration process

G. I. Osadchaya (B) Institute of Socio-political Research—Branch of the Federal Center of Theoretical and Applied Sociology of the Russian Academy of Sciences, Moscow, Russia e-mail: [email protected] I. V. Leskova · T. N. Yudina Russian State Social University, Moscow, Russia © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 S. G. Maximova et al. (eds.), Advances in Natural, Human-Made, and Coupled Human-Natural Systems Research, Lecture Notes in Networks and Systems 252, https://doi.org/10.1007/978-3-030-78105-7_34

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1 Introduction Issues of social security in the light of the recent events of 2020 are becoming significant. The extent to which a society is provided well and adequately with everything necessary directly influences the prosperity level of the state. In the government decision-making process, ensuring social security and decent living conditions of society should be of high priority. The success of any integration process is critically dependent on the population’s quality of life [1] and the social security level of the integrated society, which explains the relevance of the raised issues. To maintain a stable state of the social system and its elements (personality, social group, and community), the main task of the social security system is to control social processes [2]. It is highly relevant and demanded goal to develop a generalized view of the Russian identity components, figure out and classify problem points of relations between ethnic groups represented in the Moscow region, assess the potential for a positive development of the migration situation, as well as factors and risks of its deterioration [3, 4]. Moscow is the region with the increased level of health and social well-being risks (Burcev, 2018). The Moscow agglomeration is the leader in the number of living migrants from the EAEU states ([5], Schanes et al. 2018). The authors refer to the correlation and interpretation of the main concepts: security, social security, and national security. According to the dictionary of Rober, security means a calm state of a person’s mind, in which they feel protected from any danger. This term is used since 1190, although the meaning was used very rarely until the seventeenth century [6]. Since the eighteenth century, most countries assumed that the goal of any state should be to ensure the general welfare and security. The term security was interpreted as a calm situation that manifests itself as a result of the danger in the aggregate of material, economic, political conditions, relevant bodies, and organizations that contribute to creating this situation [7]. The Law of the Russian Federation No. 2446–1 of March 5, 1992, which became invalid, defined security as protecting the vital interests of society and state from internal and external threats [8]. The interpretation of the definition by several experts was perceived as rather imperfect since the country cannot consider the interests of society or the state only. The Federal Law No.390-F3 of December 28, 2010 “On Security,” adopted instead of the first one, did not contain an explanation of the security term, but clearly defined the subject of regulation and highlighted the basic principles of security that equated the concepts of “security” and “national security” [9]. As it is known, the main types of social activity, such as social-domestic, economic, political, religious, aesthetic, and others, have “as it were” their own social space, differ in nature and content depending on the type of social relations within

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which social activity occurs. As a result, it forms various spheres of society’s life. The main ones (economic, political, social, spiritual, and moral), in turn, contain the elements of national security: economic security, political security, social security, spiritual, and moral security. Therefore, putting the identity under the terms “social security” and “national security,” we understand a complex system of external and internal relations of the individual, society, and the state. The condition of the system is determined by the following: ● Social independence, stability, and sustainability of social protection of the population system; ● The ability of the social protection system to the system-regulation, development, and improvement; ● The level and quality of life; ● The level of unemployment, the stability of the minimum wage, and cost of living under the social minimum; ● Occupational safety and social partnership; ● Level of social security and social insurance; ● The degree of development of the social sphere, etc. [10]. Talking about the phenomenon of social security, it should be pointed out that the triad-individual, social groups, and social communities are elements of the social system. They correlate with each other in a certain way and form relative social integrity. The criteria for differentiation are (1) self-determination of the individual, (2) the degree of direct influence on the individual, (3) the strength of social ties, (4) the intensity of social interactions, (5) manageability, etc. [11]. The social system elements are objects of ensuring social security, which is understood as the state of protection of an individual, social group, and community from threats of violation of their vital interests, rights, and freedoms [12]. Most scientists believe that the attempt to obscure social security with the concept of economic security or present social security and social policy is not the correct approach. In socialist states, social guarantees are inextricably linked with the social security system, serve social security purposes to the extent that it is achievable in economic relations and legislative regulation, act as economic support for social policy, etc.

2 Materials and Methods To measure the social security level of the Moscow region in the context of Eurasian integration, the authors conducted the following sociological research: ● “Interethnic relations of citizens of the Eurasian Economic Union member states.” The survey (semi-structured interview) was conducted in June 2018 (Osadchaya, G. I. is a project manager). The informants’ selection - citizens of Armenia,

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Belarus, Kazakhstan, and Kyrgyzstan was carried out by the snowball method. The informants are migrants, arrived in Moscow after 2000. For the survey, we interviewed 520 people (130 people for each group). The selection of indigenous or rooted residents of Moscow was carried out according to a multistage, territorial, and stratified sample using quota selection at the last stage. The sample size is 453 units. Statistical error: + 2.5%. ● “Migrants from the EAEU states to Moscow: problems of interethnic interaction.” The survey (individual-focused interview) was conducted in October– November 2018 (Project managers: Osadchaya G. I., Yudina T. N.). 152 people were Interviewed for 38 respondents from Armenia, Belarus, Kazakhstan, and Kyrgyzstan, selected by the snowball method. The interviewees are migrants, arrived in Moscow after 2000.

3 Results Most threats to social security do not arise from violations of state prohibitions and anti-social behavior in society, which is punishable by law, but rather from the nature of the social processes themselves [13]. The National Security Concept of the Russian Federation [14] points to a possible threat in the social sphere, coming from: ● Social differentiation between a narrow circle of the rich and the predominant mass of low-income citizens; ● Increasing the relative share of the population living below the poverty line; ● Increase in unemployment. Possible threats to the physical health of the nation as a result of the following: ● ● ● ● ● ● ●

Crisis of the social protection and health system; Increased consumption of alcohol and drugs; A sharp reduction in the birth rate and life expectancy; Deformations of the demographic and social composition of society; Labor resources eroding as the basis for product development; Weakening of the institution of the family as a fundamental unit of society; Reducing the moral, spiritual, and creative potential of the population.

Personality and its vital rights and freedoms in the social sphere of social activity: the right to life, to education, to work and pay for it, to free medical treatment, to guaranteed social protection from the state to affordable rest, etc., are a permanent object of social security. The state of social security directly depends on the level and quality of populations’ life, requires favorable socio-economic conditions, which cannot be provided only by the actions of government institutions [15, 16].

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Indicators of social security in the EAEU states are considered to implement economic and social policies to minimize threats associated with a low human capital development index and rising unemployment (including unregistered and hidden) and ensuring social and macroeconomic stability.

4 Discussion The strategic goal of the development of any region is to create comfortable and favorable conditions for life, work, and recreation that promote a harmonious combination of the interests of the individual, society, and the state [3, 17]. The determined effort of the city administration of Moscow’s sustainable development allowed to achieve an acceptable level of security of the population and the city and developed the programs to harmonize culture and human values [18]. The Moscow region proved itself from the position of an active social policy, promoting the stabilization of the demographic situation and reduction of tension between different social groups, active growth of industrial production, the revival of the cultural and scientific potential of the capital, and the stabilization of the environmental situation. A positive trend of crime reduction has been formed, as well as the successful functioning of the Moscow city emergency prevention and response system [19]. However, despite successful measures taken for decades, ensuring the security level of the Moscow region is not sufficient and requires a detailed review. Considering recent developments in 2020, economic and political instability contributed to the decline in living standards of the population and the obsolescence of the main production assets. The rapid growth of terrorist acts contributed to the preservation of various threats to the sustainable development of Moscow. The format of city programs implemented today is rapidly losing relevance and is no longer able to cover and consider all aspects of the security of the population and territories of the capital from internal and external threats. In our opinion, measuring the social security level in the Moscow region in Eurasian integration is relevant and in demand. It is important that “Eurasianism” became not only the idea of elites but also the idea of society [20]. Male (61.3%) and female migrants (38.7%) took part in the sociological survey “Interethnic relations of citizens of the Eurasian Economic Union member states.” The majority of informants indicated low earnings at home (33.3%), lack of prospects in life (29.4%), and lack of work (19.8%) as the reason for the forced move to Moscow. We also interviewed Moscow residents—citizens of the Russian Federation, including men (47.8%) and women (52.2%) who identify themselves as representatives of an indigenous or rooted group of the Moscow region population. We asked them about the friendliness of the policy pursued by the integrated EAEU member states, and all representatives of ethnic groups living in Moscow gave a positive response (Figs. 1 and 2).

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Fig. 1 The assessment of policy friendliness on the other EAEU member states (Armenians and Kazakhs, in % of all polled). Source Compiled by the authors

Fig. 2 The assessment of policy friendliness on the other EAEU member states (Belarusians and Kyrgyz, in % of all the polled). Source Compiled by the authors

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Fig. 3 The assessment of policy friendliness on the other EAEU member states (Moscow residents, in % of all the polled). Source Compiled by the authors

Based on the data analysis, the authors conclude that the indigenous (rooted) Moscow residents also have positive opinions about the policy towards Russia implemented by the participating countries of the Eurasian integration. The survey participants - mostly middle-class Moscow residents, energetic intellectuals, and service professionals (Fig. 3). Almost every participant has family, children, grandchildren, and most of them live in their own apartments. According to the Moscow law, only those who lived in the capital for 40 years or more are recognized as native Moscow residents. However, Moscow residents also include residents who have permanent registration or own real estate in the Moscow region. Moscow is constantly changing and adapting to new realities, absorbing various cultures and traditions (Leskova et al. 2018, [21]. The key objective of the social security system arises from the need to conduct strict control over social processes to prevent the deterioration of the social system and its elements. Among the main benefits of the Eurasian integration, according to respondents, the dominant view was that the integrated countries had an opportunity to (1) strengthen their position in the international arena and defend their interests (43.4%); (2) open new markets for goods (15.9%); and (3) create conditions for increasing competitiveness in the world economy (8.8%). Likely threats and risks to states due to the creation of a single EAEU space, migrants associated with (1) the activation of labor migration (5.9%), (2) the withdrawal of funds from participating countries to support integration processes (6.1%), and (3) the loss of efficiency in maintaining barriers at the border of sovereign States (2.8%) (Fig. 4). Fairly positive trends among migrant groups dominate the opinions on the EAEU establishment: 31.7% approve and 35.6% rather approve. Moscow residents expressed a less positive attitude: 10.6% approve and 23.7% rather approve (Fig. 5). However, only 23.1% of the surveyed migrants and 10.6% of Moscow residents share confidence in positive changes from the EAEU establishment, and 31.5% and 23.7%, respectively, are more likely to say “rather yes than no” (Fig. 6).

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Fig. 4 Benefits and risks of EAEU member states (in % of all the polled). Source Compiled by the authors

Fig. 5 Attitude towards the EAEU establishment (in % of all the polled). Source Compiled by the authors

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Fig. 6 The expectance of positive changes from EAEU establishment (in % of all the polled). Source Compiled by the authors

In the integration process, the priority of interaction between the participating countries is the union labor market—the “‘cementing’ element of the Eurasian integration” (At the forum, 2017). At the same time, only 27.3% of labor migrants and 18.1% of Moscow residents consider the EAEU as a union state that sets good conditions for stable economic development (Fig. 7). Migration is a unique and large-scale phenomenon in the social life of any community. It is a key factor in the economic development of the EAEU [22, 23]. On the question about understanding the primary social role and in what role migrants see themselves within Eurasian integration, the dominant were the following identifications: a citizen of the country (28.5%), a member of his family (17.7%), a representative of their nationality (14.6%), a global citizen (10.4%), and a resident of the city (11%). Only 9.2% chose the answer “a citizen of their country” and “a citizen of the Eurasian Union.” The responses of Moscow residents differ significantly: a citizen of their state (54.4%), a member of their family (15.8%), a global citizen (10.1%), a resident of their city (11.9%), and a representative of their nationality (4.1%). Only 1.5% chose the answer “a citizen of their country” and “a citizen of the Eurasian Union” (Fig. 8). Love and respect (37.3%), pride (17.5%), and indifference (24.2%) were the dominant feelings expressing migrants’ personal attitude to Russia. The responses of Moscow residents differ: love and respect (39.2%), pride (30.2%), and indifference (12.6%) (Fig. 9).

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Fig. 7 The degree of agreement with the statements (in % of all the polled). Source Compiled by the authors

Fig. 8 Primary social role (in % of all the polled). Source Compiled by the authors

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Fig. 9 The main feeling expresses migrants’ personal attitude to Russia (in % of all the polled). Source Compiled by the authors

When assessing the nature of inter-ethnic relations (between indigenous populations and immigrants from the EAEU) of residence, migrants’ responses were dominated by the following: peaceful (54.4%), friendly (24.4%), and strained (11.5%). Only 1.3% indicated hostility. Responses from Moscow residents were distributed as follows: peaceful (51.5%), friendly (16%), strained (15.8%), and hostile (2.3%) (Fig. 10). Social security is achieved by social guarantees and measures to prevent risks, threats, and dangers to society [24]. More than half of the surveyed migrants have a good view of their life in general (57.7%) and a positive view of their life prospects (57.9%), which differs from the Moscow residents’ assessment opinions—49.9% and 43.6%, respectively (Fig. 11). Conditions for the free movement of labor resources throughout the territory of the integration association and equal rights to work were established by the Treaty on the Eurasian Economic Union [25]. It resolved the issues related to labor migration in a qualitatively new format of cooperation between the member states within the framework of the EAEU (Aliyev, 2016). The legal situation significantly improved since there is no need to obtain a set of work permits and undergo unnecessary procedures, including recognition of degrees and qualifications in most professions, and, most importantly, access to education, social and medical support for workers and their family members. When asked about plans to return to their home country, the responses of migrants were distributed as follows: 28.7% plan to return, 36% plan to stay, and 35.4% expressed the difficulties as they have not decided yet (Fig. 12).

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Fig. 10 Assessment of the nature of inter-ethnic relations (between the indigenous population and immigrants from the EAEU) in the area of residence (in % of all the polled). Source Compiled by the authors

Fig. 11 Assessment of life perspectives (in % of all the polled). Source: Compiled by the authors

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Fig. 12 Migrants’ plans for returning home (in % of all the polled). Source Compiled by the authors

5 Conclusion Further development of integration processes, expansion, and deepening of cooperation between the states, participating in labor migration are in demand within the EAEU. Social security is understood as the state of security of the individual, society, and the state from a complex of various threats of social, economic, political, environmental, human-made, and other nature. Within the Eurasian integration process, much work is done in labor migration in the Moscow region, including significant restrictions on the admission of workers from the integration countries to the common labor market. The current rules generally favored the increase of the social protection of labor migration level within their working life. The new opportunities set the necessary conditions for the free movement of labor and reduced the overall level of illegal employment of migrant workers within the integration. At the moment, however, there are several complaints about the functioning of the social security system in the Moscow region. There is no clear structure, and most of the industries included in the system do not interact with each other or with other elements. Some even operate on their own. The social and cultural adaptation of migrants is not sufficiently regulated in terms of legal norms. Ensuring the security level of the Moscow region is not sufficient and requires a detailed review concerning current Russian realities.

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The opportunities for workers that are directly linked to existing legal barriers remain unfulfilled, thus, preventing them from obtaining some benefits and advantages that both migrant workers and economic entities should benefit from within the framework of economic integration. Acknowledgements The authors thank S. V. Ryazantsev, the director of the Institute of SocioPolitical Research—Branch of the Federal Center of Theoretical and Applied Sociology of the Russian Academy of Sciences, for highly qualified scientific-methodical support of the research and I. A. Seleznev, E. E. Kiselev, M. L. Vartanov, and E. Yu. Kireev, scientists of the research Center of Eurasian integration processes.

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Comparative Analysis of Social Ideas on Patriotism of Russians and Residents of Western European Countries Mikhail V. Tarasov

Abstract The study of patriotism as a socio—psychological phenomenon has recently become more and more relevant. Simultaneously, the experience of Patriotic feelings by citizens of different countries has its specifics related to their specific historical past, traditions, values, ethnocultural and religious characteristics. The article reflects the results of a pilot study of the general and special social ideas of young people in Russia, Germany, Spain, and Portugal about patriotism. The primary method of studying social perceptions of patriotism was the author’s questionnaire, aimed at studying what respondents understand by patriotism, how it manifests itself, and what, in their opinion, should be done to improve its level. The study results show that patriotism among young people in Russia and Western European countries has a lot in common: views on patriotism and how to form it generally coincide. However, the mathematical analysis results indicate differences in the understanding of what is manifested in patriotism and what is the subject of pride and dignity among the citizens of Russia and the Western European States. The pilot study is the basis for a large–scale research program, which assumes both the expansion of the sample and its differentiation by age, professional, gender, and other grounds and the expansion of the total number of countries participating in the research work. Keywords Social representations · Image of the Motherland · Patriotism · Patriotic consciousness

1 Introduction Recently, patriotism as a socio–psychological phenomenon is becoming the socio– psychological analysis subject [1–6], Nalivajchenko 2011. The research interest is aimed at studying both the essential characteristics of the Patriotic consciousness M. V. Tarasov (B) Department of Social, General and Clinical Psychology, Russian State Social University, Moscow, Russia e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 S. G. Maximova et al. (eds.), Advances in Natural, Human-Made, and Coupled Human-Natural Systems Research, Lecture Notes in Networks and Systems 252, https://doi.org/10.1007/978-3-030-78105-7_35

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of citizens and the manifestation of patriotism in various spheres of human activity [7–11], Radosteva 2018. Domestic and foreign experience of studying patriotism shows that the overwhelming number of citizens living in their states, regardless of their political system, economic structure, and social relations, feel love for the Motherland. In countries where the state ideology is absent, or there is no consistent social and educational policy, love for the Motherland is expressed by attachment to relatives, friends, and home. In those countries where the way of life is set by the system of state values, ideology, public morals, education, and upbringing, there are guidelines aimed at instilling in the younger generation love for their country, the state in which they were born and raised. In the concept of patriotism, patriots of different countries, depending on their historical experience, traditions, and values, put a territorial, ethnic, state, religious, or other components. In other words, love for the Motherland in each country has its specifics and distinctive features, has different shades due to the historical past, ethnic and cultural characteristics, customs, et al. Some scientific studies try to determine the specifics of patriotism among the most prominent representatives of the Western world. Thus, V. V. Nikitin, analyzing the features of Ukrainian patriotism, notes the dominance of the ethnic (nationalist) idea of a small and economically inactive segment of the population from the Western regions of the country (Nikitin, 2014). In Poland, modern patriotism is based on the ideas of insurrection, a revolt against one’s government [12]. For residents of the Scandinavian countries, the essence of patriotism is closely related to nature, with a caring attitude to it, preserving its purity, and minimal human intervention in the ecosystem’s functioning. In this case we are talking about such a distinctive feature of patriotism as eco–friendliness, and the feeling itself is called ecological patriotism. (Nikitin, 2014). American patriotism is based on the thesis of the exclusivity of the American nation, on political ideals, not on ideas of cultural or ethnic superiority. American patriotism was not influenced by a sense of past grievances and memories of humiliations from other states, whereas in most other societies, this feeling feeds nationalist sentiments. Finally, many other countries, regarding nationalism, look to the past, while American patriotism looks to the future [13]. German patriotism currently has a pronounced economic and cultural orientation—the Germans are proud that Germany is the birthplace of scientists, composers, philosophers, and the fact that Germany stands for the quality and reliability of everything produced in the country. This fact makes them proud and differentiates from other nations [12]. In Russia, the formation of patriotism has a pronounced military–defensive orientation, which is based on the historical tradition and the past of the country [11, 14–16]. The most crucial factor in this military–historical patriotism is the Victory in the Great Patriotic War of 1941–1945, the continuity of this Victory in the military traditions associated with international duty performance in Afghanistan, the first and second Chechen wars, and the military operation in Syria. An additional factor affecting the sense of patriotism of our compatriots was the fact that in our country,

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during the heyday of socialism, it was challenging to resolve the issue of attitude to our own and others: We considered those who developed according to a similar socio–economic scenario as our own; all the others were considered strangers. It is no secret that we had a particular ideology of xenophobia towards strangers— hostility to the Western world and its values, which was personified in a wide range of effects on the average person—from ugly caricatures of the Western in Newspapers and magazines to the famous “…well, they are stupid…” in the monologues of a famous satirist. Moreover, the so–called iron curtain, which gives the Soviet citizen a limited perception of the lifestyle of those who live over the hill did not contribute to an objective comparison of life with us and life with them, which further aggravated the wariness of everything not ours. The contemporary patriotism of a Russian citizen is ambiguous. Love for the Motherland is undoubtedly based on the Victory in the War, pride in modern success in sports, awareness of the uniqueness of our natural resources and the vastness of the territory, the importance of our language, culture, and traditions. Patriotism reflects the love of home, family, and loved ones. This feeling probably depends on age, education, lifestyle, wealth, national and religious affiliation. It differs from similar feelings of representatives of other States. In this article, we will try to find out how exactly it differs.

2 Materials and Methods The research interest aims to identify common and unique feelings of patriotism among Russians and compare them with similar experiences of representatives of some European countries. For this purpose, a questionnaire was prepared to identify what respondents understand by the word patriotism and what, in their opinion, it manifests itself in. Besides, respondents were asked to indicate what, in their view, is the pride and dignity of the country in which they live. The idea of the questionnaire was presented in several works on the study of patriotism [3, 16–19]. On their basis, a questionnaire was designed in which respondents were offered questions and answers to them. The nature of the responses was based on ordered scaling (rank–order scaling): it was necessary to rank the list of submitted response options by assigning a rating from the most significant to the least effective option. The result of the survey was the data represented on an ordered scale. In Russia, 91 people participated in the survey. The sample included people from 18 to 36 years of age. The questionnaire included respondents’ differentiation by gender, age, education, and birthplace (city or rural area). The questions were also translated into German, Portuguese, and Spanish and presented to young people living in Germany, Spain, and Portugal. The sample was made up of young people under 35 years of age, who were mostly full–time students studying at Uni Hohenheim Stuttgart (Germany), Universidad de Málaga (Spain), and Universidade Autonoma de Lisboa (Portugal). The sample of respondents was 49 people (Germany), 58 people (Spain), and 54 people (Portugal).

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The obtained data were compared with each other. The main task was to bring out the common and different views of people living in Russia, Portugal, Germany, and Spain on their understanding of patriotism, what it should be manifested in, and the subject of pride and dignity of their native country. The comparison was based on the analysis of primary statistics, non–parametric criteria, and one – factor analysis of variance.

3 Results Primary statistics on the question what is patriotism (average, standard deviation, and variance) obtained from the survey of respondents from 4 countries (Russia, Germany, Spain, and Portugal) did not show significant differences in the views of the respondents. According to the frequency of occurrence, the leading answers to this question were the answers love for one’s people and love for national culture, language, and traditions. At the same time, the average value of love for one’s family and friends among respondents in Spain (3.28) and Portugal (3.36) is more significant compared to the same values of respondents in Russia (3.58) and Germany (3.84) (Table 1). Simultaneously, all states’ representatives note in their responses that patriotism in the context of globalization is losing its meaning—this is the least effective option of all proposed. The next question was aimed at identifying what exactly, according to respondents, is patriotism. As answers, 15 variants were proposed, which, in turn, can be divided into emotional—sensory forms (to glorify, feel), communicative forms (to communicate, participate, strive), and activity forms (to care, strengthen, protect). Data on the survey results are presented in Table 2. Respondents unanimously recognized that patriotism manifests itself in the sense of respect and pride for their country. The average values for this indicator were: (1) Russia—4.78, (2) Germany—4.56, (3) Spain—4.88, (4) Portugal—4.84. Young people do not show interest in reviving the traditions (average values—12.45, 11.88, Table 1 Average values for the question what is patriotism? Russia

Germany

Spain

Portugal

Love for one’s people

3.15

3.16

3.2

3.04

Love for one’s state

4.80

4.56

4.42

4.94

Love for one’s family and loved ones

3.58

3.84

3.28

3.36

Love for one’s hometown, village, home

3.73

3.32

4.0

3.88

Love for national culture, language, and traditions

3.15

3.06

3.10

3.12

Love for all humanity, humanism

5.28

4.88

4.08

5.24

Patriotism is losing its significance in the context of globalization

6.40

5.12

5.84

5.96

Source Compiled by the authors

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Table 2 Average values for the question what is patriotism? Russia Germany Spain Portugal In glorifying the victories and achievements of their 10.20 Motherland, celebrating historical events and anniversaries

11.4

In pursuit of a safe and global world

6.88

6.04

In gregariousness

9.48

11.02

In taking care of nature and the ecology of one’s country In conversations with friends on topics of patriotism In the sense of uniqueness of their people (their country)

5.90

5.20

11.33

10.57

9.40

8.08

10.88 10.92 6.28 10.8 5.86

7.0 12.48 6.00

9.36 11.02 8.24

9.32

In readiness to defend one’s country from foreign enemies

5.24

6.94

7.06

7.12

In constructive criticism of problems in the country

8.28

7.68

8.45

9.47

In work with full force in their field

8.45

7.12

8.85

8.34

In strengthening the family ties and raising children

7.10

7.18

5.94

5.82

In taking care of veterans and the older generation

5.73

8.14

6.98

7.62

In participation in the political and public life of the country

7.05

6.62

7.24

7.4

In the sense of respect and pride for their country

4.78

4.56

4.88

4.84

12.45

11.88

6.63

6.45

In reviving the traditions of the past In the pursuit of social justice

12.61 12.6 7.14

7.22

Source Compiled by the authors

12.61, 12.6), glorifying the victories and achievements (average values—10.20, 11.4, 10.88, 10.92). However, respondents’ further preferences were divided. In the Russian sample of respondents, the most significant responses were: • Caring for veterans of war and labor, the older generation (average value of 5.73); • Willingness to defend their country from foreign enemies (average value of 5.24); • Care for nature and the ecology of their country (average value 5.9). The preferences of respondents from Western European countries were as follows: Spanish and Portuguese audiences give priority to strengthening the family and raising children, caring for nature and the environment, striving for a safe and global world; German audiences are focused on caring for the environment, striving for a safe world, social justice, and protecting their state from foreign enemies. The respondents’ social perceptions of what is the pride and dignity of their Motherland reflect, in fact, the hierarchy of values that are fixed in the minds of citizens. The following question was devoted to clarifying the differences in these perceptions, presented in Table 3. The average values obtained from the survey revealed differences in how survey participants assess the significance of phenomena and events that determine the specific values of each country. Russians are proud of their history, culture, language, traditions, people who live in their country, and natural resources. An important point of pride is the Army and Navy of the country.

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Table 3 Average values for the question what, in one’s opinion, is the pride and dignity of one’s country? Russia

Germany

Spain

Portugal

People living in one’s country

4.95

3.92

4.46

4.20

The economic success of one’s country

8.48

6.14

7.69

8.67

The history of one’s country, including the heroic glory

3.43

4.58

4.58

4.89

National exclusivity of one’s people (ethnic group)

7.05

7.34

7.14

6.88

The beauty of the nature of one’s country

4.28

4.16

4.92

4.54

Sports achievements of one’s country

7.03

7.10

5.62

7.98

A sense of freedom of expression in one’s country

9.63

8.84

8.25

7.96

Natural resources of one’s country

5.05

8.02

9.41

8.16

The authority of one’s country in the world

7.70

7.85

9.11

9.14

The Army and the Navy of one’s country

7.65

9.20

9.20

9.54

Culture, language, and traditions of one’s country

4.20

4.0

4.76

3.96

Ecology of one’s country

8.88

8.12

7.26

5.02

12.25

12.06

12.14

12.40

Nothing Source Compiled by the authors

Representatives of Germany, Spain, and Portugal have a slightly different gradation of values that reflect their pride in their country. For example, young people in Germany and Spain are proud of their country’s economic success and sporting achievements; Spain and Portugal are proud of their country’s ecology and sense of freedom of expression. It is noteworthy that representatives of Western European countries do not consider pride in their Army and Navy as a priority. The last question was intended to identify respondents’ opinions on what they think should be done in their countries of residence to increase patriotism among their fellow citizens. The results of the average values are shown in Table 4. The responses from different countries have a certain similarity. According to all survey participants, the essential condition for increasing the level of patriotism is to improve the population’s living conditions (creating jobs, providing, and expanding services in education and medicine). Further assessments differ in each country. In Russia, the emphasis is on caring for the elderly, developing love and interest in the history, geography of the country, and a healthy lifestyle. In Western European countries, data show that it is advisable to increase patriotism by strengthening the family’s institution, forming a healthy lifestyle, and organizing leisure activities for young people. A variance analysis was performed with the data obtained to determine the differences in the respondents’ responses. It was assumed that the independent variable is the respondents’ belonging to a particular country, and the responses to the proposed questions were considered as dependent variables. As a statistical hypothesis H1 , it was suggested that there are differences between the averages and variances of variables. Calculations were performed in the SPSS program. The empirical values

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Table 4 Primary statistics of the question what, in your opinion, should be done to increase the level of patriotism? Russia Germany Spain Portugal To improve the living conditions of the population (create 1.88 jobs, provide and expand services in the field of education, medicine)

2.00

1.92

1.84

To increase the authority of the Army in society (create a positive image of the Army in the media, films, literature)

7.35

6.10

7.44

7.63

To take care of the elderly, war veterans, and veterans of labor

3.83

4.91

4.60

4.12

To introduce censorship to the media

8.38

9.98

10.02

8.26

To teach children a healthy lifestyle and sports

4.28

4.22

4.18

4.32

To increase the credibility of the country in the international arena

6.05

8.40

5.94

6.02

To organize youth leisure activities (create youth organizations, clubs, hobby groups)

4.55

3.89

4.34

4.73

To strengthen the family institution

4.85

4.30

3.96

4.01

To instill love and interest in the history, geography of one’s country, native language

3.90

4.66

5.12

5.03

To do nothing necessarily

9.93

7.50

8.16 10.04

Source Compiled by the authors

of FEMP were compared with the critical values at degrees of freedom equal to v2 = 3 and v1 = 248.  2, 64 for p ≤ 0.05, FCR = 3, 90 for p ≤ 0.01 Significant results of the analysis of variance were recorded in the answers to the second and third questions. No significant differences were found in the answers to the first and fourth questions. The results are shown in Table 5. Table 5 Significant results of the analysis of variance FEMP On the question how does patriotism manifest itself? In readiness to defend one’s country from foreign enemies

4.29

In taking care of veterans and the older generation

4.12

On the question what, in one’s opinion, is the pride and dignity of one’s country? The Army and the Navy of one’s country

4.81

Natural resources of one’s country

4.02

Source Compiled by the authors

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M. V. Tarasov

4 Discussion It is necessary to find out, what brings together the social views of young people from different countries on patriotism. The study results showed that young people are not indifferent to the concept of Motherland. They associate with this concept people who inhabit a specific territory, speak the same language, and are carriers of generally accepted traditions and values. The most crucial component of love for the Motherland is love for home, family, and close ones. Love for one’s state is also the most important patriotism component, but this love is not a priority in the study sample. The study participants unanimously believe that patriotism as a socio–psychological phenomenon has not lost its significance in globalization processes on the planet: the position that “patriotism in the context of globalization loses its significance” is not relevant for representatives of the analyzed countries. All respondents believe that patriotism is manifested in respect and pride for their country, while young people believe patriotism should be manifested primarily in actions. Although the range of these actions varies in each country, the general vectors of these actions are strengthening the family, educating the younger generation, caring for nature and the environment, striving for social justice, and protecting one’s state from foreign enemies. The younger generations of all countries participating in the survey are proud of their country. Their compatriots are the primary source of pride. Respondents are proud of their country’s culture, language, traditions, natural beauty, past and present, success in the economy, sports, and social policy. The most important factor in showing similarity in survey participants’ views and perceptions is their response to the question of what should be done to increase the level of patriotism. All respondents believe that improving the living conditions of the population: creating jobs, expanding services in education and medicine is the main factor that forms love for the Motherland in modern times. Besides, love for the Motherland is formed by a strong family, a healthy lifestyle, an interest in learning the native language, history, and geography, and well–organized leisure. We must study the difference between young people’s views on issues related to their attitude to the Motherland. The results of the analysis of variance (Table 5) revealed many fundamental differences in the views of respondents, while the analysis is based on the ratio of inter– group and intra–group variances. The correctness of the conclusions is determined by comparing the empirical values of the analysis of variance with the critical values for P0. 05 and P0.01. Here are the main differences.

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The analysis showed that on the issue related to the manifestation of patriotism, there are significant differences in the indicators readiness to defend one’s state from foreign enemies (FEMP = 4.29) and caring for veterans, the older generation (FEMP = 4.12). Significant differences were also revealed in the question what, in one’s opinion, is the pride and dignity of one’s country? The indicators for which responses differ significantly are the Army and the Navy of one’s country (FEMP = 4.81) and natural resources of one’s country (FEMP = 4.02). Based on the identified significant differences and their comparison with the average values obtained in the answers to the questions, the likely reason for these differences is the results obtained in the Russian sample of respondents. For all the above indicators, the average values in the Russian sample are 1.5–2 points more significant than similar indicators in Western European countries. Thus, on the second question, how does patriotism manifest itself , the indicators readiness to protect one’s state from foreign enemies and to care for the younger generation among Russians significantly differ in similar indicators among other respondents who took part in the study. The same can be stated about the question what, in one’s opinion, is the pride and dignity of one’s country in terms of the Army and the Navy of one’s country and natural resources of one’s country.

5 Conclusion The target of the study, which was to determine the general and particular feelings of patriotism of Russians and compare them with similar experiences of representatives of some European countries, was achieved. The study found that social ideas about patriotism and its forms of manifestation in respondents’ minds in the Russian sample and representatives of some Western European countries have significant similarities. All respondents put in the concept of patriotism love for their compatriots, language, national culture, relatives, and friends. They are proud and respect their country, consider it necessary to strengthen the family, raise children, and take care of nature and ecology. All respondents are convinced that to strengthen the sense of love for the Motherland, it is necessary to improve the living conditions of the population, instill interest in its past and present, and lead a healthy lifestyle. Significant differences in respondents’ social perceptions were revealed in the sphere of priorities for displaying patriotism and the subject of different countries citizens’ pride and dignity. Further scientific developments related to this topic strongly dictate both the expansion of the sample and its differentiation by age, professional, gender, and other grounds and the expansion of the total number of countries participating in the research work.

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References 1. Guzenina SV (2013) The image of the Motherland as a subject of scientific analysis. Belgorod. Russia: Belgorod PH, NRU BelSU 2. Koltzova VA, Sosnin VA (2015) Social-psychological problems of patriotism and features of its education in modern Russian society. Psychol J 26(4):89–97 3. Murashchenkova NV (2014) Social-psychological determinants of youth’s perceptions of extremism and patriotism (dissertation of candidate of psychological sciences). Saratov Chernyshevsky State University, Saratov, Russia 4. Vyrshchikov AN (2019) The essence of the concept of “patriotic activity”: theoretical foundations. Prob Mod Educ 5:96–101 5. Zagyrtdinov RB (2018) Problem of patriotism in modern Russian society. Econ Soc Res 2:185– 190 6. Zhuravlev AL, Yurevich AV (2016) Patriotism as an object of study of psychological science. Psychol J RAS 37(3):88–98 7. Grigoryan LK (2013) Patriotism and nationalism in Russia: influence on economic independence. Cultural-Hist Psychol 3:22–30 8. Grigoryan LK, Lepshokova ZH (2012) The role of national identity and attitudes towards immigrants in economic beliefs of Russians: an empirical model. Soc Psychol Soc 2:5–20 9. Levashov VK (2005) Patriotism under globalization: what sociological polls indicate. Bulletin of the RAS 2:99–102 10. Makarova OV, Marakushina IG (2019) The image of the motherland as a substantial basis of social and cultural identity of younger students. Prob Modern Pedagogical Educ 62(3):144–146 11. Ragozinskaya VG (2015) Russian students’ social representations of patriotism. Bulletin of higher educational institutions. Ural Region 4:46–54 12. Petrovskaya OV (2014) The historic past in polish patriotism disputes. In: Guzenkova TS (ed) Patriotism as the ideology of the revival of Russia (pp 20–220). Moscow, Russia: RISS 13. Glushchenko YN (2014) Phenomenon of American Patriotism. In: Guzenkova TS (ed) Patriotism as the ideology of the revival of Russia, pp 221–241. Moscow, Russia: RISS 14. Chikaeva TA (2019) Motherland. Patriotism (Social–Philosophical Research). Moscow, Russia: MAII 15. Lysak IV, Nalivajchenko IV (2013) Patriotism: outmoded value or modern trend? Taganrog, Russia: SFedU 16. Shapovalova IS, Shmigirilova LN, Byhtin ON, Chursina EV (2014) Patriotism patterns in youth subcultures of border regions of Russia and Ukraine: differences and similarities. In: Guzenkova TS (ed) Patriotism as the ideology of the revival of Russia (pp 105–115). Moscow, Russia: RISS 17. Krylova EL (2019) Methods of studying patriotic consciousness of youth. TSU Bulletin. Series “Pedagogy and Psychology 2(47):137–147 18. Martynov MY, Gaberkorn AI (2019) How do we measure patriotism? On the conceptualization of the concept. Bulletin of Perm University. Political Science, 13(4):31–43 19. Popov AI (2005) Development of the concept of the Motherland among preschool children (Dissertation of Candidate of Psychological Sciences). Volgograd, Russia: Peremena.

Sustainability in the Tatarstan Service Sphere Varvara Yu. Kulkova , Anna A. Derbeneva , and Elena A. Dolonina

Abstract In the Russian Federation, the current trend is to attract non-state suppliers to the market of social services to ensure sustainable development in services. Non-state suppliers include social entrepreneurship and non-profit organizations. Currently, social entrepreneurship is only emerging. A joint infrastructure has been created to support non-profit organizations and social entrepreneurship. The paper aims to identify legal forms of non-profit organizations as growth points for social services in developing social entrepreneurship. The research methods we use are the following: (1) gathering online survey data and (2) structural analysis of financing sources for non-profit organizations based on calculating the relative size of the structure. As a research result, we have found the differences in the structure of financing sources for traditional non-profit organizations and non-profit organizations, which implement commercialization of activities manifested in chargeable public services to achieve sustainability. We consider the latter the feature of possible diversification of the activities of non-profit organizations into social entrepreneurship. The research conclusions and novelty are in revealing the organizational and legal (regulatory) forms of non-profit organizations, which show the possibility of growth points in the development of social entrepreneurship and include the following: (1) private educational institutions that provide chargeable services in training drivers and (2) funds engaged in specific activities in culture, sports, and event management, which differ from traditional funds of the non-profit sector. Keywords Sustainable social development · Social entrepreneurship · Social services · Non-profit organizations

V. Yu. Kulkova (B) · A. A. Derbeneva · E. A. Dolonina Kazan State Power Engineering University, Kazan, Russia e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 S. G. Maximova et al. (eds.), Advances in Natural, Human-Made, and Coupled Human-Natural Systems Research, Lecture Notes in Networks and Systems 252, https://doi.org/10.1007/978-3-030-78105-7_36

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1 Introduction In Russia, the current trend in developing the sector of social services is an increase in chargeable public services (such as medical, sanatorium, resort, household, and veterinary) [11]. The quantitative growth of chargeable public services that we can observe occurs in the context of implementing the task set by the President of the Russian Federation [7]. The task is to attract non-state suppliers (namely, the representatives of small and medium-sized enterprises (SMEs), social entrepreneurship, socially-oriented non-profit organizations (SONPOs) to the market of social services to achieve sustainable development of the service sector. In foreign practice, social entrepreneurship emerged only in the 90 s of the twentieth century among the providers of non-state social services. However, many developed countries have formulated the tasks for developing social entrepreneurship in their economic policies [2, 9]. Currently, social entrepreneurship is only emerging in Russia. The Agency for Strategic Initiatives (ASI) has begun developing infrastructure to support social entrepreneurship. The infrastructure includes Centers for Innovation in the Social Sphere (CISS) in the constituent entities of the Russian Federation. According to the ASI, social entrepreneurs and SONPOs are included in fulfilling the tasks in developing social entrepreneurship. SONPOs have already had self-support in the form of Resource Centers for Support of SONPO created at the expense of budgetary funds in the constituent entities of the Russian Federation [6]. On the one hand, SONPOs combined with the infrastructure for supporting social entrepreneurship have been considered growth points for developing social entrepreneurship (i. e., organizations, which activities one can diversify into social entrepreneurship). On the other hand, social entrepreneurship has been a sustainable development activity for SONPOs. On June 26, 2019, the amendment to the Federal Law No. 209-FZ On the Development of Small and Medium-Sized Enterprises in the Russian Federation clarified the definition of social entrepreneurship and positioned it as an independent priority activity of small and medium-sized enterprises. The standard measures to support social entrepreneurs in 2020 are planned in most Russian constituent entities. Simultaneously, the amendment on the social entrepreneurship status comes into force within the Federal Project Acceleration of Small and Medium-Sized Enterprises of the National Project Small and Medium-Sized Enterprises and Support for Individual Entrepreneurial Initiatives. These measures include the following: ● Subsidies for developing social entrepreneurship in single-industry municipalities; ● Infrastructural (consulting, methodological, educational, and property) support; ● Assistance in developing inter-regional cooperation and searching for business partners by organizing fairs, business congresses, exhibitions, and competitions.

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Excluding non-profit organizations (NPOs) from possible organizational and legal forms of social entrepreneurship has become a significant innovation along with the planned state support for social entrepreneurship. The following acute and debatable questions have determined the objectives of the study: ● To what extent innovations are introduced in social entrepreneurship according to emerging practices. ● What impact the convergence of the infrastructure for supporting social entrepreneurship and SONPOs has on the diversification of NPOs in social entrepreneurship. These questions are to identify the forms of NPOs as growth points in social services while developing social entrepreneurship. The subject of the study is the Republic of Tatarstan, the constituent entity of the Russian Federation. Here, the infrastructure for supporting SONPOs and social entrepreneurship is integrated into CISS.

