Nghiên cứu ảnh hưởng của các yếu tố tổ chức quản lý đến kết quả thực hiện dự án đầu tư xây dựng cơ sở hạ tầng giao thông đường bộ tại việt nam TT TIENG ANH

MINISTRY OF EDUCATION AND TRAINING UNIVERSITY OF TRANSPORT AND COMMUNICATIONS LE TRONG TUNG A STUDY ON THE IMPACT OF MANAGEMENT ORGANIZATION FACTORS ON IMPLEMENTATION RESULTS OF ROAD TRANSPORT INFRASTRUCTURE INVESTMENT PROJECTS IN VIETNAM SPECIALTY: CONSTRUCTION MANAGEMENT CODE: 9.58.03.02 SUMMARY OF ECONOMIC DOCTORAL THESIS HANOI – 2021 The Project is completed at: University of Transport and Communications Scientific Supervisor: Professor Doctor of Science Nghiem Van Dinh Reviewer 1: Reviewer 2: Reviewer 3: The thesis is defended at the School-Level PhD Thesis Examination Council at University of Transport and Communications At…… , date…… month…… year…… The thesis can be found at: Library of University of Transport and Communications National library of Vietnam LIST OF THE AUTHOR’S ANNOUNCED SCIENTIFIC PROJECTS RELATED TO THESIS TITLE The articles published in journals: MSc Postgraduate Le Trong Tung (2021), A study on the influence model of the management organization process on implementation results of infrastructure construction investment projects in Vietnam, Journal of Transport, May 2020, pp 149 - 153 MSc Postgraduate Le Trong Tung (2021), A study on the impact of management organization factors on the implementation schedule of road transport infrastructure construction investment projects in Vietnam, Monthly Journal of Transport and Communications, Issues 1+2/2021, pp 104 - 107 MSc Postgraduate Le Trong Tung (2021), A study on the impact of the control on implementation results of road transport infrastructure construction investment projects in Vietnam, Monthly Journal of Transport and Communications, June 2021, pp.112 – 115 INTRODUCTION Rationale The organizational behavior and the behavior - organizational performance relationship is a research field of particular interest by many domestic and international scholars Stephen P Robbins and Timothy A Judge showed that: the organizational outcome partly comes from behavioral interaction within the organization Despite this fact, the findings of this study are stated in the context that empirical evidence is still requested for implementation organization of road transport infrastructure construction projects However, there have been no experimental researches on organizational behavior and applications into the project organization conditions in the implementation of road transport construction investment projects in the world in general and in Vietnam in particular In order to study the relationship between organizational behavior of project management and project implementation results; and evaluate the magnitude of impact of management organization factors on implementation results of road transport infrastructure construction investment projects in term of theory and practice, the writer chooses the topic "A study on the impact of management organization factors on implementation results of road transport infrastructure investment projects in Vietnam" for his research thesis Purposes and questions of the study a Purposes * Purpose: Study and evaluate the magnitude of impact of management organization factors on implementation results of road transport infrastructure construction investment projects in Vietnam, thereby giving recommendations to improve the implementation results of road transport infrastructure investment projects in Vietnam * Specific objectives: - Develop a model and evaluate the magnitude of impact of management organization factors on implementation results of road transport infrastructure construction investment projects in Vietnam - Base on the findings to make recommendations to the stakeholders in project implementation management activities in order to improve the implementation results of road transport infrastructure construction investment projects in Vietnam b Questions of the study - What are the implementation results of road transport infrastructure construction investment projects? What factors affect such results during project implementation? - What are the project management organization factors? How such factors affect the implementation results of road transport infrastructure construction investment projects? - What is current situation of implementation results of road transport infrastructure construction investment projects in Vietnam over the past time? - How is the magnitude of impact of management organization factors on implementation results of road transport infrastructure construction investment projects in Vietnam in recent years? - What recommendations should be made to improve the implementation results of road transport infrastructure construction investment projects in Vietnam Object and scope of the study a Object The study object is the theoretical, practical and legal basis on the impact of management organization factors on implementation results of road transport infrastructure construction investment projects in Vietnam b Scope of the study - Contents of the study: Study the impact of management organization factors on implementation results of road transport infrastructure construction investment projects; in which the management organization factors are considered based on functions of management, including: planning, organizing, leading of implementation process and controlling of implementation process; The project implementation results are considered based on three important and popular criteria: quality, schedule and cost - Space of the study: The thesis studies the road transport infrastructure construction investment projects across three regions: North, Central Region and South of Vietnam - Period of the study: The secondary data is mainly collected in the 2015 – 2020 period The primary data is collected from expert interviews and surveys conducted in 2020 for individuals who manages the road transport infrastructure construction investment projects in Vietnam Study method - The qualitative research method, mainly deductive method is used in this thesis By this method, the writer bases