Public-private partnerships include the use of a fund. PPP is a public-private partnership
Features of the forms of public-private partnership (Kondratyeva U.D.)
Date of posting the article: 02.04.2016
Public-private partnership (hereinafter - PPP) from an economic point of view is the result of the development and diversification of traditional mechanisms of interaction between government and business in order to finance, develop, plan, build and operate facilities, including through private investment.
One of the reasons for attracting business to the state sphere is the lack of the necessary financial resources and experience from the state, while certain industries cannot be transferred into the ownership of business due to the fact that they are of strategic importance for ensuring the security of the state. Moreover, only part of the funds for the implementation of the project can be allocated from the budget.
The concept of "public-private partnership" does not have a single generally accepted definition. It can be considered both in a broad sense, when the system of relations between the state and business is meant, and in a narrow sense - as specific projects implemented jointly by subjects of the public and private sectors.
According to clause 1 of part 1 of Art. 3 of the Federal Law of 13.07.2015 N 224-FZ "On public-private partnership, municipal-private partnership in Russian Federation and amending individual legislative acts Of the Russian Federation, "PPP" means "a cooperation between a public partner, on the one hand, and a private partner, on the other hand, legally formalized for a certain period and based on the pooling of resources, distribution of risks, which is carried out on the basis of an agreement on public-private partnership, an agreement on municipal -private partnership concluded in accordance with this Federal Law in order to attract private investment into the economy, ensure the availability of goods, works, services and improve their quality by public authorities and local authorities. "
In Russia, the definition of the concept of "public-private partnership" was normatively established only in 2015, but even before that it was widely used in various normative acts: in the Budget Code of the Russian Federation, the Concept of long-term socio-economic development of the Russian Federation for the period up to 2020 (approved by No. by order of the Government of the Russian Federation of November 17, 2008 N 1662-r), in a number of state programs. At the same time, these documents only talk about the implementation of activities based on the principles of PPP, participation in the implementation of PPP projects, etc.
Analysis of the context of the use of the term "public-private partnership" shows that in the very general view PPP means any form of interaction between the state and private business. It is a kind of complex phenomenon that has an economic, social and largely political nature.
One of the key issues in the use of PPP is the question of the relationship between the role of the state and business, which, in turn, depends on the form of PPP.
The specific forms of partnership between the state and private business are very different from each other in the methods used and in legal regime... Nevertheless, they are perceived as links of one system, since they are subject to a number of general principles that aim them at satisfying public interests.
The forms of PPP can be very diverse. In some cases, the authorities organize a joint venture with the business or sign a contract with a private company to carry out a project. Sometimes they create special fiscal, tax, customs regimes and regulatory mechanisms for PPP projects, which is associated with changes in laws and regulations.
All forms of PPP can be used to accelerate the implementation of high-priority projects, provide specialized facility management in accordance with long-term development programs, facilitate the transfer of new technologies, pool resources and organize financing schemes, and apply and encourage private business practices.
There is no consensus among experts about which forms of interaction between government and business should be classified as PPP. Also, approaches to classification in economic and political science sources differ.
The broad interpretation of this term means by PPP the interaction of the state and private economic entities not only in the economic, but also in the political, scientific and cultural spheres. At the same time, the choice of the form of partnership depends, first of all, on the economic efficiency of the project implementation.
In a broad sense, from an economic point of view, PPP can include any form of mutually beneficial interaction between the state and business, including government contracts, agreements on the transfer of ownership and use rights, concession agreements, production sharing agreements.
Within the framework of the implementation of cultural policy, transfer to trust management objects of historical heritage for the purpose of their restoration at the expense of private capital and their subsequent exploitation, holding cultural events, protecting copyright, creating electronic versions of libraries, museums, archives.
In the scientific field, such forms of PPP can be applied as the creation of off-budget funds to support scientific activities, in the field of innovation - the joint implementation of large projects by the state and business, the creation of innovation clusters, technology parks, and business centers.
In the sphere of political activity, such forms of PPP are possible as holding joint meetings of state authorities and associations of entrepreneurs of a particular sector of the economy, carrying out an independent anti-corruption examination of regulatory legal acts and drafts of such acts, supporting manufacturers of export products.
From a legal point of view, PPP forms can be divided into corporate, which are based on the creation of a project company with the participation of the state and business, and contractual, when the project is implemented on the basis of an agreement.
From the point of view of the goals of project implementation, all the variety of PPP types can be conditionally divided into organizational models, financing models and cooperation models.
An example of an organizational model for a PPP is a concession agreement. When implementing organizational models of partnership, cooperation is carried out through the redistribution of certain functions and obligations between partners, attracting third parties to participate in the project, while within the framework of such agreements, there is no redistribution of property rights.
Funding models mean project financing, contracts providing for the transfer of ownership and use of property (rent, leasing, trust management).
Models of cooperation include any form of joining efforts of partners in order to implement a project, including the organization of holding structures for the creation and subsequent operation of infrastructure facilities.
In world practice, a classification of PPP forms has been adopted depending on the types of property relations and the degree of dependence on the state in matters of financing and risk sharing. PPP forms are distinguished on the basis of:
Contracts concluded between the state (local self-government body) and business for the implementation of certain types of activities necessary for society;
Lease relationship;
Concession agreements, under which an object of state (municipal) property is transferred for a certain period of use and ownership to a business, which undertakes at its own expense to reconstruct or modernize this object and to operate it;
Production sharing agreements, under which the private partner carries out the extraction of minerals, while the production sharing procedure is governed by the agreement;
Joint ventures in the form of joint stock companies or joint ventures with equity participation.