2 Materials and Methods Developing non-state providers of social services matches the sustainable development goals for the period 2015–2020. They are published in the official document Transforming our World: The 2030 Agenda for Sustainable Development [4]. There is a scientific approach developed to position social entrepreneurship as a form for achieving sustainability of NPOs through commercialization. Thus, within the concept of earned income [3], NPOs increase the sustainability of their activities by independently earning income for services and transforming into social entrepreneurship. Kim Alter develops the concept of earned income within the theory of hybridization of an enterprise. It envisages achieving sustainability as NPOs are commercialized in their evolutionary development within social and entrepreneurial organizations: from traditional NPOs to NPOs with profitable activities, social enterprises, companies practicing social responsibility, and traditional profitable organizations [1]. Classic scholars of the non-profit sector have been opponents of commercializing activities of NPOs. They have claimed that the NPO mission is a critical landmark in its sustainability. In the USA, the existence of the NPO mission is a statutory requirement. According to Rich [8], NPOs are mission not profit driven. In NPO activities, the mission is described as a tool for planning, fundraising, and interaction with stakeholders and drivers for introducing innovations. Commercialization of NPOs leads to a mission drift syndrome when NPOs perform activities different from the mission chosen to make income. A strategy is developed that aims to overcome the mission drift syndrome and considers the fundamentally important NPO features:

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● Focus on achieving social effects rather than making a profit; ● Sources of NPO income (donations, government orders, and subsidies) different from chargeable public sources [8]. Thus, within the given approach, the NPO mission is different from the mission of social entrepreneurship. In this way, NPOs are not positioned as a growth point for transforming into social entrepreneurship. The research conducted by Salamon [10] has shown a new emerging concept of charity. In this concept, the nature of charity is transformed from free participation (as in traditional charity) to charity based on the investment. The critical tool for implementing the new charity is socially useful initiatives in the form of investments. The new charity actors are social entrepreneurs in contrast to the traditional charity personified by the NPO activities. In the concept of the new charity, NPOs and social entrepreneurs have different positions. In Russian studies, within the ongoing consolidation of the infrastructure for supporting SONPOs and social entrepreneurship, there has been a proposal to form social entrepreneurship from NPOs in the methodological justification of the hybridization theory [5]. The socio-economic effects and limitations in the positioning of social entrepreneurship in social services at the stage of convergence of the infrastructure for supporting SONPOs and social entrepreneurship have been identified within the research. The research has found the following results: ● NPO experts and social entrepreneurs do not tend to the unification of NPOs and social entrepreneurship; ● Differences between non-commercial activities and social entrepreneurship can affect the quality of provision of social services by non-governmental organizations; ● An orientation towards the prospects for generating income in the growing market of social services, rather than creating public value and jobs for the target population, prevails in the motivation of national social entrepreneurs; ● Most social entrepreneurs consider social services as a strategy for business segmentation in the social sphere [6]. In Russia, there is a differentiated structure of the non-profit sector characterized by the variation of NPO forms: from state-owned ones (recently transformed into autonomous NPOs) to private educational institutions and traditional NPOs (SONPOs) [6]. This structure makes it possible to achieve the sustainability of some NPO forms in the diversification of their activities by performing chargeable public services. We should note that social entrepreneurship is not only the performance of chargeable public service (i.e., the introduction of the strategy of business segmentation into the social sphere) but the involvement of people in difficult life situations into the economic activities of an enterprise. At the same time, taking into account the research of Rich [8] and the diversification of traditional NPOs according to their financing structure, state NPOs will differ in their targeted financing and chargeable public services. Thus, the orientation

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towards the development of chargeable public services for state institutions is not new, and private educational institutions are often quasi-NPOs as they aim to have income from their activities. According to Alter [1], the commercialization of NPOs, which is evident in chargeable public services, is a feature of diversification of NPO activities in social entrepreneurship. The research hypothesis is that the ongoing convergence of the infrastructure for supporting SONPOs and social entrepreneurship helps commercialize chargeable public services, which some types of NPOs perform to achieve sustainable development. We have used the method of online surveys of NPOs of the Republic of Tatarstan at the stage of data gathering to verify the hypothesis. The structure of the questionnaire has included the following information: ● General information about organizations (full name of organizations, their activities, social practices, and target audience); ● Financial resources of organizations for 2018 (donations from individuals and legal entities, federal and regional grants and competitions, targeted financing, and chargeable services). The questionnaire was published on the Google platform from October to December 2019. The activity of respondents has formed a random sample (N = 60). We have also analyzed their responses and summary and grouped NPOs according to the chargeable public services and social practices. Besides, we have calculated the relative size of each financing source for each type of NPO activity to assess the financing sources of NPOs with profitable activities. The financing source is expressed as a simple average.

3 Results The questionnaire survey results have shown that 33.3% of the NPOs studied provide chargeable public services. Thereby, they have transformed from traditional NPOs to NPOs with profitable activities. The next stage in their evolutionary development is social entrepreneurship. Table 1 shows the characteristics of NPOs with profitable activities. We have grouped them according to the following parameters: ● Social practices with identifying their types; ● Ratio of every NPO to the total number of NPOs; ● Target audience. We can see from Table 1 that the autonomous NPOs are the type with the largest number of profitable activities. They have transformed from the state NPOs providing

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Table 1 NPO characteristics as growth points in developing social entrepreneurship Social practices

NPO type

Ratio to the total number, %

Target audience

Funds Services in education, culture, sport, and tourism; making movies

15

Children, adolescents, youth, parents, veterans, children and adults with disabilities, and large families

Performing social services; medical and rehabilitation services; activities in education and training, as well as the promotion of such activities; caring health of citizens, healthy lifestyle promotion; sports activities

Autonomous NPOs

60

People of retirement age, people with disabilities, people over 18 years old; children from 3 to 7 years old, including children with specific development and disabilities; alcohol and drug addicts, persons suffering from other types of severe addictions; persons without a fixed place of residence; children aged 6–11 years old, adolescents aged 12–15 years old, and youth aged 16–30 years old

Training drivers; career guidance;

Private educational institutions, regional public-state associations, regional youth centers

20

Older adults, people with disabilities, adults, students, youth; children from 6 months old, parents, children with speech impairments

5

Children with disabilities from birth to 18 years and their families

Rehabilitation of Public organizations children with special needs; early assistance; assistance in developing interagency cooperation; implementation of projects and grants Source Compiled by the authors

mainly social, medical, and rehabilitation services to specific categories of the population in difficult life situations. The NPOs that provide chargeable services in education and training drivers occupy the second position. The funds are the growth points of social entrepreneurship since they are engaged in activities specific to traditional funds of the non-profit sector in culture, sports, and event management.

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Table 2 NPO financing sources as growth points in developing social entrepreneurship NPO type

Donations from individuals, %

Donations from legal entities, %

Grants, %

Target financing, %

Chargeable services, %

Funds

1

2

7

60

30

Autonomous NPOs

4

3

7

86

10

Private educational institutions, regional public-state associations, regional youth centers Public organizations

4

1.9

96

48

50.1

Source Compiled by the authors

Table 2 presents the description of the structure of financing sources of NPOs with profitable activities by their types. Even though autonomous NPOs occupy the largest share in the NPO type, they have a characteristic feature. It is a small ratio of chargeable services with the prevailing state targeted financing in the structure of financing sources. The largest ratio of chargeable services in the structure of financing sources is characteristic for those NPOs, which provide chargeable services in education and training drivers, and funds.

4 Discussion From the standpoint of achieving sustainability in the service sector and accessibility of public social services, NPO transformation into social entrepreneurship, NPOs with chargeable public services, and state institutions providing social, medical, and rehabilitation services to the categories of the population under challenging situations causes discussion. On the one hand, transiting to non-profit sector entities allows participating in national and regional competitions for NPOs and attracting additional financing. On the other hand, chargeable public services, contributing to the income activities of organizations, do not correspond to the characteristics of the traditional NPOs. Simultaneously, they limit the availability of social, medical, and rehabilitation services for the categories of people who are already in difficult situations. Therefore, these people demonstrate a low level of material well-being, which imposes restrictions on chargeable services. In general, the Russian practice

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has proven that developing chargeable services in the social sphere leads to low availability and lower living standards of certain categories of the population [12]. Simultaneously, the prevailing share of chargeable services in the financing sources of NPOs engaged in social practices in education and training drivers indicates that the demand for their activities comes from the wider population going beyond the target audience of people in difficult life situations. These organizations seem to have transformed their consciousness from traditional NPOs to NPOs with income activities. However, their concept has not been developed to the level of social entrepreneurship since the criterion for involving people in difficult life situations in business activities of organizations has not been achieved. In addition, within the amendments to the legislation of the Russian Federation, transforming NPOs into social entrepreneurship will require changes in organizational and legal forms. The hypothesis verification that commercialized NPO activities do not correspond to the social entrepreneurship criteria is the subject of further research. Moreover, within the data studied, the readiness of the organizational and legal forms for transforming NPOs into social entrepreneurship also requires supplementary study.

5 Conclusion As a research result, we have found the differences in the structure of financing sources of traditional NPOs and NPOs, which implement commercialization of activities manifested in chargeable public services to achieve sustainability. We consider this difference as a potential sign of diversification of the NPO activities into social entrepreneurship. In the samples studied, 33.3% of NPOs fulfill chargeable public services (i.e., they have included income activities). That is why they can be positioned as potential growth points in developing social entrepreneurship. According to the types of social services provided to the population on a paid basis, the medical and rehabilitation services, as well as training drivers, occupy the leading positions in terms of size. According to the structure of the growth points in the NPO types, we should pay attention to the potential in developing social entrepreneurship. First, these are the NPOs of the legal form—private educational institutions that provide chargeable services in education and training drivers. Second, these are funds. Funds are the growth points of social entrepreneurship engaged in activities specific to traditional non-profit sector funds in culture, sports, and event management. Despite a significant share in the structure of NPO types with income activities (60%), autonomous NPOs differ by a small share of chargeable services and the prevailing state targeted financing in the structure of the budget revenues of these organizations. Acknowledgements We are grateful to the staff of the Civic Chamber of the Republic of Tatarstan, represented by the head Z. N. Safina, for providing the research information base, organizing the questionnaire survey, and initial data gathering.

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References 1. Alter K (2007) Social enterprise typology. Retrieved from https://www.globalcube.net/clients/ philippson/content/medias/download/SE_typology.pdf 2. Austin J, Stevenson H, Wei-Skillern J (2003) Social entrepreneurship and commercial entrepreneurship: Same, different, or both? Harvard Business School, Boston, MA 3. Boschee J, McClurg J (2003) Toward a better understanding of social entrepreneurship: Some important distinctions. Retrieved from https://www.law.berkeley.edu/php-programs/courses/fil eDL.php?fID=7289 4. Bureau of the United Nations Statistical Commission (2015) Technical report on the process of the development of an indicator framework for the goals and targets of the post-2015 development agenda (Working draft). Retrieved from https://sustainabledevelopment.un.org/ content/documents/6754Technical%20report%20of%20the%20UNSC%20Bureau%20%28f inal%29.pdf 5. Khasanova GN (2019) Formation of regional organizational and economic foundations of social entrepreneurship (dissertation of candidate of economic sciences). Kazan Federal University, Kazan, Russia 6. Kulkova V (2016) Transformation of the stability of SO NPO in the Russian Federation. Kazan, Russia: Print-Service XXI century 7. Presidential Executive Office (2018) List of instructions of the president of the russian federation based on the results of the meeting of the state council (December 27, 2018). Russia, Moscow 8. Rich D (2019) The importance of mission for NGO’s. Retrieved from https://grans.hse.ru/mir ror/pubs/share/306942079 9. Rimac T, Nitulescu G (2014) The state of social entrepreneurship in Spain. Universitat Autonoma de Barcelona, Barcelona, Spain 10. Salamon L (2014) New frontiers of philanthropy. Oxford University Press, New York, NY 11. Shavandina IV, Kuchin SV, Kozlov VA (2018) Efficiency of development of the service sector in the Russian federation. Bulletin of NGIEI 87(7):142–153 12. Shishkin S, Burdyak A, Selezneva E (2008) Differences in the availability of medical care for the Russian population. SPERO 8:135–159

The Idea of Restoration of the Elected Bodies of Popular Representation in the History of Russian Political Thought in the 1850s—Early 1860s Vyacheslav A. Dolzhikov

Abstract Based on the theory of modernization, the author analyzes the historical conditions of the ideological struggle of the Russian public for restoring the elected zemstvo (district council) bodies of popular representation that were liquidated in the past by the supreme imperial power. It is proved that Russia had the necessary prerequisites for the restoration of elected zemstvo (district council) bodies with the subsequent transition to a constitutional monarchy of the modern type at the turn of the 1850s–1860s. However, the Emperor Alexander II was the main opponent of such a transformation. Although appearing in the liberal discourse as a “Tsar-Liberator,” he refused to carry out a long-standing constitutional reform. The author of the article refers to the positive experience of Japan, where almost the same systemic crisis was successfully overcome with the active participation of the samurai aristocracy during the reviewed period (The Meiji Restoration, 1868). In the Russian Empire, the absolute supreme power supported by the bureaucracy suppressed a similar movement of the noble opposition. Nevertheless, they did not prevent a national catastrophe but only postponed it for some time. Keywords Land assembly · Constitution · Modernization · Elective representation · Restoration · Reform

1 Introduction Mastering the methodological tools of the modernization theory is still one of the urgent and priority tasks for Russian researchers in various fields of the humanities. This issue is relevant since the current political system of Russia can hardly be considered completely modernized in the full sense of this concept [1].

V. A. Dolzhikov (B) Altai State University, Barnaul, Russia e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 S. G. Maximova et al. (eds.), Advances in Natural, Human-Made, and Coupled Human-Natural Systems Research, Lecture Notes in Networks and Systems 252, https://doi.org/10.1007/978-3-030-78105-7_37

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According to many authors, such a collision with Russian statehood became possible due to the “Path Dependence” caused by the endless alternation of reforms and counter reforms, “thaws,” and “frosts” [2]. At the same time, the repeated attempts to modernize the country were initiated only “from above.” The modernization of the country was carried out mainly at the will of the autocratic rulers, who superficially assimilated the Western-inspired and Eurocentric worldview. However, all modernizations were interrupted due to the backward movement of the authoritarian or totalitarian counter-modernity. Meanwhile, national political institutions and traditions of popular representation (Duma, Zemsky Sobor (Assembly of the Land), the system of elective zemstvo (district), volost (county), and city self-government) were gradually destroyed. They were changed by some institutional substitutions borrowed from outside. A striking historical example of the fragmentary modernization of Russia “from above” are the reforms of Peter the Great [3].

2 Methodological Foundations According to the key provisions of the modernization theory, one of the important tasks solved during the evolutionary reformatory (or, in the extreme version, revolutionary) transition from the traditional statehood to its modern model should be the creation of a multivariate and ramified system of public administration and local self-government, which should be immanently consistent with the values of civil society. At the same time, it should be borne in mind that the modernization can unfold in two ways: (1) either according to the organic scenario, when transformations are carried out in a natural way, spontaneously, or (2) compulsorily, under the forceful pressure of state power. Only in the first case, the political and ethical traditions accumulated by the people are not destroyed but modified, harmoniously complementing and enriching the reforms borrowed from outside. On the contrary, traditions are becoming fertile “ground” for the gradual adaptive “rooting” of ideological values alien to their origin. The modernization of most Western European countries developed according to this scenario, forming a modern civil society. The inorganic version of modernization occurs in a completely different way. The transformations of the systemic order are carried out through the forcible reception of institutions alien to society. The original institutions and values are eliminated under the pretext of achieving an illusory goal— the mythical “common good” or “great future” of the modernized state. Reforms of this kind, initiated by the government, usually lead to an almost total uprooting of folk traditions. According to this scheme, the most significant systemic transformations are “Europeanization” carried out by Peter I, the “great reforms” by Alexander II, and “collectivization of agriculture” carried out by Joseph Stalin.

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3 Results and Discussion In such a context, an example of successful organic modernization is demonstrated by the history of traditionalist Japan. There, in 1868, the Meiji Restoration (Japanese: 明治維新 (Meiji Ishin)) occurred after the victory of the elite samurai coup. In literature, the events of 1868–1889 are sometimes called the “Meiji Revolution” or “Meiji Renewal,” after the reign of Mutsuhito, the 122nd Emperor. This moment, which chronologically coincided with the period of “great reforms” in Russia, symbolizes the formation of modern national statehood in Japan. Moreover, the traditional Japanese values played an important role in the gradual transition to modernity [4]. Panov notes that, during the Meiji period, power was concentrated in quite pragmatic people who did not set unrealizable goals for the country and its people. That is why the wars with China and Russia [the first quarter of the twentieth century] ended successfully for Japan [5]. The organic synthesis of European innovations and the country’s own spiritual and cultural traditions created the necessary starting conditions for the subsequent technological breakthrough of the country in the second half of the twentieth and early twenty-first centuries [4–6]. The era of the “thaw” and the subsequent “great reforms” in Russia in the late 1850s–1870s is formally like the Meiji Restoration. Nevertheless, there were considerable differences between these events. According to most liberal Western-inspired Russian scholars, the “spring of liberation” initiated by the emperor in early 1855 ended with the so-called Great Reforms. However, they can hardly be called an example of a successful comprehensive modernization since the “Tsar-Liberator,” unlike the young Japanese emperor, did not carry out the political reform. Moreover, Russia of those years had a solid foundation, inherited by Alexander II from his political predecessors, for similar modernization and restoration transformations. Russia had many unimplemented constitutional ideas and even some ready-made projects [7, 8]. Their implementation as a real process could probably lead to the completion of at least inorganic modernization of the country by granting the octroyed constitution to people. Unlike researchers of the liberal-Westernist direction, the authors adhering to different positions accompany the above reforms with quotes. Druzhinin, the Soviet academician, did not consider the reform of 1861 “great” ([9], p 54). Indeed, the “Tsar-Liberator” never carried out the most important reform—the constitutional one. He, “in the Western European, constitutional, or Assembly of the Land spirit, lacked either determination or even desire” ([10], p 514). It was only necessary to meet the aspirations of the Europeanized minority of the Russian elite, which offered an excellent way out of the systemic crisis precisely through the restoration of the previously existing traditional institutions of political representation with a further transition to the regime of constitutional monarchy. Aksakov was the first Russian political thinker to formulate the question of restoring representative bodies in Russia, entirely liquidated by the supreme power by the end of the seventeenth century. In the “Supplement” to his note addressed to the emperor “On the internal state of Russia” (March 1855), he said that “… Freedom of

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speech is necessary without delay. Following it, the government can usefully convene the Zemsky Sobor” [11]. According to Aksakov, the problem needs to be solved urgently, since “the general corruption or weakening of moral principles in society has reached enormous proportions. Bribery and bureaucratic organized robbery are terrible” [11]. Evidently, he meant the corruption traditional for the imperial bureaucracy. “Great is the internal corruption of Russia,” the thinker notes, “the corruption that flattery tries to hide from the eyes of the sovereign …” [11]. However, the noble community did not immediately support the very idea of the need to restore Zemsky Sobor (Assembly of the Land) in Russia. Throughout the second half of the 1850s, the elite focused its attention mainly on the preparations announced by the imperial government to abolish serfdom “from above.” This measure distracted the attention of the majority of the nobles from the really pressing issue. Only on the pages of “Kolokol,” an émigré newspaper published by N. P. Ogarev in London, in November 1858, the “unidentified author” published an article “Reform from above or reform from below.” In this article, the author supported the “zemstvo” (district council) idea of K. S. Aksakov. “Firstly, it is necessary to give people good laws. For this, it is necessary to revise, from alpha to omega, all that confusion of the most absurd and contradictory regulations and institutions that make up the immense mass of our current code of laws.” Since “… good laws are written not by the chancelleries and various departments, but by people, it is obligatory to convene a zemstvo (district) council elected from all estates for the proposed revision” (N. a. [12]). In other words, the author of the publication unambiguously advocated the restoration of representative bodies in Russia. The content of this publication indicates that the author clearly understands the main task that the national elite should have directed its energy to. It is noteworthy that A. I. Herzen, the chief editor of the London edition, accompanied this text with an interesting commentary. “Placing this very remarkable article in the “Kolokol,” we must admit that we do not agree with the author on everything” (N. a. [12]). Clearly, the idea of “bottom-up reform” seemed too radical to him at that time. The editor of the émigré newspaper declared his position in the article “In Three Years” (the beginning of 1858). This article, for the first time, names the emperor the “Liberator,” the heir to the Decembrists, etc. “He works with us for a great future,”—optimistically exclaimed Herzen [13]. Unfortunately, there are reasons to believe that he was wrong about the reform potential of the ruling emperor. Later, Herzen was forced to admit this fact. Compared with Alexander Herzen and Nikolai Ogarev—“masters of thought”— the author of the article cited above (as the author thinks, this was Mikhail Bakunin, their closest friend and associate, an eternal radical and oppositionist who was in Siberian exile), for several reasons, could not be mistaken about this [14]. The above article formulated a minimum program that contained nine points aimed at consistent “Europeanization” of the Russian political system. Many of the indicated provisions are still relevant nowadays. For example, paragraph 4 substantiates the need to implement the principle of separation of powers, without which a modern state is unthinkable. However, according to the author, the Russian Empire was marked with “a mixture of legislative, judicial, and executive powers and the complete irresponsibility of uncontrolled ministers…” (N. a. [12], p. 220). Bakunin declared his

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unconditional solidarity with K. S. Aksakov on the key “zemstvo” (district) question. In 1862, he wrote to one of his Siberian friends “In Russia, there is a widespread agitation aimed at the convocation of the National Zemsky Sobor (Assembly of the Land), the only one that can resolve urgent issues peacefully and bloodlessly, but insoluble for our government …” [12]. Bakunin explains his position in a campaign appeal from the same period. “… For us, champions of freedom, the question of law is essential. We understand that where there is a law, there is the real power” [15]. In this paragraph, the “apostle of anarchy” was guided by the norms of democratic liberalism formulated by J. Locke, A. de Tocqueville, T. Jefferson, and other constitutionalists and liberalists of the West. In his appeal, M. Bakunin writes that for him and all like-minded people, Russian, Polish, and all Slavic friends, the supreme law is the will of people themselves (N. a. [12]). The “zemstvo” version of modernization had many supporters in aristocratic circles [8]. At the very beginning of the “thaw,” constitutional sentiments were spread even among the court dignitaries. N. A. Melgunov, in a letter to A. I. Herzen (December 9, 1857), recounted the content of his conversation with N. V. Vsevolozhsky, the chamberlain in charge of the imperial hunt, vouching that the meaning of the interlocutor’s statements is broadcast “with diplomatic precision.” A close friend of Alexander II was well aware that the main problem for Russia was not serfdom. N. V. Vsevolozhsky said, “The peasants will be freed—fine… Well, what then? The freed men will become state officials; Well, what about the state ones? Will they remain what they were?” He further spoke in a completely “constitutional” spirit. “Well, what about us, nobles and merchants? Emancipation [of the peasantry] is a wonderful and necessary thing; but this is not enough. We need rights and guarantees for Russia and all of us. This is where Herzen should hold the frame.” According to Vsevolozhsky, the main evil in Russia is that “men and nobles are … in complete powerlessness” ([16], pp. 369–370). Indeed, even the titled nobility of the mid-nineteenth century can hardly be confidently considered a real ruling elite. The noble elite was removed from power by the emperor and the high-ranking bureaucracy. Therefore, in essence, it was not an aristocracy or a political class in the full sense of this concept. As a result of the conservation of the absolutist autocratic regime, representatives of the nobility of Russia were deprived of access to power and legal politics, in contrast, for example, to the feudal aristocracy of other monarchies in Europe. In Europe, the bodies of estate representation (parliaments, landtags, and seimas) created the possibility of legislative participation of the upper class in power. In the future, it was these representative national assemblies that became an essential factor in the institutionalization of modern forms of government in the European West. From the author’s point of view, which significantly differs from the liberal and class-formational interpretation of the events of a given era, in 1861–1862 and later, the Russian Empire remained in the phase of a permanent systemic crisis. Instead of the real liquidation of serfdom in 1861, the imperial bureaucracy managed to carry out a total renewal of the same system. The peasants, who constituted most of the country’s population, were not given the freedom to leave the communal “world.” As before, Russia had no freedom of movement, since the foundation of the system

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of state serfdom was preserved—the non-economic attachment of the community to land allotments using the police passport system and mutual collective responsibility (kpygovaᴙ popyka). Therefore, the negative results of such a reform concealed the future threat of a large-scale peasant revolution. After the reform of 1861, many people from the “educated class” started to realize that the bureaucracy had seized the initiative in solving key issues. Finally, the slogan of restoration of the representative institutions of the “zemstvo” got many supporters. However, it was too late. In a short period, several authors’ constitutional projects were already developed at the turn of the “thaw.” Among them, one can single out: ● The “aristocratic” project of knyaz (feudal lord) P. V. Dolgorukov, in whose opinion “legislative power should be divided between the Tsar, the Zemsky Duma (Assembly of the Land), and the Boyar Duma (Council of Court Nobility);” ● The constitutional developments of representatives of the younger generation of the elite N. A. Serno-Solovievich (“Code of Emperor Alexander II”) and L. P. Blummer (“Charter of the Russian State”). They also advocated the convocation of national representative bodies: The People’s Assembly or a bicameral Assembly of elected representatives of the people, consisting of the Boyar Duma (Council of Court Nobility) and the Zemsky Duma (Assembly of the Land) ([8], pp. 88–128). The restoration of the traditional institute of Zemsky Sobor (Assembly of the Land) in a modernized form could promptly resolve the issue of “land and freedom,” the most pressing problem for the peasant population of Russia. This representative body adopted the Cathedral Code (a kind of “constitution”) in 1649, which legally fixed and formalized serfdom. Thus, only the legislative abolition of serfdom not “from above” (by the monarch and the high-ranking bureaucracy) but “from the bottom” (by elected plenipotentiary deputies of the nationwide zemstvo representative institution) could provide a completely legitimate way out of the systemic crisis. Due to the peasant issue, there developed a paradoxical situation. The so-called liberal bureaucrats, allegedly for the sake of the success of the “liberation” reforms, were too interested in preserving the absolutist autocracy, which was not limited by constitutional law. Simultaneously, their main stronghold was the editorial commissions formed by the bureaucracy in the spring of 1859, striving to keep the initiative in their hands. On the contrary, the provincial representatives of the nobility fronting in their provinces, defending the class interests, opposed the monopoly on the power of the autocratic imperial regime and for its constitutional limitations. Having almost a century of experience in the bodies of elective corporate self-government, the nobles could no longer agree with the role of obedient executors of the will of the bureaucratic “top.” The growing discontent finally resulted in a series of political demonstrations. In 1862, deputies of several provincial committees began to protest against the absolute omnipotence of the ruling bureaucracy. There was a public opposition “from below,” in which the nobility played a leading role. In February 1862, the provincial congress of free-thinking nobles of the Tver province by a majority vote approved the corresponding constitutional address sent to the emperor. Its compliers declared, “We are confident that all reforms will remain

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unsuccessful, because they are being undertaken without the demand and knowledge of the people. The convocation of electives from all Russian lands is the only means to a satisfactory solution to the questions raised but not resolved by the statutes of February 19. Presenting for the consideration of Your Imperial Majesty the allsubject petition to convene the Zemsky Sobor, we hope that the sincere desire for the common good, which inspires the Tver nobility, will not be misinterpreted” [17]. However, hopes for the emperor’s goodwill did not come true. At the turning point of the political “thaw,” Alexander II demonstrated a reactionary unwillingness to restore the institution of the Zemsky Sobor (Assembly of the Land) and grant a constitution. M. A. Bakunin, the nobleman from Tver, admitted, “His start in Russia was great. He declared freedom to the people, freedom and new life after a thousand years of slavery. It seemed that he wanted to see Zemstvo (Assembly of the Land) in Russia, because free people are unthinkable in the Peter state” [18]. In 1862, the emperor provided an extremely convenient historical occasion for a voluntary constitutional restriction of his own supreme power. The country was preparing to celebrate the significant anniversary of the Millennium of Russia. Nevertheless, instead of constitutional rights and freedom, the Russian social movement received a powerful blow from the supreme “reformer” in the form of inadequate political repression. Thus, Professor P. V. Pavlov “was exiled without trial or investigation to Vetluga” just for the publication of the text of a public lecture on the topic “Millennium of Russia” in the appendix to the academic “Mesyatseslov” for 1862. Soon, a “Trial of the 32 s took place,” revealing the true political intentions of Alexander II. According to the historian M. K. Lemke, more than 70 popular public figures were affected by punitive sanctions in the same year. N. A. and P. A. Bakunins, N. A. SernoSolovievich, N. G. Chernyshevsky, A. M. Unkovsky were imprisoned. F. M. Dostoevsky, V. V. Stasov, I. D. Sytin, and others could also be repressed. Only the publicity of the scandalous information by the Free Russian press helped to prevent new arrests already sanctioned by the emperor. M. K. Lemke notes that “Kolokol” revealed this secret and published a list, which saved many nobles from political imprisonment, in No. 141 and 142 [19]. In the same year, M. A. Bakunin, who managed to emigrate from Russia in time, insightfully stated, “The dynasty is clearly destroying itself. It seeks salvation in the cessation, and not in the encouragement of the awakened life of the people, which, if understood, could raise the royal house to the unknown height of power and glory” ([18], p. 324).

4 Conclusion Thus, Alexander II, in the terminology of A. L. Yanov, laid “Bomb No. 1” under the “building of post-reform Russia” by his refusal to restore the Zemsky Sobor (Assembly of the Land) and begin the transition to constitutional rule ([6], p. 85). The problems that caused the systemic crisis of the imperial state power were “solved” only for a short time. Forty-five years later, already at the beginning of the twentieth

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century, the “great reforms” of Alexander II, coupled with unsuccessful “counterreforms” of his successor, turned into the catastrophic Great upheavals, two spontaneous revolutions (1905 and 1917), a relapse of a new Time of Troubles, and a civil war. These processes led the dynasty, which had lost the last vestiges of legitimacy, to inevitable destruction.

References 1. Kolupaev DV (2003) The constitutional social movement in Russia at the turn of the 1850s– 1860s. Publishing house of the Altai State Agricultural University, Barnaul, Russia 2. Auzan AA (2007) The “Track” of Russian modernization. Soc Sci Modernity 6:54–60 3. Polokhalo YuN (2006) The Meiji revolution and governance reforms in Japan. Manage Consult 4:195–205 4. The nobility of the Tver province (1862) “The Most Subject Address” of the Tver nobility. Tver, Russian Empire 5. Panov AN (2015) The era of reforms in Russia and Japan (mid-19th century–early 20th century). Yearbook Japan 2015:304–337 6. Yanov AL (1999) Russia versus Russia: essays on the history of Russian nationalism. 1825– 1921. Novosibirsk, Russia: Siberian chronograph 7. Lemke MK (1908) Essays on the “Sixties” liberation movement: based on unpublished materials. Publishing house of S. N. Popov, St. Petersburg, Russian Empire 8. Medushevsky AN (ed) (2010) Constitutional projects in Russia in the 18th-early 20th centuries. Moscow, Russia: ROSSPEN 9. Dolzhikov VA (2018) M. A. Bakunin in the national-regional political process of the “thaw” era (the turn of 1850–1860s), 2nd edn. Publishing house of the Altai State University, Barnaul, Russia 10. Gorbunova LY (2010) Reforms of Alexander II in Soviet and modern historiography. Topical Prob Human Socio-econ Sci 4(1):54 11. Aksakov KS (2012) Supplement to the note “On the internal state of Russia.” In: Demin IY, Shirinyants AA (eds) Russian socio-political thought. 1850–1860s: Reader (pp 77–82). Moscow, Russia: Publishing house of Moscow University. 12. Bakunin MA (1858) Reform from above or reform from below. Kolokol 1(28):225–231 13. Glinsky BB (1908) Struggle for the constitution. 1612–1861 Historical sketches. St. Petersburg, Russian Empire: Publishing house of N. P. Karbasnikov. 14. Inozemtsev VL (2018) Non-modern Russia in the world of the 21st century. Moscow, Russia: Alpina Digital. 15. Bakunin MA (1862) A letter to an unidentified person “Emma” [Modest Maslovsky] in Irkutsk from London dated November 19/7, 1862. State Archives of the Russian Federation. F. 825. The Bakunins. Op. 1. D. 1235. L 16. Meshcheryakov AN (2018) Meiji reforms: the human dimension. Yearbook Japan 2018:47 17. Herzen AI (1858) In three years (February 18, 1858). Kolokol 1(9):65–66 18. Bakunin MA (2000) Interests of people: Romanov, Pugachev, or Pestel? Anarchy and order: writings. EKSMO-Press, Moscow, Russia, pp 322–345 19. Melgunov NA (1955) The letter to A. I. Herzen on December 9, 1857 from Frankfurt am Main. In Literary heritage. Herzen and Ogarev 62(2):322–387 20. Aksakov KS (2012) On the internal state of Russia. In: Demin IY Shirinyants AA (eds), Russian socio-political thought. 1850–1860s: Reader (pp. 54–77). Moscow, Russia: Publishing house of Moscow University 21. Bakunin MA (1862) To Russian, polish, and all Slavic friends. Kolokol 5(122–123):1021–1028

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22. Pivovarov YuS (1993) Political culture and political system of Russia: from the adoption of Christianity to the Petrine reforms. Russia, Moscow 23. Vorobieva ES (2016) Russia and Japan: the experience of cultural modernization. Bulletin of the Tomsk State University. Culturology and Art Studies 4:42–46

Taking Action for Greater Security and Effective Partnerships for Sustainable Development

Safety and Security in the Arctic: Strategic Resource Planning in Emergencies Management Alexandr V. Matveev

and Tamara B. Chistyakova

Abstract Nowadays, there is a tendency to expand the scope and scale of activities in the Arctic. The increasing number of security threats and potential emergency factors in the region accompanies this tendency. Developing the Arctic region aims to reduce risks to global and regional security. Efficient protection of population, territories, and facilities critically important and potentially dangerous from natural and man-made emergencies plays an essential role in implementing the strategy of creating a comprehensive security system in the Arctic. All dangerous factors characterizing emergencies require the following: (1) generalizing the complex approach to ensure security in the Arctic territories; (2) increasing the resource potential of the rescue services; and (3) monitoring the state and pollution of the environment components. The paper presents the ways to solve the problem of strategic planning and deployment of forces and facilities under creating an integrated security system within the resource constraints and dynamically changing situation in the Arctic. We have developed an organizational chart of strategic resource planning for emergency management in the Arctic. Moreover, we have proposed a decision—making algorithm based on the chart developed. Achieving the results of strategic planning involves elaborating a program for developing forces and facilities of the integrated security system in the Arctic region based on the results obtained within the simulation process. The program should reflect the step-by-step solution of the strategic planning tasks according to the goals, and resource and time constraints. Keywords Arctic · Security · Safety · Emergencies · Strategic planning · Development strategy · Resources · Risks · Security system

A. V. Matveev (B) St. Petersburg University of the State Fire Service of EMERCOM of Russia, St. Petersburg, Russia e-mail: [email protected] T. B. Chistyakova St. Petersburg State Technological Institute, St. Petersburg, Russia © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 S. G. Maximova et al. (eds.), Advances in Natural, Human-Made, and Coupled Human-Natural Systems Research, Lecture Notes in Networks and Systems 252, https://doi.org/10.1007/978-3-030-78105-7_38

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1 Introduction At present, the socio-economic and geopolitical situation in the world characterizes the existing prospects for developing the Arctic region [1]. The Russian Federation, which is gradually increasing the volume of economic activity in the area, is not standing aside. Numerous oil and gas enterprises, nuclear power plants, and other facilities classified as potentially hazardous are in the territory of the Arctic region. However, the increasing number of threats to security and potential emergency factors naturally accompany the expansion of the scope and scale of activities in the region [2]. The transport infrastructure of the Arctic region is actively developed by using the Northern Sea Route and increasing the scale of commercial shipping [3]. Using the Arctic transport routes opens specific prospects for growing economic efficiency in many international projects, but significant risks could accompany this. A high risk of various types of accidents, which can potentially threaten the environment, population, and the entire ecosystem of the coastal zone, can appear due to difficult climatic conditions. There are also risks of ships getting stuck in ice [4]. Thus, the issues of ensuring security and safety in the Arctic region currently become of particular relevance. Under the existing wide range of emergency risks, creating an integrated security system in the Arctic region is an important and urgent task. An essential component of this system is resources (forces and facilities) of the Ministry of Emergency Situations of the Russian Federation (EMERCOM of Russia), which performs search and rescue operations in the region and measures to monitor, prevent, and reduce the consequences of emergencies [5]. The current socio-economic situation in the country and the world, as well as probable threats, determines that the main strategic task of the integrated security system in the Arctic region is to provide the optimal level of readiness of forces and facilities to ensure a possible adequate response to the entire spectrum of the existing emergency threats. The paper aims to identify how to solve the problem of strategic planning and deployment of forces and facilities under creating an integrated security system within the resource constraints and dynamically changing situation in the Arctic.

2 Materials and Methods Creating an integrated security system in the Arctic is a priority in developing the region [6]. The main objective of creating an integrated security system and protecting population and territories from natural and man-made emergencies in the Arctic is

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to increase the protection of population and territories in the Arctic through the following ways: ● Creating an efficient monitoring system; ● Developing an effective complex of measures to prevent and reduce the consequences of emergencies due to the rapid response of forces and facilities of the EMERCOM of Russia. Implementing the concept of creating the optimal level of readiness of forces and facilities should become the basis for ensuring an adequate response to the threats of emergencies. Today, this is the strategic priority in developing an integrated security system in the Arctic zone [7]. Sustainable development of the region and ensuring its security lies in selecting the optimal planning programs of strategic resources (forces and facilities) of the EMERCOM of Russia. Furthermore, implementing them would contribute to the goal achievement. We understand strategic planning as defining the main directions, measures, and means of achieving strategic goals of sustainable development and ensuring security in the region. Strategic planning includes the following characteristic features: ● Focus on achieving the essential tasks that correspond to the goals of the system being created; ● Generation of strategic goals for the medium-term and long-term perspective; ● Accounting and interconnection of the generated goals with the amount and dynamics of spending financial resources allocated for achieving the goal; ● Adaptive nature of planning manifested by forecasting and considering possible changes in the external and internal environment under creating a system. Strategic planning of the Arctic resources of the EMERCOM of Russia would include the following processes: ● Analyzing the threats and possibilities to respond to them; ● Designing an integrated security system that ensures protection of population and territories from natural and man-made emergencies in the Arctic; ● Determining the appropriate subsystems, components, and methods of their interaction; ● Selecting the most efficient combination of human forces and technical facilities in achieving the target results. The specifics of the Arctic region determine the features of the strategy for developing the security system, including the unique ones. An integrated approach to organizing the security system in the Arctic coastal and basin areas has become a unique feature, which is not typical for the rest of the territory and is determined by the nature of activities in the region [8]. The territorial bodies of the EMERCOM of Russia located in the Arctic include units of the Federal Fire-Fighting Service, search and rescue units, and special and facility units [9].

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Solving a unified totality of tasks would ensure the strategic development of forces and facilities of the EMERCOM of Russia [7], namely: ● Creating highly efficient, mobile, and life-saving technologies equipped with modern technical means for emergency rescue, and search and rescue units of the EMERCOM of Russia capable of solving tasks in extreme conditions of the Arctic region; ● Reducing the response time of emergency rescue, and search and rescue units to emergencies; ● Elaborating scientifically based advanced technologies for developing forces and facilities to prevent and eliminate emergencies and ensure comprehensive security in the Arctic [9]. In the region, one plans to deploy ten Arctic Integrated Emergency and Rescue Centers (AIERC) of the EMERCOM of Russia. These centers would be designed and developed to dispatch missions on prevention, prompt response, and elimination of emergencies in the Arctic region and prompt, comprehensive assistance to people in distress in the polar regions, territorial sea zones, Arctic transport system, and adjacent territories of foreign states according to international agreements. Each AIERC, following the tasks assigned to the security system of the Arctic region, includes two specialized complexes in its composition – emergency rescue, and information and computing. These centers should be equipped with universal emergency rescue and fire-fighting equipment, special aviation equipment, and all-terrain vehicles. The most important strategic task is to elaborate the management decisions in the planning and deployment of resources (forces and facilities) of each AIERC.

3 Results The risks of natural and man—made emergencies appear in the Arctic region. The main climatic and natural emergency sources in the Arctic are the following [10]: ● ● ● ●

Permafrost degradation (ablation), landfalls, and landslides; Floods (in spring and autumn), ice jams, and ice movement; Blizzards, storms, and strong winds (hurricanes); Landscape fires (in the tundra and low forests).

The ongoing process of global warming would contribute to a further increase in the periodicity and scale of various hazardous hydro—meteorological phenomena [23]. More than that, one forecasts an increase in the periodicity of extreme events such as heavy snow, hail, storms, tornadoes, and abnormally high or low air temperatures. The above mentioned will affect the potential increase in emergencies [11].

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In the southern part of the Arctic territory, degradation and drying out of forests and pastures over the large areas due to the increasing average temperature of the soil surface would lead to massive forest fires and fire hazard situations growing in duration. The following adverse and dangerous processes are expected to increase: ● ● ● ●

Landslides on thawing slopes; Slow flow of melt soils; Significant surface subsidence due to soil compaction; Soil removal with meltwater.

These changes could produce a negative impact on the ability to respond to emergencies timely. Countering the growth of threats and dangers of technogenic, natural, biological, and social nature under the current situation of climate change requires increased readiness against natural fires and large-scale floods and more efficient implementation of preventive and nature protection measures. The primary tool for developing the Arctic is its transport infrastructure, and the Northern Sea Route is its central element. Many cross-polar air routes pass through the Arctic. All this infrastructure could also potentially become an emergency source. The increased melting rate of glaciers, polar ice, and snow in the mountains significantly raises the world ocean level. This would potentially lead to flooding in many coastal areas, destroying the ocean coast and infrastructure facilities of the Northern Sea Route located there [12]. Scientific research demonstrates that in 30 years, the Northern Sea Route will be open for about 100 days a year, while at present, it is open for about 20 days. In addition to the intensive growth in shipping and fishery, large-scale mineral extraction on the shelf and other industries would be rapidly developed in the Northern Sea Route area [13]. A significant rise of shipping and an increase in the number of vessels of the northern fleet and their shipping intensity within conditions that would remain quite difficult are expected in the northern latitudes [14]. These circumstances raise the requirements for ensuring continuous safety on the water along the entire Northern Sea Route and in the mouths of Arctic rivers and improving the approaches for developing an aircraft search and rescue system [15]. The entire infrastructure of the settlements in the Arctic is also potentially exposed to harmful external influences. The potential sources of man-made emergencies include several thousand potentially hazardous facilities, nuclear power plants, nuclear-powered ship reactors, oil and gas production facilities, and production enterprises. There could appear fractures in the oil and gas pipelines [16], accidents at the enterprises extracting and processing hydrocarbons and metals, failures and accidents at power infrastructure facilities, and accidents in railway, automobile, air, and water transport. These factors require the generation of an integrated approach to ensure safety and security in the Arctic territories, increase the resource potential of rescue services, and monitor the state and pollution of the environmental components. This implies

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taking measures to change the quantitative and qualitative state of forces and facilities of the EMERCOM of Russia in the Arctic region, introducing new principles and approaches to equipping and fitting the rescue units. Analysis conducted by many researchers demonstrates a situation of uneven distribution of forces and facilities of the EMERCOM of Russia throughout the entire territory emerged in the Arctic region of the Russian Federation [17, 18, 19]. Solving the problem of an adequate and prompt response to the whole spectrum of risks and threats arising in the Arctic region involves the further increase in the composition of forces and facilities in the most part of the region. This is especially true within the potential increase in the number of emergencies caused by the expanding development of the Arctic space. Achieving the strategic goals that the EMERCOM of Russia faces in the Arctic should be based upon the following principles: ● Scientific approach to justifying the resources (forces and facilities) of the EMERCOM of Russia in the region; ● Principle of the systematic approach; ● Consideration of the modern scientific achievements and prospects for developing the arsenal of life-saving appliances and forecasting the emergency risks [20], ● Principle of program-targeted management (planning). We can represent the management of the strategic development of the Arctic integrated security system in the form of an organizational chart presented in Fig. 1. AIERC resource planning is a system-generating element in the Arctic security management and should be inextricably linked to elaborating the development strategy for the Arctic region. The scientific justification of the quantitative composition of forces and facilities is possible by using mathematical models. Building mathematical models requires introducing an indicator system, substantiating the management decisions, and providing them with logic. We have already elaborated the issues of simulating the AIERC operation of the EMERCOM of Russia and optimizing their structure in our previous works [21] and do not consider them in this paper. Based on the scheme developed, the following stages could represent the decisionmaking algorithm for determining the composition of AIERC forces and facilities: ● Formalizing goals and directions of the strategic development; ● Determining criteria for the efficient AIERC operation; ● Identifying a set of possible alternative solutions for the support of AIERC resources; ● Evaluating options according to the performance criteria selected; ● Selecting the optimal strategic decision; ● Elaborating, analyzing, and approving the plan for implementing decisions to support AIERC resources.

