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81.Журнал Сибирского федерального университета. Сер. Гуманитарные науки №10 2012

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Copyright ОАО «ЦКБ «БИБКОМ» & ООО «Aгентство Kнига-Cервис»
Æóðíàë Ñèáèðñêîãî ôåäåðàëüíîãî óíèâåðñèòåòà
2012
Journal of Siberian Federal University
5 (10)
Ãóìàíèòàðíûå íàóêè
Humanities & Social Sciences
Редакционный совет
академик РАН Е.А.Ваганов
академик РАН И.И.Гительзон
академик РАН А.Г.Дегерменджи
академик РАН В.Ф.Шабанов
чл.-к. РАН, д-р физ.-мат. наук
В.Л.Миронов
чл.-к. РАН, д-р техн. наук
Г.Л.Пашков
чл.-к. РАН, д-р физ.-мат. наук
В.В.Шайдуров
член-корр. РАН, д-р физ.-мат. наук
В.В. Зуев
Editorial Advisory Board
Chairman:
Eugene A. Vaganov
Members:
Josef J. Gitelzon
Vasily F. Shabanov
Andrey G. Degermendzhy
Valery L. Mironov
Gennady L. Pashkov
Vladimir V. Shaidurov
Vladimir V. Zuev
Editorial Board:
Editor-in-Chief:
Mikhail I. Gladyshev
Founding Editor:
Vladimir I. Kolmakov
Managing Editor:
Olga F. Alexandrova
Executive Editor
for Humanities & Social Sciences:
Natalia P. Koptseva
CONTENTS / ÑÎÄÅÐÆÀÍÈÅ
Yuri L. Alexandrov and Olga S. Demchenko
Influence of the Financial and Economic Crisis of the Years
2008-2009 on the Economy of Krasnoyarsk Region
– 1377 –
Denis Yu. Gunyakov,
Yuriy V. Gunyakov and Vasily V. Kuimov
Sphere of Circulation: Issues of Restructuring
– 1385 –
Sergei N. Levin and Dmitrii V. Kislitsyn
Business Groups: Challenge for the Transactional Theory of the
Firm
– 1398 –
Svetlana N. Makarova
The Development of the Methodological Principles of Program
Budgeting for the Effective Management of Public Finances
– 1409 –
Igor S. Pyzhev, Vladislav N. Rutskiy
Ekaterina N. Tanenkova and Nadezhda V. Ustyugova
A Study of the Institutional Environment Through Economic
Analysis of Regulations on the Example of the Infrastructure for
Population Living Conditions
– 1419 –
Boris V. Robinson
The Condition and Prospects of Economic Development of
Russia on the Back of Civilizational Crisis
– 1428 –
Albina N. Chaplina,
Elena A. Gerasimova and Aleksandr S. Shchitnikov
Integration of Diversification and Systematic Approach in the
Development of Corporate Management Consumer Market
Entities
– 1434 –
Компьютерная верстка Е.В. Гревцовой
Подписано в печать 23.10.2012 г. Формат 84x108/16. Усл. печ. л. 11,9.
Уч.-изд. л. 11,4. Бумага тип. Печать офсетная. Тираж 1000 экз. Заказ 10025.
Отпечатано в ПЦ БИК. 660041 Красноярск, пр. Свободный, 82а.
Copyright ОАО «ЦКБ «БИБКОМ» & ООО «Aгентство Kнига-Cервис»
Consulting Editors
for Humanities & Social Sciences:
Gershon M. Breslavs
Sergey V. Deviatkin
Sergey A. Drobyshevsky
Sergey M. Geraschenko
Oleg M. Gotlib
Boris I. Khasan
Igor E. Kim
Natalia V. Kovtun
Aleksandr A. Kronik
Pavel V. Mandryka
Boris V. Markov
Valentin G. Nemirovsky
Daniel V. Pivovarov
Andrey V. Smirnov
Viktor I. Suslov
Evgeniya V. Zander
Igor S. Pyzhev
Vladimir I. Suprun
Liudmila V. Kulikova
Olga G. Smolyaninova
Nicolai N. Petro
Dr. Suneel Kumar
Свидетельство о регистрации СМИ
ПИ № ФС77-28-723 от 29.06.2007 г.
Серия включена в «Перечень ведущих рецензируемых научных журналов и изданий, в которых должны
быть опубликованы основные научные результаты диссертации на
соискание ученой степени доктора и
кандидата наук» (редакция 2010 г.)
Nikolay N. Tsukanov and Alexey B. Sudnitsin
The Purpose of Criminal Procedure of the Police
– 1445 –
Sergei V. Terskov and Larisa P. Klimovich
Infliction of Damage to Property by Fraud or Abuse of Trust:
Aggregate of Circumstances Essential for Instituting Prosecution
(Court Practice Analysis)
– 1450 –
Mikhail B. Dvinskiy, Anna G. Brevnova,
Alexander M. Bulavchuk and Tamara S. Gershman
Establishment of Agglomerations as the Basis for Solving the
Problems of Modern Cities Development in Russia (by the
Example of the Krasnoyarsk Agglomeration)
– 1458 –
Irina P. Vorontsova,
Alexander N. Pozdeev and Tatiana A. Samylkina
Evolution of a Large-Scale Agglomeration Labour Market
(Based on the Example of the Krasnoyarsk Agglomeration)
– 1465 –
Evgenya G. Grigorieva,
Katrin I. Miller and Anna R. Semenova
Tendencies in Change of the Population Size and Structure of
Krasnoyarsk Agglomeration
– 1475 –
Michail V. Bershadsky,
Natalia V. Nepomnyaschaya and Evgenia V. Shilova
The Opportunities of Agglomeration Development for the
Rise in Living Standards of the Population of Non-Urbanized
Territories
– 1483 –
Svetlana À. Samusenko, Evgenia B. Bukharova,
Vladislav N. Rutsky and Dmitry À. Maslodudov
Trends for the Development of Entrepreneurial and Innovative
Activity in Krasnoyarsk Agglomeration
– 1492 –
Svetlana N. Grib,
Svetlana N. Makarova and Dmitry À. Maslodudov
The Krasnoyarsk Agglomeration in the System of Inter-Budgetary
Relations Between the Russian Federation and the Krasnoyarsk
Krai
– 1500 –
Irina V. Filimonenko
Management Mechanism for Balanced Development of the
Regional Economic System
– 1511 –
Copyright ОАО «ЦКБ «БИБКОМ» & ООО «Aгентство Kнига-Cервис»
Journal of Siberian Federal University. Humanities & Social Sciences 10 (2012 5) 1377-1384
~~~
УДК 332.1 (571.51)
Influence of the Financial and Economic Crisis
of the Years 2008-2009 on the Economy
of Krasnoyarsk Region
Yuri L. Alexandrov and Olga S. Demchenko*
Siberian Federal University
Krasnoyarsk State Institute of Economics and Trade
2 Lidii Prushinskoy Str., Krasnoyarsk, 660075 Russia 1
Received 05.04.2012, received in revised form 14.04.2012, accepted 31.07.2012
The article considers the influence of the world financial and economic crisis on the Krasnoyarsk
region macroeconomic dynamics and structural changes in consumption and maintaining households,
and compares it with the Russian economy as a whole. Living standards of the local population are
higher than the country average, but the crisis had a stronger effect on them. Despite this, the economy
of the region remains more stable. The State government bodies should not allow excessive growth of
the marginal propensity to consume and let the destabilization of the macroeconomic dynamics. At the
same time, it is necessary to take time-effective measures aimed at diversification and overcoming the
export focus on raw materials.
Keywords: the economy of Krasnoyarsk region, macroeconomic dynamics, the world financial and
economic crisis, structural changes, consumption of population.
Introduction
The crisis of the years 2008-2009 can be
defined as the first Russian economy crisis since
1991, caused by some market factors. It cannot
be considered to be the effect of only external or
internal reasons. It is the combination of these
factors that makes it specific.
The external impulse that launched the crisis
processes was the events that took place on the
world financial markets, that caused the abrupt
fall at the Russian securities market. The Russian
financial system easily “imported” the crisis
because of its strong dependence on the foreign
financial sources. Before the crisis, the increase of
the banking system liabilities was mostly ensured
*
1
by foreign investments: in the first six months of
the year 2008, the increase of net foreign assets
within the banking system counted up to 13,7 %,
while the rate of the internal assets increase was
5,2 %.
In such conditions, the credit grip, which
took place on foreign markets, immediately
affected the Russian one. Export sectors appeared
to be also dependent on foreign markets. The
largest shares of overdue accounts receivable and
payable by the turn of the year 2008 were typical
for fuel and energy production sector: 16,9 and
17,0 %, respectively. Thereby, the external
impulse was transformed into a strong internal
factor of recession.
Corresponding author E-mail address: dosnotvista@yandex.ru
© Siberian Federal University. All rights reserved
# 1377 #
Copyright ОАО «ЦКБ «БИБКОМ» & ООО «Aгентство Kнига-Cервис»
Yuri L. Alexandrov and Olga S. Demchenko. Influence of the Financial and Economic Crisis of the Years 2008-2009…
The crisis in the banking system also entailed
an industrial recession. In 2008 the increase
of funds, provided to the non-financial sector
(natural persons and organizations) by the banks,
counted up to 40,9 % of gross capital formation;
it means that increase of the non-financial sector
capital was supported with the funds of banks
for 40,9 %, which shows that Russian economy
is very much dependent on the financial sector.
When the crisis began, the situation dramatically
changed: during the first six months of 2009 the
gross capital formation consisted of bank funds
for only 0,6 %. This large-scale and rapid credit
grip led to reduction of aggregated demand, and,
as a consequence, the decrease of the industrial
production index in January-September of 2009
by 13,5 % and increase of the unemployed people
number by 52,1 % in the second quarter of 2009 in
comparison with the same period of the previous
year.
The influence of the crisis on various regions
of our country was uneven. Krasnoyarsk region
plays a leading role in the Russian economic
system. With the population accounting for 2 %
of the total population of Russia, at the beginning
of 2008 the region accounted for 2,6 % of the
gross domestic product. The state and dynamics
of its social and economic processes influence
All-Russian indicators to a considerable degree.
Results
The situation in Krasnoyarsk region was
better than the average in Russia. The index of
gross regional product (GRP) in 2009 decreased
by 1,5 %, which is better than the average rate
in Siberian Federal District (-4,1 %) and in the
country (-7,6 %). The restoration after the crisis
appeared to be fast enough: in 2010 the economic
dynamics of Krasnoyarsk region already grew
by 5,8 %, which currently is the second rate in
Siberian Federal District (SFD) and exceeds the
average country rate of 4,5 %.
The reason of such resistance the regional
output to the crisis processes is the industrial
structure of its GRP. The high ratio of industrial
production in the economy, where metallurgy
(nickel, aluminum, copper and cobalt) prevails
and counts up to 2,6 % of national export, is
typical for Krasnoyarsk region (see Fig. 1).
Industry produces 56,4 % of GRP, transport
and telecommunications account for 8,5 % of
GRP, trade and service for 23,9 %, construction
sector for 7,0 %, and agriculture for 4,2 %. In the
actual regional industry structure, the share of
processing sector is considerably lower than that
of mining industry. During the last decades, the
problem of changing the proportion to expansion
of processing sector was brought up numerous
times, but the structure of GRP was not seriously
changed.
The regional specialization on raw materials
export makes its economy sensitive to the
conjuncture of the world non-ferrous metals
prices than to the domestic economic processes.
The world raw materials markets also suffered
from the financial and economic crisis. In 2008
the world prices on non-ferrous metals dropped
by 20,2 %, which also affected the position of the
first-rate regional manufacturers.
It must be the reason of unemployment
increase by 3,1 %, which took place in the region
in the years 2008-2009, and exceeded the average
rate in SFD (+2,2 %) and Russia on the whole
(+2,1 %). Though in 2010 the unemployment rate
in the region for the first time became lower than
the average in Russia and accounted for 6,3 % (see
Fig. 2), which is connected to active development
of mining industry.
The consequences of the crisis for the
population were very considerable. Besides the
increase of unemployment, in the year 2009 the
real income of the population dropped by 3 %,
while the average increase of this indicator in
the country was 3,7 %. The losses the population
# 1378 #
Copyright ОАО «ЦКБ «БИБКОМ» & ООО «Aгентство Kнига-Cервис»
Yuri L. Alexandrov and Olga S. Demchenko. Influence of the Financial and Economic Crisis of the Years 2008-2009…
Power
generation, gas
and water
production and
distribution
10%
Mining industry
27%
The rest
18%
Metallurgy
45%
Fig. 1. The main components of the total industrial yield structure in Krasnoyarsk region, 2010
13,0
12,0
12,2
11,1
11,0
10,0
9,7
9,2
9,0
8,0
7,0
9,9
9,5
9,0
8,2
7,8
6,5
6,0
6,3
5,0
2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010
The Krasnoyarsk region
Russian Federation
Fig. 2. Dynamics of unemployment rate in Russia and Krasnoyarsk region in 2000-2010
of the region suffered during the crisis were
large because of the urge of the leading export
companies to reduce the price of their production
rather than output.
For the purpose of analysing the
consumption of the population over the period
from 2008 to 2011, the Keynesian functions
of consumption of the Krasnoyarsk region
population were calculated with the least-squares
method. When developing the consumption
functions, J. M. Keynes proceeded from the socalled absolute income hypothesis, according
to which, households consumption depends
on the absolute value of their current income.
He expressed the nature of this reliance in his
“basic psychological law”: “People usually tend
to increase their consumption as their income
grows, but not to the same extent as the income
growth”. The value that demonstrates how
much the measure consumption changes as the
current income changes by increment, is called
“marginal propensity to consume” (MPC).
The general view of the Keynesian function of
consumption is C = Ca + MPC × Y, where Ca
is autonomous consumption, which does not
depend on income and exists even when the
income is zero. On the basis of the considered
indicators, the multiplier of autonomous
expenditures is calculated as follows: m = 1/
(1 – MPC). It shows how much the balanced
national income changes with the change of the
autonomous expenditures change by increment.
# 1379 #
Copyright ОАО «ЦКБ «БИБКОМ» & ООО «Aгентство Kнига-Cервис»
Yuri L. Alexandrov and Olga S. Demchenko. Influence of the Financial and Economic Crisis of the Years 2008-2009…
Table 1. Keynesian functions of consumption for Krasnoyarsk region and the values of the autonomous
expenditures multiplier.
Period
Beginning of the year 2004
Functions of consumption
Multiplier
MPC = 0,739
3,83
Beginning of the year 2008
C=94,2+0,806Y
5,15
Beginning of the year 2010
C = 118,4 + 0,655 Y
2,90
Beginning of the year 2011
C = 159,5 + 0,775 Y
4,44
For the calculations, we used the following data
provided by Krasstat:
• Y – month cash income of the population
per capita, roubles;
• C – month consumption per capita,
rubles;
• Consumer Price index, %.
All data is reduced to 2005 prices. We got the
following Keynesian functions of consumption
for Krasnoyarsk region before and after the crisis
(Table 1).
Characteristics of the model quality (at the
beginning of 2011) are:
• adjusted R2 = 0,992, means that 99,2 %
of the dependent variable fluctuation is
explained by the model;
• the regression equation is significant at the
level of 5 % according to Fisher statistic;
• standard error of estimate equals 41,42;
• Durbin-Watson statistic equals 2,57, there
is no significant autocorrelation of the
model residuals.
The calculations reveal, that as before the
crisis there was a rise in the marginal propensity
to consume, people used to spend most of
their income, not to save it. During the period
from 2004 to 2008, the value of autonomous
expenditures multiplier increased from 3,83 to
5,15. It illustrates the decrease in the stability
of the regional economy and the increase in its
sensitivity to various shocks. During the crisis,
the marginal propensity to consume and the
multiplier axed, which reflects the consumers’
lending grip and more careful attitude of the
households to spending the reduced income. The
restoration after the crisis turned out to be fast
enough, the marginal propensity to consume
increased and equaled 0,775 as the multiplier
reached 4,44 by the beginning of 2011. At the
present moment the region needs to take some
measures to stabilize the marginal propensity to
consume and debar its excessive growth.
Let us compare the derived indicators with
the similar All-Russian ones (Table 2), where
C is consumption, in billion rubles, and Y is
disposable income, in billion rubles.
A considerably higher value of the multiplier
in Russia in comparison with the one in
Krasnoyarsk region is an indirect sign of higher
living standards in the region, than in the whole
country. An indirect sign of higher living standards
is also a lower value of marginal propensity to
consume. The abrupt fall of marginal consuming
propensity of the region population reflects the
stronger crisis influence on local population than
on Russians in average: because of their higher
living standards, people in Krasnoyarsk region
had something to lose. Correspondingly, higher
marginal propensity to save is more typical for
the population of Krasnoyarsk region, than for
Russians in average (0,345 versus 0,104). About
3500 roubles are saved every month per capita in
the region (in prices of 2005), while in Russia it is
only 1000 roubles.
The financial and economic crisis switched
the structural changes in consumption and saving
# 1380 #
Copyright ОАО «ЦКБ «БИБКОМ» & ООО «Aгентство Kнига-Cервис»
Yuri L. Alexandrov and Olga S. Demchenko. Influence of the Financial and Economic Crisis of the Years 2008-2009…
Table 2. Keynesian functions of consumption for Russia and the values of autonomous expenditures multiplier.
Period
Functions of consumption
Multiplier
In 2000-2003
C = 226,0 + 0,764 Y
4,24
Beginning of 2008
C = 321,1 + 0,822 Y
5,62
Beginning of 2010
С = 656,6 + 0,806Y
5,15
Table 3. Structure of monetary expenditures and savings of the Krasnoyarsk region population, %
2006
2007
2008
2009
2010
Monetary expenditures and savings
100
100
100
100
100
purchase of goods and services
67,3
65,7
67,1
64,2
66,7
compulsory payments and other contributions
13,3
13,3
13,5
14,4
12,4
real estate acquisition
1,8
4,3
3,7
2,1
3,0
growth of financial assets
17,6
16,7
15,7
19,3
17,9
87
86
85
84
83
82
81
80
79
78
2006
2007
2008
Russia
2009
2010
The Krasnoyarsk region
Fig. 3. Share of consumption in cash income of the population of Russia and the Krasnoyarsk region in the years
2006-2010 years, %
of of the Krasnoyarsk region population (Table 3).
Right before the crisis the households increased
their investments into real estate. However,
during the crisis, due to some unfavorable
prices conjuncture the population reduced it
rapidly and converted their money into financial
assets. But the expectations of the households
about dynamics of property prices seemed to be
optimistic, because in 2010 the share of expenses
on real estate acquisition grew.
In comparison with the population of
Russia as a whole, before the crisis people in
Krasnoyarsk region were more conservative.
The income share of their consumption grew to
a lesser extent, contributing to stabilization of the
national economy (Fig. 3).
# 1381 #
Copyright ОАО «ЦКБ «БИБКОМ» & ООО «Aгентство Kнига-Cервис»
Yuri L. Alexandrov and Olga S. Demchenko. Influence of the Financial and Economic Crisis of the Years 2008-2009…
50
45
40
35
30
25
2000
2001
2002
2003
2004
food
2005
2006
2007
2008
2009
2010
nonfoods
Fig. 4. Dynamics of the shares of food and nonfoods in household consumer expenditures in the Krasnoyarsk
region in 2000-2010.
42
37
32
27
22
2003
2004
2005
2006
food
2007
2008
2009
2010
nonfoods
Fig. 5. Dynamics of the shares of food and nonfoods in household consumer expenditures in Russia in 20002010.
The structure of household consumer
expenditures in Krasnoyarsk region shows that
the crisis of the years 2008-2009 became the most
unfavorable period for the population during the
recent years (Fig. 4). The biggest growth of the
share of food expenses and the greatest decrease
in the share of nonfoods expenses is typical for
the crisis of 2009. It illustrates the decrease in
living standards.
The dynamics analysis for similar AllRussian indicators (Fig. 5) illustrates lower
living standards of the Russian population in
average: the share of food stably exceeds the
share of nonfoods. The influence of the crisis
is also visible in this Figure, but it is not so
dramatic.
Conclusions
Krasnoyarsk region is one of the leaders
of Russian economic development, but it is
characterized by specialization on export of raw
materials. Living standards of the population of the
region are higher than the average in the country.
At the same time, the financial and economic
crisis caused considerably more dramatic
structural changes in consumption and saving of
the households in the Krasnoyarsk region than in
Russia as a whole. Despite this, the economy of
the Krasnoyarsk region remains more stable. The
bodies of state power should not let the marginal
propensity to consume grow excessively and
the macroeconomic dynamics become unstable.
At the same time effective measures aimed at
# 1382 #
Copyright ОАО «ЦКБ «БИБКОМ» & ООО «Aгентство Kнига-Cервис»
Yuri L. Alexandrov and Olga S. Demchenko. Influence of the Financial and Economic Crisis of the Years 2008-2009…
diversification and overcoming the specialization
on export of raw materials are necessary.
In our opinion, the sphere of consumption is
the main component of an economic system, and
structural changes in it can considerably influence
economic development of a region. Structural
changes in the sphere of consumption determine
the volume and the structure of aggregated
demand, vectoring economic dynamics.
Moreover, structural changes in consumption and
saving are fundamental factors of the progress of
productive forces and relations of production.
The transformation of the Krasnoyarsk
region economy led to the development of
new institutions, which changed the economic
structure of the region, the proportions of the
economic system, the nature of connections
and relations. This is when an important
question is rising: which structural changes
should be considered as positive, and which
ones as negative, in what direction it the whole
economic system is going as a result of such
transformations? On the current stage it is very
important for the economy of Krasnoyarsk
region to coordinate structural changes aimed
at economic growth with adequate social policy,
the main goal of which is increasing living
standards of the population.
References
Haberler G. Prosperity and Depression. Theoretical Analysis and Cyclical Movements. London,
1958.
Keynes J. M. The General Theory of Employment, Interest and Money. Moscow, 2002. 352 p.
Manevitch V. Eu. The Keynesian Theory and the Russian Economy. Moscow, 2010. 224 p.
Menshikov S. M. The Anatomy of the Russian Capitalism. Moscow, 2004. 432 p.
The Financial Crisis in Russia and in the World. Edited by Ye. T. Gajdar. Moscow, 2009. 256 p.
Copyright ОАО «ЦКБ «БИБКОМ» & ООО «Aгентство Kнига-Cервис»
Yuri L. Alexandrov and Olga S. Demchenko. Influence of the Financial and Economic Crisis of the Years 2008-2009…
Влияние мирового
финансово-экономического кризиса
2008 – 2009 годов
на экономику Красноярского края
Ю.Л. Александров, О.С. Демченко
Сибирский федеральный университе
Красноярский государственный
торгово-экономический институт
Россия, 660075, г. Красноярск, ул. Лидии Прушинской, 2
В статье рассматривается влияние мирового финансово-экономического кризиса на
макроэкономическую динамику Красноярского края, структурные сдвиги в потреблении и
накоплении домашних хозяйств, выполняется сопоставление с экономикой России в целом.
Уровень жизни населения края несколько превышает средний по стране, однако и кризис
отразился на социально-экономическом положении жителей края значительнее. Несмотря
на это, экономика Красноярского края остается в целом более стабильной. Органам
государственной власти края необходимо не допускать чрезмерного роста предельной
склонности к потреблению и дестабилизации макроэкономической динамики. В то же время
необходимы действенные меры, направленные на диверсификацию и преодоление экспортносырьевой направленности.
Ключевые слова: экономика Красноярского края, макроэкономическая динамика, мировой
финансово-экономический кризис, структурные сдвиги, потребление населения.
Copyright ОАО «ЦКБ «БИБКОМ» & ООО «Aгентство Kнига-Cервис»
Journal of Siberian Federal University. Humanities & Social Sciences 10 (2012 5) 1385-1397
~~~
УДК 339.3
Sphere of Circulation: Issues of Restructuring
Denis Yu. Gunyakov*,
Yuriy V. Gunyakov and Vasily V. Kuimov
Siberian Federal University
Krasnoyarsk State Institute of Commerce and Economics
2 Lidii Prushinskoy Str., Krasnoyarsk, 660075 Russia 1
Received 15.06.2012, received in revised form 08.09.2012, accepted 23.10.2012
This article gives the models and regularities of restructuring in the sphere of circulation, its features
and role in the reproduction processes of the market economy formation.
Keywords: restructuring, sphere of circulation, adaptation, commercial activity, restructuring
mechanism, physical distribution, civilizational and cultural trade crisis.
Regularities of restructuring. The
unprecedented changes taking place in the
country during last 20 years are the results of
the seeking of democracy, freedom and market
economy. The content of these changes includes
the establishment of a new economic system
and property relations, radically different
organizational and management tools, concepts
of enterprise organization and management
philosophy, and other fundamentals of
motivation, economic behavior and efficiency.
Its formation that has caused enormous social
costs has been incredibly easy. For the greater
success of conducted measures it is necessary,
fi rst of all, for the population to internally
recognize the objective necessity of these
transformations, and, secondly, it is necessary
to disclose their regularities, specific features,
defi ne clear and understandable tendencies of
changes in order to form an active social basis
for their implementation.
*
1
In the conditions of economic liberalization
domestic enterprises have acquired the status of
market entity, for whom the commodity-money
exchange has become the initial and final stage
in the economic circuit, and commercial activity
has become determinant along with production
activity. So the key element in the reproduction
process during the establishment of the market
economic system is the sphere of circulation,
where the relations of exchange are acquiring
the total character: along with factor markets
and consumer goods markets there is operation
of huge amount of other markets. For enterprises
that have radically changed the goals, principles
and mechanisms of trade organization, it is vital
not only to purchase the factors of production
at a reasonable price and profitably sale own
products, but also to solve, for example, problems
with purchase of “cheap money”, business
insurance, bargain purchase of shares of the
other companies and sale of its own shares.
Corresponding author E-mail address: emploise@mail.ru
© Siberian Federal University. All rights reserved
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Denis Yu. Gunyakov, Yuriy V. Gunyakov… Sphere of Circulation: Issues of Restructuring
For sequential transformation of the purchase
and sale processes into the universal form of
communication of the Russian economy and for
the provision of sustainable reproduction process
it is necessary to create general framework
conditions for the formation of the system of
dynamic economic, technical and economic and
organizational relations that have to create the
necessary conditions for economic growth under
conditions of permanent changes.
The study of changes allows opening of
new generating principles, the key endogenous
sources of accelerated development of the
productive forces. “The main driving forces
should be sought not in the class struggle, but in
the field of the economy, and even deeper – in
commerce activity. At least, this applies to the
modern period in Russia – a market economy”, –
E. Ladurie emphasized. We can agree with this
opinion, because conducted research has led us
to the surprising conclusion about the fact that
the leading factor of economy development in
modern conditions of the formation of market
economic system is not the size of the country,
power of natural resources and arable lands, but
the restructuring of the sphere of circulation,
aimed at the formation of a new economy .
In order to avoid one-sided interpretation, we
have to answer a number of important questions
related to the construction of the analytical
system and maximization of the practical value
of its knowledge. First of all, should we prefer
identifying cause-and-effect relations during
the study, or just confine ourselves to simple
observation of the phenomenon? Secondly,
will the analysis be strict, if the contradictions
of restructuring are not detected, since they
determine the direction of the study? Thirdly, how
to use the classic time-space approach to analysis
in order to maximize its utilitarian usefulness?
The concept of the study is to give proof of
the relations between changes in the content of
the relations presented in the field of circulation,
particularly trade relations, forms of its regulation
and the establishment of institutional structure,
oriented towards the market-economic system.
The aim of this article is to provide a general
understanding of the problem, show some of the
results of its empirical study and describe the
main features of the restructuring in terms of
economic theory. Therefore, we confine ourselves
to the analysis of transformations in the sphere
of circulation. We use the new concept – the
civilizational and cultural trade crisis that reflects
the totality of fundamental changes in the process
of formation of its market entity.
The necessary conditions of the study that
determine its scientific type, are:
– Determination and application of
adequate scientific method of cognition
and its corresponding private methods
and tools of research;
– The existence of events regularity that
you can study and predict;
– Mandatory character of the internal
structural regularities of restructuring of
the sphere of circulation that are invariant
in time and space;
– The ability of simulation modeling that
illustrates the changes in the sphere of
circulation;
– Bringing the theoretical conclusions to
the practice of market economy.
We understand the restructuring as the
adaptation of social reproduction to the current
radical changes based on the structural changes in
the national economy. Its modern need, including
the sphere of circulation that is by nature a
form of determining the economic connection
between production and consumption through
the mechanisms of commodity-money exchange
(Fig. 1), is determined by the growing influence
of scientific and technological innovations,
modifications of the structure of production as
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Socialreproduction
Sphereofproduction
Producers
Creationof
Production
(servies)
Sphereofcirculation
Wholesale
markets
of
commodity
producers
Subjects
primary
offering
˃–ʪ1
of
Sphereofconsumption
ConsumersͲ
Wholesale
marketsof
resellers:
Retailmarkets
ofretail
resellers:
Subjectsof
supplyand
demand
Subjectsof
supplyand
demand
ʪ–˃Ͳʪ1
ʪͲ˃–ʪ1
ʪ1Ͳ˃
Customers
Subjects of
finaldemand
needs
Product
ServicemarketsWholesaleand
retailserviceproducers
Fig. 1. The structure of the sphere of circulation
well as rapid institutional changes due to the
creation of a new method, based on the market
economic system.
We emphasize that in the study of the
sphere of circulation that depends on the
actions of many market subjects, and therefore
has an extremely complex structure, not all
the factors that determine the outcome of
adaptive processes are amenable to study and
measurement. Otherwise, it is possible to be
trapped in the scientific illusions. Some of the
effecting circumstances can be described only
on the qualitative empirical level. However,
it does not preclude the presence of objective
scientific knowledge, enabling to provide for
the consequences of possible actions. Despite
these restrictions, the radical restructuring of
the sphere of circulation is set to change the old
system of management and create the necessary
conditions for the rapid and sustained growth.
It requires the necessity of replacement of the
ineffective existing methods and tools of trade
organization by new ones.
Thus, the problems of the organization of
exchange processes, associated, for example,
with the globalist tendencies, cannot be addressed
through existing traditional mechanisms, they
require innovative approaches. In this case it
should not be reduced to its simple improvement
or adoption of existing mechanisms that have
proven its progressiveness in the world practice.
It is about the implementation of technological,
organizational and economic innovations that
increase the potential of trade processes and
dramatically increase the possibility of efficiency
growth. Thus, the primary targeted function of
the restructuring of the sphere of circulation is to
create the necessary conditions in order to expand
the opportunities for economic growth. As a
rough approximation we understand this category
as the dynamic growth of the gross national
product. Its expression in the studied is served,
for example, by the well-known private criteria –
long-term increase of volume and optimization
of the structure of trade turnover in accordance
with the tendencies of supply and demand, profit
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Reformationofeconomy
Globalizationofeconomy
Restructuringofthesphereofcirculation
Establishmentofbusinessenterprises
Increaseofthescaleandroleofservices
Rapidgrowthoftradeenterprises
Establishmentofsmallbusiness
Expansionofforeignproductsandcompanies
Establishmentofnewformatsoftradeenterprises
Developmentofdistributionnetworks
Implementation of highͲtechnological mechanismsof
tradeandphysicaldistributionorganization
Fig. 2. Global regularities of adaptation of the sphere of circulation
maximization from the organization of mutually
effective relations of enterprise commerce
activity.
This topic includes the discussion of a wide
range of issues, in particular, the mainstream of
the sphere development. System research of the
twenty years period of reformation processes for
the creation of the viable and effective sphere
of circulation that is adequate to the objectives
and conditions of economic growth, has revealed
some general rules that are important in terms of
determination of future strategic and alternative
directions of its development, coordinated by
market and opportunities of the management
of changes occurring in it (Fig. 2). Their study
requires the deep critical thinking.
We emphasize that, despite the urgent
need for the restructuring for the capitalintensive industry (especially heavy industry),
establishment of the market economic system
begins in the sphere of circulation, since trade
enterprises by force of specialization and
features of its activity is easier to adapt to the
new economic conditions (presence of particular
business experience, rapid turnover and relatively
low need of investment for the restructuring.) It
means that, in all probability, there should not
be the same approach to the restructuring of the
various sectors of economy.
The main mistake of the restructuring of
the sphere of circulation in the country, in our
opinion, is the fact that it has been carried out
without sufficient scientific evidence, proceeding
from the mechanical performance of the
standard recommendations of the “Washington
Consensus”, including the liberalization of prices
of domestic and foreign trade, the rapid and
complete privatization of all types of property,
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Sphereofcirculation
Productionof productsand
productiverelations
Consumption,satisfactionofneeds
Movementofmade
goods
trade
Productionofservices
intheformofgoods
Sphereofservices
Servicesintrade
Service
Fig. 3. The restructuring of the sphere of circulation
maintenance of macroeconomic stability through
tight monetary and credit constraints.
Now we will give some arguments of our
vision of adaptation of the sphere of circulation
and usage of the changes potential in the
transitional period of the establishment of a new
way of production.
1. First of all, with the emergence of
multisectoral economy almost everywhere, there
was the emergence of a new economic form
of trade for the state, it was carried out as the
commercial activity that is a system of economic,
trade and technological relations of purchase
and sale being organized to meet the economic
interests of market participants.
However, in the specific conditions of
primary accumulation of capital and the absence
of the institutional infrastructure regulating the
market, the new trade stimuli are maximized
egoistic interests of sellers in the market that has
presented the fierce Hobbesian “war of all against
all”, with all the ensuing consequences. The
results of commerce activity in its converted form
reflect not so much the action of the “invisible
hand” of Smith, but the criminogenic factors
and extortion. These circumstances have led to
the negative tendencies of the formation of the
market economic system. Its elimination has a
priori required the strengthening of the regulatory
role of the state in this complex and contradictory
process (this aspect is left out of the article).
2. There is a dramatic increase in the
scale and role of services, markets of which are
acquiring independent significance in the sphere
of circulation. Feature of this phenomenon is the
asymmetrical movement of various economic
processes that lead to an objective change in its
structure and appearance of new features and
factors of economic development and complication
of economic relations. Thus, on the one hand,
there are outstripping growth rates of fixed assets
as compared with industrial production. But,
on the other hand, in the previously dominant
sector of the sphere of circulation that is trade
their growth is not notable for high dynamism.
It means that the rapid development of this field
is provided mainly through the establishment of
enterprises equipped with the modern material
and technical resources that provide a wide range
of new different services (Fig. 3). As a result
there are changes in the structure of the sphere
of circulation.
The model illustrates that the adaptation
of trade and services sector of the sphere of
circulation as the reproductive process links to
new conditions depends not only on changes
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in production, but also on the extent of their
relations with each other. At the same time, in
the relations between them there are increasing
centrifugal tendencies due to the fact that the
new forms of economic relations, separated from
trade, have appeared and received inner drive
for the development in the sphere of services.
This fact objectively leads to the contradiction,
for example, during the allocation of financial
resources of the consumer between sectors, the
resolution of which is a source of self-development
of each trade subject and the sphere of circulation
as a whole. But because any one of them will
fall into dependence on external conditions, this
movement can become difficult.
However, first of all, it is possible to assert
that the active transforming and developing
sectors of the sphere of circulation, as a response
to its dramatic changes, can play a role of
accelerator of the domestic economy. Secondly,
it is possible to assume that since this trend is
gaining acceleration, it becomes stable in the
provision of effective reproduction process.
3. Noticeable fast growth in the number of
trading enterprises (they have exceeded one-third
of all enterprises in the economy) that nowadays
takes place mainly at the expense of small
and network business, leads to the significant
increase in performance. The effectiveness of
commerce activity is proved by five-fold increase
as compared with the beginning of reforms, of its
contribution to the gross domestic product and
employment issues.
4. The most important role in the restructuring
of the sphere of circulation is played by small
business. Its activity that is characterized as
«Start-up», is based from the beginning on the
market principles and mechanisms, it is notable
for its aspiration for economic independence and
innovative activities. Therefore, the restructuring
of it differs from the traditional enterprises, and
means fast and constant search for new ideas,
products, technologies, due to its focus on the rapid
satisfaction of diverse economic demand on the
principles of mutual benefit and individualization
of customers. With some assumptions it can be
judged by the consistent tendency of the increase
of completion of purchases factor and growth of
sales volume. For example, according to the data of
the territory statistics agency, retail sales turnover
in the region over the last decade (2000-2010) has
been divided as follows. In large and mediumsized enterprises, it increased by 5.2 times, small
enterprises – by 8 times, entrepreneurs, selling
goods out of the market – almost by 9 times and
retail markets and fairs by 2.3 times.
The position of the entrepreneurs in the
definition of this factor is equally important.
According to a survey conducted in 2010, it has
been revealed that the assessment of the goods
novelty by buyers is quite high. But the position
of experienced retailers has been more critical.
Nearly three-quarters of them do not tend to
embellish the situation and consider their products
as new ones for the customers.
Small business that includes predominantly
new businesses is characterized by the focus
mainly on fast-payback and active commerce
activity in the recesses formed in the gaps between
the mass of goods supplied to the market by large
enterprises. Numerous studies of this area clearly
agree that this is why the most attractive trade for
business is the trade that holds now nearly 40%
of the total number of enterprises and workers in
small businesses. The turnover of wholesale and
retail trade is more than 70% of total turnover.
Ultimately, the development of small trade
business helps the saturation and mobility of the
market, increase of competition and the relative
stability of prices, employment of population,
formation of the middle class and development
of market economic system as a whole. But
on the other hand, in order to determine the
prospects and conditions of its development it
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is important to take into account the observed
ambiguous tendency of using the strategy of
significant growth and non-significant focus on
the international market, even in the Krasnoyarsk
territory that is characterized by its high export
orientation.
The 5th evidence relates to the foreign trade.
Globalization processes put contradictory effects
on the national sphere of circulation. On the one
hand, it simplifies interaction with the business
subjects of different countries, and promotes
economic growth through the exchange of
advanced technologies. On the other hand, due
to the general decline and restructuring of the
domestic industry and agriculture, domestic trade
is experiencing significant difficulties in adapting
to hypercompetition caused by the expansion of
foreign products and firms. Restructuring of
foreign trade has resulted in an active expansion
of product export of extractive industries and
import of consumer goods, leading to the
formation of the different structure of the sphere
of circulation. According to official statistics,
an average more than 50% of commodity food
resources, and almost three quarters of non-food
resources in the total volume of supply are formed
by foreign revenues.
Serious constraint to effective adaptation
of domestic enterprises to the conditions and
requirements of the international market is the
lack of knowledge about the foreign goods and
firms, the mechanisms of the organization of
commerce activity, accounting and reporting
standards.
Stable import dependence has not only
increased competition, objectively encouraging
the development of domestic enterprises, but
has also given rise to the problem of strategic
security of the consumer market that requires
an immediate comprehensive solution. It can
be assumed that with the commencement of
the agreement on accession to the WTO that
expands the possibilities of foreign supply of
high-quality and affordable products, including
highly competitive multinational companies, the
problem of the internal market dependency on
imports will become aggravated. Its solution is
seen in the combination of market mechanisms
and improvement of public protection policy
that is adequate to new economic conditions,
expanding the freedom of trade with the full and
rapid development of the domestic agricultural
sector, ensuring the further growth of perceived
increase in the share of domestic goods in the
retail trade.
This statement is not consistent with the
published views that foreign trade does not
stimulate economic growth or, if helps, this
growth is not self-sustaining, since the broad
flow of imports destroys the traditional structure
of the national economy. And this is it. But 30
years ago, Nobel laureate William Arthur Lewis
proved by examining the experience of developing
countries that have experienced similar processes
that, over a certain time (the duration differs
depending on the prevailing conditions) import
and export come into balance. As a result, this
negative effect of foreign trade is reduced to zero,
and having wholly dialectical interaction with
internal trade it becomes a factor of economic
growth. However, this condition is vague, with a
decrease in demand for export products there is
violation of the existing balance in the sphere of
circulation, and conditions for adaptation of trade
are becoming worse.
One of the peculiarities of Russian export
that is notable for prevalence of raw materials
is due to the relatively high industry level of
the wage fund in total costs and revenues that
reduce the ability to adapt in other industries.
In particular, it contributes to chronic state of
unemployment in such industries. It can hardly
be denied that as a result the emerging system
of market coordination reveals its imperfection
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that correlates with the conclusion of D. Keynes,
because it does not ensure the stability of the
structure. Therefore, attention to the restructuring
cannot be weakened.
6. In the sphere of circulation previously
unknown formats of the high-tech trade enterprises
are becoming widespread, for example, the
organizational integrations that form structured
supply chains, optimizing product distribution
process. Compared with the existing traditional
trade actors, they signify system, though uneven,
transformation of trade into the modern, diverse
and actively developing effective industry. In
essence, these organizations are transitional
civilized forms to its innovative type.
7. There is a rapid development of domestic
trade networks of different levels and the occurrence
of the tendencies of its market dominance over
the individual business in connection with it. Its
movement in the country is accompanied by the
appearance of large shopping centers, distribution
warehouses. They offer the more efficient
organization of commerce activity, diversification
of risks through redistribution of means between
different parts of the system, usage of different
logistics systems that contribute to the increase of
sales and reduction of costs per unit of sales. All
these factors promote further intensification of
competition with regional players in the market,
promoting their development. On the other hand,
it leads to the significant change in the structure
of trade turnover. Thus, in the Krasnoyarsk
territory the share of federal, regional and local
networks in 2010 has reached almost a quarter
of the total retail sales turnover of food products,
while for the foreign companies, it is only 3%.
But the most important role in this market is still
played by non-chain enterprises.
The most important thing here is that the
result of this progressive tendency is the formation
of the conditions for economic leveling of the
territorial development of the domestic trade.
8. The restructuring of the sphere of
circulation is based on the introduction of modern
processes of purchase and sale and technologies
of value increment, including electronic and
logistics technologies. They are becoming crucial
factors of impact on trade. For example, the
usage of electronic information systems has led
to the fact that the response to changes in market
conditions is becoming effective if the enterprises
are vigorous, and commercial activity is carried
out with “the speed of thought.”
The economic importance of new ways of
organization and application of technologies in
the sphere of circulation lies in the fact that they
are responsible for reducing costs (especially by
the scale of activity), and increasing the efficiency
and competitiveness of domestic enterprises.
Thus, the centralized model of commercial trade
relations that use electronic information systems,
allows us to consolidate orders to suppliers, to
quickly form range of products depending on the
dynamics of supply and demand and reallocate it
between the shops of the given economic system.
The consequence of this approach is more
accurate and complete records of expenditures
and its saving during the purchase, transportation
and storage of goods, reduction of the cycle of
their turnover. And as a consequence, there is
an increase of economic mutual benefit for all
participants of the product distribution chain
(Fig. 4).