Let's take a closer look at each form of PPP.
The term "concession" as an economic category has many interpretations and can be applied to both specific property objects and the provision of services. Concession agreements are complex multifunctional contracts, within the framework of which the rules for interaction between private and public partners are established.
In accordance with Part 1 of Art. 3 of the Federal Law of 21.07.2005 N 115-FZ "On Concession Agreements" "under a concession agreement, one party (the concessionaire) undertakes at its own expense to create and (or) reconstruct the property specified in this agreement (not movable property or immovable property and movable property, technologically related to each other and intended for the implementation of activities provided for by the concession agreement), the ownership of which belongs or will belong to the other party (grantor), to carry out activities using (operation) of the object of the concession agreement, and the grantor undertakes provide the concessionaire for the period established by this agreement, the rights to own and use the object of the concession agreement for the implementation of the specified activity. "
Under the concession agreement, the public partner (concessor) grants the private partner the right to own and use an existing object or a newly built property, while the ownership of the specified object already belongs or will belong to the public partner after its construction by the private partner. The private partner, in turn, reserves the right to improve the facility during the term of the concession agreement. At the same time, a prerequisite for the concession is investment in the project of private capital, therefore it is safe to say that, within the framework of the concession agreement, operational and investment risks borne by a private partner (concessionaire).
Concessions play a special role in infrastructure sectors traditionally located in state property and necessary for the functioning of the economy. Such industries include the electric power industry, railway transport, the road industry, water and air transport (ports, airports), gas mains transportation, communal services etc.
Of all the forms of PPP, concessions are currently the most actively used. First, they are long-term in nature, which allows both sides of the interaction to carry out strategic planning of their activities. Second, in concessions, the private sector has complete freedom in making managerial decisions. Thirdly, the state, as a party to the agreement, has enough leverage over the concessionaire in case of violation of the terms of the concession or legislation, as well as when it becomes necessary to protect public interests within the framework of concessions.
In foreign countries, several types of concessions are used, which differ depending on the volume of rights transferred to the concessionaire, the availability of a building component, schemes and terms of returning the object to the state and other factors.
In Russia, as in most countries of the world that use this form of PPP, the concession agreement has the status of a regulatory legal act. For example, a concession agreement concluded at the federal level will have the status of a resolution or order of the Government of the Russian Federation.
At the same time, concessions have disadvantages that are not typical for other forms of PPP. So, concession agreements are concluded for a long time and do not provide for all possible options development of events. This kind of inflexibility in the relationship between partners leads to significant risks. Another disadvantage of concession agreements is that infrastructure facilities have long payback periods and return on investment. Difficulties in carrying out long-term financial and economic calculations for such objects cause inaccuracies and errors, which leads to additional risks of non-compliance with the terms of concessions.
Another form of PPP, devoid of some of the disadvantages of a concession agreement, are contracts between government and business to perform work, manage, provide services, supply products and provide technical assistance.
This is how the World Bank understands a management contract: a private company receives government-owned property under management for a specified period. Investments are made by the state.
Under a property management contract, the state pays for the services of a private partner and bears operational risks, while, for example, under a lease agreement, the state receives rent from the tenant, and the operational risk is borne by a private entity.
Contracts are often in the form of work contracts. A characteristic feature of government contracts is their administrative nature. At the same time, just as when concluding a concession agreement, property rights to the subject of contractual relations are not transferred by the state to a private entrepreneur.
In Russia, the contractual relations of the authorities with the private sector are regulated by The Civil Code RF, The Budget Code RF, Federal Law of 05.04.2013 N 44-FZ "On the contract system in the field of procurement of goods, works, services to meet state and municipal needs" (hereinafter - the Law on the contract system), which directly indicates the contractual nature of this form of PPP , and other laws and regulations.
The overwhelming majority of contracts for the purchase of goods and services for state and municipal needs are not related to PPPs, since such contracts do not imply co-financing of the project by the private party to the contract; the private partner's activities under the contract are carried out at the expense of budgetary funds and are fully regulated by the terms of the contract agreement and estimates. Thus, contracts for the purchase of goods and services for state and municipal needs are not characterized by complex schemes of distribution, redistribution of risks between the parties, their insurance. In addition, such a contract or an annex to it regulates many characteristics of the private partner's activities that are absent in PPP contracts: lists of used and purchased materials and equipment, organization of the work process, the procedure for keeping a work log, holding operational meetings, etc.
However, the variety of state and municipal contracts for the purchase of goods and services, the possibility of combining various types of such contracts, in particular, with the attraction of private business funds for their implementation on terms of co-financing, sometimes blur the line between them and PPP.
PPP relations within the framework of a state or municipal contract can arise only if extrabudgetary funding sources are attracted. At the same time, the legislation on the procurement of goods and services is structured in such a way that it does not imply private co-financing and, accordingly, does not contain the regulation of methods for raising business funds in the implementation of contracts for the supply of goods, performance of work, provision of services for state or municipal needs, as well as mechanisms for the return of such investments to the private sector. When preparing a contract, all sorts of conditions are negotiated from the formalization of the time, volume and structural framework of the project to financial commitments, project quality indicators, risk sharing and dispute resolution mechanism.
Ensuring the profitability of a project for business participants is one of the most critical points of the contract. Depending on the guarantees specified in the contract, the circle of potential institutional investors is determined. The schemes and conditions of management and control prescribed in the contract allow the parties to react in a timely manner to the excess of the estimated cost, exit from the schedule of construction, installation and other works, and avoid litigation. Description of standards, norms and regulations, penalties for non-compliance and encouragement (remuneration) for improving services, environmental measures - important component contract.
