Investigation of the purpose, functions and tasks of proceedings in cases of administrative offenses

Ivanov Vitaliy Ivanovich ORCID: 0000-0002-6312-3134 PhD in Law Associate Professor of the Department of Economics and Management, Omsk Humanitarian Academy; Associate Professor of the Department of Philosophy, History, Economic Theory and Law, Faculty of Economics, Omsk State Agrarian University named after P.A. Stolypin; Associate Professor of the Department of State, Municipal Administration and Customs Affairs, Omsk State Technical University 644052, Russia, Omsk region, Omsk, Surikov str., 8, sq. 206 vitaliv2019@mail.ru

In the doctrine of administrative law, the proceedings in cases of administrative offenses are usually considered as part of the administrative process carried out by the executive authorities or the court ^{[1, p. 27]}.

Despite the fact that this is the most common type of procedural activity in the administrative and legal sphere, ensuring that its subjects achieve a specific result, to date, no unified scientific approach has been developed in determining the goals, objectives, functions and purpose of proceedings in cases of administrative offenses.

In this study, the author has attempted, on the basis of a formal legal and systematic analysis, to determine the above–listed elements of this type of administrative procedural activity. 

Taking into account the peculiarities of system analysis – the movement of thought from the whole to its constituent parts, from the system to its elements, from a complex phenomenon to a simple one, in which the whole determines the nature and specifics of the elements and parts that make up this whole ^{[2, p. 7]}, the author believes it necessary at the initial stage of the study to focus on the main goals and the appointment of proceedings in cases of administrative offenses.

In the Explanatory Dictionary of the Russian language S. I. Ozhegov's goal is understood as the object of aspiration: what they strive for, what needs to be accomplished ^{[3, p. 699]}.

In psychology, the goal is considered as a conscious result of human activity ^{[4, p. 289]}. In general, the psychological process of goal-setting can be represented as follows: the need to implement a specific social function determines the purpose of people's activities, the achievement of which implies its satisfaction. Through the achieved result of purposeful activity, providing its subject with the realization of a demanded social function, the purpose of this activity is revealed – to satisfy the specific vital need of the specified subject ^{[5, p. 22]}. Therefore, the process of determining the purpose of any type of activity consists in answering the question: "What result does the subject of this activity plan to get?". To further determine the purpose of this activity, the researcher must answer the question: "Why does the subject need the result?".

In the context of the analysis carried out, the logical continuation of the above seems to be a reasonable statement of the following question: "What is the overall result (i.e. the goal) of the proceedings in cases of administrative offenses?

For example, according to A. P. Shergin, the main results of the implementation of administrative policy are "deterrence of administrative delicacy and prevention of administrative offenses" ^{[6, p. 27]}.

Yakimov A. Yu. defines as the purpose of the activity of the subject of administrative jurisdiction the protection of law enforcement objects (personality, its rights and freedoms, property, environment, etc.) from unlawful encroachments in the form of administrative offenses. ^{[7, p. 34]}.

Botalova T. S., identifying the categories of "purpose" and "tasks" of proceedings in cases of administrative offenses, considers as the latter a comprehensive, complete, objective and timely clarification of the circumstances of each case, its resolution in accordance with the law, enforcement of the decision, as well as identification of the causes and conditions that contributed to the commission of administrative offenses ^{[8, p. 39]}.

The author's position takes into account the specifics of the research methods used and is disclosed in the following conclusions.

The sphere of administrative and legal interaction is the area of the emergence, change and termination of management relations between state/municipal authorities (their officials) and society.

Since the main purpose of state/municipal management activities carried out on the territory of the Russian Federation is to create conditions that ensure a decent life and free human development (see Article 7 of the Constitution of the Russian Federation), such activities are carried out in the interests of each subject of Russian society and are public in nature. For this reason, any harm caused to administrative and legal relations violates everyone's right to the normal, uninterrupted implementation of state/municipal power in the field under study.

In the context under consideration, it seems obvious that security in the field of public/municipal administration (i.e., the normal and uninterrupted exercise of power) is one of the key conditions for ensuring a decent life and free human development in Russia.