This model simulates the chain of value
increment during the organization of movement
of goods from the producer to the retail customer.
In this process, there is the transformation of the
traditional relations between the subjects: the
formation of value and cost of the goods in the
initial link of the chain and its transformation
while moving to another link. Resellers and
retailers through the development of direct
interactions carry out increment of value of
the product through various commercial and
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Formation
of value
Commodity
producer
Satisfaction of
needs
Value
increment
Tradeenterprise
Mutual benefit
Mutual benefit
End customer
Synergetic effect
Fig. 4. Model of the chain of value increment
technical operations (eg., warehousing, storage,
packing, packaging, etc.). Despite the increase in
the costs for the increment of value of the goods,
the restructuring of the relations helps to reduce
overall costs and increase the volume of sales of
goods of high value. The latter fact is a positive
factor of formation of the synergetic effect.
On the other hand, mismatched innovations
of the organization of commerce activity of trade
enterprises are mostly the results of spontaneous
solutions leading to risks that often reduce
the level of customer service system and the
reproductive process as a whole.
The presented sketch chain of arguments
allows making several conclusions.
Firstly, the sphere of circulation is not
protected by the law of changes. A large number
of circumstances of different nature can affect
the development of restructuring and therefore
should be considered. In addition to the marked
changes there are also other changes, in particular,
due to the action of destructive conflicts, the
consequences of which that are obvious and not
so visible, are also important for its development.
For example, the collapse of the vast system of
consumer cooperation, embracing all rural areas
of the country with the trade network, destroyed
its economic relations with processor enterprises
and left people without trade service.
Secondly, the consequences of the Russian
strategy of radical reformation of the sphere of
circulation on the principle of «laissez faire»
have been found to be extremely controversial.
Rapid privatization of enterprises has created
the conditions for the emergence of a new form
of trade that is commerce activity and stimuli
for the display of individual economic initiative
in the market, aimed at obtaining the immediate
private egoistic profit. But, on the other hand, the
liberalization of pricing, bringing it closer to the
world level, that is combined with the imperfection
of state involvement in the establishment of the
market economy, have created hyperinflation,
economic chaos, one-sided redistribution of
resources and have become devastating for most
of the remaining and new enterprises. Further
adjustment of the economic changes helped to
outline the new structure and relative stability
of the sphere of circulation and to smooth its
criminal nature.
Thirdly, the restructuring of the sphere
of circulation carried out on the basis of the
maximum rejection of the theory of market
socialism, despite its dynamic disequilibrium
and contradictory nature of effects, showing the
existence of an internal immunity, strategically
plays a positive economic role, promotes the
gradual formation of the market economic
system and the establishment of conditions for
the overall economic recovery and growth. It
means that the radical restructuring eliminates
the rapid achievement of outcomes, and shock
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measures should develop into the long-term
actions.
Stages of restructuring. The temporal
dimension is important for the determination of
restructuring. From the facts of changes in this field
it is important to bring an explaining line, without
which they will be confusing and unnecessary.
The methodology of dialectical cognition has
identified the stages of civilizational and cultural
crisis of the sphere of circulation in the process of
its adaptation to the new conditions that indicates
the gradualistic nature of the restructuring.
Its content consists of the trade and economic
relations that characterize the replacement of its
command and centralized by a market one (in the
period from the extraordinary 90s up to the end
of the relatively conservative changes of 2000s)
that are successively connected with each other.
Civilizational and cultural crises were
not the product of the thoroughly elaborated
plans of changes, most probably they were the
spontaneous reaction of desperate aspirations to
cope with the economic crisis and chaos caused
by the shock measures of the capitalist economic
reorganization. They do not take into account the
views and suggestions of the Russian scientists
about the ways of its gradual reformation who
did not offer the dizzying pace of changes, the
complete destruction of economic relations and
the rejection of planning as a mechanism of state
regulation of the development of commoditymoney relations, aimed at creating the
necessary conditions for the operation of market
mechanisms.
The restructuring of the sphere of circulation
is characterized by complex and contradictory
processes, ambiguity and unpredictability of
results and therefore it cannot be reduced to
the sporadic acts (both at macro and micro
levels), it requires the systematic approach for
its implementation. Focusing on the solution
of particular problems and the problems of
restructuring does not provide the formation of
a new integral model of the sphere of circulation
adequate to the changing conditions.
Finally, the solutions and achievements of
each stage give rise to new values while setting
targets for the next stage. Establishment of the
truly market economic system, that is free from
the criminal raid of the period of primary capital
accumulation, has become possible because the
necessary preconditions had been created (first
of all, multi-structural economy and competition)
and there were mechanisms of restructuring in the
previous time. In the process of transformation
the deformed model of the sphere of circulation
is actually replaced by the fundamentals of new
system, which market economic laws have begun
to form and operate.
Marked characteristics and relations are
also extremely significant in another aspect. The
restructuring of the sphere of circulation not only
causes rapid changes in the economic structure,
but also in other areas of life, in particular,
urbanization, demographics, perceptions about
the role of man in society, the selection criteria
and assessment of success. This issue still
needs to be thoroughly investigated. However,
we can confidently assume that the widespread
introduction of innovations into the sphere of
circulation, the basis of many of which are
scientific and technical advances and new
ways of organization of the market relations,
provides a positive connection between the selfdeveloping sphere of circulation and economy
as a whole.
Analysis has shown that on these stages there
is a clear detection of the thread of the permanent
transition from quantitative to qualitative changes
in the process of implementation of adaptive
expectations of restructuring.
However, the existence of a common line
between civilizational and cultural crises in the
sphere of circulation does not preclude its breaks.
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For example, the restructuring was the response
to the overall reformation of economy. Since
its mechanisms had the unoriginal character,
it reflected the general vague intentions and
imposed dogma of “universal” changes, without
intelligible and clear plan of implementation. The
objectives and boundaries of each stage of the
crisis of the sphere of circulation were unclear.
As a consequence, its implementation that also
does not take into account the features of the
territories, has led to the extremely ambiguous
results across regions of the country. Therefore,
the line of restructuring represents the general
trend of the process of stochastic adaptation of
trade to the new conditions.
Study of intertemporal processes allows
revealing the invariant structure of regularities of
the changes and reorganization areas of the sphere
of circulation. Finally, we emphasize, that it leads
to the formation of the market nature of the new
economy and economic system. But at the same
time there is formation of the contrary signs,
associated with the extreme underdevelopment
of market relations that not only constrain
progressive processes, but often give them wrong
form, for example, this absolutization of economic
interests of sellers during the implementation of
trade deals, the criminalization of the sphere of
circulation, the frequent use of actually forced
labor.
Boundaries of restructuring. The full
analysis of the impact of restructuring raises
questions about its limits. Changes in the
structure of the sphere of circulation, causing
both loss and gain, are spread to another group
of the circumstances of modern economic growth
that have been named by Simon Kuznets as the
“criteria of activity selection”. It includes, in
particular, urbanization, demographics, overall
employment. This aspect of relations deserves
intent research. We will pay attention to some
circumstances.
The impact of the restructuring of the
sphere of circulation in the urbanization is
controversial. Thus, the breakdown of the system
of consumer cooperation and a sharp reduction
in trading activity in rural areas have increased
out-migration to the points of living with larger
and greater opportunities that contributed to
the decline of the national rural economy as a
whole. But, on the other hand, to some extent the
situation is mitigated by the emergence of the
trade entities of a new type that are individual
entrepreneurs who are at their own risk create
market-based system of industrial relations in
the sphere of circulation in rural areas. It is weak
and limited, but it has brought the new economic
stimuli in the form of commerce activity. It
carries the inner source of growth that will ensure
its efficiency during the development, and rural
trade will objectively become a significant factor
in the revival of agriculture. And this is the main
positive result of the restructuring of rural trade:
The restructuring of the sphere of circulation
has a direct impact on employment of population.
Economic reforms in the country have led to the
emergence of various forms of the reserve army
of employees and owners of private property who
are the employers. Their sharp differentiation on
the nature of participation in the production and
income level is the limiting factor of the usage of
the potential of modern economic growth.
The value of the sphere of circulation in
these processes is specific. The fact is that the
scale and depth of its changes not only lead to an
exacerbation of the problem, but in the long run,
contribute to the removal of specified restriction.
It is not difficult to notice that there is an active
growth of the innovative class that is business
entities in the sphere of circulation, due to the
new economic stimuli and opportunities for rapid
capital turnover, and, therefore, the accelerated
development of trade and business services,
forced formation of the market economic system.
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As a consequence, we can say that the sphere of
circulation has become a significant deterrent of
increase of the growth of the unemployed people
and the reallocation of labor resources – they are
moving to the areas of activity in accordance with
the structure of the aggregate demand. It helps to
maintain a decent standard of life of the population,
and to smooth on this basis the sharp interclass
relations, to provide the necessary adaptation of
population to changes. As a result, during the
formation of the new structure of the sphere of
circulation, the economy development moves
in a new direction, appropriate for the market
system. This positive effect of the restructuring
as a process of movement to the new formation
was difficult to predict, but its assessment is even
more important. Its implementation is connected
with the creation of necessary conditions for
democratic economic development and economic
growth.
Effectiveness of adaptation depends on the
dynamism and flexibility of the processes. In this
case, the restructuring of the sphere of circulation
should not immediately be ready for the rapid
achievement of ultimate goals. It is not a shorttime process, the primary goal is to achieve a
certain stability in its new structure in order to
provide further effective restructuring.
It should be emphasized that the stability
of the restructuring of the sphere of circulation
does not mean static nature, the changes are its
necessary basis. Two opposites are combined
in it – two interacting systems with different
results, generating a variety of directions and
ways adaptation to changes: one has the elements
of modernity and strives to the heights of most
developed countries, and the second has the
archaic signs and elads to the level of the third
world. That is why the most important feature
of the restructuring is an active structural
policy, the actual formation of the system of
market relations and economic management
that overcome any restrictions. Objectively,
this struggle gives birth to a civilized market
economy based on the full use of modern
economic growth factors.
References
Госкомстат РФ: сведения о развитии России [Электронный ресурс]. – Режим доступа:
http://gks/ru.
Комитет государственной статистики Красноярского края [Электронный ресурс].- Режим
доступа: http://krasstat.ru.
Королёва С.И. [S.I. Koroleva] Торговля в условиях экономических реформ России /
монография – М.: 1999.
Кузнец С. [Kuznets S.] Современный экономический рост: результаты исследований и
размышления. /Нобелевские лауреаты по экономике: взгляд из России. Ред. Академик РАЕН.
Проф. Ю.В. Яковец. – СПб.: Изд-во «Гуманистка», 2003.
Стратегия развития торговли в Российской Федерации на 2011 – 2015 годы и период до
2020 года: Приказ от 31 марта 2011г. № 242.
Социально-экономическое положение России. – 2011г. [Электронный ресурс].- Режим
доступа: http://www.gks.ru.
Социально-экономическое положение Красноярского края. [Электронный ресурс].- Режим
доступа: http://krasstat.ru. .
Э. Ладюри. [E. Ladurie] Застывшая история. В «THESIS. Теория и история экономических
и социальных институтов и систем». – М.: Начала – Пресс, 1993.
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Denis Yu. Gunyakov, Yuriy V. Gunyakov… Sphere of Circulation: Issues of Restructuring
Сфера обращения: вопросы реструктуризации
Д.Ю. Гуняков,
Ю.В. Гуняков, В.В. Куимов
Сибирский федеральный университет
Красноярский государственный
торгово-экономический институт
Россия 660075, Красноярск, ул. Л. Прушинской, 2
Показаны модель и закономерности реструктуризации сферы обращения, её особенности и
роль в воспроизводственном процессе становления рыночной экономики.
Ключевые слова: реструктуризация, сфера обращения, адаптация, коммерческая
деятельность, механизм реструктуризации, товародвижение, цивилизационно-культурный
перелом торговли.
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Journal of Siberian Federal University. Humanities & Social Sciences 10 (2012 5) 1398-1408
~~~
УДК 005.1
Business Groups: Challenge
for the Transactional Theory of the Firm
Sergei N. Levin and Dmitrii V. Kislitsyn*
Kemerovo State University,
6 Krasnaia St., Kemerovo, 650043 Russia 1
Received 19.07.2012, received in revised form 23.07.2012, accepted 31.07.2012
The article analyzes the challenge faced by the transactional theory of the firm in connection with the
domination of business groups being specific organizational forms in the economies of developing
countries. In response to this challenge we propose to expand the research subject of the transactional
theory of the firm and thus include internalized political resource owners in the analysis. Under this
approach firm owners are either financial capital owners or internalized political resource owners.
This depends on the parameters of the institutional environment. In the first case a firm exists in the
form of a public corporation, while the second one is represented by a business group.
Keywords: transactional theory of the firm, business groups, political market, internalization of
political resource.
The article was supported by RFBR grant № 12-06-00290 «The specificity of the political recourse of
Russian entrepreneurs and its impact on innovational development” (2012-2013).
In modern economic science the transactional
theory of the firm as a part of the new institutional
economics has become a leading approach in
explaining the reasons of a firm’s existence and
development. Its formation and development is one
of the most important advances in the economic
theory of the XX century. The starting point of
both the transactional theory of the firm and the
new institutional economics is considered to be
Coase’s famous paper "The Nature of the Firm"
published in 1937. During the XX century the
transactional theory of the firm took significant
steps in its development and became one of
the most important parts of modern economic
mainstream.
*
1
It is important to note that all theoretical
approaches to the nature of firms seek to answer
fundamental questions first formulated by Coase
(Coase, 1937):
1. The existence: why do firms exist? Why
aren’t all the exchanges in the economy
done through the market mechanism?
2. Boundaries: What determines the
boundaries of a firm?
3. Organization: Why do firms have such a
structure? How do formal and informal
structures interact?
Parallel development of various theories of
the firm is to a large extent explained by their
different approaches to the concept of “a firm”
Corresponding author E-mail address: dmitry.v.kislitsyn@gmail.com
© Siberian Federal University. All rights reserved
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and various research objects. As Tambovtsev
stated “various theories of the firm highlight
... different aspects, elements and interactions
between them, build various models of the firm
that results in non-identity of objects of these
theories” (Tambovtsev, 2010).
In the framework of different theoretical
approaches a firm can be represented as:
• a production unit – the neoclassical
approach;
• a decision making process – the behavioral
theory of the firm;
• a contract decision – the transactional
approach.
In the framework of the neoclassical
approach a firm is understood as a production
unit supplying the market with products and
services. It is described as having a production
function and perceived as a “black box” that
transforms inputs into products and services. In
contrast to neoclassical economics, organization
theorists seek to explain the processes in a firm,
as well as its relationships with the environment.
From the perspective of this approach (the
behavioral theory of the firm) the coordination of
individual units and individuals is a key function
of a firm. Effective coordination is not automatic;
it is determined by the executives’ decisions
which determine an organization’s structure,
control mechanisms, incentives, goals and
members. Therefore, the study of how managers
make decisions is crucial for the analysis of an
organization and its actual behavior (Table 1).
Simon, a classic of the organization
theory, identified an organization as “a pattern
of communications and relations in a group
of human beings, including the processes of
making and implementing decisions” (Simon,
1997). Cyert and March describe an organization
as “a decision-making process” (Cyert and
March, 1992). Scholars have noticed that profit
maximization is not the most important goal
that drives managers’ decisions as it is implied
by the neoclassical theory of the firm. Managers
are guided by conflicting goals and have bounded
rationality.
Both neoclassical and behavioral theories
of the firm have a significant influence on the
economic theory development, but the dominant
position is currently held by the transactional
approach.
According to the transactional theory a
firm is regarded as an extreme single grading
scale of coordination mechanisms that differ
Table 1. Theoretical approaches to the concept of “a firm”
Theory
of the firm
Neoclassical
Definition
Role
Behavioral
Production function Supply of products and
services
Decision-making
Coordination of
process leading to
specialized units through
action
information processing
Contracting
Nexus of contracts
Governance structure of
transactions (vs. markets)
Scope
Technology
Rationally
bounded decisions
of management
coalitions
Transaction costs
Performance
Production costs and
market power
Effectiveness of
internal structure
to deal with the
environment
Total costs,
especially
transaction and
agency costs
Source: Becerra, M. Theory of the firm for strategic management: economic value analysis. Cambridge University Press,
2009.
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from another scale – the market – in the type of
a dominant contract. If the market is dominated
by classical and neoclassical contracts, a firm is
ruled by a relational contract of employment. The
key concept of the transactional theory of the firm
is transaction costs. The concept of transaction
costs was introduced by Coase who answered the
question why firms exist in the economy (Coase
1937). His response was that the exchange can be
carried out both inside an organization and outside
it through the market mechanism. Applying
the traditional principle of optimization, firms
internalize those exchanges, the implementation
cost of which is lower in a firm.
Research approaches, rooted in Ronald
Coase’s works, can be divided into two groups: 1)
the theory of property rights (Jensen, Meckling,
1976) and 2) the agency theory (Fama, 1980)
and Williamson’s transaction cost economics
(Williamson, 1985) which came into existence on
its basis.
The theory of property rights emphasizes the
rights in an organization established by contract.
A firm is regarded as “a legal fiction” which is a
nexus of contracts on the factors of production.
According to the classical theory an agent who
personifies a firm is an entrepreneur who is also a
manager and a residual risk bearer. This approach
is unable to explain a large modern corporation
in which the control of a firm is in the hands of
managers who are separate from shareholders.
The situation changed with the formation of the
agency theory which models a modern corporation
as a structure that separates two key functions of
an entrepreneur – management and risk-taking.
Thus, the separation of ownership and control
is an effective form of economic organization
within the concept of “nexus of contracts” (Fama,
1980).
Another branch of the transactional theory
of the firm is Williamson’s transaction cost
economics. The approach is interdisciplinary; it
includes concepts from economics, law and the
organization theory. Williamson often uses the
term “hierarchy” describing a firm as a transaction
control mechanism and emphasizing the
relationship of subordination in an organization.
In fact, an organization’s members do not appeal
to the courts to resolve disputes but turn to a
higher position in the hierarchy.
Williamson’s most important contribution
to the transactional theory of the fi rm is
probably his analysis of why and under what
circumstances higher transaction costs can be
expected, and namely whether it is the market
mechanism or
the hierarchy. Williamson
attributed managers’ declining attention to
new activities, bureaucratic delays and other
costs as well as the use of hierarchical forms of
coordination to the management (bureaucracy)
cost. A fi rm internalizes those transactions
that can be managed more effectively within
a hierarchy than through market exchanges,
i.e. when market transaction costs are higher
than bureaucratic costs of managing these
transactions in a fi rm.
Thus, the hierarchy is a response to various
types of market failures which can be explained
by higher market transaction costs. For example,
vertical integration is the result of market failure
in the market of intermediate goods and labor
market. In contrast, multidivisional structure
can be considered as a substitute for institutional
failure in the capital market and may contribute
to an unrelated diversification.
According to Williamson (1985) the most
common market failures are:
1. Bounded rationality and environmental
uncertainty. As Simon claimed, “human
behavior is extendedly rational, but
only boundedly so” (Simon, 1955). The
information processing capability of
humans is limited and the complexity
of our uncertain environment is so large
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that it is impossible to fully optimize
every decision. This places a limit in the
possibility to write full contracts that
could otherwise regulate all relations
between independent actors. Complex
transactions surrounded by greater
uncertainty will tend to be internalized in
a firm.
2. Opportunism, defined by Williamson as
self-seeking behavior with guile. Some
people may behave opportunistically if
they have a chance, which is given by a
contract with some gaps. Firms essentially
emerge to overcome the situations in
which the threat of opportunism is
particularly large and damaging to at
least one of the parties.
3. Asset specificity. Investing in asset that
is very specific to an exchange with
another party creates an acute problem of
vulnerability for the weaker party forced
to maintain the exchange relationship
that, in the joint presence of opportunism
and bounded rationality, makes contractbased market transactions a highly
inefficient alternative for the weaker
party. Thus, asset specificity generates
a hold-up problem for at least one of the
parties, which may be taken hostages by
the other party after the former invests in
the highly specific assets.
Williamson stressed the presence of asset
specificity as a critical determinant of transaction
costs (Williamson 1985). In this context, the
party that invests in highly specific assets would
either limit the invested amount or suffer high
costs of managing the contractual relationship
in order to avoid possible abuse from the other
party. In both cases managing the relationship
through contractual market exchanges would
incur higher costs than integrating both actors
within a hierarchy, though some governance costs
would obviously be suffered within the hierarchy
as well.
A comparative advantage of the transactional
theory lies in the fact that it clearly revealed the
nature of a firm as one of economic coordination
types, and its tools demonstrated its efficiency
in order to explain the realities of firms in the
countries with developed market economies.
At the same time, it should be noted that the
implicit premise of the transactional theory is
regarding a “norm” of the basic parameters of
the institutional environment of the countries
with developed market economies, especially
the Anglo-Saxon. In this context the following
question arises: to what extent is it an applicable
tool for the analysis of business structures in the
countries with various developed parameters of
the institutional environment and other forms of
business organization.
In this regard the phenomenon of business
groups is of a particular importance as it is a major
form of big business organization in developing
countries. The need to explain the existence and
sustainable development of this atypical form of
a firm is a challenge to the transactional theory
of the firm.
The business group is a set of formally
independent firms operating in unrelated
industries controlled by the owners who usually
represent a clan or a family group. The main
characteristics of business groups are deviations
from a number of “right” and recognized Western
institutions and business practices:
Firstly, in terms of modern strategic
management it is assumed that a company should
concentrate on its core competence; otherwise it
loses its competitive advantages (Rumelt, 1982).
Secondly, within the framework of good
corporate governance it is assumed that separation
of ownership and management is necessary. This
is a prerequisite for the institutions developed to
protect the interests of shareholders (especially
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minority shareholders) and a company’s creditors
(Johnson, 2000).
Thirdly, the norm of relations between
business and government agencies in developed
countries is lobbying – the pressure on the
legislatures from organizations representing
sectoral or regional interest groups. In developing
countries the relationship between government
and big business manifests itself in a personalized
support of individual business structures at the
level of administrative and judicial decisions,
clearly described as corruption and crony
capitalism by Western scholars.
Thus, business group is a typical object of study
for economists, and that is why the sociologists
became the pioneers of business groups research.
One of the characteristics of a business groups
is control over it by a group of people who are
usually closely related by friendship, kinship or
ethnic ties. This feature of a business group is of
a great interest for economic sociology because
the key concept of today’s economic sociology
is “embeddedness” that reflects the process by
which social relationships determine economic
actions. According to this logic, business groups
root in the system of exchange that promotes
economic efficiency through inter-firm resource
pooling, cooperation and coordinated adaptation.
Even the forms of economic organization, that
emerged in the countries with approximately the
same level of development and have significant
similarities in culture and social organization,
can be very different which in its turn leads to
different trajectories of economic growth.
In the framework of economic sociology
there are two approaches to the research of
national forms of business groups: cultural and
institutional. Followers of the cultural approach
(Fukuyama, Redding) consider an organization
to be “a cultural artifact” manifesting deep values
of society. One of the leaders of this approach is
Francis Fukuyama. From his perspective, a form
of economic organization depends on the level of
trust between members of society.
Unlike the representatives of the cultural
approach, focusing on a system of values,
institutionalists (Powell, DiMaggio) focus on
the institutional environment’s influence on the
organizational structure. From their perspective,
the organizational structure can evolve adapting
to changing institutions. Thus, if the cultural
approach is static, the institutional approach
shows the dynamics.
However, with the laps of time economic
approaches have been proposed to explain
existence of business groups. There are two main
approaches. Both are based on the transactional
theory of the firm, but if the former is based upon
the agency theory, the latter is the economy of
transaction costs. The first approach implies the
analysis of business groups from the standpoint
of corporate governance in which business
groups are regarded as “pyramids”. The concept
of “a pyramid” was proposed by Johnson et al.
(2007). It considers business groups to serve
as the devices that let a not numerous group of
owners control assets pushing other shareholders
(the process is termed as “tunneling”).
Another approach to business groups
research is the concept of institutional voids
proposed by Hanna (Hanna, 2007). Within this
concept which adheres to Hanna, Paleru, Rivkin,
Yafeh a business group is regarded as a suboptimal way of solving the problem of missing
or improperly functioning institutions: property
rights protection, the capital market, the market
for managerial talent. Thus, from these authors’
perspective the best solution is direct borrowing of
Western institutions, but during their absence or
improper functioning a business group performs
their function (i.e., a business group acts as a
second-best decision, it internalizes certain types
of transactions which would be carried out in the
markets in a different institutional environment).
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It is important to mention that both concepts
(those of “tunneling” and “institutional voids”)
consider a business group a deviation from
“normal” with the only difference that the latter
approach regards it as a negative effect for national
economies while the former one characterizes it
as generally a positive one.
At the same time the proposed explanations
cannot yet be considered an adequate response
to the challenge posed to the transactional
theory of the firm by the existence of business
groups. Business groups are regarded as some
kind of deviation that does not fit into the overall
typology of firms, as proposed in the framework
of the transactional theory.
From our point of view business groups
and companies of the Western type should be
considered as discrete institutional alternatives,
the comparative advantages of each is determined
by the institutional environment (Table 2).
The most important parameter of an
institutional environment is the political market
structure. Countries with developed market
economies have relatively open political markets.
In the countries with the markets of such a kind
the political resource for business acts as club
goods, access to which is provided through the
system of political lobbying. However, access
to political resources improves the framework
conditions for the functioning of business or
industry, but it does not become a private asset
held by individual owners. In most countries there
are closed political markets.1 Under the conditions
of closed markets existence the political resource
gets internalized, becomes the individuals’
property. Under these conditions an increasing
range of the resources owners are involved in the
establishment of firms. Along with the owners of
business resources and financial capital they are
the owners of a political resource.
The benefits that some firms derive from
their exclusive relationship with the top officials
have always attracted researchers’ considerable
attention, primarily in the context of the analysis
of economic growth in developing countries; even
while different authors use different terminology
and different theoretical concepts: “political
connections”, “politically favored firms”, “crony
economy”, “state capture”.
Nevertheless, these works make it possible to:
1) quantify the benefits from the use of
political resources which are firm;
2) identify the mechanisms of using political
resources for competitive advantage;
3) determine which firms are most likely to
get preferential treatment from the state.
Fisman in his pioneering research analyzes
the impact of rumors about Indonesian president
Table 2. Differences between a business group and a company
Business group
Development
Ownership structure
Decision-making mechanism
Diversification into unrelated
industries
Company
Concentration on “core
competencies” – some commodity
group, or a processing chain
Situational, deliberately confusing, A stable, disperse, significant role
indehiscent, characterized by
of institutional investors
the use of pyramidal structures
to concentrate control in a small
group of owners
Fundamentally nontransparent
Striving to fulfill the rules of “good
corporate governance”
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Sukharto’s health during his last year in power
on capitalization of companies with varied
degree of political influence (Fisman, 2001). A
highly centralized and stable political structure
of Indonesia made it possible to form a credible
index of political ties, while in the countries
where political decisions are decentralized the
identification of political connections is a daunting
task. The analysis showed that the influence of
rumors on the stock price of politically influential
firms was significantly higher than their influence
on the stock price of the companies with no or
less political influence.
Fisman’s research was followed by a
significant number of works on quantitative
assessment of the impact of political influence on
fi rms’ performance. Thus, Johnson and Mitton
demonstrated how 1997-1998 Asian economic
crisis reduced the expected value of government
subsidies to the politically influential fi rms
in Malaysia (Johnson and Mitton, 2003). Data
before and after the introduction of restrictions
on capital movement in Malaysia were analyzed
in the research. The authors showed that capital
control can be viewed as an essential part
of capitalism based on political connections
(cronyism). Policy makers give informal
guidance to the banks to approve loans for
selected fi rms; this policy is relatively easier to
implement provided a country is isolated from
international capital flows. As a result, fi rms
with political connections are more vulnerable to
macroeconomic shocks as they reduce the ability
of the government to grant them privileges and
subsidies. Simon Johnson and Todd Mitton’s
work is also based on a predefi ned list of
politically influential fi rms with identification of
policy makers related with specific fi rms.
Khwaja and Mian analyze the influence
of political connections on the probability of
obtaining bank loans in Pakistan (Khwaja and
Mian, 2005). The authors classify a firm as
“political” if its director participated in elections.
The results show that political firms borrow 45
per cent more and have 50 per cent higher default
rates. It is important to note that such preferential
treatment is received only from the state banks.
In addition, the research shows a positive
correlation between a firm’s affiliation with a
business group and the probability of obtaining
politically motivated lending; while the larger a
business group is the greater the likelihood of
getting loans is.
In all the researches mentioned above the
authors firstly form a list of politically influential
firms based on some factors (election campaigns
funding, financing of specific politicians or
parties, party membership of managers and
company owners, the presence of top officials on
the boards of directors, etc.) and then evaluate
if politically influential firms get some specific
benefits or privileges. It should be noted that the
analysis of a political decision-making process
in terms of the factors that make companies
politically influential is complicated as collecting
and interpretation of the data is impeded. For
example, the firms which are actually less
politically influential may be forced to fund a
leading political party while more politically
influential firms may be free from this obligation.
Also, the possession of deputy immunity by a
firm owner may be a strategy of defense from
legal prosecution but not a way to get political
influence.
An alternative strategy of the political
connections research is based on the analysis
of political decisions and the benefits that some
firms derive from them. The research by Slinko
et al. follows this strategy (Slinko, Zhuravskaya,
Yakovlev, 2004). On the basis of the Russian
legislation in 1992-2000 the authors created
a measure of preferential treatment of firms
from regional governments and evaluated the
effects of preferential treatment on politically
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influential firms. In comparison with the firms
without political influence influential firms’
sales and employment grew faster; they invested
more and received more profit. Investigating
the issue of the firms that received preferential
treatment, Yakovlev and Zhuravskaya showed
that a firm’s political influence is determined by
a firm’s size and ownership structure: big firms
(both in terms of sales and employment) and
firms that are controlled by “federal oligarchs”
have significantly higher likelihood of getting
preferential treatment (Zhuravskaya, Yakovlev,
2004).
Research of political connections between
government and business, as well as the benefits
that some firms get from their special relationship
with the authorities show that:
1. A political resource makes it possible
for the firms to get a preferential access
to other resources, especially capital,
both to bank financing and to equity (the
market values the firms which are more
politically powerful). This effect can be
measured quantitatively.
2. Formally independent firms in a highly
diversified structure are more likely to get
preferential treatment.
3. The mechanisms through which a firm
benefits from the use of political resources
are very diverse: tax breaks, investment
credits, subsidies, loans guaranteed by
regional budgets, official delays in tax
payments, transfer of state property.
A political resource is not specific to the
industry (although it is natural to assume that
its value also varies from industry to industry:
in industries with more stringent regulation it is
greater). Whether a political resource becomes a
source of a sustainable competitive advantage is
determined by the institutional environment, and
namely the type of political market inherent in a
given country.
It is therefore necessary to characterize the
notion of “the political market” highlighting its
“extensive” and “narrow” interpretations. In
a “broader” sense the political market is “the
market of power”, the system of trading with
a political resource. In a “narrow” sense it is a
classical political market which appears within the
institutional framework enshrining a democratic
organization of a society’s political subsystem.
It is the subject of analysis in the public choice
theory the focus of which is a political choice in
terms of direct and representative democracy. A
classical political market should be considered in
connection with a bureaucratic (administrative)
market, typical for the Soviet economic system
in particular as a discrete institutional alternative
of a political market organization in a broader
sense.
The hybrid of political and bureaucratic
markets is typical for today’s developing and
post-socialist countries. A “hybrid” nature of
prevailing political and bureaucratic markets
shows itself in the following:
1. Political, bureaucratic and economic
exchanges really merge despite their formal
separation.
2. Political
transactions
get
“bureaucratized”, bureaucratic ones get
“politicized”. “Bureaucratization” manifests
itself in the fact that the actors’ competitiveness
in politics and business is determined by their
status in a political hierarchy. On the other hand,
“bureaucrats” and “entrepreneurs” behave like
“politicians”, they are eager to increase their
political resource. Under these circumstances,
both state officials and the most influential
businessmen are interested in closing the access
to a political resource in the framework of “a
private club”. State officials do not only extract
economic benefits but also consolidate their
positions in a political hierarchy. Businessmen
are getting interested in increasing investment
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Table 3. Comparative characteristics of bureaucratic and political markets
Political market
The subjects of
the market
Type of
institutional
arrangements
The model
of economic
behavior
Bureaucratic market
Voters, politicians and pressure groups
Various interest groups within a single
formal administrative hierarchy
Mostly legal, between subjects, which serve As a rule, illegal and status (between
as property carriers (principal - the voter,
disparate entities)
and his agents’ policy)
The more competitive and coordinated the
market is, the more efficient the distribution
of property rights is. This leads to the
establishment of hard budget constraints.
There is a continuing erosion of a formal
state ownership by illegal assignment of
property rights by “interest groups”. Soft
budget constraints get fixed, the degree of
softness is different for different interest
groups, the higher the status is the softer
budget constraints are.
Fig. 1. Internalization of a “political resource” in a business group
in extensive network of personal relationships
with government officials.
The current structure of the political market
determines how entrepreneurs get access to a
political resource and returns from it.
In the countries where classical
political markets entrenched, lobbying that
is the pressure on the legislatures from the
organizations representing sectoral or regional
interest groups is the norm of relationships
between business entities and the state.
This means that entrepreneurs have access
to the political resources through collective
action. In this case it appears to them as a
public good providing a favorable framework
conditions for entrepreneurship but it does not
become a source of a competitive advantage
for individual business. When there are no
relatively open political markets a political
resource gets internalized within business
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groups, transactions are carried out through
personalized communication (Fig. 1).
Internalization of a political resource
also means “washing out” of private property.
According to the neo-institutional economic
theory (Grossman-Hart’s model) signs of an
asset owner is possession of the bundle of two
rights: residual control (the right to take any
decisions about use of the asset minus those that
are explicitly defined by law and transferred to
other parties in accordance with the contract) and
residual income (income left after payments to all
other parties). State officials act as real property
rights owners because they have residual control
and income right.
1.
Our analysis makes it possible to outline
the theoretical approaches and respond to the
challenge that the transactional theory of the firm
faces due to existence of business groups. From our
point of view, a full response to this challenge is in
expanding the subject of the transactional theory
research that implies the necessity to analyze the
owners of an internalized political resource. Under
this approach large business owners are either
financial capital owners or internalized political
resource owners. This depends on the parameters
of an institutional environment. In the first case
a leading organizational form is a company that
usually exists in the form of a public corporation,
in the second case it is a business group.
Interesting approaches to this problem can be found in the concept of limited access order (North, D.C., Wallis, J.J.,
Weingast, B.R. Violence and social order: a conceptual framework for interpreting recorded human history. Cambridge
University Press, 2009.).
References
Becerra M. Theory of the firm for strategic management: economic value analysis Cambridge
University Press, 2009.
Coase, R.H. (1937). The nature of the firm. Economica, 4(16), 386-405.
Cyert R.M., March J.G. A behavioral theory of the firm. Blackwell, 1992.
Faccio, M. (2006). Politically connected firms. American Economic Review, 96 (1), 369386.
Fama, E.F. (1980). Agency problem and the theory of the firm. The Journal of Political Economy,
88(2), 288-307.
Fisman, R. (2001). Estimating the value of political connections”, American Economic Review, 91
(4), 1095-1102.
Jensen, M.C., Meckling, W.H. (1976). Theory of the firm: managerial behavior, agency costs and
ownership structure. Journal of Financial Economics, 3(4), 305-360.
Johnson, S., Mitton, T. (2003). Cronyism and capital controls: evidence from Malaysia. Journal of
Financial Economics, 67 (3), 351-382.
Johnson, S., Porta, R.L., Lopez-de-Silanes, F., Shleifer, A. (2000). Tunneling. The American
Economic Review, 90(2), 22-27.
Khwaja, A. I., Mian, A. (2005). Do lenders favor politically connected firms? Rent provision in an
emerging financial market”, The Quarterly Journal of Economics, 4, 1371-1411.
Khanna, T., Yafeh, Y. (2007). Business groups in emerging markets: paragons or parasites?,
Journal of Economic Literature, 45(2), 331-372.
North, D.C., Wallis, J.J., Weingast, B.R. Violence and social order: a conceptual framework for
interpreting recorded human history. Cambridge University Press, 2009.
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Sergei N. Levin and Dmitrii V. Kislitsyn. Business Groups: Challenge for the Transactional Theory of the Firm
Rumelt, R.P. (1982). Diversification strategy and profitability. Strategic Management Journal,
3(4), 359-369.
Simon, H.A. (1955). A behavioral model of rational choice. The Quarterly Journal of Economics,
69(1), 95-112.
Slinko, I., Zhuravskaya, E.V., Yakovlev, E.V. (2004). Laws for sale: an empirical study of the
effects of regulatory capture”, CEFIR Discussion Papers.
Tambovtsev, V.L. (2010). Strategic theory of the firm: today’s condition and possible development
[Strategicheskaia teoriia firmy: sostoianie i vozmozhnoe razvitie], Russian Journal of Management, 8
(1), pp. 3-20.
Williamson, O.E. The economic institutions of capitalism: firms, markets, relational contracting.
Free Press, 1985.
Williamson, O.E. The mechanisms of governance. Oxford University Press, 1999.
Zhuravskaya, E., Yakovlev, E. (2004). State capture and controlling owners of firms, CEFIR
Working Papers.
Бизнес-группа:
вызов для трансакционной теории фирмы
С.Н. Левин, Д.В. Кислицын
Кемеровский государственный университет
Россия 650043, Кемерово, ул. Красная, 6
В статье анализируется вызов, с которым столкнулась трансакционная теория фирмы в
связи с доминированием в экономиках развивающихся стран такой организационной формы,
как бизнес-групп. В качестве ответа на данный вызов предложено расширение предмета
исследования трансакционной теории фирмы за счет включения в анализ собственников
интернализированного политического ресурса. В рамках такого подхода в зависимости от
параметров институциональной среды в качестве собственников выступают либо владельцы
финансового капитала, либо владельцы интернализированного политического ресурса. В первом
случае мы получаем компанию, как правило, существующую в виде открытой корпорации, а во
втором – бизнес-группу.
Ключевые слова: трансакционная теория фирмы, бизнес-группы, политический рынок,
интернализация политического ресурса.
Статья написана в рамках гранта РФФИ № 12-06-00290 «Специфика политического ресурса
российских предпринимателей и ее влияние на инновационное развитие» (2012-2013).
Copyright ОАО «ЦКБ «БИБКОМ» & ООО «Aгентство Kнига-Cервис»
Journal of Siberian Federal University. Humanities & Social Sciences 10 (2012 5) 1409-1418
~~~
УДК 336.13
The Development of the Methodological Principles
of Program Budgeting for the Effective Management
of Public Finances
Svetlana N. Makarova*
Siberian Federal University
79 Svobodny, Krasnoyarsk, 660041 Russia 1
Received 13.04.2012, received in revised form 21.04.2012, accepted 31.07.2012
The article deals with the problems of public administration by finance. One of the ways of raising the
efficiency of expenses is the use of program budgets. We have developed the methodological principles
for program budgeting and classification of the budgets.
Keywords: public administration, finance, principles, classification, performance, program
budgeting.
Modern financial relations as an element of
the economic relations system develop within
the general reform of public and municipal
administration. Continuous improvement of the
legal framework that regulates legal financial
relations does not increase the efficiency of the
budget use, does not solve the problems of public
and municipal services organization and does not
improve their quality.
It can be proved by the “Program of Increasing
the Budget Expenses Efficiency” approved by
the RF Government Resolution No. 1101-p dated
30.06.2010. The program draws attention to
implementation of the target program principles
of organizing the actions of the executive bodies
and the local authorities, to transfer towards a
“program” budget.
Even though the orientation to the target
program method of financing the budget expenses
within the framework of the formed projects
*
1
and programs has already been in practice in
some subjects of the Russian Federation since
the year 2006, the urgency of the task remains
the same. The reasons are mostly caused by
the lack of scientific research of the program
budgeting mechanisms that function in a whole
range of interconnected relation patterns, such as
administrative, financial, economic, social and
political.
Research of theoretical and practical aspects
of social and economic content of the budget,
program budgeting, including those concerning
the efficient public administration concept, has
already become the subject of a series of works
by Russian and foreign economists (Afanasyev
et.al., 2010; Ovchinnikova and Indutenko, 2007;
Shvetsov Yu.G., 2012, Joyce et al., 2010). However,
the problem of forming a program budget in
the context of the system of interconnected
administrational, financial and social relations and
Corresponding author E-mail address: msn2004@list.ru
© Siberian Federal University. All rights reserved
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in the framework of the concept of efficient public
administration of the social sector of economy
still remains unexplored. It requires additional
research aimed at providing the transformation
of the public (municipal) finance management
system on the basis of creating adequate program
budgeting mechanisms and conditions for
effective and efficient use of budget funds when
providing public (municipal) services.
Development
of methodological principles
of program budgeting
and budget programs classification
The first attempts of implementing program
budgeting were made in the USA, in the 1950s.
During the 1960s almost 50 states turned to
various kinds of program budgeting. All the
developing countries followed the developed
countries; so, by the end of the 1960s almost all
Latin American, many Asian and some African
states had changed their budgeting principles for
program budgeting. In 2010, Ukraine and Belarus
also started program budgeting (Afanasyev et al.,
2010).
To our mind, the methodology of program
budgeting should be understood as a complex
of theoretical and legally regulated principles of
social relations that occur in the process of budget
formation and utilization. In its turn, the program
budget is a form of gathering and spending funds
for executing functions and solving tasks of the
state and the local authorities on the basis of the
target program method.
A budgeting program is a systemized series of
measures aimed at reaching one certain purpose,
and a number of tasks, the performance of which
is offered and provided by the budget funds
controller according to the assigned functions.
The difference between the program budget and
the traditional budget is that all or almost all the
expenses are included into the programs, and
each program is directly connected to this or that
strategic result of the activities carried out by the
institution (Afanasyev et al., 2010).
The base of the program budgeting consists
of the following methodological principles
(Afanasyev et al., 2010).
The principle of expediency and information
richness manifests itself in systematic gathering
and managing information about the results of
the programs implemented in the process of the
budget preparation.
The information sufficiency principle means
recognizing the limitedness of financial and
human resources for constructing an information
system that provides complex assessment of the
programs.
Integration principle. The monitoring data
of the current programs are to be integrated into
the budget process in order to review the budget
policy key points, or to modify or replace the low
priority programs on time.
