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MINISTRY OF EDUCATION AND TRAINING MINISTRY OF AGRICULTURE AND RURAL DEVELOPMENT THUYLOI UNIVERSITY TRAN THI HONG PHUC STUDY ON FACTORS AFFECTING THE CONSTRUCTION INVESTMENT COST OF SYSTEM OF FOCAL IR[.]
MINISTRY OF EDUCATION AND TRAINING MINISTRY OF AGRICULTURE AND RURAL DEVELOPMENT THUYLOI UNIVERSITY TRAN THI HONG PHUC STUDY ON FACTORS AFFECTING THE CONSTRUCTION INVESTMENT COST OF SYSTEM OF FOCAL IRRIGATION WORKS IN VIETNAM Major: Construction Management Code : 9580302 SUMMARY OF PH.D THESIS HANOI, 2022 The work was completed at the Thuyloi university Supervisor 1: Assoc Prof Dr Nguyen Quang Cuong Supervisor 2: Prof Dr Vu Thanh Te Reviewer 1: Prof Dr Nghiem Van Dinh Reviewer 2: Assoc Prof Dr Đinh Đang Quang Reviewer 3: Dr Tran Hong Mai The thesis will be defended in front of the Thesis Judging Committee in the meeting at: Thuyloi university, 175 Tay Son, Dong Da, Hanoi; at hour month year 2022 The Thesis can be referred at the following libraries: - National Library of Vietnam - Library of Thuyloi university INTRODUCTION Rationale For recent years, construction investment activities in our country have been taking place strongly More and more transport, civil, industrial, infrastructure and irrigation projects have been invested and built, especially irrigation construction investment projects Many construction works have been created from the investment in construction of irrigation projects such as irrigation works, flood protection works and a number of other works that bring many benefits to the community In fact, many irrigation projects in the process of implementation often have an increase in investment capital compared to the initially approved Total Investment, especially for focal irrigation projects in Vietnam This problem often comes during the project implementation phase due to many subjective and objective influencing factors that increase construction investment costs This leads to the loss and waste of resources of the whole society, reduction in investment efficiency of the project Management of construction investment costs is one of the key factors determining the success of construction investment projects, for system of focal irrigation works that are often largely fluctuated in construction investment costs because characteristics of technical works are often complicated in engineering, construction is performed in difficult conditions due to their heavy dependence on topography, geology and climate, especially during the project implementation phase Therefore, the topic: "Study on the factors affecting the construction investment cost of system of focal irrigation works in Vietnam" is very necessary and has high practical significance Research objective The study identifies the factors that increase the construction investment cost of system of focal irrigation works, thereby serving as a scientific basis for proposing management solutions Research subject and scope 3.1 Research object: Construction investment cost of system of focal irrigation works (Construction investment costs are studied from the point of view of wasting social resources - that is, from the perspective of wasting resources of all subjects involved in the project implementation phase) 3.2 Research scope: + Scope of research subject: Management of construction investment costs of irrigation projects using public investment capital, in whi ch focusing on the study on system of focal irrigation works + Spatial scope: The thesis studies the management of construction investment costs in the project implementation phase of the system of focal irrigation works in Vietnam + Temporal scope: Secondary data was collected from 2007 to 2020, survey data for research were conducted in 2019 and 2020 Research Methodology The thesis uses a combination of qualitative research methods and quantitative research methods - Group of qualitative research methods: Inheritance method; expert method - Group of quantitative research methods: In-depth interview method; expert method; using SPSS to give a multivariable linear regression model; using AHP in determining cost management plan; comparative method Scientific and practical significance of the topic 5.1 Scientific significance: - Systematize the theory of construction investment costs, management of construction investment costs, clarify the factors affecting the increase in construction investment costs during the project implementation for the systems of focal irrigation works in Vietnam - The thesis builds a model to estimate influencing factors through a multivariable linear regression model, on that basis, clearly indicat ing the level of influence of each group of factors in the project implementation period on the increase in construction investment costs 5.2 Practical significance: - The thesis clarifies the influence of the factors affecting the construction investment costs of the works under the focal irrigation system - From the research result, the thesis proposes solutions to help manage the construction investment costs of system of focal irrigation works in the project implementation phase in a better manner, contributing to the prevention from waste and loss Identify risks arising to apply to irrigation construction investment projects in our country in the coming time Research mission of the thesis - Overview of domestic and foreign research results related to construction investment costs of system of focal irrigation works - Analysis and selection of research methods - Research and building of a list of groups of factors affecting construction investment costs of system of focal irrigation works in Vietnam - Study on the degree of influence of groups of factors on construction investment costs of system of focal irrigation works in Vietnam - Study on the management plan according to groups of influencing factors as the basis for proposing management solutions Structure of the thesis In addition to the introduction, conclusion and recommendations, the thesis consists of chapters: - Chapter 1: Overview of research results related to the thesis topic - Chapter 2: Theoretical basis and identification of factors affecting the construction investment costs of system of focal irrigation works in Vietnam - Chapter 3: Research Methodology - Chapter 4: Study on the degree of influence of factors on construction investment costs of system of focal irrigation works and proposal of management solutions CHAPTER 1: OVERVIEW OF RESEARCH RESULTS RELATED TO THE THESIS TOPIC 1.1 Overview of construction investment costs and management of construction investment costs 1.1.1 Cost and Construction investment costs 1.1.1.1 Cost concept Some authors introduced the concept of cost, each school will give a different definition of cost, as from the point of view of political economy, according to accounting principles [8], in business terms of enterprises [9] Thereby, cost can be defined as the amount of money spent on buying something to serve the needs of people for many different purposes 1.1.1.2 Concept of construction investment costs Construction investment costs are the entire costs of implementing a construction project from the time of project preparation, project implementation and acceptance, handover and putting into operation 1.1.2 Management of construction investment costs 1.1.2.1 Concept of management Management is a process of conscious, oriented and organized influence of the management subject on the managed object in order to achieve the set goals most effectively in the changing conditions of the objective environment 1.1.2.2 Concept of management of construction investment costs The process of management of construction investment costs is applied in the construction investment stages, it is an activity of an organization or a certain part, so it exists at most organizational levels and is related to many people in such an organization Management of construction investment costs is the process of planning and controlling the budget of a construction project 1.2 Overview of domestic research works Currently, in Vietnam, there are a number of research works on management of construction investment costs, the study of topics is based on different fields These studies are mainly about construction works in gener al, traffic and civil works in particular and some irrigation works However, the approach is different from the author's research purpose 1.3 Overview of foreign research works Foreign authors have quite a lot of studies on construction investment costs, but the studies are mainly on construction works in general, traffic and civil works in particular and a number of irrigation works However, there has not been any specific study on construction investment costs of irrigation works 1.4 Explanation of research problem of the thesis The domestic and foreign studies related to the thesis topic are all recognized works with high scientific value such as doctoral theses, research projects, scientific articles Thereby, the author can inherit many problems, but there are still many issues that have not been researched because the subjects and scope of application are different from the thesis topic There have not been any specific and sufficient studies to show the factors affecting the construction investment cost of system of irrigation works in Vietnam The author assesses the importance and necessity of the research topic and finds that the following issues still need to be researched: Studies have shown that there are many groups of factors affecting construction investment costs, but there are no studies fully showing how many factors or groups of factors for focal irrigation works, is a type of project with very specific nature and characteristics Some studies have shown groups of factors and their influence on the fluctuation of the overall investment costs of the entire project, but have not yet provided solutions to solve the problem of management of construction investment costs of these works There has not been any study applying the multivariable linear regression model to show the degree of influence of groups of factors on the increase in construction investment costs of system of focal irrigation works → From the above research gaps, the author wants to pose research questions to find the direction for the thesis: Question 1: What factors increase construction investment costs of current system of focal irrigation works in Vietnam? Question 2: Is it possible to classify or rank groups of factors affecting the construction investment cost of system of focal irrigation works? Question 3: Based on the identification, classification and ranking of groups of factors, what problems will it suggest in the management o f construction investment costs of focal irrigation works today in Vietnam? To answer the research questions of the thesis, the author will perform specific tasks to solve as follows: - From previous studies and based on the actual situation in the management of investment costs of irrigation works in Vietnam, through summarizing and evaluating experiences and opinions of experts, the author will give the groups of factors that increase the construction investment costs of system of focal irrigation works - On the basis of groups of factors affecting the increase in construction investment costs, the