Security is a position in which there is no danger to anyone ^{[3, p. 47]}, i.e. a state of security.

To protect – by protecting, to protect from encroachments, from hostile actions, from danger ^{[3, p. 193]}.

The Russian state is obliged to protect the rights and freedoms of man and citizen (Article 2 of the Constitution of the Russian Federation), therefore, the response of state bodies and their officials to identified administrative offenses, expressed in the form of bringing those responsible for their commission to administrative responsibility, is a public way to protect the rights of everyone staying in the territory of the Russian Federation. In such cases, through the compulsory imposition of an additional obligation on the offender in the form of administrative punishment and its subsequent execution, administrative responsibility is realized, providing through a preventive effect protection from possible manifestations of illegal behavior of the perpetrator, as well as other persons. 

Administrative penalties can be applied not only to individuals, but also to legal entities (Articles 2.10, 3.2 of the Code of Administrative Offences of the Russian Federation, hereinafter referred to as the Administrative Code of the Russian Federation). Within the framework of administrative and legal interaction, a legal entity exercises its powers through a management body. "The body of a legal entity is a certain organizationally formed part of a legal entity, represented by either one or several individuals, formed in accordance with the procedure defined by law and constituent documents, having certain powers, the implementation of which is carried out within its own competence, which through the adoption of special legal acts, the types of which are determined by legislation, implements the will a legal entity" ^{[9, p. 122]}. Therefore, there is no doubt that legal entities are also subject to preventive effects (through the management body).

In the process of administrative proceedings, the preventive effect is achieved not only through bringing the perpetrator to administrative responsibility, but also as a result of the application of other administrative and legal measures (for example, in accordance with Part 2 of Article 2.3, Article 2.9, Part 2.1 of Article 4.1 of the Administrative Code of the Russian Federation).

The preventive effect of the perception of personal or third–party negative experience experienced as a result of administrative and legal influence is a circumstance that:

a) it is achieved through the proceedings on administrative offenses; 

b) it is expressed in the formation and maintenance of a ban on unlawful encroachments or other hostile actions in the administrative and legal sphere in the public legal consciousness;

c) ensures the subsequent fulfillment by the guilty of the duties stipulated in the dispositions of the material norms of administrative law (has a restorative character).

However, not in all cases, the proceedings on administrative offenses are completed by bringing the relevant persons to administrative responsibility or using other administrative and legal measures. By virtue of Article 26.1 of the Administrative Code of the Russian Federation, along with incriminating evidence, the subject conducting administrative proceedings is obliged to establish the presence or absence of circumstances precluding proceedings on an administrative offense (see Article 24.5 of the Administrative Code of the Russian Federation).

The termination of proceedings in cases of administrative offenses on the grounds provided for in Article 24.5 of the Administrative Code of the Russian Federation ensures the rights and freedoms of persons brought to administrative responsibility (their legal successors), or in respect of whom other administrative and legal measures are applied.

In the context of the above, the author comes to the conclusion that each proceeding in an administrative offense case is aimed at restoring the violated performance of duties enshrined in the dispositions of substantive norms of law (i.e., restoring the order of management), as well as protecting persons (individuals / legal entities) from illegal and unjustified administrative liability, restriction of their rights and freedoms (see part 1 – h.1.1 Article 29.9, part 1 of Article 24.5 of the Administrative Code of the Russian Federation), which generally indicates the general law-restoring nature of this type of activity.

Thus, the general purpose of proceedings in cases of administrative offenses is to protect:

1) public interest in the normal and uninterrupted implementation of state and municipal government in the Russian Federation;

2) individuals and legal entities from illegal and unjustified administrative liability, restriction of their rights and freedoms. For this reason, the main direction of the type of activity under consideration (its function) is of a law-restoring nature.

Since by achieving this goal, security in the administrative and legal sphere is ensured – the state of normal and uninterrupted state and municipal management, then the purpose of proceedings in cases of administrative offenses is to ensure security in the field of state / municipal management.

