tóm tắt la tiếng anh quản lý nhà nước về đầu tư xây dựng công trình xử lý chất thải rắn sinh hoạt đô thị tại việt nam

The decentralization and organization of solid waste CTR management at all levels are still unstable, the planning of CTR management is not really one step ahead; there is a lack of regi

The period from 2010 to 2023 will see a shift, increase in number and upgrade of urban areas, especially from type V to type IV urban areas, leading to rapid increase in urban population, causing infrastructure overload economic, social infrastructure and environmental issues, especially arising CTRSHĐT During this period, the urban population increased about 1.27 times, the volume of CTRSHĐT increased about 1.63 times This shows that urban population and the volume of CTRSHĐT generated have a proportional relationship and tend to increase.

In the period from 2010 to 2023, the construction investment of CTRSHĐT treatment works has undergone clear changes, changing both in scale, treatment technology and capital mobilized for ĐTXD, especially in large cities The capital source for implementing investment projects to ĐTXD of CTRSHĐT treatment works has changed significantly If in 2010 the investment capital for these projects was 9,677 billion VND, by the beginning of 2023 it had increased by about 2.08 times, equivalent to 20,156 billion VND [81], [83]

The change in ĐTXD of CTRSHĐT treatment works has contributed to increasing the number of projects that meet the requirements for standard CTRSHĐT treatment With the trend of rapid urbanization, many urban areas are being upgraded, and the urban population is increasing, the need for ĐTXD in CTRSHĐT treatment works is becoming more and more urgent.

3.3.1 Law provisions on decentralization of state management of construction investment of municipal solid waste treatment works

The decentralization and management authority at the central and local levels are prescribed as follows [66], [68], [69], [70], [72], [74], :

- Relevant ministries and branches have the authority to promulgate mechanisms and policies to guide localities in ĐTXD in CTRSHĐT treatment works;

- Localities carry out ĐTXD for CTRSHĐT treatment projects in the area

3.3.2 Current status of implementation of regulations on decentralization of of state management of construction investment of municipal solid waste treatment works

In general, the Law on Environmental Protection No

72/2020/QH14 has basically clearly defined the authority and responsibility for managing domestic CTR at each level (Central and local) However, up to now, the implementation of legal provisions ([70], [38], [12], ) has revealed certain limitations that need to be studied and improved, due to a number of reasons:

- The Ministry of Natural Resources and Environment is assigned to uniformly manage domestic CTR with responsibilities specifically prescribed in the Law on Environmental Protection No 72/2020/QH14, but it is not complete and comprehensive, as shown in many responsibilities that have not been mentioned

- The coordination mechanism between relevant ministries in managing domestic solid waste is not clear, so the effectiveness and efficiency of management is not high.

3.4.1 Legal regulations related to planning and construction of municipal solid waste treatment works

In Vietnam, the legal framework governing CTRSHĐT treatment facilities includes various laws, such as the Planning Law, Construction Law, Urban Planning Law, and Environmental Protection Law These laws provide a comprehensive approach to CTR management, encompassing integrated strategies, planning in key economic regions and river basins However, inconsistencies exist in the treatment of CTR planning aspects, including responsibility assignments, plan location, and content.

3.4.2 Current status of organizing planning and construction of municipal solid waste treatment works

(1) National CTR management strategy on integrated CTR management to 2025, vision to 2050 was approved by the Prime Minister in Decision No 2149/QD-TTg dated December 17, 2009 [24], No 491/QD-TTg dated May 7, 2018 [30] Accordingly, 18 localities have established plans for CTR management and treatment based on Decision No 2149/QD-TTg and 04 localities have established plans according to Decision No 491/QD-TTg

(2) CTR management planning by inter-provincial region: 05 localities prepare planning based on the CTR management planning of 05 key economic regions

(3) CTR management and treatment planning of localities: 59/63 localities have announced CTR management and treatment planning [14].

