Hoàn thiện công tác giám sát, đánh giá dự án đầu tư xây dựng sử dụng vốn nhà nước tại việt nam tt tiêng anh

MINISTRY OF EDUCATION AND TRAINING NATIONAL UNIVERSITY OF CIVIL ENGINEERING NGUYEN QUOC TOAN IMPROVING THE MONITORING AND EVALUATION OF CONSTRUCTION INVESTMENT PROJECTS USING STATE CAPITAL IN VIETNAM MAJOR: CONSTRUCTION MANAGEMENT CODE: 9.58.03.02 SUMMARY OF PHD DISSERTATION HA NOI, 2019 The PhD dissertation has been completed at National University of Civil Engineering Supervisors: Professor Dr Nguyen Huy Thanh Dr Nguyen Lien Huong Reviewer 1: Professor Dr Nghiem Van Dinh Reviewer 2: Assoc Prof Dr Dang Van Thanh Reviewer 3: Dr Nguyen Pham Quang Tu The PhD dissertation will be defended at the level of the State Council of Dissertation Assessment's meeting at the National University of Civil Engineering At…… hour……., day………month ……….year 2019 The dissertation is available for reference at the libraries as follows: - National Library of Vietnam; - Library of National University of Civil Engineering; HA NOI, 2019 INTRODUCTION The urgency of the topic In recent years, in Vietnam, the state has spent a very large proportion of capital for capital construction investment, on average accounting for 25% - 30% of gdp The investment process of construction (construction investment) of the project is often long, affected by many factors, thus embracing many risks Therefore, it is necessary to have the monitoring and evaluation of the projects of the state to ensure the common and effective investment of the country and the community Monitoring and evaluation are activities and an important tool for state management agencies to implement the state management function for construction investment projects One of the leading causes of the slow progress of the project, increased costs, unqualified construction quality, ineffective use of state capital is the work of monitoring and evaluation for construction investment projects State capital is still ritualistic, inefficient and ineffective The work of monitoring and evaluation of state management agencies faces many difficulties and problems, so the project cannot be controlled from the initial idea, during the implementation process and the exploitation and use The above situation requires the research and summarize the status of the monitoring and evaluation of the construction investment project using state capital, identify the core issues contributing to the orientation of building appropriate solutions to complete the work This work The research topic "Improving the monitoring and evaluation of construction investment projects using state capital in Vietnam" was selected to meet the above urgent requirements Research goals and objectives 2.1.Research goals Improved and better monitoring and evaluation of construction investment projects using state capital in Vietnam 2.1.Research objectives - Systematizing the theoretical issues and referring to international experiences on monitoring, evaluation of state capital construction investment project in Vietnam; - Surveying to clarify the situation of monitoring, evaluation work of state capital construction investment project in Vietnam; - Analyzing and determining the factors affecting monitoring and evaluation work of state capital construction investment project in Vietnam; - Proposing solutions to complete the work of monitoring and evaluation of the construction investment project for using state capital in Vietnam Object and scope of research 3.1 Object of research The object of research is the work of monitoring, evaluation, the project of construction investment in using state capital with the subject being the state management agency on construction investment 3.2 Scope of research The scope of research of the project is the work of monitoring and evaluation of the construction investment project to use state capital in Vietnam in recent years, the period from 2015 to now (after the decree 84/2015/ND-CP takes effect) Scientific basis of research To solve the problem of research, the thesis has used the following scientific bases: Theoretical basis for monitoring and evaluation of construction investment projects using state capital: based on the theoretical basis, the author clarifies concepts, definitions, views of different scientists, influential factors, For monitoring and evaluating construction investment projects using state capital and synthesizing research projects related to the topic Legal basis: this is an important basis as a basis for organizing and implementing the monitoring and evaluation of construction investment projects using state capital and as a basis for evaluating the work obtained Done right or not Practical basis: through practical assessment of organization, implementation of monitoring and evaluation of construction investment projects using state capital (through investment monitoring and evaluation reports and survey data) In fact, the author assesses obstacles and difficulties and identifies factors affecting this work Research methodology Research methodology includes dialectical materialism, historical materialism Specific research methods are synthetic-comparative-analysis methods, qualitative and quantitative research methods The contributions of the thesis - Supplementing and completing the theoretical basis of monitoring and evaluation of construction investment projects using state capital; - Analyzing and identifying difficulties and obstacles in monitoring, evaluation of state capital construction investment project in Vietnam and the causes of these difficulties and problems; - Identifying and analyzing the factors affecting the work of monitoring and evaluation of the construction investment project for using state capital in Vietnam; - Proposing solutions to complete the work of monitoring and evaluation of the construction investment project for using state capital in Vietnam Structure of the thesis In addition to the introduction, conclusion and recommendations, the thesis consists of chapters: Chapter 1: Overview of research related to monitoring and evaluation of construction investment projects using state capital Chapter 2: Rationale and experience on monitoring and evaluation of construction investment projects using state capital Chapter 3: Current situation of monitoring and evaluation of construction investment projects using state capital in Vietnam Chapter 4: Orientation and solutions to complete the monitoring and evaluation of construction investment projects using state capital in Vietnam CHAPTER OVERVIEW OF RESEARCH RELATED TO MONITORING AND EVALUATION OF CONSTRUCTION INVESTMENT PROJECTS USING STATE CAPITAL 1.1 Domestic research related to the thesis topic 1.1.1 Phd thesis 1.1.2 Scientific research report, scientific article 1.1.3 Reference books and monographs In general, the domestic research projects at different levels and aspects have mentioned the work of monitoring, evaluation of construction investment projects on state capital in the whole country or a locality, a management However, issues such as: monitoring and evaluation, what are the tasks of state capital construction investment project in Vietnam? Monitoring and evaluation's project of state capital construction investment project in Vietnam has difficulties and problems? Factors affecting monitoring, evaluation of construction investment using state capital? No research has been clarified yet 1.2 Foreign studies related to monitoring and evaluation of construction investment projects using