Thus, in developing a contract, the state regulates both general and specific issues related to the structure, conditions and program of such a partnership with business.
After the conclusion of the contract, the state monitors the activities of the private company. Monitoring has a rather tough, multilateral nature, since during the execution of the contract a third party appears - the consumer. Wherein main feature of the contract (and latently also the difference from the concession) is that the contractual PPP system operates within the framework of the civil law field, and the concession system also functions in the context of public law legislation. In addition, although in some countries there is no particular distinction between contract and concession, according to the legal regulations of developed countries, a concession is a “global contract”. Thus, in the European Union, a concession acts as a type of administrative contract in the field of infrastructure development. In accordance with such a contract, the public authority grants the concession company certain rights to build, modernize, reconstruct, and operate the facility for a certain period.
In other PPP schemes than the contract, the business has more weight in planning, financing, management public property and the risks of the project are transferred to the participant who is better able to manage them. At the same time, in the context of the Law on the Contract System, the involvement of business funds within the framework of contractual relations with the state is not provided for, although the Civil Code of the Russian Federation allows contracts to be concluded between business and government authorities, for example, within the framework of investment projects.
Currently, the contractual form of partnership between the state and business is widespread in the world and in Russia and is regarded by any private company as an attractive and rather prestigious business, since such a contract guarantees not only a place in a certain market, but also income. However, due to the aforementioned peculiarities of Russian legislation, most of the contractual agreements for the supply of goods, works, services cannot be qualified as PPPs.
Another independent form of PPP, closer to a concession than a contractual one, is production sharing agreement(hereinafter - PSA). According to Russian legislation, a PSA is an agreement in accordance with which the Russian Federation provides an investor - a subject entrepreneurial activity- on a reimbursable basis and for a certain period of time, exclusive rights to search, exploration, and production of mineral raw materials in the subsoil plot specified in the agreement, and to conduct work related to these rights, and the investor undertakes to carry out these works at his own expense and at his own risk. The manufactured products are subject to division between the state and the investor in accordance with an agreement that should provide for the conditions and procedure for such division.
Under the PSA, the partner of the state owns only a part of the manufactured products, while under the concession, the concessionaire is the owner of all the manufactured products.
Conventionally, all PSAs, depending on the distribution of risks, can be divided into two types: risk-free and risk-free. When concluding a risk contract, the private partner explores the territory determined by the state partner at his own risk and, in the event of the discovery of a deposit, compensates for its exploration costs. Otherwise, the private partner incurs losses as a result of exploration work.
In the case of a risk-free contract, which is essentially a contract, the contract defines the deposit, the types of work, the timing of their implementation, the procedure for reimbursement of costs (mainly through the sale of the products received).
Lease relationship in the field of PPP when leasing state and municipal property are regulated by the Civil Code of the Russian Federation, Federal Law of July 26, 2006 N 135-FZ "On Protection of Competition" and other regulatory legal acts... According to Art. 606 of the Civil Code of the Russian Federation under a lease (property lease) agreement, the lessor (landlord) undertakes to provide the tenant (tenant) property for a fee for temporary possession and use or for temporary use.
In accordance with civil law, the concept of lease relations is that the modernization and development of the leased objects are carried out by their owner and are not transferred to the lessee. The tenant is responsible for the proper operation of the property. In this case, the property improvements made by the lessee and separated from the object of the contract are the property of the lessee. If the improvements made by the lessee are inseparable from the property that is the object of the contract, the lessee has the right to be reimbursed by the public authority for the cost of such improvements.
The above characteristics of contracts indicate that, in contrast to lease, when concluding a concession agreement, a private entrepreneur and the state are in a more complex and multifaceted relationship. Differences between lease and concession agreements to one degree or another relate to almost all characteristics of these agreements.
The main difference between these two forms of transfer of rights is the scope of their application. The concession has limited use and extends its effect only to a specific range of objects determined by law. Any legal and individuals, and this relationship is governed by the rules civil law... For example, when concluding one of the types of lease agreements - a lease agreement - the lessee has the right to redeem the property transferred to him under the agreement, while within the framework of the concession agreement, the transfer of ownership to the concessionaire does not occur, except for cases when the object of the concession agreement at the end of the term action of the agreement is included in the list of objects of privatization. At the same time, concession agreements in most cases involve a lease, for example land plots but do not boil down to it.
Common to lease agreements and concession agreements is the return of the object of the agreement, as well as the fact that the property can be withdrawn from the lessee or concessionaire by its owner at any time during the term of the agreement in the event that the private party fails to fulfill its obligations under the agreement or in accordance with the political decisions.
In practice, mixed forms of PPP are often encountered, combining individual elements of the types of contracts described above. They provide more opportunities to combine development, financing, management, and other operations with the subject of the contract.
Equity participation state enterprise a private investor can be a corporatization (corporatization) or creation mixed enterprise.
In the countries of the Anglo-Saxon legal system (USA, Great Britain, Australia, etc.), the process of corporatization is defined as the transformation of state-owned enterprises into joint stock companies. Corporatization means a change in the organization of management. It can be characterized as a form of enterprise reorganization that retains direct government influence in terms of property ownership and management. As a rule, the goal of corporatization is to increase the efficiency and improve the management of such enterprises in market conditions through organizational and legal transformations.