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Fig. 1 The organizational chart for strategic planning of resources in managing emergencies in the Arctic. Source [7]

4 Discussion The comprehensive planning of resources (forces and facilities) of the EMERCOM of Russia and elaborating optimization models involve a quantitative forecast of all risks in the Arctic, including the following natural, technogenic, economic, geopolitical, and other factors: ● ● ● ● ● ●

Risks of natural emergencies increased; Shipping and fishing development in the Northern Sea Route area; Growth of mineral extraction in the offshore areas; Increasing transport and industrial risks in the Arctic territories developed; Growth of the infrastructure in settlements; Increase in traffic intensity on transarctic routes.

The design and development of automated information processing systems based on the existing methods and methods under development raise their importance. These aspects involve elaborating the technologies to assess and manage the risks [22], improving the system for emergency monitoring and forecasting.

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Resource planning to ensure safety and security in the Arctic is a significantly complex and creative process. First of all, the reasons for this could include the fact that much of the initial data is exclusively of qualitative nature, and it is not easy to formalize it. In addition, one considers the process of long-term planning, but such consideration is exposed to environmental uncertainty and its dynamic alteration due to the expanding scope and scale of activities in the region. Reaching the results of strategic planning involves elaborating a program for developing forces and facilities of the EMERCOM of Russia in the Arctic region based on the results obtained in the simulation process. The program should reflect the step-by-step solution of the strategic planning tasks according to the goals, resource and time constraints determined by the scheme proposed and used, and the previously developed models.

5 Conclusion Solving the problem of an adequate and prompt response to the entire spectrum of risks and threats arising in the Arctic requires the optimal distribution of resources (forces and facilities) allocated for this purpose. This involves a scientific approach. The research result is the substantiation of how to solve the problem of achieving strategic goals of the integrated security system in the Arctic under limited resources. Modern strategic planning should be based on the system approach. AIERC resource planning is a system-generating element in the Arctic security management and should be inextricably linked to elaborating the development strategy for the Arctic region. Adopting the right management decisions in forming the structure—generating elements of the integrated quantitative ratio of the Arctic emergencies is based on stimulating and optimizing their operation. Implementing strategic plans involves elaborating a system of criteria and resulting indicators that show the efficiency of the integrated security system in the Arctic. Following the effective decision-making algorithm based on the scientific and methodological tools proposed is an important precondition for the efficiency of the management decisions in the strategic planning of forces and facilities of the EMERCOM of Russia in the Arctic region.

References 1. Hilde PS (2014) Armed forces and security challenges in the Arctic. In: Tamnes R, Offerdal K (eds) Geopolitics and security in the Arctic. Regional dynamics in a global world, pp 147–165. New York, N.Y.: Routledge

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2. Kravitz M, Gastaldo V (2013) Emergency management in the Arctic: the context explained. In: Lackenbauer PW, Nicol H (eds) Whole of Government through an Arctic Lens, pp 269–294. Nova Scotia, Canada: St. Francis Xavier University. Retrieved from http://operationalhistories.ca/wp-content/uploads/2018/05/2017-LackenbauerNicol-WoG-through-Arctic-Lens..pdf#page=300 3. Østreng W (ed) (2012) National security and international environmental cooperation in the Arctic-the case of the Northern Sea Route (vol 16). Trondheim, Norway: Springer Science & Business Media 4. Hill E, LaNore M, Véronneau S (2015) Northern sea route: an overview of transportation risks, safety, and security. J Transp Secur 8(3–4):69–78. https://doi.org/10.1007/s12198-015-0158-6 5. Elgsaas IM (2018) The arctic in Russia’s emergency preparedness system. Arctic Review 9:287–311. https://doi.org/10.23865/arctic.v9.1131 6. Clark DG, Ford JD (2017) Emergency response in a rapidly changing Arctic. Can Med Assoc J 189(4):135–136. https://doi.org/10.1503/cmaj.161085 7. Matveev AV (2017) The strategic planning of forces and equipment of the Emercom of Russia in the Arctic zone. National Secur Strateg Plan 4(20):32–42. https://doi.org/10.37468/23071400-2017-4-32-42 8. Hossain K, Zojer G, Greaves W, Roncero J, Sheehan M (2017) Constructing Arctic security: an inter-disciplinary approach to understanding security in the Barents region. Polar Rec 53(1):52– 66. https://doi.org/10.1017/S0032247416000693 9. Artamonov VS, Musienko TV (2016) Arctic geopolitics: risk management of life safety system. National Secur Strateg Plan 2(14):72–78. https://doi.org/10.37468/2307-1400-2016-2-2-72-78 10. Nicol H, Heininen L (2014) Human security, the Arctic council and climate change: competition or co-existence? Polar Rec 50(1):80–85. https://doi.org/10.1017/S0032247412000666 11. Hoogensen G, Bazely DR, Goloviznina M, Tanentzap AJ (eds) (2014) Environmental and human security in the Arctic. Routledge, New York, N.Y 12. Eicken H, Jones J, Meyer F, Mahoney A, Druckenmiller ML, Rohith MV, Kambhamettu C (2011) Environmental security in Arctic ice-covered seas: from strategy to tactics of hazard identification and emergency response. Marine Technol Soc J 45(3):37–48. https://doi.org/10. 4031/MTSJ.45.3.1 13. Didenko NI, Cherenkov VI (2018) Economic and geopolitical aspects of developing the Northern Sea Route. In: Arhangelskaya TA, Bikova GS, Umarova AB (eds). IOP conference series: earth and environmental science, 180. Saint-Peterburg, Russia: IOP Publishing. https:// doi.org/10.1088/1755-1315/180/1/012012 14. Wang M, Overland JE (2009) A sea ice free summer Arctic within 30 years? Geophys Res Lett 36(7). https://doi.org/10.1029/2009GL037820 15. Andreassen N, Borch OJ, Kuznetsova S, Markov S (2018) Emergency management in maritime mass rescue operations: the case of the high Arctic. In: Hildebrand LP, Brigham LW, Johansson TM (eds) Sustainable shipping in a changing Arctic, pp 359–381. Cham, Switzerland: Springer. https://doi.org/10.1007/978-3-319-78425-0_20 16. Ivanova M (2011) Oil spill emergency preparedness in the Russian Arctic: a study of the Murmansk region. Polar Res 30(1):7285. https://doi.org/10.3402/polar.v30i0.7285 17. Chupriyan A (2012) Emercom of Russia emergency situations prevention and mitigation activities in Arctic zone. Establishing of complex search and rescue centers in the Arctic. In: Kozlov KA, Naumova TE, Mikhaylova DA (eds) Problems of emergency prevention and response and the creation of integrated emergency rescue centers in the Arctic: the international scientific and practical conference of Emercom of Russia, pp 13–20. Moscow, Russia: VNII GOChS Emercom of Russia 18. Osipov AV, Osipova NV (2016) State and problems of security and territories from emergency situations of natural and man-made in the Arctic zone of the Russian federation. Bulletin of the Scientific Center for Life Safety 3(29):76–82 19. Veselov IA, Chupriyan AP (2011) On the EMERCOM of Russia measures to ensure the implementation of economic and infrastructure projects in the Arctic and the creation of a system of specialized emergency rescue centers. Arctic: Ecology and Economics 1:48–51.

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20. Lukovich JV, McBean GA (2009) Addressing human security in the Arctic in the context of climate change through science and technology. Mitig Adapt Strat Glob Change 14(8):697. https://doi.org/10.1007/s11027-009-9191-8 21. Matveev AV (2016) The model of optimization of structure the Arctic complex rescue centers of Emercom of Russia. Prob Technosphere Risk Manage 4(40):105–111 22. Belluck DA, Hull RN, Benjamin SL, Alcorn J, Linkov I (2007) Environmental security, critical infrastructure and risk assessment: definitions and current trends. In: Linkov I, Kiker GA, Wenning RJ (eds) Environmental security in harbors and coastal areas, pp 3–71. Dordrecht, Netherlands: Springer. https://doi.org/10.1007/978-1-4020-5802-8_1 23. Exner-Pirot H (2012) Human security in the Arctic: the foundation of regional cooperation. Working papers on Arctic security 1. Toronto, Canada: Munk School of Global Affairs, University of Toronto

International Cooperation in the Field of Science, Innovation, and Education Between Russia and the European Union Tatiana A. Baranova , Aleksandra M. Kobicheva , and Elena Yu. Tokareva

Abstract In this paper, we consider the indicators of international cooperation in science, innovation, and education between Peter the Great St. Petersburg Polytechnic University (SPbPU) and EU companies, universities, and scientific centers. Also, we implement an analysis of innovation activity indicators of the university and evaluate the influence of international cooperation increase on its level, including the grants won and number of commercialized technologies. According to collected data, the number of international contracts between SPbPU and EU companies, universities, and scientific centers has increased over the past four years, and the number of mutual research projects. From 2016 to 2019, we can also see an increase in innovation activity indicators. Thus, we can confirm the interdependence of the considered indicators and assume that international cooperation with the EU positively impacts the R&D sphere. Keywords International cooperation · Innovative collaboration · Innovation activity · Commercialization of projects

1 Introduction Currently, one of the important strategic objectives of the country, developed under the provisions of the Decree of the President of the Russian Federation of May 7, 2018, No. 204, On national goals and strategic objectives of the development of the Russian Federation for the period until 2024 [1] is ensuring the presence of the Russian Federation among the five leading countries of the world carrying out national research and development in areas determined by the priorities of scientific and technological development. The goals and format of international scientific T. A. Baranova · A. M. Kobicheva (B) · E. Yu. Tokareva Peter the Great Saint-Petersburg Polytechnic University, Saint-Petersburg, Russia e-mail: [email protected] T. A. Baranova e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 S. G. Maximova et al. (eds.), Advances in Natural, Human-Made, and Coupled Human-Natural Systems Research, Lecture Notes in Networks and Systems 252, https://doi.org/10.1007/978-3-030-78105-7_39

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and technical cooperation are defined in the Decree of the President of the Russian Federation of December 01, 2016, No. 642, On the Strategy for the Scientific and Technical Development of the Russian Federation [2] and other regulatory legal acts of the Russian Federation, both national and international. Summarizing the provisions of numerous universal, regional, and bilateral international agreements on the participation of Russia in science, innovation, and education, we can distinguish the main tasks that international cooperation is aimed at: • Developing bilateral and multilateral relations of mutually beneficial and equal partnership with foreign countries, international organizations based on the principles of independence and sovereignty, pragmatism, transparency, multi-vectored, predictability, non-confession advocacy of national priorities; • Strengthening the role of the Russian Federation in the global humanitarian space, promoting constructive dialogue and partnership in the interests of strengthening harmony and mutual enrichment of various cultures and civilizations. International cooperation between Russia and foreign countries in the field of scientific and technological development and innovation is carried out along the path of development and production of products related to macro-technologies that determine the future of the global economy: biotechnology, aerospace technology, information and communication technologies, nanotechnology, as well as the creation of new materials with predefined properties, energy and thermonuclear technologies, alternative energy, etc. [3]. The main goal of the current study is to investigate whether the increasing number of cooperation contracts in the field of education and science influences the number of grants won and the university level of commercialized innovations.

2 Materials and Methods 2.1 Background The history of international cooperation in the field of science, innovation, and education between Russia and countries of the European Union

The historical and pedagogical retrospective of the development of the Russian educational system in the international educational space allows us to assert that this process has a long history. In Russia, the first international contacts in education allegedly began in the late 15th century. Already in the time of Ivan III, translators were sent to study in Europe. Most likely, Sylvester Maly from Novgorod, recorded on June 19, 1493, in the curriculum of Rostock University for 1419–1499, was the first Russian university student [4].

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In the Soviet Union, the importance of educational institutions as instruments of international politics, with the help of solving a wide range of strategic tasks, was quickly realized. These tasks, in particular, included the training of professional personnel for the main spheres of public life, the education of new generations, the formation of the national elite, the translation of ideological models, the creation of a common value and communication space in the zone of influence of the USSR [5]. In 1922–1936 in Moscow functioned the Communist University of the National Minorities of the West named after Marchlevsky, whose main task was the personnel training among the Soviet national minorities and among the representatives of the workers and communist parties of foreign countries (Latvian, Lithuanian, Polish, German, Italian, Greek and other sectors were formed) [6]. Over 40 years (from 1950 to 1990), the number of international students in the USSR increased by more than 20 times, reaching 126.5 thousand people on the eve of the collapse of the USSR, which makes up 10.8% of the world population of international students and allowed Soviet universities to formally occupy the third place in the world after universities in the USA and France in the number of international students [7]. Russia joined the Bologna process in September 2003 at the Berlin meeting of European education ministers. Trends in the integration of two levels of education— general and higher-are observed as: • Participations in the Bologna Process changed the architecture of Russian higher education (since 2003) [8–10], • Participations in the International program for an assessment of educational achievements of students of PISA (Programme for International Student Assessment); • Distribution of the associated schools of UNESCO (since 1953, now 189 schools) and the schools realizing the concept of the International Bachelor degree (18 schools); • Creation of universities which reflect modern economic and political trends of Russia-network university of the Shanghai Cooperation Organization (it unites 62 head higher education institutions) and BRICS university, Chinese–the Russian, Russian-Indian University Network, etc. [11, 12]; • Development of “double diploma” programs with foreign higher education institutions; • Participation in trans-European TEMPUS programs. ERASMUS MUNDUS– TACIS: YOUTH, the Jean Monet Programme, etc. The latest trends characterizing the Russian integration policy into the international space of science and education are reflected in the decrees of the President of the Russian Federation on the entry of Russian universities into the first hundred universities of the world according to the world university rating and an increase in the share of publications of Russian researchers in world scientific journals by 2015, indexed in Web of Science and Scopus, which will become the basis for establishing an individual teacher rating and the subsequent conclusion of an “effective contract.” The development strategy of universities is based on the concept of “soft path,” the

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essence of which is to pay incentives for foreign publications (Tomsk State University) and on tight management and selection of personnel capable of completing tasks (Southern Federal University) [13]. Ways of cooperation and statistic data The Russian Federation promotes cooperation between Russian and foreign educational institutions, international academic mobility of students, teachers, scientists, and other workers in the educational system, helps attract foreigners to study at Russian universities, and the mutual recognition of education or qualifications. Under international treaties, the Russian Federation participates in the activities of various international organizations of higher education. In the field of education, federal executive bodies and regional authorities of constituent entities of the Russian Federation interact with international organizations, foreign governments, and foreign NGOs (non-governmental organizations). Para 2, article 105 of Federal Law N273-FZ On Education in the Russian Federation dated December 29, 2012 [14] defines the following national policy vectors in the field of internationalization: • Sending teachers and researchers from Russian education providers to foreign education providers and hosting international teachers and researchers; • Joint research, fundamental and applied research in the field of education, joint innovation activities; • Participation in networking forms of the study programs implementation; • Participation in the activities of international organizations, in international education, research and scientific projects, congresses, symposia, conferences, and workshops, or in organizing the said types of events, as well as sharing study and research materials on a bilateral and multilateral basis. The monitoring of HEI performance includes targets related to internationalization. Thanks to international programs such as Tempus and Erasmus Mundus, mobility rates have improved. They will continue to improve as part of the Erasmus + program, namely, within its international credit mobility focus, which includes student credit mobility, allowing students to learn from all higher education cycles from three to twelve months abroad. This type of mobility is implemented through interdepartmental agreements. In 2014, the Global Education program was approved by the Government of Russia. The program provides funding for the training of Russian citizens who independently decided to study at leading foreign universities. Program participants receive a grant of 2,763,600 rubles per year. The program covers three cycles in five priority areas: science, education, engineering, medicine and social management. After graduating from a foreign university of their choice, program participants must work in Russia for five years [15]. In the context of internationalization, joint programs are becoming increasingly widespread. In 2013 (latest data available) in Russia, the overall number of fullfledged joint programs (with a common curriculum structure, learning outcomes, inbuilt mobilities, and quality assurance systems) is only 1% (186). These 186 programs

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are implemented in cooperation between 79 Russian universities and 156 EU universities and in the framework of multipartite consortia (49%); bilateral agreements (89%) and ERASMUS Programme (22%). The most popular subject areas for joint programs are: • • • • •

Social sciences, law, and business (47%), Engineering, industrial and construction occupations (23%), Humanities and arts (10%), Natural sciences (9%), Service sector (6%).

2.2 Methodology and Research Questions The research is based on the innovation activity data of Peter the Great St. Petersburg Polytechnic University and statistic of cooperation indicators with EU universities, companies and scientific centers for the 2016–2019 years (http://spbstu.ru). The data was analyzed to answer the following research questions: • Does the cooperation of Russian universities in science, innovation, and education with European universities impact the number of grants won? • Is there an influence of this cooperation on the university level of commercialized innovations?

3 Results 3.1 Statistics of SPbPU Cooperation with EU Universities (2016–2019) For several decades Peter the Great St. Petersburg Polytechnic University has been enjoying successful international cooperation in education and research with a range of foreign higher educational and research institutions as well as with industrial companies. SPbPU key priorities are internationalization and increasing the effectiveness of education and research at the university through advanced world experience implementation and considering national traditions of fundamental university education. That means forming a professional and high technology environment in line with international standards and ensuring high-quality development and strengthening the export attractiveness of educational and research programs of SPbPU based on the integration of advanced technologies and professional knowledge and skills. Since Polytech considers science and education globally important, we focus on international activities in all relevant areas and advancing crucially important issues to be perceived as truly cosmopolitan and valuable for the global audience.

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The university is open to comprehensive cooperation with foreign partners, and our experience of the international projects’ development in the field of research, education, and innovation could be useful for our colleagues from other countries. Only over the last years, the university has participated in more than 60 international projects carried out within the frameworks of the following European and Regional programs: INTAS, INCO-COPERNICUS, NORDIC, ENPI, TEMPUS ERASMUS+ etc. The university, in cooperation with our foreign partners, has achieved outstanding results, which have strengthened its international profile. Moreover, it has strong scientific schools in the following: • • • • • • • • • • • •

Energy technology; Computer engineering; Information technologies; New materials; Nanobiotechnologies; Industrial and civil engineering; Ecology; Physics; Machine building; Mechanics; Economics; Humanities.

Currently, SPbPU has 246 agreements with partner universities in Europe. Table 1 presents the statistics on the international educational activities of the university.

Table 1 International students, teachers and international programs The total number of international students (including basic educational programs and 7500+ additional educational programs (semester, summer / winter schools)) Of the total contingent of international students-students from leading universities (QS, THE, ARWU ≤ 400)

632

Number of international teachers

210

International Master’s programs in English

23

International undergraduate programs in English

1

International double degree programs

20

International programs of continuing education in foreign languages (semester, summer / winter schools) on 01/01/201 9

51

International student academic mobility departure / entry on 01/01/2019

440/660+

Number of countries covering foreign students

118

Source [3]

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Table 2 Foreign economic activity and international scientific cooperation The number of foreign partners among industrial 95 companies companies and research organizations Including leading companies, industry leaders

13 companies and major industrial and scientific associations: Siemens, AIRBUS, Boeing, BOSCH, LG Electronics, SAP, Prometric Inc., Philips, Huawei, COMAC, Kawasaki, ITER, Toyota

Number of structures created jointly with foreign 31 partners (specialized research, educational, technological and research centers and research laboratories) Including the international scientific and educational centers

10

The amount of funding for research and development activities (revenues from foreign sources for 2018)

More than 166.8 million rubles

Source [3]

Table 2 presents data on foreign economic activity and international scientific cooperation. For a more detailed analysis of the university international scientific cooperation, we carried out the analysis of the innovation and scientific activity of the Higher School of Applied Physics and Space Technology (HSAPST), which is part of the Institute of Physics and Technology and is known for the highest indicators in this field among other high schools of the university. The considered high school is actively engaged in international activities and cooperates with foreign partner universities. The results of the international activities of the High School are presented in Table 3. Table 4 presents statistics on the scientific and innovative activity of higher education in collaboration with researchers from leading universities in the European Union. Data presented for the last four years (Table 4). The data for 2029 is not complete, since at the moment not all information is analyzed. According to the data in Table 4, cooperation between The High School and European universities has been actively developing in the last four years: the number of student exchange contracts, the number of foreign teachers, and the number of joint research projects have increased.

3.2 The Analysis of Innovation Activity of SPbPU We implemented the SPbPU analysis of innovation activity for the last four years (2016–2019).

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Table 3 Foreign economic activity and international scientific cooperation of HSAPST The total number of international students from European universities (including basic educational programs and additional educational programs (semester, summer / winter schools))

215

Number of international teachers from European universities

20

International Master’s programs in English with European universities

2

International undergraduate programs in English with European universities

1

International student academic mobility departure / entry on 01/01/2019

123/95

The number of foreign partners among industrial companies and research organizations from European universities

31 companies

including leading companies, industry leaders

8 companies and major industrial and scientific associations: IDQ, OrbComm, ExactEarth, Micropelt, Nextreme, GreenTEG

Number of structures created jointly with foreign partners (specialized research, educational, technological and research centers and research laboratories) with European universities

6

The amount of funding for research and development activities (revenues from European sources for 2018)

More than 15 million rubles

Source (http://spbstu.ru) Table 4 International activity of HSAPST Indicators of Innovation Activity

HSAPST 2016

2017

2018

2019

25

49

53

78

250

215

365

590

Number of valid patents for inventions, utility models, and industrial designs obtained in collaboration with foreign researchers

0

2

1

4

Number of foreign teachers from European universities

2

3

6

9

The number of foreign partners among industrial companies and research organizations from European universities

2

5

9

15

Number of student exchange contracts with European universities

9

15

19

27

The number of publications indexed in Scopus in collaboration with foreign researchers The amount of R&D financing per one research and development work in collaboration with foreign researchers (thousand rubles), total without VAT

Source (http://spbstu.ru)

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405

In the scientific field, the Peter the Great Polytechnic University positions itself as a large multidisciplinary research center, which occupies leading Russian and world positions in several of scientific areas. According to information on the university’s website, the research projects of numerous departments (higher schools) of the university are successfully developing based on grants from the RFBR, RSF, projects of the federal target program, and economic agreements. To begin with, we would like to give indicators of the university’s participation, in general, in competitions held as part of the Federal Target Program (FTP), Foundation for Basic Research (RFBR), and Russian Science Foundation (RSF) (Table 5). In terms of the number of allocated funds and the number of applications submitted, a positive trend is visible from 2016 to 2018, which indicates the active development of scientific and research activities in recent years. The indicators of three institutes with the highest indicators of innovative activity were also separately analyzed-IMET (Institute of Metallurgy, Engineering, and Transport), IPNT (Institute of Physics, Nanotechnology, and Telecommunications), and IAMM (Institute of Applied Mathematics, and Mechanics). For participation in research and scientific projects based on competitions of the Foundation for Basic Research, Russian Science Foundation, and the Federal Target Program for the last three years, the institutes had the following indicators (see Table 6): The indicators of innovative activity of institutions are shown in Table 7. It can be seen that each year the innovation indicators are increasing in all institutions. For a more detailed analysis of the university research and development commercialization, we carried out the analysis of the innovation activity of the Higher School of Applied Physics and Space Technology (HSAPST), which is part of the Institute of Physics and Technology and is known for the highest indicators in this field among other high schools of the university. Figure 1 shows the total number of researches, developments, and projects carried out over the past four years, both due to business contracts, approved applications for various grants, and financed under the 5–100 programs. The high school has a significant number of business R&D, which is gradually growing every year. The number of approved grants for financing innovative projects also grows annually by an average of 10–15%, which indicates the effective use of innovative potential and effective cooperation of higher education with external scientific groups. Under the 5–100 program, fewer projects were supported in 2019. However, this decline may be related to the approaching expiration of this program at SPbPU.

82 97

51 65

Russian Science Foundation (RSF)

Russian Foundation for Basic Research (RFBR)

Source [3]

46

128

130

21

23

33

–

42

5

6

17

9

14

32

18

3

10

–

–

238

228

2018

244

2019

38.7

17.6

82.4

91.25

84.75 172.9 218.6 251.5

164

2017

Amount of financing, million rubles

2016 2017 2018 2019 2016 2017 2018 2019 2016

The number of The number of applications submitted pcs agreements concluded pcs

15 Federal target program “Research and development in priority directions for the development of the scientific and technological complex of Russia for 2014–2020”

Name of program, fund

Table 5 The results of the SPbPU participation in the competitions of the federal target program, RFBR, RSF

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Table 6 Participation of SPbPU institutes in competitions Institutes

RFBR 2017

IMET (qty / mln.rub) IPNT (qty / mln.rub) IAMM (qty / mln.rub)

RSF 2018

9/ 9.15 2/2.2 15/11.5

1/3

8/6.25 6/4.22

2019 4/10.2

FTP

2017

2018

–

1/15

2019 2017 2018

2019

5/57

–

13/15.01 2/35.25 5/113.5 5/39

1/31

–

3/38

–

2/83

4/96

7/35.7

1/18

–

4/76

3/240 6/310

Source (http://spbstu.ru)

To have an idea of the effectiveness of the innovative ideas and product commercialization, we specified the number of studies that have found the application for higher education from those that were funded under the 5–100 program or supported by grants. The data shown are presented in Fig. 2. During the period under review, an increase in commercialized research and development is visible.

4 Discussion With international cooperation and development, the number of scientific researches, patents, and funding volumes has also increased. Having also analyzed all statistics, we can assume that the development of external economic, and scientific relations with universities, companies and scientific organizations of the European Union is associated with the developing of innovative and scientific activities of the High School we are considering. It is important to note that in the last four years, the share of commercialized projects has also increased, which is presumably associated with the development of the international activities of the High School. Thus, we can conclude that the development of cooperation with European universities, which have high scientific potential, allows SPbPU high schools to achieve successful indicators both in the field of innovative activity and commercialization of their developments.

5 Conclusion The study indicates the effectiveness of the joint work of Russian and foreign universities. An analysis of the available researches showed that the interaction of Russian universities with universities of the European Union is not sufficiently studied.

IMET

IPNT

Number of valid patents for inventions, utility models, industrial designs, pcs

Source (http://spbstu.ru)

7

11

13

13

14

793

158

485

141

172 456

The number of publications indexed in Scopus for at least 2 articles per 1faculty

IAMM

18

811

517

7

952

194

244

9

11

1086 1139

235

2017 2018 2019 2017 2018 2019 2017 2018 2019

The amount of R&D financing per one research and development work (thousand rubles), total 1870 2052 2160 710 without VAT

Indicators of Innovation Activity

Table 7 Innovation activity of SPbPU institutes

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International Cooperation in the Field of Science, Innovation, … 40 20 0

35

33

31

28 10 9

13 12

14

2016

2017

2018

12

16 11 2019

409

Business contracts Research on grants (RFBR, RSF, etc.)

Fig. 1 The number of research projects at HSAPST. Source (http://spbstu.ru)

30 25

8

20 15

10

12

10

10 5

Non-commercialized research and development 19

15

14

2017

2018

Commercialized research and development

9

0 2016

2019

Fig. 2 The level of commercialization of research projects at HSAPST. Source (http://spbstu.ru)

Many scientists are currently following the development of scientific cooperation between Russia and Asian countries. However, our study shows that cooperation with scientific and educational organizations of the European Union is also effective. Peter the Great St. Petersburg Polytechnic University was chosen for research since this university is a member of the state program “5–100-2020” and is also one of its industry leaders. An analysis of the foreign economic and scientific activities of the university showed that SPBPU is actively developing international cooperation, including with the European Union. In more detail, we studied the High School of Applied Physics and Space Technology. This High School is one of the most developed in the field of scientific and project activities. The development of international cooperation with the European Union within the Higher School was also analyzed. The higher school has many international contracts, as well as joint projects with universities of the European Union. Cooperation with universities of the European Union allows us to develop innovative activities and commercialize projects. Exchange of experience with leading universities of the European Union contributes to the development of innovation and scientific activity. In addition, the development of international cooperation is closely related to the receipt of various

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grants. Joint development of innovative projects allows increasing the number of submitted grant applications. From 2016 to 2019, we can also see an increase in indicators of innovation activity. Due to all analyzed data, we can conclude that the correlation of the considered indicators can assume that international cooperation with the EU positively impacts the R&D sphere. Thus, our study confirms that the cooperation of Russian universities in science, innovation and education with European universities affects the number of grants won and the level of commercialized innovations.

References 1. Government of the Russian Federation (2018) Decree of the President of the Russian Federation “On the national goals and strategic objectives of the development of the Russian Federation for the period until 2024”. Moscow, 05 July 2018, No. 204 2. Government of the Russian Federation (2016) Decree of the President of the Russian Federation “On the strategy of scientific and technical development of the Russian Federation”. Moscow, 1 Dec 2016, No. 642 3. Barykin S, Kobicheva A (2018) Logistical approach to universities integration in the Russian innovation economy. MATEC Web Conf 170:01020. https://doi.org/10.1051/matecconf/201 817001020 4. Fedotova O, Chigisheva O (2015) Comparative analysis: methodological optics in the ideological context. Int Perspect Educ Soc 26:57–82 5. Vershinina I, Kurbanov A, Panich N (2016) Foreign students in the Soviet Union and modern Russia: problems of adaptation and communication. Procedia Soc Behav Sci 236:295–300. https://doi.org/10.1016/j.sbspro.2016.12.032 6. Panin EV, Harlamova TI (2012) Kommunist universities for national minorities in Soviet Russia: the 1920–1930s. Hist Philosop Polit Law Sci Culturol Study Art. Issues Theory Pract 7(21):153–156 7. Sheregi FE, Dmitriev NM, Arefev AL (2003) Russia in the global market of educational services. Demoskop Weekly 97–98. Retrieved from http://www.demoscope.ru/weekly/2003/ 097/analit03.php 8. Esyutina M, Fearon C, Leatherbarrow N (2013) The bologna process in higher education: an exploratory case study in a Russian context. Qual Assur Educ 21(2):145–161 9. Novakovskaya YuV (2013) The Bologna process and the Russian system of higher education. Russ J Gen Chem 83(4):783–793 10. Rodionov DG, Rudskaia IA, Kushneva OA (2014) How key Russian universities advance to become leaders of worldwide education: Problem analysis and solving. World Appl Sci J 31(6):1082–1089 11. Fedotova O, Platonova E (2014) Contemporary politics of Russian universities in the development of human capital: the new organizational platform and role of the initiative. Procedia Soc Behav Sci 141:1177–1181 12. Stukalova I, Shishkin A, Stukalova A (2015) Internationalization of higher education: a case of Russian universities. Econ Sociol 8(1):275–286 13. Fedotova O (2015) Russian education in the system of global interactions: trends and theoretical projection. Procedia Soc Behav Sci 214:414–421. https://doi.org/10.1016/j.sbspro.2015.11.695 14. Government of the Russian Federation (2012) Federal Law “On education in the Russian federation”. Moscow, 29 Dec 2012, No. 273-FZ 15. Government of the Russian Federation (2015) The federal state target programme of education development for 2016–2020. Moscow, 23 May 2015, No. 497

Genetic Information Security in the Eurasian Space: Comparative and Legal Analysis Ekaterina V. Evstifeeva

and Natalia V. Dorodonova

Abstract The topic, structure, and content of the research are determined by the growing public interest in the problems of uncontrolled use of human genetic resources. The protection of genetic information is an essential task of modern society. Genetic information security guarantees human rights and freedoms; it aims to end abuse and discrimination based on differences in the human genome. The research aims to study the legal basis for the security of genetic information in the Eurasian space. The study analyzes the main documents regulating legal access to genetic information in the Eurasian space (namely, on the example of Russia and China). We pay special attention to the legal aspect of problems and challenges in the field of genetic information security. The research revealed that the legal framework is primarily designed to ensure national security, competitiveness, and public health benefits. There is a need to create an effective biosecurity mechanism, including legal, economic, political, and social components. We conclude that centralized control is likely to remain the dominant feature of research regulation on the national level. In addition, it is necessary to unify international and national legislation regulating scholarship in the field of human genome editing. Keywords Human genome · Genetic registration · Legislation · Biosecurity · Data sharing · Biobanking · Genetic resources

E. V. Evstifeeva (B) · N. V. Dorodonova Saratov State Law Academy, Saratov, Russia e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 S. G. Maximova et al. (eds.), Advances in Natural, Human-Made, and Coupled Human-Natural Systems Research, Lecture Notes in Networks and Systems 252, https://doi.org/10.1007/978-3-030-78105-7_40

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1 Introduction National security in each country directly depends on the implementation of strategic national priorities and the effectiveness of its security system. The priority of any national strategic policy is stability and equal partnership. The implementation of this policy in the process of ensuring national interests is supported by an active foreign policy aimed at creating a sustainable system of international relations that are based on (1) international law, (2) equality, (3) mutual respect, (4) non-interference in internal affairs, (5) cooperation, and (6) political settlement of global and regional crises. The development of bilateral and multilateral cooperation with other countries is one of the key directions of Russian foreign policy. Russia has the potential for regional and sub-regional integration and coordination with the member states of the following institutions: ● ● ● ● ● ● ●

The Commonwealth of Independent States; The Collective Security Treaty Organization; The Eurasian Economic Union; BRICS countries (Brazil, Russia, India, China, South Africa); RIC countries (Russia, India, China); Shanghai Cooperation Organization; Asia-Pacific Economic Cooperation Forum.

One of the main concepts of such associations is scientific and technical cooperation, as well as the development of technology and innovation that meet the interests of Russia and other countries. The study identified the need to develop a political and regulatory framework for cooperation in science, technology, and innovation [1, 2]. The main cooperation areas are focused on global problems. The security of the human genome, as a particular scientific field (genetic engineering) is especially relevant. The development of genome technology, including human genome editing and its practical application, is a priority for all countries.

2 Materials and Methods In this research, it is not easy to discuss all the threats and risks of genomic data sharing due to its complexity and variety of problems. Policy formation in the field of ensuring human genome security takes time. During this process, problems arise with the difficulties of legal regulation in genomic research and the emergence of new forms of illegal activities, particularly the use of information, communication, and high technologies. Each party in international cooperation adopts its legal documents [3] to prevent the creation of future threats to national security in this field.

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The methodological basis of the work is the general dialectical cognition method of social phenomena and processes, as well as a set of general (hermeneutic and axiological) and special (comparative-legal, formal-legal) scientific methods.

3 Results According to the Organization for Economic Cooperation and Development, in 2016, the share of biotechnology companies in total R&D expenditure was 12.31% in the USA, 8.95% in France, and 0.53% in Russia. In 2017, the genome-editing technology market was estimated at 3.19 billion dollars and is projected to reach 6.28 billion dollars by 2022, with an average growth rate of 14.5%. A key factor stimulating the development of this market is the increase in public funding and the number of genome projects. In 2013–2016, more than 1 billion US companies engaged in genome editing were invested. Most of the investment was directed to companies using CRISPR-technology. Many European countries invest in the biotechnology sector, such as France, Germany, Denmark, Switzerland, and Sweden. The Asia-Pacific region, China and India, in particular, have the fastestgrowing biotechnology markets. However, bioengineering and medical genetics, which are directly related to the result of the use of genetic modification technologies and genomic data sharing and storage, often lead to legal violations or misuse for criminal purposes. Therefore, one of the goals of the Federal Research Program for Genetic and Technology Development for 2019–2027 is to create system elements for the prevention and response to emerging threats, as well as rational regulation of access to bioinformation resources and trafficking in dual-use genetic technology. Prevention of biological threats and bioterrorism will ensure the establishment of a security system for the use of genome editing technology and a system for monitoring research using genome technology by leading organizations of foreign states.

4 Discussion Although Russia has adopted only a few laws governing genome research, they include a set of regulations develop international cooperation in this field and prevent threats. According to Federal Law On state regulation in the field of genetically engineered activity [4], one of the regulation tasks is to create a legal framework for international cooperation. The introduction of new, highly productive facilities and effective technological modes will ensure a significant intensification of production. International cooperation will allow reaching a qualitatively new level of international cooperation.

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Russia does not have the necessary practice of preventing such threats, so it is necessary to refer to the successful experience of foreign countries [5]. For example, the People’s Republic of China has played a critical role in promoting genome research [6]. The first studies were in the field of gene modification of human embryos, which happened even earlier than in the United Kingdom. Since China participated in the Human Genome Project in the 1990s, it has actively promoted human genome research to improve health care [7]. Innovation in biotechnology has become a priority in China under the 9th FiveYear Plan (1996–2001). Increased funding has led to the development of new infrastructure, health care, and research institutions [8]. The 13th Five-Year Plan (2016–2020) defines the Chinese medical biotechnology industry as a strategically developing industry, involving human genome research, therapy, and regenerative medicine techniques as key research areas. These phenomena led to the rapid development of the bioindustry related to human health and perspective genome editing. In 2018, Chinese scientists were the first to apply in vitro fertilization technology, resulting in the birth of twins with altered genes. This case is the first officially registered in the world practice. Therefore, scientific achievements led to the possibility of new socially dangerous acts that infringe on human rights, public, and national security, which require legal intervention [3]. China has recently issued several laws and regulations in the field of biomedicine and bioscience. The legal framework consists of laws, regulations, ethical principles, and administrative measures governing gene modification. The multiplicity of government bodies for the management of biomedical innovation in China leads to the fact that the legal regulation of human genome research is carried out through a large number of legal norms. The peculiarity of the Chinese legal framework is that it includes acts adopted by different administrative bodies. They can be divided into two large groups. The first group includes the following norms that are subject to the mandatory application: ● The laws adopted by the National People’s Congress; ● Regulations drafted by ministerial committees and approved by the State Council of China; ● Administrative measures, such as rules issued by a ministry or other government bodies, as sources of legal norms in Chinese legislation [9]. The second group of documents includes statutory acts, such as ethical guidelines and principles that regulate new forms of research or technology acceptable to public morality that create social order. The guidelines are developed at the ministry level and enforceable only if they are specifically mentioned in the law, regulations, or administrative measures [8]. Another regulatory tool is technical norms or standards aimed at ensuring the security and efficiency of specific technologies. In 2019, China became one of the first countries to adopt the Administrative Regulations of the People’s Republic of China on Human Genetic Resources [10].

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A similar Russian document is Federal Law On state genome registration in the Russian Federation [11]. First of all, mandatory and voluntary genome registration is conducted only to identify a person. Second, Federal Law establishes a strict list of cases where mandatory state genomic registration is possible: ● Individuals convicted and sentenced for serious or extremely serious crimes and all categories of sexual crimes; ● Unidentified persons whose biological material was seized during the investigation; ● Unidentified corpses (Article 7). The Administrative Regulations of the People’s Republic of China on Human Genetic Resources show that the object of Regulation is fairly wide list of social relations arising from the effective protection and rational use of human genetic resources [12]. Although the government supports the rational use of human genetic resources for scientific research, the following factors should not jeopardize public health or national security: (1) the development of the biopharmaceutical industry, (2) the improvement of diagnostic and treatment technologies, as well as Chinese biological security and health guarantees, (3) collection, (4) storage, (5) use, and (6) external provision of Chinese human genetic resources. It regulates the declaration and registration of important human genetic data and genetic resources in specific fields. The legal regulation of the collection, storage, and use of genetic resources is not limited only to individuals who committed crimes or to the identification of corpses and the establishment of kinship. The scope of regulation is quite extensive. In particular, it can be applied in such cases as (1) scientific research, (2) development of biopharmaceutical industry, (3) improvement of diagnostic and therapeutic technologies, and (4) the increase of biological security. Chinese legislators impose a strict ban on the export of genetic resources from the country, except for cases carried out within international scientific cooperation. Strict rules for the management of genetic resources made the biomedical community to question their impact on the development of international cooperation in biomedical research. The Chinese government decided to improve the licensing process for trafficking in human genetic resources in international clinical trials. The peculiarity of such a legal framework is that the collection, storage, and use of genetic resources of international biomedical research requires prior government approval, even if they are used in national areas or serve as analyzed data in scientific journals. The regulation recommends institutions to establish an efficient information management system that can ensure that genetic information is collected, stored, and used with appropriate authorization and informed consent. Such strict protective measures are quite relevant since there are cases of violation of these requirements. For example, the Ministry of Science and Technology of China has publicly announced to impose a fine on Shenzhen Huada Gene Technology Service Co., Ltd. This company was the first to be fined for illegal cross-border transfer of genetic information.

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Assessing the risks and consequences that may arise from the implementation of such regulations, scientists and lawyers speak not only about positive aspects but also about the negative ones. There is a danger of manipulating genetic data. Some governments took the necessary measures to prevent such risks. Moreover, many countries created biobanks to collect human biological samples and genome information for research and medical purposes. China is a good example of such a country. According to scientists, the relationship of leading countries in human genome research will be determined by a concurrency of genetic and computer innovations since they will control the future economy. In such countries, there is a network of companies in information technology and biocomputers. Advances in scientific genomic research create other threats, such as the leak of genetic passport data. Theft of private genetic data can be used in insurance fraud and can lead to attacks on patients’ privacy [13]. Furthermore, cyber-attacks on biotechnology and biosecurity infrastructure pose a collective threat. The use of personal genetic data for criminal purposes is possible in various areas, such as the use of data in the production of biological weapons and the replacement of the DNA of an innocent person, which can lead to his criminal prosecution [14]. Violation of the principle of non-discrimination may endanger the lives of many people. Consequently, it is possible to define ethnic identity, which will jeopardize the family life of a person and affect religious or political relations.

5 Conclusion Comparative legal analysis in the field of genetic resources registration allows us to propose some measures for improving international cooperation. In the future, one can consider a number of upcoming trends. It is necessary to develop a legislative framework in the field of scientific research, clinical trials, and treatment methods involving the human genome. In addition, countries need joint research practice on human genome editing and the development of new and already existing biosecurity measures. Also, the authorities should prevent the illegal use of information about the human genome (for criminal purposes or without personal consent). The scholarship should aim to develop and test new methods of human genome research to prevent crimes that threaten peace and humanity. Furthermore, one should develop an international concept, according to which human genome security should be recognized as a global problem that threatens human civilization. Finally, each country should unify national legislation in the field of scientific research on the human genome. The implementation of these provisions will play a crucial role in resolving the disagreements in the field of the human genome and personal security arising from the diversity of historical, religious, and national factors in the Eurasian space.