The proceedings in cases of administrative offenses go through several interrelated stages, or stages, replacing each other.

In the theory of administrative law, the following stages of proceedings in cases of administrative offenses are distinguished:

- initiation of an administrative offense case;

- consideration of an administrative offense case;

- review of the decision in the case of an administrative offense;

- execution of the decision in the case ^{[10, p. 9-13]}.

In each stage of production, along with the general tasks, the tasks inherent only in this stage are solved. The solution of these tasks is formalized by a special procedural document, which, as it were, sums up the activities at this stage ^{[11, p. 540]}.

The stage of initiation of a case is aimed at the adoption by the authorized entity at the considered stage of a decision on initiation (refusal to initiate) a case in the presence (absence) of a reason (reason and sufficient data on the event of an administrative offense, Part 3 of Article 28.1 of the Administrative Code of the Russian Federation) necessary to initiate an administrative offense case.

Thus, the absence of grounds for initiating an administrative offense case entails the termination of administrative proceedings. If there is a reason, proceedings on an administrative offense are initiated by the initiation of a case. In the latter case, the stage of initiation of the case is the initial stage of this proceeding.

According to the patterns of formation of tree-like hierarchical structures ("goal trees") ^{[12, p. 96]}, the adoption by the authorized entity at the considered stage of the decision to initiate (refuse to initiate) a case formalized by a special procedural document, on the one hand, in relation to the general purpose of proceedings in cases of administrative offenses acts as its independent the task that needs to be solved at the fourth (in the absence of an appeal stage – at the third) level of the hierarchy, on the other hand, at the initial stage of the implementation of the case initiation stage, is the main goal of the latter, the achievement of which is ensured by solving specific tasks of this stage (for example, by conducting a preliminary control or supervisory event, etc.).

The stages of consideration of the case and review of the decision on the case (optional) are aimed at achieving a common goal – the application of substantive norms of administrative law that establish a certain type and measure of administrative and legal impact (art. 3.2, Part 2 of Art. 2.3, art. 2.9, Part 2.1 of art. 4.1 of the Administrative Code of the Russian Federation) or exempt the persons involved from administrative responsibility (art. 24.5 of the Administrative Code of the Russian Federation). 

Since, if there are grounds provided for in Article 24.5 of the Administrative Code of the Russian Federation, the termination of proceedings on an administrative offense achieves its purpose – to protect individuals and legal entities from unlawful and unjustified administrative liability, restrictions on their rights and freedoms, the author concludes that these stages form an independent part of the proceedings on administrative offenses, which is of a law enforcement nature.

Based on the patterns of formation of tree–like hierarchical structures, the adoption by the authorized entity within the framework of law enforcement proceedings of the final decision, formalized by a special procedural document, on the one hand, in relation to the general purpose of proceedings in cases of administrative offenses acts as its independent task at the third (in case of appeal - and at the second) level of the hierarchy, on the other – at the initial stage of the implementation of law enforcement stages, it is the main goal of law enforcement proceedings, the achievement of which is ensured by solving specific tasks in law enforcement stages (for example, comprehensive, complete, objective and timely clarification of the circumstances of each case, identification of the causes and conditions that contributed to the commission of administrative offenses, revision of the decision on an administrative offense, etc.).

Thus, the application of the substantive norms of administrative law, on the one hand, represents the general purpose of law enforcement proceedings, on the other – one of the main tasks of proceedings in cases of administrative offenses.

In the event of the entry into legal force of the decision to bring the perpetrator to administrative responsibility, the final realization of the purpose of the proceedings in the case of an administrative offense is ensured by enforcement proceedings, since through the actual enforcement of the additional obligation imposed on the perpetrator in the form of administrative punishment, administrative responsibility is realized, which subsequently provides protection against possible manifestations of illegal behavior of the perpetrator, as well as other persons . 