3.5.1 Legal regulations on attracting resources for construction investment of municipal solid waste treatment works

- ĐTXD capital sources for CTRSHĐT treatment projects are regulated quite diversely [30], including: local budget, support capital from the central budget, credit loans, environmental protection fund,

- Regarding incentives and investment incentives for entities ĐTXD of CTRSHĐT treatment works, including: corporate income tax; Import Tax; exemption or reduction of land use fees, land rent, land use tax,

- Regarding pre-qualification of investors to participate in ĐTXD of CTRSHĐT treatment projects [36] with the following criteria: financial - commercial capacity; capacity and experience of key personnel;

Experience in operating and trading projects and infrastructure systems to provide public products and services

3.5.2 Plan and reality to attract foreign direct investment capital, official development assistance (ODA), capital from the private sector to invest in construction of municipal solid waste treatment works

(1) Expected capital structure for ĐTXD of CTR treatment works in approved plans in localities:

- There are differences, most localities plan to use state budget, ODA loans, and capital from domestic and foreign investors

- Many localities have quite specific estimates on investment capital sources (value, proportion of each capital source)

(2) Regarding investment capital for the period from 2010-2022:

- ĐTXD capital of solid waste treatment projects increased, but compared to investment capital for development of the whole society, it was only quite modest, about 0.63% to 1.17%; Compared to ĐTXD capital, this capital source is only about 11.18% to 25.9%

- FDI capital attracted to ĐTXD of CTR treatment works compared to total FDI capital is about 0.04% to 0.16%; Compared to FDI capital attracted to ĐTXD, it is only about 0.44% to 11.38%

- ODA capital for ĐTXD of CTRSHĐT treatment works in the period 2015-2020 has increased about 1.7 times compared to the period 2010-2015 but the disbursement rate is lower

(3) Regarding the implementation of ĐTXD for CTRSHĐT treatment projects in the period 2010 to 2023: the planning completion rate varies between localities and has an average of about 49% Many ĐTXD projects for CTRSHĐT treatment have been implemented, accordingly, state budget and ODA capital used by localities mainly accounts for about 58%, while FDI capital and domestic private capital account for about 42%

3.5.3 Current status of organizing pre-qualification of investors for investment projects to build municipal solid waste treatment works

To implement the selection of investors to participate in the ĐTXD of CTR treatment works in general, and CTRSHĐT treatment in particular, four localities have issued their own regulations (Khanh Hoa, Quang Nam, Ba Ria - Vung Tau, and Ba Ria - Vung Tau provinces) Can Tho).

- CTRSHĐT treatment works are increasingly being ĐTXD on a larger scale and with larger capacity than before, and CTRSHĐT treatment technology is increasingly modern and environmentally friendly

Attention and focus have been given to inter-provincial and local CTR management planning in the development and implementation of the national strategy on CTR management This includes the QHXD of CTRSHĐT treatment works.

- Attracting domestic and foreign investors to participate in ĐTXD projects for CTRSHĐT treatment works has initially achieved significant results

3.6.2 Existence, limitations and main causes

(1) About decentralization of QLNN of ĐTXD of CTRSHĐT treatment works

- The current decentralization of QLNN of domestic CTR management still has many issues that are not fully and comprehensively regulated or have been regulated but are still delayed and confusing in implementation

- The decentralization of management of ĐTXD of CTRSHĐT treatment works at the local level is different and inconsistent

- The decentralization of management of ĐTXD of CTRSHĐT treatment works has been clearly regulated in the law on construction, but the law on environmental protection also has regulations but they are at the general level, so there are still overlaps and are not really synchronized

- Regulations on the specific investment capital scale of projects under the PPP method are also a barrier, which can limit the ability to attract investment

(2) About QHXD of CTRSHĐT treatment works - The functions and tasks of specialized agencies under the Provincial People's Committee in formulating and appraising CTR management and treatment planning and QHXD of CTRSHĐT treatment projects are not unified among localities

- Planning for management and treatment of CTR, QHXD of CTRSHĐT treatment works are not unified and synchronized between localities; Regional links and links between municipal areas in the same locality are not tight

- CTR management and treatment planning, QHXD of CTRSHĐT treatment works in localities are of uneven quality

- Most of the planning for management and treatment of CTR, QHXD of CTRSHĐT treatment works in localities have not determined the order of priority for implementing ĐTXD projects of CTRSHĐT treatment works