state capital A number of related foreign studies have shown waste wastage situation (ttlp), exceeding costs, low efficiency in state capital investment projects mainly due to weaknesses in monitoring and evaluation activities Factors of weak institutional capacity, limited resources, weak linkages between planning, buevaluationeting and monitoring and evaluation, needs and use of poor results and outcomes Finally, poor data quality, inconsistency are the most important impact factors in monitoring and evaluation 1.3 The gap in research on monitoring and evaluation of construction investment projects using state capital After approaching, referring to the researches on monitoring and evaluation of construction investment using state capital, some gaps in the research are identified as follows: Firstly, the studies have not fully and accurately solved the theoretical basis related to the work of monitoring and evaluation of the construction investment project of using state capital in the current context Secondly, not yet summarized and researched to clarify difficulties and obstacles in implementing monitoring and evaluation of state capital construction investment project in Vietnam Thirdly, the factors affecting monitoring and evaluation's state capital construction investment project in Vietnam have not been studied Fourthly, the evaluation method of state capital construction investment project has not been specified; the professionalism and independence of organizations and individuals implementing monitoring and evaluation work of construction investment projects have not been studied The thesis will focus on studying the following issues: - Systematizing, supplementing and completing the theoretical basis of monitoring and evaluation of construction investment and use of state capital; - Analyzing and assessing the current situation of difficulties and obstacles and factors affecting monitoring and evaluation's projects on construction investment and use of state capital; - Proposing solutions to complete the work of monitoring and evaluation of the construction investment project for using state capital in Vietnam CHAPTER RATIONALE AND EXPERIENCE ON MONITORING AND EVALUATION OF INVESTMENT PROJECTS BUILDING USE OF STATE CAPITAL 2.1 Theoretical basis for construction investment and construction investment projects using state capital 2.1.1 Theoretical basis of construction investment 2.1.1.1 Concept and object of construction investment a Construction investment concept Construction investment is the capital to create facilities in the form of construction works to meet the requirements of socio-economic development and human life b Objects of construction investment According to the definition of construction investment, it can be seen that the object of construction investment is the construction works 2.1.1.2 Objectives and conditions of construction investment using state capital a Objective of construction investment using state capital b Conditions of construction investment 2.1.2 Investment capital and state capital 2.1.2.1 Concept of investment capital and state capital 2.1.2 Investment capital and state capital 2.1.2.1 Concept of investment capital and state capital In this thesis, state capital includes state buevaluationet capital, state-guaranteed credit capital, state development investment credit, development investment capital of state-owned enterprises and other capital managed by the state Public investment capital is part of state capital 2.1.2.2 Principles for management and use of state capital in construction investment - Correct object, right purpose, right plan; - Strictly implement the order of investment and construction, full of approved design documents and estimates; - According to the accurate workload of the plan and only within the approved price of the bid and winning bid; - Being subjected to monitoring, evaluation of the competent state authority 2.1.3 Construction investment projects using state capital and management of construction investment projects 2.1.3.1 Construction investment projects using state capital a Concept of construction investment project using state capital The construction investment project using state capital is a construction investment project using all or part of state capital Therefore, the project of construction investment using public investment capital, construction investment project in the form of ppp (public-private partnership) is a project of construction investment using state capital Depending on the type of project, the type of investment, the level of capital contribution and the importance and extent of the project's impact on the environment, socio-politics and national security, the state has an appropriate way to manage, monitoring, evaluation throughout the investment process b Characteristics of construction investment projects using state capital In addition to the general characteristics of the construction investment project, the state capital construction investment projects have the following characteristics: - The state manages the whole process of construction investment and use of state capital; - The construction investment projects using state capital mainly follow the principle of allocation, allocating capital to localities, branches and projects as planned, according to the program of the state; - The project of construction investment and use of state capital is not owned by investors and competent authorities, so it is easy to be abused for group benefits, personal interests lead to ineffective investment, causing huge waste 2.1.3.2 Stages of construction investment projects The order of construction of construction investment consists of phases, the previous stage is the basis for implementing the following stage: prepare the project, implement the project and finish the construction and putting the project's works into operation and maintainance 2.1.3.3 Managing construction investment projects using state capital a Concept of construction investment project management Project management of construction investment is a oriented activity of the management subject to achieve the purpose of construction investment Management activities include planning, implementation organization, monitoring, evaluation of the entire construction process to achieve specific objectives of the project and the purpose with time constraints and quality requirements And resources used for the project b Content of project management For the management of construction investment using state capital, the state uses the management apparatus decentralized with the system of policies, laws on construction investment; strategies, planning and plans In the process of implementing the project, state management agencies at all levels always monitor, closely monitor, orient and govern all activities of the project (including handling violations) Each of these agencies performs its own functions, undertaking the management of one or several stages in the process of implementing construction investment activities 2.2 Monitoring and evaluation of construction investment projects using state capital 2.2.1 General issues on monitoring and evaluation of construction investment projects using state capital 2.2.1.1 Concept of monitoring and evaluation of construction investment projects a Concept of construction investment project monitoring Investment project monitoring is a management activity of individuals/management agencies (management subjects) for