In the Russian Federation, all forms of PPP are currently used to varying degrees, which is primarily due to the peculiarities legislative regulation certain forms of PPP. Those forms of PPP, the legislation in respect of which has already developed and continues to be improved in order to establish additional guarantees to protect the interests of the parties during the accumulation of resources belonging to them during the implementation of projects, are the most attractive for both private partners and the state. These forms of PPP include concessions, PSA, and more recently, a PPP agreement.
Other forms of cooperation between the state and business (lease, contractual relations), taking into account the peculiarities of Russian legislation, in most cases within the framework of individual projects cannot be classified as PPP.
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History
Interaction between the state and the private sector for solving socially significant problems has a long history, including in Russia. However, PPP has become the most relevant in recent decades. On the one hand, the complication of socio-economic life makes it difficult for the state to carry out social significant functions... On the other hand, businesses are interested in new investment projects. PPP is an alternative to the privatization of vital, strategically important state property.
The most illustrative experience of public-private partnerships has been gained in the UK.
The concept of public-private partnership
There is no consensus among experts about what forms of interaction between government and business can be attributed to PPP. Broad interpretation means by PPP constructive interaction between government and business, not only in the economy, but also in politics, culture, science, etc.
Among the basic features of public-private partnerships in narrow (economic) interpretation the following can be named:
As a rule, PPP assumes that it is not the state that gets involved in business projects, but, on the contrary, the state invites business to take part in the implementation of socially significant projects.
Forms of public-private partnership
In a broad sense, the main forms of PPP in the field of economics and public administration include:
- any mutually beneficial forms of interaction between the state and business;
- financial lease (leasing);
- public-private enterprises;
Areas of application of public-private partnerships
The main area of PPP application in the world is the construction of highways. Among the rest, the largest share is occupied by projects in housing and communal services. Since the 1990s, projects in the field of water supply and wastewater treatment have been operating in Russia.
Public-private partnership in Russia
As of today, there is no generally accepted definition, like the federal law on PPP.
The definitions of public-private partnership are present in the PPP laws adopted in 60 constituent entities of the Russian Federation (as of September 2012). Full list see: www.pppi.ru In 2007, the Development Bank was established on the basis of Vnesheconombank of the USSR. The main law regulating the activities of this institution directly assigns to it the functions of a participant in the PPP market. Vnesheconombank's PPP Center is a structural subdivision of the Development Bank.
The most modern and promising PPP tools in Russia at the moment are:
- other government corporations;
Public-private partnership in Ukraine
In October 2010, the Law of Ukraine entered into force “ About public-private partnership"- a law reflecting the point of view of the Ukrainian state on the principles, forms and conditions of interaction between business and the state.
Public-private partnership as a way of organizing public-private legal relations has been known to Ukrainian business for a long time. In practice, it is expressed in the forms of joint activities, management of state property, lease state property, concessions and others. The new law actually reproduces the picture of public-private partnership that exists in practice, with the addition of the touches desirable for the state. The term "public-private partnership" was introduced as a political-managerial, not a legal category. It is defined as cooperation between the state, represented by its bodies and business entities, based on an agreement. More details about public-private partnership in Ukraine can be found on the Ukrainian-language page
Public-private partnership in St. Petersburg
Regional authorities in Russia are also adopting their own PPP programs in order to build long-term and mutually beneficial cooperation between JIGU and the private sector for the implementation of large public projects. So, according to the head of the Committee for Investments and Strategic Projects A. Chichkanov: "The PPP mechanism allows not only to attract funds for the implementation of socially significant projects for the city, but also to find the most modern technical solutions and effectively manage the created facilities."
According to the World Bank, St. Petersburg is currently carrying out one of the world's largest programs for the implementation of projects using public-private partnership schemes. The city has developed its own legal framework that allows investors to interact with the regional authorities as efficiently as possible:
- Thus, in 2006, the Law of St. Petersburg dated 25.12.2006 No. 627-100 "On the participation of St. Petersburg in public-private partnerships" was adopted.
- In addition to it, 3 years later, the Resolution of the Government of St. Petersburg dated March 31, 2009 No. 346 "On measures to develop public-private partnerships in St. Petersburg" was issued.
- As part of the administrative reform, the administrative regulations of the Committee for Investments and Strategic Projects were created. In the same 2009, the Order of the Committee for Investments and Strategic Projects of the Government of St. Petersburg dated 08.12.2009 No. 92 “On approval of the administrative regulations of the Committee for Investments and Strategic Projects for the implementation of state function for the examination of materials necessary to determine the existence of grounds for making a decision on implementation investment project through participation of St. Petersburg in public-private partnership "
- Finally, in order to facilitate the implementation of the adopted documents, the Resolution of the Government of St. Petersburg dated 31.03.2009 No. 347 "On measures to implement the Law of St. Petersburg" On the participation of St. Petersburg in public-private partnerships "was developed.
Operating PPP projects in St. Petersburg
On the basis of the Law of St. Petersburg "On the participation of St. Petersburg in public-private partnerships", two large projects are being implemented: the development of the Pulkovo airport and the construction of a plant for processing solid household waste in the village of Yanino. utilities (water and heat supply, electricity saving, etc.), development of transport infrastructure and in the social sphere (construction of socially significant facilities - schools, hospitals, etc.).