(3) About attracting resources for ĐTXD of CTRSHĐT treatment works

- The policy to attract investment resources is not really adequate, attractive and has not created superiority and superiority to attract investment

- The policy to attract ODA capital tends to stagnate, basically still following the traditional method, so it also affects the resources for ĐTXD of CTRSHĐT treatment works

- The preliminary selection of investors to participate in ĐTXD of CTRSHĐT treatment works under the PPP method is currently still open

- The regulation of the investment capital scale of projects implemented under the PPP method affects and influences the ability to attract investment

- Due to differences in natural conditions, KT-XH, culture of localities and the dissimilar urban development and urbanization

- Due to the rapid economic development, urban development, and urbanization in Vietnam

- Due to the state's investment attraction policy has not been really

"correctly and accurately" oriented to the thoughts and motivations of foreign investors

- The determination to decentralize QLNN is strong, but the implementation is still entangled, delayed, and lacking in feasibility

- The organization of the QLNN apparatus is not really comprehensive, there is still a lack of synchronization and consistency

- The policies to attract and encourage investment issued by the State are still incomplete, limited, and unattractive

- The professional capacity of QLNN officers is still limited in this field.

4.1.1 Municipal development strategy to 2030, vision to 2050

To sustainably develop municipal areas by 2030, the state proposes solutions to focus on building and developing urban infrastructure, including CTRSHĐT treatment works, and promoting the application of advanced and current CTRSHĐT treatment technology modern, environmentally friendly [5]

4.1.2 Forecast of the volume of municipal solid waste generated by 2030

Assuming that the average annual rate of generation of CTRSHĐT in the period 2021-2030 is similar to the period 2015-2020, the volume of CTRSHĐT generated by 2030 will be about 16.7 million tons

4.1.3 National strategy on solid waste management to 2025, vision to 2050

The goal is that by 2025, all special class and class I urban areas and 85% of remaining urban areas will have CTRSHĐT recycling facilities suitable for classification CTRSHĐT landfills with about 90 - 95% of them have been closed and are being renovated, treated and reused

4.1.4 Policy of socialization in construction investment of municipal solid waste treatment works

The movement towards privatizing CTRSHĐT treatment works through socialization is an unavoidable trend due to funding constraints To execute this strategy, the government must actively attract investments from both domestic and international sources to involve them in these projects.

4.2.1 Solution to decentralize state management of construction investment of municipal solid waste treatment works

The solution is completed through clearly defining the functions, tasks, powers and responsibilities of the central and local levels as presented in Table 4.2:

Table 4.2: Decentralization of functions and tasks of QLNN of ĐTXD of CTRSHĐT treatment works

I QLNN agencies at the Central level: develop and promulgate laws, mechanisms and policies according to each task (NV)

Develop strategies and plans for management and treatment of CTRSHĐT at the national or regional level;

Guide the organization of preparation and management of QHXD for CTRSHĐT treatment works

Guidance on developing plans and allocating capital sources for ĐTXD of CTRSHĐT treatment works;

Develop preferential mechanisms to encourage investment in CTRSHĐT treatment projects

1.3 NVTW3 Guidance on organizing ĐTXD project management

(QLDA) for CTRSHĐT treatment works; Guidance on

NO Tasks Content selection and appraisal of treatment technology 1.4 NVTW4

Promulgate regulations and standards for construction of CTRSHĐT treatment works; regulations and standards on CTRSHĐT treatment

Instructions for selecting investors to participate in ĐTXD of CTRSHĐT treatment projects according to the PPP method

Inspect and check violations in ĐTXD of CTRSHĐT treatment works according to hierarchy (by group, type, project and construction level)

II Local QLNN agencies: implement legal regulations, mechanisms and policies promulgated by the central level, guide and develop mechanisms and policies according to local authority according to tasks

Prepare planning for management and treatment of CTRSHĐT, QHXD of CTRSHĐT treatment works at the provincial level in accordance with national, regional, provincial planning and urban planning

Plan and allocate capital sources to ĐTXD of CTRSHĐT treatment projects in the locality according to planning; Develop preferential mechanisms to encourage investment in CTRSHĐT treatment works in localities according to authority