project investment activities Monitoring includes regular monitoring and regular monitoring of project implementation, ensuring compliance with regulations; synthesizing, analyzing, evaluating information; detect errors, weaknesses and propose plans for competent authorities to handle b Concept of construction investment project evaluation Evaluation of construction investment project is a systematic activity to consider and make juevaluationments about the suitability, feasibility, sustainability, efficiency/results achieved at a given time, each stage and process Project investment compared to the target, the desired standard of the management entity to support stakeholders to make decisions on the project 2.2.1.2 The necessity of monitoring and evaluation of construction investment projects using state capital The process of construction investment is often complex, subject to the influence and dominance of many factors, generating a lot of content that needs to be supplemented, adjusted and can lead to deviations from the plans or expectations of investors and the state These deviations need to be discovered early to handle in time to avoid a "serious problem" causing great damage in the past, for example, quang binh solar power project, ethanol phu tho projects, quang ngai, dung quat, etc 2.2.1.3 Purposes and meaning of monitoring and evaluation of investment projects Monitoring and evaluation allow management levels to fully and promptly grasp, have a comprehensive and deeper view of the status of the investment project and determine the scope that requires special attention The fact that monitoring, evaluation of the construction investment project has a very important meaning for the project to meet the required objectives, investment capital is used in accordance with the objectives and ensure the overall growth of the economy 2.2.1.4 Location, role and requirements of monitoring and evaluation of construction investment projects using state capital a Location and role b Requirement 2.2.1.5 Organize the monitoring and evaluation of construction investment projects using state capital a Principles for organizing and conducting monitoring and evaluation - Monitoring and evaluation of state capital construction investment projects should be conducted regularly and continuously throughout the investment process; - Having standards, criteria or documents as a basis and basis; - Service information should be complete, timely, accurate, honest and transparent; - Implementing individuals and organizations need appropriate and objective capabilities; activities of monitoring and evaluation need to be comprehensive and synchronous with issues related to the investment process; - The review and evaluation need to have enough data and scientific methods, system and suitable to the object and content of evaluation; - Proposals and recommendations should be practical, specific and feasible; - Results of diagnosis and assessment should be handled and responded positively, quickly and thoroughly; - Monitoring and evaluation should be conducted for all construction investment projects using state capital b Organization of monitoring and evaluation of construction investment projects using state capital According to the current legal regulations and the actual organization of monitoring, the project of state capital construction investment project in Vietnam is divided into levels: government; ministries and ministerial-level agencies; provinces and cities directly under the central government (collectively referred to as provincial level) and cdt 2.2.1.6 Legal basis for organizing and implementing monitoring and evaluation of construction investment projects using state capital - System of legal documents and regulations on investment management in general, on construction investment of state capital in particular - Provisions on duties and tasks of management levels; - Regulations ensure the completeness and transparency of information; independence in monitoring, controlling construction investment process - Regulations on reviewing investment situation and investment situation; - The information system, the manual of monitoring and evaluation on investment is institutionalized 2.2.2 Contents of monitoring and evaluation of construction investment projects using state capital 2.2.2.1 Monitoring and evaluation during the project preparation period a Contents for tracking and inspection - Follow up the process of making a report on investment policy, the feasibility study report, the feasibility study report, the economic-technical report on construction investment to ensure compliance with the law, complete and accurate data, reliable and legal - Check compliance with legal regulations in project preparation b Contents for assessment - Assessing the necessity of investment, the feasibility of conditions to implement construction investment; compliance with investment plans and plans; objectives, scale, location and form of construction investment; demand for land and resource use; preliminary design plans on construction, technology, techniques and appropriate equipment; time to implement the project and assess the preliminary total investment, capital mobilization plan; ability to repay and repay loans (if any); preliminary determination of socio-economic efficiency and assessment of project impacts; clarify contradictions (if any) between curriculum, decision and content of the project - Evaluation of the capacity of investors Projects are initially screened and evaluated to ensure that the proposed project meets the minimum conditions that can be considered in the next step 2.2.2.2 Monitoring and evaluation in the implementation phase of construction investment projects Monitoring and evaluation in the implementation phase of the construction investment project is the monitoring, checking and determining the level of achievement of the project implementation process in accordance with the decision a Monitoring in the implementation phase of construction investment projects The main contents of monitoring of construction investment projects are shown in table 2.4 b Evaluation in the implementation phase of construction investment projects - Initial evaluation - Mid-term or phase review - Unexpected assessment The main contents of evaluating construction investment projects are shown in table 2.5 2.2.3 How and order to supervise construction investment projects using state capital 2.2.3.1 How and sequence to implement monitoring a How to monitor investment projects - Regular monitoring at the scene; - Follow up through periodic reports and extraordinary reports as required; - Subscribe through combining the above two forms b Order to monitor investment projects - Building and adjusting the monitoring and evaluation framework of the construction investment project; - Identify information needs and monitoring indicators; - Develop a monitoring plan; - Building organizational structure to support monitoring work; - Prepare tools, equipment and information technology systems to support the monitoring of construction investment projects; - Collect and analyze data; - Report the tracking results according to the prescribed regime 2.2.3.2 Method and order of checking construction investment projects a How to inspect investment projects - Through project reports; - Establish an inspection team according to the content and requirements (synthesized/thematic) b Order of checking investment projects - Prepare and submit for approval the