author uses the method of interviewing relevant parties including investors, consulting units, construction contractors, experts in the field of construction about the influence of groups of factors on the increase in construction investment costs of system of focal irrigation works - The author uses the method of testing the data and conducts multivariable linear regression analysis to show the degree of infl uence of the groups of factors on the increase in construction investment costs of system of focal irrigation works - Use the method of ranking analysis to establish a management plan according to groups of influencing factors, thereby propose management solutions Based on the result of the rankings of the groups of factors and the degree of influence, the author proposes solutions for related parties to better manage the construction investment costs of focal irrigation works in Vietnam Study on factors affecting construction investment costs of system of focal irrigation works in Vietnam Overview in the world - Systematization method - Inheritance method - Synthetic analysis method - Comparative method Domestic overview Determine factors increasing the construction investment costs of system of focal irrigation works in Vietnam and building of preliminary survey sheet - Expert method - Inheritance method - Synthetic analysis method Check the reliability of preliminary survey data - Survey method - Data analysis method Show factors increasing construction investment costs of system of focal irrigation works in Vietnam and building of preliminary survey sheet - Expert method - Data analysis method -Qualitative analysis method - Quantitative analysis Collect, analyze data and evaluate Have result and propose solutions to manage construction investment costs of system of focal irrigation works in Vietnam Figure 1.3 Research diagram 1.5 Conclusion of chapter Effective cost management is one of the factors that ensures the success of a project and helps managers effectively control the project and determine the cost difference compared to the set plan, thereby make prompt and appropriate adjustments Based on previous domestic and foreign studies, synthesizing and evaluating factors affecting construction investment costs is the basis for the author to propose groups of factors affecting construction investment costs of focal irrigation works in Vietnam These studies have contributed many valuable scientific achievements, however the specific objective of the thesis topic "Study on the factors affecting the construction investment costs of system of focal irrigation works in Vietnam” requires building a model of the relationship between the cost function and the variables that are the causes of cost increase The research result of the topic is a meaningful reference for managers in the field of management of construction investment costs of irrigation works CHAPTER 2: THEORETICAL BASIS AND IDENTIFICATION OF FACTORS AFFECTING INVESTMENT CONSTRUCTION COSTS OF SYSTEM OF FOCAL IRRIGATION WORKS IN VIETNAM 2.1 Concept of irrigation work and focal irrigation work 2.1.1 Irrigation work Irrigation work is an irrigation technical infrastructure work including dam, reservoir, culvert, pumping station, water conduction and transfer system, embankment, irrigation shore and other works serving the irrigational management and exploitation [53] 2.1.2 Focal irrigation work Focal irrigation work is an irrigation work at the starting position of the water storage, conditioning, transfer, distribution, supply and regulation system or a work in the end of the drainage and drainage system [53] Therefore, reservoirs are also focal irrigation works In this topic, the author focuses on this focal work type 2.2 Theoretical basis of construction investment costs and management of construction investment costs 2.2.1 Method of determining construction investment costs Total investment of a construction investment project includes cost components: compensation, support and resettlement costs; construction costs; equipment costs; project management costs; construction investment consulting costs; the other costs and contingency costs Construction costs: there are methods to determine 2.2.2 Principles of management of construction investment costs According to Decree No 10/2021/ND-CP, there are principles of management of construction investment costs 2.3 Situation of investment and construction of irrigation works in Vietnam 2.3.1 Overview of irrigation construction investment projects in Vietnam 2.3.1.1 Situation of construction investment in irrigation projects in Vietnam In Southeast Asia, Vietnam is one of the few countries with a developed irrigation system on a large and relatively complete scale, there are thousands of large, medium and small irrigation works to supply water for irrigation and drainage in order to serve agricultural production, provide water for domestic and industrial, aquaculture purposes and contribute to environmental protection Thereby it’s shown that the investment and construction of irrigation projects is paid special interest by the government 2.3.1.2 Situation of investment and construction of ODA -funded irrigation projects 1994 – 2010 period: 2011 - 2015 and 2016-2020 periods: 2.3.1.3 Situation of construction investment in irrigation projects funded by Government bonds from 2003 to 2017 2.3.2 Study on the issue of increasing construction investment costs during the project implementation phase for system of focal irrigation works in Vietnam During the implementation of the project, there are many influencing factors that increase the construction investment costs of the project, which leads to the