2.3 NVĐP3 Organize ĐTXD project management for CTRSHĐT treatment projects in the locality 2.4 NVĐP4

Organize the selection of investors to participate in ĐTXD of CTRSHĐT treatment projects according to the PPP method

Inspect and check violations in ĐTXD of CTRSHĐT treatment works in the locality according to decentralization

Provincial People's Committees carry out ĐTXD for CTRSHĐT treatment works and assign lower-level specialized agencies to implement them:

(1) Specialized agencies under the Provincial People's Committee: perform the tasks NVĐP1; NVĐP2; NVĐP4; NVĐP5

(2) The investor or representative of the investor manages the ĐTXD project of CTRSHĐT treatment works: performing tasks NVĐP3

The majority of respondents in the survey expressed their belief that the Provincial Specialized Management Board for Infrastructure Projects (ĐTXD) should be designated as the Investor responsible for overseeing project implementation This preference was based on the belief that the Board possesses the necessary expertise and experience to effectively manage infrastructure projects.

- The author proposes two models of decentralizing agencies to be the Investor implementing project management (not applicable to projects implemented by PPP method) in Table 4.4

- The author proposes to select the Provincial specialized ĐTXD project management Board as the investor to implement the QLDA ĐTXD of CTRSHĐT treatment works within the province according to the scale (small or large) or inter-district of the province (not applicable to inter-provincial projects), for the following reasons:

- The author proposed and selected the Provincial specialized ĐTXD project management Board as the investor to implement the project management for the reason that:

+ The number of ĐTXD projects for CTRSHĐT treatment in localities is not too much and is not implemented regularly; assign the Provincial specialized ĐTXD project management Board a project using public investment capital with the advantage of creating unity and concentration

+ ĐTXD capital for CTRSHĐT treatment works: arranged from the local budget; ODA capital; or investor's capital source; counterpart funds; or other legal sources of capital

- Additional discussion issues when implementing the urban government model: urban governments have autonomy over ĐTXD budgets; on organizational structure; on planning and organizing ĐTXD; Implement reporting regime with the Provincial People's Committee during the process of ĐTXD in urban areas

4.2.2 Propose a group of solutions related to management and construction planning of municipal solid waste treatment works

(1) Solutions to develop reasonable planning projects within regional boundaries:

- Regional plans are often one step ahead of national plans;

Localities that have established QHXD for CTRSHĐT treatment works have not complied with decisions in existing regional planning;

- Adjacent localities carry out planning and QHXD of CTRSHĐT treatment works in a discrete and independent manner without coordination to exploit favorable conditions and overcome difficulties

- CTRSHĐT treatment works operate unevenly, with some places having excess capacity and some places being overloaded

(ii) Purpose of the solution

- Ensure planning is one step ahead, low-level plans can only "go" after higher-level plans, ensuring consistency;

- Ensure scientific and flexible exploitation of operating capacity of CTRSHĐT treatment works;

- Coordinate the "advantages" of localities in the region

To ensure proper planning and implementation, it is essential to integrate the requirement that low-level planning is only prepared and executed after the approval of an adjacent higher-level plan Stringent supervision mechanisms should be established to monitor compliance, ensuring that the flow of planning proceeds systematically and effectively This structured approach fosters a coherent planning system that aligns with the overall strategic vision and minimizes the risk of isolated or disjointed initiatives.

- QHXD of technical infrastructure within the inter-provincial boundaries creates a premise for construction planning of CTRSHĐT treatment works serving the larger region

- ĐTXD projects of CTRSHĐT treatment works are implemented when there is sufficient and reliable data on location, technology, , especially in connection with the reality of inter-provincial and inter- district boundaries

- Research incentive mechanisms (rewards - penalties) in planning in general and QHXD in particular, to improve management effectiveness

(2) Proposing instructions for determining the order of priority for implementing ĐTXD projects of CTRSHĐT treatment works:

(i) Regarding the goals and scope of application of the guidance: guidance on determining the order of priority for implementing ĐTXD projects of CTRSHĐT treatment works according to approved planning using public investment capital or PPP

