One of the main theoretical issues in the functioning of business entities is the question of the relationship between planning and market principles in the economy or the question of the relationship between the plan and the market.
In economic theory, the plan is viewed as a process of conscious and purposeful influence on economic development, and the market is viewed as the natural and free flow of economic processes.
The macroeconomic level of consideration of the issue of the relationship between the plan and the market is specified as the relationship between the state and the market. At the micro level, this issue is formulated as the relationship between enterprise and market.
In economic practice, the plan and the market act as a single method of regulating the economy. The plan is built from the general to the specific, is used as a method of direct impact on the economy and is applied at various levels. When determining the directions for regulating economic activity, state interests are a priority.
The market is developing from the private to the general and this is based on the fact that private interests are a priority in economic activity. In the process of functioning, the market primarily covers the sphere of circulation and is aimed at satisfying effective demand.
The combination of planned and market principles in the economy involves the development of interaction mechanisms on issues of the relationship between the state and the enterprise, access to economic resources, and control of economic activities, which is reflected in the structure of the economic system. So, if the market prevails, then the system is market and a market economy arises; if the state predominates, then the system is administrative-command and the economy is planned; if subsistence farming predominates, then so does the economic system as a whole.
In a market economy, economic entities are independently responsible for the results of their activities. As a result, the market regulates the activities of producers, and the state performs regulatory functions of market relations. Therefore, in a market economy, the state regulates the functioning of the market, and the market regulates the activities of the business entity.
As a result, local structural adjustments occurred in product output and the use of production capacity. However, in the long term, optimal management of commodity flows was not formed, which generally had a negative impact on economic development.
At the micro level, the market is considered as a type of economic relations between business entities. In accordance with this approach, there are two types of economic relations: natural-material relations, carried out in accordance with the volume and structure of household needs; commodity relations carried out through the market as purchase and sale transactions. Characteristic features of economic commodity relations are mutual agreements of the exchanging parties, free choice of partners, and the presence of competition. Commodity market relations are possible only on the basis of the free purchase and sale of goods and services.
If we consider the market from the side of subjects of economic relations, then it can be characterized as a set of existing and potential buyers entering into business relations and concluding transactions for the purchase and sale of any product. But this description of market subjects is simplified, since it does not cover the entire set of subjects of market relations. Thus, the market subject is not necessarily the owner of the product being bought or sold: he can act on instructions. Buyers can be end consumers, organizations, intermediaries purchasing goods for subsequent sale, and government agencies.
At the same time, the market is characterized as a multidimensional system of relationships between producers and consumers, sellers and buyers, economic market relations, including direct and multi-link contacts with the participation of intermediaries.
In a market economy, economic entities are independently responsible for the results of their activities. As a result, the market directs the activities of direct producers, and the state performs regulatory functions of market relations. Therefore, in a market economy, the state regulates the functioning of the market, and the market regulates the activities of the subject.
The evolution of planning systems is presented in rice. 1.1.
Industrial production has always been the leading sphere of economic interests of the state, since it is this sphere that provides public and individual needs for industrial products. Due to this, the issues of organizing the management of industrial production in market conditions are of particular importance.
Russian federal legislation of recent years contains extensive regulatory and legal material on the basis of which state management of industry is built. This may include: the law “On competition and restriction of monopolistic activities in commodity markets”, the law “On the privatization of state property and the basis for the privatization of municipal property in the Russian Federation” and other regulations. The foundations of this activity are determined by the Constitution of the Russian Federation, which places the following under the jurisdiction of federal authorities and management:
Formation of federal programs for economic (including industrial) development;
Establishment of the legal basis for the single market;
Management of federal non-state property;
Federal Power Systems, Nuclear Power and Defense Manufacturing.
The division of state property (including in the field of industrial production) is under the joint jurisdiction of the Russian Federation and its constituent entities. Outside these limits, the subjects of the Russian Federation have full state power (Article 71 of the Constitution of the Russian Federation). Accordingly, the Government of the Russian Federation manages federal property in the field of industrial production (Article 114 of the Constitution of the Russian Federation).
It establishes state industrial corporations, concerns, joint stock companies, approves their charters and forms their leadership, determines the initial composition of boards of directors, features of the privatization of state enterprises, organizes the management of state-owned (state) industrial enterprises, resolves conversion issues, etc. It is also in charge of issues of industrial policy, enterprise reform, and the development of small and medium-sized businesses.
The executive authorities of the constituent entities of the Russian Federation solve a wide range of problems related to the regulation of the activities of industrial facilities classified as their property in close cooperation with the federal executive authorities. At the same time, there are also special executive authorities that carry out state management of the relevant sectors of industrial production at both the federal and regional (territorial) levels.
The control influence of the state on industry and its branches is increasingly acquiring the character of general regulation. The scope of powers of direct management (management) has been sharply reduced. Even in relation to objects of the military-industrial complex (MIC), the state no longer acts as an undivided owner, but rather as a control and supervisory authority, determining the basis of the federal policy for the development of relevant industries and monitoring its implementation.
Therefore, the basis of the mechanism of state management of industry today is regulation, coordination and control (supervision) in the current directions of development of domestic industrial production, regardless of the form of ownership of enterprises. It should also be taken into account that large-scale privatization has led to the fact that in industry the private (joint-stock) sector of the economy has become predominant.
Indicators of the ratio of state and non-state sector enterprises in the Russian Federation in 1992-97.
*at the time of completion of voucher privatization in Russia
Source: State Property Management / Ed. V.I. Koshkina, V.M. Shupyro. - M: INFRA-M, 1997. - p. 64.
Government bodies governing industries. Currently, industry management is concentrated in three federal ministries: the Ministry of Economy of the Russian Federation, the Ministry of Fuel and Energy of the Russian Federation and the Ministry of Atomic Energy of the Russian Federation.
Ministry of Economics RF along with general economic functions (development of industrial policy, macroeconomic regulation, etc.) it carries out a number of functions in the sphere of public management of industrial production sectors. In the regulation approved by the Government of the Russian Federation on August 26, 1995, it is entrusted with the implementation of a unified state policy in the following industrial sectors: metallurgical, chemical, petrochemical, biotechnological, textile, light, medical, engineering, defense, forestry, pulp and paper and woodworking industries, production and processing of precious metals and precious stones.
The Ministry of Economy also coordinates the activities of other federal executive authorities. In addition, the Ministry of Economy carries out state regulation and intersectoral coordination:
Mechanical engineering industries;
In the chemical complex;
Ensures the implementation of federal programs for the conversion of defense enterprises;
Improves intra-industry, inter-industry and interstate cooperative relations of industrial enterprises;
Organizes work on industry standardization of products, etc.
Ministry of Fuel and Energy of the Russian Federation(Ministry of Fuel and Energy of Russia), on the basis of the federal law “On Natural Monopolies,” manages the fuel and energy complex of the Russian Federation. It is also designed to coordinate the activities of enterprises and organizations in the electric power industry, oil production, oil refining, gas, coal, shale and peat industries, gasification, gas supply and gas facilities, petroleum product supply systems and main oil, gas and petroleum product pipelines. This is especially important, since within the framework of the fuel and energy complex today there are the largest production associations (joint stock companies) such as Gazprom, Transneft, Transnefteproduct, Rosneft, Rosugol, UES of Russia, etc. P.
The Regulations on the Ministry of Fuel and Energy were approved by the Government of the Russian Federation on January 27, 1996. In accordance with it, the ministry carries out its work in close cooperation with the executive authorities of the constituent entities of the Russian Federation in order to harmonize the interests of the fuel and energy industries and regions. Ministry of Fuel and Energy of Russia:
Implements state energy policy;
Meets the needs of the national economy and population in various types of energy, their use and conservation in all areas of consumption;
Ensures the efficient functioning of the fuel and energy complex, organizes the development of the main directions of its development;
Participates in the implementation of industry demonopolization programs;
Carries out state regulation of the activities of fuel and energy enterprises by developing regulations, standards, norms and rules in the field of operation, repair and construction of enterprises of the complex;
Decides, jointly with state authorities and management bodies of the constituent entities of the Russian Federation, local government bodies, issues of location of large enterprises of the fuel and energy complex.