inspection plan; - Establish an inspection team (if any); 11 - Focus on advanced management techniques, information technology application to manage construction investment projects using state capital and publicity and transparency in media; - Using cost-benefit method (CBA) to evaluate state capital construction investment projects with large capital scale; - Coordinate among agencies in exchanging data and information in monitoring, evaluation project of construction investment using state capital CHAPTER CURRENT SITUATION OF MONITORING AND EVALUATION OF INVESTMENT PROJECTS BUILDING USE OF STATE CAPITAL IN VIETNAM 3.1 Actual state of construction investment by state capital 3.1.1 Construction investment situation In the period from 2011 to 2016, the scale of construction investment by the state buevaluationet increased continuously, from vnd 208,306 billion to vnd 265,023 billion in 2016 The ratio of capital infrastructure investment accounts for a huge proportion of the total social investment This shows that the demand for construction investment in Vietnam is large and increasingly tends to increase even from the state buevaluationet 3.1.2 Achievements of construction investment from state capital Construction investment using state capital plays an important role in socioeconomic development, creates a driving force for national development In the period of 2011-2016, Vietnam's economy has gained many great achievements, the gdp index has increased continuously over recent years (table 3.2) 3.1.3 Limitations in monitoring and evaluating of construction investment projects using state capital 3.1.3.1 Limitations in controlling project proposals and approving investment policies Mistakes in ctđt will cause the most serious ttlp Business monitoring, evaluation of construction investment projects using state capital of state management agencies has not done well their functions and duties 3.1.3.2 Limitations in the evaluation and assessment of construction investment projects using state capital The survey results show that the way controlling the process of project formulation and appraisal of construction investment projects is an effective monitoring, evaluation step (table 3.4) However, this evaluation step is not done well, not screening and eliminating projects which are not feasible and ineffective, so in fact, many construction investment ones using state capital have to adjust the implementation process to reduce the effect Investment results or no longer effective investment compared to the plan (table 3.3) 3.1.3.3 Limitations in monitoring and evaluating at the stage of implementation of construction investment projects - There has been no active initiative in monitoring and inspecting cdt and related parties in the implementation of project preparation; 12 - Business monitoring, evaluation in the construction progress has not met the requirements; Through the general report on the work of monitoring, evaluation, overall investment in 2010-2015, shows the slow progress of the current project implementation of invesment plans using state capital (table 3.6 and 3.7) The causes of slow progress are shown as table 3.9 3.1.3.4 Limitations in monitoring and evaluating at the stage of acceptance and transfer of operations Most of the works are of low quality and lost due to tight inspection, monitoring and acceptance In some projects, construction contractors, design consultants, supervisors and investors did collude, which leads to ttlp and corruption 3.2 The situation of implementation of reporting, monitoring and evaluating regime and problems, difficulties in monitoring and evaluation of construction investment projects using state capital 3.2.1 The quality and situation of reporting, monitoring and evaluating construction investment projects using state capital 3.2.1.1 The situation of implementation of reporting regime and quality of monitoring and evaluating reports at provincial and municipal levels at central and central levels A Implementation status reporting regime Many projects of construction investment using state capital, many localities and ministries are slow to send reports, have not updated the information system as prescribed B The quality of reports The data reported has many errors and low accuracy, so the project's issues have not been comprehensively evaluated 3.2.1.2 The situation of implementation of reporting regime and quality of monitoring and evaluating reports of projects A Implementation status reporting regime Some investors have not really focused on monitoring, evaluation projects of construction investment, have not actively implemented the reporting regime as prescribed B The quality of reports The quality of reports has not met the requirements, the content of the report only stops at the level of general reflection on the project situation, has not clearly stated the shortcominmonitoring and has not yet actively proposed solutions to handle or propose the authority to solve problems 3.2.2 Problems and difficulties in the monitoring and evaluation of construction investment projects using state capital in Vietnam In order to identify difficulties and obstacles when organizing the implementation of monitoring, evaluation of the construction investment projects using state capital, the author has conducted surveys in some localities through the steps (survey form is shown in appendix 3): - Step 1: Initial step of survey forms based on information collected from monitoring, evaluation reports of some localities and researches related to monitoring, evaluation projects of construction investment 13 - Step 2: Select and edit groups of questions based on the opinions of experts - Step 3: Edit and complete the survey, send the official questionnaire, 234 votes are satisfied The results obtained after the analysis showed that the main problems and difficulties encountered today when monitoring, evaluation construction investment projects using state capital are shown in table 3.8 3.3 Causes of difficulties and difficulties in the monitoring and evaluation of construction investment projects using state capital 3.3.1 Causes of difficulties and difficulties due to lack of adequate guidance and synchronization of legal regulations The survey results show that the causes of difficulties and obstacles in law enforcement, related policies and mechanisms have a large impact (compared to the average level of 3) to the situation of monitoring, evaluation projects of construction investment (table 3.9) 3.3.1.1 There are no guidelines or regulations on the system of criteria and standards as a basis for monitoring and evaluating construction investment projects There are no guidelines and regulations on the system of standards, criteria and targets for project evaluation In addition, guidance on reporting forms is not consistent and does not explain the criteria and reporting targets This cause has a very high degree of influence on the situation of monitoring, evaluation projects of construction investment (table 3.9) 3.3.1.2 There are no adequate regulations and guidelines on how to build a monitoring and evaluating framework for construction investment projects As a rule, investors must build logical frameworks monitoring, evaluation before starting the project However, there is no guidance on what logical frameworks monitoring, evaluation are and how to build logical framework monitoring, evaluation projects 3.3.1.3 Sanctions against violations in monitoring and evaluation of construction