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BO GIAO DUC VA DAO TAO TRUONG DAI HOC KINH TE QUOC DAN HA NOI NGUYEN HUU DtfC »TfMm mm a MOT SO GIAI PHAP NHAM HOAN THIEN HOAT DONG DAU THAU CAC DIJ AN DAU TIT PHAT TRIEN Ttf NGUON VON NHA NlTtfC VIET NAM LUAN • VAN THAC • SY KINH TE Chuyen nganh: Kinh te phat trien NGUdi HUONG DAN KHOA HOC: TS LE HUY DUC TH S611 Ha Noi-2002 LOT CAM ON Qua hai nam hoc tap tai Truong Dai hoc Kinh te quoc dan, duoc su quan tam va tao dieu kien cua Khoa Sau Dai hoc va cac Khoa, Bo mon chuyen nganh giang day da giup cho toi hoan chuong trinh cao hoc chuyen nganh Kinh te phat tridn Toi xin chan cam on nhung su quan tam giup va bay to long biet on, kinh den cac Thiy, Co da truc tiep quan ly, giang day va huong din cho toi nhung vin de het suc quan ca vi nhan thuc va phuong phap luan khoa hoc phuc vu cho viec viet ban luan van va hoat dong thuc tien Toi xin bay to long biet on, kinh Thay giao TS Le Huy Duc- Nguoi huong din khoa hoc truc tiep va tao dieu kien cho toi hoan ban luan van Yeu ciu cua luan van rat lon ma thoi gian nghien cuu co han, nen luan van khong tranh khoi nhung han che Tac gia mong se co dip tien sau hon nua viec nghien cuu de tai va nhan duoc su chi din, gop y, giup cua cac Thiy, Co, cac ddng nghiep, cac nha khoa hoc de cong trinh duoc hoan thien hon Ha Noi, 25 thang 10 nam 2002 NguOi thuc hien-Hoc vien cao hoc Nguyin Huu Duc Chuyen vien uy ban Kinh te va Ngan sach cua Quoc hoi DANH MUC CAC BIEU BANG Bang 1.1 Tong hop chung nhung van de lien quan den cdng tac Trang 11 quan ly dau tu va xay dung Bang 1.2 Phan cap phe duyet va tham dinh ket qua dau thau Trang 31 Bang 2.1 So luqng cac goi thau da diiqc tham dinh tur nam 1997- Trang 47 2002 Bang 2.2 So sanh gia tri cac goi thau thuc hien tu nam 1997-2002 Trang 49 Bang 2.3 Gia mot so goi thau thuc hien nam 2000 Trang51 Bang 2.4 Ket qua danh gia so bo cac don thau Trang62 Bang 2.5 Ket qua danh gia cac don thau Trang63 Bang 2.6 Gia du thSu cua cac nha thfiu Trang64 Bang 2.7 Ket qua cac don du thfiu de lua chondanh sach ngSn Trang 65 Bang 2.8 Tong hop ket qua xet thau Trang 67 DANH MUC CAC SO DO Phan loai du an dau tu theo Nhom A, B va C Trang 107 Mo hinh quan he giua chu dau tu-tu van-nha thau (OPC) Trang 109 Quy trinh dau thau tong quat mot giai doan Trang 110 Cac budc cua quy trinh so tuyen nha thau Trang 111 Cac budc giai doan mo thau, xet thau, pheduyet va cong Trang 112 bo ket qua dau thau MUC LUC • • Trang MO DAU 1 Ttnh cap thiet cua De tai Mcc dfch nghien cuu cua De tai Doi tupng va pham vi nghien cuu Nhung dong gop cua De tai Cac phunng phap nghien cuu Ket cUu cua De tai Chuong 1: CO SO LY LUAN VA THUC TlfeN VE HOAT DONG DAU THAU TRONG NEN KINH TE THI TRUONG 1.1 Vai tro cua dau thau qua trinh quan ly cac du an dau tu 4 1.1.1 Khai quat chung ve dau thau 1.1.2 Vai tro cua hoat dong dau thau qua trinh quan ly cac du an dau tu 1.2 Muc tieu, hinh thuc,ppuung thucvv cac qqu trinn co ban troonddu thau 16 1.2.1 Muc tiUu cua cOng tac dau thau 16 1.2.2 Cac hinh thuc lua chon nha thau 17 1.2.3 Phuong thUc dau thau 20 1.2.4 Ke' hoach dau thau 21 1.2.5 Quy trinh cn ban cua hoat dong dau thau 23 1.2.6 Hep) dOng 32 1.3 Mot t o' kinh nghiem ve quan I y hoat dong dauthiiucua nude ngoai va kha 34 nang van dung b viet Nam 1.3.1 Kinh nghiem ve to chuc, quan ly hoat dong dau thau b Ba Lan 34 1.3.2 Kinh nghiem ve cong tac dau thau b Trung Quoc 37 1.3.3 Nhung kinh nghiem rut tu viec ngh^ cuu hoat dong dau thau b Ban Lan 42 va Trung Quoc va khn nang van dung b Viet Nam Ke't ludn Chunng 44 Chuong 2: THUC TRANG CUA HOAT DONG DAU THAU CAC DU AN DAU TU PHAT TRIEN TU NGUON VON NHA NUOC TRONG THOI GIAN QUA 45 ii 2.1 Ket qua cong tac dau thhu trongnhtrng nam gan day 45 2.1.1 Hnat dong