Its functions include the development and implementation of state policy in the design and construction of enterprises in the fuel and energy complex; ensuring state energy supervision, state control and supervision over the rational use of oil, gas and their products, the quality of peat, as well as state supervision over the facilities of the fuel and energy complex in terms of ensuring the safety of navigation, underwater technical work, operation of hydraulic structures and warning pollution of the aquatic environment with oil.
The Ministry of Fuel and Energy of Russia is called upon to ensure compliance with the requirements for the protection of subsoil and other natural resources when enterprises carry out a range of economic activities, as well as increasing the environmental safety of existing enterprises, newly commissioned and reconstructed enterprises. It participates in the process of licensing the procedure, terms and conditions for the development of oil, gas and coal fields, monitors the fulfillment of the conditions for the development of fields under existing licenses, develops proposals for the formation of tariffs, prices for fuel and energy resources and other products of the complex industries.
The Ministry of Fuel and Energy carries out state regulation of the development and use of the complex's raw material base; develops and approves rules for their technical operation that are mandatory for all consumers of energy resources; participates in the state examination of reserves of oil, natural gas, gas condensate and coal deposits; creates departmental paramilitary security units, etc. In addition, this ministry coordinates the activities of industry enterprises (joint stock companies) and, together with them, determines the procedure for managing energy product pipeline systems and the federal energy system.
The following departments operate within the structure of the Ministry of Fuel and Energy of Russia:
Coal industry;
Oil industry;
Electric power industry;
Oil refining;
Mechanical engineering for the fuel and energy complex;
Energy resource saving;
Oil product supply and fuel.
Also acts as a federal executive body Federal Energy Commission of the Russian Federation(FEC of Russia), whose main task is to regulate the activities of natural monopolies in the fuel and energy complex, as well as state regulation of prices and tariffs for electrical and thermal energy, regulation and control in the field of transportation of oil and petroleum products through main pipelines, gas transportation through pipelines, services for the transmission of electrical and thermal energy, including price regulation on the federal wholesale electricity market and wholesale prices for natural gas, monitoring compliance with current legislation. Decisions and instructions of the FEC are binding on executive authorities, as well as organizations, regardless of their form of ownership and subordination.
Ministry of the Russian Federation for Atomic Energy pursues state policy in the field of development, production and disposal of nuclear charges and ammunition in the nuclear energy industry, carries out state management of the use of atomic energy, is responsible for the state and development of the nuclear weapons and energy complexes of the Russian Federation, ensures the safety of enterprises and organizations of the nuclear complex, manages the activities of enterprises and organizations of this complex, etc.
Certain branches of industrial production are managed by other federal executive authorities and their territorial divisions. Thus, state-owned enterprises in the construction materials industry are run by State Committee of the Russian Federation for Housing and Construction Policy, which coordinates and regulates their activities, participates in their privatization, promotes the creation of a market for building materials, improves economic methods of managing subordinate enterprises, participates in their creation, reorganization and liquidation, approves their charters, appoints managers, etc.
A number of management functions and powers in relation to industrial facilities are carried out by State Committee of the Russian Federation for State Property Management. In accordance with the Regulations approved by the Government of the Russian Federation on December 4, 1995, it manages and disposes of federal property on the territory of the Russian Federation and abroad, adopts regulations on these issues, and appoints state representatives to the management bodies of joint-stock companies, the shares of which are vested in federal property , approves the charters of federal unitary enterprises, etc. However, basically this body is called upon to ensure the implementation of state policy in the field of privatization of state and municipal enterprises.
State control (supervision) in industrial management. All executive authorities of general, intersectoral and sectoral competence in various forms and in various areas implement their control and supervisory functions and powers. At the same time, in the system of state management of industry there are specific organizational and legal forms of control (supervision).
Federal Mining and Industrial Supervision of Russia(Gosgortekhnadzor of Russia) is carried out in the field of industrial safety, as well as in the implementation of special permitting, supervisory and control functions in accordance with the Regulations approved by the Government of the Russian Federation on February 18, 1993. Its functions are related to the implementation of state supervision over compliance with the requirements for the safe conduct of work in industry, the design and safe operation of equipment. Gosgortekhnadzor establishes requirements (rules and standards) for the safe conduct of work; carries out licensing of certain types of activities associated with increased danger of industrial production and work.
In addition, Gosgortekhnadzor carries out state supervision in the coal, mining and non-metallic, metallurgical, oil and gas production, defense industries (for example, over the design, construction and safe operation of product pipelines), and also issues licenses for certain types of work associated with increased industrial hazards. production He has been granted the following powers:
Carrying out unimpeded inspection of controlled enterprises;
Issuing mandatory instructions for enterprise managers to eliminate identified violations, as well as to suspend work carried out in violation of rules and safety standards;
Bringing officials to administrative responsibility;
Making mandatory submissions to the heads of industrial enterprises about the dismissal of persons who systematically violate the rules and regulations on work safety.
Resolutions of Gosgortekhnadzor on issues within its competence are binding on associations and enterprises. Gosgortekhnadzor implements its functions and powers directly or through established regional divisions (districts and departments).
Federal Supervision of Russia for Nuclear and Radiation Safety(Gosatomnadzor of Russia) is a government body that carries out state regulation and supervision over the safety of production, circulation and use for peaceful and defense purposes of atomic energy, radioactive substances and products in order to ensure the safety of personnel at nuclear or radiation hazardous facilities and the population, and protection of the environment environment in the Russian Federation, subordinate directly to the President of the Russian Federation. Gosatomnadzor of Russia:
Establishes rules and regulations in the field of nuclear and radiation safety;
Carries out supervision in the field of production, circulation and use of atomic energy, nuclear materials, radioactive substances and products during the development, manufacture, testing, transportation, storage and disposal of nuclear weapons;
Conducts safety assessments of nuclear and radiation hazardous facilities and production facilities;
Issues licenses for activities related to the use of nuclear and radiation hazardous substances and materials;
Carries out state registration of supervised objects;
Inspects the state of nuclear and radiation safety;
Issues mandatory orders to eliminate violations of nuclear and radiation safety rules and regulations, license conditions;
Suspends work carried out in violation of rules and requirements, confiscates licenses;
Prohibits the use of products and materials that do not ensure nuclear and radiation safety, etc.
Gosatomnadzor has its own territorial (regional) divisions - districts and inspections. It carries out its activities in cooperation with the International Atomic Energy Agency (IAEA).
State Energy Supervision RF exercises control over the technical condition and safe maintenance of electrical and heat-using installations of consumers of electrical and thermal energy, the rational use of energy in enterprises, organizations and institutions, regardless of their departmental affiliation and forms of ownership. Energy supervisory authorities are part of the system of the Russian Ministry of Fuel and Energy. They include the Main Directorate of Supervision (Glavgoskomenergonadzor) and territorial divisions (directorates or departments). The Regulations on State Energy Supervision were approved by the Government of the Russian Federation on May 12, 1993.
State energy supervision bodies, the system of which is headed by the Chief State Inspector (head of the Main Directorate of the Ministry of Fuel and Energy of Russia), monitor compliance with the rules for the technical operation of power plants and safety precautions, which are mandatory for all consumers of electricity and heat, as well as the implementation of energy conservation measures. When carrying out state energy supervision, state inspectors have the right to:
Give mandatory instructions to energy consumers to eliminate violations of rules and regulations;
Demand that managers of enterprises, organizations and institutions immediately turn off electrical and heat-using installations when violations are detected that could lead to an accident, fire or pose a danger to humans;
Give mandatory instructions on the removal from work of rule violators, etc.
Of course, these control and supervisory authorities exercise their powers not only in the industrial sphere, but for them it is most significant. This can also be evidenced by the example of State Committee of the Russian Federation for Standardization, Metrology and Certification(Gosstandart of Russia), the regulation of which was approved by the Government of the Russian Federation on July 11, 1994. Gosstandart carries out state management of standardization, state regulation and intersectoral coordination of the activities of industrial enterprises in the field of certification (certification of product quality):
Organizes and carries out work on mandatory certification of industrial products;
Carries out state control and supervision of compliance with the requirements of state standards, metrology rules (uniformity of measuring instruments);
Carries out state metrological control (supervision), conducts inspections and state tests of measuring instruments.