on the previous domestic and oversea scientific findings on the factors which affect the project implementation results in general and implementation results of road transport infrastructure construction investment projects in particular to clearly identify the inherited and developed contents; and the “knowledge gaps" to be studied, develop a theoretical framework and proposed research model - The quantitative research method is used in the thesis to verify the model and research hypotheses The data collected from the survey will be analyzed through quantitative analysis techniques based on the following steps: descriptive statistics; evaluation of scale reliability; analysis of variance; correlation analysis; Linear regression analysis and model validation Scientific and practical significance of the thesis * Scientific significance - The thesis systematizes and deepens the theoretical basis of management organization factors and the criteria which reflect the implementation results of road transport infrastructure construction investment projects - The thesis develops a research model of the impact of management organization factors on implementation results of road transport infrastructure construction investment projects in a scientific manner and in consistence with Vietnam’s conditions * Practical significance - The thesis analyzes and evaluates the impact of management organization factors on implementation results of road transport infrastructure construction investment projects in Vietnam - The thesis makes recommendations to improve the implementation results of road transport infrastructure construction investment projects in Vietnam Thesis structure In addition to the introduction, conclusions and recommendations, the list of references, appendices, the thesis is structured into four chapters: - Chapter 1: Overview of research projects related to the thesis title - Chapter 2: Theoretical basis and research model of the impact of management organization factors on implementation results of road transport infrastructure construction investment projects - Chapter 3: Research methods of the impact of management organization factors on implementation results of road transport infrastructure construction investment projects in Vietnam - Chapter 4: Findings and recommendations for improvement of implementation results of road transport infrastructure construction investment projects in Vietnam CHAPTER 1: OVERVIEW OF RESEARCH PROJECTS RELATED TO THE THESIS TITLE 1.1 Study of the criteria reflecting and measuring the implementation results of road transport infrastructure construction investment projects 1.1.1 Determination of the criteria reflecting the implementation results of road transport infrastructure construction investment projects Based on related studies, the writer realized that: over the decades, through the research projects of different domestic and international scientists, the researchers have given many criteria to reflect the results of the projects in general and the results of construction project in particular Particularly, the criteria reflecting the results of the project implementation phase include: cost, schedule, quality, safety, satisfaction of stakeholders, etc and the criteria reflecting the results in the phases of operation, exploitation and project completion include: operation and maintenance costs, operation period, profits, safety, user satisfaction and community satisfaction 1.1.2 Measurement of implementation results of road transport infrastructure construction investment projects The study on related scientific projects showed that: The project implementation results can be measured by criteria calculated according to specific mathematical formulas (such as: time variation, cost growth, construction speed, etc); or measured through evaluation of the satisfaction of project stakeholders (such as: Satisfaction of the Investor, Contractor and community, etc) 1.2 Study of the impact of management organization factors on implementation results of road transport infrastructure construction investment projects 1.2.1 Impact of factors on implementation results of road transport infrastructure construction investment projects Based on the synthesis of research results of domestic and oversea relevant scientific projects, the writer realized that the main groups of factors affecting the implementation results of the project in general and infrastructure construction investment projects in particular include: - Group of factors related to the project implementation process - Group of factors related to the project participants - Group of factors related to the management organization - Group of factors related to the capacity and relationship of project participants - Group of factors related to economy and policy - Group of factors related to the external environment 1.2.2 Impact of management organization factors on implementation results of road transport infrastructure construction investment projects In order for the project to achieve its results and objectives, the factor of project management organization plays a very important role According to the writers, the management organization is the key to the project's success Through management tools, the project managers can plan and implement the construction projects to maximize their project success chances Albert P C Chan and et al., conducted a thorough review of the literature related to the key factors affecting the project results and success These are articles published in major journals in the world related to the field of management A total of 43 articles were selected by the authors for analysis After careful research of the documents, the authors realized that influential factors can be grouped into categories, including factors related to project management organization, including: structure of management organization; complete contact information; effective planning and decision-making; project control mechanism; incidents handling; responsiveness; effective coordination; control of contractors’ work; and finally, overall management In Vietnam, the authors also state