(ii) Basis for determining implementation priority

- Planning of ĐTXD projects for CTRSHĐT treatment facilities approved by competent authorities;

- Legal regulations on investment, construction, PPP, for ĐTXD projects of CTRSHĐT treatment works;

- ĐTXD projects of CTRSHĐT treatment works have identified appropriate CTRSHĐT treatment technology according to planning

(iii) About implementation method: use the method of using aggregate indicators without units of measurement to guide the determination of priority order

(iv) Indicators are used to determine priorities

The author has surveyed, analyzed and selected the following indicators:

- Ability to meet processing capacity (C);

- Ability to allocate land for the project (S);

- Ability to arrange capital sources (F);

- Number of investors wishing to participate in the project (E);

- The volume of CTR in the region increased compared to forecast (Qgt)

(v) The order of determining priority order is at point e-3, section 4.2.2.2

The results of the illustrative example for region III in Hanoi's CTR treatment planning are shown in Table 4.12

Table 4.12: Identifying priority projects for implementation in region III

NO Evaluation criteria Unit Weight

CTR treatment area Núi Thoong

CTR treatment area Lại Thượng

CTR treatment area Tây Đằng

1 Ability to meet processing capacity ( C)

Numerical value without unit of measurement of the indicator C 0,35 0,04 0,17 0,17 0,23 0,04

2 Ability to allocate land for the project (S)

Numerical value without unit of measurement of the indicator S 0,17 0,17 0,17 0,17 0,17 0,17

3 Ability to arrange capital sources (F)

Numerical value without unit of measurement of the indicator F 0,17 0,17 0,17 0,17 0,17 0,17

4 Number of investors wishing to participate in the project (E) Investors

Numerical value without unit of measurement of the indicator E 0,26 0,05 0,13 0,18 0,21 0,16

5 The volume of CTR in the region increased compared to forecast (Q gt ) Ton

Numerical value without unit of measurement of the indicator

4.2.3 Propose solutions to attract resources to construction investment of municipal solid waste treatment works

The author proposes a mechanism to attract investment resources into ĐTXD of CTRSHĐT treatment works as shown in Figure 4.1

Solutions for attracting resources into ĐTXD of CTRSHĐT treatment projects are as follows:

(1) Attract capital from FDI investors to participate in ĐTXD projects of CTRSHĐT treatment works

- Grasp the ideology and orientation of investors;

Identifying and evaluating influencing factors when attracting foreign direct investment (FDI) are crucial Among the ten identified factors, the "profit level" directly impacts FDI investors' decisions This level is expressed through the service price of processing one ton of CTRSHĐT waste, emphasizing the importance of financial incentives in attracting investment resources into CTRSHĐT treatment projects.

- Complete incentive and incentive mechanisms for FDI investors: with 06 incentive categories, in which the state should use preferential tax rates on corporate income tax, import tax on equipment and technology and land use fees, land rent, land use tax in the form of complete tax exemption for a certain period of time and tax collection according to regulations

- Reasonable and transparent risk division between the state and FDI investors:

* State’s risks: (i) Investor operations do not meet standards, leading to environmental pollution; (ii) The volume of CTRSHĐT processed does not meet expectations according to the plan; (iii) Receiving outdated treatment technology

* Investor's risks: (i) Delay in receiving premises to build projects and works; (ii) Operating below or exceeding design capacity; (iii) Not being paid for CTR treatment according to the contract signed with the state; (iv) Not enjoying the incentives committed between the state and investors; (v) Risks due to changes in state mechanisms and policies

(2) Solution to attract ODA capital to ĐTXD of CTRSHĐT treatment works

The author conducted a survey to evaluate the influencing factors when attracting ODA from the donor and recipient, respectively, in Table 4.21 (with 06 factors), Table 4.22 (with 08 factors)

- About the capital sponsor: economic and political factors in the aid- providing country; ODA provision strategy in each period of the aid- providing country; The Government's annual budget providing aid are factors that have a decisive influence

+ At the macro level, to attract ODA into ĐTXD of CTRSHĐT treatment works, political stability and macroeconomic stability are part of the overall goal of the Government and depend on the national ODA provision strategy funding as well as the role of diplomatic agencies and the Government in lobbying to obtain this funding