Competitions for PPP projects in St. Petersburg
On March 31, 2011, the results of an open tender for the right to conclude an agreement on the creation and operation of buildings intended for the placement of educational institutions in the Pushkin district of St. Petersburg and a lease agreement for land plots were announced on the basis of a public-private partnership. Peremena Management Company LLC was recognized as the winner of the Competition. Currently, the Committee has announced competitions for the implementation of the following projects:
- construction of the Palace of Arts on Vasilievsky Island
- creation and operation of the Western High-Speed Diameter highway
- reconstruction and construction of facilities of the Northern water-pumping station of St. Petersburg with the introduction of a two-stage water purification technology
Links
- PPP, State Investments, Extrabudgetary Financing: International Information and Analytical Portal "Gosinvestor.ru"
- Center for the Development of Public-Private Partnerships in Russia
- PPP Information Portal info: Infrastructure and Public-Private Partnership in Russia
- Public-private partnership in Russia: information and analytical portal
- Poland
- Study: Financial Viability and Acceptability of Extrabudgetary Infrastructure Finance Models, KPMG 2006
- Service Concession Agreements: First Experience, KPMG 2007
- Public-private partnership as a form of government-business relations in Russia
- There are PPP tools in Russia. We need to learn how to work with them.
- Historical forms of PPP: ordeal, buyout, concession. PPP in the Russian Empire.
- What are ledgers silent about? Pitfalls of Public-Private Partnership in Central and Eastern Europe
In a broad sense, to the main forms of PPP in the field the economy and government controlled can be attributed:
- 1.any mutually beneficial forms of interaction between the state and business;
- 2. government contracts;
- 3. lease relations;
- 4.financial lease ( leasing);
- 5. public-private enterprises;
- 6. production sharing agreements(PSA);
- 7. concession agreements.
In Russia in 2004, seven main types of concession agreements were considered ... However, due to the inclusion in a number of international treaties of the Russian Federation of certain provisions from documents International Bank reconstruction and development (of the World Bank) and preparation for accession to the WTO, other terms were included in Russian legislation to characterize other types of concession agreements.
For 2012, the Russian law provided for the following 3 forms (types of contracts) of PPP:
Management contract and leases;
Operation and maintenance contract.
In modern economic literature, various classifications of forms and models of public-private partnerships are used. In accordance with the sign of state participation in the use of property in the process of project implementation, the following forms of public-private partnership are distinguished:
- 1. Privatization of an enterprise or property complex for its further development with investment and social obligations.
- 2. Creation on the basis of an existing enterprise or property complex of a new enterprise with state participation in the authorized capital and management, the entry of one of the parties into the authorized capital.
- 3. Concession of the infrastructure property complex.
- 4. Transfer to trust management of an enterprise or a complex of infrastructure.
- 5. Lease (long-term) of a property complex for business development with investment and social obligations with or without the right to privatize.
- 6. Execution of work or provision of services, supply of goods under a government contract.
- 7. Deprivatization of an enterprise or property complex.
The following classification of public-private partnerships is used according to the degree of property ownership and the principles of revenue management:
- 1. Service contracts - used for 1-3 years, the private partner receives remuneration from the state for the performance of work, the provision of services and technical assistance.
- 2. Management contracts (3-8 years) are government contracts for service, trust and turnkey contracts. As a result of the implementation of these contracts, the business structure is provided with guaranteed remuneration from the state.
- 3. Financial contracts (3-5; 5-10) - the provision of guarantees by the state for loans through commercial banks, interest subsidies, the provision of soft loans and leasing. These contracts apply to socially significant projects.
- 4. Lease contracts and temporary transfer of rights - lease contract, production sharing agreement and investment contract. Lease contracts allow the state to receive rental income from the use of property by business structures in the process of implementing a project in the field of public-private partnership.
- 5. Concession agreements (15-30 years) are agreements that provide for the receipt of income from the implementation of the project by business structures, with the exception of deductions paid to the state under the concession agreement. The main functions of the concessionaire include the following: repair work, maintenance, facility management within the project, as well as various types of investments.
- 6. Incorporation or share in joint organizational and legal forms (enterprises, JSCs) - activities within the partnership are regulated by the Charter, the Civil Code of the Russian Federation and are unlimited in time. The income is distributed in accordance with the share in the authorized capital.
Carrying out the classification and designating the standard forms and models of public-private partnership, it should be noted that this brings orderliness into the scope of the toolkit for interaction and building relationships between business structures and the state. At the same time, the classification makes it possible to determine the role and place of each side of these relations in the process of implementing projects, as well as to identify the main discrepancies in legislative framework on relations of public-private partnerships.
The following classification, used in the economic literature, distinguishes models according to the method of implementing large infrastructure projects and the distribution of risks. In accordance with this classification, the following models are distinguished:
- 1. The first model "Government order" provides for the risks of the public sector at all stages of the project (design, construction, operation, maintenance, financing).
- 2. The second model "Design and construction", in which the risks are distributed as follows: at the initial stages of project implementation, the risks are borne by the business structure, and at the next three stages, the risks are transferred to the state.
- 3. Within the framework of the third model “Design, construction and operation”, the state bears risks only at the “financing” stage, most of the risks are borne by business structures.
- 4. The fourth model "Financing, construction, operation", which is the main model of concession schemes, does not provide for state risks, all responsibility lies with the private sector.
Carrying out the classification by the initiator of interactions, scientists have identified the following forms of public-private partnership:
- 1. Imperative public-private partnerships, which are understood as the issuance by the state of a regulatory legal act of an administrative nature in order to create a partnership (the initiative comes from the state).
- 2. Mixed public-private partnerships, in which any party can initiate a partnership, but a special normative legal act is required to formalize the relationship.