The synergy and cooperation principle is
confined to the information exchange between
the solution initiators and those who bear
responsibilities for approving the solutions,
and also in the complexity of the approach to
budgeting on the federal level.
The management flexibility principle. The
implementation of this principle timely adapts
the structural units responsible for putting
the programs into practice to the changing
conditions.
It is worth mentioning that these principles
are organizational and management principles
as they characterize the program budgeting as
a continuous process of budgeting programs
management. We suggest that they should be
complete with organizational and methodological
principles that allow developing some certain
algorithms of actions for the authorities to form and
utilize program budgets: conjugacy, autonomy,
completeness and composition principles.
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The principle of program budgets conjugacy
with administrative functions of public
(municipal) administration.
State authority is not implemented by itself.
It is implemented through actions of different
kinds that manifest its purpose and concept.
Due to the competence secured to them, the
state authorities have the opportunity to act
in this or that way in these or those situations.
Making this opportunity come true assumes
carrying out some intensive actions (like making
a decision, reviewing and accepting a citizen’s
complaint, performing registration, controlling
and supervising functions etc.).
Such actions reflect the gist of the public
and administration functions: regulatory control
of the corresponding sphere (branch); control
and state-owned property management; public
(municipal) services.
The budget program of the authority that
is responsible for public (municipal) services
basically differs from that of the control and
supervision authority in the corresponding
sphere. These differences are to be taken into
consideration while developing some specific
methods of forming program budgets.
The autonomy principle. The objectives,
tasks, and measures of one program cannot
repeat the objectives, tasks and measures of
another. Expenditure commitments of the budget
programs also cannot be the same.
The completeness principle. The principle
determines the necessity of reflecting all the
expenses in the budget expenses programwise for every successive fi nancial year and
scheduling period (in the budget classification).
Unlike traditional, the program budget is
developed on the basis of expenses classification
program-wise (or according to the purposes
or kinds of public services), not on the basis
of `budget items (salaries, materials, services
cost etc.). The program structure is a way of
describing expenses in the context of reaching
the set objectives and performing tasks. The
strategic objectives of the state manifest
themselves as specified events and results of the
executive authorities’ activity.
The composition principle. The principle
determines the necessity of coordinating the
objectives of the budget programs and the forecasts
(plans) of the social and economic development.
The objectives of the budget programs are aimed
at financial provision of the objectives of a higher
level: social and economic development of the
state concerning all the subjects of its economic
system. Budget programs support the liabilities
that are set by the state in order to regulate some
certain kinds of economic activity, to provide
social security for the population and to offer
public services.
In order to implement the organizational,
management and methodological principles it
is necessary to classify the budget programs
according to different criteria in order to reveal the
relevant features of every group, their differences
and similarities that have to be considered when
developing the methodological support for the
elements of the program budgeting model.
At the moment there are various trends
and classifications of target programs according
to their objectives, terms, formation levels etc.
(Molchanova, 2010). However, for the purposes
of program budgeting it is necessary to clarify
the existing criteria (formation level, terms,
objectives) and to point out the additional ones
(number of chief managers, performed tasks).
We offer the following classification of
budget programs.
According to the managing level:
- federal programs (formed on the federal
level and financed by the federal budget);
- regional programs (formed on the
regional level and financed by the regional
budget);
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- municipal programs (formed on the
municipal level and financed by the local
budget).
According to the implementation time:
- short-term programs (1-2 years);
- medium-term programs (3-4 years);
- long-term programs (over 5 years).
According to the number of the chief
controllers of the budget funds:
- one-authority programs (only one
controller who is responsible for the
program implementation);
- multiple-authority programs (several
controllers, one of which is assigned
the functions of a coordinator and
bears responsibility for the program
implementation).
According to the objective:
- social and economic programs (aimed at
changing one or several characteristics of
a public (municipal) service, achieving
important social and economic results);
- scientific and technical programs (aimed
at implementing the achievements of
science and technology in the national
economy);
- environmental programs (aimed at
preserving the environment);
- organizational
and
management
programs (aimed at improving the state
and municipal management).
According to the performed tasks:
- tactic programs (offering solutions of the
current operational management issues);
- strategic (investment) programs (offering
solutions for long-term issues of strategic
management).
With due consideration of the principles
of program budgeting and the classification
characteristics of various budget programs, we
offer the conjugacy (interconnection) rules for the
programs budgets and administrative functions of
the public (municipal) administration (Table. 1).
Conjugated programs and functions are marked
with the “+” sign, non-conjugated programs and
functions are marked with the “-” sign. The chief
controller of the budget funds (authority body)
should not form programs that are not conjugated
with his administrative functions.
Source: developed by the author
Ministries and services should not form
social, economic, science, technology and other
“substantial” programs, because the role of these
bodies in the public (municipal) administration
is the provisional. They provide legal regulation
and control over the rules set while achieving
the objectives, performing the tasks under other
programs of social and economic development of
the territory.
Let us study the practice of forming program
budgets in the process of regional (belonging
to a subject of the Russian Federation) finance
management and evaluate it from the point
of view of theoretic principles and program
budgeting rules.
Program budgeting practice evaluation
in the process of regional
finance management
(based on the Krasnoyarsk region)
In the Krasnoyarsk region the transfer to
target program methods of budget planning
and utilizing has been in the process of
implementation since the year 2006. The order
of development, approval and implementation
of the target programs has been accepted, the
required figures for assessment of the results
of the departments’ performing their functions
and tasks has been reached. The fi rst target
programs were accepted for the period 20072009. Regional target programs formed as a
part of the regional budget of the Krasnoyarsk
region before the year 2009 were transformed
into long-term programs.
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Table 1. Conjugacy rules for program budgets and administrative functions of the public (municipal)
administration
The authority performing the administrative functions
Legal regulations
(ministry)
Control and
supervision
(service)
Property
management
(agency)
Public services
organization
(agency)
Social and economic
-
-
+
+
Science and technology
-
-
+
+
Kind of program
environmental
-
-
+
+
Organization and management
+
+
+
+
Tactic
+
+
+
+
Strategic
-
-
+
+
One-authority
+
+
+
+
Multiple-authority
-
-
+
+
Short-term
+
+
+
+
Medium-term
+
+
+
+
Long-term
-
-
+
+
Federal
+
+
+
+
Regional
+
+
+
+
Municipal
+
+
+
+
Forming the regional budget of the
Krasnoyarsk region for the years 2012-2014, 44
chief controllers of budget funds were assigned;
they included 15 ministries, 11 services, 10
agencies and 8 bodies of other kinds (Legislative
Assembly of the Krasnoyarsk Region, Election
Committee etc.). 16 one-authority programs
and 51 long-term target programs are being
implemented at the moment.
Let us study the formation of the program
budget for 2012-2014 on the example of the
Ministry of Education and Science of the
Krasnoyarsk region. It is worth noticing that the
Ministry deals with educational institutions that
provide public education services. Therefore, one
authority body concentrates the functions of both
legal regulation and public service provision.
This situation is typical of the majority of the
Ministries of the Krasnoyarsk region (Ministry
of Culture, Ministry of Social Policy, Ministry of
Health etc.).
Table 2 presents the budget of the Ministry
of Education and Science of the Krasnoyarsk
region for the year 2012.
Source: developed by the author on the base
of the Krasnoyarsk region Law dated 01.12.2011
No. 13-6649 “On Regional Budget for the Year
2012 and Planning Period of 2013-2014”
The basic criterion of forming (classifying)
the expenses of the regional budget is an authority
(body). For example, the Ministry of Education
and Science of the Krasnoyarsk region is coded
as 075. Therefore, the expenditures of the regional
budget are a sum of the expenditures of all the
44 bodies that act as the chief controllers of the
budget funds.
Further, for each of the authorities the budget
items are divided into sectors that represent the
activity spheres. For example, national economy,
education, health etc. Within each sphere there
are separate branches (subsectors). For example,
fuel and energy complex, pre-school education,
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Table 2. Budget of the Ministry of Education and Science of the Krasnoyarsk region for the year 2012.
The titles of the main controllers
and the budget classification items
Ministry of Education and Finance of the Krasnoyarsk
region
Education
Authority Section,
Expenses for 2012,
code
subsection in thousands of roubles
075
-
25758955,3
075
0700
23140849,5
Pre-school education, including:
075
0701
690866,7
Long-term target programs (2 programs)
075
0701
323642,7
General education, including:
075
0702
16910452,8
Long-term target programs (7 programs)
075
0702
480920,6
Primary vocational education, including:
075
0703
2389702,1
Long-term target programs (3 programs)
075
0703
46403,0
Secondary vocational education, including:
075
0704
1861015,7
Long-term target program (1 program)
075
0704
20250,0
075
0705
183895,0
33153,0
Professional training, occupational retraining, advanced
professional training, including:
Federal target program
(1 program)
Higher and post-graduate professional education
075
0705
075
0706
43192,0
Youth policy and children’s health, including:
075
0707
459291,6
Long-term target program (1 program)
075
0707
47088,5
Other education issues, including:
075
0709
602433,6
Long-term target programs
(4 programs)
Culture, cinematography
075
0709
11568,9
075
0800
4637,7
Culture
075
0801
4637,7
Social policy
075
1000
2613468,1
Social service
075
1003
848939,5
Family welfare
075
1004
1764528,6
stationary medical assistance etc. The titles of the
sectors and subsectors, along with their codes,
are assigned by the Budget Code of the Russian
Federation, they are the same for all the budgets
of the budget system of the RF. In total, it foresees
14 sectors and 100 subsectors.
For the year 2012 the Ministry of Education
and Science of the Krasnoyarsk region foresees
expenses for all the subsectors of the sector 0700
“education” except the subsector 0708 “applicable
scientific research in the sphere of education”.
Except the expenses under the sector 0700
“education”, the Ministry foresees expenses
under the sectors 0800 “culture, cinematography”
and 1000 “social policy”.
Under
the
sector
0800
“culture,
cinematography”, the funds are distributed between
the budget institutions – palaces and houses of
culture in the form of subsidies for performing a
certain task etc. (subsection 0801 “culture”).
Under the sector 1000 “social policy”,
subsector 1003 “social security of the population”
the Ministry compensates a part of the interest
on education credits of the citizens and presents
subsidies to municipal bodies for carrying out
the state functions of providing orphans with
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social support, maintaining municipal preschool education institutions without charging
parents etc.
The sector 1000 “social policy”, subsector
1004 “family welfare” foresees the Ministry
expenses on lump-sum payments to citizens
who adopted an orphan, on carrying out current
maintenance of residential premises of orphans
etc.
Therefore, the Ministry of Education and
Science of the region finances not only expenses
on education, but also expenses in other branches
of the state authority bodies’ activity.
Within the Ministry’s expenditures structure
there are 19 long-term target programs that include
1 federal target program with the total volume
of expenses of 963,026.7 thousand roubles. So,
the program expenses in the total volume of the
Ministry’s expenses constitute only 3.7% (Table
3). Such a situation is typical not only for the chief
controllers (authorities) of the regional budget of
the Krasnoyarsk region. In total, the expenses on
the long-term target programs count up to 18.7%
of all the expenses of the regional budget for
the year 2012. In this case, we can speak of the
program budget only conditionally.
Besides the long-term target programs, the
head controllers of the budget funds develop
governmental target programs. Governmental
target programs contain a list of tasks, measures,
results and are included into the Budget Law as a
separate appendix.
Expenses under the 16 governmental target
programs of the Krasnoyarsk region by the year
2012 count up to 114,945,781.2 billion roubles or
79% per cent of the total expenses of the regional
budget. As a result, we get the program budget, as
the program share is quite considerable.
Evaluating the practice of forming the
program budget from the positions of theoretic
principles and program budgeting rules, it is
possible to make three remarks.
The first remark. The expenses of
governmental target programs are not distributed
according to the sectors and subsectors of the
budget classification and are not included into the
essential part of the Budget Law, the governmental
structure of the budget expenses.
The Ministry of Education and Science of
the Krasnoyarsk region has developed only one
governmental program “Development of General
and Professional Education in the Krasnoyarsk
Region” for the years 2012-2014. The expenses
are 27,351,304.4 thousand roubles.
In the expenditures part of the regional budget
(for the Ministry of Education and Science of the
Krasnoyarsk region) there is no single line that
would reflect the expenses for the governmental
target program “Development of General and
Professional Education in the Krasnoyarsk
Region” for the years 2012-2014 (Table 2).
Let us assume that the expenditures for the
only governmental program are the expenditures
of the Ministry. Therefore, they must match, but
they do not. The expenses on the governmental
target program are more than those submitted
to the Ministry as to the chief controller of the
budget funds.
In the present case, the principle of complete
reflection of the program expenses in the budget
expenses classification was violated. The rules of
the program and administrative body functions
conjugation were not followed as well, because
the program sets general tasks both for the legal
regulation of the education sphere provision of
public education services and methodology of
their formation. As a result, the efficiency of
implementing the program-focused principle
of budget planning is decreased, it does not aid
increasing the efficiency and effectiveness of the
authority bodies’ activity.
The second remark. The governmental
target program includes expenses on the
implementation of long-term target programs for
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Table 3. Expenses for the governmental target program of the Ministry of Education and Science of the Krasnoyarsk
region for the year 2012.
Item
2012
Expenses for implementation of the governmental target program “Development of
General and Professional Education in the Krasnoyarsk Region” for the years 20122014, in thousands of roubles, including:
Long-term target programs (4 programs)
27351304,4
the corresponding year. As a result the expenses
for the long-term program are counted twice: in
the governmental program and in the expenses
part of the budget (the chief controller of the
budget funds).
For example, the governmental target
program of the Ministry of Education and
Science of the Krasnoyarsk region “Development
of General and Professional Education in the
Krasnoyarsk Region” for the years 2012-2014
includes expenses of 4 long-term programs (Table
3). Three of them match in the title and so match
the expenses sum with the expenses included
into the budget of the chief controller (Table 2).
However, one “new program” is foreseen too:
“Development of Social Sphere Objects, Capital
Repair of the Communal Infrastructure Objects
and the Housing Fund of Municipal Entities of
Norilsk City and Taimyr Municipal District”
for the years 2011-2020, the chief controllers of
which are: the Ministry of Housing Maintenance
and Utilities of the Krasnoyarsk region, the
Ministry of Construction and Architecture of
the Krasnoyarsk region, the Ministry of Sport,
Tourism and Youth Policy of the Krasnoyarsk
region.
Source: developed by the author on the
basis of the Resolution of the Government
of the Krasnoyarsk region dated 29.11.2011
No. 1038-p “Governmental target program
“Development of General and Professional
Education in the Krasnoyarsk Region” for the
years 2012-2014.
45663,0
Let us remind you that the Ministry of
Education and Science of the Krasnoyarsk region
is the chief controller of 19 long-term programs,
while only three of them are included into the
governmental target program.
In this case, the autonomy principle is
broken. Expenditure commitments of the budget
programs cannot match. The present situation
occurs as a result of the absence of a legally fixed
transparent classification, definition system and
specific features of budget programs.
In our opinion, the current classification
of the target budget programs presented in the
Budgeting Code of the Russian Federation (into
governmental and long-term) has some serious
disadvantages which determine the errors in the
methods of their formation both on the regional
and the municipal levels. The main feature of
a long-term target program is considered to
be the period of its implementation, while a
governmental program assumes its belonging to
the only chief controller of the budget funds. The
absence of the specific features of long-term and
governmental target programs in the Budgeting
Code is compensated with various interpretations
and formation methods driven out by regional and
municipal regulatory legal acts (as we can see,
some of them are not necessarily theoretically
substantiated).
The third remark. Expenses for one sphere of
the state administration are distributed between
several main controllers of the budget funds
(authorities). There is no centre that would bear
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the responsibility for achieving certain results in
the corresponding sphere (in the current example,
it is education).
For example, education expenses for 2012,
are foreseen, besides the Ministry of Education
and Science of the Krasnoyarsk region, also by
11 chief controllers (the Ministry of Culture, the
Ministry of Health, the Ministry of Social Policy
etc.) for the total sum of 24,395,973.4 thousand
roubles, which is comparable to the expenses of
the Ministry of Education (25,758,955.3 thousand
roubles).
For the present case, the principles of
synergy and cooperation are broken. On one
hand, medium-term planning in the “education”
sector is duly considered to be the source of
necessary information for other distributors of
the budget funds. On the other hand, the plans
and forecasts of social and economic development
act as a tool of priority setting for the programs
in some certain sectors (education, health etc.).
Program budgeting requires institutional unity
of the budgeting process planning, for example,
by means of combining the mentioned functions
within one authority.
Conclusion
The present practical problems and
disadvantages of forming program budgets
have proved the need for scientific researches of
methodology of program budgeting in the context
of the interconnection of the administrative,
financial and social relations within one
system, in the framework of the efficient state
administration concept that works for the social
sector of the economy.
Designing a new program classification of
budget expenses and the methods of forming
governmental, long-term and other budgeting
programs must boost the increase of planning,
budgeting, accounting, reporting and auditing
processes quality. It requires additional scientific
researches aimed at creating methodological
support for transforming the public (municipal)
finance management system on the basis of
forming adequate mechanisms of programs
budgeting and conditions for effective and
efficient utilizing of the budget funds while
providing public (municipal) services.
This way, building up a new program
budgeting system is a key point in putting the
measures foreseen by the modern budget policy of
the Russian Federation into practice. The success
of that mainly depends on the system approach to
carrying out the reforms that would cover such
branches and administrative reform, budgeting
process reform, public and municipal bodies
reform. The key advantages of this approach,
in comparison with the traditional one, are:
increasing the fiscal stability and efficiency of
the branch authorities’ activity; closer connection
between the budget and the strategic objectives of
the social and economic development of a publiclaw entity.
References
Budgetary Code of Russian Federation [Electronic resource]: RF Federal Law оf 31.07.1998 №145ФЗ. Access is available via information legal service “Consultant plus”, (in Russian).
Program efficiency of budget expenditures for the period till 2012 [Electronic resource]: RF
Government Resolution on 30.06.2010. № 1101-р. Access is available via information legal service
“Consultant plus”, (in Russian).
On the regional budget for 2012 and the planning period 2013-2014 [Electronic resource]: The law
of the Krasnoyarsk Territory of 01.12.2011 №13-6643. Access is available via information legal service
“Consultant plus”, (in Russian).
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On approval of the departmental target program «Development of the general and professional
education of Krasnoyarsk region” for 2012-2014 [Electronic resource]: disposal of the Government
of Krasnoyarsk Territory of 29.11.2011. № 1038-р. Access is available via information legal service
“Consultant plus”, (in Russian).
M. Afanasyev, B. Alekhin, A. Kravchenko, P. Kradinov, “The program budget: the purposes, tasks,
classification and construction principles”, The Financial magazine, 3 (2010), 5-18, (in Russian).
N. Molchanova, “Application of a program and target method in regulation of investments at
regional level”, Audit and the financial analysis, 1 (2010), 269-274, (in Russian).
O. Ovchinnikova, A. Indutenko, “The budgetary management in the conditions of formation of
system of the budgeting focused on result”, Finance and the credit, 30 (2007), 2-8, (in Russian).
P. Joyce and S. Pattison, “Public Budgeting in 2020: Return to Equilibrium, or Continued
Mismatch between Demands and Resources?”, Public Administration Review, 70 (1) (2010), 24-32.
Yu. Shvetsov, “State budget and the needs of society”, Finance and the credit, 1 (2012), 49-56, (in
Russian).
Развитие методологических принципов
программного бюджетирования
для эффективного управления
государственными финансами
С.Н. Макарова
Сибирский федеральный университет
Россия 660041, Красноярск, пр. Свободный, 79
Статья посвящена проблемам управления государственными финансами. Одним из
направлений повышения эффективности управления является использование программных
бюджетов. Нами разработаны методологические принципы программного бюджетирования
и классификация бюджетов.
Ключевые слова: управление, государственные
эффективность, программное бюджетирование.
финансы,
принципы,
классификация,
Copyright ОАО «ЦКБ «БИБКОМ» & ООО «Aгентство Kнига-Cервис»
Journal of Siberian Federal University. Humanities & Social Sciences 10 (2012 5) 1419-1427
~~~
УДК 330.1:338.49
A Study of the Institutional Environment
Through Economic Analysis of Regulations
on the Example of the Infrastructure
for Population Living Conditions
Igor S. Pyzhev, Vladislav N. Rutskiy
Ekaterina N. Tanenkova and Nadezhda V. Ustyugova*
Siberian Federal University
79 Svobodny, Krasnoyarsk, 660041 Russia 1
Received 24.07.2012, received in revised form 07.08.2012, accepted 24.09.2012
In the paper research on the institutional environment of infrastructure is carried out on the example
of transportation and architectural complexes of infrastructure for population living conditions of
the Krasnoyarsk Krai. A modification of the well-known method of economic analysis of regulations
is used as a research tool which is supplemented with a special algorithm based on a combination of
neo-institutional and system-reproduction approaches. As a result the trends of relevant institutional
change are revealed.
Keywords: infrastructure for population living conditions, infrastructure subjects relations,
infrastructure goods, economic analysis of regulations, institutional analysis.
The present paper is prepared under the grant of KSAI «Krasnoyarsk Regional Fund for Scientific
and Technical Activity Support» provided to Siberian Federal University in 2011 for the research
project «Elaboration of Strategy for Infrastructure for Population Living Conditions Institutional
Development Encouraging Qualitative Economic Growth of the Krasnoyarsk Krai».
Introduction
The system of relations among subjects
of the infrastructure for population living
conditions consists of functionally interrelated
stationary behavioral strategies of infrastructure
goods manufacturers and suppliers of
needed resources, goods consumers, public
organizations, government bodies and local
authorities. Along with it the simultaneous
engagement and active participation of relevant
subjects in the infrastructure reproduction create
*
1
need for institutional dimension analysis of their
interactions.
Economic analysis of regulations
as a tool for research of institutions
of the infrastructure
for population living conditions
A wide range of problems arising in the
implementation of the infrastructure potential in
our view can be solved within the institutional
environment and relevant institutional change.
Corresponding author E-mail address: igsep@yandex.ru
© Siberian Federal University. All rights reserved
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Moreover institutions are able to resolve
existing problems as well as create new ones.
Here are some considerations that confi rm these
assumptions.
In the first place the relations among
infrastructure subjects cannot be fully regulated
by any one group of institutions (e.g., market or
planning) and depend on the specific situation of
the production, distribution or consumption of
infrastructure goods by groups of business, social
and public subjects in the sectoral and territorial
aspects of their interactions. An adequate analysis
of these relations requires establishing a hierarchy
of norms and institutions (Volchik, 2009; Levin,
2007; Kleiner, 2004).
Secondly the content of routines as basic
elements of infrastructure institutions (Nelson,
Winter, 2002; Hodgson, 2003) and relevant norms
formed from routines is determined by the mutual
influence of rational and societal imperatives
of relations of subjects of the infrastructure for
population living conditions (Kirdina, 2000;
Polterovich, 2007).
Thirdly institutions as restrictive or
stimulating rules of individuals’ behavior are
based not only upon routines which formed norms
but also upon related enforcement mechanisms to
guarantee norm implementation by incentives and
sanctions. Therefore there is another important part
of the institutional analysis of the infrastructure
for population living conditions which
consists in the set of coordination mechanisms
(Hayek, 1992) which combine elements of
the five basic forms – “market”, “hierarchy”,
“relational contracting”, “collective action”
and “community” (“reciprocity”). These forms
differ in the alternative features of institutional
characteristics centralizing or decentralizing
relations among subjects in various situations
and with varying efficiency (Commons, 1931;
Eggertsson, 2001). Using the same coordination
forms in some cases can facilitate the efficiency
of human and infrastructure capital reproduction,
while in others – deteriorate the efficiency. This
causes a wide variety of coordination forms
(Sapir, 2001; Simon, 2000).
Fourthly the institutional changes in the
infrastructure are derived from the social and
technological change providing the information
about the future is incomplete (North, 1997;
Alchian, 1950). Institutional change implement
through identifying of the possible and the most
likely alternatives of borrowing, spontaneous
invention and conscious design of norms and
institutions, which may occur on the basis of
mechanisms of political (Afontsev, 2010) or
institutional market (Pejovich, 1996; Tambovtsev,
2001).
The above considerations clearly imply
that the study of institutional environment of a
complex socio-economic system can be carried
out on the basis of a systematic approach by
analyzing norms and institutions, assessing its
feasibility and efficiency, identifying trends of
institutional change.
As is well-known an institutional approach to
economic analysis of regulations is implemented
under the economic theory of law, which formed
the specific direction of interdisciplinary research
– an economic analysis of law (Coase, 2007;
Posner, 2004; Economic analysis of regulations,
2001). The essence of the desired analysis is
assessment of existing or designed regulations
for that what benefits and costs of actual or
projected performance of norms contained in
regulations for addresses and guarantors. To
designate the components of the institution as an
actual regulation we should use logical scheme
containing a set of the following elements: the
prescribed action (norm content), the conditions
of norm application, the addressee, the sanctions,
the guarantor of the norm implementation,
the enforcement mechanism (Elster, 1993;
Tambovtsev, 2005).
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Economic analysis of regulations is carried
out in two directions (Economic analysis of
regulations, 2001):
1) efficiency which implies comparison of the
costs and benefits for addressees and guarantors
of institution norms versus the case of alternative
institution or the case of institution absence;
2) feasibility which implies unambiguity
of the institutional components, the societal
acceptance of institutions and consisting norms
– its conformity with interests and culture of
the concrete special interest groups as well as
availability of financial, information, temporal
and other resources owned by addressees
and guarantors and needed for successful
implementation of norms.
It should be noted that there can be
transformation and transaction costs. Besides
benefits can also be direct (compensation for goods
sold) or indirect (economy of transformation or
transaction costs).
In accordance with modern neo-institutional
theory there could be four types of institutions
as specific objects of analysis of some sphere of
economic relations:
• formal institutions that regulate the
relations of indefinite group of subjects
(legislative acts, regulations);
• formal institutions that regulate the
relations of definite group of subjects (the
components of specific contracts, formal
organizations with defined membership,
etc.);
• informal institutions that regulate the
relations of definite group of subjects (nonformal organizations and associations,
etc.);
• informal institutions that regulate the
relations of indefinite group of subjects
(customs, conventions, etc.).
Each of these institution types does not exist
in isolation from other types but complies with
institutional organization within the economic
order implying the possibility of institutions to
replace and complement each other. In the basis of
institutional structure there are formal institutions
for indefinite number of subjects – legal acts of the
legislative (independent) and the sub-legislative
(subordinate) type which provide the basic rules
within sectors and levels of economic relations
regulated with the prevalence of rational motives
of decisions made. The relevant norms form the
basis of the institutional order within the economic
system. The next segment of institutional
structure comprises of formal institutions for
definite groups of subjects which, on the one
hand, imply compliance with the institutions of
the first type, but on the other hand, specify the
specific relationships for the sake of reducing
the uncertainty of future benefits and costs. The
institutional components of informal institutions
for definite groups of subjects are even more
specific as far as societal (corresponding to the
culture) factors play a significant role within such
groups. Wide but vaguely perceived institutional
components are typical for informal institutions
and indefinite groups of subjects, where societal
factors of relations are the most powerful and
transform directly into the culture of subjects and
non-economic spheres of relations.
The study of any institutional structure
should represent a modeling of the norms and
institutions hierarchy, figuring out what the extent
to which the constitutive and derivative norms
and institutions match each other, how correlated
and how efficient norms and institutions are, and
what are the norms enforcement mechanisms.
In order to form the initial data needed for
analysis of the specific institutions, regulating
reproduction of the primary infrastructural
goods, in our view it is sensible to complement
neo-institutional approach for describing
institutions as the equilibriums among private
transactions (Tambovtsev, 2011) with a system-
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reproduction approach towards economy as a
whole. The combination of these approaches
allows us to formulate a special algorithm for
the institutional analysis of infrastructure.
It consists of separation of relations’ types
(special interest groups involved in the goods
reproduction and numbered among producers,
consumers and regulators), relations objects
(goods to be exchanged in transactions of
producers, consumers and regulators), subjectobjects characteristics of relations (operations
accomplished with good, stage of good
reproduction). Then the institutions defining
transactions should be described in accordance
with the developed logic scheme. On this basis
we can assess the success of the transactions with
regard to the institutions applied (the benefits and
costs of institutions implementation, its ratio).
The results of analysis
of the institutional environment
of transportation
and architectural complexes
of the infrastructure
for population living conditions
of the Krasnoyarsk Krai
Capabilities of economic analysis of
regulations as a tool for research of institutions of
the infrastructure for population living conditions
have been implemented on the example of the
region. The format of this paper does not allow
us to expound the results of the work performed
by the authors within the research project
«Elaboration of Strategy for Infrastructure
for Population Living Conditions Institutional
Development Encouraging Qualitative Economic
Growth of the Krasnoyarsk Krai», so we should
briefly state the main ones.
The Krasnoyarsk Krai can be characterized
by a number of specific trends in the infrastructure
for population living conditions of the region
because it has a significant natural resource
potential, demonstrates an extensive growth of
basic raw materials export-oriented industries.
At the same time the region is characterized by
underdevelopment of the derivate industries,
demonstrates strong differentiation of socioeconomic indicators of industries and territories,
high dependence on the external environment,
and imbalances in the structure of consumption
and accumulation (Assessment of strategic
competitiveness…, 2011; Regional socioeconomic system…, 2009).
When writing the study we systemized formal
norms and institutional arrangements regarding
the production, distribution and consumption of
relevant infrastructure goods. Economic analysis
of institutions within infrastructure industries
was held in the Krasnoyarsk Krai within the
primary industries of the infrastructure for
population living conditions – transportation
complex and architectural complex which
consists of construction and renovation of housing
stock, housing and communal services. These
complexes demonstrate much of the well-known
institutional problems (Pyzhev I.S., RutskiyV.N.,
Goryachev V.P., 2011).
All subjects of an integrated regional
economy (business, social, public) play specific
roles (producers, consumers and regulators) in the
reproduction of the infrastructure goods, which
applies equally to primary, secondary and tertiary
industries of the infrastructure for population
living conditions (Pyzhev I.S., RutskiyV.N.,
Goryachev V.P., 2011). The role of the consumers is
partly played by social subjects (households). The
producers that supply ready-made infrastructure
goods and intermediate components comprise of
business and public subjects (the private, state
and municipal enterprises and the state and local
government agencies). The regulators primarily
act as public subjects (state agencies and local
government), but can also act as social subjects
(non-profit organizations or NGOs).
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In accordance with these roles, we can talk
about the possible existence of seven types of
cross-relations and related subjects transactions.
Analysis has shown that relationships between
subjects actually take place in most spheres of
infrastructure goods reproduction: “producersconsumers”, “producers-regulators”, “consumersconsumers,” “consumers-regulators”, “regulatorsregulators”, “producers-consumers-regulators”.
The sphere of relations “producers-producers” is
not covered by existing regulations. The subjects
conditionally combined on the basis of their roles
represent special interest groups (SIG).
Regulations governing the transportation
complex mostly focused on the regulation
of manufactured, distributed and consumed
goods. Manufactured goods include: provision
of civil aviation services, freight, aviation
security. Distributed goods include: state fees
payment, provision of licenses and certificates of
compliance, budget assignations, social support.
Consumed goods include: purchase of tickets,
transportation of baggage, cargo and passengers
services, using of vehicles. The authors studied 49
(the number of norms is 444) legal acts regulating
relations in the sphere of transportation of the
region. The total number of connections between
acts is 75.
It is revealed that in the sphere of
transportation, namely, within the legal acts
considered sanctions to be implemented in
case of norm violation are not always clarified.
Definiteness of the norms content is quite high
(up to 100 % of cases), but at the same time, the
conditions of norms application are identified
in less than 30 % of cases. The efficiency
and feasibility of regulations governing the
relationships between subjects in the transport
complex of the region are not sufficient for
high-quality reproduction of the infrastructure
goods, as much of special interest groups are
weakly (not more than 30 % of cases) involved
in the regulated relationships. On the other hand,
in all aspects of relationships the majority of
institutional components stay weakly (not more
than 30 % of cases) or moderately (from 30 to
70 % of cases) identified and moderately (from
30 to 70 % of cases) defined with regard to role
of infrastructure subjects, therefore, it is difficult
to calculate benefits and costs incurred by
regulations for specific spheres of relationships.
Legal acts in the sphere of housing and
communal services regulate the following
types of goods: manufactured and distributed.
Manufactured goods include: utility services,
water supply and drainage, the removal of
municipal solid and liquid waste, gas supply,
heat supply, electricity supply. Distributed goods
include: subsidies and grants for the development
of design documentation and construction of
solid waste landfills, subsidies for compensation
of expenditures of apartment houses capital
repair and renovation of yard areas, subsidies
for housing and communal services payment,
as well as additional measures of social support
for housing and utilities services payments. The
authors studied 57 (the number of norms is 564)
legal acts regulating relations in the sphere of
housing and communal services of the region.
The total number of connections between acts
is 65.
It is revealed that in the sphere of housing
and communal services, namely, within the legal
acts considered sanctions to be implemented in
case of norm violation are not always clarified.
The guarantors in the spheres of housing and
communal services in all aspects of relationships
in 100 % of cases are the regulators (all levels of
government, or its authorized agencies).
Definiteness of the norms content and norms
objects is quite high (almost in 100 % of cases)
in all aspects of the relationship of housing and
communal services. However, definiteness of
conditions of norms application and sanctions
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governing the production and distribution of
goods in all spheres of relationships is very low
(less than 30 % of cases). However the interests of
the consumers are hardly taken into consideration
in the norms governing the production of
housing and communal services, construction
and renovation of housing stock of the property
owners. The same can be said about norms
governing the allocation of financial resources,
including grants for the reimbursement of costs
to organizations engaged in capital repair and
renovation, production of energy services and
lifts. Interests of the producers and regulators of
all types of services are moderately taken into
consideration (from 30 up to 70 % of cases). It
is interesting that in the norms governing the
allocation of financial resources in the form
of subsidies for social support the interests of
executive agencies are taken into account at the
moderate level, and interests of the population
as recipients of grants are almost not taken into
account.
The analysis has shown that the efficiency
and feasibility of regulations governing the
relationships between subjects in the housing and
communal services industries of architectural
complex of the infrastructure for population
living conditions of the Krasnoyarsk Krai are
not sufficient for high-quality reproduction of
the relevant infrastructure goods, as much of
special interest groups stay weakly involved in
the regulated relationships. On the other hand,
in all aspects of relationships the majority
of institutional components and the role of
institutional subjects are moderately defined,
therefore, it is difficult to calculate benefits and
costs incurred by regulations for specific spheres
of relationships.
Legal acts in the sphere of construction
and renovation of housing stock regulate the
following types of goods: manufactured,
consumed and distributed. Manufactured goods
include: the design of buildings and facilities on
the basis of safety, construction, reconstruction
and capital repair of buildings and facilities,
development of operating instructions for an
apartment house, engineering and survey work,
technical specifications, the connection of capital
construction object to the network engineering
and technical support; spatial planning, replanning and reconstruction of the dwelling,
the development of regional standards for urban
planning, cadastral work. Consumed goods
include: the use and maintenance of premises for
the personal use of residence. Distributed goods
include: grants for capital repair of the premises
owners common property and the entrances to
apartment houses and repairs itself, the investment
projects, providing of living quarters from the
regional housing stock, social welfare payments
for the purchase or construction of housing for
young families, providing the service premises;
social payment for the purchase or construction
of housing for the members of targeted programs,
including veterans, financial aid for construction
or purchase of individual houses, co-financing
of the apartment houses capital repair, grants
for capital repair of engineering infrastructure,
the privatization of housing stock. The authors
studied 60 (the number of norms is 1302) legal
acts regulating relations in the sphere of housing
and communal services of the region. The total
number of connections between acts is 85.
The analysis of regulations in the sphere
of construction and renovation of housing stock
has shown that the sanctions to be implemented
in case of norm violation are generally not
clarified. The guarantors in the sphere of
construction and renovation of housing stock
in all aspects of relationships in 100 % of cases
are the goods reproduction regulators. In most
spheres of relations sanctions are rather diffused.
Definiteness of the norms content and norms
objects is quite high (almost in 100 % of cases) in
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all spheres of the construction and renovation of
housing stock. However, definiteness of conditions
of norms application and sanctions governing the
production, consumption and distribution of goods
in all spheres of relationships is sufficiently low.
The interests of the consumers of goods are hardly
taken into consideration in the norms governing
the production of construction and renovation of
housing stock of the property owners, except for
regulating the distribution of financial resources
and social support (from 30 to 70 % of cases).
However, the interests of regulators considered in
above the average number of cases (from 70 to
100 % of cases).
Thus it can be argued that the efficiency
and feasibility of regulations governing
the relationships between subjects in the of
construction and renovations industries of
architectural complex of the infrastructure for
population living conditions of the Krasnoyarsk
Krai are not sufficient for high-quality reproduction
of the relevant infrastructure goods, as much of
special interest groups stay weakly or moderately
involved into the regulated relationships. In all
aspects of relationships the role of institutional
subjects are moderately and weakly defined, but
the majority of institutional components remain
moderately and highly defined, what facilitates
calculations of benefits and costs incurred by
regulations for specific spheres of relationships.
Conclusion
The analysis of the institutional components
and interconnections between these components
has revealed a lot of institutional problems that
are present at all levels of relations between the
producers, the consumers and the regulators
within the functioning of the primary industries of
the infrastructure for population living conditions
of the Krasnoyarsk Krai. It concerns the decisionmaking mechanisms on the formation of solvent
demand for infrastructure goods, actions for the
implementation of these decisions, as well as for
the regulation of organizations producing and
distributing goods.
The most relevant problems, in our opinion,
are problems of indistinct specification of
institutional components for certain types of
the subjects relations, weak incentives engaging
people in shaping public preferences towards
reproduction of infrastructure goods as well as
weak legal status and incentives for the relevant
public and self-regulatory organizations to
participate in development and implementation
of the state and municipal policies.
It can be argued that problems revealed
during analysis of the institutional environment
of the transportation and architectural complexes
within the infrastructure for population living
conditions of the Krasnoyarsk Krai can be
perceived as institutional traps. On the one hand,
a lot of “white spots” and “gaps” in legislation
establish a system of informal institutions for
definite and indefinite groups of subjects. On the
other hand, the absence of aggregated demand of
consumers and producers of infrastructure goods
for institutional change on the political markets
provokes decisions-making on the institutional
markets and the formation of inefficient
institutions.
To overcome the existing institutional
traps we need an aggregation of flexible solvent
demand for institutional change efficient from
the viewpoint of reproduction of human and
infrastructure capital of the economy as a whole.
Among main subjects of such a demand there
should be the consumers of infrastructural goods
who are potentially interested in improving
the life quality and human capital formation,
the producers of these goods from a number
of private, state and municipal organizations
(enterprises and agencies) who can compete
with each other through more productive
infrastructure capital.
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(3), 211-221.
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Pyzhev I.S., Rutskiy V.N., Goryachev V.P. (2011) Infrastructure for Population Living Conditions
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Bukharova E.B., Bezgacheva V.G. [and others] Regional socio-economic system: spatial planning
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Sapir J. On the economic theory of inhomogeneous systems: the experience of the decentralized
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Tambovtsev V.L. (2001) An Institutional market as a mechanism of institutional change.
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Tambovtsev V.L. Law and economics. Moscow, INFRA-M, 2005. 32-41.
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Proceedings of DonNTU. Series: Economic. (37-1). 35-41.
Исследование институциональной среды
посредством экономического анализа
нормативных актов на примере
инфраструктуры жизнедеятельности населения
И.С. Пыжев, В.Н. Руцкий,
Е.Н. Таненкова, Н.В. Устюгова
Сибирский федеральный университет
Россия 660041, Красноярск, пр. Свободный, 79
В статье изложены результаты исследования институциональной среды инфраструктуры
на примере транспортного и градостроительного комплексов инфраструктуры
жизнедеятельности населения Красноярского края. В качестве инструмента использована
модификация известного метода экономического анализа нормативных актов, дополненного
специальным алгоритмом на основе сочетания неоинституционального и системновоспроизводственного подходов. В результате выявлены тенденции соответствующих
институциональных изменений.
Ключевые слова: инфраструктура жизнедеятельности населения, отношения субъектов
инфраструктуры, инфраструктурные блага, экономический анализ нормативных актов,
институциональный анализ.
Статья подготовлена при поддержке КГАУ «Красноярский краевой фонд поддержки научной
и научно-технической деятельности» в рамках выполнения гранта, предоставленного
Сибирскому федеральному университету за 2011 год, на тему: «Разработка стратегии
институционального
развития
инфраструктуры
жизнедеятельности
населения,
обеспечивающей качественный экономический рост Красноярского края».
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Journal of Siberian Federal University. Humanities & Social Sciences 10 (2012 5) 1428-1433
~~~
УДК 338.1
The Condition and Prospects
of Economic Development of Russia
on the Back of Civilizational Crisis
Boris V. Robinson*
Novosibirsk State University of Economics and Management
52 Kamenskaya, Novosibirsk, 630099 Russia 1
Received 20.06.2012, received in revised form 26.06.2012, accepted 31.07.2012
According to D. Meadows, the author of the most known forecasts of development of the world economy,
time of debates on transition to a sustainable development is already gone, and within the next twenty
years the world expects more dramatic changes than in the past century. In this period, Russia has two
assets: land and natural resources. The strategic problem of the country is bad lines of communication
and poor transport. It has not given an opportunity to realize the country leaders’ modernization
intentions and makes the chances of their performance rather remote.
Keywords: sustainable development, civilizational crisis, modernization, knowledge economy, world
energy prices.
In mid-April, 2012, the renowned master of
world futurology D. Meadows, author of “The
Limits to Growth. The 30-Year Update”, while
in Moscow, said that now the world system is
far beyond the growth, and it makes no sense
to talk about possible options of damping of the
civilizational crisis. Now the main goal is to
ensure the development of the system, so it does
not break (Kostina, Oganesyan, 2012). Therefore,
the question of Russia’s place in the rapidly
changing world and the possibility of adapting to
these changes naturally rises.
Describing the state of the Russian economy,
it is useful to get acquainted with the way our
country is identified by foreign researchers and
experts. Thus, D. Friedman (2010) in his unique
prognosis for the 21st century said: “Russia is a
*
1
huge area with huge population. Russia is much
poorer than the rest of Europe, but it has two
assets: land and natural resources. The strategic
problem of Russia is that Russia is a vast country
with relatively bad lines of communication and
unsatisfying transport”.
How do numerous statements of the country’s
leaders about “modernization”, innovation
development, etc. look like in this background?
