Ліпкан Володимир Анатолійович,

докторант відділу правових проблем політології

Інституту держави і права імені В. М. Корецького НАН України,

доктор юридичних наук, професор

https://orcid.org/0000-0002-7411-2086

Надруковано: Ліпкан В. А. Стратегічна невизначеність — засада політики сучасного Китаю // Features of the development of modern science in the pandemic’s era: collection of scientific papers «SCIENTIA» with Proceedings of the III International Scientific and Theoretical Conference, December 9, 2022. Berlin, Germany: European Scientific Platform. C. 38-40

Світ вступає до нової епохи мілітарного дискурсу. Безпекознавча парадигма, яку я розвиваю вже понад два десятиліття, передбачала безпекоренесанс. Воднораз свого часу в рамках націобезпекознавства були поставлені завдання із вироблення геостратегії як альтернативної відносно геополітики системи знань щодо розвитку політичних суб’єктів в умовах складно структурованих трансформацій геостратегічного ландшафту.

Концепції геополітики дедалі глибше дискредитують себе, все більше унаочнюючи свій антилюдський та антигуманістичний характер. Одіозність та метаморфози політичних суб’єктів, які прикриваються урізноманітненими різноґатунковими рішеннями під виглядом стратегій, наближають світ до сумних деструктивних та монструозних рішень. Політика перетворилася із мистецтва управління у ремісництво з реваншизму геоісторичних суб’єктів, впровадження умодернених форм бандитизма та рейдерства, варварства, геноциду, збагачення обраних, геоісторичних маніпуляцій спеціальних служб і конспірологічних структур, змащені духом меркантилізму під приводом ідей „добра і гуманізму”, демократії і прав людини.

Однією із суттєвих стратегій реалізації такої політики стала концепція стратегічної невизначеності (戰略模糊).

Стратегічна невизначеність (also known as a policy of strategic ambiguity / 戰略模糊) — 1) прихована стратегія впливу на власне стратегічне  позиціонування; 2) адаптивна стратегія збереження власної ідентичності, вираження своєї місії та реалізації стратегічних цілей за умови прийняття змін в рамках реалізації адаптивних секторальних стратегій.

Формами прояву стратегічної невизначеності виступають: 1) піддавання сумніву базових принципів функціонування світової архітектури безпеки; 2) поєднання амбітності з амбівалентністю; 3) артикульовано не визначене ставлення до певних аспектів зовнішньої політики, тлумачення тих чи інших явищ по-різному, але головне — на свою користь і власної вигоди; 4) відсутність зовнішньо ідентифікованого послідовного прагматизму і непрогнозованість поведінки і напрямів діяльності; 5) опертя зовнішньої політики не на стійкі цінності, а не змінювану обстановку та максимальне прилаштування до нею з метою отримання власної вигоди; 6) дипломатична активність, заснована на непередбачуваності; 7) іманентна суперечливість відносин із оточуючими суб’єктами аж до суперництва та ворогування; 8) обмеження відносин конкретним колом цих відносин, за рамками яких відносини із цим самим суб’єктом можуть бути іншими; 9) баланс між уявленнями про себе і сприйняттям оточуючими; 10) надавання ясності та прозорості своїй стратегії, навіть якщо не можна запропонувати певність.

Однією з країн, яка тим чи іншим чином застосовує дану концепцію, виступає КНР.

З одного боку, влада Китаю проголошує принцип „неподільності безпеки” (安全的不可分割性) і „поваги до суверенітету і територіальної цілісності”, а з іншого — не засуджує Росію за варварську війну, збройну агресію, анексію, геноцид і державний терор, зміщуючи акцент з оцінки безпосередніх дій Росії, на оцінку контексту подій, посилаючись на начебто „історичний” контекст. Причому даний контекст було узято з російських джерел, ідеї озвучені впливовим політиком Лі Кецяном (李克强) здебільшого перегукуються із виступом Путіна і його програмною статтею про начебто „єдність українців і росіян”. Чим наперед порушено об’єктивність розуміння та цілісність картини справжніх історичних взаємин української державної нації з одного боку, з населенням, що контролюється московським режимом і проживає на відповідній території, яке має назву „росіяни” — з іншого.

До того ж, у своїй доповіді про нову еру Китаю та возз’єднання із Тайванем (台湾问题与新时代中国统一事业) Китай чітко та послідовно спирається на власну трактовку та небезспірну інтерпретацію власного бачення історії, акцентуючи, що „Тайвань належить Китаю з давніх давен” (台湾自古属于中国的历史经纬清晰), водночас не враховує віковічної історії Української держави, фактично підтримуючи міфологеми про її несамостійність і належність до геостратегічного простору Росії. Але, якщо виходити офіційно та прагматично, не враховуючи циклічність періодів єдності та розпаду китайської цивілізації, форм реінтеграції спеціальних адміністративних районів, то офіційно Китайська Народна Республіка заснована 1 листопада 1949 року — час, коли Україна як держава вже користувалася 239 років власною першою в світі писаною Конституцією. Тож повага не лише до власної історії, а й до історії інших політичних суб’єктів в тому числі й України, відкриває нові шляхи для КНР в глобалізованому світі.

З одного боку Китай проголошує мирне возз’єднання із Тайванем (的光明前景), а з іншого — жодним чином не реагує на винищення українства, вбивства дітей, цивільного населення та взагалі деінфраструктуризацію країни.

5 листопада 2022 року на відкритті 5-го Китайського міжнародного імпортного ЕКСПО Сі Цзіньпін відзначив на спільну побудову відкритого та процвітаючого майбуття через розширення відкритості і створення на місткому китайському ринку широких можливостей для усього світу, формування нової архітектоніки розвитку, майданчику розширення відкритості на високому рівні і досяжне для усього світу суспільне благо. Утім дії Росії категорично суперечать стратегічній візії Сі Цзіньпіна щодо відкритості, тож схвалення або замовчування об’єктивної оцінки Китаєм війни РФ проти Української держави сприяє продовженню функціонування політичного режиму РФ, водночас суттєво впливає на всі світові політичні системи і унеможливлює реалізацію КНР концепції відкритості: війна на вбивства ніколи не сприяли свободі та відкритості.

Адже прагнення до глобального лідерства КНР — це глобальна відповідальність КНР.

Не можна бути відкритим для усього світу лише для власної вигоди і користі, причому постійного наголошуючи на це. Користь має бути взаємною, а відкритість взаємовигідною. Артикуляція Китаєм себе в якості глобального лідера зумовлює зміну власного ставлення до вирішення суперечливих безпекових та глобальних проблем: від звичних закликів „до миру”, „мирного вирішення проблем”, „замовчування війни”, називання війни в Україні „конфліктом” тощо, до активних дій.

За іншого випадку, відповідно до китайського прислів’я : „З собакою, що все життя на ланцюгу просидів, полювати не ходять” (他們不會帶著一條一輩子都被鎖鏈拴著的狗去打獵。). Тож Українська держава разом із КНР готова до нової ролі в побудові нової системи світопорядку.

Ще один прояв стратегічної невизначеності. Китай прагне отримувати українську кукурудзу, однак замість впливу на московський режим, який, окрім визначеного вище, зухвало грабує Українську державу, зокрема пшеницю на кукурудзу, КНР веде заздалегідь складнореалізовані перемовини з Бразилією, наперед усвідомлюючи, що подорожчання ф’ючерсів в США та нікуди не зниклі фітосанітарні проблеми на додаток із приходом до влади нового президента, фактично унеможливлюють рівноцінну заміну української кукурудзи.

На мою думку, важливою для сучасного Китаю має виступати концепція стратегічної ясності, яка дозволить, не змінюючи проголошений курс, цінності, корегуючи лише інструментарій та політичну готовність до практичних дій і дієвої зміни геостратегічного ландшафту зберегти власну ідентичність.

Китай має не лише думати про себе ширше, а й діяти ширше. Лише думками ситий не будеш. Майбутнє належить тим, хто діє широко, а не лише мислить горизонтами розвитку. Знаходження правильного балансу між внутрішніми інтересами, користю і взаємною вигодою, на яку постійно наголошують китайські посадовці, з глобальною роллю активного суб’єкта і стратегічного світового архітектора є шляхом для реалізації статусу КНР як стратегічного лідера ХХІ століття.

На даному шляху дороговказом для КНР може виступати сильна та дієва  стратегія ідентичності: як позиціонує себе Китай, що він для цього готовий змінити зсередини себе, що він може дати іншим для спільного розвитку і солідарної користі. У рамках даної стратегії Китай має узяти на себе зобов’язання, а не лише „закликати” інших щось робити чи не робити. Китай має думати про можливості не тільки свої і лише свою вигоду і користь, а створювати реальні, а не декларативні можливості для інших держави, на що до речі наголосив Сі Цзіньпін, виступаючи 5 листопада 2022 року на відкритті виставки ЕКСПО.

Якщо Китай і надалі продовжуватиме таку політику, то світ і політичні інститути світу і надалі сприйматимуть КНР так і через роки, позбавляючи його точок росту і трансформації сприйняття. Адже досі світ не має прикладів активної участі КНР у конкретному та результативному вирішенні глобальних безпекових проблем, в тому числі військових конфліктів, результативної діяльності у сфері міжнародних відносин, поза межами території КНР.

Для нового сприйнятті потрібні: 1) нові дії, а не нові слова; 2) не постійні повчання, а стратегічна політика; 3) не підігрування, а власна геостратегія; 4) адекватне сприйняття не лише власної історичної спадщини, а й інших держав, зокрема України.

Реальна, а не декларована зміна статусу КНР як глобального лідера потребує зміни стратегічних концепцій.

Відтак, на мою думку, концепція стратегічної невизначеності має бути трансформована на концепцію стратегічної ясності та національної ідентичності.

Ukrainian cyberspace is a part of European cyberspace.

You and I have both similarities and differences in it.

Among our similarities are information risks and cyber risks, which are essentially global.

Our differences are the fact that our state has real combat and effective experience in conducting cyber warfare against Russia. And the main thing: is a readiness and willingness to use effective means. After all, it is one thing to have the experience of training and cyber training at all, it is quite another to participate in a real cyber war, be ready to real fight in cyberspace.

One of the vivid examples was the fact that today, through artificially created social platforms, some disinformation was being spread about the alleged departure of “our president V. Zelensky” from the territory of Kyiv or Ukraine. Allegedly, he left his people at the mercy of the Russian bear.

From our experience, I’d like to highlight a few common challenges and issues we face in cyberwarfare.

Our success

1. Without the presence of cyber troops and appropriate command and coordination, we defeated Russian cyber troops and pro-state / proxy hacker groups. We forced the enemy to disconnect from the global Internet.

A funny example. While I was working in the company, I received an email from an employee asking for permission to install software for DDos from Russian resources on a corporate laptop.

2. Implementation of operational coordination of all citizens, whole society who have a smartphone in their hands to effectively fight against the enemy.

3. Implementation of strategic communications measures to prevent information and psychology operation due to manipulation and using Deep Fake technology. When public appeals of high-ranking officials about alleged surrender to the enemy were imitated.

4. The resilience of strategic infrastructure objects was preserved. Their cyber protection is ensured. It’s a very sensitive point: to keep our strategic infrastructure in resilience, safe.

Our challenges

1. Currently, the presence of a large number of Telegram channels is recorded, the detection and blocking of which requires considerable time and resources.

2. Right now, the possibility of using Free social service (Google) for marking potential missile strikes is still preserved.

3. Existence of cyber volunteers. Cyberwar is quickly exhausting, so the motivation of cyber volunteers needs to be constantly fueled.

4. The cyber security policy needs to be improved, in terms of increasing digital literacy among the population.

In my opinion, a necessary condition for winning the cyber war is the development of international cooperation, the support of international initiatives, and the formation of trust in the field of cyber security.

The potential for further escalation in the ongoing war in Ukraine is a significant

concern. Although much of this escalation will surely be directed

against Ukrainian cyberinfrastructure. So it includes many other actors, specifically the European Union and North Atlantic Treaty Organization allies has become plausible.

So, Ukrainian cyberspace is a part of European.

Accordingly, security of Ukraine — is a security of whole Europe.

I am strongly believing, that the right and correct pathway to prevent potential escalation is to fight together.

Olena Lipkan

Berufserfahrung:

1. 1.                   Drehbuchautor in der Fernsehserie „Ärztin 2“: 7, 10, 19, 38, 48 Folgen. Produktion: ISTIL STUDIOS & TANARM PICTURES, FILM.UA, PRIMA FILM. 2013.
2. 2.                   Drehbuchautor in der Fernsehserie „Window of Life“ (Staffel 1 und 2): l

• Staffe1: Filme „Boomerang“ http://kanalukraina.tv/ru/episode/t-s-okno-jizni-5-seriya$
•  Staffe1: „Ein Geschenk der Vergangenheit“ http://kanalukraina.tv/ru/episode/t—s-okno-jizni-21-seriya
• Staffel 2: Filme “Mothers and Daughters”, “This is Destiny”. Produktion: FILM.UA und UMG. 2016-2017 rb:
• Drehbuchautor in der Fernsehserie Romance with a Detective (2020)
• 2020 Drehbuchautor bei „Fabiosa amedia“ (Animation und Live-Video).
• Drehbuchautor für The Challenge (Staffel 3) im Jahr 2021.
• Drehbuchautor für The Challenge (Staffel 4) im Jahr 2021.
2. Präsident des Verwaltungsrates Globale Organisation der alliierten Führung: https://goal-int.org/category/naukovo-ekspertna-diyalnist/ustanovi/departament-mistectv/scenarne-mistectvo/

Autor von Artikeln für die Website:

• www.evrikak.ru

• http://evrikak.ru/info/kak-sobrat-kubik-rubika-2×2,
• http://evrikak.ru/info/chto-takoe-medikamentoznyiy-son/,
• http://evrikak.ru/info/kakoy-metod-kodirovki-ot-alkogolizma-samyiy-effektivnyiy/,
• http://evrikak.ru/info/migren-chto-delat/,
• http://evrikak.ru/info/chto-takoe-stress-i-kak-ego-pobedit/,
• http://evrikak.ru/info/chem-pomoch-grudnichku-pri-kishechnyih-kolikah/,
• http://evrikak.ru/info/sindrom-smenyi-chasovyih-poyasov-dzhetlag/,
• http://evrikak.ru/info/neyrolepticheskaya-depressiya/,
• http://evrikak.ru/info/govorenie-vo-sne/.