that the factor of management organization is one of the groups of factors affecting the quality, schedule and cost, as well as the success or failure of construction projects 1.3 Conclusions from the review of the projects related to the thesis title and determination of research gaps 1.3.1 Conclusions from the review of the projects related to the thesis title The review of domestic and foreign scientific projects provides the writer a comprehensive view in terms of theory and practice on the impact of factors in general and management organization factors in particular on the implementation results of infrastructure construction investment projects and road transport infrastructure construction investment projects The research contents of domestic and international authors can be summarized as follows: - The research projects provided many criteria reflecting the results of implementation stages of the infrastructure investment projects in general and road transport infrastructure construction investment projects in particular Particularly, there are common criteria including: cost, schedule, quality, safety and environment - The research projects showed that: the project implementation results can be measured by calculation criteria such as: time variation, cost growth, construction speed, etc; or through evaluation of the satisfaction of stakeholders such as: satisfaction of the investor, contractor and community, etc - The research projects showed many factors affecting the implementation results of the projects in general and road transport infrastructure construction investment projects in particular The factors are grouped into different groups, including: project characteristics; project management organization; project participants; capacity and relationship between project participants; economy and policy; external environment, etc - The research projects showed the impact of management organization factors on implementation results as well as the success or failure of projects, including transport infrastructure construction investment projects 1.3.2 Determination of research gaps Based on a comprehensive study, the writer realized that in previous studies, there are still some gaps to be further discovered: - In most of the related research projects, the impact of management organization factors on the project results is considered along with many other groups of factors At the same time, new research projects are limited to discovery and ranking of the impact of management organization factors on the project results in the overall context of other groups of factors - No study has mentioned on the separate impact, as well as determined the magnitude of impact of management organization factors on implementation results of infrastructure construction investment projects in general and road transport infrastructure construction investment projects CHAPTER 2: THEORETICAL BASIS AND RESEARCH MODEL OF THE IMPACT OF MANAGEMENT ORGANIZATION FACTORS ON IMPLEMENTATION RESULTS OF ROAD TRANSPORT INFRASTRUCTURE CONSTRUCTION INVESTMENT PROJECTS 2.1 Concepts and stages of investment process in construction of road transport infrastructure 2.1.1 Concept of road transport infrastructure - The infrastructure means the entire materials and engineering facilities (such as the system of roads, irrigation, energy, hospitals, schools, etc) establishing a foundation for the comprehensive development of a country, including the economic – social development, security and national defense, contributing to environmental protection and serving the people's life - Transport infrastructure is a type of technical infrastructure, a network of roads to connect different areas in the same country as well as with other areas in the world The transport infrastructure includes: roads, railways, inland waterways, seaports and airports - According to the Road Traffic Law, the road transport infrastructure includes: Highway construction, bus stations, parking lots, stops and other temporary works on the roads to serve traffic and highway safety corridors Particularly, the highway construction includes: roads, parking/stopping places on roads, signal lights, signs, road markings, sign posts, barriers, traffic islands, separators, milestones, wall, embankment, drainage system, vehicle load checking station, toll station and other auxiliary works and equipment for highways system The highway system includes: roads, highway bridges, highway tunnels and ferry landing stages Within the research scope of the thesis, the writer considers the road transport infrastructure in terms of highway construction (roads, highway bridges and road tunnels), bus stations and parking lots 2.1.2 Concept of road transport infrastructure investment project - The road transport infrastructure construction investment project contains a collection of proposals related to the use of capital to perform investment activities in new construction, repair and renovation of road transport infrastructure construction projects for development, maintenance and improvement of the quality of construction works or products or services within a specified time and cost 2.1.3 Stages of investment in road transport infrastructure construction - According to the Construction Law, the order of construction investment of a project (including the road transport infrastructure construction investment projects) is divided into three stages: stage of project preparation, stage of project implementation and stage of construction completion and putting the project's works into operation 2.2 Management organization of road transport infrastructure construction investment projects 2.2.1 Concept of management organization of road transport infrastructure construction investment projects - Based on the concepts of project management in general and construction project management in particular, the writer proposes the concept of management of road transport infrastructure construction investment project as follows: Management of road transport infrastructure construction investment project is the planning, organizing the implementation, leading and