Again we refer to the opinion of the authoritative
expert: “For 100 years, the Russian government
sought to modernize their country trying to catch
up with the rest of Europe. They have never been
able to cope with this task. And around 2000,
Russia changed the focus of its strategy. Instead
of focusing on industrial development, having
rethought its possibilities, Russia began to refer
Corresponding author E-mail address: kos@sniiggims.ru
© Siberian Federal University. All rights reserved
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to itself as an exporter of natural resources,
first of all energy and energy resources, as well
as minerals, agricultural products, wood and
precious metals” (Friedman, 2010).
Modernization intentions of the President
were first officially announced in a message
to the Federal Assembly in November 2009:
“In the 21st century, our country, again, needs
the comprehensive modernization. Instead of a
primitive raw materials economy we will create
a smart economy producing unique knowledge,
new goods and technologies”, – Medvedev said
back then (Orekhin, Samoedova, 2011).
It is obvious that the Russian authorities
do not like the role of our country as a “rawmaterials Cinderella”, and they also want to be in
the advanced line of progress.
But in this yearning the opposition of some
“smart” economy and raw-materials economy
(apparently “stupid”?) looks very unconvincing.
But what would the country have been doing for the
last 40 years without the mineral resource sector
and the profit it gave? Before indiscriminately
running down the raw-material economy we
need to tighten it up to a sensible level, to make
it truly rational. It is the implementation of
the natural potential for further investment in
innovation processes that is the main track to the
development of our economy. Cashing in on our
natural resources we will be able to invest more
in high technology.
So far, nothing has been done for the
real start of the process of the economic
reform (probably, except for the ambitious
project “Skolkovo”). “The chosen course on
modernization remained unimplemented” –
says N. Krichevsky. First of all, they failed to
create a favorable investment climate in the
country that was described by the president as
“poor” and “very bad”. The outflow of capital
from the country in 2011 exceeded 84 billion
dollars (Orekhin, Samoedova, 2011).
In fact, Russia’s economic development
in the first decade of the 21st century got
under the way that is quite different from the
modernization and innovation and is more
typical for the developing countries. From the
industrial development the focus (contrary to
the declared ambitious principles) was shifted
to the production of raw materials. But thanks
to a substantial increase in prices of energy and
raw materials, this transition not only saved the
Russian economy, but also strengthened it so
that the selective reindustrialization became
possible. Raw materials economy gave Russia the
economic foundation that can be supported under
conditions of shrinking population (Friedman,
2010).
In connection with the said above, the
analysis of the implementation of the forecasts of
the country’s economic development for 10 years
performed by high officials in 2000 is of great
interest. Thus, the then (and the current) President
of Russia Vladimir Putin proposed the forecast
that soon turned into one of the priority tasks:
doubling gross domestic product and if not for
the crisis in 2008, the problem would have been
solved earlier. But even under the real conditions,
in June 2010, A. Kudrin, the then Deputy Prime
Minister and Minister of Finance, announced the
practical implementation of the goal of doubling
GDP (Sborov, 2010).
But the fact that another forecast of the then
State Duma deputy V. Ryzhkov has come true can
hardly be evaluated positively. He predicted: “the
economy is moderately growing, is of the lowtech, secondary type. Russia will be a regional
state which relations with other countries will be
problematic” (Sborov, 2010).
And saddens the dash of high hopes given
by the “Gazprom” Chairman of the Board R.
Vyakhirev who said: “In ten years, when the rest
of gas is over, Russia will remain with its reserves.
Who, then, will rule over whom? Germany and
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France have to think about how to provide the
consumer with the fuel in the future”.
Such an unwarranted optimism is also
expressed by the next Head of “Gazprom” A.
Miller who said in 2008 that in a few years gas
will be worth $ 1,000 per 1,000 cubic meters,
and capitalization of the company will reach $ 1
trillion. But today our main monopolist receives
from foreign buyers slightly more than $ 250 per
1,000 cubic meters, and its market capitalization is
about $ 125 billion (Vakulenko, 2010). “Gazprom”
has suffered not so much because of the crisis, but
because of the previous boom that gave impetus
to the mass construction of LNG plants and the
development of technologies for the extraction of
shale gas. Because of this the foundation of selling
Russian gas in Europe – long-term contracts on
fixed amounts at formulary prices – is likely to be
modified, and the dreams of ruling over Germany
and France with the help of a gas valve apparently
will not come true.
However, even according to the alarmist
D. Meadows, the future of the Russian gas
industry that, according to many, is threatened
by the much-touted American shale gas is not
so sad. “Today, the producers of shale gas bear
completely unimaginable expenses because they
sell gas at a sacrifice price that is about a third
of the actual costs. In the coming three years the
United States will face the problem of a serious
shortage of gas again” (Kostina, Oganesyan,
2012). Therefore, the intentions of “Gazprom” to
increase gas exports to 230 billion m3 by 2030 are
quite understandable. A similar position belongs
to D. Meadows and the view on the problem of
so-called unconventional hydrocarbon resources.
“Oil sands, offshore areas, deep water drilling –
supposedly, tens of billions of barrels are waiting
for their time. But we cannot operate seriously
with an assessment of what still lies in the ground
or at the bottom of the World Ocean, until it is
known whether it will be produced at all. “
When forecasting the economic growth in
2012 and in the future the analysts mainly focus
on the threats of future development (Murzabaev,
2012). Let us just consider some of them.
• Man-made disasters. In the list of 11 most
probable undesired events that scenario
is given the third place. Deterioration
of infrastructure, the loss of skills and
decrease in labor discipline will lead to
a series of man-made disasters. The most
vulnerable points are the road network,
deterioration of buildings, energy
networks and infrastructure. To that
we should add the gaps in professional
education: the number of skilled workers
and engineers is decreasing. The impact
of these factors will be especially tangible
in the long run.
In this regard, one of the main campaign
promises of Putin becomes clear: in the next 1015 years to create 25 million new high-tech jobs
for people with a high level of education. But
even if to distract from the enormous amount of
money given for its implementation (according
to the Ministry of Education, 1.5 trillion
rubles per year), where do we find so many
highly qualified professionals to fill these jobs?
According to A. Fursenko, even if absolutely all
graduates of schools and universities hold only
these supermodern positions, then, at best, 25
million new jobs in Russia will open in 36 years
(Materials, 2012).
• The fall in oil prices below $ 60 per barrel
is a pessimistic, but very likely scenario.
In this case, the budget deficit will be
5.4 % of GDP. But there is hope that the
supply and demand ratio will keep prices
at a high level, if we can avoid a global
recession.
• The forecast of a sharp rise in oil prices
to $ 200 per barrel is equally adverse (in
the case of war between the NATO and
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one of the oil-producing countries). Oil,
more expensive than $ 160 per barrel,
will lead to the same loss of world GDP
as during the 2008/2009crisis. It should
also be remembered that the sharp rise
in prices, as a rule, is followed by their
collapse. This is dangerous for both oil
producers and governments they rely
on. There is nothing left to do but hope
that open military actions will not begin
in Iran and at very high prices the now
unclaimed resources of unconventional
oil will be involved.
From the analysis of views of the expert
community we can conclude that the main threats
to Russia are internal, not external. In particular, a
likely increase in taxes, without which the funding
of the defence complex (20 trillion rubles by
2020) would be problematic, the implementation
of huge super-projects (Skolkovo, APEC Summit
2012, Universiade 2013, 2014 Olympics, etc.),
and most importantly – Vladimir Putin’s preelection promises that make the annual additional
expenditure budget amounting to 28 trillion
rubles are considered very disturbing.
Let us refer again to the opinion of an
expert. Yu. Tseplyaeva believes that the increase
in military expenses is possible, although with
great difficulty, only if the oil price falls below
$ 100 per barrel (So much for the “stupid” rawmaterials economy – B.R.). At that, the expenses
on education and health care will have to be cut.
That is, yet again, in the USSR-Russia the “guns
before butter” principle is going on (Materials,
2012).
Currently there is no shortage of recipes
for the best development of our economy. Public
debates about which way the country has to move
is in full swing. Mikhail Khodorkovsky made his
own great contribution from the distant Segezha
(Karelia). Noting that Russia is now the country
with the average level of development, he outlines
three possible paths to the future (Khodorkovsky,
2011).
Instantly rejecting the way of acceptance
of the now occupied position (to grow with the
world’s total growth), M. Khodorkovsky offers a
concept of progressive rates, otherwise the gap
with the developed countries on the level and
quality of life will increase.
The expert also does not approve a second
way that focuses on continuation of growth in
global prices of raw materials, especially energy.
There are several reasons: Russia does not
determine the price dynamics; its share of the
world production is limited to 10 %. But most
importantly – there are too many of us to live well
only at the expense of revenues from the export
of raw materials.
Therefore, the third, the most promising
way for further development of the country
is an “industrial breakthrough”, a growth in
Russian production. Theoretically two options
are possible: traditional industrialization (which,
incidentally, is also immediately rejected by
the expert as mistaken) and the “knowledge
economy” that is industrialization of individual
products and newly developed technologies.
For realization of this path it is proposed to
use the traditional strengths of people that create
the preconditions for our competitive advantages
in difficult climatic conditions, stretched lines of
communication, lack of reserves of cheap labor.
This, above all, is the ability of the one-time,
“peak” efforts, not the assembly-line production,
of the creative thinking of technological
processes, striving for something new, unusual,
and even risky. But what if Khodorkovsky
overestimate our creative potential? Here is the
opposite view of I. Pospelov: we just spent the
crisis lying. The country is clearly tired. Labor
productivity does not increase. No one wants
to do anything, implement innovations. There
are no internal incentives in the country at all.
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Enthusiasm is absolutely absent (Rubchenko,
2010). And again, the only hope is for oil, or
rather for the fact that we still will be able to live
with $ 80 per barrel.
There are also other proposals for the future
direction of economic development that can be
summarized as follows: reducing inflation, demonopolization and denationalization of the
economy, reduction of budget expenditures, a
shift towards non-oil exports of high technology
products. These settings can hardly be called
new, but the pressing question of how to achieve
this is still relevant. Inconsistency of the current
situation is aggravated by the fact that while oil
prices are high, the country may exist without
any major reforms for a long time at the economic
growth rate of 2-3 %. But it leaves no chances for
the real modernization and will lead to a further
lag of Russia behind the developed countries and
the leaders of the Third World.
References
Костина Г., Оганесян Т. [G. Kostina, T. Oganesyan] Мало не покажется (беседа с Д.Медоузом).
Эксперт, 2012. № 16. С.62-66.
Фридман Д. [D. Freidman] Следующие 100 лет. М.: Эксмо, 2010.
Орехин П., Самоедова Е. [P. Orekhin, E. Samoedova] Ни шагу вперед//Профиль, 2011. № 44.
С.16.
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Сборов А. [A. Sborov] Отрицание прорицания // Власть. 2010. № 33. С.31.
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Материалы по оценке масштабов предвыборных обещаний В.В.Путина. Materials for
assessing the extent of Putin’s election promises The New Times, 27.02.2012. С.34-36.
Рубченко М. [M. Rubchenko] Без баланса. Экспорт. 2010. № 29. С.40-44.
Copyright ОАО «ЦКБ «БИБКОМ» & ООО «Aгентство Kнига-Cервис»
Boris V. Robinson. The Condition and Prospects of Economic Development of Russia on the Back of Civilizational Crisis
Состояние и перспективы
экономического развития России
на фоне цивилизационного кризиса
Б.В. Робинсон
Новосибирский государственный университет
экономики и управления
Россия 630099, Новосибирск, Каменская, 52
По мнению автора наиболее известных прогнозов развития мировой экономики Д. Медоуза,
время рассуждений о переходе к устойчивому развитию уже ушло и в течение ближайших
двадцати лет мир ожидает больше драматических перемен, чем за все прошедшее
столетие. В этот период в распоряжении России есть два актива: территория и
природные ресурсы. Стратегическая проблема страны заключается в плохих путях
сообщения и неудовлетворительном транспорте. Это не дает возможности реализовать
модернизационные намерения руководства страны и делает шансы на их выполнение
достаточно призрачными.
Ключевые слова: устойчивое развитие, цивилизационный кризис, модернизация, экономика
знаний, мировые цены на энергоносители.
Copyright ОАО «ЦКБ «БИБКОМ» & ООО «Aгентство Kнига-Cервис»
Journal of Siberian Federal University. Humanities & Social Sciences 10 (2012 5) 1434-1444
~~~
УДК 005.591.452:005:338.24:339.13
Integration of Diversification
and Systematic Approach in the Development
of Corporate Management Consumer
Market Entities
Albina N. Chaplina*,
Elena A. Gerasimova and Aleksandr S. Shchitnikov
Siberian Federal University
Krasnoyarsk State Institute of Economics and Trade
2 Lidii Prushinskoy Str., Krasnoyarsk, 660075 Russia 1
Received 03.07.2012, received in revised form 20.07.2012, accepted 31.07.2012
The article discusses the application of an integrated approach in the development of corporate
management, the development of a systematic approach to managing network business. The main
trends in the retail trade are studied. The classification of the management models, adopted in the
modern network trade, as well as the ability to integrate diversity and systematic approach are
offered.
Keywords: integration, systematic approach, diversification, corporate management, the retail
network structure.
Introduction
The conditions of transitive economy
predetermined non-traditional approach to the
basic subsystems of human life, what is the
consumer market for the population of a particular
region. The consumer market (CM) is a kind
of socio-economic system of market economy,
which needs to be adequate to its purposes and
functions of the control system: a mechanism of
management, process management, management
structure (MS). MS defining goal is providing
the improved human capacity for the standardbased consumer values for the population of
a specific region in the new conditions of its
operation. MS must also create the conditions
*
1
in the general adequacy of the CM strategy of
its strategic choice. Being an open system, the
CM has the willingness to change, which forms
the interaction of the factors of internal and
external environment. The main asset of CM is
the population, organizational behavior of which
determines the need.
The purpose of the study is the need to
review the scientific basis of MS, as well as the
whole complex of problems associated with the
definition of methodological approaches and
identify the fundamental principles of corporate
governance in the socio-economic system.
The consumer market requires a relatively
large number of independent buyers and sellers,
Corresponding author E-mail address: elenasvo@mail.ru
© Siberian Federal University. All rights reserved
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Albina N. Chaplina, Elena A. Gerasimova… Integration of Diversification and Systematic Approach in the Development…
acting and interacting on the basis of the certain
laws. The market “mixture” (supply of goods,
the demand of goods, and the price of goods) of
CM creates the necessary combination of values
submitted by the consumer goods and services to
the public and their prices. In a market economy,
an indicator of the reliability of the CM space-time
acts as a balance between supply, demand and
prices of goods and services. A specific feature of
the CM performs its social orientated function, at
different priority of goods and services. All this
leads to the necessity and possibility of federal
and municipal authorities to form an adequate MS
that would ensure the formation, maintenance,
changing consumer values for the population of
a particular region. Such management should be
corporative.
The necessity and the possibility
of corporate business entities
of the consumer market
There is a point of view that corporate
governance is management, and its object is a
corporation (Open joint-stock company). But
this representation is not enough. From our
point of view, corporate governance can also
be represented in ordinary circumstances, when
the CM company is not a joint stock company.
Thus corporatism is the quality of integration
and unity. This quality is represented when likeminded groups are formed when there is total
commitment, shared interests, uniting the idea
of strategic success. Corporatism is the way of
administration. In modern conditions of CM
corporate management is very effective and
consonant with the understanding of «strategic
behavior» and «dominant culture» in a turbulent
market environment.
The most important part of the consumer
market – retail trade is traditionally refers to the
five core sectors of the economy. Retail trade
includes all activities for the sale of goods or
services directly to consumers for their personal
non-commercial usage and is a part of the market,
which is included in the consumer market. On the
basis of the main trends of the consumer market of
the Krasnoyarsk region the following conclusions
can be made:
- against a background of increasing
income, reducing inflation is an obvious
change in the structure of consumer
demand (the ratio of non-food items with
food is 52/48) and consumer behavior
(purchase in the formal and informal
trade sector are correlated as 84/16);
- distribution of consumer lending practices
overcomes the negative effects of the
persistent levels of unemployment (9.4%)
and social stratification (the coefficient
of income inequality in 2010 was 14.5),
but objectively contributes to the transfer
of interest in buyers for the imported
goods (the ratio of the domestic. / import
in foodstuffs sector 70/30 in non-food
sector – 30/70);
- high level of urbanization in the region
(75% live in cities and towns), and the
growing purchasing power leads to the
dynamic growth of the retail trade;
- entry of foreign players in the consumer
market toughens competition, mergers
and activates and at the same time helps
to improve the business environment,
which is very important, because a
certain portion of the market is still in the
“shadow.”
Threats to the economic development
generated by the nonequilibrium state of the
consumer market, which is a derivative of the
critical deformation – gravitating abnormalities
in the development of the individual segments
of the economy and market institutions. This
leads to the necessity and possibility of formation
and development of the corporate governance
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Albina N. Chaplina, Elena A. Gerasimova… Integration of Diversification and Systematic Approach in the Development…
as an innovative type of management for the
development of the modern service industries.
Evolutionary diagnosis of admissions
management decisions in the organization of
business entities of CM in this economic system
is associated with the evolution of the market
(a seller’s market, a buyer’s market, the market
for post-industrial society, the global saturated
market). This initiates a change in priorities
and key management methodologies, as the
business model of CM as an organization has
a significant impact on its competitiveness. At
the same successes in the past, management
decisions converted from the sufficient required
conditions more rapidly. For example, the sphere
of the sufficient conditions of the seller’s market
(the functional regulation, the costs – issues) are
the necessary conditions for a buyer’s market (for
sufficient conditions – marketing and promotion,
motivation). Factors that yesterday were sufficient
to create a competitive advantage, today only
provide necessary conditions for competitiveness
(Kondratyev, 2008).
Under the present conditions there is a
stable trend in the concept of organization and
management. This is due to rearrangement of
the essential relationships between the suppliers
of products (goods and services) and consumers
(clients). The defining concept of business serves
the customer’s relationship management. The
goal of organization management is to improve
the personalization of customer relationships.
This goal is achieved through a customer-oriented
approach aimed at the installation of such a
relationship with each client to create unique value
for the customer (often non-economic), and to be
profitable for the vendor products. The strength of
the consumer (client) power is now much higher
than supplier that provides the customer with an
active role, and often leading business player.
To solve the above-mentioned problems
it is necessary to develop theoretical and
methodological provisions to improve the
management system more detailed taking
into account the characteristics of the service
industries and the need to improve the quality
of management in the sectors of this area, which
led to study the relevance of diversification
and integration of a systematic approach to the
development of corporate management as a
conceptual business entity basis.
It should be noted that a lot of attention
in research works and publications focused on
such an areas of knowledge, as an efficient and
competitive management, quality management,
while the quality of the management system
are studied only by few scientists. At the same
time, considering the dependence on the nature
of service quality management processes may
be noted that the improvement of management
systems is possible only through the integration
of the systematic approach and management
diversification.
Management diversification is the objective
tendency of development. It improves the stability
and efficiency of business management, promoting
better use of resources, increasing the adaptability
of the control system and its flexibility. Since
the 80s of the twentieth century, management
diversification increases. This is due to (I. Ansoff
in his paper “The New Corporate Strategy”) the
following causes of diversification:
1. Diversified organization, when it can not
achieve its goals within the existing business –
the portfolio. The reasons for diversification may
be a saturation of the market, the overall decrease
in demand, competition or obsolescence of
products, a disproportionately large part of sales
attributable to a single buyer, a narrow market or
limited technological base, the emergence of new
technologies.
2. Even if an organization has attractive
opportunities for expansion, successfully
moving toward its goals, it may decide to
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Albina N. Chaplina, Elena A. Gerasimova… Integration of Diversification and Systematic Approach in the Development…
diversify, if the amount remaining in its income
is insufficient to carry out plans to expand its
current activities and if it will allow it to make
large profits, rather than a simple extension of
the production.
According to this, organization will attempt
to diversify when the opportunity to put a new
challenging goal appears.
Diversification of business management
services exists in the needs of the manifest
typological selection of management options
and combinations of these options to the
needs of diverse facilities management. In the
typology of the company’s management there
are no absolutely bad and absolutely good
governance types. The modern manager needs
the development of varitype thinking, which is
impossible without understanding the diversity
types of enterprise management services,
their symptoms and causes. The most common
businesses use these types of management as a
strategic, crisis, innovation, economic, project
management and staff, etc. Diversification of the
management company is a combination of the
diversity of forms, approaches, circuits, facilities
management, functions, etc. These trends are
caused by practical needs. The diversification of
the business of the consumer market is the main
trend. To manage successfully is, among other
things, successfully and reasonably choose the
type of control that would be most appropriate
or effective in specific circumstances, and for
this we must know the possible types of control
and have the methods of their choice. Thus,
the most important objective prerequisites
of diversification management, in our view,
were: firstly, diversification of production and,
consequently, the diversification of management,
and secondly, the convergence of the objectives,
approach, functions, facilities management to
improve the management and diversification of
these components, respectively.
The above mentioned diversification of
enterprise management services require further
consideration, which is impossible, in our opinion,
without examining the existing systematic
approach to the quality management of business
entities of the modern consumer market.
The concepts of “system” and the “systematic
approach” in the modern world are widely used
in various fields of knowledge and activities,
although till now there is no strict definition of the
conventional system. The system is often defined
as a set of interrelated elements, combined into a
single unit due to the fact that its properties are
not reducible to the properties of its constituent
elements.
At the present time the scientific literature
examines various systems: economic, social,
organizational, technological, biological and
others, and also develops the classifications
(everything in the world is systematic). In this
case, on the one hand, the notion of «system» is
used to denote a certain real-life events, and on
the other hand, it is used as a method to study
this phenomenon. Application of the concept of
the system as a methodological approach began
relatively recently, in the 50s years of the twentieth
century. In this case we are talking about using a
systematic approach.
From the standpoint of a systematic approach
the organization of services may be considered
as an open system, the characteristics of which
are caused by the interaction of its elements
(internal environment) and are inseparably
connected with the external environment
of the direct and indirect impacts requiring
consideration when choosing a strategic form
of behavior in transitive economy. In this study,
we use the classification of configurations of
today's organizations by Henry Mintzberg
(Mintzberg et al, 2000), as development
approaches the school configuration. The author
identifies the following configuration of the
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Albina N. Chaplina, Elena A. Gerasimova… Integration of Diversification and Systematic Approach in the Development…
organization: mechanistic, business, innovative
and professional.
Proving nature of the systematic approach,
usually mean that it is not just about a set of
procedures, operations and techniques, but
the total (system) principles, which define the
overall purpose and strategy of the organization.
The systematic approach is currently the
most important and productive in the study of
various socio-economic phenomena, including
the efficiency, competitiveness and quality
control. The organization as a dynamic system
which plans to have a management system (the
mechanism of control, organization structure,
process control), which forms the updated skills.
This is analogous to the concept of “new skills”,
“special competence” or “proven benefit of
competition.” These processes will be of strategic
thinking to the work, the change of management
(Chaplina et al, 2009).
Integrating diversity and systematic approach
to managing the organization is a seemingly
incongruous combination of the incompatible and
the connection of the unconnectable. However, in
our opinion, there is convincing evidence of such
an integration (Chaplina et al, 2008).
It has already been noted that diversification
is a multi-variant, a variety of the used approaches,
the actions in relation to the object of research
and management. The systems approach, in turn,
involves the examination of some integrity, which
has a relative stability in a certain period of time.
Thus, we are talking about such properties as the
volatility and stability, which are inherent in the
quality of various objects. As a consequence, the
current management of an organization involves
the integration of diversity and systematic
approach, respectively, reflecting the multivariant approach, the integrity and stability of the
object.
The development of integration processes
in the economy and the relationship between
the territories imply a high level of services
and trade as a link of the economic mechanism.
Prospects for growth in the provision of services
make them a very attractive sector for investment
and the application of entrepreneurial activity.
Obviously, to enter the market and consolidate
its position will be possible to those companies,
which services will conform to the international
quality standards, have high value to consumers
and benefit from its acquisition.
The company offers on the market not only
the service and the quality of their work. This
system defines the specific objectives of the
enterprise services and puts forward a number of
special management requirements, which must
take into account the proximity to consumer
changed preferences, the special role of the human
factors, the importance of information support
services, etc., and thus have a certain number of
distinctive features that provide the achievement
of these goals.
The terms of guaranteed quality of a wide
range of goods and services, for the convenience
of the buying process can provide retailers, which
have the following advantages: the consolidation
of purchases enables us to get serious external
discounts, centralized control and management
functions, leading to serious reduction in internal
costs. According to some analysts, in the next
3 years the proportion of networks can be up to
60% of retail sales in the region.
Thus, the realization of the potential
consumer market is associated with the formation
of the retail chains, the breadth and scope of
which will largely be determined by the trade
policy in the region. The main participants are
the retailers – the independent entity created by
the entrepreneur or association for the sale of
products, goods, services to the final user in order
to meet social needs and make a profit.
New forms of trade between companies are
“born” almost every day, constantly threatening
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Albina N. Chaplina, Elena A. Gerasimova… Integration of Diversification and Systematic Approach in the Development…
the existing ones. Competition between different
types of shops is becoming more and more
“universal”. Discount stores, showrooms,
department stores are all fighting for the same
consumer. According to Kotler, one of the reasons
for the emergence of new forms of retailing is
the principle of the retail turnover. At present,
under conditions of increasing competition in
the retail sector modern forms and methods of
commerce, new formats of trade, integrating
the use of Western instruments of trade, the use
of new techniques and modern technology are
appearing.
Network size is a union of at least two shops
that have common principles of management
and, as a minimum, implement one of the main
advantages of the network compared with
a detached shop – consolidated purchasing
goods, obtaining the best pricing terms from
vendors.
The main features of the network size
enterprises are the following: monitoring of
procurement and retail prices in the central
office, the centralized management of enterprise
resource, the unified discount system, the
common investors, a single brand. Retail trade
establishments having in its structure a network
of sales outlets (stores) are functioning in the
mode of network size and form of retail trade.
Retail network may include both stores in one
format (uniformed retailers), and the union shops
in the various formats (multi-format retailers).
Regulation of retail networks in the consumer
market is shown in Fig. 1.
In the modern scientific literature there is a
range of concepts that characterize the activities
of the retail trade enterprises, which bring
together two or more shops and have the main
features of the network size. Therefore, in this
study, the concept of «corporate chain stores,»
«commercial enterprise network format,»
«network trading company,» «retailer,» «retail»,
«network operator» will be treated as equivalent
(Chaplina, 2002, Chaplina et al, 2008).
Thus, net trade refers to the modern retail
formats that have features of the operation and
management: the opportunity to consolidate
purchases from suppliers, the application of
the modern information technologies, the
efficient use of logistics management – a high
degree of automation of the trading process;
additional services to the customers, higher
rates performance on an employee; high quality
of service, a wide range of products. It should
be emphasized that the management of a chain
of stores is much more complicated process and
the price of errors increases dramatically, and
replicated with an increase in the trade network.
In this study we represent a brief classification of
the generalized models for managing a chain of
stores (Table 1). Overview of key management
models of retail distribution networks enables us
to formulate the main trends in the CORPORATE
management.
1. Limitation of the range of suppliers.
Thanks to the modern information systems and
purchasing power, the retail chains are able to
provide significant discounts to their customers.
Enterprise network format prefer to deal with a
small number of large suppliers.
2. Strengthening the role of the vertical
marketing systems. Operation and programming
marketing channels are more often carried out on
a professional level. As soon as the large retail
chains expanded their control over marketing
channels, small independent shops are just
replaced.
3. Using a portfolio management approach.
Retail chains very often open stores which are
intended for people with a certain lifestyle.
4. The increasing importance of the
technology in management. Technology
becomes a critical element of competition in
retail trade. Progressive companies try to make an
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Type of retailer
- Lawyer, notary public
services;
- Legal consultancy centers;
Arbitration courts
Network of sales
(networking enter-
One point of sale (an independent company)
The number of points of sale within the trading enterprises
- Health facilities;
- Educational institutions;
- Theaters, leisure centers, casino
Multiformat trading network
Retail sales network
Fig. 1. Location of the object of research in the theory of the consumer market
Uniformat trading network
Junk prices shop
Showroom
Superstore
Discount
Small shop
Supermarket
Specialty shop
Store
Retailers
- Foreign currency exchange;
- The banking system;
- Insurance companies;
- Factoring, auditing, investment companies
Wholesalers
- Commodity exchange;
- Auctions, fairs,
exhibitions;
- Real Estate Center
Public catering
-Trading
companies –
Catering
companies
Network format of retail trade
enterprises
Consumer market
- Marketing centers;
- Advertising Agencies;
- Telecommunication
centers
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The most effective
organization of the retail
network. A single point
of management functions
delegated by shopping,
minimum required for
participation in the logistics
operations of merchandising
(ordering, inventory,
revaluation)
“Centralized»
model of
management
Most of the newly opened
Russian grid companies,
especially those that have
distribution centers, or
which came to the minimum
required for participation in
the logistics operations of
merchandising (ordering,
inventory, revaluation)
Retailers who do not have
distribution centers (the
operational interaction with
suppliers delegated managers
to stores)
Center, strategically defi ning
procurement policies
(suppliers, and the range of
purchase prices), and separate
the operational management
of the objects of trade
“Holding» model
of management
3
2
Investing and synthetically
Part of trading companies,
consolidating fi nancial center, which are not actually in the
with a virtually autonomous
full sense network retailers
entities
Users of the the given model
Summary
of the management model
“Investment»
model of
management
1
Management
model
The dependence of the system
from the communication channel.
If the communication channel is
not possible to a specific remote
object, there is a need to deploy
either an autonomous information
system with information sharing
capabilities to a central server,
as well as place the device
management, battery life is
sufficient for the store to connect
the object to «holding» the method
of control, or to work on so-called
«Tray» principle
Work in on-line mode with a
single database server at the center
(requires a dedicated channel;
desirable for low-channels) allows
to concentrate investment on a
single server, to reduce acquisition
costs of the system and application
software, as well as reduce staff
IT-specialists. The cost to build
channels of communication does
not pale in comparison with the
economy on the decline (ten
times) the rate of growth of the
management by increasing the
number of objects of the company
network
System with a distributed
architecture of databases (in
each store – your server with the
software and data).
Excessive growth of the unit
management and, consequently,
high costs. It is difficult to maintain
the consistency of the data center,
and with the growing number
of stores, this problem becomes
more acute. Another drawback is
the almost doubling of the fleet of
servers, multiple increase in the
cost of the system software
The flexibility in the
management of specific store
managers in the field. Such a
model can be used in part (for
the interaction of the central
office with the «shrub»
offices, as well as large-scale
structures franchise) in the
construction of systems on a
national scale
Reducing costs. Effective
use of administrative staff at
its concentration in a single
center. In fact – it is remote
control of trade objects,
which makes a huge impact
on the ability to organize the
management of a continuous
way, to intensify all the
business processes of trading
companies, and thus gain a
competitive advantage
“Packaged» software can be
successfully applied
Stores that are part of the network
are united by common investors,
or brand
6
Information architecture
Unable to take advantage of the
network operator. The dependence
on the quality of a particular
employee. There is no consolidation
of procurement
5
Disadvantages of the model
Management tasks are
simplified in the center.
Ability to show initiative
4
Advantages of the model
Table 1. Classification of the management models adopted in the modern network trade [compiled by the authors]
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Retailers who are building
In the network there are
objects that are managed
nationwide networks
centrally, and some shops can
work on the «holding» basis
3
Used in recent years for
some formats, stores,
primarily for networks of
«hard» discount.
“Hybrid»
model of
management
2
The model with the total
concentration of control in the
center and a complete lack of
control functions in the store,
except for holiday shoppers
goods
“Tray»
model of
management
1
Сontinuation table 1
4
Virtually the only possible
method of control for
national and international
network of retailers in the
Russian context, ensuring
the consolidation of the
commodity in the center
The greatest savings of
technical and human
resources
5
Disadvantages are similar to the
«holding» management model.
However, they can be substantially
reduced if the territorial «chains»
controlled by the «centralized» or
the «Tray» method of management
Virtually eliminated direct delivery
of the «new» products to the store.
Complicated technology of pre-sale
preparation of goods in the store
6
A system with a distributed
database. However, if the inner
«chain» has been working with a
centralized architecture, the number
of servers is reduced greatly. This
does not allow build a dedicated
inter-regional links.
Lack of information systems in
stores (only cash registers), the
exchange of information with the
center by e-mail, modem, (pre-sale
preparation is mainly done at the
distribution center, all the goods
shipped through the warehouse)
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Albina N. Chaplina, Elena A. Gerasimova… Integration of Diversification and Systematic Approach in the Development…
accurate forecasting, use cost control, computer
programs, e-mail services and electronic means
of placing orders with suppliers.
Conclusion
The study of international experience
suggests that the network trade can take up to 90%
of the retail market in the country. This is because
the network form of trade itself is a competitive
advantage over a separate store (the best terms
with suppliers, reducing costs, a popular brand).
For home shopping business network, the form of
organization of the retail trade is relatively new,
but rather booming. In some regions of Russia
the retail market share which is occupied by the
network commercial enterprises already reaches
50%, and there are tends to further growth.
Therefore, the modern conditions require
the formulation of the new concepts and methods,
answering questions about the forms and methods
of doing business in the consumer market, new
aspects of regulation, about the potential of
improving the methodological and institutional
support of the consumer market.
References
7 notes of management. The handbook of a manager, ed. by V.V. Kondratiyev (Moscow: Eksmo,
2008), in Russian.
H. Mintzberg, B. Ahlstrand and J. Lampel, Strategy schools, translated from English, ed. by Yu.
N.Kapturevskiy (St. Petersburg: Piter, 2000), in Russian.
A. N. Chaplina, Methodology and methods of consumer market management for urban population,
(Krasnoyarsk: Krasnoyarsk State University Publishing House, 2002).
A. N. Chaplina, I. A. Maksimenko, Providing competitiveness mechanism for network retail
trade organization, (Krasnoyarsk: Krasnoyarsk State University Publishing House, 2008).
A. N. Chaplina, Ye. A. Gerasimova, Strategy formation of business structure integrated
development, (Krasnoyarsk: Krasnoyarsk State Institute of Economics and Trade Publishing House,
2008).
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Albina N. Chaplina, Elena A. Gerasimova… Integration of Diversification and Systematic Approach in the Development…
Интеграция диверсификации
и системного подхода в развитии
корпоративного управления субъектами
хозяйствования потребительского рынка
А.Н. Чаплина,
Е.А. Герасимова, А.С. Щитников
Сибирский федеральный университет
Красноярский государственный
торгово-экономический институт
Россия, 660075, г. Красноярск, ул. Лидии Прушинской, 2
В статье рассмотрен вопрос применения интеграционного подхода в развитии корпоративного
управления, развитие системного подхода в управлении сетевым бизнесом. Обозначены
основные тенденции развития розничной торговли. Предложена классификация моделей
управления, принятых в современной сетевой торговле, а также возможность интеграции
диверсификации и системного подхода.
Ключевые слова: интеграция, системный подход, диверсификация, корпоративное управление,
сетевые розничные структуры.
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Journal of Siberian Federal University. Humanities & Social Sciences 10 (2012 5) 1445-1449
~~~
УДК 343.1
The Purpose of Criminal Procedure
of the Police
Nikolay N. Tsukanov* and Alexey B. Sudnitsin
The Siberian Law Institute
of the Federal Drug Control Service
of the Russian Federation
20 Rokossovskogo str., Krasnoyarsk, 660131 Russia 1
Received 11.09.2012, received in revised form 12.09.2012, accepted 03.10.2012
The article examines such categories as the purpose of criminal procedures, objectives and goals of
the criminal procedure activity of the police. It also observes the correlation between these categories
and shows the author’s attitude towards their definition.
Keywords: purpose of the criminal procedure, objectives and goals of the criminal procedure of the
police.
There have been debates among scientists
(which still continue to be held) concerning
purpose, objectives and goals of criminal procedure
since long time in the past up till nowadays. The
suspension of related issues affects negatively the
organization of law enforcement, the arrangements
of priorities during its implementation and,
therefore, its overall effectiveness. Using the
experience accumulated in the related areas of
law (especially in the administrative proceedings,
where law enforcement is mostly in the same
legal and institutional environment) can help us
to overcome this problem again.
The Criminal Procedure Code does not
state the purpose of criminal proceedings and
regulate its purpose. Article 6 of the Code is
referred to partially remove this ambiguity: “The
purpose of criminal proceedings”. However, the
content does not match its title and leaves more
*
1
questions than answers. To describe the purpose
of something means to provide an explanation
for its existence. The purpose of any trial is an
effective implementation of the relevant rules
of substantive law. In the case of criminal
proceedings it is a question of criminal law.
That is why we agree with Efimichev S.P. and
Kalugina A.G. who believe that the main purpose
of criminal proceedings is to ensure lawful,
justified and equitable application of the criminal
law that criminalize and punish perpetrators of
certain crimes.
According to the first paragraph of
Article 2 of the Criminal Code of the Russian
Federation, the purpose of the criminal law is:
the protection of the rights and freedoms of man
and citizen, property, public order and public
safety, the environment and the constitutional
system of the Russian Federation of criminal
Corresponding author E-mail address: Post@sibli.ru
© Siberian Federal University. All rights reserved
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Nikolay N. Tsukanov and Alexey B. Sudnitsin. The Purpose of Criminal Procedure of the Police
violations. Undoubtedly, the implementation of
these objectives depends greatly on the quality
of the substantive law and other circumstances
beyond the competence of the person conducting
the criminal proceedings. At the same time,
one cannot but take into account that the law
enforcement of practice-oriented departmental
communication can lead us to an effect opposite
to the one that has originally been envisaged
by the legislator (even in the case of formal
compliance with established procedural rules). In
particular, the administrative and jurisdictional
police practice provides a lot of examples.
In our view, Paragraph 1 of the first part
of Article 6 of the Criminal Procedure Code
establishes a very important purpose of criminal
proceedings that is protection of rights and lawful
interests of individuals and organizations affected
by the crimes. This means not only physical
help in the restoration of violated rights and
interests, but also protection to ensure the safety
of interested people because of their involvement
in the criminal proceedings. The presence of such
an article is a great advantage of the Criminal
Procedure Code in comparison with the Code of
administrative offenses of the Russian Federation.
An obvious omission and oversight made by the
legislator is that information about the victim,
his / her representative and witnesses at the
administrative proceedings becomes available to
the people responsible for the crime. The reasons
for revenge are quite obvious if you take into
account that the imposition of an administrative
penalty may result in serious consequences
for him / her, for example, parole revocation
and the unexpired term of service, dismissal
(e.g., because of disqualification from driving),
administrative detention and so on. Thus, on
the one hand, the victim (witness) reported on
administrative responsibility for ensuring that
knowingly give false testimony (Article 17.9
of the Code of administrative offenses), on the
other hand, he is provided with no guarantee
of security. Obviously, the conditions of the
Federal Law of 20 August 2004 № 119-FA “state
protection of victims, witnesses and other parties
to the criminal proceedings” are not applicable
in this situation. Consequently, law enforcement
officials and do not fulfill the goal of personal
security and even threaten him to some extent.
Paragraph 2 of the first part of Article 6 of the
Criminal Procedure Code contains a commitment
to protect human freedom from non-legitimate
and unjustified charges, convictions, restrictions
on rights and freedoms, that is, it directs law
enforcement agencies to protect the mentioned
people from themselves. In our opinion, such
permission cannot also be regarded as an objective
of criminal proceedings, because the sure
method to follow him should abolish the whole
law enforcement. The given permission rather
contains specified form of legitimacy principle
(with a requirement of an active behavior of a lawenforcer in case of a violation or its possibility
of rights and freedoms of an individual), which
conforms the heading of the second chapter of the
Criminal Procedure Code.
Part 2 of Article 6 of the Criminal
Procedure Code reflects the purpose of criminal
proceedings, as it defines the essence of a
concept “implementation of the criminal law”.
Unfortunately, the attempt of the legislature
to change the practice of policing has not been
so successful. Termination of the proceedings
initiated by the police is still frequently with the
defects in policing.
Opinions in the juridical science regarding
the aims and objectives of criminal proceedings
usually come in the following: protection
of rights, the establishment of the truth, the
implementation of the substantive law, the
punishment of the offender, the settlement of
the dispute, fighting crime, etc. The dominant
factor which predetermines the content of the
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Nikolay N. Tsukanov and Alexey B. Sudnitsin. The Purpose of Criminal Procedure of the Police
approaches listed above is a priority of private to
public basis in criminal procedure. In addition,
the view that the former one prevails, has become
increasingly popular in recent years. However,
by viewing things in such a way, one omits the
existence of an obligation of specially created
agencies in every case of crime disclosure to
commence proceedings, investigate the case and
examine it intrinsically. As a result, by not taking
into account the public character of criminal
procedure, “from extreme criminal procedure
development that was peculiar to Soviet period,
when the interests of the state prevailed during
the implementation of criminal procedure, we
rush at the opposite extreme, seeing the purpose
of criminal procedure only in private interests’
security”.
This can be clearly demonstrated even in
comparison with the sphere of administrative
jurisdictional police activity, where the principle
of publicity has very serious peculiarities. If the
officials directly find out enough information
which indicate the presence of an administrative
offence, which is attributed to their competence, a
decision to institute proceedings should be made
basing on its reasonability and sufficiency of
other non-jurisdictional measures undertaken by
the police, except the cases directly stipulated in
legislation (for example, part 1 of an article 27.12,
parts 1 and 2 of an article 27.13 and others of the
Code of administrative offences). In other words,
if instituting and investigating a case is in essence
a state reaction, programmed by the legislation, to
the crime committed, administrative proceedings
is first and foremost an act of administrative
effect, carried out by the police in order to fulfill
its goals.
While determining the goals of the criminal
procedural activity of the police, it is insufficient,
in our opinion, to focus exclusively on the legal
purpose of the criminal procedure. It is known
that legal process is a peculiar channel for the
operation of legal regulation methods. This lets
us consider criminal procedural activity as one
of the forms of executing appropriate bodies’ and
agencies’ authoritative activity. Even performing
criminal proceedings, a policeman is still a
policeman. Therefore, it is logical to suppose
that every activity by the policeman must be
carried out in conformity with the purposes of
the police and other provisions of the Federal
Act of 7 February, 2011 №3-FA “Police Act”.
Furthermore, inability of the police to meet these
requirements (even in case of formal fulfilling of
the Code of criminal procedure rules) does not
let us to assess overall activity of the police as
satisfactory. We might suppose that this is the
reason why the Code of criminal procedure does
not formulate the purposes of criminal procedure.
Established in the text of an act as the realization
of criminal responsibility norms, it (purpose) will
have axiomatic, on the one hand, and ultimately
generalized character, because criminal procedure
is connected to the specific character of subjects
executing it, one way or another.