investment projects are not serious The sanctions for dealing with violations of monitoring, evaluation have not been sufficiently deterred In fact, very few projects have been suspended, stopped advance or settled, changed investors when violating regulations on investment in monitoring, evaluation 3.3.1.4 The range of monitoring and evaluation of construction investment projects using state capital has not been stipulated to be uniformly implemented in the whole process of project investment a There is no agreement on the evaluation of construction investment projects using state capital in the project preparation period According to the current regulations, during the project preparation period, the projects of construction investment and use of state capitals must be evaluated and screened by competent state management agencies according to the contents in section 2.2.2.1 Currently through appraisal (see figures 3.3, 3.4, 3.5, 3.6 and 3.7) According to the researches on the theoretical basis of monitoring and evaluation of the construction investment project of using state capital in section 2.2.2.1, it shows that with the 14 contents of evaluation of construction investment projects using state capital, the evaluation of the state management agencies in the project preparation stage, according to the author, is the evaluation of the project by the state management agency (called the previous assessment) Therefore, it is necessary to agree on the concept of "appraising the project" which is "pre-assessment" This unification ensures that the assessment is carried out synchronously, throughout the construction investment process using state capital b There is no agreement on terminology in decree 84/2015/ND-CP and circular 22/2015/TT-BKHDT Chapter ii of decree 84/2015/ND-CP has the title "monitoring and evaluation of investment programs and projects using state capital" but the items and contents shown are monitoring and evaluation projects Public investment, therefore, has not created consistency in the chapter content Clause 3, article 18 of decree 84/2015/ND-CP regulates the content of assessment, however, there is no assessment of the necessity and feasibility of project investment at the initial time In circular 22/2015/TT-BKHDT, only the monitoring and evaluation report form is available before starting construction for state capital project In the law on public investment and decree 84/2018/ND-CP, only the initial assessment is required 3.3.1.5 Some exist in circular 22/2015/TT-BKHDT In the form no 02, there is no evaluation section to consider clarifying the actual situation of the project at the time of starting the project implementation compared to the time of approval with any difficulties, arising and deviations to take appropriate handling measures In the evaluation of investment performance (form no 03), the evaluation of the volumecost and progress is still evaluated separately, not clarifying the relationship between these factors At the same time, there are no conclusions about the status of the project at the time of evaluation: progress is slow / fast / achievable, costs increase / decrease / match, quality assurance / not guaranteed; what are the conditions and resources for the adjustment plan? 3.3.2 Causes of difficulties and difficulties in professional qualifications, capacity and experience of officials and organizations in charge of monitoring and evaluation of construction investment projects using state capital The survey results show that personal experience and organization of implementation of monitoring and evaluation projects of construction investment are insufficient, and have not yet been trained and granted valid monitoring and evaluation investment certificates, which contributes to the real working status of monitoring and evaluation of construction investment projects is not good in the past time (table 3.11) The degree of influence of these causes and difficulties to this situation of monitoring and evaluation is very high (table 3.12) 3.3.3 Causes of difficulties and difficulties in the application of scientific and technological advances in monitoring and evaluation of construction investment projects using state capital 15 Survey results have identified the causes leading to difficulties and difficulties in the application of scientific and technological advances in monitoring, evaluation of construction investment projects, shown in table 3.13 3.3.4 Causes of difficulties and difficulties in organizing the implementation of monitoring and evaluation of construction investment projects using state capital The author has conducted surveys to find out the impact and the level of influence of the causes leading to difficulties and difficulties in organizing the implementation of monitoring, evaluation projects of construction investment using state capital (table 3.14) 3.3.5 Causes of difficulties and difficulties in the awareness of officials performing monitoring and evaluation of construction investment projects using state capital The survey results show that the causes of difficulties and difficulties in the awareness of staff working on monitoring and evaluation of construction investment projects are shown in table 3.15, these causes have an impact on the level of influence High (all above 4.42 compared to the average of 3) 3.4 Analysis of factors affecting the monitoring and evaluation of construction investment projects using state capital 3.4.1 Research design Based on the results of domestic and foreign studies and discussions with experts, the author initially selected 33 factors, divided into 04 main groups (figure 3.8) The survey form is presented in appendix Figure 3.8: Preliminary research model (source: author proposes) Research hypotheses: - H1: Unstable legal and policy mechanisms (PL) are positively correlated with the inefficiency and effectiveness of the work monitoring, evaluation - H2: Monitoring tool factor, evaluation project of construction investment using state capital (CC) is inadequate in correlation with the inefficiency and effectiveness of this work - H3: Ethical factors (DD) are positively correlated with inefficiencies, effectiveness of work monitoring, evaluation 16 - H4: Factor of qualifications, capacity (organization) of the organization and staff performing the work of monitoring, evaluation weak construction investment project of state capital use in the same direction with the ineffectiveness and effectiveness of the work this (NL) The thesis uses questionnaires (appendix 3) including 33 observed variables (table 3.16) In order to identify factors affecting monitoring, evaluation project of construction investment project using state capital, the author designed three steps for the study (figure 3.9) 3.4.2 Factor analysis of discovery, regression and model verification 3.4.2.1 Sample of research data The author sent 300 survey questionnaires to experts, resulting in 279 votes, after eliminating samples of missing information or low quality, the remaining number of observations was 259 3.4.2.2 Survey results and factor analysis are affected by SPSS software The regression equation of factors affecting monitoring, evaluation project of state capital construction investment project is shown as follows: ME =0.219 + 0.320*PL + 0.236*DD + 0.201*NL + 0.164*CC This model will be built to help individuals and organizations monitoring and evaluation project of construction investment using state capital have a more specific and comprehensive