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Acknowledgements The study was funded by RFBR, according to the research project № 18-2914036 Threats to security of humanity in the field of living organism’s genome research and the criminal legal model of their prevention.

References 1. Ishii T (2015) Germline genome-editing research and its socioethical implications. Trends Mol Med 21(8):473–481. https://doi.org/10.1016/j.molmed.2015.05.006 2. Ming X, Douglas D, Gurzawska A, Brey P (2015) Ethics assessment in different countries. China: Annex 4.b ethical assessment of research and innovation: a comparative analysis of practices and institutions in the EU and selected other countries. Deliverable 1.1. Retrieved from http://satoriproject.eu/media/4.b-Country-report-China.pdf 3. Evstifeeva EV, Dorodonova NV (2019) International legal policy in the field of biomedical and genomic research. Leg Policy Leg Life 3:44–51 4. Russian Federation (1996) Federal Law “On state regulation in the field of genetically engineered activity. Moscow, 5 June 1996, No. 86 5. Ryzhov VB (2018) Cooperation between the Member States of the European Union in the field of ensuring the integrity of the human genome. Int Law 1:19–27 6. Li W, Cai L (2014) The scope of patent protection for gene technology in China. Nat Biotechnol 32(10):1001–1003. https://doi.org/10.1038/nbt.3031 7. Zhan Q, Qian H (2016) Opportunities and advantages for the development of precision medicine in China. Precis Med China 6–9. https://doi.org/10.1126/science.354.6319.1601-b 8. Li ZZ, Zhang JC, Wen K, Thorsteinsdóttir H, Quach U, Singer PA, Daar AS (2004). Health biotechnology in China-— reawakening of a giant. Nat Biotechnol 22:DC13-DC18. https:// doi.org/10.1038/nbt1204supp-DC13 9. Huo ZX (2013) The People’s Republic of China. In: Trimmings K, Beaumont P (eds) International surrogacy arrangements: legal regulation at the international level. Hart Publishing, Oxford, pp 93–104 10. People’s Republic of China (2019) Administrative regulations of the People’s Republic of China on human genetic resources. Beijing, 1 July 2019 11. Russian Federation (2008) Federal Law “On state genome registration in the Russian Federation. Moscow, 3 Dec 2008, No. 242 12. Kozachenko IY (2019) Is the criminal law subject to genetics? (Difficult answers to complicated questions). Bull Kuzbass Inst 3:29–39 13. Andreeva OI, Matsepuro DM, Olkhovik NV, Trubnikova TV (2020) Criminal justice in the post-genomic era: new challenges and the search for balance. Tomsk State Univ J Law 35:14–26 14. Becker R (2016) New cyber security guidelines for medical devices tackle evolving threats. The Verge. Retrieved from https://www.theverge.com/2016/12/27/14095166/fda-guidancemedical-device-cybersecurity-cyberattack-hacking-guidelines

Approaches to Investing in Innovations and Ensuring Ecological Safety in the Regions of Russia: Cluster Analysis Ekaterina V. Tsenina

and Vera M. Voronina

Abstract The research aims to identify the fundamental approaches of different groups of regions to investing in innovation and improving environmental security to achieve sustainable development goals. We used Ward’s Hierarchical Clustering method to classify the regions performed in the IBM SPSS Statistics program. We obtained the data for the study of 58 Russian regions from the database of the Federal State Statistics Service of the Russian Federation, n.d.). Besides, we selected the following indicators: (1) the share of organizations that implemented innovations increasing ecological security in the production of goods, works, and services (in six areas); (2) the share of organizations that implemented organizational innovations; (3) the cost of technological innovation of organizations; (3) special costs associated with ecological innovations; and (4) the volume of innovative goods, works, and services. The research results showed that the regions were grouped into five clusters. Each cluster has its particular approach to solving ecological security issues, considering (1) the level of activity of organizations in the ecological field of the region; and (2) innovative investment costs in certain areas of reducing the negative impact on the environment. It is necessary to conduct a comparative analysis of the regions within each cluster to (1) disclose the regional policy of ecological regulation, (2) determine the level of development of innovative projects, (3) compare the level of implementation of ecological and technological innovations in industries with associated costs, and (4) identify the presence of monotowns in the regions. This analysis will allow us to identify the obstacles to implementing sustainable strategies in the regions and assess the innovation processes in the region in terms of the cost effect. Keywords Sustainable regional development · Ecological security · Eco-innovation · Ecological regulation · Socio-ecological and economic regional E. V. Tsenina (B) Plekhanov Russian University of Economics, Moscow, Russia e-mail: [email protected] V. M. Voronina Orenburg State University, Orenburg, Russia © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 S. G. Maximova et al. (eds.), Advances in Natural, Human-Made, and Coupled Human-Natural Systems Research, Lecture Notes in Networks and Systems 252, https://doi.org/10.1007/978-3-030-78105-7_41

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system · Eco-costs · Technological innovation costs · Innovative product · Cluster analysis

1 Introduction 1.1 Eco-innovation as a Priority in the Russian Federation As ecological pollution increases, ecological security becomes increasingly important. Therefore, eco-innovation must replace ecologically hazardous production methods. Eco-innovations are associated with the development and acquisition of (1) eco-friendly technologies; (2) appropriate scientific research; (3) waste processing methods that reduce the level of ecological pollution; and (4) necessary additional equipment, components, and consumables. Such solutions are in demand in the industrial sector, energy, construction, logistics, and water management. Innovation as an essential factor of sustainable development should be taken into account in the calculations used in strategic planning. Currently, the Russian government is implementing the national project Ecology, which includes the national goals and strategic objectives of environmental development of Russia until 2024. The project is expected to be funded by the federal budget and large companies. As part of this program, all industrial facilities in Russia that significantly impact the environment should switch to the best available technologies [BAT] by 2024. The project budget is 4041 billion rubles [1]. In 2018, the Russian Ecological Society and the Russian Ecological Party the Greens launched the project Map of Socio-ecological Conflicts. It is an interactive portal that collects and analyzes up-to-date information about the socio-ecological conflicts throughout Russia [2]. This project is a mechanism of public ecological control that ensures the effective participation of citizens in the implementation of the national project Ecology. For the Russian construction industry, The Ministry of Construction, Housing and Utilities of the Russian Federation developed in 2016 and finalized in 2019 the Strategy for Innovative Development of the Construction Industry of the Russian Federation for the period up to 2030. This strategy should solve the problems of (1) ensuring the production, (2) introducing innovative materials and technologies, (3) developing and applicating state enforcement measures against enterprises that do not meet the requirements of energy and resource consumption (including labor aspects), ecological security, and measures of state economic incentives for the introduction of innovations in the industry [3]. The Strategy of Innovative Development of Russia until 2020 remains valid. One of the requirements of this strategy is to achieve the economic profitability of alternative energy technologies. These projects involve (1) the burning of hydrogen, (2) the use of solar panels, and (3) methods of generating electricity from water and wind energy. In April 2020, Interstate Program for CIS States’ Innovative Cooperation for the period up to 2030 was approved to unite the efforts of small and medium-sized innovative enterprises and research centers [4].

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In 2017, the government of the Russian Federation approved the Environmental Security Strategy of the Russian Federation until 2025 and the Industrial Development Strategy for Processing, Recycling and Neutralization of Production and Consumption Wastes for the period up to 2030.

1.2 Environmental Regulation at the State Level Considering initiatives in the ecological field, organizations implement ecoinnovation to ensure compliance with existing technical regulations, rules, and standards (requirements of environmental legislation) and the expected improvement of legal norms. Also, the organization’s eco-innovation may be stimulated by (1) the need to meet market (consumer) requirements, (2) the availability of government grants, (3) subsidies or other financial incentives for the implementation of ecoinnovations, and (4) voluntary compliance with general principles of environmental protection. Local authorities carry out environmental regulation of activities of organizations through the system of their legal, economic, managerial, planning, and control activities following the current legislation. The tightening of environmental legislation at the regional level increases the importance of environmental aspects that affect the competitiveness of the regional economy and the investment attractiveness of the region. However, the capacity of local authorities to improve environmental legislation is limited. Since 2019, with the transition to a new system of government environmental control and supervision, there has been a tightening of government regulation of environmental standards. In accordance with Article 29 of Federal Law No. 7FZ “On environmental Protection” (Consultant [5], the use of technological indicators of the best available technologies has become mandatory. These indicators determine (1) the concentration of pollutants, (2) the volume or mass of emissions (discharges) of pollutants, (3) waste generation, (4) water consumption, and (4) the use of energy resources per unit of time or per unit of production (work performed, services rendered). Therefore, it is necessary to use the information and technical reference books to set quality standards for a particular industry. By 2025, more than 6000 enterprises must obtain complex environmental permits and comply with the information and technical reference books on the best available technologies. Such a large-scale introduction of new technologies across the country will require an investment of several trillion rubles. Therefore, before the COVID-19 pandemic, the government planned to allocate 25 billion rubles to support businesses. Despite the environmentally positive and short-term effect of a temporary decline in production activity, there is a risk of increasing difficulties in the transition of enterprises to innovative environmental solutions after the end of the pandemic. In addition to the expected financial difficulties, there is a problem related to the fact that the regulatory framework associated with the reform of the environmental regulatory system based on the best available technologies [BAT] is still under development.

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However, public authorities do not only propose stricter measures and penalties to encourage the implementation of environmental measures but also provide the following support measures at the federal level: . Tax incentives; . Allowance for expenses related to research and development in the field of environmental innovation; . Preferential use of land plots; . Credit facilitation programs; . Government guarantees of the Russian Federation on loans raised for investment projects; . Preferential tariffs in energy technologies; . Green bonds. Besides, the government creates various development funds and institutions that provide economic support to organizations. For example, the State Development Corporation VEB.RF, Industrial Development Fund, public entity Russian Ecological Operator. We should also mention such a mechanism as a Special Investment Contract [SPIC] [6]. One of the legal types of SPIC is the introduction of BAT. Since only forcing the transition to more eco-friendly and resource-saving technologies is inefficient, SPIC encourages investors by providing a wide range of benefits.

1.3 Environmental Regulation at the Regional Level Regional authorities support investment activities related to ecological security and resource conservation in the following forms: . . . . .

Tax incentives; Provision of subsidies for reimbursement of expenses; Reimbursement of part of the costs related to the purchase of equipment; Reimbursement of part of the lease payments; Export bounties.

Environmental regulation at the regional level is currently intricately linked to the strengthening of interregional ties and the territorial orientation of economic management. However, it is necessary to consider regional differences in natural, environmental, resource, production, innovation, and human resources potential. The environment is becoming a factor that strongly affects the competitiveness and investment attractiveness of the region, especially due to the transboundary nature of pollution. From this point of view, the idea of developing industrial clusters on the territory of Russia is an excellent response to the needs of competing regions in stimulating their innovative development [7]. There is a problem in assessing the level of ecological security of the regions. The scholarship does not sufficiently cover the typology of regions by the level of use of environmental innovation, which is an

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information base for effective management in this area, forecasting, and preparing measures to increase activity in environmental innovation. To assess the level of development of the region in the field of ecological security, it is necessary to analyze the following aspects: . Level of implementation of environmental innovations; . Scope and level of development of environmental projects; . Number and qualifications of experts in the field of sustainable development. An important indicator for assessing the current state of environmental investment is the indicator of public statistical reporting on the fixed capital expenditures aimed at environmental protection and rational use of natural resources. An analysis of the structure of environmental investment sources shows that the public sector and specialized manufacturers provide the main financial flow in the G20 countries. We should note that the share of investment from the national budget of all levels in fixed capital expenditures aimed at environmental protection and rational use of natural resources is minimal. The volume of investments from the own funds of organizations is almost ten times higher than the volume of investments from the federal budget and the budgets of the constituent entities of the Russia combined [8, 9].

1.4 Elaboration of the Scientific Problem Over the past 2 years in Russia, 750 scientific papers were published in peer-reviewed journals on ecological security in the region; about 500 papers on ecological innovation, and dozens of dissertations on these issues have been defended. About 350 articles on the role of innovation in the sustainable development of the region have been published in journals indexed in the Web of Science and Scopus databases. The works of G. Atkinson, S. Mourato, Peter J. G. Pearson, Timothy J. Foxon, T. H. Morrison, V. I. Gurman, I. P. Glazyrina, I. S. Guseva, A. Yu. Davankov, D. Yu. Dvinin, I. A. Zabelina, I. M. Potravny, E. V. Ryumina, A. A. Chub are devoted to the theory and practice of assessing the sustainability of territorial socio-ecological and economic systems. G. Atkinson remarks that while local actions for sustainability alone cannot lead to sustainable development, it is argued that such local actions are necessary elements that can make a substantial contribution. However, as at the national level, conflicts between environmental, economic, and social goals mean inevitable choices related to shaping the local, sustainable development agenda [10]. Other authors add that while planning institutions, both at the national and regional levels, often need to mobilize a dominant strategic line around the achievement of specific goals or guidelines, it is often local authorities or municipalities that interact with local stakeholders and can design locally adapted implementation strategies in accordance with local specifics and priorities [11]. Researchers agree that proper environmental regulation

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promotes technological innovation, it is one of the most important means to achieve green transformation [12, 13]. Simultaneously, environmental regulation also differs significantly in the mechanisms of influence on different approaches to technological innovation [14]. We believe that to ensure the implementation of the concept of sustainable development at the macro level, it is necessary to improve the activities of all subsystems of the organization at the micro-level, which requires the development of new technologies and business methods, improving the quality of final results and introducing new, more effective management methods [15]. At the regional level, it is necessary to establish the correlation between the activities of enterprises in the field of ecological security and the costs of technological and ecological innovations. The research aims to classify regions with common characteristics based on the following variables that characterize the activity of the regions: . Share of organizations that have implemented innovations that increase ecological security in the production of goods, works, and services (in six areas); . Share of organizations that implemented organizational innovations; . Cost of technological innovation of organizations; . Special costs associated with ecological innovation; . Volume of innovative goods, works, and services. We suggest that the regions can be classified into groups with (1) similar approaches to solving environmental safety issues, (2) a similar level of activity of organizations in this area, and (3) a similar amount of investment in innovations in certain areas of reducing the negative impact on the environment.

2 Materials and Methods A standard method for determining groups is cluster analysis, which allows one to combine homogeneous objects according to specific criteria. We used the IBM SPSS Statistics computer program to identify the clusters. The research data was collected from the Federal State Statistics Service of Russia [16]. For the analysis, we selected 58 Russian regions except for 27 regions that were excluded based on the initial processing results due to the incompleteness of the indicators required for the analysis. The analyzed period of economic activity is 7 years—from 2010 to 2017. For the cluster analysis, we selected two sets of variables that characterize the activity of each region: 1. Share of organizations that implemented innovation improving ecological security in the production of goods, works, and services in the following areas: . V1 —reduction of material costs per unit of goods, works, and services (%); . V2 —reduction of energy costs per unit of goods, works, services (%); . V3 —reduction of carbon dioxide emissions into the atmosphere (CO2) (%);

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. V4 —replacement of raw materials with safe or less dangerous (%); . V5 —reduction of environmental pollution (air, land, water, noise) (%); . V6 —implementation of secondary processing (recycling) of industrial waste, water, or materials (%). 2. Other variables: . V7 —the share of organizations that implemented organizational innovations (%); . V8 —the cost of technological innovation of organizations (million rubles). . V9 —special costs associated with ecological innovations (million rubles); . V10 —the volume of innovative goods, works, and services (million rubles). Due to the difference in measurement units, we carried out a preliminary standardization of the data on the studied indicators. Since the indicators are equally informative and significant for further analysis, we calculated the distance between the objects using a method based on the Euclidean distance (Table 1). We conducted hierarchical cluster analysis using Ward’s method, because the optimal number of clusters is a priori unknown. Hierarchical algorithms allowed us to trace the process of merging groups and illustrate the subordination of clusters Table 1 The matrix of the corresponding Pearson correlation coefficients V1

V2

V1

1

0.729** 0.380** 0.236

V5

V6

V7

V8

V9

V10

0.139

0.261*

− 0.184

− 0.071

− 0.056

− 0.012

V2

0.729** 1

0.325*

0.219

− 0.025

0.327*

− 0.040

0.007

0.032

0.041

V3

0.380** 0.325*

1

0.129

0.168

0.234

− 0.146

0.040

− 0.056

− 0.096

V4

0.236

0.219

0.129

1

0.386** 0.287* 0.133

0.009

0.014

0.054

− 0.025

0.168

0.386**

V5

0.139

1

0.280* 0.091

− 0.028

0.132

− 0.034

V6

0.261*

0.327*

0.234

0.287*

0.280*

1

0.108

− 0.001

0.123

0.043

V7

0.184

− 0.040

− 0.146

0.133

0.091

0.108

1

0.379** 0.196

V8

− 0.071

0.007

0.040

0.009

− 0.028

− 0.001

0.379** 1

V9

− 0.056

0.032

− 0.056

0.014

0.132

0.123

0.196

V10

− 0.012

0.041

0.096

0.054

− 0.034

0.043

0.343** 0.922** 0.286*

*

V3

V4

Note Correlation is significant at the 0.05 level (double-sided) **Note Correlation is significant at the 0.01 level (double-sided) Source Compiled by the authors

0.343**

0.373** 0.922**

0.373** 1

0.286* 1

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formed at different work stages. Additionally, we chose this method, because it is the most resistant to information noise and good at restoring the data structure. As a result of clustering, we built a tree diagram (Fig. 1). The analysis of the tree diagram revealed a strong hierarchy and allowed us to identify five groups of regions (Table 2).

3 Results In general, organizations in all regions strive to reduce environmental pollution (air, land, water, noise) and, to the least extent, on replacing raw materials with safer or less dangerous ones and reducing carbon dioxide (CO2) emissions into the atmosphere. Clusters created from 58 regions can be described as follows (Table 3).

4 Discussion 4.1 Clusters with High Innovation Costs Cluster 1 covers regions where, from 2010 to 2017, an average of 84,890 million rubles were invested in technological innovation (70% of the investment in all clusters), 960 million rubles (65%) were invested in environmental innovation, and about 70% of the total volume of innovative goods, works, and services was produced. Most organizations that have improved ecological security in producing goods, works, and services focused on replacing raw materials with safe or less dangerous ones and reducing the environmental pollution. The cluster, which is characterized by such high costs for eco-innovation, includes Moscow and St. Petersburg. In 2017– 2018, these two subjects of Russia held leading positions in terms of gross regional product output, with a large share of the gross regional product [GRP] in these regions accounted for the manufacturing industry. Tatarstan is among the top ten regions of Russia in terms of GRP, formed by the mining and processing industries. The fact that in 2019 Tatarstan became the leader in Russia in terms of the number of Technology and Innovation Support Centers [TSCs] confirms the active position of Tatarstan concerning the introduction of innovations. The regional network of TSCs covers 22 organizations. TSCs were established in Moscow and Saint Petersburg: 9 in each city. The innovation infrastructure determines the effectiveness of innovation activity. The Federal Institute of Industrial Property [FIPS] is actively involved in implementing the FIPS (Rospatent) regional policy to enhance inventive and innovative activities in the regions. However, in some regions of the country, patent data coverage and availability are limited [17]. The Nizhny Novgorod region is not accidentally included in Cluster 1. In 2019, the Nizhny Novgorod Region became the leader among the subjects of Russia in

Approaches to Investing in Innovations and Ensuring Ecological Safety … Fig. 1 Tree diagram for 58 regions. Source Compiled by the authors

427

V4

V5

V6

V7

V8

V9

V10

68.8 69.7 53.4 46.0 77.1 54.1 1.9 2311

5 Bryansk, Kostroma, Kursk, Oryol, Komi Republic, Kabardino-Balkarian Republic, Stavropol Krai, Ulyanovsk

Source Compiled by the authors

48.0 51.1 35.9 35.1 64.8 28.4 2.1 5,102

4 Novgorod, Smolensk, Arkhangelsk, Murmansk, Rostov, Udmurt Republic, Saratov region, Zabaykalsky Krai, Republic of Sakha

82

13,474

103 19,916

3 Belgorod, Vladimir, Kaluga, Republic of Karelia, Krasnodar, Astrakhan, 50.6 56.8 36.6 39.7 75.1 45.3 3.3 13,116 234 32,039 Republic of Bashkortostan, Republic of Mordovia, Chuvash Republic, Perm Krai, Kirov, Orenburg, Penza, Sverdlovsk, Chelyabinsk, Altai Krai, Krasnoyarsk Krai, Irkutsk, Novosibirsk, Omsk, Tomsk, Primorsky Krai, Kirov, Orenburg, Penza, Sverdlovsk, Chelyabinsk, Altai Krai, Krasnoyarsk Krai, Irkutsk, Novosibirsk, Omsk, Tomsk, Primorsky Krai

53.2 58.6 44.4 48.2 77.8 42.8 5.2 84,891 961 296,529

V3

49.2 38.9 36.5 30.0 58.1 36.7 1.7 14,818 119 51,521

V2

1 Moscow, Saint-Petersburg, Tatarstan, Nizhny Novgorod

V1

2 Lipetsk, Yaroslavl, Vologda, Tyumen, Voronezh, Moscow, Tula, Kaliningrad, Leningrad, Volgograd, Samara, Kurgan, Buryatia, Khabarovsk, Sakhalin

# Clusters (regions)

Table 2 The average values of the variables in the clusters sorted in terms of the value of costs associated with technological innovations of organizations (V8 )

428 E. V. Tsenina and V. M. Voronina

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Table 3 Composition and characteristics of clusters #

Composition of regional clusters

Cluster characteristics

1

Moscow, Saint—Petersburg, Tatarstan, Nizhny Novgorod

. The most considerable amount of costs for technological and environmental innovation of organizations . The largest share of organizations that implemented organizational innovation . The largest volume of innovative goods, works, and services . A high percentage of organizations whose innovations increase ecological security in the production of goods, works, and services in all areas of ecological safety (with an emphasis on reducing the environmental pollution in comparison with other clusters) . In the regions of this cluster, the most significant attention is paid to replacing raw materials with safe or less dangerous ones compared to other clusters

2

Lipetsk, Yaroslavl, Vologda, Tyumen, Voronezh, Moscow, Tula, Kaliningrad, Leningrad, Volgograd, Samara, Kurgan, Republic of Buryatia, Khabarovsk Krai, Sakhalin

. Average costs of organizations for technological innovation . Average volume of innovative goods, works, and services . A small share of organizations that implemented organizational innovation . A small share of organizations whose innovations increase the ecological security in the production of goods, works, and services in all areas

3

Belgorod, Vladimir, Kaluga, Republic of Karelia, Krasnodar Krai, Astrakhan, Republic of Bashkortostan, Republic of Mordovia, Chuvash Republic, Perm Krai, Kirov, Orenburg, Penza, Sverdlovsk, Chelyabinsk, Altai Krai, Krasnoyarsk Krai, Irkutsk, Novosibirsk, Omsk, Tomsk, Primorsky Krai, Kirov, Orenburg, Penza, Sverdlovsk, Chelyabinsk, Altai Krai, Krasnoyarsk Krai, Irkutsk, Novosibirsk, Omsk, Tomsk, Primorsky Krai

. Average costs for ecological innovation of organizations . Average share of organizations that implemented organizational innovation . Average share of organizations whose innovation increase environmental security in the production of goods, works, and services in all areas of ecological security (focusing on the implementation of secondary processing (recycling) of industrial waste, water, or materials)

4

Novgorod, Smolensk, Arkhangelsk, Murmansk, Rostov, Udmurt Republic, Saratov, Zabaykalsky Krai, Republic of Sakha

. Low costs for technological and environmental innovation of organizations . Low volume of innovative goods, works, and services; . Small share of organizations whose innovations increase ecological security in the production of goods, works, and services in all areas; and minimal share—in secondary processing (recycling) of industrial waste, water, or materials (continued)

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Table 3 (continued) #

Composition of regional clusters

Cluster characteristics

5

Bryansk, Kostroma, Kursk, Oryol, Komi Republic, Kabardino-Balkarian Republic, Stavropol Krai, Ulyanovsk

. The lowest amount of costs for technological and environmental innovation of organizations . The smallest share of organizations that implemented organizational innovation . The smallest volume of innovative goods, works, and services . The largest share of organizations whose innovations improve ecological security in the production of goods, works, and services in all areas of ecological security (focusing on (1) reducing material and energy costs per unit of goods, works, and services; (2) implementing secondary processing (recycling) of industrial waste, water, or materials, compared to other clusters)

Source Compiled by the authors

the introduction of lean manufacturing tools [18]. The Effective Region project was launched in 2017 by Rosatom State Atomic Energy Corporation ROSATOM [19]. The experts of this corporation help the regional authorities apply the production system methods at enterprises. Their goal is to increase productivity, introduce lean technologies, and improve work processes. Increasing labor productivity is one of the priority areas of the development of Russia. This fact determines the competitiveness of the Russian economy, the standard of living of the population, and the status of the country in the international arena. From an environmental point of view, the Nizhny Novgorod Region over the past year has risen to twelve positions in the environmental rating of the subjects of the Russian Federation of the public organization Green Patrol [20, 21]. This huge leap for the industrial region was due to the elimination of environmental damage accumulated over the decades since the Soviet period [22]. The results of the cluster structure are similar to those of the ranking of the subjects of Russia by the value of the Russian Regional Innovation Index in 2017, where Moscow, Saint Petersburg, Tatarstan, and the Nizhny Novgorod Region occupied the top five regions in terms of innovation development [23]; as well as according to the results of the rating of innovative regions of Russia [24] in 2018, where Saint Petersburg, Tatarstan, and Moscow were the leaders. The Nizhny Novgorod region was in the group of strong innovators in eighth place [24]. The rating of Innovative development of regions (IRR) of specialists of the Institute for Statistical Research and the Economics of Knowledge of the Higher School of Economics has been formed since 2012. The Association of Innovative Regions of Russia is an organization of the subjects of Russia created to support and promote innovative economic, scientific, technical, and educational projects. The Association was established in 2010 with the support of the Ministry of Economic Development of the Russian Federation, the RUSNANO Group (Russian Institute of Innovative

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Development), and the Russian Presidential Academy of National Economy and Public Administration (Ranepa). Organizations in the regions of this cluster are investing in expensive technologies. Simultaneously, the share of organizations in this cluster engaged in innovation in environmental activities corresponds to the share of active organizations in other clusters. However, the innovation costs incurred by organizations in this cluster are significantly higher than those of organizations in other clusters. Cluster 2 brings together regions where technological innovation costs prevail over environmental costs: 12% and 8%, respectively, of the total costs in all clusters; while the share of organizations that have implemented organizational innovations is the smallest of all clusters. The average volume of innovative goods, works, and services produced during the analyzed period correlates with the cost of technological innovation (12%). The activity of enterprises in environmental protection is somewhat lower than in other clusters, although the processing industry dominates in most regions of this cluster. Consequently, the regions of this cluster are more interested in producing an innovative product through technological innovations than in improving ecological security. Cluster 3 unites regions where the cost of eco-innovation prevails over technological costs: 16% and 11%, respectively, of the total costs in all clusters, with a small volume of innovative goods, works, and services. Organizations of this cluster are almost as active as organizations from Cluster 1, especially in the areas of (1) reducing material and energy costs for the production of a unit of goods, works, and services; (2) reducing environmental pollution; and (3) implementing the secondary processing (disposal) of industrial waste, water or materials. Less attention is paid to reducing carbon dioxide (CO2) emissions into the atmosphere and replacing raw materials with safer or less dangerous ones. This trend can be explained by the fact that mining and agricultural industries predominate in the regions of this cluster. This cluster includes the leading regions of agricultural production: Krasnodar Krai, Belgorod Region, Republic of Bashkortostan. Moreover, the focus on reducing energy costs is explained by the fact that this cluster includes all the regions of the Siberian Federal District (from those included in the analysis). Eco-innovations in energy-saving are of particular importance in Russia, since the energy intensity of production per unit of production in Russia is 2–3 times higher than in developed countries, which is partly due to the northern geographical location, and partly to the technological lag. As for the reduction of material costs to produce a unit of goods, the critical conditions are (1) the improvement of production technology, (2) the use of advanced types of materials, and (3) the introduction of technically sound material consumption standards. The strengthening of this direction may be due to organizational innovations, as they include (1) the use of modern quality control systems, (2) certification of goods, works, and services; and (3) the introduction of modern logistics systems and the supply of raw materials and components (e.g., Just in time). Moreover, the share of organizations that have implemented organizational innovations in the regions of this cluster is relatively high.

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It is worth noting that half of the regions from this cluster are included in the project of the Ministry of Economic Development of Russia “Development of innovative clusters—World-Class Leaders in Investment Attractiveness,” implemented since 2016, namely: (1) Kaluga region, (2) the Republic of Bashkortostan, (3) the Republic of Mordovia, (4) Novosibirsk Region, Krasnoyarsk Krai, Tomsk Region [25]. Simultaneously, this program embraces various areas of technological specialization of clusters. The innovation-territorial cluster includes such cluster participants as enterprises and organizations for well-coordinated work within a single scientific and production chain in one or more industries [26]. We can assume that the program of support for pilot innovation-territorial clusters of the Ministry of Economic Development of the Russian Federation reflects the interest of organizations in implementing innovations increasing ecological security in the production of goods, works, and services. There is also a second direction of cluster development in Russia-the program of support for industrial clusters of the Ministry of Industry and Trade of Russia. Although this direction is considered a tool for the mass introduction of advanced production technologies, localization of production, and new investment projects, there is no apparent connection with this program. Another point is that the industrial regions of this cluster (Irkutsk Region, Chelyabinsk Region, Sverdlovsk Region, Krasnoyarsk Krai, Omsk Region, and Orenburg Region) occupy the last place in the ecological rating of Russian regions public organization Green Patrol [20, 21]. Another point is that the industrial regions of this cluster (Irkutsk Region, Chelyabinsk Region, Sverdlovsk Region, Krasnoyarsk Krai, Omsk Region, and Orenburg Region) occupy the last place in the ecological rating of Russian regions public organization Green patrol [20, 21]. This fact suggests that measures to improve the environmental situation in these regions are not effective enough. Judging by the indicators of this cluster (there are activities of organizations in ecological security, but the cost of innovation is on average 16% of the total costs for all clusters), the activity may be inefficient due to low funding.

4.2 Clusters with Low Innovation Costs Cluster 4 includes regions where organizations are characterized by low costs for technological and environmental innovations: 4% and 7%, respectively; low volume of innovative goods and services, and the smallest share of organizations implementing innovations to improve ecological security among all clusters. Cluster 5 combines the regions with the lowest costs for technological and environmental innovation of organizations, the lowest share of organizations that implement organizational innovations, and therefore produce a low volume of innovative goods and services. Simultaneously, the share of organizations that introduce innovations to improve ecological security is the highest in almost all six areas. In other words, the share of organizations in the regions of this cluster that invested in innovations

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to improve environmental security is higher than in other clusters, but the amount of investment is insignificant. The only direction in which the activities of organizations in this cluster are inferior is the replacement of raw materials with safe or less dangerous ones. Summing up, we can say that in the regions of Cluster 1, Cluster 3, and Cluster 5, organizations are actively engaged in the development and application of ecoinnovations. In Clusters 1, Cluster 2, and Cluster 3, innovation costs are higher than in Clusters 4, Cluster 5, and Cluster 1 by a large margin compared to all other clusters. Cluster 2 is focused on technological innovations that are closely related to the production of innovative products. In Cluster 3, the costs of environmental innovations exceed technological ones. In addition, in Cluster 1 and Cluster 3, the share of organizations that implemented organizational innovations is higher than in the rest, while in Cluster 1, it is two times more than in Cluster 3; and three times more than in all the others. Based on the results of clustering, we identified five main approaches to investing in innovations and improving the environmental situation in five groups of regions: . Low investment in innovation and a small number of organizations engaged in improving ecological security in the production of goods, works, and services; . Low investment in innovation, but a large number of organizations that increase ecological security in the production of goods, works, and services; . Low investment in innovation and a small number of organizations that increase ecological security in the production of goods, works, and services; . Low investment in innovation, but with priority areas (e.g., recycling of industrial waste, water, or materials); . High investment in innovation, many organizations engaged in improving ecological security in the production of goods, works, and services. We should pay attention to the regions that represent the 1st approach, and analyze the reasons for this, since it can be described as a passive approach. Furthermore, further studies after a certain period using the clustering method can help trace the dynamics of regional positions and general changes in approaches to improving ecological security in the production of goods, works, and services. Each of the five approaches should be coordinated with specific environmental regulation measures in the regions to select more effective measures to stimulate environmental activities and develop eco-innovations.

5 Conclusion The current environmental situation in the world and Russia dictates the need for advanced scientific and technical development in clean energy, eco-friendly materials, and new industrial technologies in production. In many areas, there is no significant technological progress in Russia. The intensification of environmental protection in organizations requires the development and practical application of

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mechanisms for attracting eco-investment in technologies and infrastructure. We reviewed the current projects and development strategies of Russia related to innovation and ecological security and measures to promote the environmental protection measures at the state and regional levels. We used cluster analysis to classify regions with standard features based on the following variables that characterize the activity of the regions: . Share of organizations that implemented innovations improving ecological security in the production of goods, works, and services (in six areas); . Share of organizations that implemented organizational innovations; . Cost of technological innovation of organizations; . Special costs associated with ecological innovation; . Volume of innovative goods, works, and services. According to the research results, we grouped the regions were grouped into 5 clusters. Each of the clusters is characterized by a certain level of costs for technological and ecological innovations and the specific share of organizations that have implemented environmental innovations. Cluster characteristics reflect regional approaches to investing in innovations that improve ecological security. For predictive and optimization calculations, more specific information is needed, such as enterprise data on innovation and its effectiveness; nevertheless, this information is not collected systematically. Further research in the field of ecological security and sustainable development of the regional economy can focus on (1) analyzing the industry structure and dynamics of environmental innovation in Russia; (2) identifying obstacles; and (3) comparing the results of this analysis with the industry analysis of innovations that improve ecological security in the production of goods, works, and services. Besides, it is possible to conduct a second similar study using the clustering method after a certain period to track the dynamics of regional positions and changes in approaches to improving ecological security in producing goods, works, and services.

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The Artistic Culture of the Greater Altai in People’s Diplomacy Sophia M. Belokurova , Elena A. Mushnikova , and Mikhail Yu. Shishin

Abstract In this article, we aim to identify factors that contribute to the development of cultural interaction in the Greater Altai macroregion. This macroregion unites the countries of Russia, Mongolia, China, and Kazakhstan. We believe that intercultural contacts, especially artistic culture, can perform the functions of citizen diplomacy. Cultural tourism plays a special role since the cultural heritage of neighboring regions and institutions for preserving, studying, and promoting culture and art are important components of intercultural relations. Via the inclusive approach, we analyzed the integral system of the cultural and artistic heritage of the Greater Altai, as well as the role of intercultural communications in citizen diplomacy. Moreover, we applied the elements of the historical and systems methods to characterize the analyzed cultural and historical complexes. The study of intercultural communication is an important direction of citizen diplomacy development since it plays a major role in the Greater Altai integration and, therefore, ensures macroregional security. The cultural and artistic potential of the Greater Altai is extraordinary, and the whole macroregion can serve as an open-air museum. One can identify the following aspects of macroregional intercultural contacts: (1) academic research and exploration, (2) international cultural projects, and (3) development of cultural tourism. Keywords Greater Altai · Cultural tourism · Citizen diplomacy · Petroglyphic complexes · Museums

1 Introduction The potential of culture in international contacts can hardly be underestimated— the “language” of culture and art surpasses even the strongest language barriers. Moreover, interculturalism (unlike international political and economic relations) is inherently humanistic since the communication about science, culture, art, and tourism is always focused on establishing dialogue, not supremacy. S. M. Belokurova (B) · E. A. Mushnikova · M. Yu. Shishin I. I. Polzunov Altai State Technical University, Barnaul, Russia e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 S. G. Maximova et al. (eds.), Advances in Natural, Human-Made, and Coupled Human-Natural Systems Research, Lecture Notes in Networks and Systems 252, https://doi.org/10.1007/978-3-030-78105-7_42

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This explains why intercultural dialogue can be considered the most important direction of the so-called citizen diplomacy. This study aims to identify the main factors contributing to the development of cultural interaction in the Greater Altai macroregion in the context of citizen diplomacy. The Greater Altai is extremely interesting from the perspective of cross-cultural contacts—it lies at an intersection of completely different cultures (Chinese, Russian, Uighur, Mongolian, Kazakh, and Altaic ones). Additionally, the Greater Altai has many well-preserved and unique monuments that attract researchers, artists, and tourists and serve to develop cross-cultural contacts. In this study, we examined the structure of Greater Altai interculturalism and its existing potential—the monuments of artistic culture and the institutions for preserving and promoting works of art.

2 Materials and Methods The main method of this research is the inclusive approach. We used it to analyze the integral system of Greater Altai cultural and artistic heritage and to identify the role of intercultural communications in citizen diplomacy. Besides, we employed some elements of the historical and systems methods to characterize the analyzed cultural and historical complexes. Petroglyphic complexes located on the Greater Altai territory, museum collections, and the general system of intercultural interaction in the macroregion served as the material for this study. Over the last decade, several scholars, including us, conducted multiple Russian-Mongolian expeditions. The expedition results are summarized in a series of studies and monographs [1–4]. The information for this study was collected in the neighboring regions of Kazakhstan and China via expeditions, conferences, and various meetings.

3 Results Intercultural communication is an important direction in the development of citizen diplomacy. It plays a major role in the Greater Altai integration processes and in ensuring macroregional security. Cultural tourism is particularly important as the main route points are cultural heritage resources of neighboring regions and institutions engaged in preserving, studying, and promoting culture and art. The cultural direction of citizen diplomacy (especially cultural tourism) has a sound empirical basis in the Greater Altai countries—the cultural and artistic potential of the macroregion, expressed in ancient art monuments and museum collections, is substantial. The Greater Altai is a sort of an open-air museum. In particular, one can distinguish petroglyphic complexes that have been preserved in all neighboring

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countries. Besides, the common roots of many traditions are an important factor that strengthens the cultural unity in the macroregion. Generally, one can distinguish the following directions in the intercultural contacts of the macroregion: (1) research and exploration of the territory; (2) cultural projects (joint exhibitions, artistic plein-airs, etc.); (3) artistic works and their popularization; (4) cultural tourism. Scholarly and creative projects are better integrated into the concept of citizen diplomacy in the Greater Altai macroregion—they stimulate the development of cross-cultural contacts and cultural tourism. However, all projects contribute to stronger international relations and better macroregional security.

4 Discussion 4.1 Cultural Dimension of Citizen Diplomacy One of the major directions of modern international relations is the so-called citizen diplomacy. The term itself was coined only a few decades ago. The concept of citizen diplomacy appeared in the USSR; this term was mainly mentioned in the press after the 1960s. In the scholarly literature, the term appeared in the late 1980s and early 1990s, when inter-ethnic clashes escalated in the USSR and in the post-Soviet states [5]. V. A. Azarov stated, “…citizen diplomacy is based on an initiative from people, focused on providing assistance to official diplomatic services as an element of self- government in civil society. Its goal is to participate peacefully in resolving emerging internal and external problems of their state. Citizen diplomacy manifests in the unofficial contacts of ordinary people or public associations that contribute to improving relations, mutually beneficial cooperation, and a better understanding of the culture, traditions, and peculiarities of life in different countries” [6]. An important component of citizen diplomacy is the cultural aspect. E. A. Shmagin noted, “At all times, the union of diplomacy and culture has served the public policy of Russia, time after time proving its vitality at various stages of the national history. It was the cultural diplomacy with its specific toolkit of forms and methods of influencing public opinion that helped break the ice of unfriendly, sometimes prejudicial treatment towards our country in the Soviet-era and dampened the blow of all sorts of political and ideological negative trends. In the formation of a new Russia, culture once again is called to strengthen the country’s international standing and good name, demonstrate the openness of Russian society, and serve as a testimony to the rebirth of Russia and its development as a free and democratic state” [7]. Despite the differences and subtleties of characterizations, citizen diplomacy has always existed historically—interpersonal relations formed long before the first interstate relations. One of the problems of citizen diplomacy is its unstructured and sporadic nature. Only the accumulation of vast positive examples of international

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engagement can ultimately provide a positive result in official international practice. However, personal engagement is becoming the basis for creating a large and effective international organization (even for solving interregional cultural issues). Such examples include the creation of the International Coordination Council “Our Common Home—Altai” (ICC). It was established in the April of 2003 and brought together state authorities, scholars, public organizations of six Greater Altai regions: Altai Krai, the Altai Republic (Russia), Khovd and Bayan-Ölgii Regions (Mongolia), East-Kazakhstan region (Kazakhstan), and Xinjiang Uyghur Autonomous Region (China). The ICC aims to jointly discuss and find solutions to common regional problems. Its work resulted in the development of stable, mutually beneficial modalities of cooperation in the field of macroregional politics, economy, arts, and humanities have developed. In this study, we will only discuss the activities that have a well-established foundation for cooperation in the field of culture. For example, one of the most significant international projects in the Greater Altai—the extension of the Russian UNESCO nomination Golden Mountains of Altai through the inclusion of specially protected natural territories of the Bayan-Ölgii Region of Western Mongolia (Altai Bogd National Park), the Kanas National Park in China and Katon-Karagay National Park in East Kazakhstan Region [8]. As a result, a protected territory was created around the sacred mountainous area of Tavan-Bogdo-Ula, where the borders of the four states converge. Moreover, the Golden Ring of Altai cross-boundary route was developed with the support of ICC and scholars from the four countries [9]. We believe that the advanced routes should be laid in specially protected natural territories of Russia, Kazakhstan, China, and Mongolia (where possible). Here, in addition to natural wonders, one can see the outstanding examples of cultural heritage from the Stone Age. As a rule, protected natural reserves employ trained research workers who can lead high-quality excursion tours. Including the Greater Altai reserves into the UNESCO World Heritage List would contribute to their popularity and the competitiveness of a broadcast of information about this territory, and its unique natural and cultural possessions. This would increase the status and competitiveness of the Golden Ring of Altai in the world tourism market. Further, it becomes possible to raise the question of developing a thematic route through the art galleries and museums of the Greater Altai. We can expect that there will be a significant number of tourists interested in acquaintance with the cultural heritage of the macroregion. Another most promising route on the subject may be a route to places where petroglyphs and cultural monuments are concentrated in four countries. This project has already been repeatedly justified at ICC meetings from different sides, and several successful tourist expeditions have already been carried out with its support.