Schriftstellerin, Autorin von Frauenromanen:

• Обреченная быть счастливой, — Киев: Дорадо-Друк, 2009. — 128 с. // Zum Glücklichsein verdammt – Kiew: Dorado-Druk, 2009. – S.128.
• Еще один шанс, — Киев: Дорадо-Друк, 2011. —  256 с. // Eine weitere Chance – Kiew: Dorado-Druk, 2011. – 256 s.
• Елена Липкан Тайные желания // Elena Lipkan Geheime Wünsche: http://goal-int.org/elena-lipkan-tajnye-zhelaniya/
• Елена Липкан Легенда о Волке // Elena Lipkan Legende vom Wolf: http://goal-int.org/elena-lipkan-legenda-o-volke/
• Елена Липкан Обещание любви // Elena Lipkan Liebesversprechen: http://goal-int.org/elena-lipkan-obeshhanie-lyubvi/
• Елена Липкан Обречённая быть счастливой // Elena Lipkan Zum Glücklichsein verdammt: http://goal-int.org/elena-lipkan-obrechyonnaya-byt-schastlivoj/
• Елена Липкан Ещё один шанс // Elena Lipkan Noch eine Chance: http://goal-int.org/elena-lipkan-eshhyo-odin-shans/
• http://www.litmir.me/a/?id=88316
• http://litlife.club/a/?id=88316-

Höhere Bildung, Kurse:

• Europäische Universität (2001-2006). Spezialität „Manager der Organisation”, „Jurisprudenz”.
• Drehbuchkurse der Produktionsfirma “PRIMA-FILM” und der Filmgesellschaft FILM.UA (1.10.2012-27.12.2012).
• Szenariokurse des SWS-Szenariostudios (10.04.2016-10.07.2016) // https://screenwriting-studio.com/letayte-na-krylyah

Volodymyr Lipkan

Department of Criminal Law & Justice, Zaporizhzhia National University, Ukraine

Lydmyla Vasutynska

Department of Finances, Odessa National Economic University, Ukraine

Tetyana Syvak

Department of Parliamentarism and Political Management,

National Academy for Public Administration under the President of Ukraine, Ukraine

 Lipkan, V., Vasutynska, L., & Syvak, T. (2018). METHODS OF ANALYSIS OF THE EFFECTIVENESS OF PUBLIC SECTOR PROJECTS: FEATURES AND CONSTRAINTS. Baltic Journal of Economic Studies, 4(1), 255-261. https://doi.org/10.30525/2256-0742/2018-4-1-255-261

Abstract. The purpose of the paper is to consider the main provisions of methods of analysis of the effectiveness of public sector projects. A number of issues remain controversial in the methodology of analysing costs and benefits. So, in addition to determining the costs and benefits to be included in the analysis, one should outline the problem of assessing in the monetary equivalent of the social effects that society receives from the project implementation. Methodology. The social nature and scale of tasks that are solved in the public sector deepen the issue of identification of social effects. Discounting costs and benefits and assessing the social effect in the cost-benefit analysis involves the application of the rate of time preference. The parameters of this rate are analysed and substantiated in the study. In addition to the CBA method, an attention is paid to other methods of efficiency analysis, in particular, the method of cost-effectiveness analysis, method of weighted cost-effectiveness analysis, method of cost-utility analysis. Each method has its own specific features and limitations that determine the direction of their application. Results. It is concluded that finding solutions in the direction of studying the relationship between the social rate of intergovernmental preferences and other methods of discounting will allow us to get an idea, in which range may be the value of social discount rate. The ability to determine the range will allow taking into account the specificity of the project being implemented.

Key words: cost-benefit analysis, social rate of discount, cost-effectiveness analysis, weighted cost-effectiveness analysis, cost-utility analysis.

JEL Classification: J00, K10, K20, K23

1. Introduction

The feature of projects in the public sector is that their implementation contributes to the growth of the welfare of society and is a prerequisite for its development. It is worth noting that public sector projects are often characterized by negative profitability and, therefore, cash flows do not generate a commercial effect. At the same time, the importance of implementing such projects is to increase the welfare of society and to promote economic growth, capital accumulation, and increase in the competitiveness of the national economy.

The benefits that society receives as a result of the implementation of public sector projects, due to their specificity, cannot be offered on the market and, therefore, market prices are not applied when evaluating such projects. In addition, during market failures, market prices do not reflect marginal benefits and costs (Atkinson, 1980). The ineffectiveness of the market mechanism for revenue generation is the reason that complicates the use of classical investment analysis tools to assess the effectiveness of public sector projects.

A classic method for analysing the effectiveness of public sector projects is the cost-benefit analysis method – CBA. The analysis is conducted by comparing the benefits (social effects or results), measured in monetary terms, and the costs incurred. Subsequently, the analysis tool was expanded. This led to the emergence of other methods for analysing the effectiveness of public sector projects, such as cost-effectiveness analysis – CEA, cost-utility analysis – CUA, weighted cost-effectiveness analysis – wCEA.

Despite the rather significant experience of using tools for analysing the effectiveness of public sector projects, issues remain controversial about the methodology for assessing the social effects derived from their implementation. The problem is that it is necessary to determine precisely whether the social and cultural changes in the social situation (positive or negative) have become a consequence or result of the project implemented (Williams, Giardina, 1993). However, it is rather difficult to identify the social effect as a result of the project implementation, without understanding the nature of its origin. This is related to the fact that the social effect can be defined as a social benefit and as an externality.

Social benefit is the benefit of any activity that includes the benefit of the entity that carries out activities, as well as benefits to people who do not pay for it. At the moment, we are talking about evaluating the benefits based on a willingness to pay indicator (WTP), which reflects the readiness of the individual to pay money for a certain social benefit. However, the definition of the value of the social benefit is also quite problematic. To solve this problem, it is suggested to use the ordered binary choice models (ordered logit model, ordered probit model) (Verbeek, 2008).

Another problem when analysing the effectiveness of public sector projects is the need to take into account the externalities associated with the results or effects of the project being implemented. In this case, there are issues regarding their identification by the form of manifestation. For example, if the implementation of the project contributed to the transfer of demand from one producer to another, then society as a whole has no gain or loss. Here we are talking about the redistribution of cash resources within a single market. Taking into account such monetary externalities for determining the costs and benefits does not make sense. However, there may be another situation. For example, project implementation has the consequence of saving or increasing resources for a group of producers or degrading or improving the environmental status of the region. It is clear that under such conditions there are real effects that maximize or minimize the volume of social benefits. The actual (technical) externalities affect the estimation of costs and benefits of the project. The problem is the choice of a range of the most significant externalities; moreover, it is necessary to distinguish those that do not have a redistributive character. This is a rather difficult task since the externalities can be manifested in the same processes but have different nature of occurrence. In addition, it makes no sense to take into account all externalities. Therefore, in practice, there are certain limitations to take into account real externalities to determine the costs and benefits of the project. The first limitation concerns the consideration of only indirect externalities; the second one is that costs and benefits of the project should be assessed from the perspective of the impact of externalities on the development of society. Thus, for a public comparator, the task is to maximize the difference between social benefits and social costs.

Public sector projects are not implemented right away. They have a certain period of life. Therefore, when assessing the social effect, it is necessary to take into account changes in costs and benefits in time, that is, lead costs and benefits to the initial or final period. It is this aspect that determines the problem of choosing discounting methods for public sector projects. The complexity of the matter is that the public emphasis of public sector projects, the scale of tasks that are being solved, require the study of a wide range of factors for assessing the social effect. Scientists agree that the social discount rate should be positive, but there are discussions about the choice of methods for estimating this rate. Differences in the views of different researchers in determining the social rate of discount create a certain debate and encourage further research.

The purpose of the article is to identify specific features and limitations of the methods used to analyse the effectiveness of public sector projects and to substantiate recommendations for their practical application.

In order to achieve this purpose, it is necessary: to study the methodology of the analysis of the effectiveness of public sector projects based on comparing costs and benefits, focusing on approaches to determining the social discount rate; define the limits of application of the method of CEA analysis and its modifications; compare existing methodologies for analysing the effectiveness of public sector projects to determine their specificities and areas of application.

The research used the following methods: the method of comparative analysis – to identify advantages and limitations in the study of methodology for analysing the effectiveness of public sector projects; method of generalization – when analysing the accumulated experience in applying the methodology of the analysis of the effectiveness of public sector projects; scientific abstraction method to reveal the essence of social discounts; mathematical statistics for determining parameters of estimation of discount rate.

2. Method of analysis of cost-benefit efficiency

For the analysis of projects in the public sector, a system of methods based on a cost-benefit analysis (CBA) is developed. However, as pointed out by researchers, for the analysis of costs and benefits, there is a significant gap between the theory and the practical application of analysis tools (Dreze, 1985). The issue of the need to reduce this gap was considered in works of Boardman A. (Boardman, 2006), Dasgupta A. K. (Dasgupta, 1978). The reasons lie in the complexity of determining the social effect of project implementation.

The issue of determining the social effect is quite controversial. In science, there are various approaches to its justification. These approaches have diverse, ambiguous, and conditional interpretations, although the essence of the social effect is understandable at the intuitive level of perception. F. Vanclay (Vanclay, 2003) substantiated a number of principles which, in his opinion, are fundamental to the identification of the social effect. The author emphasizes, firstly, that it is necessary to clearly understand the nature of the origin of the social effect, that is, only the effects, which have become a consequence of the project (for example, as a result of the project, the cost of working time to produce a unit of production reduces or the social situation improves). Secondly, as F. Vanclay points out, the indicator of improving the quality of life (public welfare) should be used as the basic indicator of the social effect. Thirdly, it is necessary to take into account the opinion of society. Through the survey, determine the degree of utility that society identifies with the resulting effect. As you can see, the costs and benefits of the project should be evaluated from the standpoint of the whole society. So, maximizing the difference between social costs and social benefits will determine the increase in social benefits.

                                                    (1)

where NB – net present benefit; В – present benefit (social effect);

С – costs in the current period.

The method of CBA is of scientific interest to many researchers. The theoretical foundations of CBA are rather thoroughly described in the economic literature by Squire and Layard (Squire, 1989; Layard, Glaister, 1994). No significant achievement is the study of Lomborg (Lomborg, 2007), which developed a methodology for the use of CBA for various sectors of the economy.

An analysis of costs and benefits helps to assess whether a project is effective in terms of improving social well-being. This analysis is applied when full market assessments of consequences or outcomes of public sector projects cannot be identified over the inability to adequately describe individual components of total costs or full benefits with price indices, how much to take into account externalities and social benefits. This is the main advantage of the CBA method. With the help of the CBA methodology, it is possible to assess the impact of the project on changes in public welfare.

The advantages of CBA are, firstly, the ability to assess the aggregated long-term effect on the basis of bringing the net benefit indicator by discounting to the present moment, and secondly, the ability to compare projects between themselves and in time.

The classical CBA approach involves evaluating the effect through the definition of net present benefits brought to a certain point in time

                                    ,                                              (2)

where NB – net present benefit;

B_t  – benefits at time t;

C_t   - costs at time t;

SDR – social rate of discount;

n – life cycle of the project.

However, the methodological issue of determining the discount rate inevitably arises. The necessity of its application follows from the fact that the main volume of investments, as a rule, occurs at the initial stage of the project implementation, and the expected social effects appear only after its implementation. However, in a situation where market prices do not reflect the marginal benefits and costs for society (as a consequence of market failures), the market discount rate cannot be applied. This market failure is solved only under conditions of state intervention. Consequently, it is impossible to estimate the social discount rate as a return on alternative projects given that the alternative yields of these projects are unobserved.

The choice of SDR relates both to the timing (future benefits) and the size of the social distance (benefits to others). This is precisely what determines different approaches in the estimation of the discount rate. In the case of discounting time, decision-makers estimate the remuneration available at different times (the choice is made over a period of time, so the choice is intertemporal). In terms of social discounts, the choice raises concerns about remuneration for people who have different positions along the axis of social distance (choices are made within the social distance, so the choice is interpersonal). Persons are distributed along the social distance axis according to A. Karbowski’s criterion of closeness to the decision makers (Karbowski, 2016).

Social rate of time preferences (SRTP) reflects the willingness of society to abandon consumption at the present time in order to obtain certain benefits after project implementation. Researchers focus on SRTP establishment issues. Some argue for the need to differentiate the social discount rate (Baumol (Baumol, 1952), Pierce D. (Pearce, 1985, 2003), Sen A. K. (Sen, 1961, 1967, 1982)), others – believe that a single discount rate should be used to discount public sector projects in a particular country (Kula E. (Kula, 1985), Evans D. (Evans, 2004), Lopez (2008)).

The calculation of SRTP is based on the solution of the problem of maximizing the public utility function, which is drawn on the utilitarian approach, which is based on the assumption that for the society the significance of the welfare of all members of society is the same. As a public function of utility, a function with constant elasticity is selected:

                                             (3)

where U (С_t) – utility derived from consumption;

С_t – consumption at time point;

μ – parameter of public utility function on consumption.

The goal of maximizing utility, which reflects the individual’s choice for today’s consumption or deferred consumption for tomorrow, is determined for two periods:

                       (4)

where С₁; С₂ – consumption in different periods of time;

U(С_t) – public utility function of consumption;

р – individual rate of time preference;

SRTP – the social rate of time preference.

The equality of the unit of the amount of discounted flows in equation (4) is based on the assumption that there is no preservation, that is, the entire available volume of consumption is distributed between two periods.

The result of solving the system of equations is the expression:

                                                                                   (5)

where ρ – the rate of time preference;

g – the rate of consumption growth per capita;

μ – parameter of public utility function on consumption.

To estimate the rate of time preference, the approaches that are formalized in (6) are used (Evans, Kula, 2011). In essence, the resulting formula is a linear approximation of formula (2).