dau thau u xt vV s o' luong ccc ggi thauthuchien 46 2.1.2 Hnat dong dau thau u et vV gal cri cac g2i than thuc hien 48 2.1.3 Hnat dong dau thtiu u et theo cac hinh thtcl uc chon nha thau 51 2.2 Thuclrangthiechien n uy che daudit^u u-ong ghtetg g am vira qua 52 2.2.1 Muc tieu, nguyen tac, ptam vt dieu cOinO va dot lunrig cp dung cac quy 53 ctd dau tOUu 2.2.2 Ve ppen dinn cac goi th^^u th^eu^c rcc dur an dUu Ur theo tieu ch r v6'n tai tnr 54 2.2.3 Ve cong khai tt-onn dSUi ttteu 55 2.2.4 Ve linh vtrc ddn ihtiu vv htnn th^t^c tuc chon nOa thau 55 2.2.5 Ve qqy tri rib dS'u 60^ 56 2.2.6 Ve che dd htn ddnn 59 2.2.7 Ve troch nt^h^iv cha Ben meh thtU has to ccct hnp in cua nha thau 60 2.2.8 Ve qqun ty nh^d nnUc vV ddu thAU 60 2.2.9 Xu ly vi pham vat tdue'q nah 61 2.2.10 Ngtien ccu vf du mint tna quc quc trmt dau ttUu goi ttUu ttyCh du cn 61 cat tan va nnng cap quoc in 18 va goi ttUu cung cap 0^00 bi ctn tram bien cp 220 KV trnng ngage dinn luc 2.3 Mot o o' nhtnxet tut oa iuviVc danhgia chuclrongh oat dong da'uthdutrong 68 tthi gtcn quc 2.3.1 Ve ngenn mat tid ccc 68 2.3.2 Ve nnenn met htn cht' 72 2.3.3 Nguyen gOyn cOU yeu cac nOnng tan cte 73 Ket ludn Ctuong 76 Chuong 3: PHUONG HUONG VA GIAI PHAP HOAN THIEN HOAT DONG DAU THAU VIET NAM TRONG THOI GIAN TdI 3.1 Ntnng qucn diem, ptuong tucng co ban de tnan ttinn tnat dCng dau ttUu • A nam o9 Vint 77 77 3.1.1 NOnng quan diem de xny dung ptuong tucng tnan htinn tnat dCng dau 77 ttUu 3.1.2 NOngg ptuong tuCng co ban de tnan tOtnn tnat dong dau tOUy 79 3.2 Mot so kiin nngt vV ggai phtp titan tHen hc)at ddnn da'u tHU Vien Nam 88- iii thoi gian toi 3.2.1 Hoan thien quy trinh quan ly dau thau cac du an dau tu phat trien tu ngudn 84 von Nha nuCc 3.2.2 Tang cuong cOng tac quan ly nha nuoc doi vCi hoat dong dau thau d Trung 91 uong va dia phuong; kien toan co' quan quan ly dau thau 3.2.3 Nang cao trinh doi ngu can bo tham gia cong tac dau thau, bao gdm 94 viec tap hud'n ve hoat dong dau thau; vd dao tao cac chuyen gia dau thau 3.2.4 Nang cao nang luc cua tu van, chu dau tu va cac nha thau de’ bao dam su 95 canh tranh, cong bang va hieu qua kinh te cua du an, goi thau 3.2.5 Tang cuong cong tac quan ly “sau dau thau” doi voi cac goi thau xay lap, 100 mua sam hang hoa Ket luan Chuong 102 KET LUAN 103 TAI LIEU THAM KHAO 105 Phu luc 1; Phan loai du an dau tu theo Nhom A, B va C 107 Phu luc 2: Md hinh quan he giua chu dau tu-tu van-nhathau (OPC) 109 Phu luc 3: Quy ti-inh dau (Mu tdng quat mot ggai doan 110 Phu luc 4: Cac budc cua qqy ttrnn set tnuyn nha (Hu 111 Phu luc 5: CCc biudc gi^i doan med theiu, xet tHu, phe duyet va cong bo k£t 112 qua dau Ihay MC) DAU Tinh cap thiet cua De tai Trong nhung nam vira qua, thuc hien dudng loi doi moi kinh te theo huong cOng nghiep hoa, hien dai hoa, Dang va Nha nude ta da ban hanh nhifeu co che, chinh sach nham khai thac va huy dong toi da cac nguon luc cho phat tri fen kinh te-xa hoi Dong thoi, cung ban hanh cac van ban quy pham phap luat de quan ly va sir dung cac nguon luc mot each tiet kiem va co hieu qua nha't Trong do, phai ke den la cac co che, chinh sach ve dau tu phat trien noi chung, ve linh vuc dau th£u noi rieng Hoat dong dau thau d nude ta mdi me va xuat hien cung vdi qua trinh doi mdi va phat trien kinh te-xa hoi cua nude ta tu gan 10 nam lai day Pham vi dieu chinh cua hoat dong dau thau tap trung chu yeu vao cac du an dau tu phat trien thuoc khu wc cong, sir dung nguon von Nha nude, bao gom nguon vo'n ngan sach Nha nude, von dau tu phat trien cua Nha nude, von tin dung Nha nude bao lanh va von dau tu phat trien cua doanh'nghiep nha nude Doi vdi cac nguon von cua khu vuc kinh te khac thi duoc khuyen khich ap dung cac quy dinh ve dau thau de nang cao hieu qua du an dau tu cua khu