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4.2 Heritage of History and Culture and Modern Art Institutions of the Greater Altai The most important feature of the Greater Altai heritage is petroglyphs (cave art). Today, the UNESCO World Heritage List in Mongolia includes rock paintings complexes in Tsagaan Salaa and Baga-Oygur, located in the Bayan-Ölgii Region of Western Mongolia. Khovd Region of Mongolia also has unique examples of rock art—rock art in the Khoit Tsenkher Cave. These are surprisingly realistic images of animals, made with mineral ink and created, according to some archaeologists, in the Early Neolithic period. There are also many petroglyphs of global significance in the Russian part of the Greater Altai: Karakolskaya carvings (Ongudaysky District), Bertekskaya carvings (Ukok Plateau), and Kalbak-Tash carvings (Chuya river valley). The territory of the Xinjiang Uyghur Autonomous Region of China also contains many monuments of ancient art. For example, a fairly famous image of chariots in the vicinity of the city of Altay [10], two locations (Duoteguo) and (Yanerguo) in the Hàndégˇatè village (Handegatecun), and one location (Shilite) in the Fuyun County. There are several ochre petroglyphs in East Kazakhstan Region—Akbaur cave, Ush-Ayir mountain, Boritastagan cliff. One could say that the entire territory of the Greater Altai is a single petroglyphic complex, united in terms of stylistic features [11]. In addition to open-air museums, there are many institutions dedicated to collecting, studying, and showcasing historical, cultural, and artistic objects on the Greater Altai territory. The Khovd Museum has a collection of archeological artifacts that include bronze, ceramic, and jade bowls; jugs and vases; tools; weapons; and carved statuettes. Museum presents a collection of traditional ethnic costumes and yurts (including interior decorations) of each nationality in Khovd. The museum also houses Buddhist relics, silver jewelry, works of art, and products of local artisans. The Bayan-Ölgii Regional Museum has a rich collection of household items, costumes of Kazakh and Uriankhai that inhabit the region. Unfortunately, there are no collections of fine art and galleries in Mongolia Regions. The artistic life of Mongolia is concentrated in Ulaanbaatar but traveling exhibitions of Mongolian artists are somewhat regularly held in the summers. The Xinjiang Uyghur Autonomous Region of China has two museums of interest. The Museum of the Xinjiang Uyghur Autonomous Region presents exhibitions dedicated to the customs of national minorities, historical monuments discovered during archaeological excavations, and the history of silk with samples from various times. The Turpan Museum contains a collection of items belonging to the Tang dynasty, found in graves in the vicinity of Astana. Besides, there are modern art galleries in Urumqi, displaying works that imitate classical art style and traditional Chinese painting canons. East Kazakhstan Region has several art collections. The most important one is in the Eastern-Kazakhstan Art Museum in Oskemen. The collection contains more than 90 paintings and graphic works transferred from the regional

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heritage museum in 1991. Around 1000 paintings by L. E. Ageikin, an East Kazakhstan artist and a member of the Union of Artists of the USSR, are kept in the museum. The East Kazakhstan Regional Museum of Fine Arts named after the Nevzorov Family in Semey is of particular interest. The collection contains Western European art of the 16–19th centuries, Russian art of the second half of the 19th century, and the Kazakhstan art of the 20th century [12]. In Russia, the most prominent museums are the State Art Museum of Altai Krai (Barnaul) and the A.V. Anokhin National Museum of Altai Republic (Gorno-Altaisk). The first one hosts the impressive collection of paintings by Altai artists and the regional art of the second half of the 19th century. The second one houses the biggest collection of works by G. I. Choros–Gurkin. We can conclude that the existing museum collections and petroglyphic complexes in the Greater Altai can become a reference point in developing routes for cultural tourism.

4.3 Cultural Tourism and Joint Art Projects The dynamics of cultural interaction on the Greater Altai territory can be illustrated on the example of Russia-Mongolia scientific and creative cooperation. One of the most important scientific projects is the project Russian-Mongolian Cultural Interaction in the Altai Cross-border Region: Parallelism of Philosophical Ideas and Art Forms (2011–2013). It was implemented by the Institute for Complex Research of the Greater Altai of the I. I. Polzunov Altai State Technical University, the State Art Museum of Altai Krai, and Mongolia scholars. The project was supported by the Russian Humanitarian Science Foundation and the Ministry of Education, Culture, and Science of Mongolia. The results of the project are the following: . Identification of some common basic cultural foundations of Mongolian and Russian culture; . Establishment of deep semantic layers of paintings and architecture based on the Mongolian teachings Arga Bilig; . Translation and popularization of scholarly literature, produced by some Mongolian researchers (N. Khavkh, B. Batmunkh, Ch. Darambazar); . Description of the fine art monuments (Datsan in Khovd, Mongolia) . Large-scale studies of the work of modern Mongolian artists. The project Fine Art of Siberia and Mongolia in the 20th–Early 21st Centuries: Cross-Cultural Interaction and the Influence of Artistic Traditions (2016–2018) focused on analyzing contemporary art of the two countries in the cultural, philosophical, and critical aspects. The results of this project were published in the monograph Art of Siberia and Mongolia of the 20th to the Early 21st Centuries: Essays on History and Theory (2018).

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In addition, various conferences and seminars on art topics are regularly held by Altai Krai institutions. For example, in October 2013, the international conference Culture of the Altai Cross-border Region as the Basis for Architectural and Art Education was held at the I. I. Polzunov Altai State Technical University. At the conference, students presented the best scholarly papers on the cultural heritage of the Greater Altai. Moreover, the plans for joint work of the Mongolian National University and I. I. Polzunov Altai State Technical University were adopted. As a result, the two universities started to conduct joint training of architects and designers and lead joint cultural expeditions of students and professors. On October 8–10, 2018, the Russian Center for Science and Culture in Ulaanbaatar hosted the response conference Fine Art, Design and Architecture of Mongolia and Siberia of the 20th– Early 21st Centuries: Main Trends and Cross-cultural Interactions. The main result of scientific cooperation is the establishment of systematic work on the study of artistic heritage and contemporary art of Russia and Mongolia. The participants of conferences proposed to create the Center for Russian-Mongolian Art Studies, which should coordinate scientific events, art exhibitions, joint plein-air, educational projects in the field of art history, fine arts, design, and architecture. Since the 1980s, Altai and Mongolian artists have been regularly organizing joint creative trips. These trips led to the creation of such joint exhibitions as Altai-Baganur-Gobi (1982–1984), Altai—Mountains of Friendship (1986–1988), and Altai. From Russia to Mongolia (1999). We can also note the following exhibitions: . Project of Memorial Signs of Russian-Mongolian Friendship during the Great Patriotic War on the Chuya Highway (May 7, 2013, at the I.I. Polzunov Altai State Technical University); . Expedition diary: Russia-Mongolia (presenting the expedition results of joint expeditions of I.I. Polzunov Altai State Technical University, Biysk Museum of Local Lore, and Mongolian State University of Arts and Culture); . Exhibition of petroglyphic estampages made by employees of the Biysk Museum and I.I. Polzunov Altai State Technical University (October 3, 2018, at the Russian State University for the Humanities, Moscow); . International Russian-Mongolian exhibition of architecture, design, and art Altai. Golden Mountains (September 19, 2019, in Khovd, Mongolia).

5 Conclusion Scientific and creative projects perfectly fit the concept of citizen diplomacy in the Greater Altai microregion. They stimulate the development of cross-cultural contacts and cultural tourism. The process of scientific research determines the culturally and historically important objects. Creative cooperation popularizes these objects in practice, allowing to implement various cultural tourism programs. These processes and factors contribute to strengthening international relations and the provision of macroregional security.

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Acknowledgements The study was funded by RFBR, project number 19-412-220003, project name “Explication of the Potential of Artistic Culture of Altai Krai and Determination of Mechanisms of its Use in Regional and International Tourism Projects.”

References 1. Belokurova SM (2017) Paleochoreographic approach to interpretation of petroglyphic compositions (in case of images with “mushroom-like” hats in Mongolian and Russian Altai). Art Eurasia 2(5):8–13 2. Belokurova SM, Darius EI, Ikkert TV, Mushnikova EA, Tsareva NS, Shishin M, Umirbyek B et al. (2018) Art of Siberia and Mongolia of the 20th to the early 21st centuries: essays about history and theory. AltSTU, Barnaul 3. Shishin MY (2015) New petroglyphs in the Rashaan-Had complex in Mongolia. Art Eurasia 1(1):10–24 4. Umirbyek B (2016) Types of stamps on the territory of Bayan-Olgii Region of Mongolia. Art Eurasia 2(3):28–44 5. Tatoli TV, Karpunov VN (2019) On the relation of concepts “public diplomacy”, “social diplomacy”, “citizen diplomacy”. Econ Law Print Bull KSEU: Krasnodar: Kuban Soc Econ Univ 4(84):146–150 6. Azarov VA (2018) “Citizen Diplomacy” as an instrument for creating a positive image of Russia in the world. Retrieved from https://ruskline.ru/analitika/2018/10/2018-10-02/narodnaya_dip lomatiya_kak_instrument_formirovaniya_polozhitelnogo_imidzha_rossii_v_mire 7. Shmagin EA (2002) Culture and diplomacy. Int Life 3:61–73 8. Natural Heritage Protection Fund. (n.d.) Resolution of workshop “Golden Mountains of Altai, UNESCO World Heritage site: Results of the work and future prospects”. Retrieved from http:// www.nhpfund.org/seminars/2008-10-20-2.html 9. Shishin MY, Pomorov SB, Belokurova SM, Nurlanbek M, Adai K (2011) “Golden ring of Altai”-international tourist rout in cross-border area. Altai Printing House, Barnaul 10. Khudyakov YS (1995) Depictions of warriors in Xinjiang petroglyphs. Retrieved from http:// e-lib.gasu.ru/da/archive/1995/01/st11.pdf 11. Petenyova GG (2015) Rock paintings depicted by ocher in East Kazakhstan. Retrieved from http://www.vkoem.kz/index.php/kompleks-qak-bauyrq/1418-naskalnye-risunki-vostoc hnogo-kazaxtana-vypolnennye-oxroj 12. ART-Center of East Kazakhstan Region. Retrieved from http://artalem.kz/ru/Museum/Collec tions/303

Exploring Ways to Promote the Russian Language: Focus on Western Mongolia Ivan A. Koltsov , Yelena A. Kirichenko , and Maidarjav Altansuvd

Abstract In the paper, we analyze the state policy of Russia and the practical implementation of projects aimed to support and promote the Russian language abroad. Within the study, we use research methods, such as observations, interviews, and experimental testing, to improve the effectiveness of promoting the Russian language outside Russia. Moreover, we analyze Russian and foreign forms of promoting the language abroad. Additionally, we provide a detailed description of the advantages and disadvantages of the most appropriate forms to support and promote the language abroad and the forms tested in foreign schools. The paper presents the forms divided into those conducted abroad with the assistance of Russian native speakers and those conducted in Russia for foreigners. Furthermore, we describe the forms proposed and based on our experience of working with native speakers and organizing activities to support foreign languages in the Altai Republic, Russia, and Western Mongolia. These forms are relevant for supporting Russian as a foreign language in Western Mongolia. Keywords Support and promotion of the language abroad · Russian as a foreign language · Russian-Mongolian cooperation · Methods of foreign language teaching

I. A. Koltsov (B) · Y. A. Kirichenko Gorno-Altaisk State University, Gorno-Altaisk, Russia e-mail: [email protected] M. Altansuvd Khovd University, Khovd, Mongolia © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 S. G. Maximova et al. (eds.), Advances in Natural, Human-Made, and Coupled Human-Natural Systems Research, Lecture Notes in Networks and Systems 252, https://doi.org/10.1007/978-3-030-78105-7_43

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1 Introduction The Altai Republic is a cross-border region and a convenient platform for advancing the Russian language in Central and Eastern Asia, particularly in Mongolia. In 2018– 2019, with the support of the Russkiy Mir Foundation, Gorno-Altaisk State University was working on the projects that involved Russian-speaking volunteers teaching Russian in educational institutions of the Bayan-Ölgii and Khovd aimags in Western Mongolia. We present the methods and results of implementing the project in our other paper [1]. This paper focuses on the ways to advance the Russian language, which we have derived from analyzing the programs and projects on Russian and foreign language teaching (FLT). Currently, there are many programs of public and private foundations for promoting languages abroad. In particular, there are the ones that send native speakers abroad (e.g., US Government Peace Corps Program, State Program of Lecturers of the German Academic Exchange Service, Program of Lecturers of the Private Robert Bosh Foundation, Ambassadors of the Russian Language by Pushkin State Russian Language Institute, and many others). Within the Federal project Export of Education as part of the National project Education, it is planned to double the number of international students in Russian universities by 2025 compared to their number in 2016. In addition, studying the basic subjects (mathematics, biology, chemistry, physics, astronomy, etc.) at the advanced level (using the Russian language) in partner countries is called to be the development of new cooperative forms of promoting the Russian language [2]. The fulfillment of the Federal project, the establishment of resource centers of Russian education in a number of countries (such as Bulgaria, Kyrgyzstan, Mongolia, Tajikistan, and Turkey), the vast potential for promoting the Russian language through the Russkiy Mir Foundation, and other government programs make it relevant to conduct a comprehensive analysis of the Russian and foreign experience in advancing languages abroad. Therefore, it is necessary to generalize and justify the most effective FLT methods. Today, about 385 courses are taught in English in Mongolian public and private universities. Since its foundation in 2002, the International University of Mongolia provides bachelor programs entirely taught in English. The Royal International University works since 2010 and provides business training programs in English [3]. There are some courses in Russian, which are taught in three branches of Russian universities. We identify four main reasons to introduce teaching in English into higher education institutions of Mongolia. These are the following reasons: . Increase in employment opportunities for Mongolian graduates; . Development of international cooperation; . Expanding activities at the national and international levels [3].

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These tasks are also met when the local students learn the Russian language on a more advanced level. Thus, promoting the Russian language in Mongolia will serve to create a competitive educational environment and expand the educational, scientific, and professional opportunities for Mongolian students.

2 Materials and Methods We base our research on analyzing language programs and projects elaborated in the USA, China, Germany, Switzerland, Austria, Turkey, South Korea, and Kazakhstan and oriented to their implementation in Russia and Mongolia. Among them, there are the following programs: . American Fulbright and Peace Corps; . Chinese Confucius Institutes; . German Lectureship Program in Eastern Europe and Asia of the Robert Bosch Foundation, German Academic Exchange Service (DAAD) in Russia, Goethe Institute (e.g., German language as the First and Second Foreign Language designed for Russia), International Union of German Culture (IVDK); . Volunteer programs in Turkey, Germany, Austria, and Switzerland (e.g., nonprofit VIA e.V. organization of Germany in Russia); . Language centers in Russia and Mongolia supported by third countries. At the first stage, we use observations and interviews to develop and fulfill pilot projects that would attract native-speaking volunteers to teach Russian in Western Mongolia. Mongolia has an advantageous geographical position. It occupies an important geopolitical location in Central Asia. Therefore, it is interesting and important not only for China and Russia but also for the so-called third neighbor claimed by the United States, Japan, Republic of Korea, and Europe [4]. That is why when implementing our projects to promote the Russian language in Western Mongolia, we could observe the political and methodological components in the advancement of a foreign language of many other countries. Our research team also has experience of working at the German Cultural Center in Gorno-Altaisk State University and has been a participant, an organizer, and a coordinator for many German programs and projects. We have analyzed the information about the language programs and projects, monitored their implementation in Russia and Mongolia, and studied our experience of participating in them. This has helped us to formulate a list of activities, which, taken together, can create competitive advantages for promoting the Russian language outside our country.

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3 Results Many federal documents regulate the issues of promoting the Russian language abroad (e. g., Russian Language Federal Targeted Program [5], Concept for State Support and Promotion of the Russian Language Abroad [6], and others). The wordings used in these documents are sometimes vague. There are objectives and tasks formulated, but there are no specific and sufficient global methods and forms to achieve them and comply with the scale of spreading Russian and interest in Russian. Yu. Arskaya has noted that until 2016, the state policy of supporting the Russian language focused on the Russian-speaking population of foreign countries, and only in recent years, the position has changed to broader use of Russian in the world with more universities involved in its popularization. Our analysis of annual reports of the Russkiy Mir Foundation and information published on their official website shows that the Foundation primarily direct its activities to large-scale short-term projects (assemblies, forums, conferences, and festivals [7]). The lack of comprehensive longterm programs and projects negatively affects promoting Russian abroad among nonnative speakers. Russian language teachers in Mongolia note the nearly complete lack of methodological support, which, in contrast to the numerous supporting programs of teaching other foreign languages, does not make learning Russian favorable. We can see the situation in teaching Russian to international students as somewhat paradoxical. Although in federal documents, one writes about promoting the Russian language, which is significantly financed, but the number of Russian language learners outside Russia decreased from 51.2 to 38.2 million people in 2004–2018 and tended to grow even smaller [8]. The lack of long-term programs for real work of Russian native speakers in foreign schools or work that would improve the methods for teaching Russian as a language of live communication is the main problem we face when working on projects to attract volunteers for work abroad. Finally, we notice that Western Mongolia regions (Bayan–Ölgii and Khovd aimags), whose location is next to the Russian border, have no native Russian-speaking teachers from Russia. However, the Russian language as a second foreign language is a mandatory subject in the curriculum of 7–9 grades [9]. Nevertheless, there are native English speakers who work in most schools permanently and even teachers from Germany, Turkey, and China in a few places. Simultaneously, non-native speakers conduct the teaching in the Russian language Centers in Ölgii and Khovd established with the support of the Russian Center of Science and Culture at the Russian Embassy in Ulaanbaatar. Table 1 shows common, practical, and proven forms of support and promotion of language teaching abroad and their advantages and disadvantages. An adequate content of language training, including up-to-date information about scientific, economic, and industrial achievements in Russia, is essential in achieving success in using these forms of FLT support and promotion. Russian is the second most common language on the Internet, with a continually increasing content share, growing from 4.1% in 2011 to 8.6% as of September 5, 2020 [10]. Promoting the Russian language abroad should be interconnected using

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Table 1 Advantages and disadvantages of forms for language promotion abroad Forms of language promotion

Advantages of the form

Disadvantages of the form

Implemented outside of Russia 1. Holding forums, congresses, Consolidation of the expert exhibitions, and seminars community and its involvement in language promotion abroad; Concentrated collection of information about the needs and opportunities for language promoting in communities represented by participants

Short-term; High costs associated with travel and accommodation of participants; Poor coverage of participants; Effective only as introductory or generalizing activities within the implementation of other forms of language promotion

2. Organizing festivals

When properly organized: Involves the majority of the population; Gets enough media coverage

Short-term; Preferable only within the use of other forms of language promotion (as a final event)

3. Attracting native speakers to Increases the motivation to teach at schools/establish learn the language as a live language centers means of communication; Effective in groups of 3–4 people when the maximum of schools and groups of students are involved in the region; Effective when there are advanced courses for the most successful students

Inefficient when the foreign native speaker is the only working person in one educational institution (low coverage, replacement of a professional foreign language teacher); Requires a long-term federal program to shortlist, train, and distribute volunteers

4. International language camps

Lacks professional teachers; Needs careful shortlisting from participants according to specific criteria

Immerses into the language atmosphere; Requires planning the entire schedule of training and education for the event period; High intensity of training and personal development

5. Creating a Russia-oriented Provides a long-term language material environment (special and cultural environment for design of corridors, offices, many users streets, parks, and other places)

Requires much time for its arrangement; Needs more finances

6. Material and methodological Improves the quality of equipment of Russian language Russian language teaching classrooms based on new learning tools and long-term motivation of educational institutions to language promotion

Needs high-quality textual and methodological content of provided materials correspondent with the training program in the country (e.g., projectors or laptops ineffectively used without necessary teaching aids) (continued)

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Table 1 (continued) Forms of language promotion

Advantages of the form

Disadvantages of the form

7. Organizing contests and competitions

Effective as a way to shortlist the most talented representatives from the target group; Winners become participants in one of the above forms

Needs the broadest possible coverage of participants for adequate shortlisting of winners; Difficult to conduct within face-to-face and distance study abroad

8. Grants for getting an education at a university

Raising friendly specialists among foreigners

High cost to support a singular participant; Dropout of participants; Lack of communication with local universities

9. Annual and semester scholarships for higher education

Shortlisting the most successful students; Communication with local universities; Interest from local universities to improve the FLT quality for students to receive scholarships; Many times greater coverage of the target audience (compared to full studying) (compared to full studying)

No diploma or degree certificate received at the end of the term of getting scholarship

10. Two-four-week language or advanced training courses in Russia for students, Russian language teachers, and employees of target areas

Motivates the most successful High expenses for representatives of the target transportation and living audience to collaborate with Russia; Sufficiently comprehensive audience coverage; Shortlisting the most optimal time for organizing courses

Implemented in Russia

Source Compiled by the authors

and promoting successful Russian Internet resources, such as VK social network and Yandex services.

4 Discussion In the scientific sources and our research at the present stage of implementation, there is no quantitative and qualitative assessment of the effectiveness of using a particular form of language promotion abroad. At the same time, they are part of the state policy in many countries and the way of work for numerous academic and non-academic organizations. The effectiveness of all forms of the promotion listed

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in our paper is postulated as a matter of course. In our paper, we have attempted to qualitatively compare these forms of language promotion by highlighting their advantages and disadvantages. Within the project supported by the Russkiy Mir Foundation in 2020, our research team has planned to expand the experimental use of methods for Russian language promotion in Western Mongolia, conduct a survey in order to identify apparent differences in approaches and perceptions of different countries and languages and quantify the effectiveness of different forms of language promotion. Unfortunately, cross-border restrictions imposed due to the spread of COVID-19 have suspended the implementation of the project.

5 Conclusion For effective promotion of the Russian language globally, we should select volunteers among Russian native speakers, train them, and send them to a particular region to work at school. They would coordinate or participate in teaching language courses of different levels, organizing language camps, contests, and forums, creating a language material environment, and improving educational equipment of classrooms used for teaching Russian. The second direction to advance Russian abroad is to attract the target audience for educational activities in Russia, such as full-time training, short-term courses, and semester and annual scholarships. Constant work of Russian native speakers with the population of other countries is the very point that motivates foreigners to acquire language skills through live communication. This basic approach is used for promoting English, German, and Turkish, but it is absent in the documents of the Russian state policy conducting the promotion of the Russian language. Acknowledgements We thank the Russkiy Mir Foundation for the grant support of the projects on promoting the Russian language in Western Mongolia (No. 194Gr/I-190-19 and 1819Gr/I-24918). We also thank the student volunteers, who took an active part in working on the projects, and educational institutions in Khovd and Bayan-Ölgii for their support and cooperation in the implementation of the projects, notably the University of Khovd, the Russian Language Center Mir Druzey in Bayan-Ölgii, School No. 1 of Bayan-Ölgii, and the administration of the Khovd and Bayan-Ölgii aimags.

References 1. Koltsov I, Kirichenko Y (2019) Teaching culture-oriented linguistics by native Russian speakers in Western Mongolia as a factor in sustainable Russian-Mongolian cross-border development. In: Bogoviz AV, Lobova SV (ed) International conference on sustainable development of cross-border regions: economic, social and security challenges (ICSDCBR 2019), pp 814–818. https://doi.org/10.2991/icsdcbr-19.2019.167

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2. The Presidium of the Presidential Council for Strategic Development and National Projects (2018) Passport of the national project “Education”. Moscow, 24 Dec 2018, No 16 3. Gundsambuu S (2019) Internationalization of higher education and teaching in English in Mongolia: initiatives and trends. Educ Issues Educ Stud Moscow 1:215–243 4. Kuzmin YV (2018) Geopolitical and economic interests of Russia in Mongolia. In: Meteleva YR (ed) Materials of the international Baikal forum Eurasian integration project: civilizational identity and global positioning. Baikal State University, Irkutsk, pp 367–373 5. Russian Federation (2015) Resolution of the Government of the Russian Federation “On the Russian language federal targeted program for 2016–2020. Moscow, 20 May 2015, No. 481 6. Presidential Executive Office (2015) Concept for state support and promotion of the Russian language abroad. Moscow, 3 Nov 2015, No. Pr-2283 7. Arskaya YA (2017) Promotion of the Russian language abroad as an instrument of “soft power”: the role of universities in the implementation of the concept of state support and promotion of the Russian language abroad (on the example of Irkutsk State University). Newsl Irkutsk State Univ Ser: Poliy Sci Religious Stud 22:141–148 8. Gubernatorov E (2019) The number of people studying the Russian language in the world has fallen by two times since the collapse of the USSR. Retrieved from https://www.rbc.ru/society/ 28/11/2019/5ddd18099a79473d0d9b0ab1 9. Sverdlova NA, Undarmaa E (2015) Russian language: history and prospects of studying in Mongolia. Magister Dixit 2(18):34–40 10. W3Techs-World Wide Web Technology Surveys (2020) Historical yearly trends in the usage statistics of content languages for websites. Retrieved from https://w3techs.com/technologies/ history_overview/content_language/ms/y

Security Architecture in the Southeast Asian Strategic Region Vladimir N. Lukin , Tamara V. Musienko , and Alexandr V. Matveev

Abstract The paper focuses on historical experience in creating security architecture in Southeast Asia and its current status. Express analysis of the Association of Southeast Asian Nations (ASEAN) fundamental decisions on security issues and their effectiveness in regional political practices was carried out. We reveal the main problems in the regional security system formation and its exposure to global instability and conflicting bilateral relations among states of the region. There is a presentation of eclecticism reasons characterizing the ASEAN current state, as well as the analysis of different approaches to estimating the results of its activities over the entire period of the Association existence. It is substantiated that the main problems are caused by retardation in adopting operation decisions in the security area under real modern socio-political and economic processes. Moreover, we outline the main mechanisms and tools of the Southeast Asia regional security architecture. Analysis of the main content of ASEAN Regional Forum, East Asia Summit, Russia-ASEAN dialogue program, and the research models prepared by Russian and foreign scientists and experts using comparative, structural-functional, and historical methods made it possible to carry out this study and to obtain concrete results. Keywords Security · Strategic region · Conflict · ASEAN · Declaration · Charter · Disagreement · Program

V. N. Lukin · A. V. Matveev (B) St. Petersburg University of the State Fire Service of EMERCOM of Russia, St. Petersburg, Russia e-mail: [email protected] T. V. Musienko Saint Petersburg State University of Aerospace Instrumentation, St. Petersburg, Russia © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 S. G. Maximova et al. (eds.), Advances in Natural, Human-Made, and Coupled Human-Natural Systems Research, Lecture Notes in Networks and Systems 252, https://doi.org/10.1007/978-3-030-78105-7_44

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1 Introduction It is evident that nowadays, ensuring national security by the forces and capabilities of a single state is practically impossible. This is under ineffective actions of global actors, challenges, threats, and risks to global and national security are only multiplying. Afghanistan, Yugoslavia, Iraq, Libya, and Syria are examples that prove this statement. As a result, the general aspiration to create a coalition of states to counter national and regional security risks jointly is growing [1]. The certain historical experience was already accumulated in creating regional security architectures in the form of the North Atlantic Treaty Organization (NATO) or Warsaw Pact Organization (WPO), designed to ensure the security of countries in the strategic macro-regions. WPO failed to cope with the Eurasian task (without Western Europe) strategy space and ceased to exist. NATO continues to expand due to the East European countries creating new risks in Eurasia, facing opposition from Asian countries such as Iran, which declared NATO a terrorist organization. The process of creating a security architecture within the Association of Southeast Asian Nations (ASEAN, Association) in the complicated strategic region is having more than half a century of history [2]. This causes natural scientific interest and attempts to study the phenomenon. Half-century history of minimizing the risks of full-scale internecine wars in the region and the scale of the terrorist threat are also actualizing the problem [3, 4]. The Philippines and the Union of Myanmar, in the 2002–2017 period, registered the largest number of victims of terrorist attacks in the region. In terms of terrorist threat level, the Philippines is ranked the 10th country worldwide with a high terrorism impact [5]. The terrorist groups fighting in the Philippines are the following: . Islamic State; . New People’s Army, which in 2017 was responsible for 235 attacks in 204 cities across the country; . Communist Terrorist Group; . Abu Sayyaf Group (ASG); . Bangsamoro Islamic Freedom Fighters (BIFF); . Dawlah Islamiyah (DI) [6].

2 Materials and Methods A group of scientists headed by V. S. Artamonov studies of theoretical and methodological aspects of geopolitics security, including strategic challenges and regional security solutions. The hypotheses are substantiated that any regionalist tradition in security interpretation contains its basic assertion that regional security dynamics as a component of global security is of substantial importance [7]. V. V. Grigoryeva, I. G. Matievich, and S. Yu. Gudushkina pay attention to methodological features to ensure regional security [8].

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The researchers study West Asia characteristic features, considering the accumulated international experience, and register proposals for creating a regional security system in another Asian strategic region [9]. Moreover, there is a study of ASEAN experience and its role in establishing regional security architecture in the Asia-Pacific strategic macro-region in the research [10, 11]. P. Dibb analyses the ASEAN strategic importance and focuses on criticizing political practices in building a regional security system in Southeast Asia [12]. Tan [13] and Parameswaran [14] studies are also devoted to analyzing the internal regional problems, achievements, and defects in the process of creating the security architecture. S. V. Mikhnevich reveals the security architecture evolution in the Asia-Pacific strategic region based on comparative approach analysis of the United States and China to this problem and their reciprocal fight for influence in the ASEAN countries. The researcher identifies six groups and two types of regional security problems and reveals the essence of five security cooperation models in the region [15]. Interstate disagreements negatively influencing the creation of the regional East Asian security architecture remain the subject of close attention [16–19]. Russian scientists study motives for participation in such coalitions using the example of NATO [20]. The authors analyze strategies and practices ensuring security in Eurasia [21, 22]. ASEAN documents are useful to study the process of creating a security architecture and its current problems, for example: . Materials of East Asian summits, . ASEAN Regional Forum, . Bilateral relations in the Dialogue format, such as the Russia-ASEAN Programs, including the Regional Security Architecture Program, and Plans [23]. Materials of the annual since 2000 ASEAN Regional Forum security review one can find in the same series. Thus, the 2019 yearbook contains information on the activities of the 22 participants on the East Asian Summit in strengthening the regional security architecture [6]. Using comparative, structural, functional, and historical methods contributed to this study and obtaining concrete results.

3 Results It was disclosed that contemporary global uncertainty and instability contribute to the generation of trend towards creating regional coalitions and strengthening regional security architectures. ASEAN existence for the sixth decade confirms this conclusion.

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Association development, to a certain extent, was facilitated by the decision on the possibility of the non-regional state participation in its work since 1987. This influences the ASEAN status and ensures more responsible attitude of participating states to their membership. Association’s current activities are sometimes evaluated from the opposing positions. Negative estimates are caused by slowness in making operational decisions. At the same time, in some cases, this helps to reduce tension in regularly arising conflict situations. However, if events begin to develop faster than the pace of ASEAN processes regulation, serious consequences could appear associated with the emerging regional security risks. Attention is often deliberately focused far from the acute controversial issues to minimize regional conflict situations. Soon, acceleration of the regional security architecture strengthening process should not be expected because of the divergence in positions of the Association members on national and regional security issues. Thus, the Lao People’s Democratic Republic does not allow participation in military blocs and foreign military bases in its territory. However, Singapore and Thailand stages contingents of the US military, and in the Philippines, the US military base is located. In accordance with the ASEAN Political Security Plan until 2025, Indonesia considers Southeast Asia as a zone free of nuclear weapons and as a region free of all other weapons of mass destruction. At the same time, Indonesia believes that non-proliferation policy should not undermine the inalienable rights of states to acquire weapons of mass destruction [6]. ASEAN orientation toward the Asia-Pacific strategic macro-region and even towards the Indo-Pacific (according to Australia) is more evident than toward Western and Central Asia. This confirms the high degree of influence and dependence upon the United States and its allies. ASEAN’s insufficient attention to developing relations with such Eurasian regional structures as Shanghai Cooperation Organization, Eurasian Economic Union, and Collective Security Treaty Organization is also quite obvious. ASEAN uses the experience of other regional coalitions in shaping its security architecture [24]. Thus, following the NATO example in October 2019 and based on direct communication system between the Southeast Asia defense ministers existing on the Brunei initiative since 2017, a process was launched in the ASEAN countries to establish a “regional security hotline” with the inclusion of partner countries and primarily of China, Japan, and South Korea. The purpose of this “line” is organizing operation, information, and confidence-building. Confrontation in the pursuit of hegemony and influence sphere in the region leads particularly to a situation threatening regional peace and security, a prerequisite for further development [6].

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4 Discussion Association of Southeast Asian Nations was created on August 8, 1967. Promoting the consolidation of peace and stability in this strategic region was determined among the statutory goals. Relationships within the Association are legally based on the ASEAN Declaration of Consent adopted in 1976. Since 1999, ten countries are participating in ASEAN, but under the Second ASEAN Declaration of Consent of 2003 and the Treaty of Amity and Cooperation in Southeast Asia (Bali Agreement) of 1976, joining the Association is provided extra-regional states. Twenty–seven members joined the ASEAN community, in addition to ten members of the Association (ASEAN Regional Forum or ARF). These are ten dialogue partners, including the United States, India, China and Russia, European Union [25] being a collective member and seven partner countries. Together, they constitute one of the most important ASEAN tools in building the security architecture-the East Asia Summit. Russian Federation firstly participated in the work of ASEAN and in 1991, in 2004 the country joined the Treaty of Amity and Cooperation in Southeast Asia. In 2010 after ratifying the Third Protocol to this Treaty, Russian Federation became a plenipotentiary partner of the Association. Russia always had long-term political, economic, and civilizational interests in the Southeast Asian strategic region. As was announced by Russia at the constituent summit of the East Asian Community in 2005, involvement in this regional integration processes “contributes to the creation of favorable external conditions for socio-economic development of the country in general, and especially in Siberia and the Far East” [26]. Since 2005, the Russian Federation and the Association’s cooperation was developing following the Comprehensive Program of Action, implemented in 2015, and the Comprehensive Plan of Action to be completed in 2020. Russia firmly maintains in ASEAN its position that international security is indivisible and comprehensive. The security of some states could not be ensured at the expense of the security of the others. ASEAN Vision 2020: Partnership in Dynamic Development regional program adopted at the Fifth ASEAN Summit in 1997 is nowadays nearing completion. And elaboration of the draft ASEAN-2025: Forging Ahead Together Declaration is also near completion, and its main objective remains to ensure safe development of the region, while maintaining the central role of ASEAN in the established security mechanisms. 2007 ASEAN Charter is a fundamental document establishing legal status and institutional framework. Under the ASEAN Charter, cooperation is carried out based on “preventive diplomacy” in three main areas: economy, socio-cultural relations, and ensuring political security. Regional security problems are more acute and voluminous in Southeast Asia than in the European part of Eurasia and include interstate disagreements among the ASEAN members regarding China growing positions and regional influence, mutual

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territorial claims on maritime territories (for example, Brunei, Indonesia, Malaysia, Philippines and Vietnam v. China), internal political instability. As a result, coups, rebellion attempts, terrorism, piracy, illegal migration, human trafficking, illegal drug trafficking, natural disasters, and low food security levels in some countries are encountered [27, 28]. In 2014–2017 alone, 55 earthquakes, 217 storms and cyclones, and 236 events of severe floods occurred in the region, 650 million people were affected, almost 33,000 people died [6]. These risks are destabilizing the situation and adversely affect the process of strengthening the regional security architecture. In contrast to the prevailing security architecture of the European part of Eurasia (Russia excluded), ASEAN includes political systems with significantly wider differences in the levels of political and socio-economic development, substantial demographic, religious, and geographical differences. Brunei and Singapore in 2019 were among the top 10 world leaders in per capita income, while the Union of Myanmar was among the outsiders of this list. Construction of the security system is underway since 2002 by the Multilateralism and Regionalism program. Currently, it is the Regional Security Architecture Program. The Program includes research and practical work on ensuring security in the Asia-Pacific region, which was started in 2002 by the Development of Approaches to Security in the Asia-Pacific Region project and still goes on today. This work is focused on strengthening regional and interregional cooperation, “preventive” and “defense” diplomacy, for example, The Future of the ADMM/ADMM-Plus and Defense Diplomacy in the Asia Pacific of 2015. The program is financed by the Ministry of Defense of Singapore, and American, international, Japanese, South Korean, and German funds. Various structures from Australia, Great Britain, and China are involved in cooperation. Russia is missing from the lists. Analysis of the Association’s efforts to ensure regional security demonstrates that the main azimuth of movement is directed to the northeast in the Pacific direction and towards partnership with the United States and its allies, including Japan, Republic of Korea, and Australia [29]. Relations with India are difficult to develop in the western and north-western Eurasian directions. Paul Dibb notes that ASEAN countries possess enormous strategic advantage occupying a crucial geopolitical position on the vital sea routes between the Persian Gulf and the Indian Ocean in the west and between the South and East China Seas in the east. More than a third of world maritime trade passes through the waters of South-East Asia, including about 80% of oil imports by China and Japan. Among serious disadvantages, the researcher identifies the following: . Lack of progress in preventive diplomacy; . Insignificant progress in implementing concrete measures to strengthen military confidence, especially in the prevention of maritime incidents at sea; . Deepening disagreements and growing territorial claims, and delimitation of interstate borders;

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. Lack of proper arms and disarmament control facing the growing military capabilities; rising nationalism; . Missing rules for calculating strategic nuclear warheads or negotiations to reduce stockpiles of nuclear weapons; . Lack of agreements on the deployment of increasingly deadly modern conventional weapon systems. Paul Dibb even expressed concern that the East Asian Summit would centralize regional security by pushing aside the ASEAN Regional Forum [12]. See Seng Tan stands in solidarity with Paul Dibb and notes that ambiguous results of ASEAN peacebuilding efforts are making it difficult to evaluate the Association’s contribution to ensuring regional security and to generate its inconsistency. On the one hand, there are no large-scale wars, which is significant in the internal regional context. On the other hand, political practice abounds with countless examples of the Association inability and unwillingness to act, when regional situations require coordinated action. The expert sharply criticizes the incessant “discrepancy between what its declarations, treaties, and action plans are promising, and what the Association has actually fulfilled.” He even suggested that the reason could lie in the principle of consensus in decision-making. This is especially true for security [13, 30]. Based on the real positive results at the latest 26th ASEAN Regional Forum organized in August 2019, we noticed the following events: . Increase in the number of ARF preventive diplomacy events; . Meeting of two Korean leaders on the denuclearization problem; . Progress in the negotiations, which are taking place for 18 years already, i.e. completion of the first reading of the draft on concluding the Code of Conduct in the South China Sea; . Adoption of the ARF Work Plan for Counter-Terrorism and Transnational Crime 2019–2021; . Relevant ARF activities in this area [6]. Since its signing by the ASEAN member countries and China in 2002, the Declaration of Conduct (DoC) of Parties in the South China Sea till nowadays is not legally binding due to different positions of the signatory parties either accepting positions of China or calling the US for participation in resolving the problems. The latter readily increased its military presence and intensified military cooperation with several countries, including socialist Vietnam. Adopting the ASEAN Declaration to Prevent and Combat Cybercrime in 2017 and willingness to interact, as confirmed in the ASEAN Statement on Cybersecurity Cooperation of 2018, should also be mentioned. Mechanism of the ARF InterSessional Meeting on Security and in the Use of Information and Communication Technologies (ICTs) is being created. Activities of the Expert Working Group on Cybersecurity established in 2016 are becoming more active [31]. In the diplomacy area, the ongoing ASEAN-Russia Dialogue could be considered as a positive process. Dialogue cooperation over 24 years contributes to strengthening “comprehensive, open, equal, and inclusive security architecture” in Southeast Asia

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and, in general, in the Asia-Pacific strategic region. Russia supports maintaining the central role of ASEAN in the regional security architecture, which should be based on ASEAN-centric mechanisms. Since 2010, Russia participants in the ASEAN Defense Ministers Meeting together with the Dialogue and the Asia-Europe Forum partners. Since 2017, the Permanent Mission of the Russian Federation headed by the Permanent Representative of the Russian Federation to ASEAN is operating at the ASEAN Headquarters in Jakarta. In 2018, a network of the Russian Federation—ASEAN research centers and the ASEAN Center at the MGIMO University was created. At the third RussiaASEAN summit, the parties agreed to raise the level of dialogue relations between the Russian Federation and ASEAN up to the strategic partnership. The 2018 Sochi Declaration confirmed ASEAN position to consider the Russian Federation initiative to establish the Russia-ASEAN Dialogue on issues related to ICT security, as well as the proposal forwarded by Russia to perform joint research on the prospects of creating a comprehensive free trade zone between Eurasian Economic Union and ASEAN.

5 Conclusion In contrast to the created Euro-Atlantic security architecture, which excludes a significant part of Europe, that is, the European part of the Russian Federation, the process of forming a security system is currently taking place in the Eurasian strategic space, which includes only certain groups of states. Studies are mainly aimed at analyzing approaches to the content and forms of these countries’ cooperation in security matters. The current global processes are adversely affecting all levels of security and actualize the problem of strengthening security at the regional level. Even in the difficult conditions of Southeast Asia, ASEAN manages to partially minimize the consequences of challenges, threats, and security risks. In the southeastern strategic region, with problems of protracted conflicts, significant differences in the economic and political development of the Association member states are remaining unresolved, and this negatively affects reaching and developing cooperation relations between countries of the region, as well as stabilizing the regional situation. Both negative and positive consequences characterize existing problems in the efficiency of decision-making at the regional level. They are currently balanced. Participation in the work of various international institutions is of great political importance and affects the status of subjects engaged in global or regional political processes. Participation in the ASEAN-Russia Dialogue programs is justified and contributes to the continuation of contacts with Southeast Asia countries. Experience of the regional coalition’s long-term existence could be used in other regions of Eurasia.

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Ensuring Environmental Safety in the Eurasian Countries: On the Way to Greater Integration Elena N. Abanina , Dmitriy A. Agapov , and Yulya A. Plotnikova

Abstract Ensuring environmental safety at any level in the context of a constant environmental crisis, legal limbo, and economic instability requires new solutions. In particular, it is necessary to develop international cooperation by integrating environmental safety systems. Nowadays, there is no single approach to ensure environmental safety on the territory of each state. This complicates the integration processes in this area. In this paper, we have tried to develop a unified approach to ensuring environmental safety within a single area to integrate environmental safety systems. We analyzed the legislation of the Eurasian states in the field of environmental safety; studied the concept of environmental safety and its main elements in the Eurasian states; searched for a common approach and revealed differences in the understanding of environmental safety; made suggestions for creating a unified approach to environmental safety in the Eurasian space. Keywords Environmental safety · Eurasian integration

1 Introduction Ensuring environmental safety is essential at the regional, state, and international levels. Today, this problem has become a worldwide phenomenon. It is necessary to solve environmental problems together. Everyone understands this, but different economic conditions, social problems, and different priorities in the domestic and foreign policies of states can complicate cooperation to ensure global environmental safety. Despite the worldwide environmental hazards, countries should not be forced to work together. Only voluntary participation in the fight against environmental threats can bring results.