controlling all resources and related activities during the life cycle of an road transport infrastructure construction investment project in order to achieve the project objectives - In comparison with other types of projects in other fields, the road transport infrastructure construction investment projects are implemented by a large number of different entities (investors, construction contractors, consulting units, etc) and the number of the entities involved in the project management process has been increasing The different entities (the parties involved in the project) are integrated in the same project organization and establish a project organization for investment and construction of road transport infrastructure construction investment projects - However, in terms of nature, the organization of road transport infrastructure construction investment project is temporary, based on the fact that such organization is only performed during the project implementation period This nature is different from conventional types of organization which operates on a permanent basis However, whether temporary or permanent, unique or universal, an organization of road transport infrastructure construction investment project exists to achieve its objectives because of its existential needs The organization of road transport infrastructure construction investment project (despite its temporary operation) is also established according to the goal-oriented mechanism Therefore, in order to achieve the goals, the project organization is requested to perform the functions of management including: planning, organization, leading and controlling the implementation process As such, the organization of road transport infrastructure construction investment project is understood as performing the management functions in the organization of road transport infrastructure construction investment project This is the concept used in this study 2.2.2 Objectives and subjects involved in the management of road transport infrastructure construction investment projects 2.2.2.1 Objectives of management of road transport infrastructure construction investment projects - Depending on the scale and nature of the project and national socio-economic characteristics, each country has different objectives for management of infrastructure investment projects in general and road transport infrastructure in particular At the most basic level, three objectives are applied by many countries around the world, including: quality, cost and schedule - In Vietnam, five objectives of management of infrastructure construction investment project shall be managed, including: quality, schedule, cost, work safety and environmental protection - The objectives of management of the infrastructure construction investment project including the construction of road transport infrastructure can be considered from the perspective of different subjects: + For the State: the objectives of State management for infrastructure construction investment are to ensure that the projects are implemented according to the strategic objectives of socio-economic development in each period; in consistence with the guidelines, policies and laws of the State and the approved plannings; investment capital and natural resources of the highest efficiency; Without loss and waste + For investors: the investor's objectives of management of infrastructure construction investment project are to achieve the project's objectives; complete the project on schedule, within the approved budget; ensure the quality of the works according to current regulations, technical standards and legal documents + For contractors: The main management objectives of the contractors (including construction contractors and consulting contractors) are to ensure the completion of the works of the project on schedule and according to quality requirements in the contract signed with the Investor; Maximize profits and create prestige, market share, etc 2.2.2.2 Subjects involved in the management of road transport infrastructure construction investment projects In Vietnam, along with the development of objectives for management of road transport infrastructure construction investment projects, the subjects participate in project management are increasing In the first period, there is the participation of the State, investors and contractors Then there are other subjects such as: consulting contractors, design contractors, lenders and even the supervision of the workers (community) in many projects 2.2.3 Contents and form of management of road transport infrastructure construction investment projects in Vietnam 2.2.3.1 Contents of management of road transport infrastructure construction investment projects - The contents of management of construction investment projects in general and road transport infrastructure construction investment projects in particular in Vietnam include management of: scope, work plan; work volume; construction quality; implementation schedule; construction investment costs; construction safety; protection of construction environment; selection of contractor and construction contracts; risks; the works information system and other necessary contents according to current legal documents 2.2.3.2 Forms of management of road transport infrastructure construction investment projects For the construction investment projects in Vietnam: based on the scale, nature, sources of capital and conditions for project implementation, the investment decider shall decide to apply one of the project management forms as follows: - Specialized construction investment project management unit, regional construction investment project management unit - Project management unit for construction investment of one project - The investor using the affiliated professional apparatus - The project management consulting organization 2.2.4 Factors of management organization for road transport infrastructure construction investment projects - Based on the concept of organization of project management for investment and construction of road transport infrastructure stated in Section 2.2.1.1, the management