- 3. Dispositive public-private partnerships in their activities are based on the legislation of the Russian Federation, imply equality in relationships and the creation of a separate regulatory legal act in this area is not required.
For the implementation of public-private partnership projects in various socially significant sectors of the economy, there are such forms as public-private partnership in the field of education; public-private partnerships in health care; public-private partnership in the field of culture; public-private partnership in the field of transport infrastructure; public-private partnership in the field of housing and communal services, as well as other cross-industry projects (region).
The most common classification is the division of the forms of public-private partnership according to the sequence of stages of project implementation and the scope of competencies.
In accordance with the role of the state in public-private partnership relations, partnerships with a passive, active role and equal relations are distinguished. By the terms of project implementation, public-private partnerships are classified as follows: with a limited implementation period; with the deadline for achieving the goals and objectives of the project; unlimited term of implementation. On the basis of the innovative component, partnerships are identified that are implemented in order to obtain an innovative effect; implemented on the basis of an innovative product existing on the market, which allows achieving a secondary innovative effect; and also highlighted public-private partnerships that do not have an innovative component and are characterized by traditional business conduct.
Thus, it should be noted the diversity of forms and models of classifications of public-private partnerships that currently exist in the economic literature, which negatively affects the understanding by business structures of their advantages and disadvantages. Considering the above, it is proposed to systematize the identified forms and models of public-private partnership, which is shown in table. one.
Given in table. 1, the classification of forms and models of public-private partnership allows you to select the required model and form in the specific economic conditions of their implementation. Within the framework of this classification, the following models are distinguished with the peculiarities of their content: operator model, cooperation model, concession model, contractual model and leasing model. The content of each model differs in terms of property relations, the order of interaction, forms, mechanisms and areas of application.
Table 1. Classification of forms and models of public-private partnership
Operator model |
Cooperation model |
Concession model |
Model negotiable |
Leasing model |
|
Property relations |
Property - private-state; management - private-state; financing - public-private |
The property is state owned; management - private-state; financing - public-private |
Property - private-state; private management; funding is private. |
The property is private; management - private-state; financing - public-private |
|
Interaction order |
Separation of the measure of responsibility under the controlling function of the state |
Joint project campaign of a private investor and the state |
Long-term interaction between the state and business on the basis of a concession, excluding the transfer of ownership to private business structures |
Carrying out activities based on the conclusion of various types of contracts with the involvement of state property |
Joint activities on the basis of leasing agreements, under which private business structures transfer property into the ownership of the state |
Contract form |
Contract form |
Concession form |
Contract form |
Contract form |
|
Mechanisms |
BOT, DBFO, BOOT, BOO, ROT, LROT, etc. |
BOT, DBFO, BOOT, BOO, ROT, LROT, etc. |
BOT, DBFO, BOOT, BOO, ROT, LROT, etc. |
||
Scope of application |
Housing and communal services, infrastructure |
Socio-cultural sphere, infrastructure |
In all sectors of the national economy, in accordance with the legislation of the Russian Federation, innovations, development of territories |
Energy, infrastructure |
Construction and operation of public buildings, infrastructure |
It should be noted that within the framework of the indicated models, the roles of the state and business structures are strictly delimited and give a certain socio-economic effect when the conditions of the public-private partnership agreement are fulfilled, the interests of the parties are coordinated in achieving the set goals of the project and the formation of mechanisms for eliminating internal contradictions of the partnership.
It should be noted the complexity of choosing the most effective and appropriate model of public-private partnership, which is due to the specific features of the levels of management (regional aspect) and types economic activity(industry aspect). The existing legislation restricts the use of the whole variety of world experience in building interactions between the state and business structures.
This is the most common type of cooperation between the non-governmental sector and government authorities.
Benefits of public-private partnership for the state:
1. Possibility of implementation in the shortest possible time of socially significant projects, unattractive for traditional forms of private financing;
2. Attraction of significant non-state funds for investment in objects of state importance;
3. Significant reduction in government spending on the maintenance and operation of infrastructure facilities;
4. Sharing risks between the state and private investors;
5. Involvement of modern highly efficient technologies in the development of infrastructure;
6. Improving the investment climate of the country and the region.
Business benefits
1. Possibility of access to traditionally state-owned spheres of the economy;
2. Possibility of obtaining direct government support and participation;
3. Possibility of long-term investment placement under suitable guarantees;
4. Ability to choose the most profitable project;
5. Using advanced foreign experience.
Forms of public-private partnership
Targeted programs. Program – it is a form of economic activity that is used to regulate and manage the strategy of economic, social and scientific and technological development.
The program is a set of interrelated activities, provided with resources and allowing to achieve the set goals as soon as possible and at relatively low cost. For example, the Program of Socio-Economic Development of the Russian Federation for the Medium Term, implemented from 2006 to 2008, provided for the implementation of priority national projects in the field of health care, education, housing, and the development of the agro-industrial complex.
State programming emerged for the first time in Russia at the beginning of the 20th century. The first promising program was GOELRO, the state electrification plan. In the future, a number of programs of a defense, industrial, territorial nature were developed, they were included in the five-year plans.
Stages of development of targeted programs:
1. Selecting a program object. At the same time, the object should represent a strategic priority and provide a turning point in the trajectory of the industry, sphere of activity. It is desirable to form packages of targeted programs that complement each other and enhance the program effect.
2. Building a tree of "goals". Goal tree - eh then the target model, which is obtained by determining the general goal of the program and its sequential decomposition into the goals of the first, second and third levels. At the same time, the goals of a higher level are always of a broader nature and are designed for a sufficiently long period. Lower-level goals act as means of achieving higher-level goals.