vuc kinh te Qua thoi gian thuc hien, hoat dong dau thau da dan di vao nfe nep; bao dam duoc su canh tranh, cong bang va hieu qua kinh te Chat luqng ky thuat cac cong trinh xay dung co ban cung nhu cac hang hoa, dich vu mua sam cang duoc nang cao, dap ung yeu cau phuc vu phat trien kinh te-xa hoi Dong thoi, cong tac quan ly nha nude doi vdi hoat dong da'u thau da duoc tang cudng Qua cong tac dau thau, da dao tao duoc doi ngu nha thau nude co kinh nghiem va uy tin khong nhung d nude ma ca d quoc te; kinh nghiem va trinh cua can bo tham gia cong tac dau thau duoc nang len Tuy nhien, ben canh do, hoat dong dau thau cung nhieu bat cap va boc lo nhieu diem han che Cho den nay, chua co nhieu de tai, cong trinh nghien cuu khoa hoc de cap den viec hoan thien hoat dong dau thau nham phat huy vai tro cua cong cu quan ly co che moi De gop phan vao viec giai quyet nhung ton tai neu tren, de tai da duoc chon de nghien cuu la ““Mot so giai phap nham hoan thien hoat dong dau thau cac du an dau t.uphat trien td nguon von Nha nudc d Viet Nam" Muc dich nghien cuu cua De tai De phat huy day du vai tro cua cong tac dau thau, mot bo phan rat quan cua qua trinh quan ly du an dau tu phat trien gu nghiep phat trien cua dat nuoc theo huong cong nghiep hoa, hien dai hoa Luan van di gau vao nghien cuu va de xuat cac giai phap nham hoan hoat dong dau thau cac du an dau tu phat trien th nguOn von Nha nuoc o Viet Nam Doi tuong va pham vi nghien cdu - Luan van tap trung nghien cuu hoat dong dau thau nen kinh te' quoc dan, bao gOm hai linh vuc dau thau chu yeu la dau thau mua gam hang hoa va dau thau xay lap Luan van khong nghien cuu hoat dong dau thau dich vu tu van va dau thau lua chon doi tac dau tu la hai linh vuc co tinh dac thu rieng - Nghien cuu hoat dong dau thau cac du an gu dung von Nha nudc, bao gom nguon von ngan gach Nha nuoc, von dau tu phat trien cua Nha nuoc, von tin dung Nha nuoc bao lanh va von dau tu phat trien cua doanh nghiep nha nuoc Nhung dong gop cua De tai - Phan tich co go ly luan va thuc tien ve hoat dong dau thau nen kinh te' quoc dan - Phan tich thuc trang hoat dong dau thau thoi gian qua, doi chieu voi nhung yeu cau, vai tro cua cong tac dau thau theo dinh huong cong nghiep hoa, hien dai hoa va phu hop voi thong le quoc te' - De xuat cac giai phap kien nghi nham tang cuong hieu qua cua hoat dong dau thau cac du an dau tu phat trien gu dung von Nha nuoc 98 + Ben mdi thdu phai danh gia nang luc cua cac nha thau phu hop vdi tieu chi nang luc va trinh tu quy dinh ho so mdi so tuyen hoac ho so mdi thau hoac cac tai lieu lien quan tdi cac dd xuat, chao gia, chao hang + Ben mdi thau cung khong dupe thiet lap cac tieu chi, yeu cdu hoac thu tuc nao vd nang luc cua cac nha thdu ma phan biet do'i xu giua cac nha thau hoac phan dinh theo nhung tieu chi khong chung minh dupe la khach quan + Ben mdi thau khong the vo cd cho la nha thau khong du nang luc, rang cac thong tin nha thdu nop lien quan tdi nang luc cua nha thdu la khong chinh xac hoac khong thong nhat - Lap danh sach “den ” vd thong bao cac Nha thau thudng xuyen vi pham quy dinh ve dau thau, co gian Ian, thong dong vd tieu cue dau thdu Trong dieu kien hoat dong ddu tu phat trien nen kinh te cang mo rong thi hoat dong dau thdu cung cang da dang De gianh dupe cac co hoi thdng thdu hien mot so' nha thdu khong du nang luc va didu kien tham gia dau thdu thudng su dung cac hinh thirc khac de tham gia dupe cac cuoc da'u thdu Hinh thuc bien la muon phap nhan cua cac doanh nghiep cd du tu each phap ly va nang luc tham gia dau thdu hoac thong ddng vdi cac nha thdu khac dd trung thdu, sau dd chia viec vdi nhau; thong tin sai lech vd cac do'i thu canh tranh cua minh la cac nha thdu khac Tat ca nhung hanh vi tren ddu vi