organization is understood as performing the management functions in a project organization Therefore, the factors of management organization of road transport infrastructure construction investment projects are related to the management function of such projects - The domestic and international research projects show that there are four basic functions of management in general and construction investment project management in particular, including: planning, organizing, leading/directing and controlling Therefore, the factors of management organization of road transport infrastructure construction investment projects in this study are related to planning, organizing, leading the implementation process and controlling the implementation process of road transport infrastructure construction investment projects 2.2.4.1 Factors related to planning - Planning is a process by which managers select objectives, activities (or strategies) to achieve such objectives - A plan provides a direction for an organization It tells everyone what the organization is trying to do, what its priorities are, where to go, and how to get there It is a process of arranging resources and deciding what one person should in order to allocate roles, responsibilities, and money It is also a control mechanism: by comparing actual results with plans, managers can determine whether the organization is achieving its goals and make adjustments if necessary - In the management of road transport infrastructure construction investment projects, the planning task includes the following basic contents: determination of the project's objectives and scope; work contents, responsibilities and relationships of related parties when performing such works; Determination of the necessary time and resources to complete the work and the entire project, etc - The implementation plan of a road transport infrastructure construction investment project must be prepared and presented in details so that the investor, contractor and related parties clearly understand the objectives, contents and scope of the work and their own duties, responsibilities and roles Particularly, the content and scope of the work should be described in details At the same time, the plan must clearly show the relationship and coordination between the parties involved in the project implementation These are the factors related to planning the implementation of road transport infrastructure construction investment project 2.2.4.2 Factors related to implementation organization - Implementation organization is the process of plan deployment In terms of nature, organization is the process of determining what tasks will be performed, who will perform them, who reports to Step 2: Qualitative research Developing survey questionnaire (draft) Step 3: Preliminary quantitative research Developing survey questionnaire (formal) Step 4: Formal quantitative research Correlation and linear regression analysis 3.2 Qualitative research and preliminary quantitative research 3.2.1 Qualitative research - The writer developed an interview questionnaire and conducted in-depth interviews with 03 experts from State management agencies, 03 investors, 04 consulting units, 03 construction contractors and 02 lenders The questions were given to determine the management organization factors affecting the implementation results of road transport infrastructure construction investment projects in Vietnam; screen and define a relationship between variables in the research model; check the reasonableness and supplement the items in the scales After then, the author conducts an analysis of the data obtained after the interviews Conclusions are made from synthesis of common opinions of the interviewees who have similar views - The interviewees all agreed that the management organization factors affecting the project implementation results include: planning; organizing implementation; Leading the implementation process and controlling the implementation process However, the interviewees suggested to adjust the language of some items in the most appropriate way (Table 3.2) Table 3.2: Correction of the expression of items Items before correction Items after correction Scale of planning behavior The project implementation plan clearly The project implementation plan clearly expresses the coordination between the describes the coordination mechanism implementing parties among the implementing parties Scale of organizing behavior of implementation process The administrative and legal procedures Legal procedures related to the project are related to the project are under a good under a good implementation organization implementation organization Scale of controlling behavior of implementation process The project is always well monitored in The project quality monitoring mechanism is terms of quality well designed and implemented The project is always well monitored in The project schedule monitoring mechanism terms of implementation schedule is well designed and implemented The project is always well monitored in The project implementation cost monitoring terms of implementation costs mechanism is well designed and implemented 3.2.2 Preliminary quantitative research - After adjusting the items in the qualitative research step, the writer completed the survey questionnaire and conducted a preliminary quantitative research The preliminary quantitative research was carried out, using a detailed questionnaire with total samples in Ho Chi Minh City, 05 samples in Binh Duong, 05 samples in Da Nang and 10 samples in Hanoi There are 31(88.6%) valid survey questionnaires that are collected and can be used for analysis and 04 (11.4%) unusable votes 13 due to the lack of relevant information As such, the questionnaires are basically accepted and a formal quantitative research is conducted 3.3 Variables and scales in the research model of the impact of management organization factors on implementation results of road transport infrastructure construction investment projects in Vietnam Table 3.3: Scales of the implementation results of road transport infrastructure construction investment projects Scales