                                  (6)

By analysing the parameters of the final expression (5), it can be concluded that SRTP is additive and includes such components (ρ) that reflect time preference of the population and (μ∙g) – the growth of public utility derived from consumption by society.

In turn, the rate of time preference is the sum of the net rate of time preference and the parameter that reflects the risk to life.

                                                                                             (7)

where δ – “net rate” of time preference; L – the level of risk to life or catastrophe risk.

The “net rate” parameter (δ) in many techniques equates to zero, based on ethical considerations, so as not to undermine the welfare of future generations, that is, the benefits are not provided to any generation. However, M. Olson and M. Bailey (Olson, Bailey, 1981) state that when setting the zero discount rate, the probability of shifting time preferences in favour of future generations, that is, increasing one generation’s poverty in order to increase the welfare of the following, appears. It is believed that this parameter of the social rate of time preference is not subject to empirical analysis. For different approaches, the range of this rate is set from 0% to 0.5%.

Parameter (L) is interpreted as a catastrophe risk (life risk). This implies that there is a probability of events that all project achievements will void or radically and unexpectedly change. In the life risk assessment as a basis, the risk of a shortfall in income from the project implementation in the future is taken.

When calculating parameter (L), it is necessary to pay attention to the fact that its value varies considerably. Therefore, the ratio of total deaths to population is usually used in methodologies.

The elasticity of the marginal public utility value or (μ) is determined by some methods based on the average saving rate. However, there is no unanimous opinion among the world scientific community. This indicator is quite varied by different methodologies.

Since the social discount rate is intended to identify benefits in the future, it is considered expedient to use the projected values of growth rates of consumption per capita (g) during the calculation. The growth rate of per capita consumption reflects the potential for more consumption in the future, which is achieved through the introduction of innovations and the development of technical progress (Pearce, Ulph, 1995). It is necessary to find out what horizons of forecasting should be applied during the calculations. However, it should be borne in mind that forecasts are more acceptable only in the short run.

The problem of determining the social discount rate has a fairly wide range of judgments and requires a more in-depth study but in a separate format. Based on the task, the emphasis, first of all, is on the justification of advantages and limitations of the CBA methodology. In the defined context, CBA limitations can also be considered as the disadvantages of social discounting.

3. Cost-effectiveness analysis method

The method of cost-effectiveness analysis (CEA) has a significant distinguishing feature, which is that the benefits are not measured in monetary terms, but in physical units (Kahn, 1969). The issue regarding the use of the CEA methodology is rather controversial, so the comparison of different approaches is complicated, and thus the generalization of different opinions is difficult.

The application of the method of cost-effectiveness analysis is not complicated by the need to assess the social effect in monetary terms, as in CBA. However, there is a problem in comparing the results of the analysis of interventions that are different in nature. The high degree of sensitivity of results to the change in the indicator, which reflects the social effect received as a result of interventions, limits the positive characteristics of the CEA method. This attracts a constant interest in the development of various variants of its modification.

For a reasoned comparison of alternatives, it is necessary to compare not only the costs and results but the cost changes in relation to the change of results. Consequently, in the case of CEA, an incremental cost-effectiveness analysis (ICEA) is carried out (Tan-Torres Edejer, 2003).

                         ,                                               (8)

where ІСЕR – (Incremental cost-effectiveness ratio) – an indicator of the ratio of increase in costs and productivity gains; ∆С – an increase of costs as a result of interventions; ∆E – increase in the effectiveness (social effect) as a result of interventions.

The analysis of indicators of formula (2) allows concluding that the lower the value of ICER, the lower costs are directed to achieving a certain level of effectiveness, and the more effective the considered variant of intervention. As a limit, there is WTP (willingness-to-pay), which reflects the inclination of the financial decision-maker to pay for the corresponding project (Levin, McEwan, 2001).

In practice, the CEA method is the most appropriate for use in choosing alternatives in the healthcare system, since its toolkit allows for project analysis and choosing the most appropriate option in case of achieving a goal, for example, to increase life expectancy. In the broad sense, CEA is used, firstly, if it is necessary to decide on the choice of alternative, mainly when there is a need for intervention to determine the degree of intervention. Secondly, when it comes to the generalization of health policy (Jamison, 2009).

As CEA is not measured by cost indicators, the result is expressed in such aggregated non-financial indicators as, for example, Quality Adjusted Life Years – QALY (an indicator expressed in years of life, adjusted for quality), or Disability Adjusted Life Years – DALY (an indicator expressed in years of life, adjusted for the degree of disability). However, limitations can determine some distortion of qualitative assessments. For example, it is difficult to take into account the impact of changes in the ecological environment on disease. Such results are difficult to take into account in DALY or QALY indicators.

There are certain preconditions and restrictions associated with the use of CEA, in particular: the limitation of comparing interventions that have a different social effect; the complexity of taking into account time-based costs and effects; a high degree of sensitivity to the choice of indicator that reflects the social effect.

Undoubtedly, the analysis of CBA is wider than the cost-effectiveness analysis, since all benefits at the time of application of the first one have cost estimates, and therefore, the effects of different projects can be compared. This is a fairly substantial statement for a public comparator, based on the premise of the social nature of the tasks being solved. The CEA method can be used to make decisions when comparing projects whose effects are defined as homogeneous or can be measured in terms of key results. Consequently, the limitation of CBA analysis does not make it possible to decide if it is necessary to choose the option of investing resources of the public sector in different spheres of activity. The problem is the disparity of effects between themselves.

4. Methods of weighted cost-effectiveness analysis

There are cases when it becomes necessary to analyse the effectiveness of the project to combine several different social results that do not have a monetary equivalent. In such situations, it is necessary to evaluate the importance of each of them and to find a single composite mark. To obtain a single composite estimate, we use the method of weighted cost-effectiveness analysis– wCEA (Belli, 1996). This method is one of the modifications of the CEA method. As a social effect, it is its conditional expression through an aggregate indicator, which includes various characteristics of the object of evaluation. To determine the final effect, it is necessary to assign certain weights to the indicators that collectively formulate the target.

,                                                                 (9)

where w_j   – the weight of the i-th effect; Е _і  – i-th effect.

The method of wCEA is characterized by weaknesses in expert analysis, that is, dependence on subjective thought. However, this method is widely used in assessing the effectiveness of educational programs and healthcare programs, since the benefits that society receives from such programs cannot be measured in monetary terms.

5. Method of cost-utility analysis

In the case where a project is subject to evaluation that is described by a spectrum of results or if the results differ not only in quantity but also in quality, it is expedient to apply a cost-utility analysis (CUA) method. In essence, this method is a slightly complicated modification of the cost-effectiveness analysis. Originally, it called generalized CEA (Torrance, 1971), and later – utility maximization method (Torrance, 1972). Now, this method is singled out as an independent one. CUA is distinguished by the fact that during the analysis, conventionally, similar quality results are used. The estimation of utility coefficients is carried out through expert assessments, which have methodological difficulties related to the qualification of experts, a clear statement of tasks, subjectivity of evaluations, and the complexity of processing information.

,                                (10)

where С – costs; U – utility.

It is advisable to use the CUA method in cases where it is necessary to determine the result, taking into account side effects, whether it is necessary to determine a single criterion for comparing costs and benefits, whether there is a need for ranking the results for weighting, or whether decisions are made on choosing alternatives.

6. Comparative characteristics of the methods of efficiency analysis

The comparative characteristics of the methods used to analyse the effectiveness of public sector projects are given in Table 1.

Table 1

Characteristic features of methods for analysing the effectiveness of public sector projects

The study of methods for analysing the effectiveness of public sector projects showed that, notwithstanding certain features of each of the considered methods, the main approaches to measuring costs, benefits, and results are based on a single theoretical basis. In this context, existing limitations in all methods of analysing the effectiveness of public sector projects reveal significant prospects for further research and improvement.

7. Conclusions

The investigated methods of analysis: cost-benefit, cost-effectiveness, weighted cost-effectiveness, cost-utility are a very important basis for making grounded decisions by public comparators regarding the direction of investment in the most demanded sectors of the economy. Using the tools of efficiency analysis methods, they can distribute limited public resources according to policy priorities.

One or more methods of analysis of efficiency can be used to analyse the effectiveness of public sector projects that are implemented within a single industry. The main thing is to determine in which units the result is evaluated. If the result can be estimated in cost units, then it is advisable to use the methods of CBA and CUA, and in other cases – the methods of analysis of CEA and wCEA.

Choosing a social discount rate is a difficult task, as it involves assessing, among other things, the future benefits that other people may receive. A broad debate on determining the social discount rate has led to the formation of different views on the need to establish or differentiate the social discount rate or to determine its single value within a single country. When evaluating public sector projects, it is necessary to decide whether to use a single discount rate for the country as a whole and for all projects, or differentiated depending on the nature of the project. In general, discussions are about determining the size of the discount rate.

In existing studies, as a rule, the method of time preference is mainly studied. In this case, an attention is not paid to the study of the relationship between the social rate of time preference and other methods of discounting. Finding solutions in this direction will allow getting an idea of what range the social discount rate may be. The ability to determine the range will allow taking into account the specificity of the project being implemented.

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Lipkan Volodymyr,

Dr. of Law, Associate Professor, Professor at the Department of Criminal Law and Justice, Zaporizhzhia National University

Vasiutynska Liudmyla

PhD in Economics, Assistant Professor at the Department of Finances,

Odessa National Economic University

Diorditsa Ihor,

PhD in Law, Associate Professor, Senior Lecturer at the Department of Criminal Law and Procedure,

National Aviation University

https://doi.org/10.30525/2256-0742/2018-4-2-114-118

http://www.baltijapublishing.lv/index.php/issue/article/view/389

Abstract. The purpose of the paper is to investigate the assessment methods of social discount rate, to determine its calculation algorithm and to substantiate applied aspects relatively implementation of one or another method during cash flow discounting in social projects. Methodology. The research used such methods as follows: method of comparative analysis was used to find out advantages and limitations of chosen assessment methodologies of the social discount rate; synthesis and generalization methods were used during investigation of the gathered experience concerning application of assessment methodology of social discount rate; logical method was used to substantiate made assumptions; formalization method was used to determine assessment parameters of social discount rate. Results. To achieve the target goal, the following tasks were solved: theoretical studies on the assessment of social discount rate were systemized and the most adapted method for a practical implementation was determined; available pragmatic approaches to the determination of the parameters of social discount rate were investigated and the algorithm of its estimation is substantiated; evaluation of research results were tried out. Practical implications. The article substantiates the necessity of application of social discount rate in the evaluation process of investment projects of the public sector. The theoretical approaches to the choice of the social discount rate were studied. The assessment methods developed and adapted for application in the world practice for discounting public projects were considered. The arguments concerning the expediency of application of the social rate of time preferences for the evaluation of public projects are considered. Different approaches to the determination of social rate of time preferences are analyzed. Value / originality. As a result of the research, the parameters of social rate of time preferences were determined. The application algorithm of the assessment methodology of social rate of time preferences for public project discounting is indicated. Approbation of the assessment methodology of social discount rate for discounting projects of the public sector in Ukraine was carried out.

Key words: social rate of discount; social rate of time preferences; social opportunity cost of capital, public projects.

JEL Classification: E00, E22, K00, K20

Efficiency estimation of public sector projects in the context of a limited budget fund is the main problem for the government of any country. The reason for the urgency of this problem lies in the social orientation of such projects, and the complexity of solution of social problems creates preconditions for the search for methods that would allow evaluating available alternatives and making sound management decisions regarding the choice of investment priorities for competing projects of the public sector. When it comes to investments, the key moment for efficiency assessment of any project is to determine a discount rate.

Internationally, there are different methodologies relatively parameter determination of the social discount rate, but the social opportunity cost of capital and the social rate of time preferences are the most adapted for application. However, the current discussions concerning the choice of one or another assessing methodology for the social discount rate cover sufficiently large range of opinions that focus on the problem’s determination of the parameters of social discount rate.

Under existing perfect capital markets, rates, which are identified by the mentioned methodologies, will be identical to market interest. However, the reality differs. Firstly, the reason lies in the market distortion, which leads to the fact that the rates do not match both with each other and with the market rate. Thus, there is the issue of choice of an assessment methodology of the social discount rate which is the most appropriate to the realities. Secondly, if it is referred to assessment methods of the discount rate for public projects then it is necessary to take into account the social nature of these projects. It is necessary to take into consideration the fact that such projects should benefit not a particular person or organization, but the society as a whole or certain social group. Market interest rates cannot be applied for cash flow discounting in public projects. The reason is market failures. Therefore, market prices do not reflect marginal benefits and costs for the society. In addition, the government action is especially important for those fields where the market failure exists.

The rapid growth of public expenditures and, in particular, on the social sphere was the reason for interest of different governments in the development of assessment methodologies of the social rate discount. Consequently, the issue on efficiency improvement of management by limited public financial resources was on the front burner. The application of the discounting methodology for public projects solved a very important issue – the comparison of benefits and costs at different moments of time. If cash flows are not discounted, then net present value of projects will increase, thus public funds will be used ineffectively.

The public sector, in comparison with the private use of funds, is more regulated.  The existence of an approved budget of a government or a territorial community and a set of social tasks that are being solved require considerable resources, but the budget is limited and administrators of budget funds need to make the right choices with regard to available alternatives. And this choice must be justified in terms of the benefits that society receives implementing a particular project. Therefore, developments regarding the choice of the social discount rate are not only theoretical but also applied.

1. Examination of the methods of social discount rate

The first discussions regarding the need to apply the social rate discount in the projects of public sector were noted in the XIX century.  In the course of time, the issues of choice of assessment methodologies are in the centre of attention of all scholars around the world. Today, among the basic modern methods, the most applied is social opportunity cost of capital (SOC) and social rate of time preferences (SRTP).

SOC is acceptable when evaluation of public sector projects is performed using comparison of the effectiveness of project execution through two alternative ways – a traditional public administrator or a private entrepreneur. The rate which is determined according to SOC reflects the alternative costs of the best application of funds ether private or public sector. Both the public and the private sectors compete for the same resources in the investment market. Therefore, in order to justify the decision on a course of investment flows, it is necessary to compare the rate of return of public and private investments. In terms of this approach, the discount rate reflects the lost profits for the public from private sector investments (Marglin, 1963; Kohyama, 2006; Lopez, 2008).