At the same time, he has the right to send orders to eliminate violations of mandatory standards, to withdraw from production, cease production and sale of goods manufactured in violation of standards, as well as to recall them from the consumer. The Chairman of Gosstandart of Russia is the Chief State Inspector of the Russian Federation for the supervision of state standards and ensuring the uniformity of measurements.
Ministry for Antimonopoly Policy and Entrepreneurship Support of the Russian Federation controls compliance with antimonopoly requirements during the creation, reorganization and liquidation of industrial associations and enterprises; State Property Committee of Russia controls the implementation of the state program for the privatization of state and municipal enterprises, the receipt of funds from privatization into the federal budget, the intended use and safety of federal property, etc. It should also be noted the great importance of state control (supervision) in the industrial sector, carried out by environmental authorities.
When carrying out the functions of state control (supervision) in the field of industrial production, the bodies of Gosgortekhnadzor, Gosatomnadzor, etc., in accordance with the Code of the Russian Federation “on Administrative Offences,” are authorized to consider cases and impose administrative penalties for violations, which include:
Violation of rules, norms and instructions for the safe conduct of work in industries (Article 88);
On storage, use and accounting of explosive materials and industries (Article 89);
Wasteful consumption of electrical and thermal energy (Article 90), etc.
Penalties are imposed on the perpetrators by officials of territorial and local inspectorates and heads of district departments.
Business entities in industry The legislation of the Russian Federation is divided into two main categories: state-owned enterprises and joint-stock companies. There are also private enterprises that are individually owned, but their number is extremely small. As state-owned enterprises, the state retained ownership of strategically important branches of industrial production.
State-owned plants (factories, farms) are created in accordance with Decree of the President of the Russian Federation of May 23, 1994 No. 1003 “On the reform of state-owned enterprises” on the basis of liquidated federal state-owned enterprises. On August 12, 1994, the Government of the Russian Federation approved the Model Charter of a state-owned plant. The state-owned plant is under the jurisdiction of the relevant federal executive body, which is responsible for coordinating and regulating activities in the industry.
Such a body approves the individual charter of the subordinate state-owned plant, appoints its manager and makes a decision on the plant’s independent economic activities. On this occasion, an order (instruction) is issued, defining specific types of goods (work, services), the production and sale of which is subject to permission. The standard charter of a state-owned plant defines:
Goals and subject of the plant’s activities;
Plant property that is federal property;
Basics of organizing its activities;
Plant management system (director appointed by the authorized body and his deputies appointed in agreement with the body that approved the charter);
Fundamentals of accounting, reporting and control over the activities of a state-owned plant;
The procedure for liquidation and reorganization of the plant (by decision of the Government of the Russian Federation).
Along with industrial enterprises and state-owned associations (their number is now insignificant), such as the Russian State Corporation for the Production of Timber and Paper Products, there is a wide network of joint-stock companies. In 1993, the Government of the Russian Federation established the Russian Joint Stock Company (RAO) Gazprom and approved its charter, which revealed the features of this type of association. Currently, the federal law of December 26, 1995 No. 208-FZ “On Joint Stock Companies” is in force.
Joint stock companies– commercial organizations of open or closed type. The constituent document of a joint stock company is its charter. The company is subject to state registration. The legislation of the Russian Federation practically does not define the forms of influence of the state on the activities of joint-stock companies, which creates the impression of their complete autonomy, which is incorrect.
State supervision over the activities of industrial enterprises is carried out by executive authorities and their representatives on issues of finance, ecology, etc. In other words, in all cases when rules are established that are binding on business entities of any form of ownership. The liability of joint stock companies to the state is also not defined in law. The specific goals, objectives and activities of joint-stock companies can be judged by the example of RAO Gazprom, which on a contractual basis:
Ensures the supply of gas, gas condensate, and petroleum products to consumers;
Provides gas supplies outside Russia under interstate and intergovernmental agreements;
Builds and finances high-pressure gas pipelines;
Obtains licenses for exploration and development of deposits, as well as for export of products;
Controls the functioning of the unified gas supply system, etc.
The Russian government has a certain influence on joint stock companies. Thus, a resolution was adopted “On state support of the joint-stock company “Gorky Automobile Plant”; to represent the interests of the state regarding state-owned stakes in RAO UES of Russia, it appointed its representatives; a special resolution was adopted “On measures to ensure state management of the federally owned shares of RAO UES of Russia”, which established a board of state representatives that proposed a range of issues for the agenda of the next meeting of shareholders; decisions are made to approve the charters of joint stock companies (for example, the open JSC Oil Company Rosneft), etc.
The problem of insolvency of industrial enterprises has recently become very relevant. To resolve these types of issues, it was formed Federal Service of Russia for Insolvency and Financial Recovery. The main goal of this body is to create organizational, economic and other conditions for the implementation of acts on the insolvency of state-owned enterprises. The Department pursues public policy aimed at preventing enterprise insolvency; represents the interests of the state in resolving issues related to the initiation of insolvency proceedings; provides assistance to enterprises showing signs of insolvency.
This federal service acts as an authorized representative of the owner of a state enterprise; decides on the debtor enterprise sending an application to the arbitration court to initiate insolvency proceedings; participates in the privatization of insolvent state enterprises; exercises leadership over its territorial bodies, etc.
The Federal Service for Insolvency and Financial Recovery has the right to make decisions on the need to reorganize (prevent bankruptcy) of enterprises; participate in monitoring the use of funds to support enterprises; issue binding acts on issues within its jurisdiction, etc.
The Decree of the President of the Russian Federation of December 22, 1993 “On measures to implement legislative acts on the insolvency (bankruptcy) of enterprises” determined that the Federal Service represents the interests of the owner in resolving issues of insolvency in relation to federal state enterprises, as well as enterprises and organizations in whose capital there is a share (contribution) of the Russian Federation. It is also responsible for reviewing the financial condition of enterprises and making decisions on mandatory privatization of federal state enterprises that are insolvent; adoption of a mandatory decision for the debtor enterprise to submit an application to the arbitration court to initiate insolvency proceedings.
If the enterprise fails to submit such an application, the Federal Service itself applies to the arbitration court with a petition to declare the debtor enterprise bankrupt. In addition, it determines the conditions for the participation of authorized state bodies in the reorganization of the debtor enterprise and submits an application to the arbitration court to open bankruptcy proceedings.
Industrial management in the Omsk region. At the federal level, state regulation in the field of industrial production in the Omsk region, as mentioned above, is carried out by territorial divisions of federal bodies. Almost all of them are represented in the region. Some of these bodies delegated their functions to divisions of the Administration of the Omsk Region.
At the same time, the Administration of the Omsk Region and at the regional level is quite actively pursuing state regulation in the field of industrial production. One of the reasons for this is that it is industrial enterprises that form the majority of regional and local budgets. This activity is carried out in the following areas:
Development of regional programs and projects for the development of industrial production;
Providing tax benefits and guarantees to investors investing in the development of industrial production;
Promoting the development of foreign economic relations of Omsk enterprises and presenting the products of Omsk enterprises abroad;
Placing a regional order for products from Omsk industrial enterprises;
Share participation in the development of market infrastructure in the region (construction of an international airport, gasification, etc.).
To solve current problems in the management and development of industrial production, a number of committees have been created in the Administration of the Omsk Region: Economic Committee, Industry Committee, Gasification Committee, Foreign Economic Activity Committee, etc.
At the same time, functions related to supervision and control in the field of industrial production are concentrated in the territorial divisions of federal structures. While functions related to the direct stimulation and development of industry are delegated by the federal center to the regional level.
CONTROL QUESTIONS:
1. Formulate the basic principles of state management of industrial production at the federal level.
2. Show, using the example of any Omsk enterprise, how federal governing bodies influence its activities.
3. Justify why direct stimulation of the development of industrial production was transferred by the federal center to the regional level.