Goals are certain stages on the way to reach
the final purpose of the criminal procedural police
activity. In the case concerned the matter is, in
our opinion, total, precise and timely realization
of criminal law norms as an instrument to
achieve goals connected with crime deterrence,
thus securing reliable protection of rights and
freedoms of human and citizen, of property
from illegal infringements, maintaining public
order, securing public safety in the sphere of lawenforcement agencies’ competence. We strongly
believe that this is the only reason, why the
legislator decided to vest the police with criminal
procedural powers.
The absence of precise formulation of
criminal procedure goals in the Code of criminal
procedure inevitably affects the rightness of
priorities’ arrangement in the law-enforcement
activity, it complicates formation of qualitative
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Nikolay N. Tsukanov and Alexey B. Sudnitsin. The Purpose of Criminal Procedure of the Police
criteria for law-enforcement agencies and
promotes the formation of law-enforcer’s
mechanistic-fragmentary perception of legalnormative material construing the provisions
of the Code of criminal procedure (when the
process is simplified to the plain fulfilling the
requirements of an Act).
Some scientists think that the absence of
criminal procedure goals is the most serious
disadvantage of the Code of criminal procedure.
Indeed, this peculiarity of the Code could
hardly be commented, taking into account that
the Code of civil procedure (article 2), the Code
of arbitration procedure (article 2), the Code of
administrative offences (article 24.1) contain
formulations of corresponding processes’
goals. The Soviet Code of criminal procedure
determined the goals of the criminal procedure
as well.
Meanwhile, the question about the list of
criminal procedure goals may be more complicated
than it seems to be. For example, V.O. Belonosov
and N.A. Gromov believe, that “the main and
primary goal of criminal procedure” is detection
of crimes. The same goal was established in the
article 2 of the Soviet Code of criminal procedure.
In the meantime, even together with an activity
on exposure of perpetrators, such a formulation
does not provide comprehensive, total, objective
and timely clarification of circumstances of each
particular case, which is obviously required
for achieving the criminal procedure purpose.
In addition to that, an exposure of crimes and
perpetrators cannot be regarded as a goal which
reflects the specifics of criminal procedure.
Achieving of a mentioned effect is frequently
provided not during the criminal procedural
actions, but as a result of police’s supervision
powers and performing investigation and search
operations.
In conclusion, we want to note that
the experience, concerning administrative
proceedings, accumulated by administrative
science, might promote effective solution of a
question about the goals of criminal procedure.
This assumption is supported not only by the
similarity of normative-legal conditions of criminal
procedure and administrative proceedings,
but also by almost 30-years of application of
formulations reflected in the current version of an
article 24.1 of the Code of administrative offences
of the Russian Federation.
References
Foinitskiy I.Y. Criminal procedure course. 2 volumes. St.-Petersburg, 1910. Vol.1. p.2;
Poznishev S.V. Elementary textbook on the Russian criminal procedure. Moscow. 1913.
p.29;
Strogovich M.S. Soviet criminal procedure course. Moscow, 1958. p.23-24;
Elkind P.S. Purposes of Soviet criminal procedure law and means of their achievement. Leningrad,
1976. p.143;
Mikhailovskaya I.B. Purposes, functions and principles of Russian criminal procedure. Moscow,
2003. p.144;
Barabash A.S. Nature of Russian criminal procedure, purposes of criminal procedural activity
and their ascertainment. St.-Petersburg, 2005. p.98, p.257;
A.P. Popov Goal-setting in the contemporary domestic criminal procedure. Pyatigorsk, 2005.
pp.261-262; p.332;
S.P. Efimichev, Adversarial principle and its realization in criminal procedure// Russian
investigator. 2005. №1. P.5; A.G. Kalugin Realization of goals of criminal procedure during the
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Nikolay N. Tsukanov and Alexey B. Sudnitsin. The Purpose of Criminal Procedure of the Police
termination of criminal proceedings on the non-rehabilitating grounds// Bulletin of the Tomsk State
Universty. 2007. №300(1). P.148.
V.O. Belonosov, N.A. Gromov Correlation between goals and purposes of criminal procedure//
Law and politics. 2005. №10. p.98-100;
V.A. Azarov Criminal procedural ideology and phraseology of the same name // Orenburg
University Bulletin 2006. №3 (53). p.5
О цели уголовно-процессуальной
деятельности полиции
Н.Н. Цуканов, А.Б. Судницын
Сибирский юридический институт ФСКН России
Россия 660131, Красноярск, ул. Рокоссовского, 20
В данной статье подвергаются анализу такие категории, как назначение уголовного
судопроизводства, цель и задачи уголовно-процессуальной деятельности полиции. Раскрыто
соотношение данных категорий, предложен авторский подход к их определению.
Ключевые слова: предназначение, назначение уголовного судопроизводства, цель, задачи
уголовно-процессуальной деятельности полиции.
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Journal of Siberian Federal University. Humanities & Social Sciences 10 (2012 5) 1450-1457
~~~
УДК 343.98.067
Infliction of Damage to Property by Fraud
or Abuse of Trust: Aggregate of Circumstances Essential
for Instituting Prosecution
(Court Practice Analysis)
Sergei V. Terskov* and Larisa P. Klimovich
The Siberian Law Institute of the Federal Drug Control Service
of the Russian Federation
20 Rokossovskogo str., Krasnoyarsk, 660131 Russia 1
Received 11.09.2012, received in revised form 19.09.2012, accepted 03.10.2012
The article considers the aggregate of circumstances essential for establishment of infliction of damage
to property by fraud or abuse of trust: time, place, modus operandi and other circumstances of the
commission of a crime. Using the results of empirical research the authors define the possible forms
of criminal act and as well as specific modus operandi for each form. The results of statistical data
analysis on the article 165 of the Criminal Code of the Russian Federation make it possible to note
that the large number of indicated crimes are committed in the financial sphere and consumer market
providing a choice of methods for calculation of damage inflicted to property.
Keywords: criminal event, ultimate fact, modus operandi, fraud, abuse of trust, damage to property,
judicial economic information.
In the paragraph 1 of the first part of an
article 73 of the Code of Criminal Procedure of
the Russian Federation a criminal event is defined
as enumeration of its elements: time, place,
modus operandi. Theory of criminal procedure
also describes a criminal act, its consequences,
causation and instruments of a crime to the
elements of a criminal event.
Detailed analysis of the damage inflicted to
property, as a most widespread consequence of a
crime stipulated by the article 165 of the Criminal
Code, was carried out by N.G. Loginova, who
notices that the damage to property may be
inflicted in the form of criminal enrichment or
*
1
criminal economy [2, p.77-82]. With the purpose
of a further explanation of the ways of calculation
of the damage inflicted to property, let’s arrange
all possible ways and character of the damage to
property in a form of a table (table 1).
As it could be seen from the table, estimating
the size of damage to property requires holding
of several legal expertise (for example, account,
computer-technical,
appraisal,
technicalmerchandising, etc.). With the purpose to define
the character and size of damage, it is reasonable
to use court-economical information while
solving and investigating this category of crimes
with a glance to its form and modus operandi.
Corresponding author E-mail address: terskovsv@mail.ru
© Siberian Federal University. All rights reserved
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Table 1. Characteristics of Forms of Inflicting Damage to Property
Forms of inflicting damage
to property
1. Illegal use of property
resulting in the damage to
property – it is illegal, nonrepayable use of property
against the interests of the
proprietor or other owner with
a purpose of gaining property
benefit.
Depending on
Depending on touchableness
the mechanism of
of property as an object of a
inflicting damage
crime
to property
Materialized property
(damage may be real,
expressed in decrease of
its price, and indirect –
nonreceipt of tribute). Size
of profit received may be
either bigger or smaller than
property damage inflicted.
Criminal
enrichment
Criminal
economy
Criminal
economy
Non-materialized property
(only indirect damage,
expressed in non-receipt of
tribute)
2. Evasion of paying
compulsory payments, when
the perpetrator falsely does
not give property which
he is obliged to give to the
proprietor or to the other
owner, and as a result the
perpetrator receives profit via
criminal economy.
Non-materialized property
(only indirect damage,
expressed in non-receipt of
tribute)
Criminal
economy
3. Conversion of payments
which were to be received
from certain citizens to
the proprietor or the other
owner for property services
(transport, medicine, social
security) into the personal
benefit by people not
authorized to receive these
payments.
Materialized property
(damage could be real,
expressed in depreciation
of mechanisms, fuel
consumption and so on,
decreasing of price, and
indirect – non-receipt of
tribute).
Criminal
enrichment
Criminal
economy
Depending on the sphere of
law which norms regulate
the grounds for transferring
of property or for payment
obligation
Civil legal relationships –
fraud when the perpetrator
uses property under contract
sequential from civil
circulation (receipt of public
services, communications
service, etc.)
Labour relationships – abuse
of trust when the perpetrator
uses his employment status
given to him under work
contract (for example, use of
service vehicle for personal
purpose, etc.)
Civil legal relationships –
abuse of trust (for example,
while paying notary fee,
when the perpetrator enters
into the agreement and
decreases the price of an
object of the agreement (deed
of a gift, contract of sale),
thus decreasing the size of
fee he is obliged to pay)
Administrative legal relations
– fraud, for example, use of
non-materialized property,
when the perpetrator falsely
does not give a payment
for usage of property to
the proprietor or the other
owner (tax obligation, local
assessment)
Labour relationships – abuse
of trust (when the perpetrator
uses his powers, given to
him under work contract,
or employment status for
gaining benefits)
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Sergei V. Terskov and Larisa P. Klimovich. Infliction of Damage to Property by Fraud or Abuse of Trust: Aggregate...
Analysis of the court practice from 1997 to
2010 showed that 113 cases and 1087 sentences
in the criminal proceedings [4] comprised 1417
crimes (including the episodes of crimes which
were united in a one case), stipulated in an
article 165 of the Criminal Code of the Russian
Federation, which were:
1) Socially dangerous acts in the form of
illegal use of property which make up
82,4 %;
2) In the form of evasion of compulsory
payments – 1,2 %;
3) In the form of conversion into the personal
benefit by people not authorized to receive
these payments – 16,4 %.
Thus, the statistics confirms that the
indicated crime may be committed in different
forms and in different ways. The universality of
this norm becomes apparent due to the fact that
in different periods the dominancy of different
forms and modus operandi of a crime alter and
get new substance.
Basing on the research, we may concretize
modus operandi depending on the forms of
inflicting damage to property, since the proof of
modus operandi is closely connected with the
proof of an intention.
In total, during the analysis of court practice
from 1997 to 2010, there were 83 ways of inflicting
damage to property, the most frequent of which
will be observed below.
Then, if a crime was committed in the form of
illegal usage of property, we discovered following
ways of inflicting of damage to property:
1) Not sanctioned use of the Internet via
someone’s account and password by fraud
(abuse of trust) – 10,4 %;
2) Use of operator service (Internet service,
calls, SMS) from someone’s SIM-card
(modem) by fraud – 5,2 %;
3) Illegal use of natural gas by fraud (abuse
of trust);
4) Illegal use of hot-water supply by fraud –
0,8 %;
5) Passage by the worker of “Russian
Rail Roads” Corporation by transport
request (passage available due to service
necessity) in personal purpose via abuse
of trust – 0,8 %;
6) Illegal use of electricity (including
damaging a meter) by fraud – 42,5 %;
7) Residence of citizens without registration
and, accordingly, without payment for
public services – 2,2 %;
8) Illegal getting of grants for payment of
accommodation and public services –
11,2 %, etc.;
If damage to property was inflicted in the
form of evasion of compulsory payment, there are
following ways of inflicting damage to property:
1) Decreasing of coefficient “working day”
when submitting documents to the tax
authorities concerning unified tax on
imputed earnings – 0,1 %;
2) Running entrepreneur activity of selling
foodstuff without registration in the state
organ and with non-payment of tax on
imputed earnings – 0,6 %;
If the damage was inflicted in the form of
conversion into the personal benefit by people not
authorized to receive these payments, there are
following ways of inflicting damage to property:
1) Ticket-free transport of passengers by the
conductor in a train by abuse of trust –
12,4 %;
2) Moving passengers with second-class
sleeping carriage ticket to a compartment
by abuse of trust – 2,9 %, etc.
3) Transport of luggage without making
required documents by a conductor of a
train by abuse of trust – 2,9 % etc.;
The analysis leads us to the conclusion that
the event of infliction of damage to property is
carrying out of actions violating relationships
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Sergei V. Terskov and Larisa P. Klimovich. Infliction of Damage to Property by Fraud or Abuse of Trust: Aggregate...
related to property and inflicting losses to the
proprietor (owner) of a property (direct real
damage, which is expressed in depreciation of
property, and indirect – non-receipt of tribute) on
the basis of civil, administrative and labor legal
relations.
It also important to note that today the court
and investigation practice in the Russian regions
is ambiguous, some of the ways of inflicting
damage to property by fraud or abuse of trust with
an absence of theft factors become not topical; for
instance, illegal receipt of grant via submitting of
false certificate about salary (due to the changes
in the mechanism of paying for public services,
because payments are carried out through a bank
now); other ways due to the different reasons
are hardly established, for example, illegal use
of electricity (including damaging of a meter) –
due to the absence of effective methodology of
counting illegally consumed energy, etc. The
following ways are now put in the forefront: not
sanctioned use of the Internet under someone’s
account and password by fraud (abuse of trust);
use of cellular operators (Internet, calls, SMS)
from someone’s SIM-card (modem) by fraud or
abuse of trust (including making intercity calls;
ticket-free transfer of passengers by a conductor
of a train by abuse of trust, and also illegal
actions in the sphere of communal services and
organizations’ activity (more than 14,1 %) and
others.
On the 7th of December, 2011 the Criminal
Code was amended, namely, the part 1 of an
article 165 was decriminalized. Due to this fact,
parts 1 and 2 of an article 165 of the Criminal
Code were stipulated in the following version:
“1. Inflicting of damage to property of a
proprietor or other owner of property by fraud
or abuse of trust in the absence of theft factors,
committed on a large scale, …
2. Act, stipulated in the first part of the
article: a) committed by the group of persons
by previous concert or by organized group; b)
Inflicted especially large scale damage…”
It should be noted that comments to the
article 158 are not applicable to such qualifying
factors, as infliction of damage to property by
fraud and abuse of trust, with the absence of theft
factors of part 1 “committed on a large scale” and
part 2 “inflicted especially large scale damage” of
the article 165. This is conditioned by discrepancy
of substance of qualifying factors of a body of a
crime to the substance of commentary to the article
165. That is why, in order to adjust qualifying
factors in accordance with the commentary to
the article 158 of the Code, we suggest stipulating
the liability for inflicting “especially large scale
damage” to property in the part 1 of the article
165, “on a large scale” – in the paragraph b of the
part 2 of the article 165 of the Code. By the way,
according to the commentary to the article 158
of the Code, damage committed on a large scale
is damage exceeding 250000 rubles, especially
large scale damage – exceeding 1000000 rubles.
Such approach, in our opinion, will solve several
problems connected with construing of qualifying
factors of this norm.
Decriminalization of the part 1 of the article
165 of the Code contributed to the situation that
most of modus operandi of this crime are now
referred to administrative jurisdiction.
Due to this fact, we hold an analysis of the
court practice of the Central Federal District from
2010 to 2011 (namely, researched 35 sentences
and decisions) with a glance to the corrections to
the article 165 of the Code referred above [3].
After the observing the result we came to
the conclusion that lately crimes of this category
are committed in the form of illegal usage of
property, which includes the following and mostly
widespread modus operandi of this crime:
1) Illegal connection and usage of the
Internet services under someone’s login
and password – 22,9 %;
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2) Non-fulfillment of obligations for
the building materials received by
installment – 2,9 %;
3) Illegal withdrawal of participants of the
garden non-commercial partnership and
subsequent admission of the new ones
by the chairman of this partnership –
2,9;
4) Receipt of land on the lease agreement
for farming from the Administration with
its subsequent deceit about the presence
of a building on a land for buying on the
privilege basis – 22,9 %.
5) Illegal overstating of the quantity of
the works (services) carried out by the
contractor – 2,9 %;
6) Illegal entering into the agreements for
exporting and placement of waste with
subsequent appropriation of funds by the
person conducting management functions
in this organization – 2,9 %;
7) Illegal realization of counterfeit electric
train tickets – 2,9 %;
8) Illegal usage of invalid forms of strict
accounting of the insurance organization
for personal purposes by the workers of
this organization – 22,9;
9) Abuse of funds of state support for
building accommodations in countryside
according to the Federal Target Program
“Social Development of a village until
2010” – 2,9 %;
10) Conducting of paid procedures with
misrepresentation of information or nonregistration of this procedure in documents
with a purpose of misappropriation by
the worker of the medical institution –
2,9 %;
11) Acquiring of privilege passage on the
railway transport by the students via
falsification of school certificates –
8,6;
12) Illegal usage of electric energy in
collusion with the worker of the powerefficient company – 2,9 %.
According to the statistics of the Main
Information Analytic Center of the Ministry
of Home Affairs [1], in 2010 there were 5442
crimes stipulated in the article 165 of the Code,
including:
1) Crimes committed on a large scale and
especially large scale, inflicted large
damage – 2,9 %;
2) Crimes committed in a group – 1,2 %;
3) Crimes committed by an organized
criminal group and criminal community
(organization) – 0,6 % (see Fig. 1).
Total number of people committed crimes
stipulated in the article 165 of the Code in
Russia in 2010 was 4716, 3681 of them were
held criminally liable. The structure of the most
widespread social status of persons, committing
crimes stipulated in the article 165 of the Code
from the total number of people committed
crimes is presented on the Fig. 2:
Most of the crimes of this category in
Russia and Siberian Federal District in 2010 are
committed in the following spheres of economical
activity:
1) sphere of privatization;
2) foreign economic activity;
3) sphere of financial activity;
4) sphere of consumers’ market.
Statistics concerning the total amount of
damage inflicted in the result of committing of
crime stipulated in the article 165 of the Code
in Russia and the Siberian Federal District from
2007 to 2010 are presented in the Fig. 4.
From the analysis referred above the
following summary could be made: firstly, for
this category of cases it is typical:
1) Committing of a crime in a group, in large
and especially large scale (with inflicting
large scale damage);
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Russia, 2010
6000
5000
4000
3000
2000
1000
0
5442
Crimes stipulated by the
article 165 of the Code
316
129
60
Crimes committed on a
large scale and especially
large scale, inflicted large
damage
Crimes committed in a
group
Crimes committed by an
organized criminal group
and criminal community
(organization)
Fig. 1. Crimes committed in Russia, article 165 of the Code, 2010
Managers
0,5
1,7
1,4
Workers
Workers of investment and bank
systems
0,7
6,1
Proprietors, owners
Entrepreneur without creating a legal
entity
Fig. 2. Structure of the most widespread social status of persons committing crimes stipulated in the article 165
of the Code from the total number of people committed crimes in 2010.
2) Persons committing a crime stipulated in
the article 165 are usually workers;
3) Most of the crimes of this type are usually
committed in the financial sphere and
consumers’ market;
4) The dynamics of the damage inflicted has
no visually expressed tendencies. The
reason for that is that in different periods
different forms and modus operandi of
crime dominate, which is supported by
the analysis of the court practice referred
above, modus operandi change, getting
new substance, which call forth the
necessity for scientific reasoning of the
ways of calculating damage inflicted to
property. The absence of the methodology
of calculating complicates the process and
lowers its effectiveness.
To sum up, we discovered the aggregate of
circumstances sufficient for the establishment of
the crime event – infliction of damage to property
by fraud or abuse of trust with the absence of theft
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4000
3585
3500
3000
2500
2000
1500
1000
499
500
25
5
0
262
48
0
0
Sphere of
privatization
Foreign economic
activity
Sphere of financial Sphere of consumers’
activity
market
2010 in Russia
2010 in the Siberian Federal
District
Fig. 3. Spheres of economical activity where the crime stipulated in the article 165 is mostly widespread
600000
550781
506890
476034
500000
In Russia
400000
In the Siberian Federal
District
300000
200000
100000
15843
27991
5684
0
2008 ɝɨɞ
2009 ɝɨɞ
2010 ɝɨɞ
Fig. 4. Damage to property inflicted (thousand rubles) in Russia and the Siberian Federal District in the article
165 of the Code from 2008 to 2010.
factors, all of which without exceptions have to be
established at the beginning of the investigation
of a crime. As a result of the empirical research
and the analysis of statistics on the article 165 of
the Criminal Code, we noted possible forms of
criminal acts, indicating modus operandi, and
also the characteristics of social status of people
committing these crimes, spheres, in which
these crimes are mostly widespread. Moreover,
the proposal was made for regulating unified
construing of the amount of damage inflicted to
property.
The absence of the methodology of calculating
damage inflicted to property complicates the
process of investigating of this category of cases.
Thereupon the recommendations to investigators
have to discover all essential circumstances for the
event of a crime. Usage of such recommendations
in investigator’s practice will be directed at the
improvement of investigation of this crime.
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References
The main Information Analytic Centre of Ministry of Internal Affair [Electronic resource]
http://10.5.0.15/cms/ (date of request: 18.03.2011).
Loginova N. G. Criminal liability for infliction of property damage with the absence of theft
factors: monograph/ N.G.Loginova. – Krasnoyarsk: SLI MIA of Russia, 2010.
Materials are received from official site of “SAS RF (State Automated System of Russian
Federation)” “Pravosudije” http://www.sudrf.ru/.
Materials are received: on request from the courts of 7 subjects of the Russian Federation; from
official site of “SAS RF (State Automated System of Russian Federation)” “Pravosudije” http://www.
sudrf.ru/ on 58 subjects of the Russian Federation; as a result of examination of archival criminal cases
in courts of 3 subjects of the Russian Federation.
Причинение имущественного ущерба путем обмана
или злоупотребления доверием:
совокупность обстоятельств, существенных
для решения вопроса о возбуждении уголовного дела
(анализ судебной практики)
С.В. Терсков, Л.П. Климович
Сибирский юридический институт ФСКН России
Россия 660131, Красноярск, ул. Рокоссовского, 20
В статье рассматривается совокупность обстоятельств, существенных для установления
события причинения имущественного ущерба путем обмана или злоупотребления доверием:
время, место, способ и другие обстоятельства совершения преступления. По результатам
эмпирического исследования автором определяются возможные формы преступного деяния, а
также характерные для каждой формы способы совершения преступлений. По результатам
анализа статистических данных по ст. 165 УК РФ отмечается, что большинство указанных
преступлений совершаются в сфере финансовой деятельности и потребительского рынка,
что обусловливает выбор методик исчисления имущественного ущерба.
Ключевые слова: событие преступления, предмет доказывания, способ совершения
преступления, обман, злоупотребление доверием, имущественный ущерб, судебноэкономическая информация.
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Journal of Siberian Federal University. Humanities & Social Sciences 10 (2012 5) 1458-1464
~~~
УДК 332.156
Establishment of Agglomerations as
the Basis for Solving the Problems
of Modern Cities Development in Russia
(by the Example of the Krasnoyarsk Agglomeration)
Mikhail B. Dvinskiy, Anna G. Brevnova,
Alexander M. Bulavchuk and Tamara S. Gershman*
Siberian Federal University
79 Svobodny, Krasnoyarsk, 660041 Russia 1
Received 13.09.2012, received in revised form 25.09.2012, accepted 03.10.2012
The article considers the need of agglomerative development for the purpose of solving the key
problems of the Russian cities: traffic congestion, development of the real sector of economy (industry)
and territorial planning. We analyze the basis of each of the above named problems and prove that it is
impossible to find the solutions of the presented problems inside a particular megalopolis.
Keywords. Agglomeration, agglomerative development, territorial problems of the cities, territorial
planning, real sector of economy, industry, traffic congestion.
Introduction
In market economy, large metropolitan
areas and cities have become major sources
of development. Administrative, financial and
human resources are concentrated here (these days
about 1.7 billion people live in agglomerations
with population exceeding 1 million people –
24.2 % of the planet population), which creates a
prerequisite for the post-industrial shift.
Other territories, such as satellite cities and
rural areas, have turned into auxiliary elements
of city development. However, any process of
urbanization has its limits: intensive development
of the urban area starts to fail at a certain stage
and ceases to create positive economic and social
effects. The economic aspect arises in this case:
*
1
formerly industry concentration gave an additional
effect (“agglomeration effect”) due to the broad
possibilities of combination, co-operation, and
the use of over-concentration, while later negative
aspects moved to the forefront:
- traffic congestion in cities,
- water supply difficulties,
- environmental problems.
Thereupon, the industry is compelled to
“leave” big cities, while science, research and
development, financial management and other
areas substitute it. Therefore, it changes the
requirements for the infrastructure and planning
of the city: the need to develop the infrastructure
in suburban areas and to increase the capacity of
highways in central parts arises, because of the
Corresponding author E-mail address: decanka@mail.ru
© Siberian Federal University. All rights reserved
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increasing housing density, higher number of the
storeys built.
In 2010 there were 22 agglomerations with
the population exceeding one million totaling to
48.7 million people (34% of the total population
of Russia).
The process of the Krasnoyarsk
agglomeration formation was initiated in
September 2007 by Alexander G. Khloponin,
Krasnoyarsk Territory ex-governor. The main
purpose of the Krasnoyarsk agglomeration
was defi ned in A.G. Khloponinin’s report for
the Ministry of Regional Development of the
Russian Federation in 2007: “Elimination of the
difference between the pace of development of
European part of Russia and the Krasnoyarsk
Territory, formation of a powerful urban center in
Siberia capable to attract experienced workforce
and become a comfortable place to live”.
Solution to the issues
of territorial planning
Unlike a particular big city, the agglomeration
has a more rational territorial distribution of
important objects. Due to significant territorial
resources, urban renewal is possible, and it is one
of the most important factors of modern cities’
development.
Because of the difference in the land
price in the center and the periphery, various
productions, occupations and a part of the
population is gradually moving from the center
to the periphery.
Suburbanization of the population and
industry gives an impulse for the periphery
development, recovers its economy. As a result,
the center is able to update and maintain its
function of storage and generation of innovation.
Meanwhile, the chaotic development of the
agglomeration generates a number of systemic
problems connected with the efficient territory
use.
The territory that is situated in a close
proximity to Krasnoyarsk city as well as the
woodland zone around the city is constantly under
continuous designed construction process that can
be forecasted, which identifies the development
of the center of the Krasnoyarsk Agglomeration
by the “oil stain” principle. Lack of a unified
and approved strategy of territorial development
leads to filling of the most significant territories
with poor architecture with limited green zones,
irrational consolidation of city density and as a
result lower comfort of living.
In addition, territorial development is
restrained by extremely irregular supply of the
main types of engineering infrastructures. In
general, the area has a sufficient infrastructure
potential for the production development.
However, it should be taken into account,
that Krasnoyarsk and areas under its influence
represent a monocentric agglomeration; therefore
the territory is supplied with core infrastructures
irregularly.
That is why in terms of production placement
the most attractive areas are in the core of the
agglomeration or in immediate proximity of
it. Consequently, this results in the fact that
environmentally harmful productions can be
placed here due to economic efficiency.
Observance of interests of all managing
subjects during territorial planning becomes
complicated with the existence of an
interdisciplinary (inter-branch) component.
Territorial plans should be based on an
integrated strategy that takes into account the
development of the economy and the social sphere.
At the present moment the strategy project of
development of the Krasnoyarsk agglomeration
needs additional study, update and approval.
Up to the present moment the Krasnoyarsk
Territory government has not had any “specific”
policy in respect of the agglomeration. The
processes of self-organization were prevailing.
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Only long-term, multi-faceted, coordinated
work of authorities at the federal, regional and
municipal levels that is able to develop and
adjust to the ongoing process of the region and
country development, will be effective and allow
Krasnoyarsk become a competitive city attractive
for living, as well as an investment center of interregional and international level.
Development of the real sector
of economy (industry)
It is known that the main part of industrial
production in Russia is concentrated at large
enterprises having considerable capacities and, as
a result, occupying extensive land lots. Especially
large areas are occupied by the enterprises of the
machinery construction sector of the national
economy. It is characterized by the large-sized
equipment, extensive production infrastructure,
inability to use multi-storied building due to
technological features of production.
Special features and peculiarities of
factories and enterprises placement are rooted
in the Soviet Union period. Very often industrial
facilities were situated at the territory of big
cities, often even in the central part of a city zone
or near inhabited quarters. This arrangement
was defined by transport availability to labour
forces (during the Soviet Union period the
level of development of individual transport
was extremely low and people’s mobility was
carried out with use of public transport or on
foot), proximity of infrastructure and rather high
quantity of free ground resources within the city
zone (the share of urban population in those days
was considerably lower than these days).
In subsequent periods, the main tendency
of territories’ development in big cities was their
expansion along with acquisition (mergence) of
suburbs as a result of the urbanization process
development; therefore, the industrial enterprises
which have been settling down earlier on the
suburb, appeared within the city area or even in
the business center. Nowadays it causes a number
of problems, such as: inefficient use of urban
areas, violation of town-planning regulations and
deterioration of the city environmental situation.
The data presented above testifies that
the machine constructing enterprises, as well
as other industrial enterprises are large land
users. Industrial facilities occupy about 18 %
of the total area of Krasnoyarsk city. Growth of
urban population caused prompt development
of construction of residential buildings, as well
as commercial and business centers. As a result
the large quantity of the enterprises appeared in
residential or commercial zones of big Russian
cities. In this regard another problem occurred
– high cost of ground resources on territories of
megalopolises and, as a result, high payments for
the placement space. As a result, the economy
today is constrained to take certain losses: the
underestimated cadastral assessment of land lots
is set up for industrial land users, in comparison
with alternative using options. It turned up into
losses of the budgetary system at the municipal
Table 1. The occupied area of the Krasnoyarsk city by largest engineering plants
Name
Area (square km)
Percentage (%)
658,057
0.17
OJSC Krasnoyarsk Electric Train Repair Plant – branch of
OJSC Russian Railways
336,157.29
0.08
CJSC Siberian Heavy Machinery Construction Plant
1,228,214.7
0.32
OJSC Krasnoyarsk Harvester Plant
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level. Thereby, everyone is at a disadvantage from
placement of industrial facilities at the territory
of big cities and megalopolises: the enterprises
incur high costs for payments in the budget,
the population suffers additional environmental
pressures and authorities lose additional payments
in the budget.
In the presented analysis, it would seem
that a solution to a current situation is obvious:
a withdrawal of industry capacities from cities
and megalopolises to the free land plots. Also
it is obvious that property in the central part of
the city is more expensive than similar property
beyond its limits, and necessity of construction of
new manufactories is required not only because
of the removal, but also because of the high level
of deterioration.
In Table 2 below we present the calculation of
possible cost of land plots under the chosen large
objects of industrial land use. The calculation is
made on the basis of research of the year 2006
(for the today’s period of time real estate cost in
Krasnoyarsk is at the price level of 2007-2008
that defines an urgency of the presented values).
The calculations presented in the table above
define a significant value of the land resources
occupied by industrial objects, and prove
economic feasibility of their complete or partial
removal from the city. But it does not occur in
practice due to several reasons:
- Imbalances of the infrastructure
development: suburbs of big Russian
cities, as a rule, have a low level of
infrastructure development: they are in
need of investments into transport, power
and other infrastructure construction.
Therefore, removal of industrial facilities
can be economically effective only in case
of a comprehensive approach: preparation
of sites for removal of several industrial
enterprises at once will allow to save
essentially at the expense of scales;
- Administrative barriers: any industrial or
other construction assumes the long and
expensive period of coordination, approval,
construction and commissioning. In this
regard it is necessary to solve these issues
in a multilateral order: entrepreneurs,
authorities of local government of the
cities and areas, authorities of the subject
of federation, federal services and
departments;
- Insufficiency of budgetary funds:
municipal areas, as well as the majority
of big cities of Russia, have no sufficient
funds for engineering preparation of
territories for removal of industrial
facilities; for the solution of the matter it
is necessary to launch regional or federal
target programmes at the expense of the
funds of the higher level of the budgetary
system of the Russian Federation.
Solution of transport issues
The design framework of Russian cities
was established in the Soviet period and was
Table 2. Cost of land occupied by the largest engineering plants of Krasnoyarsk city.
Land value if used in a best alternative option,
thousand rubles
Name
OJSC Krasnoyarsk Harvester Plant
3 478 489
OJSC Krasnoyarsk Electric Train Repair Plant –
branch of OJSC Russian Railways
2 208 217
CJSC Siberian Heavy Machinery Construction Plant
5 217 456
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not planned to correspond to the contemporary
conditions of the market economy. Transition of
Russia into a post-industrial way of development
changed approaches to city planning: the
increase of the share of the non-material sector of
production caused growth of cost of land resources
in big cities and megalopolises that in turn led
to the increase in number of storeys (density) of
building construction, including the development
of pointed building in the central and business
parts of the cities. In fact, it only intensified the
process of concentration of the population and
economic activities at the territory of the cities
of our country. Hence, the development of the
transport infrastructure was always limited to
space possibilities. As a result, one of the key
problems of our country megalopolises is the
overload of street traffic. This problem is also
urgent for Krasnoyarsk city.
According to the Ministry of Transport
calculations, economic losses from traffic jams
account for 7-9 % of GDP per year (about 4.15.3 trillion rubles). It consists of the cost of low
reliability and velocity of transportations, high
prime costs, frequent road accidents, growth of
emissions of polluting substances. The Ministry
suggests to reorganize the regulations of the
traffic, in particular, to launch some restrictions
in order to solve the problem partially. According
to the Ministry of Transport nearly a third of
federal highways work nowadays in an overload
mode, while multilane roads make 8 % from the
total amount.
The
Krasnoyarsk
agglomeration
is
characterized today by an extremely high value
of passenger traffic: 288.8 million pass/km for
the year 2010. At the same time the significant
part of this flow was transported by personal auto
transport – the daily number of auto transport
users makes more than 800 thousand people.
The distinctive feature of auto transport is a need
for a greater number of vehicles for transporting
the same number of passengers. This is one
of the key problems issues of the Krasnoyarsk
agglomeration: lack of high-speed public
transport.
High growth rates of passenger traffic –
138.4 % in the year 2010 in comparison to the year
2009 also should be noted. It can be accounted for
improvement of the economic situation and, first
of all, quantity growth of personal auto transport.
Thus, if in 1984 in Krasnoyarsk there were 40
cars for individual use of 1,000 inhabitants, in
2004 – 178 cars, now this level reaches 384 cars.
As a result, economic losses of the population and
entrepreneurs only increase from shortage of the
capacity of available transport highways.
The other reasons contributing to the high
density of traffic in the city of Krasnoyarsk are:
- Intensive commuting in the morning rush
hours in the direction the southern river
bank – the northern river bank, and in the
opposite direction in the evening;
- Lack of transport connections from the
city to the suburbs;
- Absence of non-stop driving streets;
- No off-street public transport (due to the
fact that railway has only one round route
and there is no connection to other means
of public transport, railway is separate and
can hardly claim to be public transport)
- Transport accessibility of the city
districts is complicated by the river and
two railway lines;
- Shortage of the highway network;
- No vehicle storage system;
- Imperfect system of traffic management.
The above problems are not a distinctive
feature of the Krasnoyarsk agglomeration; they
are typical for all big Russian cities. In turn, the
suspense of transport problems is the core factor of
environmental degradation. It leads to deterioration
of health, increases costs of health care and reduces
an indicator of the quality of life.
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Table 3. Transport infrastructure projects.
District
Investment,
million rubles
Development of Krasnoyarsk international air hub (multimodal
transport system based on the airport “Krasnoyarsk”)
Emel’yanovskij District
53,375
Construction of the Krasnoyarsk ring road, 2 phase, including
construction 4th road bridge over the river Yenisei
Emel’yanovskij District,
Berezovskij District,
Krasnoyarsk City
18,000
Purchase of the buses for public transportation companies in
Krasnoyarsk
Krasnoyarsk City
320.3
Special economic zone in Emel’yanovskij District
Emel’yanovskij District
Project name
Construction of the city road 11, 12th residential district of a low
housing estate, Molodezhnaya St., in the extent of 1,2 km
Construction of city road Yunosti St., Vesennyaya St., extent
of 2,0 km
Logistics center of the food market of Krasnoyarsk Territory
Currently, in order to solve traffic problems
there are seven major projects in the transport
infrastructure development. A significant part of
these projects involves utilization of neighboring
municipalities, as any other solution to this problem
within the city center is no longer possible.
Thus, about 70% of investment in the
transport infrastructure (excluding Krasnoyarsk
ring road) in accordance with the policy
documents will be forwarded to solve problems
outside of the city of Krasnoyarsk.
Conclusion
The
Krasnoyarsk
agglomeration
is
considered to be a complex area with priority
development of major industries. Thus, resources
of municipalities and their development are not
equivalent; especially it concerns the big city and
boundary territories. Obviously, Krasnoyarsk
performs its functions with other municipalities
that are included in the metropolitan area.
An urgent need for agglomerative
development of Krasnoyarsk city and adjacent
24,903.55
Krasnoyarsk City
119.5
Krasnoyarsk City
136
Emel’yanovskij District
2,218.32
territories is defi ned by a number of factors:
development of the real sector of economy on
the basis of entirely or partially transferring
of existing production plants outside the
city; new solutions to transport problems of
business entities and people inhabiting the
area by means of utilization of the border
territory to construct solid and substantial
highway networks; solving territorial planning
issues: utilization of adjacent territories with a
purpose of disposition of economic and social
facilities.
The concept of “agglomeration” is not
formally defined in the Russian legislation
and this is one of the main factors that hinders
its establishment. As a result, there is no
controlling mechanism for management of city
agglomerations.
In this regard, optimization of the area
development management is only possible on the
basis of an interconnected system of strategic
planning documents of the regional and municipal
levels.
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Mikhail Dvinskiy, Anna Brevnova… Establishment of Agglomerations as the Basis of the Solution to the Problems...
References
Proekt Strategii social’no-ekonomicheskogo razvitiya Krasnoyarskoi aglomeratsii [Project:
Strategies of socio-economic development of the Krasnoyarsk agglomeration], Strategy Partners
Moskow-Krasnoyarsk 2008
Proekt Skhemy territorial’nogo planirovaniya Krasnoyarskoi aglomeratsii [Project: The
Krasnoyarsk agglomeration Territorial Planning Schemes], GIPROGOR, Moskow 2009.
Grudinin M., Popov A. Goroda dlya khoroshei zhizni. [Cities for a good life.] “Expert Siberia”
№13-14 (292), available at http://expert.ru/siberia/2011/14/goroda-dlya-horoshej-zhizni/
Zelenskaja T.V. Razvitie ekonomiki goroda v usloviyakh aglomerativnykh protsessov na primere
Krasnoyarska “Praktika munitsipal’nogo upravleniya” [Economic development of the City in the
agglomerative process on the example of Krasnoyarsk “Municipal management practice”] № 06, 2012
available at http://www.gkh.ru/journals/8753/73778/
Формирование агломераций
как основа решения территориальных проблем
развития современных городов России
(на примере Красноярской агломерации)
М.Б. Двинский, А.Г. Бревнова,
А.М. Булавчук, Т.С. Гершман
Сибирский федеральный университет
Россия, 660041, г. Красноярск, пр. Свободный, 79
Рассматрена необходимость агломеративного развития с целью решения ключевых проблем
российских городов: транспортная перегруженность, развитие реального сектора экономики
(промышленности), территориального планирования. Авторы статьи анализируют основы
каждой из названных проблем и обосновывают идею о том, что решение представленных
проблем сегодня невозможно внутри отдельно взятого мегаполиса.
Ключевые слова: агломерация, агломеративное развитие, территориальные проблемы
городов, территориальное планирование, реальный сектор экономики, промышленность,
транспортная перегруженность.
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Journal of Siberian Federal University. Humanities & Social Sciences 10 (2012 5) 1465-1474
~~~
УДК 331.52
Evolution of a Large-Scale Agglomeration Labour Market
(Based on the Example
of the Krasnoyarsk Agglomeration)
Irina P. Vorontsova*,
Alexander N. Pozdeev and Tatiana A. Samylkina
Siberian Federal University
79 Svobodny, Krasnoyarsk, 660041 Russia 1
Received 10.09.2012, received in revised form 21.09.2012, accepted 03.10.2012
The article presents a methodical solution of the problem of Krasnoyarsk agglomeration labour market
research in compliance with OECD methodology, under deficiency of official statistical information
on municipalities. Besides that, we analysed the tendencies of Krasnoyarsk agglomeration labour
market within the period from 1999 to 2011, examined territorial asymmetry of the agglomeration
labour market and came to the conclusion on the way this asymmetry influences the dynamics of the
labour market key indicators.
Keywords: labour market, economic activity of population, territorial employment structure,
employment by economic sectors, part-time job, hourly workforce productivity, wage.
The present work was performed within the framework of the project “Comparative International
Research of Social and Economic Regional Development and Report for the Organisation for
Economic Co-operation and Development (OECD)” supported by Krasnoyarsk Regional Fund for
Scientific Research and Technical Research Activities, project KF-262.
Introduction
To prepare a territorial review for the
Organisation for Economic Co-operation and
Development (OECD), the authors have analysed
the evolution of labour market of Krasnoyarsk
agglomeration in connection with the evolution
of the labour markets of Krasnoyarsk region,
Siberian Federal District (SFD) and the Russian
Federation (Russia or the RF). The analysis
revealed the key trends, problems and points of
increase of agglomeration economy as an effective
model of sub-national region development.
*
1
Krasnoyarsk agglomeration is a monocentric
metropolitan agglomeration (where the nucleus is
the city of Krasnoyarsk), that is usually mentioned
in connection with the following municipalities:
Krasnoyarsk, Sosnovoborsk, Divnogorsk among
urban districts, and Berezovsky, Yemelyanovsky,
Mansky and Sukhobuzimsky districts among
non-urbanized territories.
The labour market evolution plays an
important role in creation and development of
the agglomeration. Speaking of “labour market
evolution”, the authors mean the process of
Corresponding author E-mail address: vip64@mail.ru
© Siberian Federal University. All rights reserved
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change of the labour market within a certain
period of time. The labour market acts as a
mechanism of distribution and re-distribution
of labour force between economy sectors, types
and forms of economic activities according to its
efficiency within the system of social demands
and ownership patterns.
Our analysis of Krasnoyarsk agglomeration
labour market evolution performed for the period
from 2000 to 2011 was carried out in compliance
with the OECD methodology and covered the
following areas: economic activity of population;
territorial employment structure by economic
sectors and genders; part-time employment;
employment in informal economic sectors;
workforce productivity and wage in the basic
economic sectors.
The research problem was to form an analysis
information base under the conditions of deficiency
or total absence of official statistical information
on the agglomeration and its municipalities.