increase in costs of focal irrigation works, especially during the implementation of the project The works have an increase in total investment from 20% to more than 200% compared to total investment initially approved 2.4 Identification of groups of factors increasing the construction investment costs of focal irrigation works in Vietnam Stemming from the mentioned research contents and working experience, discussions with experts and managers who have a lot of experience in management of construction investment costs of focal irrigation works, the author gives the following groups of factors: 2.4.1 Group of policy factors 2.4.2 Group of economic factors 2.4.3 Group of factors on natural conditions 2.4.4 Group of factors on planner’s capacity 2.4.5 Group of factors on implementer’s capacity 2.4.6 Group of social factors 2.5 Conclusion of chapter The situation of construction investment in irrigation works in Vietnam shows that focal irrigation works have been focused on investment, and the annual budget for irrigation works is not small However, there is a fact that construction investment costs often increase compared to the initial project approval decision Based on previous studies, consultation with experts and analysis of the situation of construction investment in irrigation works in Vietnam, the author has synthesized, added and excluded a number of factors and given the groups of factors affecting the increase in construction investment costs of system of focal irrigation works in accordance with the specific situation in Vietnam: Group of policy factors : Eliminate factor on war, add the factor on delay in policy issuance and implementation; group of economic factors: Add the factor on increasing CPI; group of factors on planner’s capacity: Add factor on topographical and geological survey that is not close to reality; group of factors on implementer’s capacity: Add factor on construction contractor making financial plan that not meet the reality Thereby, the author has identified 30 factors affecting the increase in Steps to implement APH Set the hierarchy Compare selected pairs of criteria Wrong Calculate weight Wi Calculate consistency index CR Right Select Wi Figure 3.2 Calculation method of APH index 3.5 Conclusion of chapter In this chapter, the author gives the entire process of research, design and selection of research scale, sample selection and research sample size problem Use SPSS to analyze and process statistical data The data analysis methods used in the thesis include exploratory factor analysis, reliability testing of the scale, correlation analysis and regression analysis In addition, the author uses AHP method to clarify the impact of groups of factors, classify these groups of factors according to the degree of interaction on investment costs, thereby the main alternative will be selected to provide the best solution for management of construction investment costs of system of focal irrigation works in Vietnam The next chapter will present the research results of the thesis CHAPTER STUDY ON DEGREE OF INFLUENCE OF FACTORS ON CONSTRUCTION INVESTMENT COSTS OF SYSTEM OF SYSTEM OF FOCAL IRRIGATION WORKS AND PROPOSAL OF MANAGEMENT SOLUTIONS 11 4.1 Survey result in order to accurately determine the factors affecting the construction investment costs of system of focal irrigation works 4.1.1 Coding of factors Code the factors affecting construction investment costs of system of focal irrigation works by group: group of factors on policy has 05 factors coded from CS1 to CS5; group of factors on economy has 04 factors coded from KT1 to KT4; group of factors on natural conditions has 05 factors coded from TN1 to TN5; group of factors on planner’s capacity has 07 factors coded from NLHD1 to NLHD7; group of factors on implementer’s capacity has 05 factors coded from NLTH1 to NLTH5; group of social factors has 04 factors coded from XH1 to XH4 4.1.2 Survey result for assess the reliability of the factors Conduct in-depth interviews with 15 experts to assess the factors affecting the construction investment costs of building system of irrigation projects in Vietnam, test the reliability of groups of factors through Cronbach's Alpha coefficient testing Most of the factors in 06 groups meet the requirements of reliability However, there are two factors CS2 and TN5 that have a greater reliability coefficient than the general reliability coefficient of the group scale if t hese factors are excluded and total variable correlation coefficient of the scale of these two factors has a coefficient < 0.3 Therefore, these two variables are excluded from the questionnaire 4.2 Study on the degree of influence of groups of factors on the construction investment costs of system of focal irrigation work 4.2.1 Determination of survey sample size and survey method 4.2.1.1 Determination of survey sample size This study uses 215 questionnaires to process data 4.2.1.2 Surveyed subjects Subjects are experts and officials who have been working at project management boards, construction contractors, design consultants, supervision consultants, state management units on irrigation construction projects 4.2.1.3 Survey method The author collects data by two methods: online survey and offline survey Total of 215 questionnaires is considered as primary data and used for the subsequent analysis of the study 4.2.2 Descriptive statistical result of survey data Through descriptive statistics of survey data, all groups of factors have high average values from 3.60 to 4.14 The standard deviation is quite 12 low and all 0.5 However, the observed variable NLHD6 is uploaded in both groups of factors and the load coefficient is 0.023