1. Alekhin A.P., Karmolitsky A.A., Kozlov Yu.M. Administrative law of the Russian Federation: Textbook. – M.: MIRROR, 1997.
2. Gruzinov V.P., Maksimov K.K., Eriashvili N.D. Enterprise economics: Textbook for universities. - M.: Banks and exchanges; UNITY, 1998.
3. Efficiency of public administration. / Ed. S.A. Batchikova, S.Yu.Glazyeva - M.: Consultbanker, 1998.
Regulatory acts and documents:
1. Federal Law of December 26, 1995 No. 208-FZ “On Joint Stock Companies”. // Reference legal system "Garant". - M.: NPP "Garant-service", 1999.
2. Decree of the President of the Russian Federation dated May 23, 1994 No. 1003 “On the reform of state-owned enterprises.” // Reference legal system "Garant". - M.: NPP "Garant-service", 1999.
3. Resolution of the Head of Administration (Governor) of the Omsk Region dated 04/08/1997 No. 147-p “On the forecast of socio-economic development of the Omsk Region for 1997-2000 and on the mid-term action plan of the Administration for the period up to 2000.” // Reference legal system "Garant". - M.: NPP "Garant-service", 1999.
There are about 20 territorial divisions of federal bodies operating in the Omsk region, which in one way or another influence industrial production.
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The organizational structure of management and regulation in the communications industry is a hierarchical system based on the subordination of lower-level management subjects to the highest level, which in turn is the object of management by a higher-level body. All management and regulatory bodies in their activities are guided by the Constitution of the Russian Federation, federal laws, decrees and orders of the President of the Russian Federation, decrees of the Government of Russia, international treaties and other normative and legislative acts on issues of communications and information. A diagram of the organization of management and regulation of the country's interconnected communication network is shown in Fig. 2.1.
In accordance with the legislation, the Government of the Russian Federation, as the highest federal executive body, provides general management of the entire economic system, including the communications industry, on the basis of establishing priorities and strategic directions for the development of the country at a specific stage of its development. Control influences are formulated in the form of appropriate resolutions aimed at coordinating the activities of all controlled subsystems to most effectively solve problems of economic development in a specific time interval.
The State Committee of the Russian Federation for Communications and Information (Goskomsvyaz of Russia) is a federal executive body that pursues state policy and manages the country's interconnected communications network, and is responsible for its condition and further development. The objectives of the State Communications Committee of Russia are:
Development of proposals and implementation of the main directions and priorities for the development and improvement of communications and information,
Improving its quality, accessibility and sustainability of operation;
Regulation of activities aimed at better satisfying the needs of state authorities, local governments, legal entities and individuals for communication and information services;
Implementation of state policy aimed at limiting monopolistic activities in the field of communications and promoting the development of entrepreneurship and competition in the provision of communication services and information technology.
The main functions of the State Communications Committee of Russia include:
Preparation of programs for the development of communication and information infrastructure, development of concepts and schemes for the development and placement of communication means and information systems in the country;
Development of a regulatory and legislative framework for the activities of the VSS of Russia, which is mandatory for all users and producers of communication services, regardless of their organizational, legal forms and forms of ownership;
Intersectoral coordination in the field of electrical, postal communications and information and organization of state examination of design documentation for the construction of communication networks connected to the public communication network;
Issuing licenses to legal entities and individuals for operator activities in the field of communications and information, maintaining records of licensees and organizing control over compliance with license conditions;
Certification of technical communication equipment used on public communication networks (except for those used on special-purpose networks), as well as communication services produced by operators who have the appropriate licenses from the State Committee for Communications of Russia;
Participation in the development and implementation of investment policy in the field of communications and information;
Development of forecasts for the development of communication and information means and services;
Generalization and dissemination of positive experience in the activities of communication and information organizations in the conditions of the formation of market relations, providing them with the necessary advisory, organizational and methodological assistance;
Exercising direct management of subordinate state enterprises and institutions, including organizing work to improve the economic aspects of activities, accounting, statistical reporting and financing of budgetary communications organizations;
Organization of state supervision over communication means and networks and information systems;
Representation and protection of the interests of the Russian Federation in international organizations as the administration of communications and informatization of Russia.
The State Committee for Communications of Russia is headed by a Chairman who has deputies appointed by the Government of the Russian Federation. The most important issues of the industry are considered by the board, which, along with the Chairman of the Committee and his deputies, includes senior management employees, representatives of other federal executive bodies, leading specialists and scientists.
To carry out its functions and powers, the structure of the State Communications Committee of Russia has organized special divisions that regulate operational activities, and system-wide divisions whose functions are to solve industry-wide problems. The first group includes the Department of Electrical Communications, the Department of Postal Communications, the Department of Radio, Television and Satellite Communications, and the Department of Mobile and Wireless Telecommunications.
The group of system-wide divisions includes the department of economic and investment policy, the department of organizing licensing work, the department of certification of communication facilities and services, the department of international cooperation, the scientific and technical department and labor protection, the department of personnel and educational institutions, etc.
To consider and develop proposals for the implementation of achievements of domestic and foreign science, engineering, technology, advanced methods of organizing and managing production within the framework of the State Committee for Communications of Russia, a scientific and technical council (STC) operates. At its meetings, the results of the work of research and design communication institutes, the positive experience of enterprises and joint-stock companies in improving innovation, operational and economic activities are heard, which are formalized by the decision of the NTS and are advisory in nature for all telecom operators united in the public network.
Three commissions have been created under the State Committee for Communications of Russia, each of which, on a collegial basis, coordinates work on the implementation of state policy in the most important areas of communication and information technology. The State Telecommunications Commission (GKES) coordinates work in the field of development of federal and other networks that form the interconnected communication network of the Russian Federation. The State Commission on Radio Frequencies (SCRF) organizes work on the distribution and use of the radio frequency spectrum and ensuring the electromagnetic compatibility of radio-electronic equipment produced by national and foreign manufacturers. The State Commission on Informatization (GKI) coordinates work in the field of creation and development of networks and information systems, creation of a market for information services and a unified information space of the country.
The composition of these commissions, which are headed by the chairman of the State Committee of the Russian Federation for Communications and Information, along with senior employees of the State Communications Committee, includes representatives of such federal government bodies as the Ministry of Economy of the Russian Federation, the Ministry of Antimonopoly Policy and Entrepreneurship Support, the State Committee for Standardization, Metrology and certification, power ministries and departments, Russian Academy of Sciences. Thus, the activities of the commissions are interdepartmental in nature, and their decisions are binding on all individuals and legal entities who are producers and users of communication services.
In addition, within the framework of the State Committee for Communications of Russia there are licensing and certification commissions, commissions for the examination of communications and information development projects, ensuring coordination of work in the relevant field of activity.
A special place in the management structure of the Interconnected Communications Network is occupied by the State Communications Supervision Service in the Russian Federation (Gossvyaznadzor of Russia). It represents a unified system of supervisory authorities and consists of the Main Directorate of State Supervision of Communications under the State Committee for Communications of Russia and regional (regional, regional and republican) departments subordinate to it.
The functions of Gossvyaznadzor are grouped into six main areas: control and supervisory, permitting, prohibitive, international legal protection of frequency assignments, enforcement and regulatory. The main tasks of state supervision of communications in the Russian Federation are:
Monitoring compliance with laws, decrees of the Government of the Russian Federation, regulations and instructions in the field of communications;
Control over the condition of networks and means of electrical and postal communications, over the provision of communication services to consumers only under licenses issued in the prescribed manner and in accordance with established quality standards;
Radio monitoring of radiation parameters of radio-electronic equipment;
carrying out (together with SCRF) a technical policy for the use of the radio frequency spectrum, planning, assigning and accounting for operating frequencies, issuing permits for production, import from abroad, implementation, design, construction and use of radio-electronic equipment, ensuring their electromagnetic compatibility;
Control over the use of equipment that has been certified in the prescribed manner on networks and communication structures;
Conducting an examination of newly commissioned electrical, postal communication and electronic networks for compliance with the requirements of regulatory documents and issuing permits for their operation;
Ensuring that activities are carried out with communications administrations of foreign states to coordinate frequency assignments to radio-electronic equipment of the Russian Federation and foreign countries.