Symbol The investor satisfaction with the quality of completed project OPO1 The investor satisfaction with the completed project schedule OPO2 The investor satisfaction with the completed project costs OPO3 6 Table 3.4: Scale of planning behavior for project implementation Scales The detail and completeness of the plan Clear definition and explanation of project objectives Consistence between the implementation plan and the project objectives Content and scope of work of the parties involved in the project implementation Responsibilities and commitments of the parties involved in the project implementation Coordination between the parties involved in the project implementation Table 3.5: Scale of implementation organizing behavior Scales Establishment of an organizational structure for project implementation Clear regulations of specific responsibilities of each unit and individual when performing specific tasks Clearly determination of roles and responsibilities of decision-makers in the implementation process Establishment of communication channels between participating departments and units Project finance is prepared and timely provided according to the implementation schedule Resources (human, equipment, materials) are prepared and timely provided according to the implementation schedule The legal procedures related to the project are under good implementation organization Table 3.6: Scale of implementation process leading behavior Scales Project leadership positions always show their roles in the project implementation process Project leadership positions always deliver the work requirements to subordinates in a clear and specific way 14 Symbol PLA1 PLA2 PLA3 PLA4 PLA5 PLA6 Symbol ORG1 ORG2 ORG3 ORG3 ORG1 ORG6 ORG7 Symbol LED1 LED2 Project leadership positions ensure that each subordinate understands and take responsibilities for each assigned task Project leadership positions play a role in good coordination between groups and parties involved in project implementation Project leadership positions are good at resolving conflicts arising during project implementation Project leadership positions always inspire and motivate subordinates to well complete their tasks LED3 LED4 LED5 LED6 Table 3.7: Scale of controlling behavior of implementation process Scales Symbol The project quality monitoring mechanism is well designed and implemented CTR1 The quality of the project is always compared and evaluated between the CTR2 actual and the planned Remedial measures against deviations in the project quality are always timely CTR3 taken The project schedule monitoring mechanism is well designed and CTR4 implemented The project implementation schedule is always compared and evaluated CTR5 between the actual situation and the defined plan Remedial measures against deviations in the project schedule are always CTR6 timely taken The project implementation costs monitoring mechanism is well designed and CTR7 implemented The project implementation costs are always compared and evaluated between CTR8 the actual situation and the defined plan Remedial measures against deviations in the project implementation costs are CTR9 always timely taken 3.4 Formal quantitative research - The formal quantitative research method is carried out based on the survey data of the project implementation process and implementation results of road transport infrastructure construction investment projects in Vietnam The surveyed subjects are individuals who operate in the field of management of road transport infrastructure construction investment projects in Vietnam (State management agencies, investors, consulting units, construction contractors, capital lenders, etc) 3.4.1 Sampling and survey methods Sampling method - Overally, the samples in the study are all individuals who operate in the field of road transport infrastructure construction investment projects in Vietnam - The survey sample size requested for the study depends on many factors such as data analysis method, reliability expectations In order to conduct the best regression analysis, according to Tabachnick and Fidell, the sample size n shall be ≥ 50 + 8.m (where: m is the number of independent variables in the model) In the research model of the thesis, there are 04 independent variables, therefore, the minimum sample size is 82 observations For ensuring the reliability of the findings, the writer used 190 questionnaires for the thesis Survey method 15 - The survey subjects are individuals who operate in the field of road transport infrastructure construction investment across three regions: the North, Central region and the South of Vietnam Therefore, the questionnaires will be sent to the survey subjects through online tools such as email and face-to-face interviews 3.4.2 Data analysis methods and tools - After the survey data was collected, the writer cleaned the data, filtered the questionnaires, coded the necessary information in the questionnaires, entered the data and analyzed the data with SPSS Statistics 26 software Data will be analyzed through quantitative analysis techniques according to the following steps: descriptive statistics; evaluation of scale reliability; variance analysis; correlation analysis; Linear regression analysis and model validation • Method of descriptive statistics: - Descriptive statistics is a method of data description by statistical calculations and indicators In the thesis, the method of descriptive statistics is used by the writer to screen raw data and performed through the collected survey data such as: type of road transport project; project scale; capital; investment form; form of project management organization; characteristics of experts participating in the survey; General descriptive analytics of data for planning, organizing, leading and controlling, etc • Method of Cronbach's Alpha reliability analysis: - Cronbach's Alpha reliability analysis is a method of scale reliability evaluation, reflecting the degree of close correlation between the items in the same factor Cronbach's Alpha coefficient indicates whether the items are linked or not, however, it does not indicate which items should be