Requirements for goals:
- goals should be challenging, but achievable;
- goals must be specific. This means that the goal should clearly record what needs to be obtained as a result of the activity, in what time frame and who should do it;
- the goals must be measurable, that is, the formulation of the goal must be such that it is possible to quantify or otherwise objectively assess whether the goal has been achieved;
- goals must be compatible with each other.
3. Justification of the system of measuresnecessary to achieve the objectives of the program,determination of those responsible for their implementation.
4. Structuring the program, i.e. definition of subroutines, blocks of projects and individual projects.
Project – it is a set of planned activities designed to achieve specific goals with allocated resources for a certain period of time.
The project is the main structural unit of the program and must provide a certain program result. Projects, in contrast to programs, focus on a certain aspect of the life and development of a region, industry or organization, have a set cost, a schedule for implementation, include technical and financial parameters, that is, they have a high level of specific elaboration.
In the process of structuring programs, a set of priority projects is determined and their implementation is distributed over the years.
5. Resource estimationrequired for the implementation of projects, subprograms, programs as a whole, possible sources of funding and terms of receipt of funds... Lack of resources may require clarification of the activities and objectives of the program.
6. Conducting marketing research, determining the volume of production, payback periods for projects and the program as a whole. Deliberately unprofitable projects and programs are excluded.
7. Establishing targeted organizational structures for program execution, training of personnel (project managers, programs). Such structures can be federal state unitary enterprises, consortia, holdings, financial and industrial groups. For each subprogram and project, a customer, a scientific supervisor (general designer) and a director are determined.
8. Control and acceptance of works. Each program task and the program as a whole are assessed by a set of quantitative and qualitative indicators. Control is carried out according to the stages of the program in order to timely make adjustments to it.
Advantages of State Programs, which determines their application:
- programs ensure the concentration of resources on the most promising and effective areas of development;
- an additional systemic effect is provided from the concentration of the best resources on a narrow field of breakthrough;
- programs combine self-regulation of a market economy with state support in solving strategic problems of mastering innovations, solving major social and economic problems.
Due to this, the programs help to overcome crises, increase the efficiency, flexibility and competitiveness of the economy, provide access to a new, higher level.
Problems of using government programs:
- low efficiency of programs due to shortcomings in the formation and implementation;
- lack of clear formulations of the expected results of the use of budget funds;
- insufficiently developed mechanisms for monitoring implementation;
- lack of legal support for the participation of companies in the co-financing of projects.
The impact of the crisis has led to a reduction in budget investments, most of the programs do not imply the creation of facilities that bring profit during operation, so business interest in them has disappeared.
Government contracts. Government contracts mean placing orders at enterprises for the supply of goods, performance of work, provision of services for state and municipal needs. In this case, suppliers of goods may be provided with tax incentives, targeted grants, subsidies, subventions, loans on preferential terms.
This scheme was used to finance large investment projects: the Blue Stream project on the bottom of the Black Sea, the Sakhalin 2 project, the Sever TEK project for oil and gas production in the Komi Republic. Megaprojects in the scientific field are carried out in the same way, for example, a project to equip Russian industry with synthetic crystals of a new generation. The main executor was the Institute of Crystallography of the Russian Academy of Sciences, and the co-executors were organizations of various profiles and forms of ownership, including industrial enterprises. The project provided for research, design and development work and the implementation of the results in production.
Lease relationship.
Leasing. Leasing provides for the transfer by the state to the private sector of state property: buildings, structures, production equipment, vehicles, engineering complexes. As payment for the transferred property, the state collects rent from private companies.
Concession agreements. The term "concession" means in translation from Latin "concession", approval, permission. Currently, a concession is a contract concluded by the state with a private entrepreneur, usually a foreign firm, for the operation of industrial enterprises or land plots. Concessions were actively used in our country during the NEP period to attract foreign investment.
Currently, the legal basis for concluding concession agreements is the Federal Law adopted in 2005.
According to the law, Concession – it is a system of relations between the state (grantor) and a private legal entity or individual (concessionaire), arising as a result of granting the concessionaire the rights to use state property under an agreement for a fee and on a returnable basis, as well as the rights to carry out activities that constitute the exclusive monopoly of the state ...
KRASNOYARSK INSTITUTE OF ECONOMY
SAINT PETERSBURG ACADEMY
MANAGEMENT AND ECONOMY (LEU HPE)
Faculty: "Economics and Management"
Specialty: "State and Municipal Administration"
TEST
Discipline: Strategic Spatial Planning
Topic: "Forms of public-private partnership"
Completed: 5th year student,
5-1336 / 5-3 groups
Ryabtseva E.N.
Checked by: Shadrin A.I
Krasnoyarsk, 2010
Introduction
1. Basic principles and concepts of public-private partnership
2. Models, forms and mechanisms of public-private partnership
3. Development and implementation of public-private partnerships
Conclusion
List of used literature
Introduction
Interaction between the state and the private sector for solving socially significant problems has a long history, including in Russia. However, the most relevant public-private partnership (PPP) has become in recent decades. On the one hand, the complication of socio-economic life makes it difficult for the state to perform socially significant functions. On the other hand, businesses are interested in new investment projects. PPP is an alternative to the privatization of vital, strategically important state property.
There is no consensus among experts about what forms of interaction between government and business can be attributed to PPP. A broad interpretation means by PPP constructive interaction between government and business, not only in the economy, but also in politics, culture, science, etc.