pham quy dinh cua phap luat vd dau thdu Tuy nhien, che tai xir ly vi pham chua chat che, nen cac nha thdu noi tren chua bi xtr ly nghiem minh De khac phuc tinh trang nay, bien phap trudc mdt la dd nghi co quan quan ly nha nude vd dau thdu va cac cap cd tham quydn lap danh sach cac nha thdu vi pham quy dinh phap luat vd dau thdu de thong bao cho cac nha thdu biet (cd the tren tap san ve da'u thdu hoac trang thong tin da'u thdu) va cd quy dinh cam nha thdu dd mot thdi gian (cd thd tu 3-5 nam) khong dupe tham gia cac co hoi da'u thdu, hoac quy dinh han che khong dupe tham gia dau thdu cac goi thdu thuoc du an cua nganh, dia phuong dd quan ly ma trudc day nha thdu da vi pham - Cdn co quy dinh ve phan loai vd ddng ky quan ly cac nha thdu 99 Trong didu kien hoat ddng dau thau cang mo rong vdi cac loai hinh ddu thau phong phu thi cac nha thau cung cang ldn manh ve cac dieu kien hoat can sdm hinh co quan phan loai va dang ky quan ly nha thau Vd nguyen tac td chirc va hoat dong cua co quan co'the thuoc churc nang, nhiem vu cua co quan quan ly nha nudc vd da'u thau nhu kien nghi o tren hoac neu chua lap rieng dupe co quan thi trudc mat nen su dung to churc cua co quan dang ky kinh doanh doanh nghiep hien de thuc hien nhiem vu Theo hudng dd se hinh mot don vi quan ly dang ky cac nha thdu theo tirng linh vuc dau thdu xay ldp, mua sam hang hoa.Co quan quan ly, dang ky kinh doanh dau thdu cd cac nhiem vu chu yeu nhu: + Xac dinh cac tieu chuan thong nhat cho viec phan loai cac nha thdu + Phan loai cac nha thdu gdn lien vdi viec thuc hien cac du an ddu tu + Kiem tra tat ca cac yeu to phap ly, to chuc, thiet bi va kinh nghiem + Kiem tra lai tat ca cac van ban xac nhan, gia'y phep va bao cao cung nhu mo hinh to chirc hoat dong cua nha thdu + Kiem tra ve trinh ky thuat va nang luc kinh nghiem, thiet bi, kha nang tai chinh va cac hpp ddng cung cap tai chinh + Kidm tra su sach cua cac nha thdu tham du thdu “tidn sir hien tai” - Nang cao nang luc cua chu dau tu, ben mdi thau, nghien cuu sdm hinh ca quan dai ly ddu thdu de giup cho chu ddu tu va nha thdu thuc hien duqc muc tieu cua cong tac dau thau la canh tranh, minh bach, khach quan vd hieu qua kinh te Kien nghi xuat phat tu yeu cau bao dam muc tieu cua cong tac dau thdu la canh tranh, khach quan, minh bach va hieu qua kinh te didu kien cac nha thdu da bao dam du cac dieu kien vd nang luc, kinh nghiem va trinh tham gia cuoc vd nang luc, trinh va co tinh chuyen nghiep td chirc cac cuoc dau thdu thi chi can de cao tinh thdn trach nhiem cua chu thd ciing vdi viec ban hanh nhung che tai that chat che de giam sat, xu ly vi pham Nhung tren thuc te, cd nhidu chu ddu 100 nganh hay linh vuc Dieu dan tdi doi hoi yeu cau phai co mot co quan co chuc nang ddng to chuc dau thdu nhung goi thau loai Kien nghi ap dung kinh nghiem trudng hop d Trung Quoc sir dung rong rai cac cong ty tu van dau thau hay cac dai ly dau thdu duqc coi la phu hop trudng hop Cac co quan, to de’ thuc hien cac hoat dong dau thdu, bao gdm cac cong viec nhu lap ho so mdi thdu, gia ho so du thdu Trudc mdt, de nghi nghien cuu md hinh chuyen cac ban quan ly du an ddu tu hien cua cac Bo, nganh, dia phuong doanh nghiep quan ly du an Doanh nghiep cung cd chuc nang, nhiem vu, quyen han nhu cac loai hinh doanh nghiep khac Khi Nha nudc co cong trinh, hang muc, don gia, mua sdm thiet bi thi co quan chu quan va cap cd tham quyen se mdi cac doanh nghiep quan ly du an dau thdu Cuoc dau thdu cap cd thdm quydn to chuc Doanh nghiep quan ly du an trung thdu to chuc tiep cac cong viec cua cac linh vuc dau thdu xay ldp, mua sdm hang hoa, thiet bi Giai phap dua chu ddu tu la ban quan ly du an chu ddu tu la doanh nghiep cd trach nhiem cao vi tinh chat va muc dich hoat dong vi muc tieu