E. N. Abanina (B) · D. A. Agapov · Y. A. Plotnikova Saratov State Law Academy, Saratov, Russia e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 S. G. Maximova et al. (eds.), Advances in Natural, Human-Made, and Coupled Human-Natural Systems Research, Lecture Notes in Networks and Systems 252, https://doi.org/10.1007/978-3-030-78105-7_45

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The creation of regional systems for ensuring environmental safety (European, Asian, African, etc.) is one of the preliminary stages towards ensuring global environmental safety. Some countries find it easier to harmonize their legislation and relations. They have the same environmental problems, share common views, and similar policies. Within international cooperation, they can ensure environmental safety both in their state and throughout the whole area. This is possible by integrating the environmental safety systems of the member states of the Commonwealth of Independent States. The first thing we can offer is a few steps towards harmonizing environmental legislation in environmental safety. States will not lose their national identity. They can use supranational mechanisms for their purposes [6]. Although there is a lot of secondary literature on environmental safety, it offers a limited number of solutions. They cannot serve as a model for all or at least most of the regions or countries. Moreover, there are no studies that include the development of a unified regional approach to environmental safety. We have hypothesized that ensuring a unified approach to ensuring environmental safety at the regional level (using the example of the Eurasian member states of the Commonwealth of Independent States) allows us to implement mechanisms for ensuring environmental safety in the future. The research objective is to substantiate the development of a unified legal system for ensuring environmental safety in the Eurasian space. The task of the study is to consider the following issues: (1) the legislation of the Eurasian States in environmental safety; (2) the concept of environmental safety and its main elements; (3) search for unified approaches; (4) differences in the understanding of environmental safety, and (5) creating a unified approach to ensuring environmental safety in the Eurasian space.

2 Materials and Methods First of all, we analyzed legal acts regulating environmental safety issues in Eurasian countries. Due to the common historical and legal past, as well as international cooperation on various issues, we have chosen the following member states of the Commonwealth of Independent States: (1) Russia [15, 24], (2) Belarus [12], (3) Kazakhstan [17], (4) Azerbaijan [1], (5) Armenia [11], (6) Kyrgyzstan [10, 13], (7) Moldova [18–20], (8) Tajikistan [8], (9) Turkmenistan [22], (10) Uzbekistan [14, 23]. Furthermore, to develop a unified theoretical approach, we studied the scholarship in this field. It dealt with specific issues that influenced the conclusions of the study (for example, the correlation between natural resources and international conflicts connected with [2, 7, 26], and the lack of resources as an internal threat, and regional integration [3, 6]. To develop a unified approach to the development of a legal system of environmental safety, we used general scientific methods: (1) structural–functional method; (2) probabilistic method, (3) method of concrete sociological research; and specific

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scientific methods: (1) the method of comparative legal analysis, (2) method of legal statistics, (3) method of legal modeling, (4) method of legal prediction.

3 Results At the first stage of the study, we analyzed the environmental legislation of the CIS member states and revealed the following results. Special laws and laws of a general environmental nature, including norms on environmental safety, concepts, and strategies, represent the primary documents of the Eurasian States in the field. In Table 1, we have presented various legal acts ensuring environmental safety. We can see that there is no unified approach to legislation in the field of environmental safety: . Five states have adopted several legal acts; . Only two states have adopted special laws; . Moreover, particular strategic documents and documents defining the policy in the field of environmental safety have been signed only in two states; . In most states, the issues are regulated by general acts. They mainly concern environmental protection and include certain aspects of environmental safety.

Table 1 The legal aspect of environmental safety in the CIS Member States The law on The general Environmental The concepts environmental law on safety concept and strategies safety environmental of national protection safety and environmental policy Azerbaijan

The strategy of environmental safety

+

Turkmenistan + Russia

+

+

Armenia

+

+

Belarus

+

+

Uzbekistan

+

+

Moldova

+

+

Kyrgyzstan

+

Kazakhstan

+

Tajikistan Source Compiled by the authors

+ +

+

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At the second stage, we studied all legal acts of the Eurasian states to identify their understanding of environmental safety. The same understanding of the environmental safety system depends on the understanding of environmental safety and its main structural elements: objects, subjects, mechanisms, and threats. The analysis of the concept of environmental safety, enshrined in the acts of the Eurasian states, allowed us to identify two approaches to understanding environmental safety: . Environmental safety is understood as ensuring the vital interests of people and society, protecting the environment from the dangers that arise as a result of anthropogenic and natural impacts on it (Azerbaijan); . Environmental safety is understood as the safety of the environment, life, and health of citizens from threats arising from anthropogenic impacts, as well as factors, processes, and phenomena of a natural and human-made nature (Belarus, Uzbekistan, Turkmenistan, Tajikistan, Kazakhstan, Kyrgyzstan). The differences in approaches are quite clear. The legislation of any Eurasian state is based on general models of Eurasian regulations. Therefore, the understanding of environmental security that Azerbaijan adheres to corresponds to the understanding adopted at the 22nd Plenary Session of The Interparliamentary Assembly of Member Nations of the CIS on November 15, 2003 and enshrined in the Model law “On environmental safety” (The Interparliamentary Assembly of Member Nations of the Commonwealth of Independent States [IPA CIS], 2003). Understanding environmental safety as a state of security, held by the absolute majority of the Eurasian States, was fixed in 1992 in the Recommended Legislative Act “On the principles of environmental safety in Commonwealth States” [28]. Besides, we have not found a definition of environmental safety in the legislation of the Republic of Armenia and the Republic of Moldova. Due to the analysis of threats to environmental safety, we also revealed some differences in their understanding. We took the definition from the CIS Model law “On environmental safety” as a basis. We will adhere to the understanding of threats to environmental security as “a set of conditions and factors that may disrupt the state of security; that is, an event, action, process, or phenomenon that threatens the vital environmental interests of a person, society or state.” The given states classify threats into internal (national sources of threats) and external (global problems). The sources of threats differ in their nature: . Directly environmental, for example, pollution by industrial and economic waste; air pollution; pollution, clogging and depletion of water resources and objects; accumulated environmental damage, including territories that have been exposed to radioactive and chemical pollution; . Natural resources, for example, reducing the species diversity of animals, land and soil deterioration, and reducing the number of plant species; . Indirectly environmental sources do not directly affect the environment. However, under certain conditions, they can harm nature, for example, criminalization and

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Table 2 List of external threats to environmental safety in the CIS Member States External environmental threats

Eurasian states

Limited natural resources

Armenia

Uzbekistan

Natural and human-made disasters in border areas and on a global scale

Armenia

Uzbekistan

Global environmental changes

Belarus

Kyrgyzstan Russia

Transboundary transport of pollutants

Belarus

Kazakhstan Russia Uzbekistan

Environmentally hazardous facilities, nuclear Belarus waste disposal on the territories of neighboring states Problems with transboundary water resources

Kazakhstan

Kyrgyzstan Kazakhstan Russia

Source Compiled by the authors

shadow markets in the field of environment management; poor environmental education and cultural level of the population; insufficient financing by the state; inappropriate and inefficient use of funds received by the budget as payment for negative impact on the environment, compensation for damage caused to the environment, administrative fines, payments, and taxes. Such a detailed list of threats is called into question. With such an approach, the list of threats should be updated over time. For example, in recent years, information pollution of the environment, pollution of the environment by rapidly outdated (technically and morally) electronic devices has become increasingly relevant. We are interested in regional environmental safety as a whole, not the sum of the safety systems of each state. Therefore, we can assume that many external threats may become internal problems of the Eurasian environmental security system. To determine the common environmental threats to the Eurasian region, we presented external threats to environmental safety in Table 2. As we can see from the table, many countries are afraid of their neighbors. It is quite logical that the transboundary impact is dangerous for neighboring territories. However, for the Eurasian States, even the environmentally dangerous facilities themselves are considered a threat. The secondary literature and statistical data on environmental pollution and external threats listed in Table 2 allowed us to assume the following. Environmentally hazardous facilities can cause various degrees of environmental damage. For example, facilities that store, neutralize, decontaminate, and dispose of industrial and consumer waste may cause land pollution due to a large number of landfills [29], air pollution due to landfill gas emissions [25], and waste incineration [9]. These are serious consequences. However, they are not irreversible. The state can handle them on their own, so these objects are considered internal threats to states. Facilities that transport pollutants into water, especially those located near state borders, can cause severe national consequences: polluted drinking water, transboundary pollution, extreme weather events (floods) [16]; facilities for the exploitation of radiation sources, nuclear installations, including nuclear power plants that

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can cause radiation exposure, diseases and deaths among the population; oil, natural gas, heavy and precious metals production facilities can cause soil contamination with heavy metals and high-tech materials [4]. In this regard, we can identify internal environmental threats that are common to most Eurasian countries. Under sufficient conditions, they can endanger the vital environmental interests of people, society, or the majority of the Eurasian States: (1) transboundary environmental pollution; (2) the potential for transboundary environmental pollution (environmental hazards and phenomena in neighboring territories that may cause damage to neighboring states). At the third stage, we combined the results to determine a unified approach to ensuring environmental safety. We have adopted the best practices of these countries, trying to find some common ground that will help them achieve close cooperation in environmental safety.

4 Discussion The study of legislation for drawing conclusions on the development of a unified approach to ensuring Eurasian environmental safety is debatable since it is rather limited. We are sympathetic to possible disputes and ready to discuss controversial issues. First of all, there may be a concern that the unified legal basis that we are trying to develop is not primary to all measures aimed at maintaining environmental safety. Undoubtedly, the financial mechanism is more important. The more the state finances measures to clean up natural resources, introduce environmentally friendly technologies, switch to zero waste [5], and develop a green economy, the higher the level of environmental safety. State support is crucial for that. Therefore, such a mechanism should be developed and enshrined in legislation. The law enforcement mechanism characterizes the effectiveness of the legislation. Therefore, the legislation must establish the concept, structure, objects, subjects, and mechanisms to ensure environmental safety. Further discussion is possible on the definition of internal threats to the Eurasian States. According to the data, limited natural resources (or lack of resources) pose a threat to the safety of some states (Armenia, Kyrgyzstan, Uzbekistan). It is quite logical that this threat can become an internal threat to the environmental safety of the entire Eurasian region. However, here we can pay attention to the following factors. First of all, the presence or absence of specific natural resources does not automatically make a state stronger or weaker in terms of safety. For example, Azerbaijan and Saudi Arabia have rich natural resources but differ in other significant aspects. Consequently, their environmental safety level will be different [2]. Additionally, we support scientists who argue that market mechanisms and technological progress can improve the methods people use to address resource scarcity [7, 26].

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Therefore, if the solution to this issue is possible within the state, this threat cannot be external for the entire Eurasian space.

5 Conclusion Thus, the analysis allows us to draw the following conclusions and suggestions. First of all, due to the legislation regulating environmental safety, we can identify some positive trends: environmental safety issues are regulated by legislation in all the CIS countries; legal acts have different forms and statuses. However, we can also note one negative aspect: the absence of a unified approach to legal support for the environmental safety system due to the different level of legal regulation on the status and validity of legal acts. Second of all, we have identified a dual approach to understanding environmental safety: . Safety is defined as a state (static aspect) using the term safety and listing the objects that should be characterized by this state; . Safety is defined as the process (dynamic aspect) of ensuring the vital interests of subjects. We propose using the definition of environmental safety through the state of safety to clearly define the subjects, objects, threats, and criteria for such safety. Third of all, we have identified another approach to internal and external environmental threats. We have managed to determine the external environmental threats of separate states, which, at the same time, are common internal threats for the entire Eurasian region. Therefore, considering the similarities and differences in the environmental safety systems of each state, we can assume that to start integrating environmental legislation in the field of environmental safety, the states should solve the following issues. 1. It is necessary to come to a unified understanding of environmental safety. This will determine the mechanisms, objects of protection, and actors responsible for these tasks. Taking into account the above conclusions, we suggest that environmental safety should be understood as the state of protection of the natural environment and vital human interests from the possible negative impact of economic and other activities, natural and human-made disasters, and their consequences. 2. In addition to domestic and global threats, we propose introducing a new category of threats called internal threats for the Eurasian space, which are also external threats for most states. Therefore, it will be more useful to provide protection against these internal threats, together with the Eurasian states, than to protect an individual state from the same threat that will become external to it. We propose recognizing the threats that are typical for many states: transboundary environmental pollution; the potential for transboundary environmental pollution

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(the presence of environmental hazards and phenomena in neighboring territories that can cause damage to the territories of adjacent states). 3. It is necessary to create a unified legal system for ensuring Eurasian environmental safety. It should include not only model laws of recommendatory nature. It is more effective when the common policy in environmental safety is initially defined. Later, the states should identify a common ground for cooperation and develop a strategy. Only then can the states adopt a law with the requirements that must be met by the actors of relations. The solution to these issues will allow us to speak about the unified approach to ensuring the environmental safety of the Eurasian space. Over time, a unified system of environmental safety will be created in the Eurasian States. Acknowledgements The reported study was funded by RFBR according to the research project № 19-011-00416.

References 1. Azerbaijan Democratic Republic (1999) Law on Environmental Safety (June 8, 1999, No. 678-IQ). Baku, Azerbaijan 2. Bayramov A (2018) Review: Dubious nexus between natural resources and conflict. J Eurasian Stud 9(1):72–81 3. Correljé Cobyvan A, Cobyvan der Lindebc (2006) Energy supply security and geopolitics: a European perspective. Energy Policy 34(5):532–543 4. Damarmoyo KS, Handayani S, Utami SNH, Indarti S (2018) Soil physical properties and abundance of soil fauna in conventional and organic rice field. IOP Conf Ser: Earth Environ Sci 215:012009 5. Dawson L (2019) “Our Waste, our Resources; A Strategy for England”—switching to a circular economy through the use of extended producer responsibility. Environ Law Rev 21(3):210–218 6. Galiakberov A, Abdullin A (2014) First theory and practice of regional integration based on the Eurasec model (Russian point of view). J Eurasian Stud 5(2):116–121 7. Gleditsch N, Theisen O (2010) Resources, the environment, and conflict. In: Myriam C, Thierry B (eds) The Routledge handbook of security studies. Routledge, New York, NY, pp 221–231 8. Government of the Republic of Tajikistan (2008) The concept of environmental protection in the Republic of Tajikistan (December 31, 2008, No. 645). Dushanbe, Tajikistan 9. Hamzah Z, Shuhaimi SNA (2018) Biochar: effects on crop growth. IOP Conf Ser: Earth Environ Sci 215:012011 10. Kyrgyz Republic (1999) The Law on Environmental Protection (June 16, 1999, No. 53). Bishkek, Kyrgyz Republic 11. National Assembly of the Republic of Armenia (1991) Basics of the legislation of the Republic of Armenia on nature protection (June 9, 1991, No. C-0350-I). Yerevan, Armenia 12. National Assembly of the Republic of Belarus (1992) The Law on Environmental Protection (November 26, 1992, No. 1982-12). Minsk, Belarus 13. President of the Kyrgyz Republic (2007) The concept of environmental safety of the Kyrgyz Republic (November 23, 2007, No. 506). Bishkek, Kyrgyz Republic 14. President of the Republic of Uzbekistan (1997) The concept of national security of the Republic of Uzbekistan (August 29, 1997, No. 467-I). Tashkent, Uzbekistan 15. Presidential Executive Office (2017) The environmental security strategy of the Russian Federation (April 19, 2017, No. 176). Moscow, Russia

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16. Prykhodko MM, Romaniuk VV, Kukhtar DV, Rodzinska OV (2018) A modern approach to monitoring the territories of solid waste landfills. In: Yakymchuk M (ed) Proceedings from Geoinformatics 2018: 17th international conference on geoinformatics theoretical and applied aspects—theoretical and applied aspects. European Association of Geoscientists & Engineers, Kyiv, Ukraine, pp 1–5 17. Republic of Kazakhstan (2007) Environmental code (January 9, 2007, No. 212). Astana, Kazakhstan 18. Republic of Moldova (1993) The Law on Environmental Protection (June 16, 1993, No. 1515XII). Kishinev, Moldova 19. Republic of Moldova. (2001). Environmental policy concept (November 2, 2001 No 605-XV). Kishinev, Moldova. 20. Republic of Moldova (2011) National security strategy (July 15, 2011, No. 153). Kishinev, Moldova 21. Republic of Tajikistan (2008) The Law on Environmental Protection (August 2, 2011, No. 760). Dushanbe, Tajikistan 22. Republic of Turkmenistan (2017) Environmental Security Act (June 3, 2017, No. 569-V). Ashgabat, Turkmenistan 23. Republic of Uzbekistan (1992) Nature Protection Act (December 9, 1992, No. 754-XII). Tashkent, Uzbekistan 24. Russian Federation (2002) The Law “On environmental protection” (January 10, 2002, No. 7-FZ). Moscow, Russia 25. Sicard P, Agathokleous E, Araminiene V, Carrari E, Hoshika Y, Paoletti E, De Marco A (2018) Should we see urban trees as effective solutions to reduce increasing ozone levels in cities? Environ Pollut 243(Pt. A):163–176 26. Simon J (1981) The ultimate resource. Princeton University Press, Princeton, NJ 27. The Interparliamentary Assembly of Member Nations of the Commonwealth of Independent States (2000) Model Law “On Environmental Safety” (June 13, 2000). St. Petersburg, Russia 28. The Interparliamentary Assembly of Member Nations of the Commonwealth of Independent States (1992) Recommended Legislative Act “On the principles of environmental safety in Commonwealth states” (December 29, 1992). St. Petersburg, Russia 29. Weißhuhn P, Müller F, Wiggering H (2018) Ecosystem vulnerability review: proposal of an interdisciplinary ecosystem assessment approach. Environ Manag 61(6):904–915

EU–ASEAN Foreign Policy and Solutions to Enhance EU–Vietnam Trade and Investment Cooperation Nguyen Viet Ha

Abstract The European Union (EU) is an international entity that plays an important role on the world “chess board.” The EU is also a strong pillar of the world economy. In the process of development and deep integration of the EU, many achievements and common policies have been put into effect, making an important contribution to the development of the world in general, as well as the fields of resistance such as: peace, stability, foreign politics, development cooperation, economic and trade, investment, finance, social development, human rights, education, and training in particular. The countries of Southeast Asia (ASEAN) are regions of EU foreign policy in Asia–Pacific. In contrast, the EU is the most important partner of ASEAN in general and Vietnam in particular. The comprehensive cooperation between EU and Vietnam, especially in the field of trade and investment, is an opportunity for Vietnam to rise strongly and affirm its position in the world. Keywords EU · Asia–Pacific · ASEAN · Vietnam · Foreign policy solutions

1 Introduction The European Union (EU) consists of 27 member countries, with over 500 million people, a major economic entity of the world. The EU’s total trade value is the largest globally, and the competitiveness of the EU economy equals the US superpower. This period witnessed the integration and strong linkage of the EU in many fields. EU links have become a model for other integration areas to follow. EU actors have a growing role in the international arena. The EU is also a thriving, sweeping, and highly developed region for all regional citizens. EU citizens enjoy many profits of deep integration among member countries. The EU brings many good sides, satisfying many aspirations of regional citizens about employment, income, freedom of movement, residence, study, and work according to their wishes within the operating N. V. Ha (B) Faculty of Navigation, Vietnam Maritime University, Hai Phong, Vietnam e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 S. G. Maximova et al. (eds.), Advances in Natural, Human-Made, and Coupled Human-Natural Systems Research, Lecture Notes in Networks and Systems 252, https://doi.org/10.1007/978-3-030-78105-7_46

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legislation framework ([1, 2, 5], p. 153). The EU is undoubtedly the ideal role model for other regions of the world to follow [4]. Vietnam is a rapidly rising country in the Asia–Pacific region: the economic growth rate of 2010–2019 averages over 7% per year. Vietnam is actively asserting its role in the world. In 2020 Vietnam also took the Security Council Presidency and the Chair of ASEAN. Over the past years, Vietnam had actively sent officials, officers, and military personnel to join the UN peacekeeping force. In recent years, EU-Vietnam had cooperated deeply in all fields: . . . . . .

Politics; Diplomacy; Trade; Investment; Science; Education.

Cooperation became wider in the field of trade when the EU and Vietnam signed the European-Vietnam Free Trade Agreement (EVFTA) (June 2019), which is expected to enter into force on August 20, 2020. However, EU-Vietnam cooperation still has many opportunities and challenges.

2 Materials and Methods EU foreign policy towards the Asia–Pacific region and ASEAN. World common context is the following: the globalization trend, trade liberalization, investment, economy cooperation among countries, and investment. The Industrial Revolution 4.0 has brought humanity many brilliant achievements, global connections, artificial intelligence, new technologies in physics and biochemistry, giving people many significant results. This industrial revolution also presents a great challenge to every nation and individual in the miraculous transformation of new scientific progress. During this period, the European Union also faced many major challenges: public debt crisis, unemployment problems, Brexit issue and consequences, population aging, the migration crisis, terrorist crime. Since the global financial crisis and recession in 2008, the international economic, political, and security context has undergone enormous changes. The strong rise of China and the US implementation of the rebalancing strategy, shifting the focus to the Asia–Pacific region. The Asia–Pacific region still shows a mix of interests between influence competition and economic cooperation, in which economic cooperation is considered a key trend in the region. Over the past decades, Asia–Pacific has become one of the main drivers of world development. The twenty-first century is predicted to be the “Asia–Pacific Century”.

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The EU has a strategy to strengthen cooperation with the Asia–Pacific region to have a greater presence in the region and promote deeper relations with each country in the region. The European Union continues to provide orientations on security and foreign policy for East Asia to strengthen cooperation and expand relations with these countries. After 2009, the EU deepened its cooperation with the Asia–Pacific region through specific steps in political-external relations, economic-investment commerce, development cooperation. EU has always determined the focus of relations with Asia–Pacific and East Asian countries. With Southeast Asia, the European Parliament passed the Resolution on the Future of EU-ASEAN Relations (2014) to promote cooperation with Southeast Asian countries in many fields: economy, culture, science, study technology, resolve conflicts, territorial disputes, and ensure regional peace [9]. Along with the enhancement of economic and political potential, EU countries are eager and endeavor to strengthen relations with other countries and international organizations to increase their influence in promoting the development, economic development and political stability across the globe. For more than a decade and in the years to come, the EU has focused on strengthening comprehensive relations with the Asian region, a continent that has been and continues to develop dynamically and promisingly. At the same time, the EU is also aiming to strengthen its links with one of the world’s three political economic poles: the EU, the US, and East Asia. Cooperation between the EU and Southeast Asia (ASEAN) develops strongly, with a long tradition of a number of partners who are members of both bilateral and multilateral entities. The two bloc member countries have extensive development cooperation in many fields: economy, trade, investment, culture, society, politics, and foreign relations in terms of multilateral. Two the subject has cooperation mechanisms such as ASEM, ARF. In joint relations with Asia, the EU wants to cooperate with ASEAN and other regional organizations to promote regional peace and security. Strong partnerships are strategically significant for both sides, promoting them will yield results for future generations. At the meeting “Towards the ASEAN-EU Strategic Partnership for Peace, Stability, and Prosperity,” the two sides highly appreciated the progress and efficiency achieved and agreed to promote ASEAN relations further. The EU has developed positively, comprehensively, and deeply. In the economic field, the two sides strive to increase two-way trade, agreeing to resume the ASEAN-EU Free Trade Agreement (FTA) negotiations, increasing connectivity in aviation, maritime and road, small and medium enterprise development. The two sides also agreed to regularly consult ASEAN and EU Economic Ministers, actively researching and implementing measures to improve the quality and effectiveness implementing of the 2013–2014 Trade and Investment Action Plan. ASEAN also asked the EU to assist ASEAN to conduct programs to promote ASEAN’s trade and investment potential in EU countries. EU supports ASEAN integration process: EU has established support programs such as EU-ASEAN Regional Dialogue Tool and Support for ASEAN Regional Integration in 2013–2016, to promote the implementation of key regional integration initiatives in the ASEAN Master Plan on ASEAN Connectivity to Build ASEAN

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Markets and Production Basis. The EU helps ASEAN strengthen capacity building in the fields of information and communication technology, energy, science and technology, disaster management, and the activities of the ASEAN Secretariat. The EU affirmed its determination to promote multilateralism and regional integration, including extensive cooperation with ASEAN. The EU also considers ASEAN an important and successful partner in the regional integration process (ASEAN is currently the EU’s third largest trading partner and the EU’s largest FDI attraction market); and support ASEAN’s central role in the evolving regional architecture in East Asia. The EU continues to express the intense to upgrade ASEAN-EU relations to strategic partners and participate more deeply in ASEAN-led regional mechanisms such as the East Asia Summit (EAS) and the ASEAN Defense Minister’s MeetingPlus (ADMM+) is considered as an important framework for the EU to work with ASEAN and partners to participate in addressing regional challenges. Mr. Olof Skoog, the head of the EU Permanent Representative Mission in ASEAN, affirmed the EU’s strong commitment to further support the integration process and build the ASEAN common community. Mr. Olof Skoog is also optimistic that the ASEAN Community will become a stronger bloc, making a more active contribution to joint efforts to deal with global challenges and hope for EU integration successes, will inspire and promote ASEAN on its integration path. After completing negotiations and signing of free trade agreements (FTA) with ASEAN members (Singapore and Vietnam), the EU has expressed interest in pursuing a number of other FTAs in the region. ASEAN, not only with Thailand but also with ASEAN as a whole. ASEAN wants the two sides to complete the Action Plan for the period 2018–2022 soon to create a framework to promote comprehensive cooperation between the two sides. Appreciate the EU assistance programs on trade facilitation, education, and sustainable development of the Mekong basin. ASEAN proposed the EU to have more projects to support the development of small and medium-sized enterprises, connecting the region, narrowing the development gap, and applying high technology. Facing increasing global challenges, the two sides exchanged many measures to enhance cooperation, especially in areas such as maritime security, cyber security, counterterrorism, border management and prevention, human trafficking, illegal migration ([3], pp. 8–10; [11], pp. 25–32). Both sides also discussed the situation of some hotspots in the region and in the world. The EU affirmed the importance of maintaining maritime security and safety in the South China Sea, the 40% EU transport route; promoting the peaceful settlement of disputes by respecting international law, including UNCLOS 1982 and the EU willing to share experiences related. On the occasion of the 40th anniversary of the ASEAN-EU dialogue partnership, the sides agreed to launch more cultural and educational exchange programs to enhance mutual understanding, and at the same time recognize the progress in negotiations. Also, the ASEAN-EU air transport agreement occurred in 2014. Although the EU is in a difficult period with the Brexit issue, the UK is asking to leave the Union, the EU economy continues to grow strongly ([8], p. 156; [7], pp. 80–83). A series of ambitious trade deals are being signed with key partners, including Singapore, Vietnam, and Japan. The EU is

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stepping outward and heading towards the future with confidence and optimism. In the global strategy, the EU always wants to have a strategic partnership with Asia, especially with ASEAN, an organization committed to regional peace and integration following the European Union model [10]. The EU seeks further to expand trade and investment relations with ASEAN over time and agreed to an ambitious interregional framework that can set global trade standards. European countries strive to maintain long-term cooperation with ASEAN. The EU doubled its development cooperation fund to support ASEAN integration and spend more than 2 billion EUR in bilateral cooperation with all ASEAN countries. The EU countries also expanded and strengthened their relations with ASEAN, based on respect for mutual benefits. However, a rapidly changing world requires two blocks to consult and collaborate more to deal with global challenges. An international order based on trustworthy rules is important for both sides, whether for trade, regional security or issues such as climate change. ASEAN and the EU are expanding security cooperation from diplomacy to conflict mediation and crisis management as well as from maritime security to transnational crime and counterterrorism. Thus, after the global financial crisis and economic recession in 2008, despite many difficulties, the EU still strengthened multi-faceted cooperation with ASEAN. The main foreign policy of the EU towards Southeast Asian countries is based on respect for the diversity and abundance of the region, with each ASEAN member state and EU taking a different development cooperation approach together. The EU’s foreign policy adjustment to the region is generally to deepen the cooperation of the two actors both at the bilateral and multilateral levels, both at the union level or at the level of member states, of these two subjects.

3 Results Vietnam and the EU have traditional development cooperation relations both at the union level as well as with EU member states. After 2008, Vietnam was recognized as one of the major partners of the European Union in ASEAN. The EU and Vietnam establish bilateral cooperation in many areas, from political cooperation-external relations, trade-investment to global challenges or development cooperation. EU oriented: . Encourage Vietnam to integrate into the world economy through trade and support Vietnam’s socio-economic reform process; . Support Vietnam’s transition towards an open society based on sound public governance, the rule of law and respect for human rights; . Support Vietnam’s sustainable economic development and improve the living conditions of the poor, which contribute to the development of Vietnam as well as benefit both partners.

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In 2012, the signing of the EU-Vietnam Framework Agreement on Comprehensive Partnership and Cooperation (PCA) marked the EU’s commitment to strengthen and expand the scope of mutually beneficial partnerships with Vietnam. The 2016 PCA Agreement will expand the scope of cooperation in the fields of trade, investment, science and technology, effective public governance, environment, energy, and human rights issues, as well as the tourism, culture, migration, anti-corruption, and organized crime. The PCA provides an opportunity to strengthen coherence and effective coordination between EU policy and its member states. PCA provides open high-level discussions on political, trade, economic and development issues as well as on the implementation of EU cooperation programs with Vietnam. PCA is still considered the most important policy foundation of EU-Vietnam cooperation. The European Union is a reliable partner and strongly supports Vietnam’s integration into the global economy. Support from the EU contributes to the successful implementation of market-oriented reform policies that have led to Vietnam’s tremendous economic progress, contributing to the high position and role of Vietnam in the region, and the world. In 2019, the EU was one of Vietnam’s most important overseas markets (the EU ranks second after the US). The EU imported 15.7% of Vietnam’s total exports in 2019. Two-way trade reached 56.5 billion USD, accounting for nearly 11% of Vietnam’s total import–export turnover in 2019. The EU is also Vietnam’s third-largest trading partner after China and the United States. In particular, the continuous trade surplus of nearly 26.57 billion USD that Vietnam has in trade with the EU helps to significantly balance Vietnam’s massive trade deficit with China and South Korea. Moreover, it leads to surplus results, so the trade balance is about 9.9 billion USD. Therefore, 2019 marks another year in which Vietnam has a record trade surplus, the highest in 4 consecutive years (Fig. 1). The main exporting countries of Vietnam in the EU market focus on traditional markets such as Netherlands, Germany, England, France, Italy, Spain, Belgium, and Poland. For the Austria, exports to this market are related to mobile phones.

Fig. 1 Vietnam–EU trade (billion USD). Source The Ministry of Industry and Trade of Vietnam

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Table 1 Main export products to the EU form Vietnam (billion USD) Name of goods

2017

2018

2019

2019/2018 (%)

Mobile phone

11.78

13.16

12.21

− 7.2

Footwear

4.61

4.68

5.03

+ 7.5

Computer

4.1

5.07

4.67

− 7.9

Textile

3.73

4.1

4.26

+ 3.9

Machines

1.69

2.01

2.51

+ 24.9

Sea food

1.42

1.44

1.25

− 13.2

Coffee

1.37

1.36

1.16

− 14.7

Bags, wallets, suitcases, hats and umbrellas

0.88

0.93

0.97

+ 4.3

Wooden

0.75

0.78

0.85

+9

Means of transport and accessories

0.7

0.67

0.81

+ 20.9

Steel products

0.4

0.57

0.55

− 3.5

Source The Vietnam General Department of Customs

Vietnam’s main exports to the EU focus on labor-intensive products including phones and components, footwear of all kinds, electronic products and components, textiles, machinery, equipment, tools and spare parts. The items with the highest growth in 2019 are plastic materials reaching 19.13 million USD, up 235.42% of paper and paper products from 13.94 million USD, up 175.56%, cameras, camcorders and components 30.7 million USD, an increase of nearly 140%. Some export items decreased, such as iron and steel of all kinds, reaching 238.28 million USD (nearly 34%), chemicals 38.35 million USD (16.8%), rubber 113.77 million USD (11.37%), seafood products worth 1.25 billion USD (more than 13%), and coffee 1.16 billion USD (nearly 15%) (Table 1). In 2019, the EU has 2375 projects, an increase of 182 projects compared to 2018, from 27/28 countries of the European Union (EU) (calculated by the time Britain left the EU from 31 January 1, 2020) valid in Vietnam with a total registered capital of nearly 25.5 billion USD, nearly 1.2 billion USD, accounting for 7.70% of the Vietnam’s projects and 7.03% of the total registered investment capital of other countries. The Netherlands ranked first with 344 projects and 10.05 billion USD, accounting for 39.43% of the total EU investment capital in Vietnam, up 26 projects and 692.76 million USD of investment capital. The United Kingdom ranked second with 380 projects and 3.72 billion USD of total investment capital, accounting for 14.58% of the total investment capital, up 29 projects and 210.1 million USD of investment capital. France ranked third with 563 projects and 3.6 billion USD of total investment capital, accounting for 14.13% of the total investment capital, up 23 projects but decreasing over 72 million USD of investment capital.

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In general, European investors have a technological advantage, so they have actively contributed to the creation of some new industries and new products with high technology content. Some big EU corporations are operating effectively in Vietnam such as Shell Group (Netherlands), Total Elf Fina (France, Belgium), Daimler Chrysler (Germany), Siemens, Alcatel Comvik (Sweden). The investment trend of the EU focuses on high-tech industries. However, there was a tendency to focus more on service sectors (post and telecommunications, finance and office, hire, and retail) for recent years. The EU–Vietnam Free Trade Agreement (EVFTA) is a key project in promoting economic development, inclusive growth and poverty reduction in Vietnam. This project has been highly effective in assisting Vietnam’s negotiation efforts in the WTO accession process and in the EVFTA Agreement later. The project also continues to help Vietnam integrate more deeply into global, ASEAN and sub-regional trading systems. This project supports the Ministry of Industry and Trade of Vietnam, relevant ministries and agencies in facilitating sustainable international trade and investment through improved policy-making capacity, policy consultations, and related commitments, especially for EVFTA. In the opposite direction, the investment of Vietnamese enterprises to the EU are not much, mainly focusing on some countries such as the Netherlands, Czech, and Germany. Trade relations play an important role in Vietnamese economic development strategy. In 2012, the EU and Vietnam officially negotiated a Free Trade Agreement (FTA). After 14 rounds of negotiations, this process was officially completed. On April 24, the Secretary General of the Council of Europe sent a diplomatic note informing it. Under the authority of the President of the Council, the Agency has completed the internal procedures necessary for the Free Trade Agreement (FTA) between the European Union (EU) and Vietnam (EVFTA) signed on June 30, 2019 in Hanoi. Under the Article 17.16 of EVFTA, the Agreement will enter into force on the first day of the second month after the month in which Vietnam informs the EU about the completion of internal procedures for EVFTA to take effect from the Vietnam. Thus, if the Vietnamese National Assembly votes to ratify the EVFTA Agreement in May 2020 and Vietnam completes its internal procedures, informing the EU in June 2020, the Agreement will enter into force on August 1. EVFTA is the most ambitious new generation FTA signed by the EU with a developing country and the second agreement signed by the EU with a Southeast Asian country after the FTA with Singapore. EVFTA will eliminate 99% of tariff lines between Vietnam and the EU, of which 65% of the tariff lines for EU exports to Vietnam will be lifted as soon as EVFTA takes effect, while 71% of tariff lines Vietnamese exports to the EU will no longer be available by the time EVFTA takes effect.

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According to estimates by the Ministry of Planning and Investment, EVFTA will help Vietnam’s GDP increase by 4.6% and exports to the EU by 42% by 2025. Meanwhile, the European Commission also estimates, EVFTA helps EU GDP increase by 29.5 billion USD in 2035.

4 Discussion The EU is Vietnam’s most important partner in many areas. Vietnam–EU trade exchange continues its growth momentum. The EU is also the main supplier of development assistance to Vietnam. The EU investors have been present in almost allimportant economic sectors of Vietnam. The EU investment projects have a high technology content and rate, advanced management methods, and significantly contribute to Vietnam’s economic growth. In particular, continuously over the years, the EU has always been one of the largest Official Development Assistance (ODA) partners to Vietnam. The EU aid always meets our priority areas such as poverty reduction, health care, education, human resource training and international integration. Bilateral cooperation that is transparent and satisfactory between the two partners includes regional and thematic cooperation programs for civil society organizations, the environment, gender equality, etc. EU grants and loans to Vietnam are aligned with the country’s socio-economic priorities as set out in the Socio-Economic Development Strategy and support government efforts in restructuring the economy with the aim of ensuring long-term growth and welfare for the people. The EU has allocated development assistance to sectors where Vietnam needs continuous reforms to maximize synergies between government policies and development assistance programs that are: . . . . .

Realization of the goal of sustainable and harmonious growth; Poverty reduction and equality and world economic integration; Strengthening social security, health, and education; Support favorable business environment and deeper regional integration; Sustainable agriculture and clean energy, helping provide safeguards against external shocks . Turning food security and climate change challenges into development opportunities. The European Union has become an important partner, a large market, capable of consuming many types of Vietnamese products. At the same time, the EU is also a region with a highly developed economy, which can meet the requirements of importing technology equipment and materials for many industries, serving the requirements of economic development and implementation. Cooperation between the EU and Vietnam develops well both at the bilateral, regional and multilateral levels. On a bilateral level: Enhancing mutual understanding through strengthening human relations, especially introducing new EU member states. Strengthen political contacts promote the effectiveness of multilateral events to minimize waste of time.

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Continue to discuss in the field of law reform to help the economy of both sides increase competitiveness. Attempts to maintain a peaceful trade relationship. On a regional level: Working together to find the most effective investment direction to enhance cooperation. Cooperating in the direction of integration and sharing of experience and knowledge, not only understanding how to overcome historical difficulties and how to harmonize with larger or smaller partners but also promoting cooperation and healthy competition. Collaborate to resolve regional conflicts, especially through links with “soft power.” Harmonizing cooperation in the exchange of experience in the monetary field—the Euro is an example of combining a monetary system with the implementation of various financial and social policies. On the multilateral level: Continue to encourage and endorse the process of multilateralisation as a key factor for effective international management to move towards the process of globalization. Combining the strength of partners and international actors to contribute to the success of the Doha Round ([6], pp. 14–20). In addition to the good results of the cooperation between the EU and Vietnam, the two partners need to further strengthen the multifaceted cooperation to meet the position and the great role of both sides in the international arena, as the vast potential of the two partners. The EU is a collection of countries with many strengths, different market segments, and businesses at different levels of development, so Vietnam needs to have different development cooperation policies suitable for each country, partners, EU entities. In addition to further developing economic, trade, investment, finance, banking and cooperation relations, Vietnam should strengthen cooperation in education, training, science and technology with each country and owner. EU Union to maximize the strength of each partner. International cooperation on the basis of equality, respect for the interests of each other, in accordance with international institutions and laws will help Vietnam increasingly better position with partners of the European Union. For development cooperation with the EU and member countries, Vietnam does not place significant economic benefits all. Each partner in the EU has its own strengths and characteristics, Vietnam needs to promote harmony to get the most possible results on the principle of respecting the interests of partners. On the multilateral level, development cooperation with the EU, Vietnam should proactively enhance the role and position of the EU on the world chessboard by respecting the interests of the EU, agreeing with the voice of the EU in multilateral forums, the United Nations, solving global issues or dealing with world crises. Enhancing the voice of consensus with the EU and its member states on international forums brings great benefits in development cooperation with the EU and its members. Development cooperation with the EU and its member countries is still limited and difficult because of Vietnam’s differences with these partners: the size of Vietnam’s economy is small, the products of Vietnam’s industry are not really Good, small Vietnamese businesses, low consumption capacity of Vietnam market with high

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quality products of EU, Vietnam’s science and technology level is much inferior to EU, or cultural differences, society. However, Vietnam needs to be proactive, positive and dynamic in terms of development cooperation with EU partners to find a common voice to bring the highest possible benefits to both sides.

5 Conclusion Among countries in the Asia–Pacific region, the EU always focuses on promoting and developing cooperative relationships with countries such as Japan, China, and especially the ASEAN region. In addition, development cooperation with Vietnam has always been a top concern of the EU and its member countries through promoting EU trade, investment and external political relations at both bilateral and multilateral. Although the development cooperation between the EU and Vietnam remains challenging because of the size of the two actors, the effectiveness of this development relationship brings benefits to both sides. Vietnam is in the process of integration, linking the economy of the region and the world, development cooperation in all aspects with the EU is the country’s priority. Vietnam is willing, proactive, and proactive in cooperating with the EU on both union levels as well as strengthening cooperative relationships with EU members.

References 1. Acharya A (1997) Ideas, identity, and institution-building: from the “ASEAN Way” to the “Asia-Pacific Way?” Pac Rev 10(3):31–46 2. Acharya A (2001) Constructing a security community in Southeast Asia: ASEAN and the problem of regional order. Routledge, London, UK 3. Bendiek A (2017) A paradigm shift in the EU’s common foreign and security policy: from transformation to resilience. Stiftung Wissenschaft und Politik German Institute for International and Security Affairs, Berlin, Germany 4. Best E (2006) Regional integration and (good) regional governance: are common standards and indicators possible? In: De Lombaerde P (ed) Assessment and measurement of regional integration. Routledge, London, UK, pp 183–214 5. Bindi F (2010) The foreign policy of the European Union assessing Europe’s role in the world. Brookings Institution, Washington, DC 6. Chryssogelos A (2016) The EU’s crisis of governance and European foreign policy. Research Paper: Europe Programme. Chatham House, London, UK. Retrieved from https://www.chathamhouse.org/sites/default/files/publications/research/2016-11-18-eucrisis-governance-foreign-policy-chryssogelos_0.pdf 7. Devuyst Y (2003) The European Union at the crossroads: the EU’s institutional evolution from the Schuman plan to the European convention, 2nd edn. P.I.E.-Peter Lang S. A., Berlin, Germany 8. Ekengren M (2002) The time of European governance. Manchester University Press, Manchester, UK 9. Luan TD (2016) The journey to Asia–Pacific: EU strategy compared to the US. Eur J Res 3:12–17

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10. Warleigh-Lack A (2008) The EU, ASEAN and APEC in comparative perspective. In: Murray P (ed) Europe and Asia. Palgrave studies in European Union politics. Palgrave Macmillan, London, UK, pp 23–41. https://doi.org/10.1057/9780230583160_2 11. Wessel RA (1999) The European Union’s foreign and security policy: a legal institutional perspective. Kluwer Law International, Hague, Netherlands

Cooperative Maritime Security Between EU and ASEAN in the South China Sea: Lessons Learned for Vietnam Luong Thi Kim Dung

Abstract Maritime security reflects the interdependence between nations and the international community in the context of globalization. Countries, whether maritime or not, are exposed to threats to maritime security and face the need to take measures to ensure maritime security. The South China Sea, strategically located on the main maritime route linking the Pacific–Indian Ocean, Europe–Asia, Middle East– Asia, is considered the bustling international transport route. Therefore, maintaining maritime security in the South China Sea has implications for regional and global security, as well as world trade, requiring multilevel international cooperation. The paper focuses on (1) analyzing maritime security concepts, (2) identifying territorial disputes between the countries over the South China Sea as a maritime security threat, and (3) Eurasian cooperation an organic mechanism for ensuring maritime security in the South China Sea. The paper also mentions the efforts of Vietnam to participate in the Eurasian cooperation framework on maritime security in the South China Sea to learn lessons for Vietnam in strengthening maritime security in the region. Keywords Eurasian cooperation · Maritime security · South China Sea

1 Introduction The idea of maritime security was formed in the fifteenth century with the establishment of a maritime order guaranteed by European countries, as they claimed expanded sovereignty over the seas and oceans. At first, maritime security was understood as the actions of government and shipping lines to combat piracy. However, since the 1990s, maritime security has emerged as a global policy-making concept along with the importance of non-traditional maritime security issues.