+ Focus on the effective disbursement of received ODA capital because that is the basis for the donor country to trust and continue to provide ODA To do so, it must be used for the right purpose according to the loan agreement

+ The order and procedures for receiving and disbursing money need to be reduced to make it easier to organize and implement, publicly and transparently

+ Prioritize and allocate ODA capital appropriately to localities and urgent projects to avoid capital stagnation and have a strict monitoring mechanism

+ Improve the quality of ODA capital management staff with high qualifications and professional knowledge to meet the requirements of jobs that increasingly demand professionalism

(3) Attracting domestic investors to ĐTXD of CTRSHĐT treatment works

The author conducted a survey and evaluated the level of factors affecting domestic investor attraction in Table 4.23 (with 06 factors) and proposed a number of attraction solutions as follows:

- Attract domestic investors into these projects to ensure harmony with attracting FDI

- The domestic investment incentive mechanism also needs to be similar to FDI attraction but different in level, and also have a risk sharing mechanism between the state and investors similar to that for investors FDI investment

(4) Completing the pre-qualification criteria for selecting investors to participate in the ĐTXD project of CTRSHĐT treatment works according to the PPP method

The indicator system was surveyed on the basis of combining the proposals of Dolla, T and Laishram, B [111] and regulations for prequalification of PPP investors [36] (including: 06 technical criteria;

The thesis has clarified and contributed to supplementing: (i) General theoretical basis for QLNN of ĐTXD of CTRSHĐT treatment works, showing a number of newly clarified and supplemented points such as characteristics of CTRSHĐT treatment works, concepts concept, content and evaluation criteria, influencing factors; (ii) Some new contents within the QLNN of ĐTXD such as the principle of decentralization of QLNN; criteria to determine the order of priority for implementing ĐTXD projects of CTRSHĐT treatment works;

Influential factors when attracting FDI, ODA and domestic investors; risks of the state and of FDI investors participating in ĐTXD projects of CTRSHĐT treatment works; Criteria for pre-qualification of investors participating in this PPP method

- Through specific analysis of the current of QLNN of ĐTXD of CTRSHĐT treatment works, we have identified the shortcomings, their existence and causes, as well as the challenges and trends that need to be improved

- Proposing a number of solutions to improve QLNN of ĐTXD of CTRSHĐT treatment works until 2030, including:

+ Solution to decentralize QLNN of ĐTXD for this project;

+ Propose instructions to determine the order of priority for implementing this construction investment project according to planning;

+ Propose solutions to attract effective and diverse sources of FDI, ODA and capital from domestic investors to ĐTXD of this project;

+ Propose criteria for pre-qualification and selection of investors to participate in ĐTXD projects of this work according to the PPP method.

With the scope of the research and the results achieved, the author recommends continuing the research direction based on the results of the thesis as follows:

- Develop guidelines for selecting CTRSHĐT treatment technology when formulating ĐTXD projects for CTRSHĐT treatment works according to the aspects of "technology", "environment and society" and "economics" in the direction of sustainable development

- Research and propose QHXD solutions for inter-urban or inter- regional CTRSHĐT treatment works; Research on programming and calculating unitless synthetic indicators to guide the determination of priority order for implementing ĐTXD projects of CTRSHĐT treatment works according to planning and continue to improve and supplement criteria to determine the order of priority for implementing ĐTXD projects of CTRSHĐT treatment works (the author's research has proposed 05 criteria)

Enhance technical capacity (three indicators), financial stability (four indicators), and human resource management (two indicators) requirements for investors participating in wastewater treatment PPP projects under CTRSHĐT Establish specific pre-qualification criteria for investor participation to ensure project success.

Tiêu đề	State Management of Construction Investment of Municipal Solid Waste Treatment Works in Vietnam
Tác giả	Dang Anh Tuan
Người hướng dẫn	Le Hong Thai, Assoc.Prof, Ph.D
Trường học	Hanoi University of Civil Engineering
Chuyên ngành	Construction Management
Thể loại	Doctoral Thesis
Năm xuất bản	2024
Thành phố	Hanoi

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