view of the factors affecting this work, from which there are appropriate solutions In order to complete monitoring, evaluation project of construction investment using state capital 3.4.3 Conclusion of survey results and analysis of factors affecting the monitoring and evaluation of construction investment projects using state capital in Vietnam Based on the survey results, analyzing the factors affecting the work of monitoring and evaluation of the construction investment project for using state capital in Vietnam The results show that the system of legal documents on construction investment is not synchronous and irrational, which is the most influential factor, followed by the group of factors of morality, experience and awareness of officials In terms of management, policy mechanisms and experience in applying scientific and technological advances in the construction industry in general, in monitoring and evaluation projects in particular in Vietnam, factors related to monitoring tools, evaluation has not been recognized as an influential factor and has an important role in monitoring and evaluation project of construction investment using state capital CHAPTER ORIENTATION AND SOLUTIONS TO IMPROVE MONITORING AND EVALUATION OF INVESTMENT PROJECTS BUILDING USE OF STATE CAPITAL IN VIETNAM 4.1 Socio-economic development objectives 17 The socio-economic development strategy for 2011-2020 was adopted by the 11th party congress with the orientation to mobilize and effectively use resources, especially state resources; strongly develop industry and build towards modernity, improve quality and competitiveness; rapid development of infrastructure, especially transport infrastructure 4.2 Orient solutions to complete the monitoring and evaluation of construction investment projects using state capital 4.3 Solution to complete the monitoring and evaluation of construction investment projects using state capital 4.3.1 Solution to complete the system of legal documents related to monitoring and evaluation of construction investment projects using state capital To assess the urgency and feasibility of the solution to complete the system of legal documents, the author has surveyed and obtained 234 valid answer sheets (table 4.2) In order to complete the system of legal documents related to monitoring, evaluation, the construction investment project using state capital, the author proposed the following solutions: 4.3.1.1 Fully supplement, synchronize and agree on legal documents 4.3.1.2 Expand the scope and content of monitoring and evaluation of construction investment projects using state capital - Adding the term "pre-assessment" - Add content of previous evaluation according to analysis in section 3.3.1.4: 4.3.1.3 Supplement and complete decree 84/2015/ND-CP on investment monitoring and evaluation and some related legal documents a Compiling and promulgating "Investment monitoring and evaluation handbook" b Develop and issue sanctions to handle violations of investment monitoring and evaluation c Supplement and amend circular 22/2015/TT-BKHDT on investment monitoring and evaluation form 4.3.2 Solution on organizing the implementation of monitoring and evaluation of construction investment projects using state capital 4.3.2.1 Establishing the organization of supervising and evaluating professional construction investment projects According to the author, the best and most necessary solution at present is to set up the professional division of monitoring, evaluation project of construction investment in the organizational structure of construction consultancy enterprises to professionalize this profession This department may be a room or a center or a professional branch of the enterprise (hereinafter referred to as the construction investment monitoring and evaluation center) This center carries out the tasks of monitoring and evaluation of the construction investment project through the transaction of construction consultancy contracts a Functions, duties, powers and organizational structure of the center for construction investment monitoring and evaluation b Conditions for implementing solutions (1) Register business lines 18 (2) Capacity conditions (3) Funding for implementation of monitoring and evaluation of construction investment projects 4.3.2.2 Contents of monitoring and evaluation of construction investment projects using state capital The need to focus on the following contents: - Supervise and evaluate the observance of laws, regimes and policies on construction investment of subjects subjected to monitoring, evaluation; - Supervise and evaluate the effectiveness of state capital construction investment project; Monitoring and evaluating the capacity of organizations / individuals in construction investment activities; The content of professor and assessment of the construction investment project uses state capital specifically for each of the above mentioned contents in each investment period, refer to appendix 4.3.2.3 Develop and implement the principle of publicity in monitoring and evaluation of construction investment projects using state capital 4.3.3 Training solutions to improve professional qualifications, capabilities and experience of officials and organize the implementation of monitoring and evaluation of construction investment projects In order to assess the urgency and feasibility of solutions to improve professional qualifications, capacity and experience of monitoring, evaluation staff of construction investment projects, the author surveyed and obtained 234 valid responses (table 4.3) Table 4.3: the urgency and feasibility of the advanced solution Qualifications, competence, experience and awareness T Set of solutions There is Feasibility T urgency Yes No 231/234 189/234 42/234 Organization of specialized departments (98.7%) (80.8%) (18.0%) 230 /234 180 /234 50/234 Intensive training on monitoring and evaluation (98.3%) (76.9%) (21.4%) Raise awareness about the role and importance of 234/234 183 /234 51/234 monitoring and evaluation (100.0%) (78.2%) (21.8%) Strengthen activities of seminars and seminars on 230 /234 187 /234 43/234 projects among stakeholders (98.3%) (79.9%) (18.4%) Strengthen contacts with consulting organizations and 230 /234 185 /234 45/234 external experts (98.3%) (79.1%) (19.2%) Clear, detailed and specific provisions on the rights and 230 /234 219 /234 11/234 responsibilities of individuals and organizations (98.3%) (93.6%) (4.7%) monitoring and evaluation projects 19 The author proposes the training and retraining process to improve the qualifications, qualifications and experience of monitoring and evaluation staff of the construction investment project using state capital as follows: - Step 1: Evaluate the needs and requirements of staff performing monitoring and evaluation work on construction investment projects (both in quantity and quality) - Step 2: Select appropriate training and retraining forms - Step 3: Implement training and retraining according to the selected form - Step 4: Evaluate the effectiveness of training programs - Having preferential policies to enhance the responsibility, consciousness and spirit of self-improvement and self-improvement of each officer - Gather valuable initiatives, proposals and studies to monitoring, evaluation project of construction investment for reference and draw experience; - Strengthening the relationship with outside consulting organizations and experts; - Improve the quality of training in universities; 4.3.4 Solutions to