The main purpose of the enforcement proceedings is the full execution of the decision in the case of an administrative offense (Part 1 of Article 31.10 of the Administrative Code of the Russian Federation), or the legal termination of the execution of the decision on the imposition of administrative punishment (Article 31.7 of the Administrative Code of the Russian Federation).

Based on the patterns of formation of tree-like hierarchical structures, the adoption by the authorized entity within the framework of enforcement proceedings of the final decision to terminate the execution of the decision on the imposition of administrative punishment, issued by a special procedural document, or the actual execution of the decision in the case of an administrative offense, on the one hand, in relation to the general purpose of proceedings in cases of administrative offenses acts as its an independent task at the first level of the hierarchy, on the other hand, at the initial stage of the implementation of the stage of execution of the judgment in the case, is the main goal of enforcement proceedings, the achievement of which is ensured by solving specific tasks at this stage (for example, by granting a delay or installment of execution of the resolution, establishing the actual grounds for termination of enforcement proceedings, etc.).

On the basis of the above, it seems obvious that a significant number of tasks facing the subject of proceedings in cases of administrative offenses (taking into account the special tasks of each stage), on the one hand, excludes the possibility of their normative definition in the Administrative Code of the Russian Federation, on the other hand, indicates the need for legal orientation of this participant in the administrative process through consolidation in Article 24.1 of the Administrative Code RF production goals.

Summing up the results of the conducted research, the author comes to the conclusions set out below.

1. The main purpose of proceedings in cases of administrative offenses is to ensure security in the field of state or municipal administration. The specified purpose is realized by achieving the overall goal of this production.

2. The general purpose of proceedings in cases of administrative offenses is to protect:

a) public interest in the normal and uninterrupted implementation of state and municipal government in the Russian Federation;

b) individuals and legal entities from illegal and unjustified administrative liability, restriction of their rights and freedoms.

This goal sets a promising vector for the phased development of the production under study and is implemented by consistently solving its tasks.

3. The restoration of the rights and freedoms of individuals and legal entities is the main function of proceedings in cases of administrative offenses, which determines the law–restoring nature of the latter.

4. The objectives of the proceedings in cases of administrative offenses are:

1) the adoption by the authorized entity of a decision to initiate (refuse to initiate) a case in the presence (absence) of a reason and sufficient data on the event of an administrative offense (Part 3 of Article 28.1 of the Administrative Code of the Russian Federation);

2) the application of the substantive norms of administrative law establishing a certain type and measure of administrative and legal impact (art. 3.2, Part 2 of art. 2.3, art. 2.9, Part 2.1 of art. 4.1 Administrative Code of the Russian Federation);

3) the application of the substantive norms of administrative law, exempting the persons involved from administrative responsibility (Article 24.5 of the Administrative Code of the Russian Federation);

4) full execution of the decision in the case of an administrative offense (part 1 of Article 31.10 of the Administrative Code of the Russian Federation);

5) legal termination of the execution of the decision on the imposition of administrative punishment (Article 31.7 of the Administrative Code of the Russian Federation).

5. The objectives of the proceedings in cases of administrative offenses are the goals of the relevant stages (productions), the achievement of which is ensured by solving the specific tasks of each stage (production).

6. The special tasks of the stages of proceedings on administrative offenses are:

- conducting a preliminary control (supervisory) event;

- comprehensive, complete, objective and timely clarification of the circumstances of each case;

- identification of the causes and conditions that contributed to the commission of administrative offenses;

- review of the decision made in the case of an administrative offense;

- provision of a deferral or installment plan for the execution of the resolution;

- establishment of the actual grounds for termination of enforcement proceedings , etc .

 7. Based on the content of the research results, the author's version of Article 24.1 of the Administrative Code of the Russian Federation is proposed:

- in the title of the article, it is necessary to indicate: "The purpose of the proceedings in cases of administrative offenses";

- the disposition of the article should be formulated as follows: "The purpose of proceedings in cases of administrative offenses is to protect:

1) public interest in the normal and uninterrupted implementation of state and municipal government in the Russian Federation;

2) individuals and legal entities from illegal and unjustified administrative liability, restriction of their rights and freedoms."