Followers of this method proceeded from the fact that state intervention in the economy would lead to the substitution of private investments by the state ones, if the social task can be solved as a result of the project implementation in the private sector, that is, this refers to the opportunity costs of projects investments carried out due to the state budget. Consequently, the refusal of the alternative on the project implementation in the private sector leads to the loss of the benefits in this regard (Kohyama H., 2006). Based on the fact that in the private sector the rate of return on project implementation may cover higher risks than in the public one, to evaluate public sector projects that have private projects as an alternative, it is necessary to use SOC methodology. Thus, the social opportunity cost of capital is defined as the internal profitability of the best private sector project (McKean, 1958) or as the cost of the best alternative for the society (Shukla, 1997).

The social rate of time preferences reflects the willingness of the society to give up consumption at the present time in order to benefit from project implementation in the future. In other words, from the point of view of the social norm of time preferences, this assessment characterizes the compensation that is necessary in connection with the abandonment of the alternative of current consumption in favour of future consumption, that is, here the society has a lost profit too.

It worth paying attention to the fact that social rate of time preferences does not reflect losses or raise of the real value of investments as the social impact is not formed in the realities of added value – it is rather an alternative to the latter. The social effect of the project is understood as the positive changes in living standards of a particular social group or society, which manifests itself in increasing consumption of goods and services, improving the quality of life through qualitatively new progressive alternatives in comparison with existing ones. However, the welfare improvement of individuals due to personal expenses should not be referred to the social impact, in other words it arises only when achievements of the corresponding social indicators do not not require cost compensation. Therefore, when it comes to the rate of time preferences it means that a person has to solve the problem of whether to spend now and consume a real product, whether to keep capital or invest it to obtain something ephemeral in the future and, perhaps, not even for personal need but for future generations.

There is the belief that society as a whole has positive time preferences. At the same time, the individual rate differs from the public as the social rate is lower than the individual one (Marglin, 1963). The argument for such conclusion is based on the statement that the risk of death of an individual is much higher than the risk of death of a society as a whole. In addition, the decision of a certain person at the present moment regarding the issue of saving or consuming will bring benefits in the future not only to a particular person, but also to its generation. This is substantiated by the thesis that the social discount rate is lower than the discount rate for commercial projects discounting.

In favour of the use of the SRTP methodology, in comparison with the SOC methodology, it should be included the availability of information support, that is, information that is mediated by macroeconomic indicators is free for any civilized country. Another advantage is that it is possible to evaluate the SRTP rate in the absence of long time series of statistics, which simplifies information collection. In addition, there is a sufficiently large accumulated experience in approbation of the SRTP methodology, which makes it possible to compare and interpret the results.

The SOC methodology is more labour-intensive from the point of view of practical application. This method has more restrictions as priori provides for the existence of competing projects in the private sector with the same risks as in the public sector.

2. Parameters assessment of the social discount rate according to the method of Social Rate Time Preferences

Currently, developed countries have collected a certain practice and formed a sufficiently complete information base to assess the parameters of social rate of time preferences. The successful practice of developed countries regarding the application of this assessment method of discount rate is quite convincing. However, to obtain adequate results, existing methods use long time series of statistical data (about fifty years, as in the USA and the Great Britain, for example). For countries with a transition economy (for example, for Ukraine) the possibility of forming such a powerful information base is limited. The main reason, in particular, is that the state is a sovereign during a short period of time, and its economic system is vulnerable to internal and external shocks. Consequently, the assessment methodology of the social discount rate of public sector projects for countries with a stable economy cannot be fully adapted to implementation in countries with a transition economy. It is this aspect that must be taken into account when choosing assessment methods of the social discount rate.

The basis for calculating the Social Rate of Time Preferences (SRTP) is the maximization task of public utility functions. Furthermore, it is assumed that the significance of the welfare of all individuals is the same for the society, that is, there is no need to introduce weighting coefficient to assess the significance of a particular individual.

Based on the studies of the world scientific community, it is expedient to use the function with constant elasticity of marginal utility in evaluating the social discount rate. The discount rate, according to SRTP, is determined by the Ramsey formula (Ramsey, 1928):             

                                               SDR = δ + L + μg                             (1)

where g is accession rate of consumption per capita; L is hazard to life; δ is net rate of time preferences; μ is elasticity of consumption marginal utility.

The parameter (g) determines estimated figures of consumption growth rate per capita.
The parameter (L) reflects hazard to life (Newbery, 1992; Pearce, Ulph, 1995). The parameter (δ) is equal to zero, that is, there is the hypothesis that current generation does not reject its advantages in favour of future generations. Some scholars consider that the parameter (μ) is unobservable. Nevertheless, this parameter is taken into account in assessment methodologies of social discount rate.

To find the parameter (μ) of total utility function, it is necessary to assess the elasticity of consumption marginal utility (е) which is calculated as reciprocal of the parameter (μ), that is е = - μ as due to utility function, marginal utility is specified by:

,         (2)

subsequently:                              (3)

Turning to the determination of the elasticity parameter of the marginal utility of public consumption, it should be noted that at present there are two ways to assess this parameter. The first is based on the idea that (е) is calculated based on observation over individual savings. In accordance with the second method, the monitoring of income transfer from more affluent members of the society to the less wealthy is carried out. Just as the first one is successfully applied in researches.

An overview of scientific sources made it possible to find out the advantage of the approach regarding the methodology of elasticity determination of the marginal utility of public consumption, which is based on the observation of population savings (Stern, 1977; Scott, 1976). For calculations, statistical indicators of population incomes were used:

,                                  (4)

where r is opportunity cost of capital; δ is net rate of time preferences; S/Y is average rate of savings; у is expected accession rate of population incomes.

The aforementioned approach was implemented in determining the elasticity of marginal utility for the United Kingdom.

The elasticity of social utility (е) and function parameter of social utility elasticity μ is assessed as е = | μ |.

3. Applied aspect of implementation of SRTP methodology

Having identified the assessment methodology of social rate of time preferences, it can be tested. Taking into account the location of the research, macroeconomic indicators of Ukraine were used for the approbation.

The assessment of the parameter (g) was calculated according to an indicator that reflects the actual final consumption of households per capita in comparable prices. Based on the fact that by 2000 the Ukrainian economy was subjected to quite frequent crises, which affected the dynamics of indicators of socio-economic development of the state, the year 2000 was identified as the initial period. The time series is limited by 2013 due to the political events in Ukraine, which began in 2014.

Evaluating the parameter (L), the risk of insufficient future benefits for the society under the project was taken as a basis associated with the probability to die before its implementation. This parameter was calculated as the average value of the number of deceased persons in a particular year to the number of de facto population.

Assessment of the average rate of savings S/Y was determined by analyzing the structure of consumer spending, that is, this parameter was defined as the ratio of the funded part of the population income to the total income.

To calculate (δ) it is accepted the statement that the present generation does not give up its advantages in favour of future generations. This idea is justified taking into account the instability of the economic and political situation in Ukraine, that is, the assessment of the social discount rate for projects implementing in Ukraine is determined for the short or medium term. Therefore, δ = 0.

As opportunity cost of capital (r), it is adopted the average weighted rate of interest on deposits of individuals (without demand deposits) in banking institutions. Estimating real interest rate the Fisher equation was used that describes the connection between inflation rate, nominal interest and real interest rate.

The basis for calculating the social rate of time preferences is the Frank Ramsey formula (Ramsey, 1928) which has a mathematical interpretation for the SRTP methodology:

(5)

При оцінки еластичності  (е), яка необхідна для визначення параметру (μ), за основу прийнята методологія визначення еластичності граничної корисності суспільного споживання за методологією  (Stern, 1977; Scott, 1976)  формула (4).

The results presented in the table 1.

Table 1.

Parameters estimation of the social rate of time preferences for Ukraine

Note: y is expected accession rate of population incomes; r is opportunity cost of capital; δ is net rate of time preferences; S/Y is average rate of savings; μ is elasticity of consumption marginal utility; L is hazard to life; g is accession rate of consumption per capita; SDR is social discount rate.

According to the obtained calculations, the social rate of time preferences takes the value of 3.11%. Interpreting its assessment, it can be noted that theoretically, the population can refuse the current benefits in favour of future generations.

Conclusions

The social discount rate is an instrument that allows conducting evaluation of public sector projects taking into account changes of cash flows in time. The application of certain tools makes it possible to evaluate more accurately, comparing the benefits and costs in time. Projects that provide a lower return than the social discount rate are not effective for investing.

The systematization of theoretical researches and applied studies on the assessment of the social discount rate has made it possible to conclude that the most used method for practical implementation is the social rate of time preferences. Its advantages can be explained by the substantial experience of approbation of this methodology and the availability of statistical information based on macroeconomic indicators. At the same time, in order to assess the social discount rate adequately it is necessary to take into account time preferences of the society in terms of consumption as well as an alternative opportunity for implementation of private sector projects.

The analysis of available approaches to assessment of the social rate of time preferences allowed determining the algorithm of its determination for cash flows discounting of public projects taking into account the peculiarities of the development of countries with the transition economy.

Considering the peculiarities of economic development and the influence of political factors as well as the limited information base, time frontiers regarding the application of the social rate of time preferences for the evaluation of public projects in Ukraine have been identified. In particular, estimates for cash flows discounting can be applied in the short and medium term. At the same time, the social discount rate remains adapted only at the appropriate time interval.

The further development of tools for assessment of the social discount rate in accordance with SRTP and SOC methodologies will allow solving the problem of choice of the optimal investment model during the implementation of public-private partnership projects.

REFERENCES

Kohyama, H. (2006). Selecting Discount Rates for Budgetary Purposes. Harvard Law School. Federal Budget Policy Seminar. Briefing Paper, no. 29.

Lopez, H. (2008). The Social Discount Rate: Estimates for nine Latin American Countries. The World Bank. Policy Research Working Paper, no. 4639.

MacKean, R. (1958). Efficiency in Government through Systems Analysis. New York: John Wiley and Sons.

Marglin, S.A. (1963). The social rate of discount on the optimal rate of investment. Quarterly Journal of Economics, vol.77, no.1, pp. 95–111.

Newbery, D. (1992). The Long Term Discount Rates for the Forest Enterprise. Department of Applied Economics, Cambridge University, mimeo.

Pearce, D.W., Ulph, D. (1995). A Social Discount Rate for the United Kingdom / CSERGE Working Paper 95-01. Centre for Social and Economic Research on the Global Environment. Norwich: University of East Anglia.

Ramsey, F.P. (1928). A Mathematical Theory of Saving. Economic Journal, vol. 38, pp. 543–559.

Scott, M.F. (1976). Investment and growth. Oxford Economic Papers, vol.28, no.1, pp. 317–363.

Shukla, D.K. (1997). Estimation of economic discount rate for project appraisal in India. Project Appraisal, vol. 12, no.1, pp. 53–63.

Stern, N. (1977). The Marginal Valuation of Income // M. Artis and A. Nobay (eds.). Studies in Modern Economic Analysis. Oxford: Basil Blackwell.

Tetiana Suprun

Department of Criminal Law and Criminology,

University of the State Fiscal Service of Ukraine, Ukraine

Tetiana Yatsyk

Department of Criminal Process and Criminalistics,

University of the State Fiscal Service of Ukraine, Ukraine

Victoria Shkelebei

Department of Criminal and Criminal-Procedure Law,

National University “Kyiv-Mohyla Academy” Kyiv, Ukraine

Abstract. The purpose of the paper is to investigate reasons for the restriction of property rights in the application of temporary seizure of property in criminal proceedings and to determine promising directions for further research on the issues. The issue of measures to ensure criminal proceedings and observance of human and civil rights and freedoms was investigated by a number of domestic scientists, but the degree of investigation of grounds for restricting property rights in the application of temporary seizure of property in criminal proceedings in the context of amendments made to the CPC of Ukraine in recent years remains insufficient. That is why the study of the grounds for limiting property rights in the application of temporary seizure of property in criminal proceedings is now of particular urgency. Methodology. Methodological basis of the research is a set of philosophical, general scientific, special scientific methods. The method of logical-semantic analysis is used to clarify the meaning of multi-valued concepts, the application of the method of system analysis allowed investigating the place of the institute of property rights in legal literature and legislation of Ukraine. The method of grouping and the system and structural approach are used for classifying the distribution, ascertaining the internal structure, and analysing the interconnections between elements of the concept of ownership and the category of property rights restriction. Results. The paper examines the factual and formal legal grounds for limiting the ownership of a suspect, accused, and other persons in the application of temporary seizure of property in a criminal proceeding. The conclusion is drawn on the need to clarify the factual grounds for the temporary seizure of property for cases where such a seizure is carried out by a person who has carried out legal detention in the manner prescribed by Articles 207, 208 of the CPC of Ukraine and is not an investigator, prosecutor, or other authorized official. Practical implications. Proposals regarding the resolution of individual legal conflicts in the current CPC of Ukraine are provided.

Key words: right of property, temporary seizure of property, restriction of individual rights, criminal proceedings.

JEL Classification: J00, K00, K11

1. Introduction

In modern conditions, the right of property is not only the basis of property independence of participants in public relations, which is a prerequisite for a market economy. At present, the inviolability of property rights has become, without exaggeration, one of the fundamentals of a modern democratic society and a rule of law. On this issue, one should agree with A.S. Nersesian, who observes: “Only citizens with property can claim to be the stable basis of the functioning of any society, and the illegal deprivation of property on the part of the state means its legal arbitrariness and inherent in the main authoritarian and totalitarian regimes” (Nersesian, 2015).

In these circumstances, mechanisms become important that allow ensuring a balance between private and public interests in criminal proceedings and creating preconditions for the persons who own the property to exercise their powers in relation to their property and, at the same time, to achieve the objectives of the criminal proceedings, which, as N.S. Morhun notes, in many cases, can only be carried out subject to the restriction or even deprivation of property rights during the investigation of criminal offenses (Morhun, 2015).