According to ILO methodology, the analysis of
many indicators of labour market evolution can
be performed by sampling statistical analysis of
population aged 15-72 on the two levels: the RF and
constituent entities of the RF. However, municipal
statistics as an information base of labour market
of the agglomeration does not assume carrying out
any sampling social investigations. This problem
determined the approach to forming information
base for the research on basis of authors’ methods
of calculating indicators and using assessments
provided by experts.
Methods
For the research of the labour market
evolution we turned to the methods of economic
statistics, along with studying opinions of some
experts (heads and specialists of municipality
administrations).
As evaluation indicators for the labour
market evolution we used the following: labour
force; labour force gender; number of employees
(counting by their main workplace) from six
sectors of economy and industry; number
employed people (counting by their residence);
unemployment by ILO methodology in absolute
values; employment rate and unemployment rate
by ILO; number of continuous unemployment
by ILO (more than 1 year); youth unemployment
by ILO (the age category 15-24); informal
employment rate; hourly workforce performance;
average monthly nominal wage.
Methodical approach to determination of the
indicators consists of the following steps:
1. Defining the main ratios of demographic
and labour market indicators of Krasnoyarsk
region.
2. Developing the system of labour market
indicators determination for municipalities,
considering the regional ratios.
3. Determining reference points by correcting
the indicators of economic activity evaluated
by means of documents analysis (particularly
manpower resource balances, reports on actual
hours worked and expert publications).
The economy sectors were analysed
according to the International Standard Industrial
Classification (ISIC, version 3.1).
To determine the labour market indicators for
municipalities, the authors of the present article
derived the following formulae (see Table 1):
Results
Labour force of the agglomeration
increased by 15.3 % within the considered
period. According to our calculations, labour
force dynamics within the agglomeration can be
divided into four periods, 3-4 years each. During
all of them except the last one (2009-2011) the
labour force increased.
The influence rate of agglomeration on the
regional indicators increases: contribution of
the agglomeration to the regional labour force
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Table 1. Formulae for determination municipal labour market indicators *
Indicators
Economic activity of
the population
Formulae
,
LF ( a )
100 %
P15 74 ( a )
L LF ( a )
where: LLF(a) – level of economic activity of the population resident within a certain
agglomeration territory;
LF(a) – labour force of a certain agglomeration territory;
P15-74(a) – population aged 15-74 of a certain agglomeration territory.
Economic activity
of the population by
gender
Number of employees
by their place of
residence
Number of employees
by their main work
place
Number of main work
place employees by
economic sectors
Unemployment by
ILO methodology and
unemployment rate
Number of continuous
unemployment
LFm ( a )
LFm ( Kk ) Pm ( a )
LF ( Kk ) P ( Kk )
LF ( a )
,
LFf (a) LF(a) LFm (a) ,
where: LFm(a) – male labour force of a certain agglomeration territory;
LFf(a) – female labour force of a certain agglomeration territory;
LFm(Kk) – male labour force of Krasnoyarsk region;
LF (Kk) – labour force of Krasnoyarsk region;
Pm(a) – resident male population of a certain agglomeration territory;
Pm(Kk) – resident male population of Krasnoyarsk region.
E (a)
P1574 (a) ˜ Le ( Kk ) ,
where: E(a) – number of employees by their place of residence in a certain agglomeration
territory; Le(Kk) – employment level in Krasnoyarsk region
E main ( a )
N r (a)
E main ( Kk )
N r ( Kk )
,
where: Emain(a) – number of employed workers by their main work place in a certain
agglomeration territory;
Nr(a) – average roll number of workers of organizations in certain agglomeration territory;
Emain(Kk) – number of employees by their main work place in Krasnoyarsk region;
Nr(Kk) – average number of workers of organizations in Krasnoyarsk region.
E main ( s )(a )
N r ( s )( a )
E main ( s )( Kk ) ,
N r ( s )( Kk )
Notations are similar to the previous formula, (s) implies certain economic sector.
U (a )
U reg ( ɚɝɥ )
U ( Kk ) ,
U reg ( Kk )
Lu ( a )
U (a)
LF ( a )
where: U(a) – number of unemployed people by ILO methodology in a certain agglomeration
territory;
Ureg(a) – number of registered unemployed people in a certain agglomeration territory;
U(Kk) – number of unemployed people by ILO methodology in Krasnoyarsk region;
Ureg(Kk) – number of registered unemployed people in Krasnoyarsk region;
Lu(a) – unemployment rate in a certain agglomeration territory.
U c ( a ) U c ,reg ( a )
U c ( Kk )
U c ,reg ( Kk )
,
Notations are similar to the previous formula, index “c” implies continuous unemployment.
Youth unemployment
Calculation formula is similar to continuous unemployment for ages 15-24
Workforce performance WTF
r
WTFnom ˜ k t ,
where: WTFnom(r) – nominal (actual) work time fund;
k t = (k 2007 + k 2009) / 2, where k 2007 and k 2009 – coefficients for 2007 and 2009 – ratio of nominal
work-time funds by data of Rosstat (Russian Statistics Body) and the evaluated fund
Part-time job
* derived by the authors
Ratio of nominal wage funds of external by-workers and engaged with contractor’s agreement to
nominal wage fund of workers on payroll
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Table 2. Economic activity level in Krasnoyarsk region and the agglomeration
Level of economic activity of the population
62.5
Krasnoyarsk
region*
66.1
Krasnoyarsk
agglomeration**
64.0
67.1
69.8
71.9
5.4
3.7
7.9
Russia*
SFD*
minimal level of economic activity, %
64.2
maximal level of economic activity, %
68.3
rate of level change
4.1
* according to Rosstat and Krasnoyarskstat
** calculated by means of the methods derived by the authors
increased from 36 % in 1999 to 42 % in 2011 and
reached 43 % in 2008.
Level of economic activity of the
agglomeration territories’ population exceeded
general levels of Russia and the region. In
2002, economic activity of the agglomeration
territories’ population approached the regional
level (falling behind by 0.5 %), in 2005 reached
it, and in 2008 exceeded it almost by 5 %. Though
this indicator has decreased within the past
years, it still remains higher than in the region,
Siberian Federal District or Russia in general.
The evolution of the agglomeration labour market
has a more intricate pattern. It is characterised by
some dramatic changes within the considered
period (see Table 2).
Krasnoyarsk has determining influence
on the agglomeration labour force market. The
total influence of other agglomeration territories
constitutes no more than 18 %.
The level of economic activity of
municipalities’ population is quite high within
the whole period, and fluctuates within a short
range. Since 2007, the level economic activity
of all municipalities’ population has been
insignificantly varying due to some development
of intra-regional migration.
The gender structure of labour force
is characterized by insignificant male
dominance along with increasing of the female
share. The male share of labour force in all the
municipalities of agglomeration has decreased
within the considered period. The maximal
decrease can be observed in Sosnovoborsk town,
and the minimal in Yemelyanovsky district. The
reduction tendency is caused by some changes
in the economic structure of agglomeration
territories.
The number of employees by main work
place remains relatively constant under the
flexuous dynamics. It had been increasing before
2006 inclusively, but then gradually decreased
during the next years. Drastic influence over the
dynamics was asserted by the city of Krasnoyarsk.
Its share in the agglomeration employment
structure varies around the ratio of 85 %. Other
municipalities influence the general situation
in a less insignificant way, but main work place
employment state is considerably different (see
Table 3).
The most difficult situations are those in
Divnogorsk and Sosnovoborsk towns. In nonurbanized territories the ratio of employment by
main work place is more stable in comparison
with towns. Appreciable decrease of employment,
by 15.2 %, occurred in Yemelyanovsky district
only.
The ratio of employment in the agglomeration
is mainly equal to that in Krasnoyarsk. Since
2006 there has been a significant increase of
employment ratio in Sukhobuzimsky district.
The most unfavourable situation of employment
by main work place is in Sosnovoborsk town (see
Fig. 1).
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Table 3. Dynamics of the number of employees by main work place in agglomeration municipalities*
Berezovsky
Yemelyanovsky
Mansky
Sukhobuzimsky
2011 / 1999, %
Sosnovoborsk
Number of employed workers in 1999,
thousands of people
Number of employed workers in 2011,
thousands of people
Divnogorsk
Indicators
Districts
Krasnoyarsk
Cities and towns
503.6
425.9
14.6
10.4
13.7
23.1
5.8
10.1
455.5
390.0
9.3
7.0
13.5
19.6
4.3
11.9
90.4
91.6
63.7
67.3
98.5
84.8
74.1
117.8
Agglomeration
* calculated by means of the methods derived by the authors
Fig. 1. Ratio of employment by main work place, among population aged 15-74, %
The tendency of employment development
within the agglomeration is different from the
general trends of Russia, Siberian Federal District
and Krasnoyarsk region (see Table 4).
Within the employment structure, the
dominant sector is usually Sector 6 (public
administration and other services): its share
constitutes about 34 % of the whole. The
share of Sector 4 (trade, catering, transport,
communication) is also significant: it reaches
up to 31.4 % in non-urbanized districts. The
employment structure by economic activities
in urbanized and non-urbanized territories
corresponds to the one of the region as a whole.
However, the ratio of employment in agriculture
and industry is 23:15 for non-urbanized territories
and 1:23 for urbanized ones (see Fig. 2).
Within the considered period, the most
significant alteration was observed in Sector
6 (public administration and other services),
where the accession rate was +3.3 % (mainly
due to Krasnoyarsk). Besides, the share
of Sector 4 (trade, catering, transport and
communication suffered a little decrease,
by 2.4 %. The shares of other sectors hardly
changed at all.
Processing industry is the leader among
industry sectors by employment share.
Generally, the share of workers engaged in
industry (Sector 2) of the agglomeration and region
is almost equal (22.3 % and 20.8 % respectively).
However, the structure of employment in industry
sectors is significantly different from that of the
region (see Table 5).
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Table 4. Changes in the ratio of employment by main work place
Russia*
SFD*
Krasnoyarsk
region*
Krasnoyarsk
agglomeration**
1999
63963.4
8680.8
1401.4
503.6
2010
67576.7
9027.0
1439.3
451.8
105.6
104.0
102.7
89.7
Indicators
1 Number of employed workers, thousands of
people
2 Relative alteration (2010 / 1999), %
* by data of Rosstat and Krasnoyarskstat
** calculated by means of the methods derived by the authors
Fig. 2. Employment structure by ISIC (average values from 2006 to 2009)
Table 5. Structure of employment by sectors of industry (average, 2006-2009)*
Sectors of industry by ISIC
Territory
Sector 2.1
Sector 2.2
Sector 2.3
Krasnoyarsk region
11.3%
70.5%
18.2%
Krasnoyarsk
1.1%
84.7%
14.2%
other municipalities of the agglomeration
4.1%
76.4%
19.5%
* calculated by means of the methods derived by the authors
The structure of employment by industry
sectors has hardly changed within the past 10
years. Processing industry enjoys the main share
in the total number of employed workers (84.7 %
in Krasnoyarsk and 76.4 % in other territories).
The share of processing industry has
decreased by 2.2 %; the growth of extractive
industry is +0.8 %, while the share of employment
in power industry has increased by 1.4 %.
The number of workers employed in
their place of residence is continuously
increasing. In 2010, the number of workers
employed in their place of residence exceeded
the number of workers employed by their main
work place. The growth rate of number of
workers employed in their place of residence
is also higher than that of workers employed in
their main work place.
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The level of employment in the
agglomeration territories varies from 30 %
to 80 %. The rate of workers employed in their
place of residence is comparable with the general
trends of Siberian Federal District and Russia as
a whole.
In the agglomeration territories, the share
of male workers is decreasing, though it is still
dominating in comparison with the female
share. Male employment in the place of residence
is also dominant in Russia, Siberian Federal
District and Krasnoyarsk region, along with the
territories of Krasnoyarsk agglomeration.
Unemployment among agglomeration
citizens has reduced 2.3 times within the past
10 years. Unemployment boom occurred in 2009
as a result of the world financial crisis. During
the post-crisis period, the number of employed
decreased, and now (in 2012) it counts up to 96
thousand people. Krasnoyarsk city is the main
contribution to the unemployment ratio in the
agglomeration. Other territories influence it much
less. Unemployment rate is high in Sosnovoborsk
town and Mansky district. Other territories
exceeded average regional rate in some certain
years (see Fig. 3).
The share of continuous unemployment
in
Krasnoyarsk
agglomeration
is
significantly less than the average regional
and Russian ones, and does not exceed 10.016.1 %, whereas, during some certain years, in
Russia it was 28.7-36.7 %, and in the region it
was 22.3 – 32.2 %.
The share of young people among the
unemployed in the agglomeration is about
2 times less than in Russia or Krasnoyarsk
region. As a whole, the dynamics of youth
unemployment in the agglomeration is the same
as in the region (see Fig 4).
A more favourable situation with continuous
and youth unemployment is determined by
the high business activity (especially in the
agglomeration nucleus, Krasnoyarsk city) and
quite wide opportunities for application of skills
and labour power.
Hourly workforce performance within
the agglomeration has positive dynamics; its
level is higher than in RF and the region. In
2011 it was 489.63 roubles per man-hour. In the
agglomeration, the leader in labour performance
is Krasnoyarsk city: in 2011 this indicator reached
554.23 roubles per man-hour.
In the year 2009, the growth of workforce
performance in Krasnoyarsk agglomeration
reached the lowest level, which was -10.06 %.
This tendency was typical for both Krasnoyarsk
Fig. 3. Unemployment level by ILO methodology, %
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Fig. 4. The dynamics of youth unemployment
Fig. 5. Comparative dynamics of workforce performance and nominal wage in Krasnoyarsk agglomeration and
Krasnoyarsk region, %
region and Russia as a whole, and was caused by
the sequences of the world financial crisis.
During the pre-crisis years (2005-2008)
workforce performance was increasing by around
7.2 % every year. The heaviest effect was asserted
on hotel and restaurant businesses, construction
industry and trade. The most considerable
performance growth occurred in extractive
industry, agriculture and forestry in the year
2009. That is why in 2009 the leaders of workforce
performance growth were agricultural territories,
Mansky and Sukhobuzimsky districts.
In the post-crisis years (2010-2011), labour
performance was continuously growing, and
by the year 2012 it had exceeded the pre-crisis
level by 40 %. In this period the leaders of
workforce performance were Divnogorsk town
and Yemelyanovsky district.
In the year 2011, the growth of
hourly workforce performance rate in the
agglomeration exceeded the rates of wage and
level of investment into basic capital.
Within
2010-2011,
the
workforce
performance increased by 55.4 %, and nominal
wage grew by 23.9 % (see Fig. 5). Along with
this, the growth of investment into basic capital
also rose up to 23.7 %, whereas in 2008-2009
these indicators were growing by around 6 %
per year. This tendency was broken in 2010, as a
result of the world financial crisis except for the
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two territories of the agglomeration (Berezovsky
and Yemelyanovsky districts), where in the year
2010, some agricultural complex objects reached
their project capacities and where the major units
of transport infrastructure are located.
The drop of the performance growth rate
in an industrial town Sosnovoborsk is caused
by reorganization of engineering industry in
the region within the considered period. The
decrease in the performance growth rate in
some non-urbanized territories (Mansky and
Sukhobuzimsky districts) is caused by the
modernization of agricultural technology that
took place in the post-crisis year 2010. As they
implemented the programs for development
of the agglomeration territories in 2011, the
positive tendency of the growth rates proportion
between the labour performance and wage was
restored.
By the level of monthly average wage
Krasnoyarsk agglomeration traditionally
takes over the average Russian level and the
level of Siberian Federal District, and, since
2006, this indicator has overcome the average
one of Krasnoyarsk region as well.
The monthly average wage in the
agglomeration, in comparison with the regional
one, is the largest for all economic sectors except
for extractive, engineering and power industries.
The average wage in the engineering industry
sub-sector gets behind the regional one by 1015 % within one time period.
Branch-wise wage differences, specific for
Russian economy, are also typical for the whole
agglomeration. Employees engaged in some
financial activities and real estate operations
(about 10 % of employment) enjoy the highest
wage level. The wage in this sector is almost
1,5 times higher than the average among all
sectors. The lowest monthly average wage level is
maintained in agriculture: about 60 % of average
agglomeration value. During the last five years
the wage in state-financed branches pulled up to
the regional average value.
The distribution of resource base and
productive force cause asymmetry of the
agglomeration labour market development.
The wage in the nucleus of the agglomeration,
Krasnoyarsk city, is 1.5-2 times higher than in
its periphery. The lowest wages are found in
Sukhobuzimsky district, Mansky district and
Sosnovoborsk town.
The share of jobs that allow part-time
employment takes up around 3 % of all jobs
in Krasnoyarsk agglomeration. During the
crisis, the amount of time worked was reduced
because of the workers who had to change
from their regular job to a temporary one. In
the years 2009 and 2010, the share of jobs that
allow part-time employment in Krasnoyarsk
agglomeration was 3.6 %. In non-urbanized
territories of the agglomeration this indicator
is slightly less than in towns: only 1-2 % less.
Sector specificity assumes different use of
part-time employment. The possibility of parttime employment is less than 1 % in extractive
industry and public administration, 6 % in
restaurant and hotel businesses and counts up
to 11 % in education.
Conclusion
Thus, in the present state of Krasnoyarsk
agglomeration labour market one can see some
positive tendencies, which can push it towards
some social and economic development in the
following key points:
• regular growth of labour force;
• increase of economic activity of the
population;
• rise of employment in the place of the
workers’ residence;
• decrease of unemployment rate;
• increase of workforce performance and
wages.
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Irina P. Vorontsova, Alexander N. Pozdeev… Evolution of a Large-Scale Agglomeration Labour Market...
It gives us ground to suppose that the
forming model of the agglomeration is
enabling us to smoothen the negative effects of
territorial asymmetry observed in the labour
market in both urbanized and non-urbanized
territories.
References
1. Programs of Social and Economic
Development of the Territories of
Krasnoyarsk Agglomeration.
2. Strategy of Social and Economic
Development
of
Krasnoyarsk
Agglomeration Till 2020 of the Priority
Infrastructure
(Investment)
Project
“Complex Development of Krasnoyarsk
Agglomeration Till 2020.”
3. Official Data of Russian Federal
State Statistics Service (Rosstat)
and Krasnoyarsk Territorial Body of
Russian Federal State Statistics Service
(Krasnoyarskstat).
Эволюция рынка труда крупной агломерации
на примере Красноярской агломерации
И.П. Воронцова,
А.Н. Поздеев, Т.А. Самылкина
Сибирский федеральный университет
Россия, 660041, Красноярск, пр. Свободный, 79
В статье представлено методическое решение проблемы исследования рынка труда
Красноярской агломерации в соответствии с методологией ОЭСР в условиях дефицита
официальной
статистической
информации
по
муниципальным
образованиям.
Проанализированы тенденции изменения состояния рынка труда Красноярской агломерации
за период с 1999 по 2011 год. Рассмотрена пространственная асимметрия рынка труда
агломерации и сделаны выводы о её влиянии на формирование динамики ключевых индикаторов
рынка труда.
Ключевые слова: рынок труда, экономическая активность населения, пространственная
структура занятости, занятость по секторам экономики, неполная занятость, часовая
производительность труда, заработная плата.
Работа выполнена в рамках проекта «Разработка методики проведения сравнительных
международных исследований по социально-экономическому развитию региона и подготовка
научного доклада для организации экономического сотрудничества и развития (ОЭСР)»
при поддержке Красноярского краевого фонда поддержки научной и научно-технической
деятельности, проект КФ-262.
Copyright ОАО «ЦКБ «БИБКОМ» & ООО «Aгентство Kнига-Cервис»
Journal of Siberian Federal University. Humanities & Social Sciences 10 (2012 5) 1475-1482
~~~
УДК 314.9
Tendencies in Change of the Population Size
and Structure of Krasnoyarsk Agglomeration
Evgenya G. Grigorieva*,
Katrin I. Miller and Anna R. Semenova
Siberian Federal University
79 Svobodny, Krasnoyarsk, 660041 Russia 1
Received 08.09.2012, received in revised form 16.09.2012, accepted 03.10.2012
The article presents the results of the analysis of the demographic situation in the Krasnoyarsk
agglomeration on the background of the Krasnoyarsk Territory and the Russian Federation. The
authors determine the features of the changes in number and structure of the population of the
Krasnoyarsk agglomeration and the key factors. Moreover, the given work pays special attention to
the irregularity of the resettlement of the population.
Keywords: demographic situation, density of population, birth and death rates, migration and
demographic problems.
The work is done in the framework of the project “Development of methodology of comparative
international research on socio-economic development of the region and the preparation of scientific
report for the organization for economic cooperation and development (OECD) “Territorial review
of the Krasnoyarsk agglomeration” supported by project KF-262 financed by Krasnoyarsk Regional
Fund for Supporting Scientific Research and Technical Research Activities”.
Demographic situation
in Krasnoyarsk Territory
In recent years some positive tendencies
in the growth of Russian Federation population
are outlined: fertility growth and a decrease in
mortality and natality take place in many territories.
Meanwhile, reproductive characteristics of
Krasnoyarsk Territory population are above the
average: in 2010 the birth rate increased by 1 ‰
while the death rate decreased by 0.8 ‰. In 2009
and 2010 natality was growing positively while
the rest of the country was experiencing natural
loss of 1.7 ‰ in population size.
*
1
However, demographic condition is still one
of the most acute problems in social-economic
development of the territory. Krasnoyarsk
Territory is influencing the country’s demographic
tendencies on a large scale as it occupies almost
one seventh of the whole territory of Russian
Federation and even more appears as the biggest
region of Siberian Federal district.
The population size of Krasnoyarsk Territory
ranks as the first within Siberian and Far East
territories. By the 1st January 2010 there were
2,838.4 thousand people living in Krasnoyarsk
Territory (14.7 % of the Siberian Federal district
Corresponding author E-mail address: egrigorieva@sfu-kras.ru
© Siberian Federal University. All rights reserved
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Evgenya G. Grigorieva, Katrin I. Miller… Tendencies in Change of the Population Size and Structure of Krasnoyarsk...
Table 1. Area and population of the Russian Federation, Siberian Federal District, Krasnoyarsk Territory and
Krasnoyarsk agglomeration in 2010
Russian Federation
Siberian Federal
district
Krasnoyarsk
Territory
Krasnoyarsk
Agglomeration
Area (square km)
17,098,242
5,145,300
2,366,797
24,148.4
Average resident
population (people)
142,626,386
19,327,227
2,800,098
1,160,663
Birth rate (‰)
12.5
13.9
15.1
13.5
Death rate (‰)
14.2
13.9
17
11.6
Percentage of urban
population (%)
73.08
70.86
76.3
91.9
Indicator
inhabitants and 2 % of the population of Russian
Federation). The entire area of Krasnoyarsk
territory estimates 2,366.8 thousand square
kilometers which ranks 2nd biggest territory in
Russia and stands for 46 % of Siberian Federal
district territory and 13.8 % of whole Russian
Territory.
Population of the Krasnoyarsk territory
is spread around water and the main traffic
arteries. The south of the region (10 % of the
whole territory) has become home to 82 % of
overall population and it concentrates the largest
proportion of urban settlements. Moreover, one
third of the territory population lives in the
capital city of the region. Many big cities such
as Kansk (94,000 people) and Achinsk (110,400
people) are situated close to the Trans-Siberian
Railway. Submeridianal river Enisey lies close
to other big cities such as Minusinsk (74,000
people) and Lesosibirsk (66,300). Though there
is one exception that Norilsk is situated behind
the Polar circle with its urban agglomeration of
176,000. Almost 94.5 % of rural population is
concentrated south from Angara River which
estimates 21.2 % of territory area.
During the last twenty years the population
dynamics of the Krasnoyarsk territory is reducing.
With its top value of 3,164.2 thousand people
reached in 1992, by 2010 it declined by 337.7
thousand (almost 10.7 %). This decline is caused
by 54.7 % due to natural loss and by 45.3 % due to
migration loss. First of all, depopulation is more
significant in rural areas (population here declined
by 22.7%) and northern districts (population here
declined by 26 %).
Female population dominates in Krasnoyarsk
Territory and stands for 53.4 % out of total
population. Age structure of the population is
similar to all-Russian. The relation of non-working
population to working population is lower than
the same indicator in the Siberian Federal District
and the rest of Russia. However, since 2007 the
territory has experienced an increase in nonworking population.
Life expectancy (for people born in
Krasnoyarsk Territory) is 1 year less than
average in Russia. Though, the difference in life
expectancy between urban population and rural
population in Krasnoyarsk Territory is higher than
Russian average (4, 3 and 2, 7 years accordingly)
while the difference in life expectancy between
men and women is slightly less (11.6 and 11.9
accordingly).
One of the core problems of low life
expectancy is extra-high death rate, particularly
within able-bodied men. Causes of death in
Krasnoyarsk Territory are similar to all-Russian.
However, we can distinguish that people here die
more frequently due to the following reasons:
accidental alcohol poisoning, suicide, infectious
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Evgenya G. Grigorieva, Katrin I. Miller… Tendencies in Change of the Population Size and Structure of Krasnoyarsk...
Fig. 1. Krasnoyarsk Agglomeration
and parasitic diseases and car accidents. Ecology
is also influential and causes more and more
deaths of neoplasm.
Distinctions in standards of life between
urban and rural population of able-bodied age in
Krasnoyarsk Territory are more significant than
the rest of Russia and Siberian Federal District
which means greater and more considerable
difference in quality and conditions of life.
Infant mortality in Krasnoyarsk Territory
in comparison to Siberian Federal District (on
average 1 ‰) and Russian mean value (on average
2.7 ‰) is rather high, despite the latest tendencies
to decrease.
All in all, during the last two decades
Krasnoyarsk Territory has earned a reputation
of a region that provides other regions with
population. Growth migration loss was spread
up until 2006 but from 2007 up to 2011 it turned
into migration growth supported by external
migration. Meanwhile, the number of people
heading for other regions is still higher than
the number of people entering Krasnoyarsk
Territory. Also, international migration balance is
increasing. Three forth of international migrants
come from Baltic States and CIS. Thus, 66.3 %
out of all people who arrived to Krasnoyarsk
Territory came from Tajikistan, Azerbaijan,
Armenia, Kazakhstan and Ukraine. On the other
hand, 79.6 % of general number of people who
left Krasnoyarsk Territory went to Ukraine,
Germany, Kazakhstan, Belarus and Azerbaijan.
Krasnoyarsk Agglomeration is the core
and chief area of Krasnoyarsk Territory (Fig. 1)
which occupies a territory with highest density of
population within Krasnoyarsk Territory borders:
by 1st January 2012 Krasnoyarsk Agglomeration
occupied 24.1 thousand square kilometers which
stands for 1 % of the whole Krasnoyarsk Territory
with a number of 1,185,697 people living there
(41.8 % of all people living in Krasnoyarsk
Territory and 50.5 % of urban population).
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Krasnoyarsk agglomeration consists of:
• Urban
districts
Krasnoyarsk,
Sosnovoborsk and Divnogorsk.
• Regions – Berezovskij, Emelianovskij,
Manskij and Sukhobuzimskij regions.
Krasnoyarsk is a central city of the
Krasnoyarsk territory.
Memorandum
about
organization
and implementation of municipal project
“Comprehensive development of Krasnoyarsk
Agglomeration until 2020 year” was signed on
17th April 2008 between municipalities stated
above.
In this particular case, urban agglomeration
is defined as space-saving spatial grouping of
settlements (mainly urban settlements) combined
in one agglomeration by means of intensive
production, labour, cultural and recreational
relations. From a monocentric and polycentric
point of view, Krasnoyarsk Agglomeration
composed of three cities and four non-urbanized
municipalities is a monocentric agglomeration
with a central city of Krasnoyarsk.
Fluctuations in number
and placement of Krasnoyarsk
Agglomeration population
During the period of 2000-2012, Krasnoyarsk
Agglomeration resident population dynamics
can be characterized by steady growth while
the population of the Krasnoyarsk Territory was
decreasing. During the last 12 years the population
of the whole region has declined by 6.1 % while
population of the Krasnoyarsk Agglomeration
has risen by 8.4 % which means accordingly
that concentration of the number of people living
within the borders of agglomeration has increased
in comparison to the amount of population living
in the rest of Krasnoyarsk Territory (from 36.2%
to 41.8%).
The main two sources of population
growth within Krasnoyarsk agglomeration can
be distinguished which are cities Krasnoyarsk
and Sosnovoborsk (these cities have the same
growth rate of 110.7 %). At the same time,
Berezovskij district did not show any changes in
population size despite insignificant fluctuations;
Emelianovskij District’ population has increased
by 2.5 %; Divnogorsk’ population has declined
by 5.5 %, as well as Sukhobuzimskij district’
has declined 14.1 % and Manskij district’ has
declined by17.7 % .
The percentage of urban population in
agglomeration prevails over rural population and
by 1st January 2012 about 92.4 % of agglomeration
population came from urban areas.
On the whole, Krasnoyarsk Territory is
characterized with low density of population (the
average density is 1.2 persons per 1 sq. km) while
by the year of 2011 Krasnoyarsk agglomeration’
density was estimated to be 48.7 people per 1
sq. km which is actually insignificantly higher
than the same indicator in 2000 (the density of
population was 45.3 persons per 1 sq. km). Taking
all municipalities into account, the most densely
populated is the city of Krasnoyarsk and the less
densely populated is Manskij District.
Factors that influence the size
and composition of Krasnoyarsk
Agglomeration population
Until 2008 a total increase of population in
Krasnoyarsk Agglomeration was mainly supplied
by the net migration which was compensating for
natural loss of population (Fig. 2).
In years 2009-2010 natural increase of
population was estimated to be 2.0 per mille. The
problem of natural loss of resident population
of Krasnoyarsk Agglomeration is less urgent
than in comparison with the same problem
in the rest of Krasnoyarsk territory. Natural
increase of population in the city of Krasnoyarsk
and Sosnovoborsk was having the greatest
influence on the situation as a whole (particularly
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Evgenya G. Grigorieva, Katrin I. Miller… Tendencies in Change of the Population Size and Structure of Krasnoyarsk...
2605,6 64,5
2257,3 8,9
6,3
2,7
Sukhobuzimskij
District
48,7
Manskij District
Krasnoyarsk
City
1,2
Berezovskij
District
Krasnoyarsk
Agglomeration
3,7
Emel’yanovskij
District
Krasnoyarsk
Territory
8,4
Sosnovoborsk
Siberian Federal
District
Density of population,
(people per 1 square
km)
Divnogorsk
Territory
Russian Federation
Table 2. Density of population, 2011.
3,6
16
14
12
10
8
6
1999
2000
2001
2002
2003
2004
2005
Birthrate
2006
2007
2008
2009
2010
DeathRate
Fig. 2. Indicators of birth rate and death rate of resident population of Krasnoyarsk Agglomeration
these cities had positive natural increase of
population). As for other municipalities of
agglomeration, Divnogorsk had zero growth on
2010; while all municipal districts have natural
loss during the period under review (Manskij and
Sukhobuzimskij districts experience natural loss
of 12-14 per mille).
Until 208, net migration compensated for
natural loss of population. Out of all municipalities
being a part of Krasnoyarsk Agglomeration only
the city of Krasnoyarsk can boast of having
constant net migration (from 3.6 to 14.4 per mille
annually) while other municipalities are less
stable in net migration.
Age structure of population is influenced
both by natural and migratory movement
of Krasnoyarsk Agglomeration population,
which has a substantial effect on the difference
between age structure of population of the whole
territory:
A Share of population of younger ages (not
older than 15) in Krasnoyarsk Agglomeration is
lower than the same indicator in the rest of the
territory, which is resulted from a lower birth
rate in urban municipalities of agglomeration in
comparison with the rest of the region.
A Share of population of ages from 16
to 35 years old is higher in Krasnoyarsk
agglomeration than the same indicator in the
rest of territory. One of the main reasons for
this is inflow of youths to study in universities
and further employment. In years 2005-2010 a
share of population of ages from 35 to 40 years
old increased but this was mainly resulted
from age shift (previous dominant age group
became 5 years older and shifted to another
category).
1. One of the most negative factors that
can be distinguished is migration outflow of
Krasnoyarsk Territory population aged around
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30 years old which 5 years later led to decrease of
shares of age groups from 30 to 35 years old and
from 35 to 40 years old.
2. A Share of population aged from 50
to 65 years old in Krasnoyarsk Agglomeration
in 2000 is higher than the same indicator in the
rest of the territory the same year. This can be
resulted from different reasons which demand an
additional inspection: 1) One reason can be lower
mortality rate of this age group in Krasnoyarsk
Agglomeration; 2) inflow of people aged 50-65
years old in the city of Krasnoyarsk and satellitecities in accordance with rapid development of
industrial economy and construction industry in
post-war period. In years 2005 and 2010 a shift in
ages of this group is also observed.
According to the data on the volume and
structure of migration flows in the Krasnoyarsk
agglomeration the following conclusions can be
drawn:
1. Migration is an essential factor of the
Krasnoyarsk agglomeration resident population
growth. During the analysable period net
migration is positive and the growth is begging
from 2007. Despite the fact that the data stream
contains information about arrivals and disposed
departures between municipalities, in general, it
establishes the fact of population growth due to
migration.
2. Krasnoyarsk makes a considerable
and increasing contribution to migration flow
for whole Krasnoyarsk Territory. In 2000,
there were 77.1 % arrivals to Krasnoyarsk and
74.2 % departures from, in 2011 - 83.2 and 72.3
accordingly. All other municipalities make no
more than 7%.
3. Taking pattern of migration flow into
account, it can be seen that migrants within
the borders of the region prevail over migrants
coming from other regions of Russia and parts
of the world. In year 2000 almost 67.3 % of
incoming migrants were inside the region and
63.7 % among migrants who left the region,
by the year 2011 it was 59.9 % and 64 %
accordingly.
4. The higher the percentage of urban
population is, the higher the volume of flows from
other regions of Russia and abroad. Thus, share
of these migrants in the Krasnoyarsk in 2000 was
34.6 % of arrivals and 39.8% of departures, in
2011 - 43.2% and 42.5 %, accordingly. In 2000 in
Sukhobuzimskij district a share of migrants from
other regions of Russia and abroad was 21.1% of
arrivals and 26.1% of departures, in 2011 - 19.2 %
and 13.7 % accordingly.
Socio-economic
development
of
Krasnoyarsk agglomeration will be executed
against the background of demographic
problems. The following long-term programs are
directed amend the problems: “Improvement of a
demographic situation in Krasnoyarsk Territory”,
2010-2012; “Children”, 2010-2012; “Krasnoyarsk
Territory program of assistance to voluntary
resettlement of the compatriots living abroad to
the Russian Federation, for 2010-2012”; “North to
South”, 2011-2013; “Resettlement of people living
in the urban district of the city of Norilsk and
town Dudinka, in areas with favorable climatic
conditions in the Russian Federation” for 20112020. etc.
The long-term demographic problems:
• Development
of
Krasnoyarsk
agglomeration on the assumption of a
prolonged depopulation of the country
and the Krasnoyarsk Territory. Over
the last 20 years, the population of
Krasnoyarsk territory has significantly
decreased, despite some positive
tendencies since 2008. Demographics
provides no basis for judging the possible
importance of population growth
without an active migration policy,
under these conditions, the population of
Krasnoyarsk agglomeration increases due
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Evgenya G. Grigorieva, Katrin I. Miller… Tendencies in Change of the Population Size and Structure of Krasnoyarsk...
to ‘contraction’ of the population in the
Krasnoyarsk agglomeration with ‘baring’
of the rest of the territory.
• Birth rate is low and it does not provide
a simple reproduction of the resident
population in the Krasnoyarsk Territory
and especially in
Krasnoyarsk
agglomeration.
In the Krasnoyarsk,
Divnogorsk,
Sosnovoborsk,
where
the generality of the agglomeration’
population concentrates, total fertility rate
is lower than in the whole Krasnoyarsk
Territory. Accordingly, this dynamics
inevitably leads to unavoidable reduction
of resident population.
• Intensification of the aging of the
population. In spite of low indicator of
share of population over 60 years old,
the population of Krasnoyarsk Territory
and agglomeration is old and aging is
proceeding.
• High death rate, especially within men
at able-bodied age. This problem defines
lower values of life expectancy at birth
in Krasnoyarsk Territory in comparison
with average value in Russian Federation.
According to the dominance of urban
population, agglomeration death rate is
lower than in Krasnoyarsk Territory and
whole country.
Conclusion
There was steady growth in resident
population size of Krasnoyarsk agglomeration
in 2000-2012, against reduction of population
of Krasnoyarsk Territory. It concerns the
‘contraction’ of the population in the Krasnoyarsk
agglomeration with ‘baring’ of the rest of the
territory. The main factor of agglomeration
population growth is net migration which is
especially typical for the agglomeration center
that is Krasnoyarsk.
In spite of perpetual processes of aging,
Krasnoyarsk agglomeration population is still
younger in comparison with Krasnoyarsk
Territory and whole country. An opportunity
to get professional education in the city attracts
young people; however, it is of utmost importance
to develop standards of living and convince young
generation not to leave the region. However, in
order to maintain the current level of population
on the assumption of low birth rate further
development of measures to reduce mortality is
of utmost necessity.
References
Ezhenedel’nik demoskop (Demoskop weekly) Availiable at: http://demoscope.ru/weekly/.
Ob organizacii i osuwestvlenii mezhmunicipal‘nogo proekta «Kompleksnoe razvitie Krasnojarskoj
aglomeracii na period do 2020 goda» : Memorandum.[ About the organization and implementation
of the intermunicipal project «Complex development of Krasnoyarsk agglomeration for the period till
2020: Memorandum]
Rybakovskij L.L. Prakticheskaja demografi ja [Practical demography] Moskow: CSP, 2005. 280
p.
Sotsial’noe i demograficheskoe razvitie Rossii. Kairskaya programma dejstvii: 15 let spustya:
Obzor.[ Social and demographic development of Russia. The Cairo Programme of Action: 15 Years
Later: Review]. Moscow: Izdatel’stvo «Prava cheloveka», 2010. 172 p.
Territorial’nyj organ federal’noj sluzhby gosudarstvennoj statistiki po Krasnojarskom kraju
[Territorial body of the Federal State Statistics Service of the Krasnoyarsk Territory] http://www.
krasstat.gks.ru/default.aspx.
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Federal’naja sluzhba gosudarstvennoj statistiki [Federal State Statistics Service] Availiable at:
http://www.gks.ru/.
Тенденции изменения численности
и структуры населения
Красноярской агломерации
Е.Г. Григорьева,
К.И. Миллер, А.Р. Семенова
Сибирский федеральный университет
Россия 660041, Красноярск, Свободный, 79
В статье представлены результаты анализа демографической ситуации в Красноярской
агломерации на фоне Красноярского края и Российской Федерации, определены особенности
изменения численности и структуры населения Красноярской агломерации и основные
факторы, особое внимание уделено неравномерности расселения населения.
Ключевые слова: демографическая ситуация, плотность
смертность, миграция, демографические проблемы.
населения,
рождаемость,
Работа выполнена в рамках проекта «Разработка методики проведения сравнительных
международных исследований по социально-экономическому развитию региона и подготовка
научного доклада для организаций экономического сотрудничества и развития (ОЭСР)
«Территориальный обзор по Красноярской агломерации» при поддержке ККФПНиНТД, проект
КФ-262.
Copyright ОАО «ЦКБ «БИБКОМ» & ООО «Aгентство Kнига-Cервис»
Journal of Siberian Federal University. Humanities & Social Sciences 10 (2012 5) 1483-1491
~~~
УДК 330.59
The Opportunities of Agglomeration Development
for the Rise in Living Standards of the Population
of Non-Urbanized Territories
Michail V. Bershadsky*,
Natalia V. Nepomnyaschaya and Evgenia V. Shilova
Siberian Federal University
79 Svobodny, Krasnoyarsk, 660041 Russia 1
Received 17.09.2012, received in revised form 01.10.2012, accepted 03.10.2012
The article represents the results of researches of the living standards of the population of the
Krasnoyarsk agglomeration municipalities as a model of rise in the resource opportunities for the
population, such as to application of labour and skills, creation of comfortable housing conditions,
getting educational, medical and social services.
Keywords: the Krasnoyarsk agglomeration, standard of living, poverty rate, unemployment level,
housing conditions, education, public health, social service and social security.
The research was executed within the bounds of the project “Development of comparative international
researches of social-economic development of the region and preparation of the report for the
Organisation for Economic Cooperation and Development (OECD)” supported by Krasnoyarsk
regional fund for supporting scientific and technical research activities, project KF-262.
Introduction
Good level and high quality of life of
the population are the main conditions for
development of the human potential and factors of
social-economic development of the Krasnoyarsk
Krai. The limitations in labor resources play
the key role when executing large investment
projects in the territory of the Krasnoyarsk
Krai. Therefore, the priority objective of the
formation of the Krasnoyarsk agglomeration is
to create favorable conditions for development
of the labor resources via achieving new quality
of the social standards of living. The territory
of the Krai is characterized by the significant
*
1
asymmetry of the social-economic development
of the urbanized and non-urbanized territories.
The agglomeration model is represented by the
integrated social-economic and investment space
with the common system of social, transport
and engineering services and improvement of
environmental structure.
All the municipalities follow the same
scheme of development and inhabitants of
different zones of the agglomeration can easily
get access to labor, medical, educational, trading,
cultural and other possibilities.
It should lead to the growth of welfare of
the population, to the increase of the possibilities
Corresponding author E-mail address: ek_trud@mail.ru
© Siberian Federal University. All rights reserved
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of educational and professional self-realization
and, at the same time, retain the advantages
of living in villages and towns that allows to
reduce migration outflow of the population and
to increase the concentration of the well-qualified
personnel.
The authors marked three main directions
of an assessment of standard of living of
the population of the municipalities of the
Krasnoyarsk agglomeration: 1) the possibilities
of application of labour; 2) providing conditions
of comfortable habitation; 3) getting education,
medical services, social security.
The first direction includes the analysis
of salaries, poverty and employment of the
population; the second – the aspects of construction
and the maintenance of housing, development
of the transport system; the third – providing
educational, health care and social security
services. The analysis of the standard of living of
the population of the Krasnoyarsk agglomeration
was carried out in the aforementioned directions
over a period from 2004 to 2011.
Tendencies in the living standards
of the population of the agglomeration
Steady growth of the income of the
population. As for per capita income and an
average salary the Krasnoyarsk Krai is the obvious
and steady leader among the other regions of the
Siberian federal district over years. Its break
was so big, that the leadership wasn’t lost even
during the world economic recession in 2008 –
2009 during the dramatic reduction of income.