The objects of control and licensing activities of the service in accordance with the tasks assigned to it are organizations and institutions, regardless of their form of ownership and departmental affiliation, as well as individuals providing postal and electrical communications services.
From the one shown on rice. 2.1 The diagram shows that the competence of the State Committee of the Russian Federation for Communications and Informatization and the structures created under it extends to all operators forming a public communications network, regardless of their departmental affiliation and forms of ownership.
The Ministry of Antimonopoly Regulation and Entrepreneurship Support (MAP of Russia) plays a similar role in relation to the objects of influence. It includes the Department for the Regulation of Natural Monopolies in the Field of Communications, whose competence includes regulating the economic aspects of the activities of electric and postal operators providing services related to the sphere of natural monopolies. The main objectives of the MAP of Russia are state regulation of the activities of natural monopolies in the field of communications in order to respect the interests of the Russian Federation, its constituent entities, producers and consumers of services, the formation of a national market for communications services and increasing the efficiency of the functioning of the public communications network and its economic entities.
To fulfill the assigned tasks, MAP of Russia performs the following functions:
Develops proposals for state regulation of the activities of natural monopolies in the field of communications, including proposals for improving competitive relations and changing the regime of centralized influence on business entities, aimed at increasing the efficiency of their work and protecting consumer rights;
Ensures the development of a regulatory framework for state regulation of subjects of natural monopolies in the field of communications and mechanisms for its implementation;
Forms and maintains a register of subjects of natural monopolies in the field of communications, in respect of which state regulation and control is exercised;
Analyzes and forecasts economic situations developing in the country in the process of implementing measures of state regulation of natural monopolies in the field of communications;
Carries out price regulation by establishing tariffs or their maximum level, and also determines the circle of consumers subject to mandatory servicing and establishes a minimum level of provision of communication services to them in the event that it is impossible to satisfy their needs in full;
Regulates the formation of a common market for communication services, the interaction of natural monopoly entities providing public electric and postal communication services, on issues of pricing and mutual settlements for mutually provided network resources and services;
Exercises control over the investment activities of natural monopolies in terms of their impact on tariffs established for communication services;
participates in the work of international organizations on issues of pricing and regulation of the activities of natural monopolies in the field of communications and carries out scientific and technical cooperation in this area, as well as performs other functions provided for by the legislation of the Russian Federation.
The structure of the Department for Regulation of Natural Monopolies in the Field of Communications of the MAP of Russia has two main system-wide divisions: the Department of Tariff Regulation and Economic Interaction of Telecom Operators and the Department for Regulating the Activities of Business Entities of Natural Monopolies. The first includes departments for the methodology of tariff regulation, price regulation, analysis and control of the activities of natural monopolies. The main divisions of the second are the department of registry and marketing of the communication services market and the department of antimonopoly control.
MAP of Russia must exercise its powers to regulate natural monopolies in the field of communications at the level of constituent entities of the federation through its territorial bodies.
The State Committee for Communications and the Ministry of Aviation Administration of Russia carry out constant interaction with the aim of forming a unified economic policy to improve the efficiency of communication authorities, increase consumer access to basic communication services, improve their quality and respect national interests in the markets of communication means and services.
The main objects of management and regulation are economic entities - communication organizations (enterprises), which are direct producers of services.
Communication organizations are business entities that have administrative and economic independence. They carry out their activities in accordance with the legislation of the Russian Federation and on the basis of licenses issued by the State Committee for Communications of Russia. The most important signs of administrative and economic independence are the presence of an enterprise charter and its registration with the relevant local authorities, an independent balance sheet with a complete accounting and reporting system, a bank account, the rights and responsibilities of a legal entity. The latter predetermines organizational unity, property responsibility and independent performance on one’s own behalf when interacting with other legal entities and individuals in accordance with the Civil Code of the Russian Federation.
All economic entities of communication are classified according to departmental and industry affiliation, organizational and legal forms and forms of ownership, level of specialization and degree of completeness of the production cycle, place in the communication network in terms of participation in the production process and sale of services, as well as on a territorial basis.
Depending on their departmental affiliation, communications organizations are divided into those subordinate to the State Committee for Communications of Russia; subordinate to other ministries and departments, regional and local governments; independent commercial enterprises created by legal entities or individuals.
On the basis of industry there are postal organizations (for example, post offices, railway post offices, mail transportation departments), electrical communications enterprises (long-distance telephone exchanges, city telephone networks, telecommunications companies, etc.), radio communications, radio broadcasting, television and satellite communications enterprises (for example , regional radio and television centers - ORTPC).
With the introduction of market relations in the communications industry, business entities with various organizational and legal forms and forms of ownership are represented, including state unitary enterprises (for example, postal service enterprises), joint-stock companies (including open and closed ones with a state share in the authorized capital and without it), joint ventures with the participation of foreign capital, personal (individual) enterprises, as well as other business entities.
From the point of view of specialization, a distinction is made between dedicated (specialized) enterprises that provide services to one sub-industry of communications (for example, independent city telephone networks, long-distance telephone exchanges, enterprises providing cellular telephone services) and integrated enterprises that provide services to consumers in various sub-industries (for example, regional joint-stock companies of telecommunications, which organize the work of almost all types of communications except postal).
Many industry organizations involved in the provision of network services (postal, telegraph, long-distance telephone companies) are characterized by an unfinished production cycle in terms of creating the final product - a service. Each of them performs a certain set of works on transmitting messages at a specific stage (outgoing, transit, incoming) of the production process. At the same time, there are enterprises within which a complete service is created, that is, a completely completed production cycle is carried out. Such organizations include dedicated city telephone networks, city radio broadcast networks, cellular networks, and personal radio calls.
The role of communication organizations is also unequal in terms of their participation in the process of creating and implementing communication services. The bulk of them are engaged in both production and direct customer service (post offices, long-distance telephone exchanges, city telephone networks, etc.). In the course of their activities, they have direct contact with subscribers, enter into contractual relations with them, receive income for the services provided, and bear responsibility, including legal responsibility, for the obligations assumed regarding the quantitative and qualitative characteristics of the services created. Another part of the enterprises is not directly connected with subscribers, but carries out technological functions to ensure the process of transmitting messages and servicing equipment and communication facilities. Typical representatives of this group are postal service enterprises engaged in the processing and transportation of mail (PZDP, OPP), OJSC Rostelecom and its branches - Territorial Intercity Communication Centers (TCMC), which carry out maintenance of backbone and partially zonal telecommunication networks.
Based on territorial characteristics, communication organizations are divided into international, intercity, zonal (regional) and local. This status is determined by a license that defines the scope of activity of a particular operator and the level of its connection to the public network.
Being the object of management and regulation by federal bodies, enterprises, in turn, exercise management functions in relation to their constituent branches, structural units and divisions. At this level, management decisions of higher authorities are specified in relation to the tasks facing the immediate executors, and a system of operational and production management of enterprises’ facilities, processes and resources is also formed. Thus, an optimal combination of state influence on business entities is ensured with the expansion of the rights of direct producers in the direction of liberalization of the industry management system.
The peculiarities of the functioning of some industries give rise to the need for direct government regulation of their activities. At the same time, the main argument for regulation is the social significance of the industry or product. However, most regulated industries have naturally monopolistic segments.
The tools of the new institutional theory allow us to consider state regulation of firms from two positions: as an erosion of property rights and as a long-term specific contract between the state and a firm engaged in a special type of activity.
Through pricing control for most regulated enterprises, the state unilaterally and compulsorily imposes restrictions on the permissible amount of profit of the company, that is, its right to appropriate residual income is limited. Thus, there is an erosion of property rights, which rearranges the expectations of the economic agent, reduces the value of the resource for him, and changes the terms of exchange. Rregulated firms are forced to develop adaptive behavior patterns that minimize costs or lost profits arising from government regulation. Consequently, government actions to regulate the pricing of private firms cannot meet the efficiency criterion and reduce the level of welfare of society.