Therefore, the issue arises as to the grounds for limiting ownership in the application of temporary seizure of property in criminal proceedings.

The issue of measures to ensure criminal proceedings and respect for human and civil rights and freedoms was investigated by a number of domestic scholars such as Yu.P. Alenin, Yu.M. Hroshevyi, V.S. Zelenetskyi, O.P. Kuchynska, L.M. Loboiko, Yu.M. Miroshnychenko, O.R. Mykhailenko, N.S. Morhun, A.S. Nersesian, S.M. Smokov, and others.

However, the degree of investigation of grounds for restricting property rights in the application of temporary seizure of property in criminal proceedings in the context of changes made to the CPC of Ukraine in recent years is still insufficient.

Problem statement.

The main tasks solved by this article are as follows.

1. To investigate the grounds for limiting property rights in the application of temporary seizure of property in a criminal proceeding.

2. To identify promising directions for further research on the issues studied.

2. Definition of the concept of property rights and the concept of inviolability of property rights

Institute of property rights in the objective sense is complex (multidisciplinary), that is, that unites the rules of various branches of law, in particular, constitutional, civil, administrative, criminal. The said institution covers a set of rules that establish the general principles of property belonging to certain persons, and regulate and protect the belonging of material goods to specific individuals (Novoselova, 2001).

According to V.V. Aliamkin, the inviolability of property rights is a fundamental principle of guarantees of the protection of property rights and economic human rights, which is realized through the relevant material and procedural rules of the current legislation of Ukraine at the presumption level. This constitutional rule at the presumption level must be carried out unconditionally and provide both all the branches of law and the activities of state bodies, in particular, the judiciary. Any encroachment on property right is definitely unlawful if it is committed without the knowledge of the state and has no appropriate act of law enforcement (Aliamkin, 2011).

O.V. Dzera argues that the right to property is a statutory right, which establishes the absolute affiliation of property to a person (owner) and defines its rights and obligations with respect to this property (Dzera, 1996).

In the objective sense, the right of private property to citizens is a set of legal rules that establish and protect the citizens’ ownership of property of the consumer and financial and productive purpose and provide owners with the right to own, use, and dispose of this property at their own discretion, to use it with any purpose, unless otherwise provided by law. Legal right of ownership is formed as a combination of the three most important powers – the right of ownership, the right to use, the right to dispose (Dzera, Kuznetsova, Pidopryhora, 2000).

The concept of inviolability of property rights as a basis for criminal proceedings is determined by N.S. Morhun as the original idea of the criminal process of a statutory nature, which consists in directing the content and form of criminal proceedings to protect the person from unlawful interference in its ability to own, use or dispose of its own property within the limits established by law at its own discretion (Morhun, 2015).

3. The content of category of restriction on the right of ownership

Regarding the content of the category of property rights restriction in the legal literature, there is currently no single position.

So, O.P. Kuchynska, T.I. Fulei, R.V. Barannik consider that restriction on the right of ownership is to remove certain powers from its content (Kuchynska, Fulei, Barannik, 2013). Instead, N.S. Morhun supports the position, by which the power to be restrained is not removed from the contents of the property right. The proprietor may exercise a limited subjective right only to the extent possible within the constraints. In the opinion of N.S. Morhun, restriction of property rights is a deterrent that prevents the owner from realizing his own private interest contrary to public interests. This restriction is imposed only on the basis of the law and does not remove the powers from the subjective right of ownership, but only blocks, in whole or in part, the possibility of its implementation (Morhun, 2015). O.V. Rozghon considers the restriction of the right of property as external influence on the subjective right of ownership of a particular person, embodied in the relevant legal relationship with his or her participation, involves compressing, reducing the ability of the owner to exercise his powers and consists in specific orders to the owner to take certain actions or refrain from certain actions (Rozghon, 2005).

Thus, the restriction on the right of ownership does not preclude the exercise of powers of the owner but allows it in the presence of certain conditions that must be observed. Restriction induces the owner to tolerate certain actions of third parties in the field of his legal domination or to refrain from certain actions (Aliamkin, 2011).

In view of the foregoing, for the purposes of this study, under the restriction of property rights in the application of temporary seizure of property in criminal proceedings, we propose to understand objectively existing circumstances of a temporary nature that by depriving a suspect, accused, and other persons of the possibility of exercising certain powers in relation to their property, limit the freedom to carry out actions with their property and consist of specific orders to the owner to take certain actions or refrain from certain actions.

In this case, the general features of the restriction on the right of property in the application of the temporary seizure of property will be as follows:

a) it is some oppression of the fullness of property rights;

b) necessarily formally defined, that is, enshrined in laws and regulations, moreover, solely at the level of law and the Fundamental Law;

c) is established given the public interests, namely, for the purpose of legal protection of rights and legitimate interests of other persons (Soloviov, 2011).

4. Grounds of restriction on the right of ownership in criminal proceedings

In relation to the issue of grounds of restriction on the right of ownership in criminal proceedings, it should be noted that, according to p. 2 of Article 223 of CPC of Ukraine (Holos Ukrainy, 2012), grounds for carrying out an investigative (search) activity are the availability of sufficient information indicating the possibility of reaching its goal.

In a criminal proceeding, grounds for carrying out an investigative (search) activity are conditions, upon which its conduct is possible, and these conditions are divided into factual and formal legal (Sheyfer, 1981). Using such a classification, in addition to theoretical needs, ensures a more faithful understanding and application of the law as related to conducting investigative (search) activity in practice, as well as the implementation of prosecutorial supervision, departmental and judicial control. As both factual and legal grounds for carrying out an investigative (search) activity can be subject to prosecutorial supervision, departmental and judicial control. Both legal and factual grounds can be subject to appeal, act as an independent subject of lawfulness and justification for conducting investigative (search) activity (Rudenko, 2015).

With the application of this approach in the study of the subject of this scientific work, the factual and formal legal grounds for limiting ownership in the application of temporary seizure of property in a criminal proceeding are subject to a priority analysis.

5. Factual grounds of restriction on the right of ownership in the application of temporary seizure of property in criminal proceedings

Factual grounds of restriction on the right of a person in the course of proceedings are a set of data sufficient to make a decision under the law as to the need to restrict certain rights of a person in such actions (Litvinova, 2017). Also quite common in the scientific literature is the definition of factual grounds for procedural action as sufficient data for the assumption that from the sources specified in the law information can be obtained that is the purpose of a certain procedural action (Shepitko, 2005). That is, the reasonableness of a certain procedural action is directly linked to the existence of the appropriate grounds for the conduct of such an action.

Legislation of Ukraine determines three grounds for temporary seizure of property: 1) legal detention of a person; 2) search; 3) examination. In turn, detention is divided into two groups: detention by any person (“ordinary citizen”) and detention by an authorized person (Nersesian, 2015).

So, p. 2 of Article 207 of CPC of Ukraine (Holos Ukrainy, 2012) grants every person the right to conduct legal detention in the following cases: 1) committing or attempting to commit a criminal offense; 2) immediately after the commission of a criminal offense or the continuous prosecution of a person suspected of committing a crime. At the same time, according to p. 3 of Article 207 of the CPC of Ukraine (Holos Ukrainy, 2012), such a citizen has the duty to immediately deliver the detained person to an authorized official, or to immediately inform the authorized official of the detention and location of the person suspected of committing a criminal offense. In this case, the obligation to perform a temporary seizure of property is also assigned to this person.

Moreover, as A.S. Nersesian mentions, such a duty, in fact, gives the citizen the rights of an authorized official without giving him special training or real authoritative powers (Nersesian, 2015).

In the case when the person who carried out the detention notifies an authorized official of the fact of detention and is waiting for the departure of such an official at the place of commission of a criminal offense, this circumstance is not very significant. However, this situation is quite different in the case when a citizen who has stopped a pocket theft, or a street robbery or supermarket security that stopped a theft in the trading room, deliver the suspect to the investigation authorities or the prosecutor’s office on their own. A.S. Nersesian quite rightly notes that in such cases, universal morality dictates to individuals the duty to return the stolen property to the legal owner, and the CPC of Ukraine – to carry out the temporary seizure of property. Obviously, failure to comply with the CPC rules, in this case, can at least be theoretically recognized as an offense, although it will be essential in the understanding of the criminal-procedural law – the issue is open and controversial (Nersesian, 2015).

The fact should also be noted that such a citizen, in accordance with p. 3 of Article 207 of the CPC of Ukraine (Holos Ukrainy, 2012) has a duty to immediately deliver the detained person to an authorized official, or immediately inform the authorized official of the detention and location of the person suspected of committing a criminal offense. In this case, the responsibility for fixing the temporal seizure of property is also assigned to a person, which imposes on him procedurally significant duties, which not only go beyond his competence and training but also can lead to the destruction or damage of traces of a criminal offense.

The issue of temporary seizure of property during a search or examination also deserves a particular attention. The procedural purpose of the search, in accordance with Article 234 of the CPC of Ukraine Holos Ukrainy, 2012), is the detection and recording of information about the circumstances of a criminal offense, the search for a criminal offense or property that was obtained as a result of its commission, as well as the location of wanted persons. The examination, in turn, is carried out with the aim of identifying and fixing information about the circumstances of the commission of a criminal offense.

Instead, the main purpose of the temporary seizure of property is:

– regarding the subject of a criminal offense – its return to the legal owner, and if this item is related to the illicit traffic – confiscation and destruction;

– in respect of funds or other property that was intended (used) to persuade a person to commit a criminal offense, to finance and/or provide material support for a criminal offense or reward for its commission, as well as for property (funds) obtained as a result of a criminal offense and/or revenues from them, as well as property in which they have been completely or partially converted – ensuring the interests of the state in the confiscation of property, as well as the victim (civil plaintiff) in the event of reimbursement of damage caused by a criminal offense.

So, according to A.S. Nersesian, only one group of things or documents included in the temporarily seized property can perform a unique evidentiary function – found, manufactured, adapted or used as a means or tool for committing a criminal offense and (or) retained its traces (Nersesian, 2015).

It is also necessary to agree with the position of N.S. Morhun that the courts in practice often come to the conclusion that only the seized items and documents included in the list, on which the court was directly granted permission to find them, as well as the property arrested according to the rules of Article 98 of the CPC of Ukraine, can be recognized as evidence (Holos Ukrainy, 2012). At the same time, there is no provision in the current CPC for a temporarily seized property without the imposition of arrest by a court in accordance with rules of p. 5 of Article 171 of the CPC of Ukraine to be recognized as material evidence (Morhun, 2015).

Summing up the above, there is now a need to elaborate the factual grounds for the temporary seizure of property for cases where such seizure is carried out by a person who has carried out legal detention in the manner prescribed by Articles 207, 208 of the CPC of Ukraine (Holos Ukrainy, 2012) and is not an investigator, prosecutor, or another authorized official. We believe that for this category of persons, it is expedient to limit the list of things that may be temporarily withdrawn, taking into account the absence of special training of such persons. Then the relevant list should include: 1) things, documents, money, etc. used as means or tools for committing a criminal offense or who have kept its traces; 2) things, documents, money, etc., used to persuade a person to commit a criminal offense or reward for its commission; 3) things, documents, money, etc., which are the subject of a criminal offense, including those connected with their illicit circulation; 4) things, documents, money, etc., obtained as a result of a criminal offense.

6. Formal legal grounds of restriction on the right of ownership in the application of temporary seizure of property in criminal proceedings

In the general case, legal grounds are considered to be the set of conditions provided for in the criminal-procedural law that give an investigator the right to perform a certain investigative action (Kovalenko, 2008). A.P. Chernenko understands legal grounds as the relevant legal provisions foreseeing the circumstances with which these provisions come into force. These circumstances are the factual grounds, in the opinion of the said author (Chernenko, 2004). As legal grounds for the application of relevant enforcement measures, M.A. Pohoretskyi proposes to consider a number of conditions under the criminal procedural law that allow the authorized subject of criminal process to make a decision on their application (Pohoretskyi, 2007).

Regarding this issue, the opinion of O.M. Kalachova deserves attention; when classifying grounds of measures to ensure criminal proceedings, she uses terms “factual” and “formal” since factual grounds are always based on factual data, and formal – on a normal procedural form of giving a procedural status to a person as provided for in the legislation (Kalachova, 2008).

Under the legal ground of deprivation or restriction on the right of ownership in criminal proceedings, N.S. Morhun proposes to understand as a procedural document that gives an investigator, a prosecutor the right to perform a procedural action, during or after the results of which expropriation or restriction on the right of ownership is possible. For the most of procedural actions, which conduct is related to the expropriation or restriction on the right of ownership, according to N.S. Morhun, the decision of the investigating judge is such a legal ground (Morhun, 2015).

Given the above, for the purpose of this research, we propose to use the concept “formal legal grounds of restriction on the right of ownership in the application of temporary seizure of property in criminal proceedings” that we propose to understand as the relevant legal provisions foreseeing the circumstances with which these restrictions on the right of ownership in the application of temporary seizure of property in criminal proceedings come into force.

General conditions for conducting procedural actions and taking decisions aimed at deprivation or restriction on the right of ownership are:

a) the possibility of making a decision only by a court;

b) reasoning of this decision;

c) the adoption of a decision in accordance with the procedure provided for by the CPC of Ukraine.

The requirement for the adoption of a decision only by a court is that resolving the issue of restricting or depriving property right at the stage of pre-trial investigation can be carried out only by an investigating judge or a judge determined in accordance with Article 247 of the CPC of Ukraine (Holos Ukrainy, 2012).

The requirement to make a procedural act motivated obliges the court, justifying a court decision, to indicate the arguments that it used (took into account) for making the final conclusion. The statutory obligation to comply with the order of decision requires a court to decide on a case-by-case basis in strict conformity with the CPC rules governing the particular case of restriction or deprivation of property rights (Bandurka, Blazhivskyi, Burdol (etc.), 2012).

It should be noted that not all restrictions on property rights require a court decision in criminal proceedings. The given case is provided in accordance with p. 2 of Article 16 of the CPC of Ukraine (Holos Ukrainy, 2012), according to which the temporary seizure of property without a court decision is allowed. However, this restriction is possible only on the grounds and in the manner prescribed by the CPC of Ukraine.