lqi nhuan Khi goi thdu hoan thi doanh nghiep quan ly du an ban giao cho don vi quan ly, khai thac Mo hinh to chuc cua cac ban quan ly du an nhu tren se tranh duqc tinh trang quan lieu cua cap cd thdm quyen quyet dinh ddu tu, tham dinh va nhat la khdc phuc su thieu trach nhiem cua mot so ban quan ly du an 3.2.5 Tang cuong cong tac quan ly “sau ddu thau” doi vdi cac goi thdu xdy lap, mua sdm hang hod Xet ve pham vi hoat dong dau thdu thi chi ben chu ddu tu va nha thdu ky ket hop ddng vdi xong thi hoat dong dau thdu cham dut Tuy nhien, van de quan cd tinh buc thiet hien nay, dd la chat luqng goi thdu lien quan tdi qua trinh lira chon nha thdu cd du nang luc, trinh dap img yeu cdu cong viec cua goi thdu Da cd nhieu vi du ve chat luqng hoat dong dau thdu anh huong tdi chat luqng cong trinh, du an ddu tu, nhat la cac du an sir dung ngudn von tir ngan sach nha nudc De’ khdc phuc nhung han che khau dau thdu lua chon nha thdu, can thuc hien ddng bo 101 cac bien phap giam dinh dau tu, tang cudng kiem tra, giam sat qua trinh thi cdng, thuc hien ldp dat thiet bi, hang hoa, van hanh chay thu; dong thdi ban hanh cac che tai xu ly nghiem minh nhung trudng hop nha thau khong dap ung yeu cau vd chat lupng ky thuat cdng trinh, du an De gop phan nang cao hieu qua cua hoat dong dau thau, dd nghi: - Can quy dinh chat che cac didu kien cho phep khoi cdng mot du an noi chung, goi thau xay lap thuoc du an noi rieng Theo do, nha thau phai dap ung cac didu kien vd thiet ke, phong chay chua chay, quan ly mdi trudng, cdng trinh van hoa, quan ly giao thong, cdng vien, trudng hoc, cdng trinh ky niem - Kiem tra chat che cac didu kien thi cdng goi thau xay lap; cac thiet bi mua sdm phai bao dam phu hop vdi lap dat, thi cdng va bao dam yeu cau vd ky thuat, chat luqng Nha thau phai thoa man cac didu kien nhu: du an phai cd co quan cd tham quydn phe duyet; banve thi cong phai cd su kiem tra cua co quan chuc nang; ky su giam sat hien trudng phai cd chung chi hanh nghd Cac chu dau tu dinh ky hoac dot xuat phai bao cao cac noi dung lienn quan tdi chat luqng cong trinh, du an Qua timg budc thuc hien goi thau, cd su kiem tra, giam sat, nghiem thu timg giai doan cua goi thau - Qua mot thdi gian, dd danh gia hieu qua cua goi thau, cua cdng trinh, du an, cd the la nam hoac nam, co quan nha nude cd thdm quydn to chuc giam sat, kiem tra chat luqng cong trinh lien quan tdi goi thau thuc hien - Quy dinh che tai rang buoc trach nhiem va xu ly that nghiem ddi vdi chu dau tu goi thau, cdng trinh, du an bi su cd, xuong cap 102 Ket luan Chuong Chuang cua luan van da dua mot so quan diem, phuong huong va cac giai phap nham hoan thien hoat dong dau thau d Viet Nam vdi muc tieu: Hinh khung phap ly ddng bo cho hoat dong dau thau cung vdi viec sua doi, bo sung mot sd quy dinh cua quy che dau thau cho phu didu kien cua Viet Nam va thong le quoc te Bao dam cho qua trinh xet thau duqc cong bang, hqp ly, tranh tieu cue hoac va cac nha thau, tac gia da hoan thien quy trinh dau thau, xet thau, phuong phap danh gia ho so du thau tren co sd cac tieu chi ve ky thuat, tai chinh De xua't phuong phap danh gia hd so du thau de bao dam tinh sat thuc Ve van de gia dtr thau thap, tac gia da de xuat giai phap nang cao trach nhiem va quy dinh che phap ly chat che doi vdi cac co quan tu van, chu dau tu, to chuyen nhu Ngan hang the gidi (WB), Ngan hang phat tridn Chau A (ADB) Cac giai phap ve phan cap quan ly dau thau, nang cao nang luc ky thuat cua nha thau, ve co quan quan ly dau thau, ve cong khai dau thau cung nhu to chuc dai ly dau thau la nhung de xuat co can cu va co sd dua tren nhung danh gia d Chuong Xuat phat tir nhan thuc, hoat dong dau thau khong chi bo hep pham vi co tinh ky thuat, nghiep vu ve dau thau, tac gia da