However, the criterion of efficiency is not contradicted by the splitting (differentiation) of property rights, which is voluntary and bilateral in nature. The main benefit from the dispersal of powers is seen by property rights theorists in the fact that economic agents have the opportunity to specialize in the implementation of one or another partial power (for example, the right to manage or the right to dispose of the capital value of a resource). Redistribution of rights in accordance with the relative advantages that each of the participants in the economic process has in some type of activity increases the overall efficiency of the economy.
At the same time, economists recognize that in reality it is very difficult to separate the processes of splitting from the processes of erosion of property rights.Therefore, regulation can simultaneously be interpreted as a contract between the state and the company, which is voluntary and meets the interests of both parties. Through such a contract, the state realizes the public interest: and the excess profits that can be obtained in some industries due to the natural conditions of their organization must go to consumers in the form of income from lower prices. And the company, in accordance with the contract, receives access to specific resources or a special type of activity, and most importantly - full or partial protection from competitors.
To study the Russian situation, we adopt the contract theory of regulatory relations. All regulated firms before the country's transition to market relations were state-owned. The transfer of part of the property from the state to private ownership can be considered as one of the terms of the contract in exchange for partial restriction of the right of appropriation by the new owner of residual income.
In this case, problems arise regarding the effectiveness of the contract and monitoring its compliance.Regulated firms in the Russian reality must adapt not only to the costs they incur in connection with regulation, but also to the persistent failure to fulfill the terms of contracts on the part of the state. However, the behavior of regulated firms generally fits into traditional types: unjustified inflation of costs, rent-seeking, and various forms of opportunistic behavior.
Interest group theory also explains the emergence of cross-subsidization in many regulated industries. Cross-subsidization often results in a dominant consumer group gaining an advantage over other groups through regulatory decisions to subsidize. The hypothesis that regulators generate cross-subsidization was tested using statistical data from periods in the history of American electric utility regulation when there were still a few unregulated states. Industrial customers buy larger quantities of electricity than households and are relatively small in number, so they can lobby regulators more effectively. Thus, according to this hypothesis, the ratio of residential tariffs to industrial tariffs should be higher in regulated states, despite the fact that the differences in the costs of providing services to both groups are not significant. Statistical studies confirmed this hypothesis; regulation forced the population to subsidize industrial consumers.
However, the possibility of regulatory capture may be weakened if an industry is regulated by multiple commissions. In this case, pressure from a dominant group on multiple regulatory actors is difficult. The same effect is observed when the industry is regulated at different levels, by both federal and regional authorities simultaneously. However, in this case, the costs of influence increase along with the scale of regulation.
Regulatory ineffectiveness is reflected in widely varying effects on prices. A number of studies by American scientists have empirically proven that in industries such as electricity and telecommunications, regulation contributed to setting prices 10-20% lower compared to an unregulated monopoly. But these markets represent a case of persistent natural monopoly. In contrast, in transport industries where natural monopoly is not sustainable, and where competition has been formally suppressed in the past through entry restrictions and minimum price controls, empirical studies show the opposite results. Regulations in these sectors of the American economy contributed to higher prices. Over the period 1969-1974, regulation, according to T. Keeler, contributed to an increase in the cost of air tickets by an average of 22 - 52%. Annually, this amounted to between $1.4 and $1.8 billion in public losses. The main reasons for these exorbitant tariffs are the various forms of X-inefficiency resulting from unjustified regulation of these industries.
A clear example of regulatory ineffectiveness is a comparison of unregulated intrastate and regulated federal air fares in California and Texas. In 1975, on routes of the same length and connecting the same cities, domestic fares were significantly lower. Airline and cargo deregulation in the late 1970s and early 1980s led to lower prices, mainly due to the emergence of new competitors. For example, airfare in markets servedPeople Expressdecreased by 40 - 50%. Between 1976 and 1983, prices for short- and medium-haul freight transport fell by 12-14%.
However, many of these achievements were subsequently lost. The reason, according to most economists and politicians, was lenient antitrust policies during the Reagan administration, which allowed mergers and unfair competition. Thus, deregulation is welcome only to the extent that it replaces regulation with competition.
Opportunistic behavior . A characteristic feature of regulated firms is the presence of opportunistic behavior in the form of concealing information from the regulatory body; abuse of monopoly position; reduction in the quality of products and services.
Inflated costs are closely related to the desire of regulated firms for information privacy.In the Russian economy, the real state of affairs of monopolists is, as a rule, carefully hidden information; the regulatory body does not always deal with reliable and reliable data. Thus, the difficulties of creating an effective system for regulating socially significant industries in the Russian economy are also aggravated by the opacity of financial flows in regulated industries.
Since in many cases regulated firms turn out to be monopolists in the market, practice reveals many cases of abuse of monopoly position. Almost once a month, the Ministry of Antimonopoly Policy of Russia initiates cases of violation of antimonopoly legislation in relation to the Ministry of Railways of Russia, and annually the antimonopoly authorities consider about 200 applications regarding violations of antimonopoly legislation by railways. These statistics have been fairly stable over the past few years. Typical examples include the expansion of the list, approved by the Ministry of Railways and the Ministry of Economy, of works and services paid at negotiated rates. Instead of regulated tariffs, consumers are often imposed unreasonably high contractual tariffs or additional services not provided for in the price list, and the volumes of actual work performed and services provided are often overstated. As a rule, such situations occur in areas where railways are practically the only mode of transport. There is also discrimination against cargo owners who have their own rolling stock. For transportation by their own fleet, even at official prices, they have to pay more than for transportation by the railway fleet.
Another form of opportunistic behavior by regulated firms is a reduction in the quality of products or services produced. In many regulated industries, there are high costs of measuring the quality of the products or services produced, so the regulated firm has the ability to reduce quality in the face of government-set prices.
Contracts between the government and regulated firms are mostly formal. At the same time, implicit contracts are also widely used in this area. Under existing conditions of uncertainty, regulatory contracts cannot be complete.
The Russian situation is characterized by low formalization of contractual relations. This is a source of inconsistency in government regulation. Thus, during the transition to a market, many regulated industries were assigned mutually exclusive roles by the state - to ensure economic recovery and development of the economy and at the same time serve as the main source of income for the state budget at all levels, as well as ensure the fulfillment of social functions . At the same time, the fiscal and social functions turned out to be priorities.
The ineffectiveness of existing contracts between the state and regulatory authorities in Russia is reflected in the presence of cross-subsidization practices. Buyers of regulated enterprises are divided into three groups: the population, budgetary organizations and commercial consumers. As a rule, regulators set the lowest tariffs for the population, often at or even below cost. Tariffs for budget organizations are higher, but this group of consumers is characterized by extremely low payment discipline. The highest tariffs are for commercial consumers. Thus, in most cases, the problem of income lost at the expense of the first two groups of consumers is solved. But the demand of commercial consumers is the most elastic; they are more active in searching for alternative service providers where possible. Many enterprises build their own electric power generators and water intakes with high production costs, prefer to use cellular communications for long-distance and international calls instead of telecommunications, etc. At the same time, the costs of enterprises turn out to be comparable to regulated tariffs, and the quality of services and reliability of supplies are much higher. Thus, regulated firms lose their most profitable clients, and therefore a significant part of their income. If these trends prove to be sustainable, then in the near future the main consumers of products and services of regulated companies will remain the poor population and insolvent budgetary organizations.
Particular mention should be made of the debt of budgetary organizations, which constitutes a significant share of the total amount of receivables of regulated firms. After all, it is the state itself, as the owner of these enterprises, that ultimately turns out to be the debtor of the regulated companies. Thus, non-payments by budgetary organizations are a manifestation of a violation of the contract between the state and regulated firms. The reliability of promises and discipline in fulfilling obligations on the part of the state, as an institution that determines the rules of the game as a whole, is of utmost importance for increasing the efficiency of contractual relations.
A peculiarity of the relationship between these parties is the situation when one of the parties to the contract (the state) acts at the same time as an arbiter in resolving controversial issues. Therefore, improving regulatory contracts should be aimed at increasing their formalization, completeness and efficiency.