During recession in the city of Krasnoyarsk the
real monetary income per capita fell by 6.5 %,
in the Emelyanovsky district – almost by 20 %,
in other municipalities of agglomeration the
decline was about 2 %. The average growth of the
monetary per capita income of the population of
the agglomeration is about 8–12 % a year, except
the period of recession.
The main direction in the increase of
the population income is increase of salaries.
The monthly average nominal salary in the
agglomeration increased 4.25 times for the
considered period, that is slightly lower than the
growth in the Russian Federation (4.3 times), but
exceeds growth in the Siberian federal district
(SFD) (3.94 times) and in the Krasnoyarsk
Krai (3,5 times). Intersectorial and territorial
differentiation in the level of salaries remains
high, though tends to decrease in the recent years.
The salary in the sectors which work directly
for formation and development of the human
potential – in education, health care, in the sphere
of different social services had a tendency to
match to the average sectorial value. It made no
more than 55 % in 2005, but it was about 80 %
in 2011. The highest salaries, which were almost
1.5 times larger than the average one in the
agglomeration, were paid to the people who work
for financial sector and in real estate sector, and
who constitute about 10 % of the employed.
The level of an average salary in
agriculture is about 60 % of the average salary
in the agglomeration. The wage in the centre of
agglomeration, the Krasnoyarsk city, is 1.5-2 times
higher than in its periphery. The lowest salaries
are in Sukhobuzimsky and Mansky districts. It is
also caused by the structure of employment of the
population according to the types of economic
activity. In non-urbanized territories a very high
percentage of the population are employed in
agriculture.
Decrease in an unemployment rate.
The possibilities to increase the income of the
population depend on a situation on the labor
market, where unemployment rate is one of its
indicators. The unemployed rate in labor force
decreased almost twice (from 12.9 to 6.7 %) for
the considered period. The largest unemployment
rate was in 2009 as a result of the world economic
recession. In the post-recession period the
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number of unemployed in the agglomeration was
reduced and in 2012 it makes 96 thousand people.
Among the unemployed in the agglomeration,
the number of young people is approximately 2
times less, than in Russia and in the Krasnoyarsk
Krai. Share of continuous unemployment is much
lower also than average Krai and average Russian
levels. The share of long-time unemployment
makes 22.3 – 32.2 % in the Krai and 28.7 – 36.7 %
in Russia for the considered period, whereas in
the agglomeration this indicator doesn’t exceed
10.0–16.1 %. Thus, rather favorable situation with
unemployment in the Krasnoyarsk agglomeration
is caused by high business activity, especially
in the centre of the agglomeration, and rather
multifold opportunities for the realization of the
work capabilities of its inhabitants.
Steady leadership according to the rate of
the population income among the regions of the
SFD and the municipalities of the Krasnoyarsk
Krai. The rate of poverty level in the Krasnoyarsk
agglomeration is lower than average in the
Krai and the SFD. Salary disproportions in the
economic sectors and unemployment, as well as
other reasons are the causes the low income of
a part of the population. The share of the poor
population in the total number of the population
of the agglomeration, whose income is lower than
the minimum wage, was 16.2 % in 2011 (in the
Krasnoyarsk Krai – 18.6 %, in the SFD – 17.9 %,
in the Russian Federation – 12.8 %). Since 2005
this indicator was reduced by 5 %, whereas
in Krai it decreased only by 3.5 Asymmetry
in the development of the labor market of the
agglomeration, difference in the material welfare
of the population of the urbanized and nonurbanized areas still cause the higher level of
poverty rate in the territories, which are far from
the agglomeration centre. The largest number of
the poor population live in Sukhobuzimsky and
Mansky districts (Fig. 1), the poverty rate reaches
its lowest values in the agglomeration centre, the
Krasnoyarsk city.
Steady increase of the housing stock areas.
Favorable living conditions require separate
accommodation for each household, with separate
rooms for each member of the family, which type
and quality should correspond with the tendencies
of demand. Indicators of the total area of the
premises, which an average inhabitant has, in the
Fig. 1. Dynamics of poverty rate in the Krasnoyarsk agglomeration [according to the data of Krasnoyarskstat]
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Krai are the highest in the agglomeration, and
steadily increase. Thus, the total area of premises
in the average per one inhabitant grew from 16.3
sq. m (2006) to 18.0 sq. m (2010) and this indicator
is higher, than in the Krai (in 2006 – 6.9 sq. m,
and in 2010 – 8.0 sq. m). The annual increase
of the housing stock areas of the agglomeration
makes from 2.3 to 4.9 % with asymmetry in the
territories. The highest speed of construction
among rural areas are in Emelyanovsky district,
among the cities and towns – Krasnoyarsk and
Sosnovoborsk. The share of the Krasnoyarsk
city is about 63 % of the volumes of housing
taken into use in the Krai. In the recent years the
population prefers more spacious apartments.
Thus whereas the average area of the apartments
taken into use in 2007 – 2009 was 40.7 – 43.1
sq. m, in 2008 – 2010 it was 68 – 72 sq. m of
the total area. Krasnoyarsk builders realized
that the comfort of accommodation depends not
only on convenience of the apartment, but also
on how the area, surrounding a block of flats
is planned and landscaped, on existence of the
necessary infrastructure and parking places,
thus, from construction of the separate houses the
city gradually came to complex building of the
residential districts.
Development of the combined, mixed
system of building of the residential districts.
Nowadays in the territory of the Krasnoyarsk
agglomeration construction of low-rise buildings
is carried out on 21 platforms (the area of building
of 1007 hectares) at the expenses of investors:
in Krasnoyarsk (4 platforms – 46 hectares),
in the Emelyanovsky district (13 platforms –
703 hectares) and in the Berezovsky district (4
platforms – 258 hectares). The expected take into
use of the low-rise buildings will constitute 800
thousand sq.m till 2015, the area of one dwelling
unit is from 80 sq. m.
Increase in the cost of housing and cost
of land. The prices for square meter of housing
in agglomeration increased more than twice
since 2006. Despite the fact that in the cities the
square meter of housing is more expensive, in
non-urbanized territories its growth rates are
higher. Only for the last year the average cost of
apartments in rural areas increased by 98 %, in
the cities by 13 %. Increase in the cost of housing
shows the existence of demand which raises
because of availability of the mortgage lending.
In 2010 about 50 % of housing was bought by
the mortgage and “the parent capital”. One year
earlier the same indicator didn’t exceed 40 %.
The same amount in separate housing complexes
constitutes the apartments which were bought
by the share equity participation contracts.
Increase in the cost of the square meter of
housing is a characteristic of economically
developing territories attractive for the labor
migrants.
The priority reconstruction of the built
up territories of the agglomeration. There is
a differentiation in the level of the municipal
improvement and quality of housing and
communal services between the urbanized and
non-urbanized territories of the agglomeration.
The number of shabby and unfit housing facilities
grows in the total area of all housing stock of
agglomeration. If in 2006 it was 1.98 %, in 2010 it
increased up to 3.69 %. On the average 4.17 % of
the families in the agglomeration are registered as
waiting for the improvement of living conditions.
The share of housing and communal services
in the structure of expenses of the population is
increasing. Wear of the fixed assets of the systems
of engineering support of the municipal complex
(by systems: heat supply system – 52.0 %; water
supply – 63.5 %; sewerage – 75.0 %) causes
more than 23.3 % losses in the networks and,
respectively, overexpenditure of the energy
resources and reagents, that causes the increase in
tariffs for housing and communal services. Due
to implementation of the programs of reforming
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of the housing and communal services by 2020
they predict almost 2 times decrease in a share
of shabby housing and growth of the volumes of
municipal and housing services. Restructuring
of the funds formation to the mixed financing
and formation of the fund of assistance to
the reforming of the housing and communal
services will allow to carry out works on major
maintenance in the territory of the agglomeration
and to implement actions for improvement of the
quality of the housing stock.
Increase in loading of the transport
networks. The basis for access of the population
to all the possibilities of the agglomeration is the
need in the development of the transport system
which is much overloaded now. For example,
concerning road movement, despite constructed
traffic intersections, according to the data of
the Ministry of Transport, nearly third of the
federal highways are overloaded and multiband
roads make only 8 % from the total amount. It
is promoted by the features of migration of the
population of the agglomeration and increase
of the intensity of commutation. Nowadays
the investment passport of the Krasnoyarsk
agglomeration contains 24 projects in the field
of the infrastructure development. The total cost
of the investment projects is 152798.6 million
roubles. The most part of projects is directed at
the development of the power industry, transport
infrastructure and engineering communications
of the residential area.
Modernization of the educational system
towards the availability of the educational
services to the population and improvement
of the quality of these services. In the system
of the general education of the Krasnoyarsk
agglomeration 521 educational institutions,
including 264 preschool educational institutions
are functioning. The amount of children from 0
up to 7 years in preschool education services is
46 %, from 1.5 up to 7 years – 59 % from total
amount of children of this age. In this sphere
there are the two main directions of development
in agglomeration.
The first direction is a solution of the problem
of shortage of places in preschool educational
institutions (PEI). For the solution of this problem
by 2016 (the task which was put by the President
of the Russian Federation), the long-term target
program «Development of a network of preschool
educational institutions» for 2012 – 2015 is
approved by the Government of the Krasnoyarsk
Krai and considerable work on this program is
being done.
The second direction – provision of the
modern quality of preschool education. In
this direction «The unified quality standard
of preschool education in the Krasnoyarsk
Krai» was developed. All the kindergartens are
transferred to the new system of salary funds
the 20 % increase in salary funds. In total 382,5
million roubles were allocated for these purposes.
The concept of the long-term target-oriented
program «Vital activity security of the preschool
educational institutions for 2013 – 2015» was also
developed.
Information and computer technologies
are embedded in educational process, and
today's availability of personal computers in
the educational institutions of the Krasnoyarsk
agglomeration is higher than all-Russian level
and average level in SFD. (Table 1):
The needs of the educational sphere caused
changes in the approach to the city planning.
Now construction of the new residential districts
begins from schools and preschool institutions
construction. All the new and capitally repaired
schools are equipped with the modern educational
equipment. Vacancies at rural schools are
essentially reduced: in the Russian language– by
90 %, in mathematics – by 63 %, in history – by
60 %, in biology – by 50 %, in primary school –
by 42 %.
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Table 1. Availability of personal computers in the educational institutions
RF
SFD
The Krasnoyarsk
Krai
4 / 2.2
3.6 / 2.2
4.4 / 3.0
Number of PC per 100 student of primary professional
education / including PC with the Internet access
6.8 / 1.7
5.2 / 1.9
8.2 /2.0
Number of PC per 100 student of dual education / including
PC with the Internet access
11.5 / 5.7
10.6 / 5.6
11.0 / 5.2
Number of PC per 100 student of higher education /
including PC with the Internet access
17.3 / 12.3
18.2 / 14.1
20.3 / 17.4
Indicator
Number of PC per 100 schoolchildren / including PC with
the Internet access
[source: statistical data “Education in RF”, 2010 – by Rosstat]
Highly technological centers are created and
operate in the agglomeration. They implement the
new type of educational programs, which train
experts of the high level of qualification, with
the state support in a framework of the priority
national project “Education”. Implementation
of the national project will allow increasing the
number of people who are being trained in the
hi-tech centers of the professional education and
territorial colleges from 10.1 % in 2010 to 37.4 %
in 2013 of the total number of students. Besides,
the amount of highly-skilled personnel among
adult population will increase from 14.3 % to
32.7 %.
The higher school of the Krasnoyarsk
Krai is almost completely concentrated on
the Krasnoyarsk agglomeration and located
in Krasnoyarsk. Concerning the number of
students of the higher education institutions, the
agglomeration is on the second place, after the
Novosibirsk Oblast, in SFD – 101327 people,
including: specialists – 89765, bachelors – 9503,
masters – 2059. In Krasnoyarsk more than 2300
graduate students are studying currently, more
than 200 candidate’s theses in various branches
of science are submitted annually to defense.
The dynamics of a share of assignments
on education in the budget expenses in the
agglomeration for the last decade tends to
increase. The share of expenses of the households
budgets on education tends to increase and this
fact testifies the wish of the population of the
agglomeration to get high quality education.
Active state support of young scientists,
experimenters, cultural figures is conducted.
The state awards of the Krasnoyarsk Krai for the
encouragement of young employees of educational
institutions of the professional education which
has achieved good results in pedagogical activity
and scientific development were fonded. These
measures are directed on social and economic
development of the Krasnoyarsk agglomeration
and the Krai in general.
Development of the hi-tech medical
services system with preservation of step-bystep treatment-and-prophylactic services.
In all territories of agglomeration there are
territorial health care establishments. The
indicator “The number of doctors per 10 000
people in the Krasnoyarsk agglomeration”
has a steady tendency to increase (Fig. 2) and
exceeds all-regional figures (in the Russian
Federation – 50.1; in the SFD – 51.5, in the
Krasnoyarsk Krai – 51.2). The number of doctors
in the subjects of the agglomeration is distributed
erratically: availability of doctors in the cities
is much higher than in the non-urbanized areas
(in Krasnoyarsk – more than 3 times higher). In
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Fig. 2. Number of doctors per 10 000 people [according to the data of the Krasnoyarskstat]
the conditions of large spaces and distances and
existence of transport problems, the municipal
areas feel shortage of the qualified medical
personnel. The local health care establishments
that provide primary medico-sanitary aid do
not have enough personnel: local GPs – 85.4 %,
local doctors-pediatricians – 93.9 %, doctors
of the general (family) practice – 84.5 %. The
general staffing level in the positions of medical
personnel is 93.5 %. The degree of staffing level
in the nominal medical positions of the emergency
medical service is 59.5 %, positions of medical
assistants – 90.3 %, positions of nurses – 79.3 %.
In the agglomeration centre – Krasnoyarsk –
they are already developing and plan to develop
further directions for which highly technological
centers has already been created or being
created: the Center of Cardiovascular Surgery;
the Perinatal Center; the Oncological Center; the
Siberian Clinical Center of the Federal MedicalBiologic Agency; the Dental Clinic of the Public
Educational Institution of Higher Professional
Education Krasnoyarsk State Medical University,
etc. These establishments have intermunicipal
importance and are focused on servicing all
the territory of the agglomeration. It is planned
to open 19 highly technological diagnostic
laboratories in the territory of the agglomeration:
at least 1 – 2 laboratories in the rural areas of the
agglomeration and at a rate of one laboratory per
100 – 150 thousand people in the urbanized areas
of the agglomeration.
In the process of development of the
system of highly technological medical
services, within already available health care
establishments, the specialized centers are to
be built: the traumatological centre, the burn
centre, the pulmonological centre, etc. In the
process of development of computer networks
the significant part of the problem of providing
high-quality services can be solved by the system
of the automated management of the patients’
addresses.
Stabilization of the level of social
security of the population of the Krasnoyarsk
agglomeration. Activity of the system of social
security of the population of the agglomeration is
directed to maintenance of the acceptable level and
quality of life of the citizens in need, mitigation
of the negative influence of social and economic
instability to their activity, including an address
approach. The state system of the social security
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authorities and the social service establishments
of the towns and areas of the Krasnoyarsk
agglomeration, according to the federal and
regional laws, provide different types of services.
They are taking measures of social support on
housing and utilities payments; provide financial
support to the citizens in a difficult situations,
give social support to the families with children,
assist in the solution of social problems of the
pensioners and disabled people.
The number of the citizens, who really use
the measures of social support, from the total
number of citizens who have the right to use the
measures of social support and have addressed
to get them, remains at the level of 100 % since
2007.
The number of families with children, who
really use the measures of social support, from
the total number of families with children, who
have the right to get the support and addressed to
get it, remains since 2008 at the level of 100 %,
whereas it was 97.1 % in 2007.
There is a number of the programs directed
at improvement of living standard and quality
of life of the socially unprotected categories of
the population, such as the long-term target
program “The older generation” for 2011 – 2013,
the long-term target program “Social support
of the population of the Krasnoyarsk Krai”
for 2011 – 2013, which were developed both at
the regional level and at the level of the towns
and areas of the agglomeration. For example,
the city target program “Social support of the
population of the Krasnoyarsk city “, the city
target program “The successful family – the
successful city” for 2010 – 2012, the departmental
target program “Social support of the population
of the municipal unit the Divnogorsk town “ for
2011 – 2013, the complex programs of social and
economic development of the municipalities of
the Krasnoyarsk agglomeration.
Conclusion
Rather high level of wages, quite low
figures in unemployment and poverty, transport
structure improvement and construction; already
started modernization in the spheres of housing
and communal services, education and health
care in the Krasnoyarsk agglomeration testify
about the positive dynamics of agglomerative
development of the territory and improvement
of the population’s quality of life. But in order to
make the agglomeration really comfortable place
of residence and attractive to the highly skilled
migrants, the solution of a number of serious
problems, including the territorial asymmetry in
development of the territory of the Krasnoyarsk
agglomeration is required.
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Возможности использования
агломерационного развития
в повышении уровня жизни населения
неурбанизированных территорий
М.В. Бершадский,
Н.В. Непомнящая, Е.В. Шилова
Сибирский федеральный университет
Россия 660041, Красноярск, пр. Свободный, 79
В статье представлены результаты исследования уровня жизни населения муниципальных
образований Красноярской агломерации как модели повышения ресурсных возможностей
жителей, таких как применение труда, обеспечение условий комфортного проживания,
получение образования, медицинских услуг, социального обеспечения.
Ключевые слова: Красноярская агломерация, уровень жизни, уровень бедности, уровень
безработицы, жилищные условия, образование, здравоохранение, социальное обеспечение и
социальная помощь.
Работа выполнена при поддержке ККФПНиНТД в рамках проекта «Разработка методики
проведения сравнительных международных исследований по социально-экономическому
развитию региона и подготовка научного доклада для организации экономического
сотрудничества и развития (ОЭСР) «Территориальный обзор по Красноярской агломерации»
КФ–262.
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Journal of Siberian Federal University. Humanities & Social Sciences 10 (2012 5) 1492-1499
~~~
УДК 330.34
Trends for the Development
of Entrepreneurial and Innovative Activity
in Krasnoyarsk Agglomeration
Svetlana А. Samusenkoa*, Evgenia B. Bukharovaa,
Vladislav N. Rutskya and Dmitry А. Maslodudovb
a
Siberian Federal University,
79 Svobodny Pr., Krasnoyarsk, 660041, Russia
b
Ministry of Economic and Regional Development
of the Krasnoyarsk Territory,
110 Mira Pr., Krasnoyarsk, 660009, Russia 1
Received 12.09.2012, received in revised form 16.09.2012, accepted 03.10.2012
The article deals with the measurement of entrepreneurial and innovative activity in Krasnoyarsk
agglomeration in the context of international procedures applied by the Organization for Economic
Cooperation and Development (OECD). The study investigates the tendencies of measuring
entrepreneurship and innovation complex indicators. It makes a conclusion on the dependence of
entrepreneurship and innovation development trends on the organization and effective functioning of
the regional innovation system based on the conducted analysis.
Keywords: innovation, entrepreneurship, innovative activity, Organization for Economic Cooperation
and Development.
The work is performed in the frames of the project “Procedure development for conducting comparative
international researches on the social and economic development of the region and preparation of the
scientific report for the Organization for Economic Cooperation and Development (OECD) “Territorial
Review of Krasnoyarsk agglomeration” No.KF-262, supported by the Krasnoyarsk Regional Fund of
Support for Scientific and Scientific-Technical Activity.
The Organization for Economic Cooperation
and Development (OECD) is an international
economic organization of the developed
countries whose government’s policy is based
on the principles of democracy and free market
economy.
It was founded in 1948 and now has 34
member countries, which account for over 60 %
*
1
of the world’s gross domestic product (GDP).
OECD membership stands for the country not
only obtaining the international status of the
economically developed state, but also promotes
negotiations on economic problems that integrate
the national economy in the global space.
The Russian Federation aspires to the
OECD membership starting from 1996. At
Corresponding author E-mail address: sv_sam@bk.ru
© Siberian Federal University. All rights reserved
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present it is classified as a country that has
sufficiently implemented tax standards that
are internationally accepted. Cooperation
with OECD is connected with the information
openness: Russia participates in the annual
reviews for comparative ratings formation. In
2011-2012 the investigations for the development
of the Territorial Review on social and
economic status of Krasnoyarsk agglomeration
were carried out by the OECD procedure1 in
the context of international comparisons at
the Institute of Economics, Management and
Environmental Study of Siberian Federal
University. When calculating indicators it was
proposed to rearrange data and official static
observations formed by Russian methods. All
indicators are combined in 3 measuring blocs:
production scales by the gross value added in the
context of the three and six- segment model of
economics2; entrepreneur’s activity indicators;
indicators of innovative development according
to the procedures of the Maastricht Economic
and Social Research and Training Centre on
Innovation and Technology3.
The subject of the study is Krasnoyarsk
agglomeration – a territorial unit with high
concentration of resources and potential
of rural and urban areas located nearby
Krasnoyarsk that are united by cultural and
production relations, common consumer
market and capital market.
The structure and dynamics
of the gross value added
by Krasnoyarsk agglomeration sectors
Initially we have identified trends in the
development and current state of entrepreneurship
in Krasnoyarsk agglomeration. In particular,
the scope of value-added production and
concentration of businesses by economic sectors,
individual entrepreneurial activity and the total
dynamics of turnover in business were analyzed.
Data on the gross value added (GVA) of the
structure of Krasnoyarsk agglomeration in the
context of the three-sector model of economy is
given in Table 1.
The analysis shows that the tertiary sector
generating services is stably dominated in the
structure of the gross value added production and
this tendency corresponds to the world trends of
post-industrial transformation of economy. The
increase of primary sector GVA is supported by
the resource mining activity and is connected
with the implementation of projects in the oil
and gas sector. More than 70 % of GVA in the
secondary sector is generated by the processing
industry, where metallurgy and oil refining are
dominated. The distribution of activities in the
tertiary sector is relatively even, however in 2011
a pronounced increase of trade activity has been
observed due to the general market revival.
The overwhelming share of all sector’s
GVA is produced in the metropolitan area –
Table 1. The structure of Krasnoyarsk agglomeration gross value added in the context of the three-sector model
of economy *
Sector
2007
2008
2009
2010
2011
Primary
0,77%
0,98%
1,67%
4,33%
4,65%
Secondary
47,46%
40,82%
41,22%
47,78%
47,57%
Tertiary
51,77%
58,19%
57,11%
47,88%
47,78%
*Calculated by: socio-economic indicators of the Krasnoyarsk Territory urban sectors and municipalities in: Report.
Krasnoyarsk : Krasnoyarskstat 2012, page 165.
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Enterprises concentration was analyzed
based on the six-sector model. In 2005-2010
industrial and construction facilities is observed
in the production structure of Krasnoyarsk
agglomeration, which proves agglomeration
to be the center of the concentration of the real
economic sector. High share of trade, transport
and communications enterprises, as well as
the financial activity shows the infrastructure
development and good opportunities for further
development of agglomeration as a logistics and
industrial centre of Siberia. (Table 2, Fig. 1).
The share of large and medium-sized
enterprises in the total number of legal entities of
Krasnoyarsk agglomeration in 2010 was 2.22 %
(4.21 %, in the Krasnoyarsk Territory and
1.94 % in the Russian Federation). The maximal
concentration of large and medium enterprises
of Krasnoyarsk agglomeration is in agriculture,
there was unidirectional increase in the number
of enterprises in Krasnoyarsk and Krasnoyarsk
agglomeration by economic sectors of industry,
construction, trade and financial activities
against decrease in the number of agricultural
and service enterprises. A significant share of the
industry, service. Construction, trade, transports
and communications are mostly presented by the
small-scale business.
The concentration of large and middle-scale
business in agriculture is typical for agglomeration
and Krasnoyarsk Territory and differs from the
Krasnoyarsk city. In the primary sector, due to
the development of agriculture, the shares of
Berezovsky (6.4 %), Yemelyanovsky (4.85 %)
and Sukhobuzimsky (1.65 %) regions are evident.
More than 86 % of the secondary sector’s GVA is
the share of Krasnoyarsk, in Berezovsky region
(1.99 %) the secondary sector develops due to the
timber processing, and in Divnogorsk (2.48 %) –
due to power industry and production of electrical
equipment and metal. More than 96 % of GVA in
the tertiary sector is created by the Krasnoyarsk
business community.
Entrepreneur activity
in Krasnoyarsk agglomeration
Table 2. Quantity and share of enterprises of Krasnoyarsk agglomeration, Krasnoyarsk Territory and Russia in
2010*
Number of enterprises, units
Sector
Krasnoyarsk Krasnoyarsk
agglomeration
Territory
Russian
Federation
% of enterprises in the sector
Krasnoyarsk Krasnoyarsk
agglomeration
Territory
Russian
Federation
Agriculture
1450
4217
202600
2,87
5,70
4,20
Industry
4924
7294
450100
9,75
9,85
9,34
Construction
Trade, transport,
communications
Financial
activity, real
estate business
5548
7361
431800
10,98
9,94
8,96
22388
29280
2145300
44,32
39,54
44,52
11083
14075
965100
21,94
19,01
20,03
Services
5127
11818
624200
10,15
15,96
12,95
Total enterprises
50520
74045
4819100
100,00
100,00
100,00
*Calculated by: (1) Socio-economic status of Krasnoyarsk Territory in 2010: Report. Krasnoyarsk: Krasnoyarskstat, 2011.
p.191. (2) Institutional reforms in the Krasnoyarsk Territory: statistical digest Krasnoyarsk: Krasnoyarskstat, 2011. p.12. (3)
Russia in numbers: statistical digest. М.: Rosstat. 2011. p.581. (4) Regions of Russia: socio-economic indicators: statistical
digest. М.: Rosstat. 2010. p.990.
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Fig. 1. Structure of economic sectors by the number of enterprises in Krasnoyarsk agglomeration, Krasnoyarsk
Territory (Krai) and Russian Federation in 2010.
all-Russian one that indicates the trend of the
regional policy towards supporting large farms.
The concentration of large and middle-scale
business in the industrial sector of Krasnoyarsk
agglomeration and Krasnoyarsk Territory
including the high-technological sector is lower
than in Russia. This reflects the perspective of
creating new innovative businesses in the small
business environment.
80 % of large and middle enterprises
of the processing industry of Krasnoyarsk
agglomeration are concentrated in Krasnoyarsk.
Low-tech enterprises are located in peripheral
areas, high-tech, medium-tech and moderately
low-tech enterprises operate mainly in the
metropolitan area (Table 3).
Krasnoyarsk
agglomeration
is
the
entrepreneurial centre of the Krasnoyarsk
Territory, which is confirmed by common trends
of the business environment development. The
resultant dynamics of new companies’ entry into
the market both in the Krasnoyarsk Territory
and Krasnoyarsk agglomeration has a positive
tendency: on average 12 % of new businesses are
registered in the Territory each year and about
14 % are registered in agglomeration. The entry
process is characterized by the slow-down growth.
Indicators of dynamics of enterprises withdrawal
from business in Krasnoyarsk agglomeration
and specifically in the Krasnoyarsk Territory
are lower than indicators of the entry dynamics.
On average 5.8 % of existing agglomeration
enterprises and 6.4 % of the Krasnoyarsk Territory
companies are liquidated each year. The process
of enterprises entry in business is more active in
Krasnoyarsk (there is 14.3 % of new companies
at average), the process of withdrawal is more
active in Mansky region (8.4 % of companies are
liquidated annually)
Independent entrepreneurial activity in
Krasnoyarsk agglomeration is more than 10 %
of employment in the economy, which is much
higher than the indicator for the Krasnoyarsk
Territory – about 5 % ( Fig. 2).
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Table 3. Large and middle scale enterprises of the processing industry*
Number of enterprises, units
Technological level
The share in the total enterprises number,
%
Krasnoyarsk
Krasnoyarsk
agglomeration
Krasnoyarsk
agglomeration
Krasnoyarsk
10
8
8,13
8,08
11
8
8,94
8,08
47
43
38,21
43,43
Low-tech industry
55
40
44,72
40,40
Total
123
99
100,00
100,00
High-tech industry
Middle-tech
industry
Moderately low-tech
industry
*Calculated by: Socio-economic indicators of urban districts and municipalities of Krasnoyarsk Territory in 2011: Report.
Krasnoyarsk. Krasnoyarskstat, 2012. p.165.
Fig. 2. Independent entrepreneurial activity, in percents
The largest share of independent
entrepreneurs is specific for Sosnovoborsk – about
21 %, the lowest – for Yemelianovsky region that
is 6.4 %. The largest share of entrepreneurs
in agglomeration’s employment structure was
recorded in 2006, and the lowest (7.23 %) was
fixed in 2007, then a trend of business activity
stable growth is observed.
Innovative activity
in Krasnoyarsk agglomeration
If we address to the process production
specifications, we would see that the share of
high tech industry is less than 20 %, which is
insufficient. Implementation of the innovative
development strategy becomes the basic factor
for the further industrial growth of agglomeration
and the Krasnoyarsk Territory. The innovative
sphere of the Krasnoyarsk Territory economy
is focused in Krasnoyarsk agglomeration areas,
first of all in Krasnoyarsk city. The economic
crisis of 2008-2009 gave a positive impulse to the
enhancement of the regional innovation system.
An overwhelming source of funding research
and development works (more than 86 %) in the
Krasnoyarsk Territory and agglomeration is the
resources of federal, regional and local budgets.
These funds are spending for creation of the
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Table 4. Costs for innovations and the volume of innovative products of the Krasnoyarsk Territory enterprises*
Indicator
Costs for innovations ,million rubles, including:
Technological
Marketing
Managerial
The volume of innovative goods, works, services,
million rubles
Percentage of the total volume of shipped goods,
works, services
2005
2006
2007
2008
1422.7
1422.7
2009
2010
1893.0
5967.3
9928.7
8317.4 15956. 6
1756.8
5265.3
7921.1
8030.9
14617.7
…
36.7
507.8
406.1
2.3
2.5
…
99.5
194.2
1601.5
284.2
1336.4
9472.8 12317.1 8708.3
3895.5
4957.2
0.7
0.5
4534.7
1.2
1.8
2.0
1.5
*Indicator of innovative activity – 2011: statistical digest. Krasnoyarsk: Krasnoyarskstat, 2011. p. 40.
innovation infrastructure: business-incubators,
scientific centers, industrial parks.
There are about 70 organizations located
in the Krasnoyarsk Territory that deal with the
innovation activity. Innovative human resources
potential of the Krasnoyarsk Territory is lower
than that of Novosibirsk, Omsk and Tomsk
regions both in the number of R&D stuff and the
number of researches. But the results of R&D
activity in the Krasnoyarsk Territory are higher,
as evidenced by the number of patent applications
and granted patents and utility models.
In particular, domestic expenditures on R&D
increased in the Krasnoyarsk Territory within
the period 2005-2010 by 157 % with an average
increase of the Siberian Federal District costs
by 126 %. Costs of research and development in
the Krasnoyarsk Territory in 2010 are focused
mainly in technical sciences (88.18 %) and
natural sciences (10.05 %) as in previous years,
indicating that regional economy is specialized in
mining and processing industries.
The effectiveness of innovation activity
in the Krasnoyarsk Territory and Krasnoyarsk
agglomeration increases due to technological
innovations and application of advanced foreign
technologies. Enterprise costs for innovation as
well as the volume of innovative goods, works
and services have reduced during the period of
crisis 2008-2009. In this case, the tendency to
the predominance of the costs of technological
innovations (product and process) has become
stronger, and the costs of marketing and
organizational innovations reduced (Table 3).
In the post-crisis period a significant growth by
all indicators has been observed. The number
of advanced borrowed production technologies
applied for design and engineering, production,
communications, management: the number and
the value of agreements on technologies import
surpass the similar indicators on technologies
export.
The development of the regional innovation
system that is coordinated by the Ministry of
Innovations and Investments of the Krasnoyarsk
Territory will support further development of
the innovation activity within Krasnoyarsk
agglomeration and the Krasnoyarsk Territory.
The regional innovation system includes
infrastructure and innovations development
programs.
Innovation infrastructure is formed by three
groups of subjects that compose an educational
center, research and scientific complex and
infrastructure of innovations commercialization.
Educational complex is presented by
institutions of higher education, 90 % of
which locate in Krasnoyarsk. More than 40
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small innovative enterprises (Spin-Offs) were
established by universities from 2009 to 2012
under the special-purpose governmental support
to promote its scientific researchers to the
market.
Research and scientific complex of
Krasnoyarsk agglomeration is presented by the
Krasnoyarsk Scientific Centre of Siberian Branch
of Russian Academy of Science (KSC SB RAS)
that includes 7 scientific enterprises. The main
research activity is conducted in the territory
of Krasnoyarsk agglomeration; the positive
dynamics of patents and publications is noticed.
Infrastructure
of
innovations
commercialization in Krasnoyarsk agglomeration
is presented by combination of businessincubators, design offices, technology parks,
venture capital, and innovation activity of
enterprises. Krasnoyarsk regional innovation
and technological business-incubator (KRITBI),
Krasnoyarsk city innovation and technological
business-incubator (KCITBI), remote businessincubator of the Krasnoyarsk Territory
are currently operating in the territory of
agglomeration. Under their support knowledgeintensive businesses are being developed in the
priority fields of science and techniques such as:
medicine, biotechnology, information technology,
mechanical engineering.
The positive experience of the past on
creating design offices and central laboratories
of production plants is revived in Krasnoyarsk
agglomeration; the innovative activities of
enterprises grow.
Summary and recommendations
Thus, it was found that Krasnoyarsk
agglomeration is the business center of the
1
2
Krasnoyarsk Territory, and its entrepreneurial
activity is steadily increasing: the dynamics
of entry in business exceeds the dynamics of
exit, a percentage of private enterprises and a
percentage of the individual entrepreneurship
activity’s increase. High concentration of large
and middle-scale companies in industry, trade
and services points to further development
perspectives of agglomeration as industrial
and logistics centre of the Territory and
Siberia.
The negative trend in the entrepreneur
field is the small share of high tech business
in agglomeration industrial structure. This
problem can be overcome by further integrated
development of the regional innovation system.
In particular, it is necessary to develop projects
involving public-private partnerships that
would reduce government fi nancing of R&D
and increase the cost of the business sector.
Another way of stimulating innovation activity
is a change in the cost structure of enterprises
on innovation activity: reduction of costs for
purchasing foreign equipment and technologies
and the increase of costs for own research and
development.
The development of innovative sphere
of Krasnoyarsk agglomeration is under great
attention of the state which is a logical stage of
innovative systems establishment. The further
development of the regional innovation system
is connected with the affiliated territory –
Zheleznogorsk city, where the regional
innovation nuclear and space cluster is being
currently formed. This important process gives
an additional impact to the development of the
related fields of education, science and high-tech
industry within agglomeration.
http://www.oecd.org/eco/economicsurveysandcountrysurveillance/22350184.pdf
Three-sector model of the economy (three-sector hypothesis) considers economy as the combination of branches (enterprises), conventionally divided into three sectors - primary sector, secondary sector and tertiary sector. Primary sector
integrates industries related to raw materials extraction and its processing into semi-products. Secondary sector integrates
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3
productions of industries dealing with fi nal products manufacturing. Tertiary sector include services (transport, communications, trade, tourism, healthcare).
Six-sector model of economy according to the international ISIC classification (version 3.1) supposes the selection of sectors: agriculture, industry; construction; trade, transport and communication; fi nancial activity, real estate operations;
services (including education and health care).
European Innovation Scoreboard 2008. Comparative Analysis of Innovation Performance [Electronic resource]: materials
of Maastricht Economic and social Research and training centre on Innovation and Technology. EU, 2009. URL: www.
proino-europe.eu/metrics, free access.
Тенденции развития предпринимательской
и инновационной активности
в Красноярской агломерации
С.А. Самусенкоа, Е.Б. Бухароваа,
В.Н. Руцкийа, Д.А. Маслодудовб
а
Сибирский федеральный университет
Россия 660041, Красноярск, пр. Свободный, 79
б
Министерство экономики и регионального развития
Красноярского края
Россия 660009, Красноярск, пр. Мира, 110
Рассматотрены вопросы измерения инновационной и предпринимательской активности
Красноярской агломерации в контексте международных методик, применяемых Организацией
экономического сотрудничества и развития (ОСЭР). Исследуюованы тенденции измерения
комплексных индикаторов предпринимательства и инноваций. По результатам проведенного
анализа сделан вывод о зависимости трендов развития предпринимательства и инноваций от
организации и эффективности функционирования региональной инновационной системы.
Ключевые слова: инновации, предпринимательство, инновационная активность, Организация
экономического сотрудничества и развития.
Работа выполнялась в рамках проекта «Разработка методики для проведения сопоставительных
международных исследований социально-экономического развития региона и подготовки
научного отчета для Организации экономического сотрудничества и развития (ОЭСР)
«Территориальный обзор по Красноярской агломерации» № КФ-262 при поддержке КГАУ
«Красноярский краевой фонд поддержки научной и научно-технической деятельности».
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Journal of Siberian Federal University. Humanities & Social Sciences 10 (2012 5) 1500-1510
~~~
УДК 336.15
The Krasnoyarsk Agglomeration
in the System of Inter-Budgetary Relations Between
the Russian Federation and the Krasnoyarsk Krai
Svetlana N. Grib*a,
Svetlana N. Makarova and Dmitry А. Maslodudovb
a
Siberian Federal University,
79 Svobodny, Krasnoyarsk, 660041 Russia
b
Ministry of Economic and Regional Development of Krasnoyarsk Krai ,
110 Mira, Krasnoyarsk, 660009 Russia 1
a
Received 27.09.2012, received in revised form 01.10.2012, accepted 03.10.2012
The article analyses the development of forms and methods of intergovernmental relations on the
sub-national level in Russian Federation (RF), expenditures-revenues analysis of the Krasnoyarsk
Agglomeration is being conducted in comparison with the average Russian indexes; the impact of
regional budget and tax policy on the finances of the Krasnoyarsk Agglomeration is evaluated. The
authors express their grounds on urban agglomeration perspectives in the system of inter budgetary
relations.
Keywords: agglomeration, budget, revenue, expenditure, inter-budgetary relations, inter-budgetary
transfers, inter-municipal cooperation.
Preamble
According to the inter-municipal project
“Complex development of the Krasnoyarsk
agglomeration within the period up to 2020”
seven municipalities of the Krasnoyarsk Krai
(Krasnoyarsk,
Sosnovoborsk,
Divnogorsk,
Beresovsky, Yemelianovsky, Mansky and
Sukhobuzimsky areas) will form an urban
agglomeration. The possibility of future
including the closed administrative-territorial
formation (CATF) – Zheleznogorsk city in this
agglomeration is also considered.
Urban agglomerations is a new form of
municipalities which will require the establishment
*
1
of appropriate procedures for budget funds
effective use followed by modernization of the
current system of inter-budgetary relations.
Reforming of fiscal and legal relationships should
allow agglomerations to provide a self-sufficient
operation and development.
The budget message of the Russian
Federation President “On the budget policy in
2013-2015” concentrates on the new stage of
inter-budget relations development, which should
allow regions and municipalities to expand their
own base of revenue, however it does not fully
take into account the features of this model of
urban governance.
Corresponding author E-mail address: sgrib@sfu-kras.ru
© Siberian Federal University. All rights reserved
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This study investigates the peculiarities of
building inter-budgetary relations within the
Krasnoyarsk agglomeration.
1. The Analysis of Changes
of Inter-Budgetary Relations
at the Sub National Level
in the Russian Federation
A legislative expansion of the budget
autonomy of sub-national authorities should be
considered as the main outcome of the reform of
inter-budgetary relations conducted over the past
decade
To achieve this purpose, expenditure
commitments and sources of revenue at all
levels of the budget system and due authorities
to regulate them have been clearly defined on a
regular basis.
The level of the authority that establishes
expenditure commitments, should support them
financially from its own budget- if it is in its
power, or by delivering subventions (from the
compensatory fund) to the subordinate authorities
with the delegation of due powers.
This has eliminated the scheme of
“unfunded mandates” which was common until
2005 when the fi nancial support of expenditure
commitments set by the federal law was
frequently entrusted to the budgets of other
levels. As a result of the reform the income
sources were fi xed at the budget levels on a
regular basis instead of the annual distribution
of the “adjusting” tax revenues.
The subjects of the Russian Federation have
three regional fixed taxes (transport, business
property and gambling). In addition, the federal
tax on profits regarding the regulated rates
controlled by entities of the Russian Federation,
is actually a regional tax.
Extremely insignificant income sources were
fixed at the two-level system of local budgets:
land tax, personal property tax, certain types of
state dues, a single tax on imputed income, part of
the unified agricultural tax (standard 70 %), they
do not allow municipalities to cover expenditure
commitments with their own incomes. The share
of personal income tax charge to local budgets
was reduced up to 20 %. The analysis of the data
given in Table 2 shows currently high (92,23 %)
centralization of tax revenues in Russia at the
level of federation and federation subjects. Only
7,77 % of tax revenues remain at the municipal
level.
Tax revenues of regional budgets are
deliberately formed with a certain “excess”
compared with expenditure commitments for
the purpose of giving RF subjects a possibility to
transfer them to the local budgets through standard
allocations or to use them for equalization of
municipalities’ fiscal capacity.
Budgetary loans as a subjective form
of financial support for other budgets were
abolished and the possibility of compulsory
mode of financial recovery (temporary financial
administration) for insolvent regions and
municipalities was introduced.
During the process of reforming the
Fund of financial support for regions the more
objective procedures for transfer’s distribution
were introduced depending on the indicator “a
real budgetary sufficiency”, which considered
indexes of budget expenditures and tax potential.
Starting from 2006, the similar approaches
become common for inter budgetary transfers
within RF subjects. A new mechanism for grants
distribution allowed reduction of “dependence” of
subsidized territories and provided preservation
of tax incentives to increase a tax capacity and to
save budget funds.
Due to that sub-national budgets were to
become more independent, tax revenues of local
budgets had to improve and actually strengthen
the financial autonomy of municipalities.
However the increase in average subsidization
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of local budgets shows that the proclamations of
the “independence” of local budgets is not in fact
implemented due to their high dependence on
inter-budgetary transfers from regional budgets.
The current status of inter budgetary
relationships structure
in the Russian Federation
and the Krasnoyarsk Krai
Funding of sub-national budgets from the
federal budget is unstable and subjected to annual
fluctuations. The sum of funds transferred from
the federal budget to sub-national budgets has
increased in 2011 by 4,8 % in nominal terms,
however some reduction was actually observed
(in 2011 by 1,2 % as compared with 2010, in
2010- by 14,4 % as compared with 2009).
The sum of financial assistance for
municipalities in the Krasnoyarsk Krai is stable
and comprises up to 10 billion rubles per year
(Table 1).