de xuat cac kien nghi xung quanh viec nang cao chat luqng thi cong goi thau, cac bien phap kiem tra, giam sat vdi nhung dieu kien chat che dd bao dam cho chu dau tu, nha thau thuc hien nghiem chinh, gop phan nang cao hieu qua tong hqp cua du an dau tu Cac giai phap va didu kien cu thd can hoan thien d tren chinh la dong luc thuc day cong tac dau thau noi chung va dau thau xay lap, dau thau mua sdm hang hoa noi rieng phat trien, mang lai hieu qua cho dat nudc ve kinh te, chfnh tri, xa hoi, moi trudng va cung khang dinh the che thi trudng dinh huong xa hoi chu nghia dang phat tridn d Viet Nam 103 KET LUAN Hoat dong dau thau d Viet Nam mdi me va xudt hien cung vdi qua trinh ddi mdi va phat trien kinh te-xa hoi cua nudc ta th gdn 10 nam lai day, day cung la vdn de het sue phuc tap Qua thdi gian nghien cuu, ddi chieu vdi muc dich nghien cuu cua De tai, ludn van da hoan mot sd nhiem vu sau day: Da hd thong hoa ly luan ve hoat dong dau thau, dua quan niem ve “dau thau” theo nghia chung nhat tren co sd tiep can cac noi dung cua khai niem theo nhidu each khac nhau, tir phfa Nha thau, Ben Mdi thau Dau thau chinh la phuong thirc mua sam cd hieu qua kinh te va bien kinh td thi trudng phat trien Khang dinh vai trd cua dau thau qua trinh quan ly du an dau tu Day phan tich tir cap chung cho den cu the Xuat phat tir su can thiet cua hoat dong dau thau nen kinh te thi trudng vdi nhung kho khan, thuan loi, phan da lam ro vi tri, vai trd cua hoat dong dau thau quy trinh thuc hien dau tu Vdi nhung tu lieu phong phu, cac so lieu cu the duoc cap nhdt tuong ddi ddy du; bang cac phuong phap nghien cuu cd tinh toan dien, cu the, luan van da dua nhung danh gia, nhan xet dung ddn, xac dang ve tinh hinh hoat dong dau thau d Viet Nam thdi gian qua Luan van da lam ro nhung han che, ton tai va nhung nguyen nhan cua nhung han che hoat dong dau thdu nhung nam gan day, nhu viec tuan thu quy che ddu thdu, nhung tieu cue ddu thdu, mdi quan he giua chu dau tu va nha thau, cac kho khan, vudng mdc cua cac nha thau qua trinh td chuc ddu thau Luan van cung phan tich nhung han che cua hoat dong “sau ddu thau” gdn vdi muc dich chung la bao dam chat luqng cua goi thdu xdy ldp va mua sam hang hoa, thong qua ma nang cao tinh hieu qua cua toan bo du an ddu tu Vdn de noi com va dang duoc cac co quan chuc nang cua Nha nudc quan tam la noi dung cua quy che ddu thdu theo Nghi dinh 88/ND-CP Qua danh gia thuc trang cong tac ddu thdu nhung nam vira qua, tac gia kien nghi can sdm hinh 104 khuon kho phap luat dong bo, co tinh phap ly cao ve hoat dong dau thau, trudc mat can sdm ban hanh Phap lenh dau thau Nghien cdu, sua doi, bo sung mot so noi dung ve quy trinh dau thau, ve phan cap quan ly dau thau, ve nang luc cua nha thau va co nhung kien nghi manh dan ve lap co quan quan ly hoat dong dau thau de bao dam muc tieu cau hoat dong dau thau la canh tranh, khach quan, minh bach va hieu qua kinh te cua goi thau cung nhu cua du an dau tu Luan van de xuat he thong quan diem thuoc ve tam vi mO, bao gdm cac viec khai thac, huy dong ngudn luc cho dau tu phat trien, ve hinh cac yeu to cua thi trudng xay dung va mua sam hang hoa, ve nang cao suc canh tranh cua cac nha thau, tang cudng vai tro quan ly Nha nudc doi vdi hoat dong dau thau va yeu cau chu dong hoi nhap quoc te' Tren co so cac quan diem nay, luan van da neu phuong hudng co ban de de xuat cac giai phap, kie'n nghi nham tiep tuc hoan thien hoat dong dau thau nen kinh te thi trudng dinh hudng xa hoi chu nghia Cac giai phap, kien nghi co suc thuyet phuc ve cai tien nhung noi dung cong viec cua quy trinh xet thau, tang cudng quan ly nha nudc ve hoat dong dau thau vdi cac dieu kien bao dam su binh dang giua chu dau tu va nha thau; cac giai phap ve dao tao ngudn