Improving industry regulation in Russia is associated with the following important areas. It is necessary to clearly define the criteria for the feasibility of regulation for various industries: under what conditions the industry or the production of certain types of products should be subject to regulation and, what is especially important, when and under what conditions deregulation is possible and what is its mechanism. In those cases where regulation is truly necessary, it will be most effective when mechanisms are created to ensure effective contractual relationships between all parties, as well as in an appropriate institutional environment.
The largest Russian multi-product companies OJSC Gazprom, RAO UES of Russia, railways under the control of the Ministry of Railways have a natural monopoly core and, therefore, are subjects of a natural monopoly at the federal level, their activities are subject to direct state regulation. The importance of state regulation of these objects is exacerbated by the macroeconomic effect of their activities.
During the period of transition from a command economy to market methods of management, the activities of natural monopoly subjects at the federal and local levels are the most important factor in both macro- and meso- and microeconomic stability. The lack of an adequate mechanism for industry regulation has led to a situation in which the tariff and commodity-credit policy of the most important infrastructure sectors has become one of the reasons for cost inflation and the difficult financial situation of most enterprises. The role of natural monopolies in the formation of “institutional traps” based on the general crisis of non-payments, the side effects of which were the mobility of the ownership of most Russian enterprises, obstacles to the demonopolization of the economy and the development of competition, cannot be overestimated.
There is an implicit contract between a weak state and strong interest groups. The state provides subjects of infrastructure industries with the opportunity to receive monopoly rent in exchange for ensuring a minimum level of social stability in the country and the financial solvency of the state budget and budgetary organizations.
Therefore, artificial containment of tariffs on products and services of natural monopolies cannot solve the problems of the country and the regulated companies themselves. The effectiveness of reforming the economy of natural monopoly structures, the creation of a mechanism for effective state regulation of pricing of natural monopolies, the organization of competition and deregulation of potentially competitive segments of these industries can become the basis for a real reduction in tariffs and create the preconditions for growth in other sectors of Russian industry.
The success of the above actions depends on eliminating the possibility of subjects of natural monopolies receiving natural and monopoly rent and introducing institutions that weaken the influence of industry interest groups. The most realistic way is the formation of a fairly strong coalition of antimonopoly forces represented by large industry not related to the fuel and energy complex and public organizations representing the interests of small businesses and households.
Kokorev V.R. Institutional reform in the field of infrastructure under conditions of natural monopoly // Questions of Economics. 1998.№4. [v] See “Results of a study by the EBRD and the World Bank indicate familiar relations between the state and enterprises” // Transformation. 1999. December. P.6-9.
According to specialists of these organizations, the level of “capture” of government bodies is determined by the ability of individuals or companies to pay for regulations that correspond to their personal interests. (Ibid., p.6)
Keeler T.E. Deregulation and Scale Economies in the U.S. Trucking Industry: An Econometric Extension of the Survivor Principle // Journal of Law and Economics. 1989. No. 32. P.P. 399 - 424.
Bnieckner J.K. and Spiller P.T. Competition and Mergers in Airline Networks // International Journal of Industrial Organization. 1991. No. 9. P. P. 374 - 382.
Currently, state regulation of the construction industry at the federal level is carried out by several federal executive authorities, the main one of which is the Ministry of Regional Development of the Russian Federation. The development and implementation of state policy by the Ministry of Regional Development of Russia is carried out in three main areas.
The first direction is the sphere of technical regulation in construction. The basic legislative act here is the Federal Law “On Technical Regulation”. In accordance with current legislation, this authority is under the exclusive jurisdiction of the Russian Federation. If before the adoption of this federal law, the constituent entities of the Russian Federation had the right to approve territorial construction standards (TCN), containing technical requirements for design, survey and construction and installation work, then after its entry into force, the regions do not have such an opportunity.
The second direction is the regulation of urban planning activities, or urban regulation. The basic legislative act on which state policy in this area is based is the Town Planning Code of the Russian Federation. This direction, in accordance with the legislation of the Russian Federation, is implemented by three levels of public authority: federal, regional and municipal.
The third direction is estimated rationing and pricing in construction. The basic law here is the Federal Law “On investment activities carried out in the form of capital investments.” This power is exercised by the Russian Federation and the constituent entities of the Russian Federation.
Of course, the above division of spheres of activity is to a certain extent conditional. For example, for the construction of a specific facility, it is necessary to resolve issues of urban planning, technical, and cost estimates, and at the level of state regulation, all three areas are closely interconnected, interdependent and complement each other. First of all, this applies to the areas of technical and budget regulation. These areas of regulation are interconnected and interdependent, since they contain similar scope of work, common terminology, and are developed according to a common methodology. In this case, the primary ones are technical standards, on the basis of which estimate standards are developed.
Currently, after the liquidation of Rosstroi, the Ministry of Regional Development is carrying out both the development and implementation of state policy in the construction industry.
Technical regulation. The main task in this area is the development and approval of technical standards, which, on the one hand, when implemented, will ensure the safety of the construction and operation of the building and structure and, on the other hand, will not be an obstacle to the introduction of new technical solutions, the use of new technologies and materials.
It must be admitted that in this area we are lagging behind the real needs of the construction industry. For almost four years from the adoption of the Federal Law “On Technical Regulation” until amendments were made to it last year, no work was carried out in this area. The Ministry of Regional Development of Russia or any other federal executive body was not vested with the authority to update existing technical regulatory documents. In addition, it was not possible to develop technical regulations on the safety of buildings, since the law in the previous version did not take into account the characteristics of construction products.
Slide 1 (Fig. 2) presents the three-level structure of documents in the field of technical regulation, within the framework of which our work is based. The first level of documents is technical regulations. These are the only documents that (after they come into force) will contain mandatory requirements for buildings and structures as objects of technical regulation. The main ones here are two technical regulations: “On the safety of buildings and structures” and “On the safety of building materials and products”. The first technical regulations have already been developed, passed all the necessary procedures, including public discussion, agreed with the federal executive authorities and submitted to the Government of the Russian Federation. After consideration by the government, it will be submitted to the State Duma. In accordance with the second technical regulations, competitive procedures were carried out, the winner was determined, and a government contract is now being concluded. This technical regulation is adopted in the form of a resolution of the Government of the Russian Federation.
These are not the only regulations that will establish requirements for buildings and structures. The technical regulation “On Fire Safety” has already been adopted, and the technical regulation “On the Safety of Elevators” is being developed. The task of the Ministry of Regional Development is to coordinate this process: when agreeing on such technical regulations, we ensure that their content in relation to buildings and structures does not contradict our technical regulations. It is quite possible that in the future it will become clear that the Ministry of Regional Development will also need to develop additional technical regulations, for example, “On the safety of high-rise buildings.” Time will show.
The second level of documents are documents in the field of standardization, national standards and codes of practice. These are documents of voluntary use, which are the evidence base for compliance with the mandatory requirements of technical regulations. Voluntary use means that designers, for example, can use them or not. In the first case, the state guarantees that the safety requirements laid down in the technical regulations will be ensured and it will monitor compliance with the requirements of codes of rules and national standards in the process of state examination, state construction supervision during the commissioning of the facility.
In fact, in the new system of technical regulation, without the development of sets of rules, the provisions of technical regulations will be difficult to implement. If in relation to technical regulations we can say that they establish “what must be ensured”, then in relation to sets of rules we say “how to do it”.
It must be said that the designer has the opportunity not to use sets of rules, but to go, as they say, his own way, but then he will have to prove to government agencies that the safety of construction and operation in design solutions is ensured, which will be problematic.
Codes of rules will contain both their own technical standards and reference standards to third-level documents, that is, to building codes and regulations, PPB, Sanitary Regulations, etc. And this is their close relationship. Speaking about the system of sets of rules, we assume that there will be six priority ones in accordance with the types of safety defined in the technical regulations “On the safety of buildings and structures.” We conventionally call them general sets of rules. Then special sets of rules will be developed, for example, for individual residential buildings, for complex engineering structures, etc.