Investigating the issue of formal legal grounds for restricting property rights in the application of temporary seizure of property in criminal proceedings should, first of all, be based on the fact that the general grounds for the temporary seizure of property are enshrined in Article 167 of the CPC of Ukraine (Holos Ukrainy, 2012).

According to the said article, temporary seizure of property is the actual deprivation of a suspect or persons owned by the property specified in paragraph 2 of this article, of the ability to own, use, and dispose of certain property before the decision on the issue of the seizure of property or its return. Temporarily seized may be property in the form of things, documents, money, etc., for which there are good reasons to believe that they are:

1) found, manufactured, adapted or used as a means or tool for committing a criminal offense and (or) retained its traces;

2) intended (used) to persuade a person to commit a criminal offense, to finance and/or provide financial support for a criminal offense or reward for its commission;

3) the subject of a criminal offense, including those associated with their illicit traffic;

4) obtained as a result of a criminal offense and/or revenues from them, as well as property in which they have been completely or partially converted.

This issue deserves a particular attention due to the fact that some scholars do not consider temporarily seized things, for which the investigating judge gave permission during the search (Myroshnychenko, 2013). Things and documents seized on the basis of the decision of the investigating judge, made on the basis of results of consideration of the petition of the investigator in accordance with Chapter 15 of the CPC of Ukraine are also not considered as such (Holos Ukrainy, 2012). Thus, the amendment to Part 2 of Article 168 of the CPC of Ukraine (Holos Ukrainy, 2012), paragraph 2 and 3, created a legal conflict, which consists in the fact that when a court decision specifies certain property to be seized (in this case, electronic information systems or their parts, mobile terminals of communication systems), then such property cannot be considered temporarily seized. In order to solve this collision, A.E. Rudenko proposes to amend paragraph 2 of Part 2 of Article 168 of the CPC of Ukraine (Holos Ukrainy, 2012) as to provide that the temporary seizure of electronic information systems or their parts, mobile terminals of communication systems for the study of physical properties that are important for criminal proceedings is forbidden It is proposed to seize such items only if they are included in the list, for which the explicit permission to search in the decision on the search permit is given (Rudenko, 2015).

Summarizing the above, formal legal grounds for the restriction on the right of ownership in the application of temporary seizure of property in criminal proceedings are the requirements of Article 167 of the CPC of Ukraine (Holos Ukrainy, 2012). In the case of the temporary seizure of electronic information systems or their parts, mobile terminals of communication systems for the study of physical properties that are important for criminal proceedings, such a reason is a court order, in which they are expressly indicated.

7. Conclusions

According to the results of the investigation of the factual and formal legal grounds for the restriction on the right of ownership in the application of temporary seizure of property in criminal proceedings, we can draw the following conclusions.

1. There is a need to clarify the factual grounds for the temporary seizure of property for cases where such seizure is carried out by a person who has carried out legal detention in the manner prescribed by Articles 207, 208 of the CPC of Ukraine (Holos Ukrainy, 2012) and is not an investigator, prosecutor, or other authorized official. For this category of persons, it is expedient to limit the list of things that may be temporarily seized, taking into account the absence of special training of such persons.

2. There is a need to resolve the legal conflict created after the addition of Part 2 of Article 168 of the CPC of Ukraine (Holos Ukrainy, 2012) by paragraphs 2 and 3.

Taking into account the above, we consider the scientific search for solutions to the above-mentioned range of problems as one of the promising directions for further study of issues of restriction on the right of ownership of a suspect, accused, and other persons in criminal proceedings.

References:

Nersesian A. S. (2015) Zabezpechennia mainovykh prav hromadian i yurydychnykh osib pry zastosuvanni tymchasovoho vyluchennia maina u kryminalnomu provadzhenni [Provision of property rights of citizens and legal entities in the application of temporary seizure of property in criminal proceedings]. Sudova apeliatsiia, no. 2, pp. 50-56.

Morhun N. S. (2015) Zasada nedotorkanosti prava vlasnosti u dosudovomu kryminalnomu provadzhenni [The principle of inviolability of property rights in pre-trial criminal proceedings] (PhD Thesis), Kyiv.

Novoselova L. A. (2001) Opredelenye obektov prava sobstvennosty [Definition of objects of ownership]. Hrazhdanyn y pravo, no. 2, pp. 21-27.

Aliamkin V. V. (2011) Dekilka mirkuvan shchodo zabezpechennia prava pryvatnoi vlasnosti [Several considerations regarding the provision of private property rights]. Pravo ta upravlinnia, no. 1, pp. 12-16.

Dzera O. V. (1996) Rozvytok prava vlasnosti hromadian v Ukraini [Development of property rights of citizens in Ukraine]. Kyiv: Venturi. (in Ukrainian)

Dzera O. V., Kuznetsova N. S., Pidopryhora O. A. (2000) Pravo vlasnosti v Ukraini [The right of property in Ukraine]. Kyiv: Yurinkom Inter. (in Ukrainian)

Kuchynska O. P., Fulei T. I., Barannik R. V. (2013) Pryntsypy kryminalnoho provadzhennia u svitli praktyky Yevropeiskoho sudu z prav liudyny [Principles of criminal proceedings in the light of the practice of the European Court of Human Rights]. Nizhyn: TOV “Vyd-vo “Aspekt-Polihraf”. (in Ukrainian)

Soloviov O. M. (2011) Obmezhennia prava vlasnosti: deiaki aspekty problem [Restriction on the right of ownership: some aspects of the problem]. Proceedings of the Aktualni problemy tsyvilnoho prava: materialy kruhloho stolu, prysviacheni pamiati profesora Chynhizkhana Nufatovycha Azimova (Ukraine, Kharkiv, December 23, 2010), Kharkiv: Pravo, pp. 107-109.

Holos Ukrainy (2012) Kryminalnyi protsesualnyi kodeks Ukrainy: Zakon Ukrainy vid 13 kvitnia 2012 r. [Criminal Procedural Code of Ukraine: Law of Ukraine on 13 April 2012]. Holos Ukrainy, no 90-91.

Sheyfer S. A. (1981) Sledstvennye deystviya. Sistema i protsessualnaya forma [Investigative actions. System and procedural form]. Moscow: Yurid. lit. (in Russian)

Rudenko A. E. (2015) Zakhody zabezpechennia kryminalnoho provadzhennia, shcho obmezhuiut mainovi prava pidozriuvanoho, obvynuvachenoho ta inshykh osib [Measures to ensure criminal proceedings restricting the property rights of the suspect, the accused, and other persons] (PhD Thesis), Kyiv.

Litvinova I. (2017) Pidstavy obmezhennia prava osoby na nedotorkannist zhytla u khodi obshuku [Grounds for restricting the right of a person to the inviolability of housing during the search]. Pidpryiemnytstvo, hospodarstvo i pravo, no. 10, pp. 212-216.

Shepitko V. Yu. (2005) Kriminalistika [Criminalistics]. Kharkov: Odissey. (in Russian)

Rozghon O. V. (2005) Mezhi ta obmezhennia prava vlasnosti [Limits and restrictions on the right of property] (PhD Thesis), Kharkiv.

Kovalenko Ye. H. (2008) Kryminalnyi protses Ukrainy [The criminal process of Ukraine]. Kyiv : Yurinkom Inter. (in Ukrainian)

Chernenko A. P. (2004) Kryminalno-protsesualna rehlamentatsiia slidchykh dii [Criminal-procedural regulation of investigative actions] (PhD Thesis), Kharkiv.

Pohoretskyi M. A. (2007) Funktsionalne pryznachennia operatyvno-rozshukovoi diialnosti u kryminalnomu protsesi [The functional purpose of operative-search activity in the criminal process]. Kharkiv: Arsis LTD. (in Ukrainian)

Kalachova O. M. (2008) Vyznachennia slidchym protsesualnoho statusu osib, shcho berut uchast u dosudovomu provadzhenni [Definition by the investigator of the procedural status of persons participating in pre-trial proceedings] (PhD Thesis), Luhansk.

Bandurka O. M., Blazhivskyi Ye. M., Burdol Ye. P. (etc.) (2012) Kryminalnyi protsesualnyi kodeks Ukrainy. Naukovo-praktychnyi komentar [Criminal Procedural Code of Ukraine. Scientific and practical commentary]. Kharkiv: Pravo. (in Ukrainian)

Myroshnychenko Yu. M. (2013) Problemni pytannia tymchasovoho vyluchennia y areshtu maina za novym kryminalno-protsesualnym zakonom [Problematic issues of temporary seizure and arrest of property under the new Criminal Procedure Law]. Porivnialno-analitychne pravo, no. 3, pp. 310-312.

Lipkan V. A.
Legal regime of tax secret in Ukraine : [monograph] / V. А. Lipkan, Y. F. Zbinskiy / Edited by Dr. V. A. Lipkan. — К. : V. A. Lipkan, 2018. — 372 p.
ISBN 978-966-97758-0-1
The monograph is devoted to theoretical, methodological and legal problems of the legal regime of tax secret in Ukraine. The paper defines the term «tax secret», «secret tax legal regime», «the effectiveness of the legal regime of tax secrecy». The condition of the national normative legal acts that regulate the development of the information society and the international information legislation is analyzed. The basic features of tax secrecy and legal regime of tax secrecy. The characteristic elements such legal regime for tax secrecy in Ukraine as the purpose, principles, subjects of the legal regime of tax information, liability for the breach, and especially the institutional mechanism for ensuring a functional legal regime for tax secrecy in Ukraine.
In order to further improve the legal regime for tax secrecy in Ukraine were asked to make appropriate amendments to the national tort laws, and to develop and approve the Regulations on the procedure of preparation, accounting, storage and destruction of documents, cases, publications and materials containing tax secret in tax authorities of Ukraine.
The monograph is a logical continuation of the series «ORDO ORDINANS» of Dr. V. Lipkan scientific school and will be useful for graduate students, researchers, practitioners and for everyone who interested in the systematization of information legislation

The thesis work is devoted to the nature and procedure of resolving service disputes. Deals with the nature of a public official relations, defined their place in the subject of administrative law.
The concept of service dispute reveals its essence, the classification of such disputes, official entities described dispute by its subject and grounds. Separately disclosed resolving service disputes without going to court (extrajudicial procedure), also described the process of solving disputes in official administrative proceedings. Manufactured concrete proposals and recommendations for improving the resolution of disputes in official administrative law.
The monograph is a logical continuation of the series „ORDO ORDINANS” of Dr. V. Lipkan scientific school and will be useful for graduate students, researchers, practitioners and for everyone who interested in the resolving service disputes.

Candidate of Science of Law, Associate Professor

Formulation of the problem. The activity of court during the civil proceedings is committed in distinct order provided under the rules of Civil Procedure Code of Ukraine (hereinafter ‒ the CPC of Ukraine) [1]. Under Article 3 of the CPC of Ukraine everyone is entitled to apply to the court for the protection of their violated, unrecognized or disputed rights, freedoms and legitimate interests. In other words, an individual addressing to court wishes to obtain from it the decision that corresponds with his interests. Longing for such a result a person does not realize sometimes that on this path there can be different obstacles of legal nature or daily life events that perplex or make the realization of plans set out impossible. The mentioned circumstances exist at different stages of civil procedure, particularly at the stage of opening of the proceedings in a civil case in the form of refusal of the proceedings.

The recent publications and research analysis. General issues related to the research of content and order of commission of separate procedural actions at the stage of opening of the proceedings in a case at the different stages of legal science development were examined by such scientists as M.I. Baliuk, V.I. Bobryk, V.V. Komarov, D.D. Luspenyk, S.V. Senyk, V.I. Tertyshnikov, M.I. Shtefan and others. However, the legal facts and procedural actions that determine enacting the court decree on refusal of opening of the proceedings in a case were not subject to profound analysis exactly from the point of their place and importance to the area of civil procedural relations.

The objective of the article is to ascertain the place and importance of the procedural legal facts that determine enacting of court decree on refusal of opening of the proceedings in a case and to outline the legal consequences of such a procedural action as refusal of opening of the proceedings in a case.

Presenting of main material. Filing a statement of claim, a statement or an application on issuing a court order in court is a driving force of the civil procedure. On receipt of the mentioned documents court commences a complicated and longstanding legal procedure referred to consideration and finding of issues set out therein. The first stage of civil procedure is the stage of opening of the proceedings in a case. At this stage court commits the complex of procedural actions that are set forth in respective procedural legal facts particularly in decrees enacted by court on leaving the statement of claim without movement, return of the statement, refusal of opening of the proceedings, opening of the proceedings.

Reasons and order of enacting of mentioned decrees are prescribed by the rules of Chapter 2 of section III of the CPC of Ukraine. Under the clause 1of Article 122 of the CPC of Ukraine the judge shall open proceedings in a civil case only on the ground of statement submitted and executed in the manner prescribed by articles 118 –120 of the CPC of Ukraine. At the stage of opening of the proceedings the judge, committing mentally procedural activity, is to determine the existence of reasons for leaving the statement of claim without movement or reasons for return of statement to the claimant.

If there are no circumstances that prevent the case from being considered later the judge’s next step in mentioned activity is to ascertain the possible reasons for refusal of opening of the proceedings in a case.

First of all, the refusal of opening of the proceedings in a case on the grounds of unprovedness of requirement claimed, absence of evidence to substantiate the claim, omission of limitation period or on other grounds not prescribed by law is not permitted.

Under clause 8 of Ruling of the Supreme Court of Ukraine Plenum № 2 on 12.06.2009 “On the application of the rules of civil procedural legislation during the cases consideration in court of the first instance” [2] bringing a claim to the improper defendant is not the reason for refusal of opening of the proceedings because the replacement of the improper defendant occurs in order set out in Article 33 of the CPC of Ukraine. If the rule of substantive law that is to be applied at the claimant’s request indicates that the other person and not the one to whom the action is brought shall be liable, upon the absence of the claimant’s consent court shall involve in the case other person to join on its own initiative. After replacing the improper defendant or involving in the case other person to join upon the request of a new defendant or defendants involved or if the case was suspended it shall be reviewed from the beginning.