eliminated and which variables should be kept The corrected item–total correlation will help to eliminate such items which not make significant contributions to the description of the concept to be measured - Cronbach's Alpha value ranges from to The higher the Cronbach's alpha value, the more reliable the scale, and a level > 0.7 is considered good and/or acceptable when testing the scale reliability In addition to the value of Cronbach's alpha coefficient, in order to ensure the scale reliability, the correlation coefficient of the corrected item–total correlation must be 0.3 or higher • Analysis of Variance (ANOVA): - The analysis of variance (ANOVA) is a necessary analysis step performed before analysis of the influence between variables in the model The ANOVA analysis is aimed at testing the hypothesis "there is a difference in the mean value of a quantitative variable for different values of a qualitative variable" Specifically, in the analytical model of the thesis, the quantitative variable is "The investor satisfaction with the quality, schedule and cost for implementation of the road transport construction investment projects" Qualitative variables in the survey data include: units (subjects) participating in the project; project scale; capital; investment form; organizational form of project management; geographical area Such qualitative variables have or more values, therefore, the writer uses the one-way analysis of variance (One - Way ANOVA) • Method of correlation analysis: - For verification of the hypothesis about the relationship between the variables, it is necessary to conduct a correlation analysis before the regression analysis The correlation analysis is to test the closeness of linear relationship between the independent variables and dependent variables and between the independent variables through the Pearson correlation coefficient r - The value of the Pearson correlation coefficient (r) ranges from -1 to +1: + The value r > shows a positive correlation between the analyzed variables 16 + The value r < shows a negative correlation between the analyzed variables + The value r = shows that the analyzed variables are not in correlation • Method of linear regression analysis: - After the correlation analysis, the writer conducts a linear regression analysis to verify the research model and hypothesis, as well as determine the degree of influence of the independent variables (known as the management organization factors of the study) on the dependent variables (known as the implementation result of road transport infrastructure construction investment project) The regression results of linear model are analyzed as follows: - Evaluate the appropriateness of regression model: Use coefficient R2 This coefficient indicates the extent (%) of variation of the dependent variables explained by the independent variable Value R2 ranges from to - Verify the appropriateness of regression model: the author uses the F-test method The F-test is used to verify the hypothesis of the appropriateness of the overall linear regression model The study’s linear regression model is considered appropriate and usable when the Sig value of F is less than 0.05 - Test the hypothesis of multicollinearity: The multicollinearity is the state in which independent variables are correlated with each other and verified through the value of the variance inflation factor (VIF) There are many different proposals for the value of VIF, however, the most common proposal is that when VIF is ≥ 10, the multicollinearity occurs - Determine the influence degree and direction of independent variables on dependent variables through the coefficient β The independent variable has the larger absolute value of the coefficient β, the stronger the influence on the dependent variable An independent variable with a positive (+) value of β coefficient has a positive influence on the dependent variable and an independent variable with a negative (-) value of β coefficient has a negative influence on the dependent variable CHAPTER 4: FINDINGS AND RECOMMENDATIONS FOR IMPROVEMENT OF THE IMPLEMENTATION RESULTS OF ROAD TRANSPORT INFRASTRUCTURE CONSTRUCTION INVESTMENT PROJECTS IN VIETNAM 4.1 Evaluation of the implementation results of road transport infrastructure investment projects in Vietnam Evaluation of the project quality - The quality of road transport infrastructure investment projects in the 2015 - 2020 period is basically met in accordance with design documents and current State regulations on quality management However, there are still damages and problems in some projects, however, they have been timely overcome and repaired - In order to ensure the quality of the projects, the Ministry of Transport, the PMUs, the local Departments of Transport and the subjects involved in the project, etc have always fully complied with the current requirements and regulations of the project quality management - However, in the quality management of road infrastructure investment projects over the past time, there have still been limitations in the process of project implementation, related to activities such as survey, design, construction, testing and inspection of project quality during construction, supervision of construction process, acceptance of completed works and items, etc, leading to quality defects, as a result, the repair and remedies are requested in a number of projects, which causes bad public opinions and certain impacts on the sector's reputation (such as: Da Nang - Quang Ngai Expressway Project; Ho Chi Minh Highway Project, specifically Chu Se bypass, Gia Lai province) Evaluation of project implementation schedule 17 - In the 2015 - 2020 period, most of the road transport infrastructure construction investment projects are completed on schedule, especially many projects go ahead of schedule, accordingly, the efficiency is promoted when the project is soon put into operation and use and thousands of billions dong of investment capital are saved - However, some bidding packages and projects are implemented behind schedule against the signed contract, especially for the bidding packages selected by