enhance the application of scientific and technological advances in monitoring and evaluation of construction investment projects using state capital In order to assess the urgency and feasibility of the solution to enhance the application of scientific and technological advances in monitoring, evaluation of the construction investment project using state capital, the author has surveyed and obtained 234 valid answer sheets The solutions have been evaluated by most of the officers who are in charge of monitoring and evaluation, which are considered urgent with high feasibility (table 4.4) Table 4.4: the urgency and feasibility of the solution enhance application of scientific and technological advances T T Set of solutions Feasibility Yes No Complete information system on monitoring, 230/234 217/234 13/234 evaluation for construction investment projects (98.3%) (92.7%) (5.6%) using state capital Adopting BIM in monitoring, evaluation project of construction investment using state capital Encourage using pm software such as MP, Primavera, Application of earned value management (EVM) in monitoring, evaluation projects at pmus There is urgency 228/234 (97.4%) 229/234 (97.9%) 229/234 (97.9%) 196/234 32/234 (83.8%) (13.7%) 226/234 3/234 (96.6%) (1.3%) 223/234 6/234 (95.3%) (2.6%) 4.3.4.1 Solution to complete the information system in service of monitoring and evaluation of construction investment projects using state capital In order to complete the information system on monitoring and evaluation, the current construction investment project of state capital needs to perform the following tasks: - Building a standard database; 20 - Standardize the process of reporting project implementation, organizing data collection and data exchange; - Enhancing the application of advances in information technology; + Actively approach and promote BIM application in monitoring, evaluation construction investment project using state capital (see section 4.3.4.2); + Investing in pmda software such as Microsoft project, Primavera , integrating value management techniques (EVM) in these software to assess the status of the project (see section 4.3.4.3 in detail) And 4.3.4.4) 4.3.4.2 Solution of application of building information model (BIM) in monitoring and evaluation of construction investment projects using state capital Solutions to enhance BIM application in monitoring, evaluation of state capital construction investment projects include the following steps: - Develop BIM application plan for construction investment projects - Select the project and the application part of BIM - Analysis, evaluation and promotion - Create source databases - Human resource training - Promoting awareness and participation of consultants and contractors 4.3.4.3 Earned value management (EVM) solutions in monitoring and evaluating construction investment projects The author proposes steps to apply EVM technique in monitoring, evaluation construction investment projects using state capital, which are presented in detail in appendix With the information provided in the investment and monitoring report forms, investment is proposed (section 4.3.1.3 and appendix 8, appendix 9), state management is responsible for monitoring and evaluation projects easily Via EVM to assess the status of the project 4.3.4.4 Solutions to enhance the application of modern project management software in monitoring and evaluation of construction investment projects In order to effectively use modern project management software tools in monitoring and evaluation projects, it is necessary to implement some contents with the following sequence: - Determine the list of tasks to be performed throughout the project life cycle; - Establish relationships and order of execution for each job identified; - Determining the time to complete each part of work; - Making progress by specialized software (requires copyright); - Determine the glove and reserve time for each work 4.3.5 Solution to complete the evaluation of construction investment projects using state capital in the project preparation period 4.3.5.1 Solution to complete the order of evaluating investment policies The author proposes a solution to complete the appraisal and evaluation process of national key projects as shown in figure 4.1 Under this solution, participation of government representatives and consultation of independent consulting organizations and local communities where the project is required is required 21 4.3.5.2 Solution to complete the evaluation method of construction investment projects Through the study of available documents, the author proposes a solution using cost- benefit analysis (CBA) method to evaluate the construction investment project using state capital, presented in detail in appendix 4.3.5.3 Completing the evaluation of technical, technological and location aspects of construction investment projects a In assessing and selecting the scale and capacity of the project Bases for selection of scale and capacity: - System of basic survey data and basic information on analysis, market orientation, - Ability to ensure capital mobilization, product consumption, ability to supply inputs: - Estimated capacity options: analyze and select the appropriate capacity and select the optimal capacity and feasibility b In the evaluation of options for technology and equipment Selecting technology and equipment options is the most important part of the project because it predetermines the financial and socio-economic effectiveness of the project c In assessing and selecting construction site plans To determine the location, it is necessary to study at least two options Each location plan needs to analyze the following aspects:  Analysis of basic conditions: natural conditions; social and technical conditions; characteristics of planning and regional development plans;  Economic analysis  Analyzing social benefits and influences  Process of selecting locations - Phase 1: Analyzing regions, selecting potential areas and locations - Stage 2: Select priority locations - Stage 3: Research in detail the priority locations and give points according to criteria to classify the priority order of location selection d In assessing the plan of building and implementing the construction investment project  Evaluate the construction plan of the project through basic design  Evaluate the plan of implementing construction investment project e In environmental impact assessment and treatment solutions 4.3.6 Solutions to raise awareness, awareness and professional ethics of officials performing the monitoring and evaluation of construction investment projects using state capital 4.3.6.1 Solution to improve anti-corruption institutions a Publicity and transparency in construction investment activities using state capital b Develop and implement regimes, norms and standards c Transparency of assets and income of cadres and civil servants d Responsibilities of the heads of agencies and organizations when corruption occurs 4.3.6.2 Solutions to improve institutions against loss and waste 22 a Causes of waste in construction investment using state capital b Solution to prevent waste and loss in construction investment in state capital Conclusion Conclusion Based on carefully studied research methods, the analysis is based on many theoretical and practical scientific bases, the thesis contributes many new contents about monitoring, evaluation of state capital construction investment projects in Vietnam In current conditions The thesis has solved