Court also shall refuse of the proceedings in a case if several requirements that are to be reviewed by the rules of different kinds of legal proceedings are claimed, because under Article 16 of the CPC of Ukraine merging of requirements to be reviewed by the rules of different kinds of legal proceedings into one proceeding is not allowed, unless otherwise provided by law.

Apart from listed, under clause 2 of Article 122 of the CPC of Ukraine the judge shall refuse of the proceedings in a case if

1)  the statement is not subject to review in the courts in the procedure of civil process. The mentioned clause fixes theoretical provision on competence of courts on civil cases, the content thereof implies that statement of claim or statement filed in court are subject to review, if a person addressing with the requirement on judicial defense has an adequate level of civil procedural capacity. In addition a person addressing to court shall have legal interest in this case.

The legislation stipulates the circumstances under which the subject of dispute is to be resolved in the procedure of civil process, but due to existence of temporary barriers filing a claim in court could be impossible. For example, the legal action for marriage dissolution may not be taken during the wife’s pregnancy and within one year after the child has been born, save cases when one of spouses has committed unlawful conduct containing elements of crime in respect of the other spouse or the child (clause 2 of Article 110 of Family Code of Ukraine (hereinafter – the FC of Ukraine). [3]

As V.I. Bobryk states, court is entitled to refuse of opening of the proceedings in a case if the requirement claimed does not belong to “indifferent to law” [4, p. 284] Among those “indifferent to law” one can name for example the claim for cards debt collection, debt on the results of illegal gambling etc.

Under clause 1 of Article 15 of the CPC of Ukraine the courts view on civil process cases concerning the protection of affected, unrecognized or disputed rights, freedoms or interests arising from civil, housing, land, family, labor relations and other legal relations, except when reviewing of such cases is performed under the rules of other legal proceedings. Upon the rules of other legal proceedings the competence of administrative or commercial courts on resolving specific dispute is meant.

The aforesaid legal situation determines the existence of chronic problem of distinction of competence between general and administrative courts on resolving the particular disputes. As the Head of the Supreme Court of Ukraine Y.M. Romaniuk stresses: “administrative courts in disputes concerning real estate, housing, land disputes, if in the process of solving of these issues the subject of the authoritative power has made a decision, continue to assign them to their jurisdiction regardless of whether the respective decision of the subject of authoritative power has been realized by citizen. Supporters of this position don’t take into consideration the fact that an attempt to appeal the realized decision of the subject of authoritative power is the dispute on the private right, because in the result of realization of decision the property right arises and the legal relations pass from the public law into the private law area”. [5]

Thus in the case the dispute belongs to the area both of civil and administrative legal relations the judges of general courts use provided possibility with the aim of enacting of decree on refusal of opening of the proceedings in a case in order to free themselves from “extra” job while shifting the problem on deciding of the competence for existing dispute directly to the claimant.

2) there exists a decision or court decree on closing the proceedings in connection with claimant’s denial from the claim or signing a settlement agreement by the parties on the dispute between the same parties on the same subject and for the same reason that has come into legal force. The mentioned clause stipulates the necessity of existence of three separate procedural legal facts in the form of decisions or decrees that has come into legal force. It is particularly: a) court decision; b) court decree on closing the proceedings in connection with claimant’s denial from the claim c) court decree on signing a settlement agreement by the parties on the dispute between the same parties on the same subject and for the same reason.

Not diving into theoretical provisions on determining of the content of each of these kinds of procedural documents we have to note that at the moment of opening of the proceedings in a case the judge does not have the practical ability to ascertain whether there exist decisions and decrees previously approved on the dispute between the same parties on the same subject and for the same reason. Nowadays the issue on possibility of total opening of judges’ access to the Unified State Register of court decisions, in which full data about the parties to the process will be reflected, is almost settled. Solving of this issue should to some extent contribute to the transformation of the provision prescribed by sub-clause 2 of clause 2 of Article 122 of the CPC of Ukraine from the “dead” state at the point of practical realization into viable one, because at the stage of opening of the proceedings the judge will be able to obtain information about the existence of decisions and decrees listed above. However the issue on the order of legalization of information obtained by the judge from the Unified State Register of court decisions with the aim of justification the refusal of opening of the proceedings still remains unsolved.

Otherwise the judge will obtain information about existence of mentioned court decisions and decrees that has come into legal force only during the preliminary or the first court session in the case that will result in enacting of the decree on closing the proceedings under sub-clause 2 of clause 1 of Article 205 of the CPC of Ukraine.

3)                    in proceedings of this or another court there is the case on the dispute between the same parties on the same subject and for the same reason.

Under article 110 of the CPC of Ukraine the claimant is entitled to file the claim in several courts upon territoriality on his own choice (alternative jurisdiction). For example, the claims on consumer protection may be filed in local courts apart from the defendant’s place of residence, at the place of residence of the consumer or the place of inflicting harm or implementation of the contract. Let model the situation under which the claimant files the same claim in court at the place of residence of claimant as well as in court at the place of residence of defendant at the same time. When deciding the issue on opening of the proceedings the judge will not be able to ascertain whether the same civil case is decided in other court. Less possible but real is the situation when the claimant after the opening of the proceedings and before the beginning of the case considering in essence files the same claim in the same court hoping that other judge will approve the decision upholding the claim. Therefore ascertaining the existence of the other case in proceedings of this or another court on the dispute between the same parties on the same subject and for the same reason at the stage of opening of the proceedings is almost unreal. Revealing this fact is possible only during the preliminary or the first court session in this case that will allow the judge to enact the decree on leaving the statement without consideration if the dispute between the same parties on the same subject and for the same reason is decided in another court (sub-clause 4 of clause 1 of article 207 of the CPC of Ukraine).

When analyzing the provision of sub-clause 3 of clause 2 of Article 122 of the CPC of Ukraine we conclude that it is said therein about the reason for refusal of opening of the proceedings if in proceedings of this or another court there is the case on dispute between the same parties on the same subject and for the same reason. In its turn sub-clause 4 of clause 1 of Article 207 of the CPC of Ukraine stipulates that court shall leave the statement without consideration if a dispute between the same parties on the same subject and for the same reason is considered in another court. Comparison of these two sub-clauses allows to ascertain a contradiction between them that is as follows: court shall refuse in opening of the proceedings if in proceedings of this or another court there is the case on the dispute between the same parties on the same subject and for the same reason (article 122 of the CPC of Ukraine), and leaving the statement without consideration occurs if a dispute between the same parties is considered in another court (article 207 of the CPC of Ukraine). Then the question arises whether court is entitled to leave the statement without consideration if a dispute between the same parties is considered not in another but only in this court? The answer to this question is ambiguous because Article 207 of the CPC of Ukraine does not permit directly to leave the statement without consideration if a dispute between the same parties on the same subject and for the same reason is considered in this court.

4)   there is a decision of the arbitration court, taken within its competence, on the dispute between the same parties on the same subject and for the same reason, except when the court refused to issue an enforcement order on compulsory execution of the decision of the arbitration court or rescinded the decision of the arbitration court and the consideration of the case at the same arbitration court appeared to be impossible. Under article 17 of the CPC of Ukraine the parties are entitled to refer the dispute to the arbitration court, except as prescribed by law. Under Article 5 of the Law of Ukraine “On arbitration courts” [6] legal entities and (or) individuals are entitled to refer to the arbitration court consideration any dispute arising from civil or commercial legal relations except as prescribed by law.

The parties that have referred the dispute to arbitration court determination are obliged to enforce voluntarily the arbitration court decision unconditionally and without any delay. The parties and the arbitration court take all necessary measures to secure the enforcement of the arbitration court decision (article 50 of the Law of Ukraine “On the arbitration courts”). The decision of the arbitration courts is ultimate and without appeal, except as prescribed by law (article 51 of the Law of Ukraine “On the arbitration courts”).

Thus, the provision of clause 2 of Article 122 of the CPC of Ukraine is similar to the provision of sub-clause 3 of clause 2 of article 122 of the CPC of Ukraine in part of its practical application. The court is able to ascertain the existence of the decision of the arbitration court, taken within its competence, on the dispute between the same parties on the same subject and for the same reason only during the preliminary or the first court session, after obtaining the mentioned information when communicating directly with the parties to the case. If this circumstance exists court will have all the reasons for enacting the decree on closing the proceedings in a case under sub-clause 5 of clause 1 of article 205 of the CPC of Ukraine.

5) after the death of an individual, as well as in connection with the suspension of the legal entity, who is one of the parties to the case, the disputed legal relationships are not liable to legal succession. The disputed legal relationships mentioned in this sub-clause belong to the substantive law area and concern such subjects of civil legal relationships as individuals and legal entities. So, in substantive law there can be general (universal) succession of subjective civil rights as inheritance or the winding-up of legal entity (article 1218; clause 2 of Article 107 of Civil Code of Ukraine) [7].

Under article 1219 of Civil Code of Ukraine the rights and obligations inseparably connected with the testator shall not be included in the inheritance, particularly: personal non-property rights; the right to participation in partnerships and the right to membership in associations of citizens, unless otherwise established by law or the constituent documents thereof; the right to compensation of damages resulting from mutilation or other health disturbance; rights to alimony, pension, aids or other payments established by law; creditor’s or debtor’s rights and obligations envisaged by Article 608 of Civil Code of Ukraine. Some family legal relationships also are not liable to legal succession, particularly succession does not occur during court consideration of the case on parental affiliation (article 129 of the FC of Ukraine) or on deprivation of parental rights (Article 164 of the FC of Ukraine).

When considering legal entity, succession does not occur in the case of its liquidation that is total cessation of activity. Under Article 110 of Civil Code of Ukraine the legal entity shall be liquidated:

1) by the decision of its members or the legal entity’s body empowered therewith by the constituent documents including in connection with expiring the term and the achievement of the goal, for which this legal entity has been created, as well as in other cases provided by the constituent documents.

2) by the decision of the court on the liquidation of the legal entity due to violations committed during its establishment that cannot be rectified upon the lawsuit of its member or the respective agency of State power.

3) by the decision of the court on the liquidation of the legal entity in other cases provided by law upon the lawsuit of the respective agency of State power.

Besides, the liquidation of the legal entity could be a result of its bankruptcy that is recognition by commercial court debtor’s failure to restore its solvency with the aid of financial rehabilitation and settlement agreement procedures and satisfy creditors’ pecuniary requirements, provided in order prescribed by the Law of Ukraine “On debtor’s solvency restoration or recognition of its bankruptcy” on 14.05.1992 [8] not otherwise the application of liquidation procedure therewith.

As under previous sub-clauses 2-4 of clause 2 of Article 122 of the CPC of Ukraine ascertaining the fact that the disputed legal relationships are not liable to legal succession becomes possible generally not at the stage of opening of the proceedings in a case but during the preliminary or the first court session in the civil case.

Thus, taking into consideration mentioned above we can conclude that among all the analyzed reasons for refusal of opening of the proceedings in a case only the one prescribed by sub-clause 1 of clause 2 of Article 122 of the CPC of Ukraine can be possibly realized completely. The rest provisions set out in sub-clauses 2 –5 of clause 2 of Article 122 of the CPC of Ukraine limit their efficiency within the pages of the CPC of Ukraine and fail to have proper practical application.

The judge shall solve the issue on refusal of the proceedings not later than in three days after receiving the statement to the court or the expiration of the deadline set for eliminating defects and not later the next day after obtaining the information about individual’s place of residence from the respective individual place of residence registration authority.

The judge shall enact a decree on refusal of the proceedings that shall be immediately sent to the claimant along with the statement and all the papers enclosed thereto.

The main procedural consequence of enacting of the decree on refusal of the proceedings is that individual will have in future legal barriers on re-appealing to court with the same claim.

Conclusions. The detailed analysis of the reasons for refusal of the proceedings in the civil case allows testifying their poor procedural effectiveness. We can declare with certainty that only the reason set out in sub-clause 1 of clause 2 of Article 122 of the CPC of Ukraine could be procedurally realized completely. In their turn the reasons set out in sub-clauses 2 –5 of clause 2 of Article 122 of the CPC of Ukraine limit their efficiency within the pages of Civil Procedure Code of Ukraine and fail to have proper practical application at the stage of opening of the proceedings in a case. Besides the provision of sub-clauses 2–5 of clause 2 of Article 122 of the CPC of Ukraine are duplicated respectively by the ones of sub-clauses 2 –5 of clause 1 of Article 205 of the CPC of Ukraine as well as the one of sub-clause 4 of clause 1 of Article 207 of the CPC of Ukraine.

References:

1. Tsyvil’nyy protsesual’nyy kodeks Ukrayiny vid 18.03.2004 r. [Civil Procedure Code of Ukraine, 18 mar. 2004]. Avaliable at: http://zakon5.rada.gov.ua/laws/show/1618-15 (accessed 12.12.2015). (In Ukrainian).

2. Pro zastosuvannya norm tsyvil’noho protsesual’noho zakonodavstva pry roz·hlyadi sprav u sudi pershoyi instantsiyi. Postanova plenumu Verkhovnoho Sudu Ukrayiny # 2 vid 12.06.2009 r. [On the application of the law of civil procedure in cases at first instance. Resolution of the Plenum of the Supreme Court of Ukraine of 12.06.2009 № 2]. Avaliable at: http://zakon5.rada.gov.ua/laws/show/v0002700-09 (accessed 12.12.2015). (In Ukrainian).

3. Simeynyy kodeks Ukrayiny vid 10.01.2002 r. [Family Code of Ukraine, 10 jan. 2002]. ‒ Avaliable at: http://zakon4.rada.gov.ua/laws/show/2947-14 (accessed 12.12.2015). (In Ukrainian).

4. S.S. Bychkova, Yu.V. Bilousov, V.I. Biryukov (2008) Tsyvil’nyy protsesual’nyy kodeks Ukrayiny: Naukovo-praktychnyy komentar. [Civil Procedure Code of Ukraine: Scientific and practical comment.]. Kyiv. Atyka. 2008. 840 p. (In Ukrainian).