L. T. K. Dung (B) Faculty of Navigation, Vietnam Maritime University, Hai Phong, Vietnam e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 S. G. Maximova et al. (eds.), Advances in Natural, Human-Made, and Coupled Human-Natural Systems Research, Lecture Notes in Networks and Systems 252, https://doi.org/10.1007/978-3-030-78105-7_47

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Maritime security is an open industry term. Currently, there is no single definition. Depending on different approaches, the scholars define it differently. The general approach to maritime security (which is negative) is applied by many scholars, such as Nathalie Klein, Roach J. Ashley, and Vreÿ Francois. According to them, maritime security is understood as the absence, not being threatened by threats [6, 8, 16]. Many researchers examine the threats to maritime security in the context of (1) international maritime disputes, (2) maritime terrorism, (3) piracy, (4) trafficking in drugs, people, and illicit goods, (5) proliferation of weapons, (6) illegal fishing, (7) environmental crimes, and (8) maritime accidents and disasters. The positive approach, presented Geoffrey Till, argues that maritime security is the maintenance of good or stable order at sea for the sake of human development, which may be threatened [13]. James Kraska and Raul Pedrozo agree with this view. They consider maritime security a stable order of oceans governed by rules of the sea [7]. According to Ed Tummers, maritime security is a process of maintaining stability above, below, and in the sea. He emphasizes the need for basic principles governing the use of the sea and ocean in peace and security [14]. Christian Bueger uses a different approach to maritime security. He considers it in terms of (1) national security, (2) marine environmental security, (3) economic security, and human (4) security (Fig. 1). From the perspective of shipping industry, maritime security focuses on the safety of the shipping system and the cargo, without being interrupted by illegal activities. Craig H. Allen says that maritime security is a total of solutions taken by (1) ship owners, (2) ship operators, (3) ship managers, (4) port operators, (5) onsore facilities, and (6) government maritime regulators to protect ships and seaports against illegal acts [1].

Fig. 1 Maritime security matrix. Source [2]

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Therefore, the scholarship does not give a unified concept of maritime security. However, there are some common features between the approaches to identifying threats to maritime security. Prevention and response to hazards reduces and eliminates hazards. Although there are many different views and interpretations, within this paper, we understand maritime security as a combination of preventive and response measures prescribed by legislation of international and national law to protect the maritime area from threats. On the one hand, globalization and trade liberalization contributes to cooperation and exchange between countries. On the other hand, these phenomena pave the way for the spread of threats to maritime security. Awareness of the immerse value of the seas and oceans intensifies disputes over the territorial sovereignty of coastal countries, becoming one of the threats to maritime security that requires interdisciplinary cooperation at the national, regional, and international levels. The growing tension over sovereignty and the claims of coastal countries shows that maritime security has become the center of global security. Within the framework of the Asia-Europe Meeting (ASEM), maritime security in the South China Sea is mentioned in many agendas due to its strategic position for world trade. As an interested party in the dispute over the South China Sea, Vietnam actively participates in the Eurasian cooperation in the search for solutions to ensure maritime security in the region.

2 Materials and Methods The world is connected by seas and oceans, that is why the maritime industry brings growth to world trade. Nevertheless, the sea provokes disputes over the territorial sovereignty arise of the Paracel and Spratly Islands. These disputes are becoming the source of potential instability and conflict. The dispute over the Paracel Islands is bilateral. It takes place between Vietnam and China. The Spratly Islands involve (1) China, (2) Taiwan, (3) Vietnam, (4) Malaysia, (5) the Philippines, and (6) Brunei. In 2015, after the Chinese leader initiated the concept of the Chinese Dream, China demonstrated its military power in the South China Sea through the reclamation and rehabilitation projects of almost 1300 ha of land, turning seven yards of shallow water and reefs into artificial islands, building there runways, military units, and radar stations [10, 17]. The militarization of artificial islands by China seriously violates international law, especially the 1982 UN Convention on the Law of the Sea (UNCLOS) [15]. More than that, it increases tensions in the South China Sea, affecting the national maritime security and directly threatening the security of shipping routes and freedom of navigation. Located on the main maritime transport route connecting the Pacific Ocean with the Indian Ocean, the South China Sea is becoming a strategic international transport route, considering that 45% of the 90% of the world’s commercial cargo transported by sea passes through it [4]. According to the secondary literature, 5.3 trillion dollars

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Fig. 2 South China sea trade versus world trade. Source International Monetary Fund, Direction of Trade Statistics, China Power

worth of goods pass through the South China Sea annually, with 1.2 trillion dollars of this amount coming from trade with U.S. (Fig. 2). The above-mentioned strategic maritime route should facilitate the exchange of goods of many Asian countries, including Japan, Korea, Taiwan, Singapore, and China, whose economies are vitally dependent vitally on this maritime route. More than 64% maritime trade of China passed through this waterway in 2016. As for Japan, nearly 42% of its maritime trade passed through the South China Sea in the same year. The United States is less dependent on the South China Sea; only 14% of its maritime trade passes through the region. The picture of maritime security in the South China Sea is complicated when China is building artificial structures, runways, and military bases on seven sites of the Spratly Islands: (1) Gia Ven, (2) Gac Ma, (3) Chau Vienna, (4) Xubi, (5) Justice, (6) Mischief, and (7) Cross. The fact that China turned its illegally controlled shoals into unsinkable aircraft carriers has clearly shown the conspiracy to seize the South China Sea, realizing the goal of controlling the strategic international maritime route from the Middle East to the Indian Ocean and into the South China Sea [17]. China is committed to protecting the freedom of navigation. However, if China establishes its control over the waters surrounded by the U-shaped line in case of a political conflict or a conflict of interest, it can prohibit the country concerned from trading in the South China Sea. Then, it is not a bilateral issue, but a matter of regional security and world trade, threatening the Freedom of navigation (FON) and maritime interests of countries in the region and the countries pursuing the goal of FON in national security policy, such as the EU, U.S., Japan, and Australia. Despite the framework of international law, aircraft and boats operating near artificial structures of China, also face threats to the maritime routes and normal commercial activities. When future disputes turn into a heated conflict in the South China Sea, the parties may organize sea exercises, establishing military zones to prohibit passage. Ships must follow the new route or bypass South Australia, freight rates may increase fivefold and will no longer able to compete in the world market

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Table 1 Military expenditure by country, US$ mln., 2014–2019 China

2014

2015

2016

2017

2018

2019

200,023

213,526

225,558

238,476

253,492

266,449

Indonesia

6813

7923

7394

8523

7557

7380

Malaysia

4359

4693

4493

3776

3470

3827

Philippines

2886

3158

3251

4125

2843

3327

Singapore

9010

9610

10,218

10,490

10,835

11,262

Thailand

5818

6185

6531

6733

6876

6970

Vietnam

4078

4862

5002

5310

5806

5534

Source SIPRI [9]

[11]. Therefore, the first direct impact of territorial disputes in the South China Sea brings is the threat maritime security, freedom of navigation, and ship security on voyages, disrupting the process of international navigation. In addition, territorial disputes in the South China Sea threaten peace, stability, and security in the region. In the face of impersonal military modernization in China, countries in the region perceive a security threat that has led to a sharp increase in military spending in Southeast Asia. China topped the list of countries, where government budget investment in defense has grown steadily over the years, followed by (1) Singapore, (2) Indonesia, (3) Thailand, and (4) Vietnam. According to new data from the Stockholm International Peace Research Institute (SIPRI), total global military spending rose to 1917 billion dollars in 2019. US Military spending increased by 5.3% to a total of 732 billion dollars in 2019. China was the second-largest military spender in the world with 261 billion dollars. Many experts say that all countries concentrate their resources on developing naval forces that have capabilities that exceed the necessary security needs, thus posing potential risks of conflict in the region [12] (Table 1). The arms race in the South China Sea becomes even more fierce in the presence of US naval power. This situation is due to the fact that the United States declares its long-term interest in maintaining a stable peace in the South China Sea. Moreover, protecting FON is a fundamental US interest. Recently, the US aircrafts and warships has been constantly flying within 12 nautical miles around artificial structures on the Cross Rock, demonstrating military power in the South China Sea to confront military activities. Through the clashes between the warships (1) EP3, (2) battleship Impeccable, (3) USS Cowpens, (4) USS Fort Worth, (5) USS Decatur of US Navy force with destroyers, the Chinese warships clearly show the threat to the FON (extending to freedom of flying in the waters outside the territorial sea). Besides, the clash between Chinese, British, Japanese, and Australian warships, as their vessels patrolled to exercise FON in the South China Sea under international law is also intensifying tensions in the escalating area. The complicated situation in the South China Sea and the risk of conflicts arising due from uncontrolled disputes,

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are becoming a threat to (1) peace, (2) security, (3) stability, and (4) development in the region.

3 Results In recent years, maritime security cooperation between the EU and ASEAN has been one of the most effective mechanisms for resolving conflicts in the South China Sea. The European Union (EU) has a vital interest in maintaining a free, safe, and stable area of the South China Sea, especially in protecting the cargo corridors connecting the EU with trading countries in Northeast Asia, which create export markets and are the most important source of FDI in the EU. Trade with Japan alone accounts for 25% of global GDP. The EU is also the second largest trading partner of ASEAN, which is the third largest trading partner of the EU [5]. Therefore, from the very beginning, the EU has been actively involved in promoting the Eurasian cooperation on maritime security to protect the free trade in this sea. The EU, not claiming for the South China Sea, does not take any side in the disputes and maintains a neutral position on sovereignty issues. As members of the 1982 UNCLOS [15], EU countries have always (1) reaffirmed the importance of international law, (2) encouraged cooperation initiatives, (3) and urged parties to comply with standards and international principles for peaceful settlement of disputes. This position is reflected in various forms in all official EU statements and documents related to Asia or maritime security in general. In 2012, the EU East Asia Policy encouraged peaceful dispute resolution, calling on China and ASEAN to agree on a legally binding Code of Conduct (COC). The EU 2014 Maritime Security Strategy is based on (1) respect for international law, (2) full compliance with UNCLOS 1982, and freedom of navigation, as the foundation for a global stable environment. In 2016, the EU Global Strategy (EUGS) also committed to supporting freedom of navigation, by insisting on compliance with international law (including the Law of the Sea and its proceedings), encouraging the peaceful settlement of maritime disputes. The strategy also emphasizes the need to build maritime capacity and support regional security policy led by ASEAN. The EU position on the South China Sea is relatively clear. Within the framework of the Eurasian cooperation programs, the EU conducted numerous dialogues and capacity-building activities with ASEAN and each of the Southeast Asian countries on maritime security issues. The dialogue between the EU and ASEAN remains relevant. Maritime security is a key priority in strengthening political and security cooperation. The ASEAN– EU Plan of Action (2018–2022) emphasizes the importance of FON and peaceful settlement of disputes in the South China Sea. Since 2013, the EU organized five rounds of EU–ASEAN High-Level Dialogue on maritime security cooperation, (1) resolving port security issues, (2) enforcing maritime laws, (3) managing marine resources, and (4) preventing conflicts. Maritime security, preventive diplomacy,

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and mediation are the focus of EU–ASEAN conferences on security and defense issues organized by the European Security and Defence College (ESDC) years since 2014. In addition, the enhanced regional EU–ASEAN dialogue instrument (E-READI) is another platform to promote ASEAN political and security integration. The EU joined the Treaty of Amity and Cooperation (TAC) in 2012 and became a member of the ASEAN Regional Forum (ARF). Currently, as co-chair of the ARF Mid-term Group on Maritime Security (together with Vietnam and Australia), the EU has been organizing a series of maritime law enforcement seminars, promoting the exchange of best practices and specific measures to reduce regional stress. In addition, the Asia-Europe Meeting (ASEM) is also an important channel for Eurasian cooperation in maritime security. This is an informal dialogue and cooperation forum, founded in 1996 with the main goal of cooperation to promote further growth in Asia and Europe. The issue of maritime security was addressed at the recent meeting of ASEM Foreign Ministers Meeting, especially during the period from the 11th to the 14th Conferences (December 16, 2019). Conferences always reaffirmed the commitment to maintaining (1) peace, (2) stability, (3) security, (4) safety, (5) FON and overflight, and (6) marine economic activities in accordance with international law, especially the UNCLOS 1982. Members of the meeting expressed their concerns and suggested that no action should be taken to destabilize and increase tensions, calling for peaceful settlement of disputes under international law. Unilaterally, contrary to international law, without threatening or using force in violation of the Charter of the United Nations, respecting diplomatic processes and the rights of coastal countries in their waters, and promoting trust-building measures. We can argue that maritime security and conflict prevention are the EU top priorities when working with ASEAN and individual Southeast Asian partners. The EU encourages parties to strengthen their trust-building measures and, if necessary, they can seek the assistance of a third party in a mediation or arbitration role to facilitate the resolution of a claim. According to Igor Driesmans, EU Ambassador to ASEAN, the EU has extensive experience in dealing with overlapping maritime territorial claims. Also, he confirmed that the EU is willing to share the experience with ASEAN. Recent Chinese unilateral acts of aggression in the South China Sea, including (1) the temporary or permanent deployment of military forces or equipment on disputed or threatened maritime sites, (2) the sinking of fishing vessels and other ships, and (3) the attempt to impose new administrative boundaries raised concerns in the EU [3]. Several EU member states, such as France and Belgium, are increasing their maritime activities to protect FON in the South China Sea.

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4 Discussion As an interested party in the South China Sea dispute, Vietnam is working with ASEAN members and the international community to further promote dialogue to maintain a peaceful, secure, and stable environment in the area. Vietnam contributed to many important maritime security initiatives in the South China Sea at ASEM forums, establishing a comprehensive bilateral cooperation relationship with the EU. The EU-Vietnam Strategic Dialogue Unit organized annual international seminars on maritime security and territorial dispute resolution. As part of the Asia-Europe cooperation on maritime security in the South China Sea, Vietnam gained some experience in strengthening maritime security to contribute to the settlement and control of disputes. Vietnam needs to consult with the ASEAN countries to complete the project and approve the COC in the South China Sea in the near future. COC is not a means of resolving territorial sovereignty disputes in the South China Sea. It is a soft law document that calls on parties to comply with it on a voluntary basis. The content of the COC should clearly define actions that the parties do not have the right to deploy in the disputed territory: (1) conducting new occupation, (2) provoking military activities, (3) not spying in the garrison areas of other countries, (4) interfering with the FON and the operation of vessels of other countries on international maritime routes passing through the South China Sea, (5) unilaterally exploring and exploiting natural resources in areas of sea overlaps. The COC should promote measures to trust-building measures based on the principle of equality and mutual respect. In addition to documenting areas that encourage cooperation, the 2002 Declaration on the Conduct of Parties in the South China Sea (DoC) should guide the COC (1) cooperation, (2) crisis management provisions, (3) supervision of implementation, and (4) dispute resolution. Besides, the COC should prepare a permanent or temporary mechanism implying measures to combat serious violations of standard principles or prohibited actions, and recommend means to prevent escalating stress. The COC should aim to manage and control sovereignty disputes in the South China Sea, threatening regional peace and security and hindering activities of using the legitimate use of the sea in accordance with the convention [15]. Also, Vietnam should propose the establishment of a regional maritime security control center. The danger of conflict in the South China Sea still exists due to constant disputes over the sovereignty of islands and the desire to exploit marine resources. In recent years, China has taken aggressive actions in the waters of the region, from the East China Sea to the South China Sea, (1) sending geological probes deep into exclusive economic zone of Vietnam, (2) crashing sinking Vietnamese fishing vessels in the Paracel Islands under Vietnamese sovereignty, and (3) bringing military aircraft carriers and fighters to conduct military exercises near the Taiwan Strait. Meanwhile, there is no effective conflict control and prevention mechanism

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outside the DOC between ASEAN and China. Currently, establishing a mechanism to control and prevent conflicts at sea is urgent. Vietnam should ask the countries of the region to consider establishing a regional maritime security control center to ensure maritime security and FON in the South China Sea. There is a need to discuss with Philippines the implementation of the decision of the Permanent Court of Arbitration (PCA) of July 12, 2016, announced in Lahay, on the claim of China in the South China Sea. Therefore, Vietnam has not sued China for violating its sovereignty in the South China Sea, seeking the most favorable approach to resolving the dispute. However, the victory of the Philippines will create conditions for Vietnam to resort to adjusting the norms of international law, if necessary, to fight for the protection of independence and sovereignty in the South China Sea from the actions of China. Vietnam should continue to consult and coordinate with the Philippines in the fight against the actions of China that infringe on the sovereignty of the sea and islands of the two countries in the South China Sea. More than that, some issues should be coordinated in the near future to enforce the decision of the Permanent Court of Arbitration of July 12, 2016, on the rejection of claim of China to the ninedash line in the South China Sea. In accordance with the UNCLOS 1982, Vietnam should assert its sovereignty over (1) the Paracel and Spratly Islands, (2) internal and territorial waters, (3) exclusive economic zone, and (4) the continental shelf, and (5) legal rights and interests related to the geographical structures of the two Paracel and Spratly Islands of Vietnam. In addition, there is a need to consult with Japan in resolving the dispute between Japan and China over the sovereignty of the Senkaku/Diaoyu Islands to gain experience in handling the South China Sea dispute between China and Vietnam. Comparing the dispute of the Senkaku (Diaoyu) Islands between China and Japan with the South China Sea dispute between China and Vietnam, one can see both similarities and differences. The similarity lies in the claim of China to sovereignty asserting historical ties with the Senkaku (Diaoyu) Islands and historic rights (historic waters) in the South China Sea. Another point is the history, in the case of the Senkaku (Diaoyu) Islands can be discussed from the point of view of international law, while the history in the South China Sea dispute cannot be discussed from that perspective due to national law. It does not recognize the historic waters, except when they are recognized by the legal owners. Another point in the South China Sea, especially the waters surrounding the Spratly Islands, is the goal of six claimants. This is a multilateral sovereignty dispute, and the parties are trying to have multilateral discussions. In the East China Sea, most of the disputes are bilateral. The biggest problem is the Senkaku (Diaoyu) Islands. Through the meetings and consultations with the Japanese side, Vietnam can gain experience in managing territorial disputes with China. Vietnam should continue to reject the claim of China of jurisdiction over the waters within the cow’s tongue line which China has made and called historic waters, since the concept of historic waters cannot be found in international law. In fact, the claim of China has been rejected by the decision of PCA. If China maintains its position, it must explain that the claim is

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based on international law. Moreover, historic waters are not interpreted as exclusive economic zone waters, because they consist of a series of rocks and reefs. Vietnam should closely monitor the response of China to Japanese claims in the Okinotori Shima case to have strong arguments in its opposition to illegal actions to embellish the Chinese artificial structures in the South China Sea. On the 1st of October, 2014, China accused Japan of expanding the continental shelf of Okinotori Island by 3000 km2 to the north and 174,000 km2 to the south. This was considered an act that does not comply with the UN regulations on the opening expansive continental shelf, that harms the interests of countries, including China. At the same time, China accused Japan of deploying troops and military equipment on the southwestern islands to strike China. Earlier in 2009, China sent a diplomatic note against the acceptance by Japan of Okinotori as a baseline for extending the continental shelf beyond 200 nautical miles, because China argued that Okinotori was just a reef, not a place where residents can live, nor can maintain their own economy. Therefore, Vietnam should continue to closely monitor the situation and publish evidence of Chinese activities in building and expanding illegal structures on artificial sites in the South China Sea. Finally, Vietnam needs to actively participate in international and regional forums, including Eurasian cooperation forums to gain the support of international public opinion and consensus among major countries (especially EU and countries with common interests in the South China Sea) to manage and control security and order in the South China Sea.

5 Conclusion Security in the South China Sea is vital for peace, regional, and global security. Increased tensions in the South China Sea, if left unchecked, could lead to armed conflict, albeit of low intensity, which cause regional instability. Therefore, strengthening Eurasian maritime security cooperation in the South China Sea plays an important role in maintaining peace, security, FON and overflight, and peaceful settlement of disputes in the South China Sea, based on respect for international law and regional agreements (including the DOC in the South China Sea). For Vietnam, the Eurasian cooperation forum continues to be an important mechanism for cooperation at the inter-regional level to manage and control disputes over territorial sovereignty, ensuring the security of shipping routes, and FON in the South China Sea.

References 1. Allen CH (2008) The international supply chain security regime and the role of competent international organizations. Legal challenges in maritime security. Brill Nijhoff, Leiden, Netherlands, pp 165–262

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2. Bueger C (2015) What is maritime security? Mar Policy 53:159–164 3. Chaudhury DR (2020) Chinese aggression in South China Sea & East China Sea face strong pushback. The Economic Times. Retrieved from: https://economictimes.indiatimes.com/ news/defence/chinese-aggression-in-south-china-sea-east-china-sea-face-strong-pushback/ articleshow/75344181.cms?utm_source=contentofinterest&utm_medium=text&utm_cam paign=cppst 4. Chien ND (2018) Indo pacific strategy: impact on sea-economic fields in the East Sea region. J Middle East North Afr Sci 4(12):5–10 5. Gerstl A (2018) The EU’s interest and policy towards East Asia maritime security. Marit Issues 26. Retrieved from: http://www.maritimeissues.com/uploaded/The%20EU’s%20inte rest%20and%20policy%20towards%20-%20East%20Asia%20maritime%20security%20.pdf 6. Klein N (2011) Maritime security and the law of the sea. Oxford University Press, Oxford, UK 7. Kraska J, Pedrozo R (2013) International maritime security law. Brill Nijhoff, Leiden, Netherlands 8. Roach JA (2004) Initiatives to enhance maritime security at sea. Mar Policy 28(1):41–66 9. Stockholm International Peace Research Institute (2020) Military expenditure by country, US$ mln., 2014–2019. Official website. Retrieved from: https://www.sipri.org 10. Storey I (2012) Brunei’s contested sea border with China. In: Elleman B, Kotkin S, Schofield C (eds) China and its borders: twenty neighbors in Asia. M. E. Sharpe, New York, NY 11. Thai VV (2005) The impacts of trade and maritime security measures. Vietnam Shipper 8:12–21 12. Tien DD (2019) On modernization of the air force in several Southeast Asian countries. Natl Defence J. Retrieved from: http://tapchiqptd.vn/en/events-and-comments/on-modernizationof-the-air-force-in-several-southeast-asian-countries/12305.html 13. Till G (2009) Seapower: a guide for the twenty-first century. Taylor & Francis, London, UK 14. Tummers E (1999) The future maritime security environment. Marit Aff 13 15. United Nations (1982) Convention on the Law of the Sea. Montego Bay, Jamaica. Retrieved from: https://www.un.org/depts/los/convention_agreements/texts/unclos/unclos_e.pdf 16. Vreÿ F (2010) African maritime security: a time for good order at sea. Aust J Marit Ocean Aff 2(4):121–132 17. Watkins D (2015) What China has been building in the South China Sea. New York Times 27(11). Retrieved from: https://www.nytimes.com/interactive/2015/07/30/world/asia/ what-china-has-been-building-in-the-south-china-sea.html

Cooperation of the United Nations and Private Military and Security Companies in Peace-Keeping Yuliya V. Puzyreva

and Anastasia A. Kozlova

Abstract The paper legally analyzes the interaction of the United Nations (UN) with private military and security companies (PMSCs) from the point of view of recognizing the legitimate status of such companies and their contribution to peacekeeping operations. Currently, there is a clear tendency for PMSC presence in areas of armed conflict and post-conflict peace-building. At the same time, loopholes in the legal regulation of their status are not resolved both by general acts of international humanitarian law and by special acts regulating the activities of such organizations and determining the legality of their involvement in the provision of a wide range of services, including the military sphere. We establish that the absence of the international legal status of PMSCs does not prevent the development of bilateral cooperation with the UN, although it causes several organizational and technical problems. At the same time, prompt discussion of the draft PMSC Convention under the auspices of the UN will contribute to the widespread legalization of the activities of the PMSC and will facilitate the future cooperation of the UN and other international organizations with such companies. Keywords Private military and security companies · The United Nations · Peace-keeping

1 Introduction Late twentieth to early twenty-first century world events created new challenges and posed new threats to the current security system, and significantly changed the nature of armed conflicts. The privatization and hybrid war tendencies determined the sustainable formation of a system of new actors in the form of PMSCs, which Y. V. Puzyreva (B) · A. A. Kozlova Moscow University of the Ministry of Internal Affairs of the Russian Federation named after V.Y. Kikot, Moscow, Russia e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 S. G. Maximova et al. (eds.), Advances in Natural, Human-Made, and Coupled Human-Natural Systems Research, Lecture Notes in Networks and Systems 252, https://doi.org/10.1007/978-3-030-78105-7_48

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became an integral part of many military operations. Their services are diverse and accessible to all countries and international organizations, non-state associations, commercial structures, humanitarian organizations, and even individuals, including criminal structures and terrorist organizations. The UN is increasingly turning to the services of PMSCs, involving them in various aspects of modern peace-keeping. We believe it is relevant to study the current relations between the UN and PMSCs and identify the reasons, foundations, and prospects for such cooperation, based on a fact-based and comprehensive analysis of their joint activities.

2 Materials and Methods The UN is one of the first international intergovernmental organizations to establish the practice of using the services of PMSCs. First of all, we must mention the involvement of employees of such companies in the early 1990s for personnel protection of United Nations peace missions in unstable areas of operation. The starting point for such decisions is the complex operations of the Organization in Somalia and Rwanda, which took the lives of many peace-makers due to the violent armed opposition of the groups in these countries, the lack of control of power in the territories, and the inability to provide security to the peace-keeping contingent and many humanitarian organizations. Over time, the UN expanded the geography, scope of its operations, and the range of services provided by PMSCs. Such companies become increasingly involved in complex emergencies and in conflict or post-conflict areas to provide various types of activities, such as (1) demining and water purification, (2) intelligence activities in harsh conditions, (3) military equipment delivery to the areas of operation deployment, (4) transport and logical maintenance, (5) local personnel training, (6) protection of premises and transport columns [5]. The paradoxical nature of the situation is connected with the growing popularity of PMSCs in the implementation of the UN peace-keeping and the absence of clear standards in international law for the activities of PMSCs. There is mostly a lack of the legal regulation of the interaction with the only international universal organization established in 1945 to maintain international peace and security. The PMSC legal status is currently governed by the rules of “soft law”—the Montreux Document “On Pertinent International Legal Obligations and Good Practices for States Related to Operations of Private Military and Security Companies During Armed Conflict,” adopted in 2008 at the initiative of Switzerland and the International Committee of the Red Cross [8], and the “International Code of Conduct for Private Security Service Providers,” which is a continuation of the “Swiss Initiatives,” adopted in November 2010 [1]. Undoubtedly, we should positively consider these guidelines, supported by individual countries, international organizations, representatives of civil society, and individual security companies, especially in the absence of a mandatory regulatory

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framework for PMSCs on an international level. At the same time, the “Swiss Initiatives” are aimed at regulating relations between PMSCs and countries and cannot be acceptable for the universal concept of the UN peace-keeping. We should note that in 2009 the experts of the Working Group on the use of mercenaries as a means of violating human rights and impeding the exercise of the right of peoples to self-determination prepared a “Draft International Convention on the Regulation, Oversight and Monitoring of Private Military and Security Companies” [9]. The document attracted significant public and scientific attention. Many Russian and foreign scholars highly appreciated the balance of obligations and the qualitative preparation of this document [11]. Some experts objectively criticized the document regarding the consideration of key issues related to the activities of the PMSC: (1) state responsibility, (2) protection of human rights, (3) contractual rights and obligations of the parties, (4) current standards and methods of ensuring the implementation of the provisions [2, 6]. However, all experts agree that in perspective, the Draft PMSC Convention is the best regulator of the activities of such companies in comparison with the “soft law” mechanisms that currently exist [4, 6]. Thus, an analysis of the international sources that currently regulate the activities of the PMSCs makes it possible to note the existence of the developed set of the “Swiss Initiatives” on this issue, which are not legally valid and not mandatory, as well as the draft international treaty on PMSCs prepared more than ten years ago and sent to the competent bodies of foreign policy relations of 193 countries for familiarization and further consultations. Unfortunately, the process of negotiating the text of the Convention on PMSCs will take a long time. As mentioned, the legal vacuum in PMSC activity regulation does not prevent the UN from using the services of such companies in its peace missions and postconflict reconstruction projects of countries. The increasing demand for such companies prompted the UN Department of Safety and Security to initiate the development of the policy on legalizing the status of PMSCs in joint activities with the UN, which resulted in the creation of Guidelines on the Use of Armed Security Services from Private Security Companies [10]. The recommendation document stipulates that the condition for the involvement of PMSCs in the activities of the UN is the circumstances in which the host party cannot ensure the safety of the personnel of the peace-keeping contingent and its property during the operation, or such protection cannot be realized using the UN internal resources, including officers of the UN Department of Safety and Security. We should note that these conditions make it possible to legalize all cooperation between the United Nations and PMSCs, considering the growing reluctance of many countries to provide their troops to peace operations, and the increasing nature of many operations, and the intense activity of PMSCs in the market of services with multifaceted functions which are crucial for the successful peace-keeping. In the future, these tendencies will lead to the “privatization of international security and peace.” The legal basis for the PMSC employment is either the direct UN treaty or a treaty with a country providing troops and using PMSCs within the national contingent. This provision raises grave concern, at least because of the lack of uniform international

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legal requirements for the activities of PMSCs and the disparate national regulation of this issue, which often leads to the legal cooperation of the UN with companies of “poor reputation,” which at the same time within the national jurisdiction of their states have all the signs of the legality of activities [3]. The Guide on the use of private security companies sets out recommendations for the conclusion of the UN and PMSC contracts but does not clarify the procedures for selecting and monitoring their activities. These fundamental processes remain in the self-regulation of such companies, which raises questions about the transparency and objectivity of their selection by the UN. The organization has never publicly recognized its dependence on PMSCs, so it has neither (1) collected system-wide data on outsourcing and contracts with such companies, (2) established clear criteria and procedures for selecting and hiring policies of PMSCs, (3) established uniform rules throughout the UN system, nor (4) established internal mechanisms for exchanging information between the UN entities regarding PMSCs. A striking example is the case of the UN involvement in the Stabilization Mission in the Democratic Republic of the Congo in 2010 and 2011 of Saracen Uganda, which, in accordance with UN Security Council resolutions, violated human rights and international law, illegally exploited natural resources in the Republic of the Congo, and grossly violated the UN arms embargo on Somalia. The lack of provisions in the Guide on monitoring PMSC activities generally negates all the advantages of this document since such a gap leads to impunity in cases of gross violations of the principles of international law. It does not ensure implementing the institution of individual criminal responsibility against PMSC employees involved in such an illegal act and the corporate responsibility of PMSCs themselves. There are positive aspects of using PMSCs in the UN peace-keeping operations. First of all, such companies can help eliminate the qualitative shortcomings of the UN peace-keeping, since PMSCs are better organized, their employees are specially trained and equipped in contrast with the UN contingent. The practice of conducting multinational peace-keeping operations has revealed such objective difficulties faced by peace-keepers as (1) the lack of general equipment, (2) incompatible communication systems, (3) different work experience, military, and security doctrine, and (4) the language barrier between mission staff members. PMSCs will help compensate for organizational barriers to effectively achieve the goals of a peace-keeping operation. Second, PMSCs can help compensate for the temporary delay in responding to crises in countries since they can deploy faster than the UN peace-keepers. The organization has repeatedly stressed the importance of rapid deployment to prevent conflicts, crises, and mass violations effectively. Third, PMSCs are more cost-effective than multi-disciplinary and multinational UN peace-keeping contingents. These arguments allow one to consider PMSCs as a positive element of current peace-keeping. However, the legitimacy of their status in relations with the UN should be formalized in appropriate mandatory international rules for the control, supervision, and monitoring of the activities of such companies.

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3 Results The analysis of the interaction of the UN with PMSCs in current peace-keeping allows one to conclude the objective possibility and the necessity of involving such companies in UN peace-keeping operations if the primary condition is that the mandatory rules of international law establish the legal status of PMSCs. . There are currently 13 extensive multi-disciplinary peace-keeping operations under the auspices of the UN, to which 121 countries have provided a diverse contingent of 81,370 people (as of April 2020). PMSCs are present in almost all UN peace-keeping operations, performing a wide range of functions and tasks, which asserts the proven ability of PMSCs to participate in global peace-keeping. . The practice of conducting multinational UN peace-keeping operations has revealed a number of objective quantitative and qualitative difficulties faced by peace-keepers locally, which can be overcome through the involvement of PMSCs. We consider that in this context, such companies will contribute to the full implementation of the mandates of the UN peace-keeping operations, acquiring the status of a necessary element of current peace-keeping. . The analysis of legal acts regulating the activities of PMSCs allows one to note the existence of a developed set of soft law norms, the so-called “Swiss Initiatives” of a recommendatory nature, and the 2009 Draft Convention on PMSCs, which has been under review by the UN Member States for a long time. Therefore, there is no mandatory international legal regulation of the status of PMSCs, which leads to the formation of disparate national concepts in this area and the principle of “self-regulation of PMSCs.” . The legal basis for interaction between the UN and PMSCs during peace-keeping is also the provisions of a recommendatory nature—the 2012 Guide to the Use of Services of Private Security Companies. Despite its importance, the document is not a universal basis for legalizing cooperation between the UN and PMSCs in matters of maintaining peace and security. It contains several shortcomings in establishing procedures for selecting and monitoring PMSCs and does not contain recommendations for monitoring the activities of such companies. These loopholes continue to shape the practice of the UN cooperation with unscrupulous PMSCs involved in some illegal acts that undermine the authority of the UN and the entire universal security system. . The growing demand of the UN for PMSC services in peace-keeping operations and the established objective possibility of the presence of such companies in mission deployment zones determine the need for the rapid development of universal legal norms regulating the status and activities of PMSCs in relations with countries and international organizations. More than ever, countries need to join forces and reach a compromise on adopting an International Convention on the regulation of PMSCs. It is no longer possible to leave this current state of the world order to self-regulation.

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4 Discussion It is evident that the debate about the participation of PMSCs in the UN peace-keeping is quite complicated. The researchers of this issue take diametrically opposite points of view. The first school of experts claims that PMSCs have a proven ability to be used in peace-keeping operations, and their mobility, cost-effectiveness, and efficiency in providing services have made them popular with the UN [5, 12]. The second school of experts is critical of the emerging practice of involving the private sector in exclusively public relations [2, 4]. Besides, at present, this area of relations is beyond precise international legal regulation. At the same time, since the 1990s, the UN has been using such companies as part of its peace-keeping, forming a stable practice of cooperation with PMSCs. In this regard, it seems that it is necessary to combine the positions of two expert schools into one thesis. Given the objective advantages of involving PMSCs in multi-disciplinary peace-keeping operations and the growing demand for such companies, it is necessary to create a strict PMSC supervision system to increase their legitimacy and remove barriers to ensure the accountability of PMSCs in accordance with international law.

5 Conclusion The implementation of the UN peace-keeping operations involving PMSCs and the use of their various services is carried out from the point of view of international law in the so-called “gray zone.” As a result of ambiguity regarding the status of PMSC personnel and the lack of mandatory legal rules governing their conduct, these companies operate in a legal vacuum. Nevertheless, PMSC services are objectively necessary and important for the UN in the context of current multi-disciplinary peacekeeping. The UN is facing the primary and urgent task—to legalize the status of such companies by initiating and encouraging countries to sign the 2009 Draft Convention on PMSCs. Otherwise, the risk that the UN will gradually and irrevocably transfer its peace and security functions to the uncontrolled sphere of PMSCs increases.

References 1. International Committee of the Red Cross (2010) International Code of Conduct for Private Security Service Providers (ICoC) from November 9, 2010. Swiss Initiative, in Cooperation with the International Committee of the Red Cross, on Private Military and Security Companies. Geneva. Switzerland. Retrieved from: http://www.news.admin.ch/NSBSubscriber/message/att achments/21143.pdf 2. Janaby MG (2016) The legal regime applicable to private military and security company personnel in armed conflicts. Springer, Cham, Switzerland

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3. Korolkova EE (2019) International legal regulation of the activities on private military and security companies. Dissertation of Candidate of Legal Sciences, MGIMO University, Moscow, Russia 4. Kotlyarov II, Puzyreva YV (2013) Non-state armed groups and international humanitarian law. Moscow J Int Law 2:3–22 5. Nebolsina MA (2016) UN cooperation with PMSCs in peace-keeping missions and in postconflict reconstruction operations. Discourse, politics, management. Materials of the IX RAMI Convention. MGIMO MFA of Russia, RAMI. MGIMO-University, Moscow, Russia 6. Nebolsina MA (2018) Regulation of the activities on private military and security companies. Comparative analysis of the policy of international organizations and world powers. Monograph of candidate of legal sciences. MGIMO University, Moscow. Russia 7. Tonkin H (2011) State control over private military and security companies in armed conflict. Cambridge University Press, Cambridge, UK 8. United Nations (2008) Montreux document on pertinent international legal obligations and good practices for states related to operations of private military and security companies during armed conflict (October 6, 2008, No. A/63/467–S/2008/636). Retrieved from: http://www.eda. admin.ch/psc 9. United Nations (2010) Draft convention on private military and security companies (PMSCs) for consideration and decision by the Human Rights Council. Report of the Working Group on the use of mercenaries as a means of violating human rights and impeding the exercise of the right of peoples to self-determination (July 5, 2010, No. A/HRC/15/25). Main Office of the UN High Commissioner for Human Rights. Retrieved from: https://www2.ohchr.org/english/ issues/mercenaries/docs/A.HRC.15.25.pdf. 10. United Nations (2012) System security policy manual. United Nation Department of Safety and Security, Geneva, Switzerland 11. Volevodz AG (2012) International legal regulation of the activities on private military and security companies (PMSCs): the current stage of international lawmaking. Crim Libr Sci Mag 1(2):233–251 12. Zverev PG (2015) Activities of private military companies: violation of international law or a new chance for international peace-keeping? Kaliningrad Branch of the St. Petersburg University of the Ministry of Internal Affairs of Russia, Kaliningrad, Russia

Standards in the Eurasian Economic Union: The Case of Medical Devices Registration Khedi A. Rasaeva

Abstract Since January 2015, the Russian Federation has been a member of the Eurasian Economic Union (EAEU), which currently includes a number of member states. The main advantage for all companies engaged in the medical item’s production in belonging to the Eurasian Economic Union is a single registration (in absolutely any of the countries belonging to the EAEU members) with the subsequent possibility to carry out the sale of its medical devices in all countries of the EAEU. The market of medical devices is vast and complex, which in practice causes many disputes and problems, which is attributed to the need to increase the legal circulation certainty of medical devices sphere. In recent years, several normative and legal acts have been adopted both at the international level and at the level of each country. All of them are united in terms of safety and efficiency of medical devices entering the market, providing a favorable environment for the patient, protecting, first of all, the health and safety of people. At the same time, strict requirements are introduced for medical devices, including their registration and clinical research. The paper focuses on the peculiarities of medical device registration within the framework of the EAEU, identifies the existing problems within this topic, and suggests ways to solve them. Keywords Medical devices · EAEU · Expertise · Registration of medical devices · Legislation · Agreement

1 Introduction Presently, registration of medical devices (MD) is carried out under the current Rules for Registration and Examination of Safety, Quality, and Efficiency of Medical Devices approved by the Decision of the Council of the EAEU in 2016 No. 46 [1, 2, 7]. Currently, there is a transition period until the beginning of 2022. It allows all medical device manufacturers to prepare thoroughly for all upcoming transformations, including an important procedure for issuing a unique registration certificate. K. A. Rasaeva (B) Russian Academy of Advocacy and Notaries, Moscow, Russia e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 S. G. Maximova et al. (eds.), Advances in Natural, Human-Made, and Coupled Human-Natural Systems Research, Lecture Notes in Networks and Systems 252, https://doi.org/10.1007/978-3-030-78105-7_49

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The current registration certificates, including perpetual ones, shall terminate as early as the end of December 2021. The procedure for registration of MD is a mandatory category because it is one of the duties assigned to the EAEU member states’ supervisory bodies. From this point of view, representatives of supervisory bodies carry out such procedures as monitoring the qualitative characteristics and safety of all MD sold on the EAEU countries’ market. Thus, only those devices that have already passed the official procedure of mandatory registration are allowed to enter commercial circulation. Of course, the registration of all MD is an important procedure that demonstrates impeccable qualities and confirms characteristics from the consumers’ point of view. Registration of MD in the conditions of the EAEU involves the transition to this procedure in the winter of 2021, as well as compliance with more strict conditions concerning registration documentation. The study’s problem is that there are still versions of the regulations that imply termination of registration certificates obtained under the national procedure.

2 Materials and Methods In the context of this work, an analysis of legislation and regulations was carried out on the topic of research over the past few years (for example, Rules for Registration and Examination of Safety, Quality, and Efficiency of Medical Devices [1, 2, 7]. The fundamental background materials are the documents of the EAEU: . criteria for the delimitation of elements of a medical product [4], which are part of a medical device, for its registration; . relevant methodological recommendations in the field of treatment and registration of MD [7]; . rules for classification of MD [13] depending on the potential risk of application; . Requirements for implementation, maintenance, and evaluation of the quality management system of MD depending on the potential risk of their application [8].

3 Results Concerning the procedure for the registration of MD, it is worth noting that no significant tightening in the registration plan is foreseen. Still, all this will require more attention to the timely correction of any comments identified during the expert evaluation. Such a new approach may well cause significant delays in the implementation of registration activities and may cause the appearance of additional financial expenses. Today, the application of the version of the regulations [10, 11], implying the termination of registration certificates, which have been obtained under the national procedure, continues. However, there is already an agreement between the working group

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members regarding the introduction of certain changes. Such amendments include the continuation of registration certificates obtained in strict compliance with the participating countries’ national procedures. In the Republic of Armenia, there is no national procedure concerning the procedure for registration of all MD. Following the agreement reached by the participants, changes to the documentation contained in the registration dossiers for MD, which are registered under the national procedure, are allowed only if key positions are observed. These positions are officially provided by the national procedures of all countries participating in the EAEU. It should be remembered that the process of registration of MD by the national procedures of the countries participating in the EAEU ceases to be possible after December 2021. Based on this, the question arises: What will happen to MD, which at the end of 2021 will undergo the registration process under the national procedure? In case, on the last day of December 2021, the location of the registration dossier for the medical product will be the registration body, where the document passes the verification stage for full and reliable information by the national procedure of any of the member states of the EAEU, the return is carried out. Thus, the process will not be completed. The registration dossier documents will be returned to the applicant, which is due to the procedure for the complete termination of the validity of the national state registration [13]. No less interesting is the mechanism under which it is planned to carry out the import of MD if it is necessary to carry out a set of tests of the goods for subsequent registration in strict accordance with the procedure of the EAEU. In this case, it is not necessary to focus on the current official Order of the Ministry of Health of the Russian Federation No. 7n [12], which regulates the import of such MD. When the Russian Federation represents the reference state, and all tests of MD are supposed to be carried out only in the conditions of Russian testing laboratories, it is necessary to avoid possible difficulties related to the passing of customs procedures. To this end, specialists recommend submitting a special appeal to Roszdravnadzor, which indicates the MD and manufacturer’s data planned for registration with the application of a power of attorney officially issued to the authorized representative of the manufacturer. In this case, the applicant receives a response from the relevant service, which sets out the carriage rules. Therefore, the import permit applies only to MD that have been officially registered by the national procedure. Among other things, it is assumed that a regulatory document will be developed in the future. The import of MD is regulated for the aim of its mandatory registration based on the current procedure of the EAEU.