some contents as follows: Firstly, reviewing domestic and foreign studies on state management on construction investment in general, on monitoring, evaluation for construction investment projects in state capital in particular and finding gaps in research; Secondly, systematizing, supplementing and completing the theoretical basis of monitoring, evaluation of construction investment projects using state capital from the perspective of state management agencies; learn experiences from some countries in the world (such as Chile, Korea, China and the World Bank) Thirdly, analyzing the situation shows difficulties and difficulties in organizing the implementation of monitoring, evaluation project of construction investment for using state capital in Vietnam and the causes of these problems and difficulties: - The situation of project management and construction using state capital in Vietnam is still limited; - Survey and analysis to identify difficulties and difficulties in organizing the implementation of monitoring, evaluation of state capital construction investment projects in Vietnam - Analysis of factors affecting monitoring, evaluation project (ME) of state capital construction investment project is determined by the following formula: ME = 0.219 + 0.320*PL + 0.236*DD + 0.201*NL +0.164*CC Fourthly, proposing solutions to complete the work of monitoring and evaluation of the construction investment project for using state capital in Vietnam, specifically: - Complete and supplement the system of legal documents related to monitoring, evaluation project of construction investment and use of state capital; - Setting up a monitoring and evaluation center for professional construction investment projects under construction consultancy enterprises; - Training to improve professional qualifications, capacity and experience of officers/organizations in charge of monitoring, evaluation project of state capital construction investment; - Enhancing the application of scientific and technological advances in monitoring, evaluation construction investment projects using state capital: enhancing the application of BIM, EVM in monitoring and evaluation construction projects; orientation to standardize the database for information systems about monitoring and evaluation investment 23 - Completing the evaluation of construction investment projects using state capital during the project preparation period Proposing to define cost-benefit analysis method (CBA) is a compulsory method when monitoring, evaluation project of construction investment using state capital Recommendations Firstly, for the national assembly, the government and relevant ministries and localities, it is necessary to: - To supplement and complete the system of legal documents and mechanisms and policies related to monitoring and evaluation of construction investment projects, especially to amend and supplement the law on public investment and the government's decree no 84/2015/ND-CP on monitoring and evaluation invest on the basis of analysis and recommendations in section 4.3.1 - Strengthen sanctions in making conclusions monitoring, evaluation - Publicizing transparency of state capital project use so that the community knows, participates in monitoring, evaluation project - In the evaluation of the proposed training program, the pre-feasibility study report, especially the important projects, with great impacts on the environment, health, and national security must be attended by the local government where the project is located and there must be consultations with independent and domestic consultants and organizations, and people Secondly, the ministry of planning and investment, the ministry of construction and the specialized ministries proposed the cost-benefit analysis method (CBA) as a compulsory regulation when evaluating the construction investment project of using state capital and construction This method has become the Vietnamese standard for calculating and evaluating the effectiveness of state capital construction investment projects Thirdly, strengthen training and fostering to raise awareness and sense of responsibility, save against wastefulness and corruption for officials implementing tasks Along with that, there are training courses on professional skills, including knowleevaluatione of modern applications such as BIM, EVM into monitoring, evaluation construction investment projects using state capital Development direction of the thesis As analyzed in chapter 3, currently in the system of legal documents, standards and regulations in Vietnam not have regulations on the calculation and evaluation of the effectiveness of construction investment projects using state capital Based on the solutions in chapter 4, especially the solutions in section 4.3.5.2 and annex 5, the author wishes to build Vietnamese standards for calculating and evaluating the effectiveness of construction investment projects using state capital: This standard is used to calculate and evaluate the economic efficiency of state capital construction investment project (in the period of making pre-feasibility study report, feasibility study report or making economic-technical report) 24 This standard is the general guidelines for methods, order of calculation, assumptions and basic criteria to be applied in the analysis and evaluation of economic efficiency of construction projects using state capital The dissertation is the foundation, the beginning of further scientific studies later on, improving the theory of management of construction investment in general, monitoring and evaluation projects of state capital construction investment in particular are more suitable for each period , resources, each locality and the Vietnamese market economy./ 25 LIST OF PUBLICATIONS BY THE AUTHOR RELATED TO THE THESIS Nguyen Lien Huong, Nguyen Quoc Toan (2015), “Issues in supervising construction investment projects”, Journal of Construction economics (ISSN 1859-4921), Issue 4/2015, pages 26-29 Nguyen Lien Huong, Nguyen Quoc Toan, To Thi Huong Quynh (2016), “Use targets of NPV, NAV and NFV in monitoring and evaluating investment projects”, Journal of Science and Technology in Civil Engineering (STCE) (ISSN 1859-9058), Issue 29/06-2016, pages 8-12 Nguyen Lien Huong, Nguyen Quoc Toan, Hoang Thi Khanh Van (2017), “Issues in waste in the management of current construction investment costs”, Journal of Construction economics (ISSN 1859-4921), Issue 1/2017, pages 28-35 Nguyen Quoc Toan (2018), “Evaluation of state management for construction investment using state capital in Vietnam”, Journal of Construction economics (ISSN 1859-4921), Issue 1/2018, pages 27-36 Nguyen Quoc Toan, Tran Phuong Nam (2019), “Issues on evaluation of construction investment projects using state capital in the project preparation period”, Journal of Construction and Urban (ISSN 1859-3119), Issue 62-63/2019, pages 65-68 ... Engineering Supervisors: Professor Dr Nguyen Huy Thanh Dr Nguyen Lien Huong Reviewer 1: Professor Dr Nghiem Van Dinh Reviewer 2: Assoc Prof Dr Dang Van Thanh Reviewer 3: Dr Nguyen Pham Quang Tu The... follows: - National Library of Vietnam; - Library of National University of Civil Engineering; HA NOI, 2019 INTRODUCTION The urgency of the topic In recent years, in Vietnam, the state has spent a very... projects using state capital in Vietnam" was selected to meet the above urgent requirements Research goals and objectives 2.1.Research goals Improved and better monitoring and evaluation of construction