5. Holova VSU Yaroslav Romanyuk: «Reformuvannya provodyat’ posadovi osoby, yaki mayut’ dosyt’ poverkhove uyavlennya pro nashi problemy i potreby» [Supreme Court Chairman Yaroslav Romanyuk, "Reforming hold officials who have very superficial understanding of our problems and needs"]. Zakon i biznes [Law and Business]. 2014. № 24. (In Ukrainian).

6. Pro treteys’ki sudy. Zakon Ukrayiny vid 11.05.2004 r. [On arbitration courts. Law of Ukraine on 11.05.2004]. Avaliable at: http://zakon3.rada.gov.ua/laws/show/1701-15 (accessed 12.12.2015). (In Ukrainian).

7. Tsyvil’nyy kodeks Ukrayiny vid 16.01.2003 r. [The Civil Code of Ukraine, 16 jan. 2003]. Avaliable at: http://zakon5.rada.gov.ua/laws/show/435-15 (accessed 12.12.2015). (In Ukrainian)

8. Pro vidnovlennya platospromozhnosti borzhnyka abo vyznannya yoho bankrutom. Zakon Ukrayiny vid 14.05.1992 r. [On debtor’s solvency restoration or recognition of its bankruptcy. Law of Ukraine on 14.05.1992]: ‒ Avaliable at: http://zakon4.rada.gov.ua/laws/show/2343-12 (accessed 12.12.2015). (In Ukrainian).

Key words: opening of the proceeding, refusal of opening of the proceeding, court decree, civil case, statement of claim.

Kandidat der Rechtswissenschaften, Dozent,

Der Leiter des Instituts für Zivilarbeit

Globale Organisation Alliierten Führung

Prozessuale Rechtstatsachen spielen eine grundlegende Rolle bei der Regulierung zivilrechtlicher prozessualer Beziehungen, indem sie mit ihrem jeweiligen Inhalt das Modell des Rechtsverhaltens gestalten und die Entwicklung der genannten Rechtsverhältnisse bedingen. Prozessuale Rechtstatsachen sind die treibende Kraft bei der Realisierung und Einführung juristischer Vorschriften von Rechtsnormen in einer konkreten Rechtslage.

Unter prozessualen Rechtstatsachen sind bestimmte Lebensumstände zu verstehen, durch welche die Rechtsnormen mit dem Entstehen, der Änderung oder der Auflösung zivilrechtlicher prozessualer Rechtsbeziehungen im Zusammenhang stehen.

Prozessuale Rechtstatsachen können anhand solcher Hauptparameter wie: Begriff, Rechtsnatur, Merkmale, Funktionen, System, Arten, Klassifikation, Elemente und Dynamik untersucht werden.

Die Analyse der wissenschaftlichen juristischen Literatur zeugt vom fragmentarischen Charakter der Erforschung der prozessualen Rechtstatsachen, die für zivilrechtliche prozessuale Rechtsbeziehungen charakteristisch sind. Am aufschlussreichsten ist V.V. Yarkov dieser Frage in seinen wissenschaftlichen Werken nachgegangen. Der Gelehrte schlägt vor, die folgenden Merkmale prozessualer Rechtstatsachen hervorzuheben, die insgesamt diese Rechtskategorie allgemein charakterisieren: das sind die realen Lebensumstände, die in den Rechtsnormen verankert sind; sie sind authentisch oder können fehlerhaft sein oder sogar einen Justizirrtum darstellen; sie verursachen konkrete Rechtsfolgen unter Berücksichtigung des dispositiven Charakters der Verfahrensrechte; die Erkenntnis und Festlegung erfolgen in der entsprechenden Rechtsform [1, S. 43-44].

O.D. Kutadeladze grenzt die Merkmale prozessualer Rechtstatsachen als eine zivilrechtliche Kategorie ab und weist darauf hin, dass Rechtstatsachen konkrete, individuelle Sachverhalte seien, die in Raum und Zeit existieren und auch objektiv das Bestehen oder das Nichtvorhandensein von Erscheinungen der materiellen Welt charakterisieren. Außerdem seien sie direkt oder indirekt in den Rechtsnormen vorgesehen, die in verfahrensverbindlicher Form in der Gesetzgebung der Ukraine verankert sind. Die gesetzlich vorgesehenen Rechtsfolgen sind von informativem Charakter [2, S. 60].

Die Analyse der Zivilprozessordnung der Ukraine (weiterhin „ZPO der Ukraine“ genannt) [3] und der juristischen Literatur ermöglicht es, folgende Merkmale der prozessualen Rechtstatsachen hervorzuheben, die für zivilrechtliche Rechtsbeziehungen charakteristisch sind.

1). Konkrete Lebensbedingungen. Objektive Alltagsprozesse sind der Generator für vielfältige soziale Fakten, die durch das Verhalten der Menschen und auch durch von ihnen unabhängige Naturerscheinungen verursacht werden. Überwiegend solche Prozesse von objektiver Realität erlangen juristische Merkmale im Hinblick auf ihre Bewertung seitens des Gesetzgebers und ihrer jeweiligen Verankerung in den Rechtsnormen. Eben die juristische Bewertung der genannten Prozesse transformiert sie aus dem sozialen Bereich in die juristische Sphäre, wodurch den realen Lebensumständen der Status juristischer Tatsachen verliehen wird.

Juristische Tatsachen in Form strittiger Rechtsverhältnisse, bei denen eine der Parteien eine natürliche Person ist, ermöglicht es den Zivilrechtssubjekten (natürlichen und juristischen Personen, dem Staat Ukraine, der Autonomen Republik Krim, territorialen Gemeinden, ausländischen Staaten und anderen Subjekten des öffentlichen Rechts) den Rechtsweg mit dem Ziel einzuschlagen, eigene verletzte, nicht anerkannte oder angefochtene Rechte, Freiheiten bzw. Interessen zu verteidigen. Die Inanspruchnahme des Gerichts und die damit verbundenen Gerichtsprozesse führen zur Entwicklung prozessualer Rechtstatsachen, die das Entstehung, Änderung oder Auflösung zivilrechtlicher prozessualer Rechtsbeziehungen, insbesondere der Rechtsbeziehungen in Zivilklageverfahren verursacht.

2). Gesetzliche Verankerung). Im Alltagsleben vorkommende Handlungen bzw. Ereignisse erhalten eine juristische „Nuance“ und führen zum Eintreten von Rechtsfolgen, wenn sie in den Normen des Verfahrensrechtes vorgesehen sind. Die Wechselwirkung der genannten sozial-juristischen Elemente kann durch juristisch logische Gesetzmäßigkeit nachverfolgt werden, und zwar: der Eintritt von Rechtsfolgen ist unter der Voraussetzung möglich, dass die Rechtstatsache in einer Rechtsnorm vorgesehen ist. So ist zum Beispiel die vorherige Absprache zwischen dem Kläger und dem Beklagten über die Beilegung eines Streits durch eine gütliche Einigung als eine Rechtstatsache anzusehen, die gesetzlich im Artikel 175 ZPO der Ukraine vorgesehen ist. Rechtsfolgen würde diese Absprache nur dann haben, wenn beide Parteien des Zivilverfahrens einen gemeinsamen Güteantrag vor Gericht stellen würden.

3). Konsequenz (consequatur (Lat.) ‒ Folgen). Die Konsequenz prozessualer Rechtstatsachen liegt darin, dass die Handlungen der Subjekte des Zivilverfahrens oder von ihrem Willen unabhängige Ereignisse als Rechtstatsachen im Hinblick auf ihre Verankerung in den Rechtsnormen anerkannt werden, die zum Eintreten der Rechtsfolgen führen können. Eine prozessuale Rechtsvorschrift ist durch ihren unpersönlichen Inhalt und dadurch gekennzeichnet, der sie an eine Person gerichtet ist, deren Verhalten der Wirkung einer Rechtsnorm unterliegt. Die Rechtsnorm an sich erlangt praktische Realisierung erst unter der Voraussetzung, dass Rechtstatsachen eintreten, die ihrerseits als Grundlage der prozessualen Tätigkeit anzusehen sind.

Die Konsequenz der prozessualen Rechtstatsachen kann sich in Folgendem äußern: Entsprechend dem Artikel 15 des Zivilgesetzbuches der Ukraine [4] hat jede Person das Recht auf Verteidigung ihrer Zivilrechtes, falls dieses Recht verletzt, nicht anerkannt oder durch Anwendung der im Artikel 16 dieses Gesetzbuches zulässigen, und durch das Gericht wahrgenommenen Verteidigungsmittel für Zivilrechte und ‑interessen angefochten wurde

Die Anrufung des Gerichtes zur Verteidigung der verletzten Rechte (die Rechtstatsache) im Klageverfahren ist in den Artikeln 118 - 120 ZPO der Ukraine geregelt. Die Klageschrift und ihre unmittelbare Einreichung bei Gericht ist als eine prozessuale Rechtstatsache anzusehen, die in den Normen der ZPO der Ukraine verankert ist. Die Einreichung der Klageschrift bei Gericht kann Rechtsfolgen wie Gerichtsbeschlüsse über die Verfahrenseröffnung, Klageabweisung, Klagerückverweisung und die Ablehnung der Eröffnung der Hauptverhandlung verursachen.

Demzufolge ist die Konsequenz prozessualer Rechtstatsachen möglich, sofern eine entsprechende Verfahrensnorm, das ordnungsgemäße Verfahrensverhalten der Subjekte des Verfahrensrechtes und die Verankerung in dem entsprechenden Verfahrensdokument vorliegen.

4) Räumlich-zeitliche Bestimmung. Die überwiegende Mehrheit der prozessualen Rechtstatsachen ist durch ihre räumliche und zeitliche Bestimmung bei ihrer Verwendung gekennzeichnet. Die räumliche Bestimmung ist vor allem durch den Gerichtsstand in Zivilsachen bedingt, wodurch der Realisierungsbereich für prozessuale Rechtstatsachen auf den Sitz des Gerichtes, in welchem in Zivilsache verhandelt wird, beschränkt wird. Die genannte Regel bezieht sich auf prozessuale Rechtstatsachen, die sowohl durch Handlungen der Subjekte des Zivilprozessrechtes als auch durch Ereignisse bedingt sind, die davon unabhängig sind. Unter diesem Aspekt äußert sich die Imperativität der prozessualen Rechtstatsachen: Gerichtsverhandlungen finden in einem extra dafür eingerichteten Raum des Gerichts, und zwar in einem Gerichtssaal (Art. 158 ZPO der Ukraine) statt; nach den Plädoyers begibt sich das Gericht in ein Beratungszimmer (in einen extra für die Annahme gerichtlicher Entscheidungen eingerichteten Raum) zur Beschlussfassung (Art. 195 ZPO der Ukraine).

Die zeitliche Bestimmung prozessualer Rechtstatsachen besteht im Erlassen von Rechtsnormen zur Regelung der zeitlichen Beschränkungen für bestimmte Verfahrenshandlungen. Beispielsweise verhandelt das Gericht Zivilsachen innerhalb eines vernünftigen Zeitraums, spätestens innerhalb von zwei Monaten nach der Eröffnung des Verfahrens (Art. 157 ZPO der Ukraine); die Berufungsklage ist innerhalb von zehn Tagen nach der Beschlussverkündung einzureichen (Art. 294 ZPO der Ukraine); die Kassationsklage kann binnen zwanzig Tagen nach dem Inkrafttreten des Beschlusses des Berufungsgerichtes eingereicht werden (Art. 325 ZPO der Ukraine).

5) Aufzeichnung in einem Verfahrensdokument. Die Verhandlung in einem Zivilklageverfahren ist untrennbar mit prozessualen Rechtstatsachen verbunden, welche die nachhaltige Entwicklung der Rechtsverhältnisse in Zivilverfahren gewährleisten muss. Prozessuale Rechtstatsachen bedingen das Entstehen, die Änderung oder die Beendigung der Rechtsverhältnisse in Zivilverfahren in einem jeglichen Stadium des Zivilverfahrens; sie bedürfen der ordnungsgemäßen juristischen Aufzeichnung in einem entsprechenden Verfahrensdokument, um ihre Konsequenz zu bestätigen und festzuhalten. Die Konsequenz der prozessualen Rechtstatsachen äußert sich in der Verankerung der prozessualen Tätigkeit des Gerichtes bzw. der am Zivilverfahren Beteiligten durch die in der ZPO der Ukraine vorgesehenen Verfahrensmittel und zwar: Erklärung, Klageschrift, Beschwerde, Antrag, gerichtliche Genehmigungen, Gerichtsentscheidungen und Gerichtsverfügungen. Die Aufzeichnung prozessualer Rechtstatsachen erfolgt in Schriftform. Deshalb ist die Tatsache nicht zu bestreiten, dass mündliche Vorträge der Parteien, dritter Verfahrensbeteiligter und deren Vertreter, Zeugenaussagen, die über die Merkmale prozessualer Rechtstatsachen verfügen, ebenso einer angemessenen prozessualen Aufzeichnung während der Gerichtsverhandlung mittels einer Tonaufnahmeanlage und gleichzeitiger Protokollführung der Gerichtsverhandlung unterliegen.

Schlussfolgerung. Die Untersuchung der prozessualen Rechtstatsachen im Zivilprozess der Ukraine ermöglicht, die ihr wesenseigenen und wichtigsten Merkmale hervorzuheben. Prozessuale Rechtstatsachen sind konkrete Lebensumstände, die in Rechtsnormen verankert und durch räumlich-zeitliche Bestimmung und Konsequenz gekennzeichnet sind und der Aufzeichnung in einem entsprechenden Prozessdokument unterliegen.

Literaturliste:

1. Ярков В.В. Юридические факты в механизме реализации норм гражданского процессуального права: диссертация … доктора юридических наук: 12.00.03. ‒ Екатеринбург, 1992. ‒ 523 с.

2. Кутателадзе О. Д. Категорія «юридичні факти» та підстави виникнення зобов’язань за цивільним законодавством України / О. Д. Кутателадзе // Митна справа. – 2005. – № 4. – С. 59-63.

3. Цивільний процесуальний кодекс України від 18.03.2004 р. // Zugang: http://zakon3.rada.gov.ua/laws/show/1618-15/page

4. Цивільний кодекс України від 16.01.2003 р. // Zugang: http://zakon3.rada.gov.ua/laws/show/435-15