nhan luc cho dau thau; viec cong khai hoa hoat dong dau thau o chung muc nhat dinh thong qua viec ban hanh tap san ve dau thau hay trang thong tin ve hoat dong da'u thau la nhung kie'n nghi xua't phat tU cac buc xuc viec thuc hien quy che' dau thau hien hanh Da'u thau la van de ldn co lien quan tdi nhieu nganh, nhieu cap vdi noi dung phuc tap, da dang Do vay, viec hoan thien hoat dong dau thau co che' thi trudng doi hoi su co gang, no luc cua cac nganh, cac cap, dac biet la cua cac chu dau tu, ben mdi thau va cac nha thau Day la van de co y nghia quan doi vdi viec dua cac co che', chinh sach, phap luat ve da'u thau vao cuoc song 105 DANH MUC TAI LIEU THAM KHAO Bo Ke hoach va Dau tu (2001, 2002), Bao cao cua Bo Ke hoach vd Ddu tit trinh Uy ban Kinh te vd Ngdn sach cua Quoc hoi ve chuyen dich ccr cdu ddu tit phuc vu cong nghiep hod, hien dai hod Bo Ke hoach va Dau tu (2001), Bao cao ve viec tra ldi chat van cua dai bieu Quoc hoi ve thitc hien ke hoach ddu ticphat trien nam 2001 Bo Ke hoach va Dau tu, Cac bao cao tong ket cong tac dau thdu tic nam 1997 den nam 2001 Chfnh phu (1999), Nghi dinh sd52/1999IND-CP 081711999 cua Chinh phu ve viec ban hanh Quy che quan ly ddu tit vd xdy ditng vd Nghi dinh sd 12/2000/ND-CP 051512000 ve sica doi, bo sung mot sd dieu cua Nghi dinh sd52/1999/ND-CP Chinh phu (1999), Nghi dinh so 88/1999/ND-CP 011911999 cua Chinh phu ve viec ban hanh Quy che ddu thdu vd Nghi dinh sd 14120001ND-CP 5/5/2000 ve viec sica doi, bo sung mot sd dieu cua Nghi dinh sd 88/1999/NDCP Chfnh phu (1999), Nghi dinh sd43/1999/ND-CP 29/6/1999 cua Chinh phu ve tin dung dau tutphat trien cua Nha mcdc Chfnh phu (2001), N^/zz dinh sd 17/2001/ND-CP 4/5/2001 cua Chinh phu ve viec ban hanh Quy che quan ly vd sic dung ngudn von hd tree phat trien chinh thicc Du an VIE 90/005 (1999), Tuz lieu Hoi thao cua due an VIE 90/005 ve quan ly ngudn vd chi tieu cua Chinh phu 106 Dai hoc Kinh Te quoc dan (2000), Kinh te phat trien 10 Dai hoc Kinh Te quoc dan (2001), Giao trinh Chucmg trinh vd du an phat trien kinh te-xa hoi, NXB Giao due l.Dai hoc Kinh Te qudc dan (1998), Giao trinh Kinh te ddu tit, NXB Giao due 12 Ngan hang the gidi (1999), Viet Nam tien len phia trudc: tuu vd thu thach cua nganh giao thong van tdi, Ngan hang the gidi 13 Ngan hang the gidi (1996), Phan cap ngan sach vd chinh sach tdi chinh phat trien nong thon, Ngan hang the gidi 14 Khoa quan tri kinh doanh cong nghiep va XDCB Trudng Dai hoc Kinh te Qudc dan (1999), Kinh teva quan ly cong nghiep, NXB Giao due 15 Ngan hang The gidi (1994), Viet Nam chuyen sang kinh te thi trudng, NXB Chinh tri Qudc gia 16 Nha xuat ban su that (1987), Tit dien Kinh te chinh tri hoc-NXB Su That Ha Ndi 7 Van phong xet thau (2001), Bao cao ket qua khao sat ve hoat dong dau thdu tai Ba Lan 18 Van phong xet thau (2002), Bao cao ket qua khao sat ve hoat dong dau thdu tai Trung Qudc 19 Nan phong Ngan hang the gidi tai Ha Noi (2001), Mau danh gid thdu thiet bi vd xay lap 20 Vu Kinh te va Ngan sach-Van phong Qudc hoi (2002), Bao cao y kien ve du an Phap lenh ddu thdu vd so sanh cac quy dinh ve ddu thdu cua Viet Nam vdi cac nudc khu vuc 107 Phu luc 1: PHAN LOAI DUAN DAU TU THEO NHOM A,B VAC STT Tdng mire von dau tu I Nhom A Cac du an thuoc pham vi bao ve an ninh, quoc phong co tinh bao mat quoc gia, co y nghia chinh tri - xa hoi quan trong, lap va xay dung tang khu cong nghiep mdi Khong ke muc vdn Cac du an: san xuat chat doc hai, chat no khong phu thuoc vao quy mo vdn dau tu Khong ke mire vdn Cac du an: cdng nghiep dien, khai' thac dau khi, che bien dau khi, hoa chat, phan bon che tao may (bao gdm ca mua va ddng tau, ldp rap d td), xi mang, luyen kim, khai thac, che bien khoang san; cac du an giao thong: cau, cang bidn, cang song, san