On slide 2 you can see what a huge amount of work needs to be done to create an evidence base for one technical regulation. And only after this it will be possible to say that the minimum in terms of regulatory regulation has been created that will allow all construction participants to actually design and build objects.
Speaking about updating documents, it must be said that work is currently underway on 11 priority SNiPs, and we think that by the end of the year we will introduce them in a new edition. This work is also slow, because... documents are necessarily reviewed one, two or more times by the expert commission of the Ministry of Regional Development; accordingly, there are comments, then they are eliminated, etc. The ministry’s order “On the procedure for developing and agreeing on special technical conditions...” was also issued and registered with the Russian Ministry of Justice. Work has now been organized to review, examine and coordinate them with the order. As of September 1, 2012, materials have been received for 131 objects, special technical conditions have been agreed upon for 57 objects.
Regulation of urban planning activities. In accordance with the Town Planning Code of the Russian Federation, town planning activities include territorial planning, town planning zoning, territory planning, engineering surveys, design and construction of buildings and structures. This area can be conditionally divided into two blocks: the first is the regulation of the actions of public authorities of all levels in the preparation, coordination, approval and implementation of territorial planning documents, urban zoning and territory planning; the second is the regulation of the activities of economic entities - participants in construction to conduct engineering surveys, design and construction of buildings and structures.
I would like to briefly dwell on the first block. The main difference between this block of urban regulation and the sphere of technical regulation is that the issues included in its composition are regulated by public authorities at all levels. Moreover, the center of gravity here is shifted towards the constituent entities of the Russian Federation and local governments. An important norm that should help ensure that authorities implement the norms of the Urban Planning Code of the Russian Federation regarding the development of urban planning documentation is, firstly, a mechanism for forcing public authorities to carry out urban planning activities by establishing responsibility for inaction. Thus, in the absence of territorial planning documents, from January 1, 2010, it is not allowed to make decisions on the reservation, withdrawal and transfer from one category to another of land plots owned by private individuals for state or municipal needs. In the absence of land use and development rules, from January 1, 2010, it is not allowed to provide private individuals with land plots for construction allocated from state and municipal lands.
Procedures have also been introduced for the preparation and provision of land plots for housing construction at auctions. Auction procedures should replace procedures for preliminary approval of the locations of construction projects.
In addition, a draft Federal Law “On Amendments to the Town Planning Code of the Russian Federation and Certain Legislative Acts” has now been prepared (adopted in the 1st reading), which introduces auction procedures for all land plots (not only in relation to housing construction projects) .
And finally, the institution of control over urban planning activities was introduced. This control should be exercised by the subjects of the activities of municipalities and the Ministry of Regional Development of Russia - by the activities of the constituent entities of the Russian Federation. All these measures should improve the situation with the development of urban planning documentation, but an analysis of activities in this area shows that not everything is in order here, primarily at the municipal level. In the coming years, at the regional and local level, the tasks of preparing and approving programs for the development of local urban regulation systems (as part of regional programs) must be solved; preparation and adoption of land use and development rules; plans for the implementation of master plans, including comprehensive schemes for the development of utility networks, priority projects (in connection with the volumes and timing of financing the construction of priority local facilities).
At the federal level, the following work has been carried out in this regard: appropriate changes have been made to the Town Planning Code of the Russian Federation; a resolution of the Government of the Russian Federation was adopted on the procedure for approving territorial planning schemes; forms of urban development plan for the land plot, construction permits, permission to put objects into operation have been approved; a draft model law of a constituent entity of the Russian Federation on urban planning activities has been prepared; methodological recommendations have been prepared for the development of land use and development rules; the procedure for approval by the Ministry of Regional Development of Russia of the structure of executive authorities of constituent entities of the Russian Federation in the field of control over urban planning activities carried out by local governments was approved; a form for reporting on the progress of control by constituent entities of the Russian Federation over urban planning activities carried out by local governments has been approved. Not all issues, of course, have been resolved, not all necessary regulatory legal acts have been adopted. In this case, the main task is to develop territorial planning schemes for the Russian Federation.
Now about regulating the activities of construction participants. Here the main role belongs to the federal level and, first of all, the Ministry of Regional Development of Russia. In order to regulate the issues of engineering surveys, design, and construction, the ministry, together with other federal executive authorities, has done the following work: a government decree on the procedure for conducting engineering surveys for the construction of facilities has been prepared and approved; the procedure for the approval by the Ministry of Regional Development of Russia of regulatory acts of the constituent entities of the Russian Federation regarding the conduct of engineering surveys on their territories has been approved; it is now being registered with the Ministry of Justice of Russia; a government decree on the composition of sections of project documentation and requirements for their content was approved; amendments and additions to decree 87 are now being prepared; two orders of the Ministry of Regional Development of Russia “On the procedure for organizing and carrying out construction” and “On the procedure for mothballing capital construction projects” have been prepared and are being approved by the federal executive authorities; a number of documents necessary for the functioning of the unified state examination of design documentation have been adopted, the main one of which is Resolution No. 145 “On the procedure for conducting state examination of design documentation”; a draft resolution of the Government of the Russian Federation “On the procedure for conducting non-state examination of project documentation” has been prepared and is in the Government of the Russian Federation; A resolution of the Government of the Russian Federation was adopted on the procedure for conducting unified state construction supervision, and in its development a number of regulations were adopted that regulated the issues of state construction supervision. I would like to dwell on one more issue that directly regulates the activities of engineering survey organizations, design and construction organizations - the introduction of self-regulation in construction. Amendments to the Town Planning Code of the Russian Federation, which came into force on July 25, 2008, introduce this institution, eliminate state licensing of construction activities as an independent form of state regulation, and introduce a transition period from licensing to self-regulation. I would like to note that some provisions of this law were not adopted in the wording that we insisted on, and now there are numerous requests from organizations on precisely these same controversial issues: the size of the compensation fund; the minimum number of organizations required to acquire the status of a self-regulatory organization; validity period of previously obtained licenses.
The Ministry of Regional Development of Russia is very careful about forecasts - it is very difficult to say now how this process will go. Will the state, as a result, receive an even more bureaucratic machine represented by non-governmental organizations in comparison with state licensing, about which there were so many complaints? “In any case, we will monitor this process and, based on the results of law enforcement, we will develop appropriate proposals. In this part, we are currently preparing lists of works in the field of engineering surveys, design and construction that affect the safety of capital construction projects, and perhaps here we will be able to smooth out some aspects of the adopted law,” says the head of the Ministry of Regional Development of the Russian Federation, Igor Slyunyaev.
Based on the research carried out in the first chapter, the following conclusions can be drawn:
Based on the many definitions considered, it can be argued that the modern Russian construction complex is a set of structures of an institutional, economic and production type, characterized by economic, organizational, technical and technological interaction in obtaining the final result? production of construction products.
The structure of the construction complex includes enterprises in the construction industry, construction organizations, enterprises in the building materials industry, installation and contracting organizations, design and research institutes, and design bureaus.
The system of management methods includes: administrative methods, which include legislative regulation; regulation based on authority; organizational and economic methods.
Recent changes in federal legislation and reforms in the field of construction indicate the relevance of the issue of modernization and development of the construction complex in Russia and indicate its high role in increasing the sustainable development of the state. (APPENDIX A).
The legal basis for the activities of the construction complex is the following legislative and regulatory documents: Federal Law “On licensing of certain types of activities”, Federal Law “On the protection of the rights of legal entities and individual entrepreneurs in the exercise of state control (supervision) and municipal control”, Urban Planning Code of the Russian Federation Land Code of the Russian Federation Housing Code of the Russian Federation Federal Law “On Self-Regulatory Organizations”, Federal Law “On Placing Orders for the Supply of Goods, Performance of Work, Provision of Services for State and Municipal Needs”, Federal Law “On Technical Regulation”, Decree of the Government of the Russian Federation “On Licensing Activities in the Field of Design and Construction” ; Decree of the Government of the Russian Federation “On the procedure for organizing and conducting state examination of design documentation and engineering survey results”, etc. The listed documents are intended to have a positive impact on the formation of the external environment of the construction complex