The Russian Federation provided the
following stimulating tools for subjects of the
federation:
- Compensations for reduction of grants
for RF subject in the next fiscal year
compared to the previous;
- adjustment of indicators taken as the
basis of calculation of the RF subjects tax
potential to the Russian average growth
rate.
The purpose of using such approaches is to
increase an interest of the Russian Federation
subject`s authorities in the development of
their own revenue base. However, in practice it
provides minor fiscal bonuses to the subjects –
leaders of economical growth and at the
same time essentially stresses the depressed
regions.
As a result the following consequences
occur:
• the average expected level of tax capacity
in the Russian Federation is understated,
as they obtained values are lower than
actual;
• some subjects of the RF get additional
grants;
• some regions lose part of subsidies, as
their tax potential is artificially improved
relatively to the national average level.
The practice of providing regions with
financial assistance based on their achievements
in the field of economics and finance is too
disputable.
Table 1. The sum of financial assistance for municipalities of the Krasnoyarsk Krai for the period 2001-2011
2005
2006
2007
2008
6,19
3,94
3,27
3,38
4,95
5,40
4,76
2,33
6,19
3,94
3,27
(Website of the Legislative Assembly of the Krasnoyarsk Krai)
# 1502 #
2011
2004
2,33
2010
2003
4,76
2009
2002
year
2001
Grants from funds
for financial support
of the Krasnoyarsk Krai
municipalities,
billion rubles.
Regional Fund for
financial support of
municipality regions and
urban districts
Regional Fund for
financial support of
settlements
Total in billion rubles.
10,09 10,12
10,12
0,14
0,20
0,13
0,15
0,15
3,52
5,15
5,53
10,24 10,30 10,27
0,18
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So, in order to obtain more objective
assessment of the authority’s activity, the system
of indicators will be improved. The increase of
indicators in number will substitute the work for
the result with the work for the indicator. As a
result, the regional authorities will seek for the
current achievement of the improved indicators
(higher than in the previous period) without
the actual elaboration of long-term strategic
development plans
Grants for fiscal capacity equalization have
led to the noticeable reduction of differentiation
of the RF subjects consolidated budget revenues
for the period 2008–2011. However, the following
should be taken into account: first, grants for
fiscal capacity equalization comprised only to
25–30 % from the total transfers from the federal
budget. So, the equalizing properties of such
transfer types are significantly higher than that of
the other kinds of financial assistance (in terms
of 1 ruble of the transfer). Second, the rest part
of federal assistance (except grants) have led to
the increase of differentiation of sub national
budgets revenues in 2010 compared with 2009
year`s level. This fact confirms a thesis on the
ambiguity of design formulas and indicators used
for extraction of a number of inter budgetary
transfers.
of taxes, introduction (termination) of this taxes
within their territory. Such tax elements as: rates
and terms for taxes payment (within the limits
set by federal law) as well as the establishment of
additional tax
benefits are the responsibility of regional
and local authorities
In spite of the currently high centralization
of tax revenues (53,19 %) in Russia at the level of
federation (Table 2), regions and municipalities
widely use their rights for controlling taxes base
and selection of tax rates. As a rule, they expand
the list of federal benefits and reduce rates to
support people and organizations within their
territory.
The Tax Code of the RF prohibits granting
of individual benefits “for certain categories
of taxpayers”. However, it is often happens so,
that the regional benefit is aimed at the only
enterprise – the major taxpayer.
For example, the reduced rate of 1,1 %
for property taxes for companies dealing
with oil extraction and refi ning is set in the
Krasnoyarsk Krai. There is only one such a
company and taxpayer – Vankorneft. This
situation contradicts with the requirements of
the assessment of socio-economic effectiveness
and granting benefits.
2. Laws and Regulations
for Controlling Tax Revenue Authorities
in Russia at the Sub-National Level
3. The Structure of Revenues
of Local Authorities in Russia,
the Krasnoyarsk Krai
and the Krasnoyarsk Agglomeration
Tax revenues in Russia are strictly distributed
by the legislation between levels of the budget
system. A closed list of regional and local taxes is
established by the Tax Code of the RF, where an
independent expansion or restriction of taxes at
the sub-national level is not allowed.
The rights of regional authorities (in the
sphere of regional taxation) and local authorities
(in local taxation sphere) include: selection of
specific regional (local) taxes from the closed list
Now we suggest considering how the
situation with the centralization of revenues
in Russia at a higher level affects the financial
system of the Krasnoyarsk Krai.
Table 3 presents a consolidated structure
of local budgets revenue in the RF. We can see
that the first place in the total value of municipal
budgets revenue is occupied by inter budget
transfers from the budgets of other levels of
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Table 2. Execution of federal, state and local budgets of the Russian Federation in 2011, by tax revenues
Russian
Federation
Types of tax revenues
billion
rubles
Total tax revenues
Value added tax
Natural resource extraction
tax
Corporate profit tax
Personal income tax
Excises
Subjects of
Federation
% of
total tax
revenue
billion
rubles
% of
total tax
revenue
Bodies of
Municipal
Government
% of
billion
total tax
rubles
revenue
Total
billion
rubles
% of
total tax
revenue
5985,16
53,19
4392,41
39,04
873,901
7,77
11 251,47
100,00
3250,41
28,89
0,00
0,00
0,34
0,00
3 250,75
28,89
2007,58
17,84
33,66
0,30
1,31
0,01
2 042,55
18,15
342,60
3,04
1907,28
16,95
20,66
0,18
2 270,55
20,18
0
0,00
1411,39
12,54
582,73
5,18
1 994,12
17,72
278,36
2,47
371,89
3,31
0,20
0,00
650,46
5,78
Lump-sump taxes
0
0,00
118,08
1,05
92,36
0,82
210,45
1,87
Simplified Tax System
0
0,00
116,35
1,03
21,98
0,20
138,33
1,23
Single tax on imputed
earnings
Single agricultural tax
0
0,00
1,23
0,01
67,30
0,60
68,53
0,61
0
0,00
0,50
0,00
3,09
0,03
3,59
0,03
Property taxes
0
0,00
535,58
4,76
142,17
1,26
677,75
6,02
Personal property tax
0
0,00
0,50
0,00
4,16
0,04
4,66
0,04
Organizations property tax
0
0,00
453,66
4,03
13,94
0,12
467,61
4,16
Transport Tax
0
0,00
66,20
0,59
17,00
0,15
83,21
0,74
Taxes on gambling
0
0,00
0,08
0,00
0,00
0,00
0,09
0,00
Land tax
0
0,00
15,13
0,13
107,06
0,95
122,19
1,09
Other taxes
0
0,00
13,10
0,12
33,64
0,30
46,74
0,42
35,05
0,31
1,29
0,01
0
0,00
36,34
0,32
3,86
0,03
0
0,00
0
0,00
3,86
0,03
Regular payments for
the extraction of natural
resources (royalty) under
the implementation of
Production-Sharing
agreements
Water tax
Fees for the right of use of
fauna and water biological
resources
State due
0,41
0,00
1,83
0,02
0,00
0,00
2,24
0,02
65,84
0,59
9,98
0,09
33,63
0,30
109,45
0,97
Debt and recalculations on
canceled taxes, fees and
other mandatory payments
1,06
0,01
1,41
0,01
0,49
0,00
2,96
0,03
(The Report on the implementation of the consolidated budget of the RF for 2011)
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Table 3. A consolidated structure of the local authority (municipalities) revenue in Russian Federation in 2011
Indicators
Billion rubles
% of total revenue
% GDP
2 964,039
100
5,43
880,647
29,71
1,61
1 799,330
60,71
3,3
Total revenue of local budgets
Including:
Own tax revenues
Transfer
Non-tax revenues
279,108
9,42
0,51
Entrepreneurial income
4,954
0,17
0,01
Russian Federation GDP
54 585,623
100
(The Report on the implementation of the consolidated budget of the RF for 2011)
Table 4. Consolidated revenue structure of local authorities (municipalities) in the Krasnoyarsk agglomeration
Indicators of KRASNOYARSK
AGGLOMERATION
2000 year
2005 year
2011 year
million
rubles
% of total
revenue
million
rubles
% of total
revenue
million
rubles
% of total
revenue
Total revenues
6 475,7
100,00
15 260,4
100,00
34 448,3
100,00
Own tax revenue
4 196,3
64,80
6 159,6
40,36
13 530,6
39,28
Transfers, including:
1 944,1
30,02
7 350,1
48,16
16 345,5
47,45
Grants
1 486,1
22,95
1 583,4
10,38
1 746,1
5,07
Subsidies
0
0
740,7
4,85
4 207,7
12,21
Subventions
450,9
6,96
5 015,2
32,86
10 220,1
29,67
Other revenues (non-tax,
entrepreneurial income)
335,3
5,18
1 750,8
11,47
4 572,3
13,27
(Calculated on the basis of data of Legal-Reference System “Consultant plus”)
the whole budget system. Tax revenues are less
than one third of the total revenue sources of the
municipalities.
While comparing the current structure of
revenues of local authorities in Russia with the
revenue structure of Krasnoyarsk Agglomeration
(Table 4) their qualitative difference should be
noticed.
The share of tax revenues in the total value
of the Krasnoyarsk Agglomeration revenue
(39,28 %) almost 10 % higher than the similar
value of the share of tax revenues of local
authorities in the total amount of the RF local
budgets revenue (29,71 %).
Among positive indicators is the higher share
of non-tax revenues and entrepreneurial income
compared to the national average share (13,27 %
in the Krasnoyarsk agglomeration versus 9,58 %
for local authorities in Russia on average).
The positive dynamics of revenues of the
Krasnoyarsk
agglomeration
municipalities
include (under the increase of inter budget
transfers in the form of subventions and subsidies)
the reduction of municipality grants from с
22,95 % up to 5,07 % of revenues of all budgets
of agglomeration for the given period. The
share of non-tax revenues (from the use and sale
of municipal property, administrative fees, fines,
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Table 5. Consolidated structure of the RF subject`s authorities revenue
2000
Name of tax
2005
2011
Billion
rubles
% of
GDP
Billion
rubles
% of
GDP
Billion
rubles
% of
GDP
Total taxes, including :
742,8
10,17
2 232,4
10,33
5273,1
9,66
Corporate profit tax
220,8
3,02
955,3
4,42
1927,9
3,53
Personal income tax
147,4
2,02
707,0
3,27
1995,8
3,66
Excises
35,3
0,48
146,6
0,68
372,1
0,68
Value added tax
85,8
1,17
71,7
0,33
215,2
0,39
Lump-sum taxes
Property tax
63,5
0,87
253,1
1,17
678,0
1,24
59
0,81
56,3
0,26
81,7
0,15
1,79
42,4
0,20
0,83
268,9
1,24
554,1
1,02
TRANSFERS, including :
442,3
2,05
1768,8
3,24
Grants, including
294,9
1,36
564,9
1,03
189,8
0,88
398,4
0,73
52,0
0,24
154,3
0,28
44,3
0,20
514,2
0,94
48,0
0,22
338,3
0,62
55,1
0,25
351,4
0,64
0,0
0,00
Natural resources taxes, charges and
fixed duties
Other tax revenues
131
Non-tax revenues
60,7
Grants for fiscal capacity equalization
(from federal fund for the financial
support to regions)
Grants on the provision of financial
support to fiscal equalization (fiscal
balancing grants)
Total subsidy
Total subvention
Other transfers
Other revenues
262,3
3,59
entrepreneurial income
Revenues of special-purpose budget
funds
Some other revenues
Total revenue of Russian Federation
consolidated budgets revenue
Russian Federation GDP
160,6
2,2
101,7
1,39
1 065,8
14,59
7 305,6
56,2
0,26
48,3
0,09
2 999,9
13,88
7 644,2
14,00
21 609,8
54 585,6
(Statistical Yearbook; Website of the Federal Treasury)
etc.) and entrepreneurial incomes has increased
by 8,09 % within 11 years – from 2000 to 2011
(from 5,18 % in 2000 to 13,27 % in 2011).
However, the dynamics of tax revenue share
in the Krasnoyarsk agglomeration seems to be
unfavorable within the reviewed period: it has
decreased by 25,52 % in the total value of
revenue : from 64,8 % in 2000 up to 39,28 %
in 2011, which is mainly connected with the
legislation alterations.
The revenue policy of municipalities
integrated in the Krasnoyarsk agglomeration
depends substantially on the sub-national
revenue policy of Russia and the revenue policy
of the Krasnoyarsk Krai. The Table 5 shows
the structure of the Russian Federation subjects
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Table 6. Revenues of Krasnoyarsk Krai budget, million rubles
Revenue types
2000
2005
2011
Total tax revenue, including:
Corporate profit tax
24033,2
52 038,3
144 784,6
11669,5
23 521,4
68 981,6
Personal income tax
4822,8
16 729,7
44 810,4
Excises
398,0
2 685,2
7 367,6
Lump-sum taxes
Property tax
413,7
1 341,5
4 063,5
1916,7
5 891,7
13 242,4
Natural resources taxes, charges and fixed duties
1691,4
1 508,1
5 415,4
Transfers, including:
86,2
8 653,4
25 571,2
Total grants, including:
Grants for fiscal capacity equalization (from federal fund for
the financial support to regions)
Grants on the provision of financial support to fiscal
equalization (fiscal balancing grants)
Total subsidy
0,0
4 993,9
2 472,5
0,0
2 137,9
379,1
0,0
2 336,1
659,7
0,0
1 078,0
13 911,9
0,0
940,1
7 941,6
Total subvention
Other transfers
Other revenues (non-tax, entrepreneurial income)
Total revenue of Krasnoyarsk Krai consolidated budget
revenue)
86,2
1 641,4
1 245,1
2328,7
6 845,1
18 417,8
26361,9
67 536,8
188 773,6
(Website of the Federal Treasury)
revenue for the period 2000-2011years. The Table
6 presents the structure of the Krasnoyarsk Krai
consolidated budget revenue for the same period.
The comparative analysis shows the
essential difference between the structure of the
Krasnoyarsk Krai consolidated budget revenues
and the structure of the RF subject authority
revenues in the whole country.
The share of tax revenues in the total
revenue volume of the RF subjects has reduced
from 74,4 to 69 % during the period 2005-2011,
while in the Krasnoyarsk Krai this share is stable
and comprises to 77 % of the total consolidated
budget revenues. The share of non-tax revenues
(about 10 % of total consolidated budget revenues)
is stable in Krasnoyarsk Krai within the indicated
period, whereas there is a tendency to reduce the
share of non-tax revenues of the RF subjects
(from 9 % to 7,2 %) in the whole country.
The smaller share of transfers receipt
in consolidated budget of the Krasnoyarsk
Krai (versus the national average level) is also
positive. This share is 13 % of total revenues
of consolidated budget of Krasnoyarsk Krai,
while the national average share of transfers in
consolidated budgets of RF subjects has increased
from 14,7 to 23,1 %.
These data prove a stable composition of
the Krasnoyarsk Krai revenue base allowing
both horizontal and vertical equalization of
municipals fiscal capacity within its territory.
4. The Structure of Local Authority’s
Expenditures within
the Krasnoyarsk Agglomeration
Budget expenditures of the Krasnoyarsk
agglomeration`s municipalities have increased
by 18 times in absolute terms within the period
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Table 7. The structure of budgetary expenditures of the Krasnoyarsk agglomeration`s local authorities for the
period 1995-2011 years
Types of
1995*
expenditures
million
in Krasnoyarsk
rubles
agglomeration
Public (municipal)
administration
58385,7
National Security
and Law
Enforcement
66015,0
The economic
development
167779,1
Housing and utilities 572592,8
Environment
protection
571,0
Education
415816,4
2000
2005
2010
2011
%
million
rubles
%
million
rubles
%
million
rubles
%
million
rubles
%
3,0
360,4
5,3
1237,1
7,9
2172,5
7,3
2388,9
6,7
3,4
230,2
3,4
269,9
1,7
360,4
1,2
132,6
0,4
8,6
515,8
7,6
486,3
3,1
814,9
2,8
1030,6
2,9
29,2
2372,8
35,1
4234,5
27,0
5975,5
20,2
9011,0
25,3
0,0
10,3
0,2
41,8
0,3
8,9
0,0
27,8
0,1
21,2
1467,5
21,7
4647,0
29,6
9967,4
33,7
11763,6
33,1
42616,7
2,2
125,7
1,9
390,0
2,5
936,9
3,2
1084,0
3,0
Healthcare and
Sport
Social policy
236588,3
12,1
727,5
10,7
1830,1
11,7
3253,8
11,0
3327,8
9,4
96125,7
4,9
367,9
5,4
2557,3
16,3
6078,6
20,6
6806,8
19,1
Inter governmental
budgetary transfers
Other expenditures
245912,0
12,6
0,0
0,0
0,0
0,0
0,0
0,0
0,0
0,0
56342,6
2,9
589,6
8,7
4,5
0,0
8,6
0,0
6,3
0,0
Total expenditures
1958745,2
100
6767,8
100
15698,6
100
29577, 6
100
35579,4
100
Culture
* in pre- denominated rubles (Calculated independently on the basis of data of the Legal-Reference System
“Consultant plus”)
1995-2011. At present the structure of budget
expenditures of all Krasnoyarsk agglomeration
participants (Table 7) clearly reflects their social
orientation (more than 60 % of all budgets
total expenditures are used for social purposes:
education, health, social policy, culture).
Krasnoyarsk outlays least of its funds (62,3 %) for
social purposes; the maximum share of the budget
for social issues spends Sukhobuzimsky area
(78,2 %). Expenditures for education takes the
main share of local budgets (the share of spending
on education is paramount in all municipalities of
the agglomeration)
There is a tendency for reduction of
expenditures for economic development, law
enforcement, housing and communal services in
local budgets.
The share of expenditures for the
municipal governance in the whole Krasnoyarsk
agglomeration (and for the most municipalities)
is also being reduced after 2005. During this
period, the costs of municipal administration
ranged from 3 to 15 % of the total costs of the
local budget.
The existing consolidated expenditure
commitments of local authorities in Russia
exceed their revenue opportunities that without
having any adequate system of inter-budgetary
transfers will lead either to shifting part of costs
to population and business community, or to
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a reduction of quantity / quality of provided
public services.
Conclusion
A continuous improvement of the legal
framework regulating the inter budgetary
relations does not reduce the volume of the
deficits of regional and local budgets and does
not provide financial autonomy in matters related
to the economics of the Russian Federation
subjects and municipal units. Reduction of
the share of local budgets expenditures for
economic development being observed over the
past 10 years, does not allow the Krasnoyarsk
agglomeration participants creating a stable
revenue base and increases their dependence
on intergovernmental transfers. Therefore, the
redistribution of the agglomeration`s paying and
spending authorities for economic development
within their territory becomes essential in the
frames of inter-municipal cooperation.
The existing practical problems and
shortcomings of inter-budgetary relationship
model functioning under the conditions of urban
agglomerations creation confirm the need to
continue scientific investigations of forms and
methods of financial assistance distribution in the
public sector of economics.
References
Budgetary Code of Russian Federation [Electronic resource]: the RF Federal Law оf 31.07.1998
№145-ФЗ. Access is available via the legal information service «Consultant plus».
On the regional budget for 2012 and the planning period 2013-2014 [Electronic resource]: The law
of the Krasnoyarsk Territory of 01.12.2011 №13-6643. Access is available via the legal information
service «Consultant plus».
Statistical Yearbook, available at http://www.gks.ru (accessed 1 October 2012).
The Report on the implementation of the consolidated budget of the RF for 2011, available at
http://www.roskazna.ru (accessed 1 October 2012).
Website of the Federal Treasury, available at http://www.roskazna.ru (accessed 1 October 2012).
Website of The Legislative Assembly of the Krasnoyarsk Krai, available at http://www.sobranie.
info/ion (accessed 1 October 2012).
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Svetlana N. Grib, Svetlana N. Makarova… The Krasnoyarsk Agglomeration in the System of Inter-Budgetary Relations…
Красноярская агломерация
в системе межбюджетных отношений
Российской Федерации и Красноярского края
С.Н. Гриба,
С.Н. Макарова , Д.А. Маслодудовб
а
Сибирский федеральный университет
Россия 660041, Красноярск, пр. Свободный, 79
б
Министерство экономики и регионального развития
Красноярского края
Россия 660009, Красноярск, пр. Мира, 110
а
В статье проанализировано развитие форм и методов межбюджетных отношений на
субнациональном уровне в Российской Федерации, проведен анализ доходов и расходов
муниципалитетов Красноярской агломерации в сравнении со среднероссийскими
показателями, оценивается влияние на финансы Красноярской агломерации региональной
бюджетной и налоговой политики. Авторы высказывают свою позицию относительно
перспектив городских агломераций в системе межбюджетных отношений.
Ключевые слова: агломерация, бюджет, доходы, расходы, межбюджетные отношения,
межбюджетные трансферты, межмуниципальное сотрудничество.
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Journal of Siberian Federal University. Humanities & Social Sciences 10 (2012 5) 1511-1521
~~~
УДК 332.146.2
Management Mechanism for Balanced Development
of the Regional Economic System
Irina V. Filimonenko*
Siberian Federal University
Institute of Business-Process Management and Economy
79 Svobodny Pr., Krasnoyarsk, 660041 Russia 1
Received 02.04.2012, received in revised form 07.04.2012, accepted 27.06.2012
The article shows the method of management mechanism formation for balanced development of local
markets of the region. The basic principle is the balance between the management mechanism elements
and rules of local market development in the period when a regional economic system (RES) transits
to an innovative model of development. Isolated elements of the management mechanism system of
local markets, among which we consider functions – processes: balanced development regulation,
financing, providing local markets’ information development, motivation and encouragement of
markets’ participants, controlling the results of local markets’ development. The trends of exposure
to the elements of the management mechanism for each local market of RES. The development of
integration processes in local markets in the region leads to the formation of associations that give
rise to forms of liability depending on that allows you to distribute responsibility for the development
of supply and demand in domestic markets of RES between regional government bodies, business
representatives and consumers. We formulate a conclusion about the advisability of forming the local
market management mechanism to the principles matrix structure.
Keywords: regional economic system, local markets of the region, balanced development, innovation
growth, management mechanism of local markets.
Point
According to the defi nition of A.G.
Granberg, the regional economic system (RES)
is a complex, open management system for
economic agents in the context of the territorialadministrative units of the Russian Federation,
interacting in the sphere of production, goods
distribution and consumption. This system
forms the environment for humans living on its
territory, the business-space for regional, national
and international economic development,
communication space for the region promotion
*
1
to internal and international markets. In
accordance with the property of polystructure
(Granberg, 2003), RES can be considered as
a system of controlled local markets. Each of
them, in turn, is a complex subsystem of the
socio-economic processes and relations in the
sphere of production, distribution and delivery
to the fi nal consumer products having consumer
value. As the local markets are the components
of the regional economic system, the possibility
of achievement the sustainable economic
growth and the region movement to the way
Corresponding author E-mail address: IFilimonenko@sfu-kras.ru
© Siberian Federal University. All rights reserved
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Irina V. Filimonenko. Management Mechanism for Balanced Development of the Regional Economic System
of innovation growth depend from its level of
development and accumulate potential.
The sustainable economic growth of RES
expects:
the existence of the task trajectory of
development, leading to quantitative changes in
the socio-economic indicators of RES;
the presence of economic growth sources
considered as factors, increasing the operating
effect of RES, i.e. the ability to make the best
use of its recourses and independently change
them, continuously increase the development
indicators. Herewith, the expenses of basic nonrenewable resources must be permanent (Esekina
B.K., Sapargali Sh., 2002);
the provision of RES by the complex of
preventive measures helps to protect against
external and internal disturbances and to
achieve the target. The external disturbances
occur under the influence of environmental
factors in the effect of the regional economy
(the competitive pressure increase, the danger
of regional economy transformation into the
primary processing centers in the production
chain of transnational corporations, the exchange
fluctuations and price range on commodity
exchanges, etc.). The protection against external
disturbances allows making the movement of
RES along the trajectory of target development
with the tolerance limits. First of all, the internal
disturbances include the supply and demand
imbalance in local markets of RES and social
instability. The protection against internal
disturbances provides internal stability in RES
development.
The principles of the sustainable economic
system organization are:
eco-efficiency – the process when the
exploitation of resources, the direction of
investment, the orientation of scientific and
technological development, the carrying out of
institutional arrangements increase added value
on conditions that cause resource consuming
decrease, waste and pollution minimize;
balanced development of RES components,
orienting on the local good markets integration,
labour and education integration, timely broadcast
of the requirements for structural changes in local
markets and the preparation of complex solutions
for its support.
The experience of leading countries that
reach such level of development at the expense
of innovation activity shows the necessity of
formation of the local markets integrated system
of the region (according to the classification of the
World Economic Forum)1. The key feature of local
markets integrated system of the region is the
participation of economic agents in determination
of the development strategy of each local market
of the system. This ensures not only a balanced
development, but also creates the preconditions
for the formation of a many-level system of
responsibility (power-business-consumer).
The research of influence of local markets
on the regional economic development helps
to determine the group of local markets of the
region, necessary for modeling the economic
development and showing them as the managed
components inside of RES. The research is
conducted on the basis ofthe system analysis.
The possibility of strategic management by local
markets appears in the following traditional
functions of the RES government entity in
relation to the control objects (Alekhin E.V.).
Analytical. The economic diagnostics
of markets development, the regional market
conditions research, the research of competitive
environment, the analysis of regional markets
institutions, the general research of market
infrastructure.
Organization and control. The process of
building regional markets control elements, the
ordering of their relationships and information
flow for the good control.
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Irina V. Filimonenko. Management Mechanism for Balanced Development of the Regional Economic System
Planning. The development of strategic and
tactical plans for the development of the regional
markets system.
Coordination. The development of laws,
regulations, programmes.
Motivation. Organizations benefits, credits
to increase the population purchasing power.
The comparative analysis of control
capabilities of local markets by the RES
government entities shows that there are a few
markets that have local features in a full measure.
They are managed at the level of the RES to
achieve the balanced economic development.
They are:
products market and market of capital goods
producing and realizing in the territory of RES.
They are the inner potential of the region while
ensuring the volume of the domestic demand,
gross regional product (GRP) and RES rate of
growth;
labour market – ensuring the region’s
economy in terms of effective management
of the communication processes with all the
focus groups, competitive products output and
building the long-term and mutually beneficial
relationships between business partners and
customers;
education markets – carrying out training,
retraining and further training of professional
staff for regional economy.
The achievement of targets of the regional
economic development supposes the construction
of effective interaction mechanisms between
society, business and government. They should
be focused on coordination of the efforts and
the list interests of different social groups. The
analysis of the economic environment of the
local market management system and their rules
of development provides the base for forming the
special package of measures. These instructions
should create the balanced development of the
regional economic system (RES) in the period of
transition to stable economic growth, innovation
potential increase and innovation growth.
The balanced development of RES is
the development accompanied by planned,
coordinated and consistent changes in the
structures of the components of integrated system
of local markets of the region. The pattern of
achievement of the balanced development of RES
associates with the action of following economic
laws: supply and demand, productive relations
and productive forces capability, competition
law, money circulation. The pattern appears in
the existence of relation between the development
of essential features of local markets of goods,
labour and education. The damage of relation
leads to the supply and demand imbalance on
regional labour and education markets, increase
of uncompetitive production, and loss of market
positions by regional manufacturers and to the
other negative effects in the development of RES.
To ensure the balanced development insufficient to
control an individual local market of the region, it
is necessary to create conditions for achievement
the synergistic effect from the cooperative
development. In that case it is very important to
control the system of parameters, transferring
the requirements and conditions from one local
market to another. Just the achievement of
balanced development of local markets promotes
the creation of sustainable economic growth of
the region.
The research of tendencies and laws of
development of RES local markets (Filimonenko,
2011) permits to reveal five groups of factors
that prevented the balanced development of RES
(Fig. 1).
Although there are a lot of researches in
the sphere of national and regional regulation
(Shniper, 1996; Kotilko, 2001; Novoselov,
2002, Granberg, 2003; Minakir, 2005, etc.), the
identification of features and construction of the
system of coordination of labour and education
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Irina V. Filimonenko. Management Mechanism for Balanced Development of the Regional Economic System
Fig. 1. Groups of factors preventing the balanced development of local markets (goods, labour, education) of
RES
markets development (Sturov, 2003; Volkov,
Kuzminov, 2008; Makeeva, Nekrestyanova,
2009; Sigova, 2010, etc.), the problem of the
development of local mechanisms (in regard to
local markets of RES) could not be considered as
completely solved due to the following reasons.
First of all, the elements and relations
between management mechanisms of local
markets of goods, labour and education suffer
changes due to the continuously changing
external environment forming new challenges
and conditions of the development for local
markets of RES. For example, the extreme
dynamism of globalization processes can lead
to the transformation of local markets and,
consequently, to the change in methods and
opportunities of regional management. Firstly, it
shows itself in the limits of distribution function
of the region that, nowadays, focuses on land
resources controlled by the region or municipality.
The possibility of social programmes developing
stimulus and preferences for economic agents of
the regional markets plays an important role.
At the same time, the competition increase
and change of its character lead both to
strengthening of a competition level on local
and/or regional markets and to formation of
mutually beneficial partnership between recent
competitors. Both processes differently promote
the increase of the internal and external demand
of the region and provide the structural changes
on the local markets:
the strengthening of competition forces
the regional producers to strive for the early
upgrade and transition to innovative development
to ensure long-term competitive advantages of
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Irina V. Filimonenko. Management Mechanism for Balanced Development of the Regional Economic System
products and services of all local markets (goods,
labour and education);
following the principles of the long-term
mutually beneficial partnership leads to activation
of the vertical and horizontal integration of RES,
particularly between domestic local markets of
different types that ensure a healthy influence on
a balanced regional development.
Secondly, the presence of gaps in supply and
demand covering the whole chain of relations
in the local market system leads to regional
development imbalances. It demonstrates itself in
the following problems:
a long term of recruitment and an increase
of average duration of unemployment (up to 5
months as of 01.01.20122) on the regional labour
market due to the disparity between salary
expectations and the quality of human resources
employer requirements. This, in turn, creates
a large number of vacancies and job seekers
(unemployed potential workers) at the regional
labour market. For example, for the first two
months of 2012 about 18.1 thousand citizens
visited the Agency of Labour and Employment
of The Krasnoyarsk Territory seeking help in job
finding (at the beginning of the year the number of
candidates was 40.4 thousand including citizens
registered as of 01.01.2012). At the same time,
employers gave an information about the demand
in 33.9 thousand employees (at the beginning of
the year the Agency of Labour had 49.5 thousand
vacancies including the claimed vacancies as
of 01.01.2012). Consequently, in two months at
least about 15.6 thousands of vacancies and about
22.3 thousand of citizens seeking jobs remained
dissatisfied;
availability of unemployed graduates
having professional education. The share of
graduates with professional education among
unemployed (during one year after graduation)
was 2.4% or 0.7 thousand people at average in the
Krasnoyarsk Territory in 2009-2010 3. This share
makes 2.2% from the total number of all full-time
graduates with professional education. At the
same time, this share includes only the graduates
officially registered at the Agency of Labour
and Employment of The Krasnoyarsk Territory.
According to the information from educational
institutions the rate of graduates unemployed for
one year after graduation increases up to 6.4%;
the inconformity of professional and social
competencies of graduates with professional
education with the workplace requirements.
Today, educational institutions in the first place
focus on formation of students professional
competencies. At the same time, the vector of
employers’ preferences has moved to personal
competencies and business qualities of young
specialists. The employers consider the
following competences as the most significant:
responsibility, achievement motivation, tolerance
to stress, and some other qualities4 that are fully
consistent with the principles of human resource
formation in the innovation period. Not only the
rise in proficiency, but also the development of
employee’s responsibility as well as the extent of
their participation in various decisions play a very
important role (Moiseev and Shurupova, 2010).
Thus, the management mechanism of
local markets of a region should conform to the
following requirements: to overcome the current
regional development imbalance, to promote the
achievement of targets of innovation growth of
RES, to adapt to external environment changes.
The key tasks of management mechanism
building are the definition and substantiation
of its principles of formation, concerning the
internal local markets (producing goods, labour
and education) with the separation of its clusters.
Example
One of the most effective approaches to the
formation of the mechanism of the end-to-end
control by interdependent processes of regional
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Irina V. Filimonenko. Management Mechanism for Balanced Development of the Regional Economic System
development taking place in an integrated system
of local markets of the region is a processoriented approach. It is a many-component
system consisting of a group of interdependent
elements. These elements focus on achievement
of the agreed changes in the structures of local
markets of the region and are a part of the general
management system of regional development.
From our point of view, separation of the
local markets system’s management mechanism
(production, labour, education) is to be based on
three basic principles:
employing the system approach to the
regional local markets’ management mechanism
structure:
non-confrontation
between
priority
directions of elements of the mechanism
development and local market development laws
in the period of RES transition to the innovation
growth model;
sharing responsibility between the regional
government, business and consumers for the
development of each mechanism element.
According to the first principle, the
management mechanism of regional local
markets can be presented as a system that holds
a set of sub-gears (processes, functions, (Ivanov,
2004) characterizing the general management
system of the regional development. The stages
of the regional local markets cooperation lay in
the foundation of the following functions:
a) balanced development regulation through
the system of interconnected strategic planning
of local markets key features for the sake of
achievement of economic and innovation growth
of the region;
b) financing (investment in) the balanced
development of local markets for the sake of
providing targeted regional growth;
c) providing local market information
development through tools of monitoring,
forecasting, strategic planning;
d) motivation and market agents incentives
for the sake of speeding-up processes of the
internal and external demand factors formation for
the sake of providing RES innovation growth;
e) controlling the results of local markets’
development for acceptance of timely correction
actions.
General aims of the sub-gear systems
formation are:
to provide the RES transition to innovation
growth;
to neutralize the factors leading to imbalance
in the regional development.
According to the second law, for every
process the priority directions are to be detected
taking into consideration regularities of the local
markets’ development. The typical regularities
taking place in RF RESs are:
- local markets’ transformation to regional,
inter-regional, national and\or global markets
as innovation factories appear in the regional
economy, competitive or non-analog goods are
produced, foreign demand and export quantity
increase;
- achievement of the local markets system’s
balanced development in the time of RES
movement by the path if innovation growth;
- the change of the local market structure
(production, labour, education) due to the
economic modernization strategy;
- the change of local markets control
forms, methods, approaches due to the chosen
development path and continuously changing
external environment;
- increasing a resource potential of local
markets in the time of movement by the path of
innovation growth.
For the process function “Regulation of the
balanced development”, from our point of view,
these directions are the following:
a) providing conditions for the interconnected
local markets development and strategic support
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Irina V. Filimonenko. Management Mechanism for Balanced Development of the Regional Economic System
of modernization and innovation penetration
in the spheres of regional economy and the
professional education system, in the innovation
and market infrastructure development, in new
types of employment;
b) using tools for monitoring and forecasting
to determine the structural changes in RES and
value of staffing needs of regional economy;
the support of development, introduction and
using of normative and standards on the product
local markets (goods quality system), labour
(professional standards), education (educational
standards of secondary professional education
and basic professional education).
Key directions for the investment function
- process are:
a) business environment and innovation
infrastructure creation;
b) investigation of the regional labour market,
i.e. investigation of middle-term and long-term
professional staff requirements;
c) developing labour market professional
standards and education standards for all levels
of professional education;
d) upgrading material and engineering bases
of professional educational institutions;
e) establishing associations for education
programme development and testing, including
advance preparation programmes;
f) organizing new labour mobility forms in
the region.
The
directions
for
“information
procurement” process-functions are formed
according to the laws of transparency and
openness that assume the free access to the
information for all parties concerned. General
directions of information procurement in the
local market are:
a) forming of a multidimentional data base
of strategic plans of the RES development;
rates of growth; modernization of the economy;
workforce demand against types of economic
activity; professions; levels of training; demands
for employees, including staff requirements
for innovation projects belonging to a regional
economic subject;
b) forming and actualization of labour supply
data bank against municipal formations, types of
economic activity; professions; education levels;
c) professional personnel employment
monitoring, including young specialists;
d) building short-term, medium-term and
long-term forecasts of regional workforce demand
for municipal entities, types of economic activity;
professions; education levels.
For the process – function named “Motivation
and market agents incentives” the increase
of integration between local markets helps to
overcome basic differences in the development of
internal local markets of the region. The integration
occurs at the expense of including different
local market representatives (products, labour,
education) in formation of development strategy.
This trend helps, firstly, to eliminate distortions
in the target values transmission in the system
of interdependent development of local markets.
In addition, the intersubjective cooperation leads
to the formation of unions that give the forms of
responsible relationship (Malakhovskaya M.V.,
Skrylnikova N.A., 2009). It allows you to allocate
responsibility for creation of supply and demand
in internal markets of RES. As a result, the
effective flow of interaction processes between
local markets makes a balanced development of
the whole group of factors of internal and external
demand and RES.
The process-function named “Control”
proposes the stable-working system of adjustment
mechanisms to provide regional economic
stability in the chosen economic development
dimension.
Basic directions of control are:
- forming of regional and municipal budgets
through the taxation system;
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Irina V. Filimonenko. Management Mechanism for Balanced Development of the Regional Economic System
- providing the civilized market development
through the system of pricing laws and measures,
competition forms and methods used, tools of
goods and services advancement, protection of
consumer and producer rights;
- forming of adjustment plans and programmes
according to the economic development results
(GRP growth rate, fixed capital investments
growth rate, labour productivity growth rate and
other indices) taking into consideration changes in
the economic structure, employment, education,
and defining the claimed number of applicants
for higher education institutions, professional
education institutions, secondary education
institutions.
Basic elements (process-functions) of
controlling the mechanism for a local regional
economic subject (RES) and their dimensions are
presented in Table 1.
According to the third principle of building
the management mechanism for RES structure
shifts, the responsibility for supply and demand
development and optimization in local markets is
to be shared between three interested parties:
regional governmental bodies, as the subjects
of regional management and administration, are
interested in innovation growth of the region,
providing high standards of living and population
satisfaction level. They also hold the concrete
tools of influence upon social and economic
development of the regional system;
business representatives as economic agents
of the market are interested in their own business
efficient growth. On the one hand, their business
development success is directly connected with
the RES development and Russia’s development
in general. On the other hand business is able
to influence the regional development through
acceleration of modernization processes and
introduction innovations in production, service,
building infrastructure and new jobs in the
regional economy;
consumers (society) as the target group on
all the regional local markets (production market,
labour market, education market) influence the
level of local markets’ development through
inside demand forming for the regional producers’
production. They can influence changes at the
education level, job and specialization, work
place and scope of activity. In spite of the fact that
consumer’s choice is formed with reference group
impact, consumers always hold a free choice
opportunity. Population’s standard of living and
population satisfaction level frequently depend
on this opportunity.
Thereby, the selected group for sharing
responsibility for supply and demand development
and optimization on the regional local markets is
not only interested in concerned process advance,
but holds the chance to influence them.
Conclusion
To summarize all the aspects stated
above, we can conclude that the local market
management mechanism is to be developed
according to the principles of the matrix
structure (Fig. 2). On the one hand, it allows
ensuring the integration of regional local
markets development based on the formation
of the complex system of functions and
processes of management of the interdependent
development. On the other hand, it helps to
allocate responsibility for the supply creation
between three levels: government, business,
community. The strategic consequences of this
management mechanism for the development
of RES are: the provision of internal stability
of economic development, closing the gaps in
supply and demand throughout the relation
chain in the system of regional local markets, the
increase of responsibility for making decisions
at all levels (regional authorities, business,
society), and, as the fi nal result, the overcoming
of regional development imbalances.
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Balanced development
regulation
Active labour mediation on
the open labour market;
Professional standards
development;
Help to the forced
unemployed in professional
training, employment and
moving to a new workplace;
Psychological support.
Development and promotion
of educational standards.
Labour market
Education
market
Use of plans,
development programmes;
Use of standards,
Product market product quality standards;
Use of protectionist
measures to support regional
producers.
Local market
type
Study of young specialists’
employment and of
effectiveness of training.
Help to improve the
competitiveness mobility of
labour power;
Help to study the needs of
regional labour market.
Budgeting of SPE5 and BPE;
Modernization of the
material-technical base of
SPE and BPE.
New forms and methods of
payment;
Encouragement for
performance.
Social insurance against
involuntary unemployment;
Electoral support of jobs
and development of types
of employment, considering
labour market conditions (the
development of motivation
and preferences).
Business environment
creation;
Innovation infrastructure
formation.
Labour market development
prognoses;
Vocational-oriented
programmes;
Bank of vacancies and
proposals;
Employment monitoring,
including young
professionals;
Multidimensional
information database of the
labour market needs.
Motivation and stimulation
Resources allocation
(regional and municipal
land);
Tax incentives;
Compensatory policy
for companies and
organizations during
innovation introduction
and participation in social
projects.
Information support
Forecasts of economic
development, foreign
economic activity, products
and service markets;
Information about the
investment projects, tenders
and competitions, etc.;
Target programmes and
development plans.
Investment
Type of management mechanism elements (process-functions)
Table 1. The direction of the management mechanism elements (process-functions) of local markets of RES
Key figures of reception to
educational institutions;
Changes in the employment
patterns.
Key figures of reception to
educational institutions;
Changes in the employment
patterns.
Prices, fines, payments for
using resources;
Forms and methods of
competition;
Tax liabilities;
Changes in the economic
structure.
Control
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Irina V. Filimonenko. Management Mechanism for Balanced Development of the Regional Economic System
Fig. 2. The structure of the management mechanism of a local market
1
2
3
4
5
The source: The Global Competitiveness Report 2011−2012; World Economic Forum, 2011
According to the data from The Agency of Labour and Employment of The Krasnoyarsk Territory, http://www.rabotaenisey.ru/market/situation
According to the data from The Agency of Labour and Employment of The Krasnoyarsk Territory, http://www.rabotaenisey.ru/market/situation
According to the data from the employers of The Krasnoyarsk city and The Krasnoyarsk Territory, 2010 year. Career
Center of SFU.
SPE – secondary professional educatin; BPE – basic professional education
References
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Механизм управления сбалансированным
развитием региональной экономической системы
И.В. Филимоненко
Сибирский федеральный университет
Институт управления бизнес-процессами и экономики
Россия 660074, Красноярск, ул. Киренского, 26
В статье рассматривается подход к формированию механизмов управления сбалансированным
развитием локальных рынков региона. Базовым принципом формирования является
соответствие системы инструментов управления закономерностям развития локальных
рынков при переходе региональной экономической системы на инновационную модель
развития.
Ключевые слова: региональная экономическая система, локальные рынки региона,
сбалансированное развитие, инновационный рост, механизм управления локальными
рынками.
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