bay, dudng sat, dudng quoc lo Cac du an: thuy lqi, giao thong (khac d diem 1-3), cap thoat nudc va cdng trinh tdng ky thuat ky thuat dien, san xuat thiet bi thong tin, dien tir, tin hoc, hoa duqc, thiet bi y te, cdng trinh co khac, san xuat vat lieu, buu chinh vidn thong, BOT nudc, xay dung khu nha d, dudng giao thong noi thi thuoc cac khu dd thi da cd quy hoach chi tiet duqc duyet Cac du an: tang ky thuat cua khu dd thi mdi; cac du an: cdng nghiep nhe, sanh, su thuy tinh, in; vudn quoc gia, khu bao ton thien nhien mua sdm thiet bi xay dung, san xua't nong, lam nghiep, nuoi thuy san, che bien nong, lam san Cac du an: Y te, vdn hoa, giao due, phat thanh, truyen hinh, xay dung dan dung, kho tang, du lich, the due the thao, nghien ctru khoa hoc va cac du an khac II Nhdm B Cac du an: cdng nghiep dien, dau khi, hoa chat phan bon, che tao may (bao gdm ca mua va ddng tau, ldp rap o td), xi mang, luyen kim, khai thac, che bien khoang san; cac du an giao thong: cau, cang bidn, san bay, dudng sdt, dudng quoc lo Cac du an: thuy lqi, giao thong (khac d didm ii-1), ca'p thoat nudc va cdng trinh tang ky thuat, ky thuat dien, san xua't thiet bi thong tin, dien tu, tin hoc, hoa duqc Loai du an dau tu Tren 400 ty ddng Tren 200 ty ddng Tren 100 ty ddng Tren 75 ty ddng Tir 30 den 400 ty ddng Tir 20 den 200 ty ddng 108 thiet bi y te, cong trinh co khac, san xuat vat lieu, buu chinh vidn thong, BOT nudc, xay dung khu nha d, trudng thong, dudng giao thong noi thi thuoc cac khu thi da cd quy hoach chi tiet duqc duyet Cac du an tang ky thuat cua khu thi mdi; cac du an: cong nghiep nhe, sanh, su, thuy tinh, in; vudn quoc gia, khu bao ton thien nhien, thiet bi xay dung, san xuat nong, lam nghiep, nudi thuy san, che bien nong, lam san Cac du an: Y te, van hoa, giao due, phat thanh, truyen hinh, xay dung dan dung, kho tang, du lich, the due the thao, nghien cuu khoa hoc va cac du an khac III Nhom C Cac du an: cong nghiep dien, dau khi, hoa chat, phan bon, che tao may (bao gdm ca mua va ddng mdi tau, ldp rap o td), xi mang, luyen kirn, khai thac, che bien khoang san; cac du an giao thong: cau, cang bien, san bay, dudng sat, dudng quoc lo, cac trudng thong ndm quy hoach (khong ke muc von) Tir 15 den 100 ty ddng Tir den 75 ty ddng Dudi 30 ty ddng Cac du an: thuy lqi, giao thong (khac d diem III-l), cap thoat nudc va cong trinh tang ky thuat ky thuat dien, dien tir, tin hoc, hoa duqc, thiet bi y te, cong trinh co khac, san xuat vat lieu, buu chinh vidn thong, BOT nudc, xay dung khu nha d, trudng thong, dudng giao thong noi thi thuoc cac khu dd thi da cd quy hoach chi tiet duqc duyet Dudi 20 ty ddng Cac du an: tang ky thuat cua khu dd thi mdi; cac du an: cong nghiep nhe, sanh, su, thuy tinh, in; vudn quoc gia, khu bao ton thien nhien, thiet bi xay dung, san xuat nong, lam nghiep, nudi thuy san, che bien nong, lam san Dudi 15 ty ddng Cac du an: Y te', van hoa, giao due, phat truydn Dudi ty hinh, xay dung dan dung, kho tang, du lich the due, the ddng thao, nghien cuu khoa hoc va cac du an khac Ghi chu: Cac du an nhom A ve dudng sdt, dudng bo phai duoc phan doan theo chieu dai dudng, cap dudng, cau, theo huong dan cua Bo Giao thong van tai sau thong nhat vdi Bo Ke hoach va Dau tu Cac du an xay dung tru sd, nha lam viec cua co quan nha nudc phai thuc hien theo quyet dinh cua Thu tudng Chinh phu Ngudn [4] 109 Phu luc 2: MO HINH QUAN HE GIUA CHU DAU TU-TU VAN-NHA THAU (OPC) Ngudn [8] 110 Phu luc 3: QUY TRINH DAU THAU TONG QUAT MOT GIAI DOAN Ngudn [5] Ill Phu luc 4: CAC BLOC CUA QUY TRINH SO TUYEN NHA THAU Ngudn [5] 112 z , z 9, z Xs* Phu luc 5: CAC BUOC TRONG GIAI DOAN MO THAU, XET THAU, PHE DUYET VA CONG BO KET QUA DAU THAU Nguon [5]
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