4 Discussion At the end of 2018, Russian manufacturers of MD could submit applications for the procedure for device registration under the rules of the EAEU. Despite this, the question repeatedly arises: Is it planned within the framework of the official procedure

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of the EAEU to have devices that will not be subject to the risk analysis requirement (provision of the risk management file)? Based on the available information, the availability of such MD is not provided, so risk analysis should be carried out for absolutely all MD, even if it is assigned to the first risk class. Besides, the agreement does not provide for the extension of the validity of the registration certificate exclusively to one of the EAEU member states. It is mandatory to have not only a reference state but also at least one state of recognition. However, it is possible that certain amendments or revisions of any applicable regulations will be made in the future. The registration certificate issued according to the procedure of the EAEU will be valid only in one country in only one situation. Under these conditions, the following rule applies: the expert organization of the reference state issues a positive opinion, and the expert state organization issues a refusal (disagreement) to the conclusion received for the devices. In this case, the obtained registration certificate is valid only within the territory of the reference state. The peculiarities of the payment mechanism of state duties for passing the procedure by obligatory coordination of the required expert opinion, as well as their amounts, are also of great importance. Receipt of a positive opinion from the reference state’s authorized bodies obliges the applicant to make full standard payment of the state duty within twenty working days. For this purpose, any applicant must conclude an official contract with the relevant country’ expert organization. In this case, the amount of such state duty is determined independently by the expert state organization [3–5]. Price determination considers current price lists. The total amount directly depends on several key factors presented by the medical product, risk class, sterility or non-sterility of the product, and the total number of options, and some other significant parameters. For the reference state presented by the Russian Federation, it is not necessary to conclude a treaty with an expert organization. The standard receipt for payment of the state duty can be downloaded on the Roszdravnadzor official website. After filling in the receipt, standard payment is made, and the amounts of the state fee for the approval procedure are determined under the Russian Tax Code. Following the current legislation, medical goods that are subject to registration with the terms of the EAEU are presented in the specifications: . . . . . . . . .

Equipment used in performing cosmetic procedures; Equipment used to perform surgery procedures; X-ray equipment; Equipment used in laboratory tests; Rehabilitation devices—chairs for disabled people; Equipment for radiofrequency therapy and ultrasonic procedures; Implants and dental devices; Artificial life support equipment; Other devices necessary for medical activities.

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Medical goods that are subject to registration according to the terms of the EAEU also include MD provided with tools for various operational interventions, examination devices, furniture for medical institutions, consumables and general hospital products, dressing materials, as well as orthoses, and other devices used for health and therapeutic purposes. Registration activities of all medical goods in the Eurasian Economic Union conditions are carried out within the time limits strictly defined by official documents and regulations. First of all, it is necessary to remember that the deadlines for issuing the registration certificate are regulated, considering several factors. These factors are the hazard class of MD, the required scope of the research procedure, and the selected type of registration policy. Registration of MD under the existing agreement of the EAEU is carried out strictly in stages, which is a difference from such procedures, carried out by national requirements. From this point of view, the terms in which registration certificates are issued according to the terms of the EAEU are long and amount to: . For medical goods of the first risk class—not more than ten months; . For medical goods of the second A-risk class—not more than twelve months; . For medical goods of the second B and third risk class—from one year to one and a half years. The advantages of issuing a registration certificate for MD according to the rules of the EAEU are obvious. They are issued indefinitely and remain in force even after the transition period is over, being entirely legitimate in all countries belonging to the EAEU members. Of course, many believe that such a system is not devoid of significant shortcomings, including the presentation of more stringent requirements for MD and the package of documents included in the registration dossier. Nevertheless, honest, and responsible manufacturers understand that the availability of such a registration certificate represents in current reality a severe competitive advantage in the conditions of the MD market. The stages of registration activities include the preparation of documents of the registration dossier and the direct implementation of the registration procedure and expert evaluation. The completeness and correctness of the registration dossier documents determine a relatively large number of factors, so the presence of errors, as a rule, significantly increases the procedure’s time and may cause the refusal. Thus, after determining the list of documents of the registration dossier, the compliance of MD with general requirements related to safety level, performance indicators, compliance of marking data, and completeness of operational documentation under the Regulation of the Council of EEC No. 27 [6] is confirmed. The Applicant carries out several measures presented by technical tests and studies to assess biological action and approve typical features of measuring instruments. Critical importance is given to current clinical trials.

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5 Conclusion Thus, only after the full preparation stage does the examination procedure itself begin and subsequent registration. At the first step, the completeness, as well as the reliability of the documents provided by the applicant are checked, which are then submitted for examination, in parallel with which the authorized body (expert organization) of the reference state performs the inspection of MD production The key action of the third step of this event is represented by the agreement of the reference state expert opinion. Only if the expert opinion’s approval is positive, the registration certificate and its official annex shall be issued. It is necessary to consider the fact that already from January 2022, registration of absolutely all MD “from scratch” by the national rules of the countries having membership in the EAEU will become impossible. All cases in which registration of medical goods within the Union will not be required are defined according to Paragraph No. 11 of Article No. 4 of the “Agreement on unified principles and rules of the address of medical devices (products of medical purpose and medical equipment) [9] within the Eurasian Economic Union. The first applications for their registration under the rules of the EAEU were submitted in Kazakhstan and the Russian Federation. Definitely, until January 2022, according to the independent choice of the medical device manufacturer or its commissioning representative, the procedure for registration of any MD may be carried out following the procedure established by the Commission, as well as under the current procedure provided for at the legislative level in the state that is a member of the EAEU. Thought, already at present, companies working in the field of production of MD need to think about using gradually suitable by the end transition period with maximum benefit (the study of legislation and key conditions of registration). It is worth mentioning the conditions under which solving the problems specified in this topic is possible: . Registration certificates obtained under the national procedures of the member States after December 31, 2021, will continue to be valid until the end of their validity period; . Amendments to the documents contained in the registration dossiers of MD registered under the national procedure will be possible subject to the conditions now provided for by the national procedures of the EAEU member states; . Registration of MD according to the national procedures of the EAEU member states will be terminated after December 31, 2021; . A regulatory document will be developed, regulating the import of MD for registration under the EAEU procedure.

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References 1. Astapenko EM, Sukhanova MM (2015) Some issues of legal regulation in the registration of medical devices. Bull Roszdravnadzor 3:5–9 2. Astapenko EM, Sukhanova MM (2016) Rules of registration and examination of safety, quality, and effectiveness of medical products within the Eurasian Economic Union. Bull Roszdravnadzor 5:17–20 3. Board of the Eurasian Economic Commission (2015) Decision of the Board of the Eurasian Economic Commission “On Approval of the Rules for Classification of Medical Products Depending on the Potential Risk of Application” (December 22, 2015, No. 173). Moscow, Russia 4. Board of the Eurasian Economic Commission (2018) Recommendation of the Board of the Eurasian Economic Commission “On Criteria for Referring Products to Medical Products within the Framework of the Eurasian Economic Union” (November 12, 2018, No. 25). Moscow, Russia 5. Board of the Eurasian Economic Commission (2018) Decision of the Board of the Eurasian Economic Commission “On Criteria for Delimiting Elements of Medical Products that Are Part of Medical Products for the Purpose of its Registration” (July 24, 2018, No. 116). Moscow, Russia 6. Council of the Eurasian Economic Commission (2016) Decision “On Approval of General Requirements for Safety and Efficiency of Medical Products, Requirements for their Marking and Operational Documentation on Them” (February 12, 2016, No. 27). Moscow, Russia. Retrieved from: https://docs.eaeunion.org/docs/ru-ru/01410216/cncd_17052016_27 7. Council of the Eurasian Economic Commission (2016) Decision of the Council of the Eurasian Economic Commission “On Rules for Registration and Examination of Safety, Quality and Efficiency of Medical Products” (February 12, 2016, No. 46). Moscow, Russia 8. Council of the Eurasian Economic Commission (2017) Decision of the Council of the Eurasian Economic Commission “On Requirements for Implementation, Maintenance and Evaluation of the Quality Management System of Medical Products Depending on the Potential Risk of Their Use” (November 10, 2017, No. 106). Moscow, Russia 9. Eurasian Economic Union (2014) “Agreement on the uniform principles and rules of the address of medical products (products of medical purpose and medical equipment) within the Eurasian Economic Union” (December 23, 2014). Moscow, Russia 10. European Union [EU] (2017) Regulation (EU) 2017/745 of the European Parliament and of the Council of 5 April 2017 on medical devices, amending Directive 2001/83/EC, Regulation (EC), No. 178/2002 and Regulation (EC), No. 1223/2009 and repealing Council Directives 90/385/EEC and 93/42/EEC (Text with EEA relevance) (April 5, 2017, No. 2017/745). Strasbourg, France 11. European Union [EU] (2017) Regulation (EU) 2017/746 of the European Parliament and of the Council of 5 April 2017 on in vitro diagnostic medical devices and repealing Directive 98/79/EC and Commission Decision 2010/227/EU (April 5, 2017, No. 2017/746). Strasbourg, France 12. Ministry of Health of the Russian Federation (2012) Order of the Ministry of Health of the Russian Federation “On Approval of the Procedure for the Import into the Territory of the Russian Federation of Medical Products for the Purpose of State Registration” (June 15, 2012, No. 7 N). Moscow, Russia 13. Roszdravnadzor (2018) Methodological recommendations on the procedure for conducting an examination of the quality, efficiency, and safety of medical products (in terms of software) for state registration within the framework of the national system. Moscow, Russia 14. Roszdravnadzor (2019) Order of Roszdravnadzor “On Approval of Regulations of the Federal Service under Supervision in the Field of Health Care on Provision of State Service for State Registration of Medical Products” (May 5, 2019, No. 3371). Moscow, Russia

Digital Technologies for Gun Control Artem A. Shmidt

and Ekaterina A. Merkel

Abstract In the paper, we analyze (1) Russian legislation on weapon control, (2) developing e-government, and (3) public services in Russia. Based on this analysis, the paper proposes a scenario for the provision of the public service entitled Monitoring the circulation of civil, service, and premium weapons and ammunition in electronic form and the technical condition of military hand-held small arms and service weapons, temporarily used by citizens and organizations, as well as compliance by citizens and organizations with the legislation of the Russian Federation in the field of arms trafficking, which, according to Russian law, is an obligatory annual administrative procedure for citizens who own civilian weapons. Verification of the conditions for storing weapons and ammunition owned by citizens (conditions for ensuring the safety of weapons and ammunition) is currently carried out in the traditional form, requiring the direct presence of an official of the government body responsible for controlling civilian weapons in a citizen’s home. This administrative procedure is quite complicated, as it requires significant investment from the government, and inconvenient for citizens, as it is associated with the restriction of human rights to the inviolability of the home. The paper substantiates this conclusion and proposes a model of effective government control over civilian weapons using an e-application for the validation of the owner of the weapon, collection, analysis, and systematization of geodata and information about the safety of weapons. Keywords Civilian weapons · Administrative regulation · Public services · Reform of permitting activities · Weapon control

1 Introduction In recent years, there have been trends in Russia to (1) comprehensively reform the control, supervision, and licensing activities of the police, (2) introduce new principles for the provision of public services, and (3) digitalize and improve the A. A. Shmidt (B) · E. A. Merkel South Ural State University, Chelyabinsk, Russia e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 S. G. Maximova et al. (eds.), Advances in Natural, Human-Made, and Coupled Human-Natural Systems Research, Lecture Notes in Networks and Systems 252, https://doi.org/10.1007/978-3-030-78105-7_50

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quality and convenience of public services. The problem of optimizing the work of police structures is relevant for all countries, including those with a highly developed economy. In the early 1990s, a business approach to public administration, known as the New Public Administration [4], began to be introduced in Great Britain, the United States, and many other Western countries. Part of the incentive for this was growing concerns about increasing budget deficits and the desire of governments to tighten control over public sector organizations, such as the police [2, 5]. For example, in Canada, concerns about police spending forced the government to launch the Police Economy Initiative in 2012. This initiative aimed to find ways to provide more effective and efficient police services while reducing the cost of police activities [6]. This situation is typical for many Eurasian countries, including Russia. The study hypothesizes that modern digital technologies can significantly optimize the activities of police structures for the control of civilian weapons. In the last century, mass electrification changed the way people live. Nowadays, new digital technologies continue changing society. The influence of digital technologies on everyday life is evident in many industries, such as entertainment, education, or banking. New technologies, such as GPS, the Internet, and virtual environment, are rapidly turning into integral elements of our daily lives. Let us take smartphones. Today, few people leave their home without at least one mobile gadget due to its ability, for example, to transmit visual and written messages, use social networks, or determine their location using applications and GPS. However, to date, surprisingly little legal studies focus on this technology [11]. Nevertheless, modern technologies that have been introduced into the private sector are gradually moving into the federal law enforcement area. At the same time, certain law enforcement areas are actively using digital technologies (centers for automatic recording of administrative offenses). New forms of digital law enforcement (automatic identification of individuals by video surveillance) are appearing, while some areas remain quite archaic. One of such archaic areas is the control over the availability and safety of civilian weapons, which consists of performing administrative procedures related to the (1) visit of a law enforcement officer to the place of residence of the owners of weapons (storage location), (2) weapon inspection, (3) verification of their part numbers, and (4) preparation of the relevant inspection report. A similar model is legally established in many Eurasian countries of Eurasia. For example, according to the Section 3 § 36 of the German Federal Law on Weapons of October 11, 2002 [1], owners of firearms and ammunition must provide an opportunity for the weapon control authority to verify compliance with the requirements for ensuring the safety of weapons.

2 Materials and Methods When formulating theoretical conclusions and provisions, we rely on the results of the activities of Russian government bodies carrying out their functions using the Public Services Portal, which is a part of the e-government system of the Russian

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Federation. We also draw on our empirical experience in Russian government bodies for the control of civilian weapons [9]. The methodological basis of the study consists of modern general scientific methods and special methods of cognition: (1) analysis, (2) synthesis, (3) systemic, (4) historical-legal, (5) comparative-legal, and (6) formallegal methods. In combination with the latest achievements of legal thought, their application allows us to identify and analyze the features of the administrative and legal regulation of the activities of civilian weapon control authorities in Russia. The paper analyzes innovative data collection methods in European scholarship used in police in transition and developing countries.

3 Results In terms of further development of public services, we should analyze the problems of the practical development and implementation of new public services aimed at solving specific problems of public administration. Currently, Russian authorities are developing (1) guidelines for sending legally significant e-documents to citizens and organizations through the Public Services Portal; (2) a list of contracts that can be concluded in the form of an e-document through the Public Services Portal. We believe that this approach is justified. The strategy of creating a new regulatory body to address particular problems is ineffective. The automation of management processes and processing of arrays of information seems most relevant [8]. In Russia, the police structure of the Federal Service of the National Guard Troops carries out government control of civilian weapons. This public service does not have an electronic format. Moreover, it is not presented on the Russian Public Services Portal. In accordance with the standard established administrative procedure [10], when checking the storage conditions of weapons and cartridges owned by citizens (conditions for ensuring the safety of weapons and cartridges), officials shall establish the following: . Compliance of existing weapons with issued licenses and permits, as well as cartridges held by citizens, with the types and models of registered weapons; . Presence of a lockable safe or metal cabinet, a box of high-strength materials, or a wooden box studded with iron; . Conditions excluding unauthorized access to the weapons; . Number of cartridges specified in the permits for the storage and carrying of weapons (for citizens who received weapons and cartridges for temporary use). To achieve sustainable results, one should simultaneously develop the relevant infrastructure elements to support the public service delivery system. This infrastructure requires the creation of new electronic tools to facilitate the provision of public services through the formation of information databases and the provision of advice and legal education.

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Checking the storage conditions of weapons and ammunition available to citizens is not a purely legal procedure involving the evaluation or modification of public services. To transfer the public service for checking the storage conditions of weapons and ammunition that citizens have to an electronic form, one should achieve objectivity in assessing the following indicators: . Identification of the owner of the weapons; . Identification of the storage location of weapons; . Identification of weapons (serial numbers of weapon parts). Solving these problems does not seem exceptionally difficult. One can achieve this goal with a conventional modern smartphone, which can determine its geolocation and camera. Photos are a low-cost, paperless data collection that can save time and resources. Image recognition and photo management software is becoming more accessible and user-friendly, reducing the effort required to collect and analyze data [7]. Therefore, the mobile application module of the Russian Public Services Portal could include the following scenario of the public service Control of civil weapons, when checking the storage conditions of weapons and cartridges owned by citizens (conditions for ensuring the safety of weapons and cartridges). Precondition: the user is authorized in the application; geolocation mode is enabled. 1. The user initiates the service within the mobile application after passing the verification; 2. The client views the main screen of the mobile application: by default, the name of the account is filled out from the user profile and cannot be edited; 3. The user enters information about their place of residence (weapon storage location) in one of the following ways: . The user enters information about their place of residence (weapon storage location) using the geolocation function, and, if necessary, the information is adjusted manually); . The user manually enters information on their place of residence (weapons storage location). 4. The user enters data on the conditions for ensuring the safety of weapons (the presence of a lockable safe or a metal cabinet, a box made of high-strength materials, or a wooden box studded with iron), attaches a photo of the object with the location information attached; 5. The user enters information about their weapons, attaches two photos of the object (a full photo of the weapon and a photo of its serial number(s)) with the location information attached; 6. The user checks the accuracy of the entered information and clicks Save and send, thus, completing the script.

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Within three working days, the information is verified by an authorized official with the data of the Centralized Weapon Registration System on the (1) registered weapon(s), (2) its storage location, and (3) its owner. If the submitted information is consistent, the recipient of the service receives an electronic notification stating Verification passed; if there is a discrepancy—Verification failed.

4 Discussion Our hypothesis about the broad opportunities of digital technologies in public administration is confirmed by many scholars [6, 8]. The partial implementation of remote participation technologies in verification during the fight against COVID-19 in Russia also confirms the conclusions presented in this study. An active discussion in the secondary literature about strengthening control over civilian weapons and the right of citizens to store and carry them should be resolved in the development of new forms of governmental control, which allow citizens to exercise their right and allow the authorities to ensure the security of society from armed crime. The development and implementation of a mobile application module for the Russian Public Services Portal Monitoring of civilian weapons during the inspection of the storage conditions of weapons and ammunition owned by citizens (conditions for ensuring the safety of weapons and ammunition) will significantly reduce the time spent by employees on conducting an audit. Also, it will make the administrative procedure more convenient for citizens since it will exclude interaction with the regulatory bodies and remove any restrictions related to the time required to conduct the audit.

5 Conclusion As a result of a study on the development of modern technologies used in various areas of public life, we proposed a model (scenario) for the provision of public services in electronic form, which can be implemented by the police in the control of civilian weapons. The scenario meets the requirements of the current Russian legislation in the field of control over civilian weapons and provides for integration into the current model of Russian e-government. The proposed model of the electronic application is an important means of overcoming administrative barriers and reducing corruption risks. The dissemination of the proposed model in countries supporting the development of e-government should increase the level of public health and public security. Acknowledgements The presented study was conducted without special funding. We are grateful to our friends and colleagues for their support.

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References 1. Bundesministerium der Justiz und für Verbraucherschutz (2002) Waffengesetz (Oktober 11 2002). Bibliographic description is repeated in the original language, Berlin, Deutschland 2. Den Heyer G (2011) New public management: a strategy for democratic police reform in transitioning and developing countries. Policing: Int J 34(3):419–433. https://doi.org/10.1108/ 13639511111157492 3. Federal Ministry of Justice and Consumer Protection (2002) Weapons Act (October 11, 2002). Berlin, Germany 4. Hartley J (2005) Innovation in governance and public services: past and present. Public Money Manag 25(1):27–34 5. Heuer HJ, Hilgner N (2011) About the state monopoly on violence—concept, process dynamics and approaches to investigate effectiveness. New Crime Policy 23(1):28–40 6. Hodgkinson T, Caputo T, McIntyre ML (2019) Beyond crime rates and community surveys: a new approach to police accountability and performance measurement. Crime Sci 8(1):1–7. https://doi.org/10.1186/s40163-019-0108-x 7. Lemieux AM (2015) Geotagged photos: a useful tool for criminological research? Crime Sci 4(1):1–11. https://doi.org/10.1186/s40163-015-0017-6 8. Sparrow M (2018) Problem-oriented policing: Matching the science to the art. Crime Sci 7(1):14. https://doi.org/10.1186/s40163-018-0088-2 9. Schmidt A (2019) Administrative and legal framework for the circulation of civilian weapons in Germany. Jurisprud Law Enforc Pract 4(50):116–124 10. The Federal Service of the National Guard Troops (2020) On approval of the Administrative regulations of the Federal service of national guard troops of the Russian Federation on the implementation of Federal state control (supervision) over compliance with the legislation of the Russian Federation in the field of arms trafficking (January 14, 2020, No. 8). Ministry of Justice of the Russian Federation, Moscow, Russia 11. Van Gelder J, Van Daele S (2014) Innovative data collection methods in criminological research: editorial introduction. Crime Sci 3(6):1–4. https://doi.org/10.1186/s40163-014-0006-1

A Strategic Planning System for Science and Technology Development in the Emergence of a New Global Economic Mode: Experiences from China and Lessons for the Countries Transitioning to Market Economy Gennady P. Belyakov , Naira A. Bagdasaryan , and Louise R. Batukova Abstract In this study, we examine the most important institutional transformations of strategic planning of scientific and technological progress (STP) in the People’s Republic of China and analyze its experience. We constructed a model of strategic planning for STP in China during the formation of a new global economic mode. Moreover, we identified the specific features of this system in China. We paid particular attention to studying the mechanisms for implementing STP directions aimed at increasing the economic efficiency for the common good. The theoretical and methodological basis of this research was formed by the theory of global economic modes of S. Glazyev and the hypothesis of the convergence of socialist and capitalist economies, developed by several scholars. The main result of this study is the development of the Model of Strategic Planning for STP in China during the Transition to a New Global Economic Mode. This model demonstrates the priorities and mechanisms of STP realization in China. Furthermore, the model points to the strategic planning documents that ensure the implementation of STP in China. Keywords Global economic mode · Convergence · Integral order · Scientific and technological progress · Priorities · Strategic plans · Government plans and programs · Market regulation mechanisms

G. P. Belyakov Siberian State University of Science and Technology named after Academician M. F. Reshetnev, Krasnoyarsk, Russia N. A. Bagdasaryan (B) · L. R. Batukova Siberian Federal University, Krasnoyarsk, Russia e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 S. G. Maximova et al. (eds.), Advances in Natural, Human-Made, and Coupled Human-Natural Systems Research, Lecture Notes in Networks and Systems 252, https://doi.org/10.1007/978-3-030-78105-7_51

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1 Introduction A specific feature of the current period is the global economic restructuring, caused by the imposition of changes in technological modes and global economic modes [9]. This study aims to examine the experience of the People’s Republic of China (China). China is one of the most prosperous countries in terms of its ability to strategically plan scientific and technological progress (STP) during the global economic restructuring and the emergence of a new global economic mode. Developed countries are currently undergoing the Fifth Technological Mode (also called a technological paradigm). It began in the 1970–1980s with achievements in (1) microelectronics, (2) genetic engineering, (3) biotechnology, (4) information technology, (5) industrial internet of things, and many others. Additionally, a new Sixth Technological Mode is emerging, based on the development of (1) molecular, cellular, and nuclear technologies; (2) nanoelectronics; (3) nanomaterials; (4) nanostructured coatings; (5) nanobiotechnology; (6) nanosystems engineering; and other advances. Moreover, significant institutional changes must occur that are caused by changes in the global economic mode. S. Yu. Glazyev defines the term global economic mode (GEM) as an integral system of interconnected institutions that ensure the expanded reproduction of national economies and determine the mechanisms of global economic relations [9]. The essential principles and forms of transition to the new GEM are determined by (1) the structure and coordination of market and non-market relations; (2) monetary and price mechanisms used in society; and (3) approaches and tools used by the government to manage the property [25]. Transition to the Sixth Technological Mode causes the emergence of an integral GEM. The most important feature of this phenomenon is the switch from the American Hegemonic Cycle to the Asian Systemic Cycle of Accumulation [1]. The formation of the new GEM is currently being accelerated by Asian countries, such as China, Iran, India, Japan, South Korea, and Vietnam. One can consider China as a de facto center of GEM emergence. In China, the integral GEM manifests itself in the combination of market economy advantages and the regulatory principles of a planned economy. The main economic institutions of China are characterized by considerable diversity; they harmoniously combine private and state ownership, centralized planning, and market self-organization. China gracefully balances state strategic planning and market self-organization, integrating the interests of all social groups around building a global welfare society, overcoming poverty, and achieving shared prosperity. The transformation of strategic planning in China is based on constructing a mixed (market and planned) economy and public administration improvement by selecting the institutions that promote economic efficiency. The reform of the strategic planning system in China yielded outstanding results in STP. According to the national statistical data, the share of R&D expenditures in the gross domestic product (GDP) increased by a factor of 3.8 over the past 23 years. In 2018, the expenditures amounted to 2.19% of the GDP. The research workforce

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increased by 3.859 mln people (by 839%). The number of patent applications in 2018 increased by 394% (1.542 mln) compared to 2010 data. Over the past 11 years, the export of high-tech products grew by a factor of 10.9 and amounted to 743 bln USD in 2018 [12]. Chinese government agencies and global think tanks predict that the unfolding global scientific and technological revolution will put China among the major innovation players. These projections are based on the apparent leadership of China in economic growth, its growing exports of high-tech products, and the number of R&D and engineering workforce. One can expect that by 2030, about 30% of all scientists and engineers will come from China. These achievements of China form the technological and organizational basis for the transition to the new GEM. We believe that the experience of China in STP planning must be thoroughly studied. The scientific interest in studying the experience of China in these issues is due to the desire to avoid mistakes and improve the STP planning systems in countries with transition economies.

2 Materials and Methods The basis of the new integral GEM is formed by the convergence theory, which states that the problems of market and planned economies can be overcome by the gradual merger and integration of these two systems. This theory was supported by such scholars as J. K. Galbraith, P. Sorokin [16], J. Tinbergen, A. D. Sakharov, and V. Kh. Belenkiy. These scholars believed that the evolution of the industrial and postindustrial society creates conditions for integrating the two antagonistic systems: socialism and capitalism. This process creates a new, mixed economy that combines liberty, flexibility, societal achievements, and the possibilities of global regulation. J. Galbraith divided this new economy into two elements: a “planning system” and a “market system.” His version of convergence postulates that capitalism inevitably introduces planning as an objective need of modern industry, admitting the historical constraints of the free-market economy. The scholar believed that it was not communism but the technology itself that required planning [6–8]. J. Tinbergen suggested an optimal synthesis of market and planned economies to create an optimal mode. He interpreted convergence as extracting the most effective elements of the two systems (“capitalistic efficiency” and “socialistic equality”) and their institutional coexistence within a country [24]. The doctrine proposed by A. D. Sakharov about socialistic convergence was based on the gradual adoption of the best principles of the existing systems by a new system combining the political and economic freedoms of capitalism and the planned scientific advancement of socialism. This new system was to have an internal societal orientation and a more equitable wealth distribution [15].

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The scholar V. Kh. Belenkiy considered convergence as a variable process aimed at overcoming structural contradictions. Therefore, convergence in capitalist systems should improve capitalism (e.g., Swedish socialism, a capitalistic system with socialism-like features). In turn, convergence in socialist systems should be a means “of overcoming developmental contradictions within socialism” [3, 4]. Further studies on this topic can be found in the works of S. Yu. Glazyev. He invented the term global economic mode [10]. Analyzing the studies on the formation of an integral GEM, we concluded that scholars distinguish the following specific features of this phenomenon [25]: . Mixed or convergent economic relations that form the self-regulation mechanism of market development; . Humanization of economic relations, where the balanced and equitable socioeconomic development is prioritized over the purely economic interest; . Restructuring the economy into a fractal-distributed network of economic selfdevelopment, based on the balanced support of focal points and areas of all economic levels; . Introducing new forms into the management of economic interactions based on cutting-edge technological achievements in the key areas of societal development (finance, manufacturing, institutions, and ecology). The retrospective analysis of convergence aims to examine this phenomenon in the STP context: convergence of government STP planning with the market economy and entrepreneurship. Strategic STP planning for market self-organization constitutes a kind of social partnership uniting the interests of all social groups in a common goal of improving the quality of life. At the institutional level, convergence is carried out mainly by transforming planning institutions and governance development. In the case of the Chinese planned economy, this situation means adding the market economy elements that promote economic and societal development. This step requires including the “regulators of market relations” in strategic planning, namely, private property management in the public interest [10]. Convergent processes, accompanied by the GME shift, influence the directions of strategic planning for STP, such as the integration of government planning with market instruments in the STP context. Transformation of planning for STP manifests itself in the Chinese strategic documents for STP. The most important documents on this issue are the following: . 13th Five-Year Plan for Economic and Social Development of the People’s Republic of China [21]; . Law on the Progress of Science and Technology, amended in 2007 [17], . Roadmap for Science and Technology Development to 2050 [5], . State Program of Long-term and Medium-term Planning of Science and Technology Development in 2006–2020 [18], . State programs of Scientific and Technical Innovations for the 12th and 13th Five-Year Plans [11, 20]; . Program Made in China 2025 [19],

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. Special Plan for National Basic Research in the Years of the 13th Five-Year Plan (2016–2020) [13], . Plan for the Development of Artificial Intelligence of a New Generation [22]. These documents are developed according to the established system of strategic planning; they include (1) medium-term and long-term predictions of STP; (2) STP priorities; and (3) programs and their realization plans. Also, strategic STP planning presupposes assigning responsibility for implementing the plan and choosing the permitted tools to government agencies. Studying the strategic documents allowed us to build a model. We analyzed the documents mentioned above and searched for the thematic and functional STP priorities, as well as the mechanisms for their realization. For instance, thematic priorities were established in the Roadmap for China’s Science and Technology Development to 2050 [5]. Analyzing the National Medium- and Long-Term Plan for the Development of Science and Technology, the Special Plan for National Basic Research in the Years of the 13th Five-Year Plan, and the Program “Made in China 2025,” we managed to group the STP priority directions in China. Compiling a free-form list of thematic priorities, we tried not to choose the priorities that overlap in their fields of scientific knowledge. We applied the comparative analysis of the relevant official documents to identify the specific features of the strategic planning for STP in China.

3 Results In recent decades, China has been actively developing the system of strategic planning for STP. This system is based on priorities and mechanisms for implementing these priorities (Fig. 1). These components form a unified, interconnected process of government STP planning. The priorities can be subdivided into thematic and functional ones. The thematic priorities include key research directions and fields. Investing in such fields can bring long-term and medium-term socio-economic benefits and contribute to the well-being of society. The thematic priorities are defined by the Roadmap for Science and Technology Development. This document specifies the following critical directions of progress [14]: . . . . . . . .

Energy resource development; New materials; Smart production; Development of information networks; Agriculture; Biotechnology; Welfare; Healthcare;

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Fig. 1 Model of strategic planning for STP in China during the transition to a new global economic mode. Source Compiled by the authors

. Environmental protection; . Space and ocean exploration. In the context of these directions, we specified 22 strategically important initiatives. Six of those initiatives aim to increase the global competitiveness of China. These initiatives comprise measures for increasing computing power, supporting waste recycling technologies, developing molecular genetics, and so on. Seven initiatives aim to ensure the sustainable development of China [14], including the support for the following directions: . Energy, especially new-generation nuclear and geothermal energy; . Biotechnology, including cellular and regenerative medicine; . Security, including national and societal security;

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. Space exploration, architecture, and exploitation; . Digital transformation of governance and management, including social control systems and parallel control systems. Four initiatives focus on fundamental research in breakthrough fields, such as dark matter, dark energy, synthetic biology, and artificial life. The last three initiatives belong to interdisciplinary research: nanoscience, complex systems, and areas supporting space exploration [2]. In addition, we analyzed other vital documents of the Chinese STP [18–20]. This step allowed us to define the following functional priorities: . Fundamental research in (1) nanotechnology; (2) stem cells; (3) tissue and protein synthesis; (4) child development; (5) the origin of life, brain, and consciousness; (6) quantum technologies; (7) climate change; (8) evolution of the universe; . New urbanization types (smart cities, green and high-efficiency buildings, etc.); . Agriculture (new machinery, high-yielding species, pollution control, etc.); . Healthcare (new medicine, prophylaxis, medical equipment); . Space and ocean exploration (deep space research, satellite exploration, deep-sea exploration, etc.); . Environmental protection (clean water and clean soil research; toxic substances control, etc.); . Energy (coal technologies, renewables—geothermal and next-generation nuclear energy); . Increase in computing power, development of automatic control systems, and robotics; . Transport, machinery, and equipment (electric vehicles, high-speed rail, energy equipment, aerospace technologies, alternative fuel transport). The functional STP priorities include the tasks aimed at improving its functioning. We analyzed several strategic documents [5, 18, 20] and established the following priorities: . Accelerating the introduction of cutting-edge technologies, focus on crucial breakthrough technologies of broad application, active support of innovative demand; . Planning and supporting basic research on a regular basis; . Enhancing the creation of the Chinese talent pool and its inclusion into societyoriented research. The main tasks of this priority are (1) training of strategically thinking scholars; (2) training of qualified engineers; (3) reforming education; (4) encouraging talent development among young people; . Strengthening international scientific cooperation; . Promoting industrial innovations and improving the mechanism for the market promotion of technical achievements; . Increasing the innovative potential of China and reducing its dependence on imported technologies.

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Chinese government realizes the thematic and functional priorities via the mechanisms included in the strategic documents. These mechanisms can be subdivided into several large groups: 1. 1.1

1.2

2. 2.1 2.2 2.3 2.4 2.5 2.6 2.7 2.8 2.9 3. 3.1 3.2 3.3 3.4

4.

Financial-economical mechanisms, which presuppose direct (budget) and indirect support; Direct (budget) support presupposes (1) soft loans for innovative companies; (2) direct investment in basic research; (3) support of scientific and technical infrastructure. Indirect support includes (1) tax breaks for small and medium-sized enterprises (R&D and equipment modernization); (2) transition from manufacturer-paid VAT to consumer-paid VAT; (3) support through government procurement [2], Mechanisms for transforming ideas into profitable economic and social measures, which include several infrastructure actions [2]: Integral STP management: convergence of science and technology, the convergence of military and civilian sectors; Transition to unified national standards ensuring international compatibility with the interests of the nation; Widespread implementation of information and digital technologies in intellectual property management; Development of a network of venture funds and a smart system for financing innovative enterprises with the support of artificial intelligence (AI); Development of business incubators and private STP agencies through alliances with R&D institutes and laboratories; Accelerated and flexible development of high-tech laboratories and modern science parks in the key fields of scientific development; Network of innovative clusters supported by AI; Popularization of science in all social groups, especially among younger generations; Enhancement of regional and international scientific cooperation; Mechanisms for developing human competitiveness include the following measures: System of multi-level training and support for professional workers, as well as programs for educating socially-oriented young people; Cooperation between the Chinese Academy of Sciences and industrial enterprises for training and retraining of professional workers; Focus on lifelong learning in the education system; Recruiting leading international scholars and experts via the Thousand Talents Program and introducing migration “leniency” for professional workers coming from abroad. Innovative managerial mechanism implemented via a public–private partnership (PPP); it serves for better goal-setting and increased quality of the commercialized technologies.

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The specifics of the PPP approach lie in the dominant role of market processes in regulating technological innovations, even if the government is still involved in them. The goals and tasks of PPP are determined by the contract between the enterprise and the government. PPP management of STP includes the following features: . Clear division of managerial functions between partners; . Cross-control over the STP with the participation of both the government and the enterprise. Planning for a commercial technology presentation focuses on the following steps: . Elimination of overlapping and duplicating fields of science; . Optimal distribution of finance between the PPP participants, clearly defined timeline and place of project realization; . Independent evaluation of PPP results. In the context of PPP, the government conducts strategic planning but does not necessarily have to control the projects themselves. Universities, institutes, laboratories, and enterprises are responsible for R&D project realization. STP management monitoring presupposes evaluating relevant plans and projects via an independent system of scientific consultations with the participation of the Chinese Academy of Sciences, Chinese Academy of Social Sciences, Chinese Academy of Engineering, and the Association of Science and Technology [14]. Moreover, the innovative approach is implemented according to a new layout—“1 + N Cluster” megaprojects. For example, creating a new AI megaproject (represented by 1 in the “1 + N Cluster”) presupposes using fundamental AI theories and key Big Data technologies, autonomous management without human input, and so on. N Cluster reflects the interdisciplinary convergence of projects for the coordination of resources. For instance, some AI-connected tasks are planned to be introduced into other projects (including current megaprojects, such as Extraordinary Scale Integration of Circuits). The megaprojects of applied or demonstrative tasks are Smart Agricultural Machinery, Deep Space Station, and many others. Furthermore, the AI tasks should be included in such megaprojects as Quantum Communications and Calculations; Smart Manufacturing and Robotics; Big data; and Brain Research. We can identify several specific features of strategic planning for STP in China. These features can be of particular interest to countries with transition economies: . Focus on overcoming poverty and building an affluent society; . Integration of STP and socio-economic development contributing to a full innovation cycle; . Indicative strategic planning and transition to qualitative indicators; . Weakened directive planning, increased attention to societal tasks; . Combination of long-term and medium-term planning; . Flexibility of medium-term programs; . Integration of short-term, medium-term, and long-term goals. Orientation on progressive, key STP areas with the simultaneous search for prospective fields [2],

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. Interconnection with strategic priorities and needs of the country enshrined in the basic political and legal documents [2], . The term “global vision” is interpreted as the focus of STP priorities. This term is defined via the notions of global development tendencies, global challenges, and development risks [2], . Balance of internal and external STP interests, including the orientation on (1) international recruiting of professional workers; (2) global advancements; (3) attracting investment to central STP areas. This element defines the ability and readiness of the country to export high-technology products [2], . Decentralized and interdisciplinary organization of STP aimed at (1) supporting local initiatives; (2) reducing bureaucratic barriers in R&D experience exchange; (3) support for human capital, and so on [2], . Developing the personal and organizational responsibilities of local government for the regional STP, including (1) protection of intellectual property rights in the region; (2) development of STP infrastructure; (3) formation of favorable investment environment [2], . Integration of military and civilian science and technology [2], . Transition to systemic STP management, the formation of a three-participant PPP (government, research institutions, and enterprises); . Strict division of responsibility in STP management; . Transformation of the key STP institutions and roles that involves (1) transitioning to market regulation, (2) viewing basic research as the moving force behind the national STP, (3) independent expertise and evaluation of plans and projects, (4) promoting the social orientation of the existing R&D institutions. The presented model can be used in structural and institutional analysis and tailored to evaluating the strategic planning for STP in any country (including Russia). According to the model, the STP structure in China consists of four elements: (1) priorities, (2) mechanisms of priority realization, (3) strategic documents, and (4) increase of societal well-being. The priorities are further subdivided into functional (support for key, breakthrough, and basic research achievements) and thematic ones (support for the widespread introduction of decisive innovations). Mechanisms of priority realization include four directions that support each other: (1) financial-economic mechanism, (2) mechanisms for developing human competitiveness, (3) innovative managerial mechanism, and (4) mechanism for transforming ideas into profitable measures. The presented structure of the institutional STP sector allows for enshrining its norms and rules more effectively, including the following measures: . Legal regulation of strategic plans (reflected in the strategic documents element). . Connection of scientific advances and welfare (reflected in the increase of societal well-being). The most important feature of strategic planning for STP in China is its ability to effectively combine market economic reforms and societal development. China

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places great importance on overcoming poverty and creating an affluent society. The system of strategic planning for STP organically fits the Chinese government, which ensures its internal efficiency.

4 Discussion The convergence of capitalist and socialist systems has long been the subject of heated debate among scholars and politicians. Transition to novel economic growth factors in forming the new GEM using convergence further exacerbates the debates. We can explain the discussion with the help of particular circumstances. The concept of convergence stems from the interdependence of two factors: heredity and environment, established in W. Stern’s Convergence Theory [23]. This theory resulted from the analysis of the interdependence of hereditary and environmental factors on the psychosocial development of a person. The Convergence of Social Orders was formed based on this theory during the competition between socialist and capitalist ideologies and economies. The convergence was interpreted as the selective absorption of various opposing institutions aimed at improving industrial development and overcoming the challenges of the social system. However, due to the differences in the social and institutional foundations of capitalism and socialism, the following issues arise: 1.1.1.1 If one applies the interdependence of heredity and environment to the convergence of social orders, one should examine it from two perspectives. On the one hand, it presupposes the influence of market mechanisms on socialist order. On the other hand, the influence of the planned economy on capitalistic order. Therefore, the question arises whether convergence should be considered a symmetrical process (i.e., if the convergence can work effectively in both systems). Nobody knows whether convergence will lead to undesirable consequences and what measures should be taken to prevent them. 1.1.1.2 Convergence is an attempt to take the best from the opposite system when the recipient system is still strong. This statement raises the question: whether it makes sense to use convergence when the recipient system is weak and chaotic. 1.1.1.3 The theory of convergence was formed during the heyday of the industrial economy. In that period, the main economic growth factors were productive capital, natural resources, the market of goods, and the financial market. The current economic era employs completely different factors, which raises doubts about the current efficiency of convergence. These issues do not indicate that convergence is only marginally significant; they rather state that it requires fundamental redefining and analysis. The essential principle of convergence is universal: it represents analyzing, predicting the consequences, and applying the best available global economic experience. The multitude

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of social and economic systems, which appeared during the evolution of civilization, should be considered a factor of survivability and sustainability of future systems. Therefore, we believe that the issues of convergence can broaden the horizons of academic development.

5 Conclusion Studying the strategic planning for STP in China allowed us to identify its components integrated into a unified system. The Chinese model of strategic planning for STP is based on long-term and medium-term priorities and their realization mechanisms. This system focuses on overcoming poverty and creating an affluent society. The analysis of the primary strategic STP documents in China revealed several specific features that can also be applied in other countries with transitional economies. The most important experience of China is the complex and integrated approach to strategic STP planning. The approach is based on identifying key priorities, setting long-term goals and tasks, and systematically implementing STP directions. Nonetheless, we believe that other countries should not copy the Chinese strategic planning system, but rather consider national and historical peculiarities when selectively applying the best features of this system. Acknowledgements The study was funded by RFBR, project number 19-010-00355.

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