Among the basic features of public-private partnerships in a narrow (economic) interpretation are the following:
The parties to PPP are the state and private business;
The interaction of the parties is fixed on an official, legal basis;
The interaction of the parties is of an equal nature;
PPP has a clearly defined public, public orientation;
In the process of implementing PPP-based projects, resources and contributions of the parties are consolidated;
Financial risks and costs, as well as the results achieved, are distributed between the parties in predetermined proportions.
As a rule, PPP assumes that it is not the state that gets involved in business projects, but, on the contrary, the state invites business to take part in the implementation of socially significant projects.
Public-private partnerships are a key component of Russia's new innovation policy, as, when organized correctly, they provide broader benefits from public research investment, creating an enabling environment for sustainable development. innovative development, which is a strategic factor of economic growth.
1. Basic principles and concepts of public-private partnership
Public-private partnership in the system of development institutions modern economy... IN last years in many countries of the world, government bodies are increasingly attracting private business, its funds and organizational capabilities to address strategically important tasks for the country and its regions through the mechanism of the so-called public-private partnership (PPP). Russia is no exception.
Public-private partnership is a combination of material and intangible resources of society (state or local government) and the private sector (private enterprises) on a long-term and mutually beneficial basis for the creation of public goods (improvement and development of territories, development of engineering and social infrastructures) or the provision of public services (in the field of education, health care, social protection, etc.).
We can say that PPP is an institutional and organizational alliance between the state and business in order to implement socially significant projects and programs in a wide range of industries and innovation.
Public-private partnership allows avoiding, on the one hand, the shortcomings of direct state regulation, and on the other, "market failures". The main argument in support of PPPs is that both the public (public) and private sectors have their own unique characteristics and advantages that, when combined, create an opportunity to operate more effectively and achieve better results precisely in those areas where "market failures" or ineffectiveness of public administration are especially noticeable - as a rule, these are the social sphere, environmental problems, and the creation of infrastructure.
Public-private partnerships have the following characteristic functions:
1) satisfies the needs of the public sector, using or borrowing resources from the private sector;
2) supports state powers and functions, while providing services in conjunction with the private sector;
3) consists of two or more parties working to achieve common goals. PPP participants can be local and state authorities, businesses and non-profit organizations (for example, local communities, service clubs, social service organizations, or interest groups) that:
· Share authority and responsibility;
· Operate on an equal footing;
· Share time and resources;
· Share investments, risks and benefits;
· Maintain a relationship for a certain period, and not for the implementation of one transaction;
· Have a clear agreement, contract or other "document of title.
In a strict sense, PPP institutionally transforms spheres of activity traditionally under the jurisdiction of the state.
Partnership relations between the state and business require the coordination of the interests of these two main institutions modern society and the economy. The state is interested in increasing the volume and improving the quality of services provided to the population and economic agents by infrastructure and socially oriented industries. The private sector strives to consistently receive and increase profits. Moreover, a strategically thinking business builds its priorities, first of all, not just according to the size of profits, but in the interests of the sustainability of receiving income from projects. At the same time, both parties are interested in the successful implementation of projects in general.
Each of the parties to the partnership contributes to the overall project. So, from the business side, such a contribution is: financial resources, professional experience, effective management, flexibility and efficiency in decision-making, the ability to innovate, etc. The participation of the business sector in joint projects is usually accompanied by the introduction of more efficient methods of work, improvement of technology and technology, the development of new forms of organization of production, the creation of new enterprises, including those with foreign capital, and the establishment of effective cooperation ties with suppliers and contractors. In the labor market, as a rule, the demand for highly skilled and well-paid professions is increasing.
On the side of the state in PPP projects - the powers of the owner, the possibility of tax and other benefits, guarantees, as well as obtaining certain volumes financial resources... The state, as the dominant subject and the main regulator, has the right to reallocate, if necessary, resources from purely production programs for social purposes (education, health care, science, culture), and this in many cases not only contributes to the overall improvement of the socio-economic climate, increases the country's investment rating, but and directly affects partner projects. Moreover, in a PPP, the state gets a better opportunity to engage in the performance of its main functions - control, regulation, observance of public interests. So, as PPP develops in the infrastructure sector, the state can shift the focus of its activities from specific problems of construction and operation of facilities to administrative and control functions. And it is important in this connection that the inevitable entrepreneurial risks are redistributed towards business. The social significance of PPPs lies in the fact that ultimately society wins as a global consumer of better services.
Russia has yet to go through a complex process of economic and legal qualification of numerous forms of PPP. At the same time, it is important to legally correctly assess the role of the state not only as the main regulator, but also as a representative and protector of public interests and needs, that is, what is meant in the European legal tradition by public law, public interest, public service, public law property relations and public property. This category of relations does not fully fit into the norms of civil law. Meanwhile, it is the state and local governments that are called upon to protect public interests in such socially vulnerable areas as social and economic infrastructure, housing and communal services, etc., where PPP projects are most common.
2. Models, forms and mechanisms of PPP
In world practice, there are many different models, forms, types and specific options for implementing partnerships between the state and business. The accepted classifications of PPP usually distinguish the following forms:
1. Contracts as an administrative contract concluded between the state (local government) and a private firm for the implementation of certain socially necessary and useful activities. The most common in PPP practice are contracts for the performance of work, for the provision of public services, for management, for the supply of products for state needs, for the provision of technical assistance. In administrative contractual relations, property rights are not transferred to the private partner, the costs and risks are fully borne by the state. The private partner's interest is that, under the contract, he is entitled to a negotiated share of income, profits, or collected payments.