investors under investment projects in the form of public-private partnership (PPP) The main reasons for delayed implementation of road transport infrastructure construction investment projects over the past time include: many difficulties in compensation and site clearance; the State’s slow allocation of public investment capital; the impacts of weather conditions; Complicated developments of Covid-19 pandemic in all localities across the country from the beginning of 2020; weak capacity of investors, contractors and consultants; cumbersomeness, even a step overlap in legal procedures Evaluation of project implementation costs - In the 2015 – 2020 period, the costs for road transport infrastructure construction investment projects are strictly managed and controlled from the stage of project formulation, construction and acceptance to the state of putting the project into operation and use Therefore, the settled investment capital of most projects does not exceed the total approved investment - However, during the construction process of road transport infrastructure construction investment projects in the 2015 – 2020 period, the construction contract value shall often be adjusted many times due to the addition of items, changes in volume and adjustment of unit prices, etc In addition, there are still shortcomings in the adjustment of contract price, which affects the schedule of project implementation - In addition, during the implementation process of a number of investment projects of road transport infrastructure construction investment projects in the 2015 – 2020 period, there are still mistakes in the formulation and approval of the total investment, construction cost estimates and management of construction investment costs The State Audit stated such mistakes in the audits and made recommendations for finance handling and rectification of the management of construction investment projects (specifically, credit projects in the transport sector for 2nd renovation of the national road network; the construction investment project for expansion of Highway from Km 1265+00 to Km 1353+300 in Phu Yen province; Mekong delta transport infrastructure development project (WB5); Component B and a number of road transport projects in the form of BOT, BT, etc) 4.2 Results of running a research model of the influence of management organization factors on implementation results of road transport infrastructure construction investment projects in Vietnam and discussions 4.2.1 Descriptive statistics of the research sample Table 4.5: Description of the research sample Ratio Survey information Quantity (%) - years 13 6.8 – 10 years 47 24.7 Experience in project 11 – 20 years 107 56.3 management > 20 years 23 12.1 Road 135 71.1 Highway bridge 44 23.2 Type of the project/work Highway tunnel 09 4.7 18 Survey information Quantity Ratio (%) 1.1 17.4 15.8 66.8 34.7 41.1 10.5 Bus station, parking lot 02 North 33 Central region 30 Geographical area South 127 Investor 66 Contractor 78 Supervision consultant 20 Participants in bidding Project management 14 7.4 packages/projects consultant State management agency 04 2.1 Other (subcontractors, 08 4.2 lenders) State capital 105 55.3 ODA 48 25.3 Sources of capital Private capital 22 11.6 Other capital 15 7.9 Prepare pre-feasibility study 52 27.4 report Prepare feasibility study Project scale 111 58.4 report Prepare economic - technical 27 14.2 reports Public investment 143 75.3 BOT 24 12.6 Forms of investments BT 08 4.2 Others 15 7.9 Specialized and regional 94 49.5 PMUs Project management unit for construction investment of 09 4.7 one project Form of project management The investor’s direct 66 34.7 organization management of the project Hire a project management 21 11.1 consultant 4.2.2 Results of scale reliability verification Table 4.11: Summary of results of scale reliability verification of items Corrected item Cronbach's Scale mean if Scale variance if Items – Total Alpha if item item deleted item deleted correlation deleted Implementation planning behavior: Cronbach's alpha = 0.846 PLA1 20.37 5.758 521 841 19 Corrected item Cronbach's Items – Total Alpha if item correlation deleted PLA2 20.43 5.875 623 825 PLA3 20.33 5.852 603 827 PLA4 20.44 5.327 705 806 PLA5 20.57 4.966 691 809 PLA6 20.66 4.872 670 815 Implementation organizing behavior: Cronbach's alpha = 0.773 ORG1 24.07 7.836 507 743 ORG2 24.02 7.645 569 732 ORG3 24.04 7.966 493 746 ORG4 24.21 8.259 415 760 ORG5 24.31 6.732 509 749 ORG6 24.22 7.030 539 736 ORG7 24.21 7.733 484 747 Implementation process leading behavior: Cronbach's alpha = 0.874 LED1 19.37 6.562 675 853 LED2 19.39 6.472 710 847 LED3 19.41 6.614 671 854 LED4 19.44 6.279 727 844 LED5 19.56 6.300 682 851 LED6 19.70 5.936 634 865 Implementation process controlling behavior : Cronbach's alpha = 0.887 CTR1 31.97 13.089 609 876 CTR2 31.96 12.850 715 868 CTR3 32.07 13.048 626 875 CTR4 32.11 13.470 560 880 CTR5 31.97 13.576 579 879 CTR6 32.09 12.876 636 874 CTR7 32.04 12.776 722 867 CTR8 32.13 12.676 656 873 CTR9 32.22 12.255 657 874 Scale of implementation results: Cronbach's alpha = 0.748 OPO1 7.75 1.436 576 669 OPO2 7.97 1.169 587 656 OPO3 8.05 1.341 573 666 4.2.3 Results of analysis of variance (ANOVA) - According to the results of analysis of variance of the affected groups, including: participants; project scale; source of capital; forms of investment; form of project management organization, there is no mean difference Such consistence shows that the evaluation of the investor satisfaction with the quality, progress and cost is considered from the same opinion, even in different subjects; different project scale; whether state capital, private capital, or foreign capital; different forms of project investment; different types of project management organization Therefore, a study on the impact of Scale mean if Scale variance if item deleted item deleted 20 management organization factors on the project implementation results is very necessary and meaningful for detecting shortcomings and making recommendations to improve the implementation results of road transport construction investment projects in Vietnam 4.2.4 Results of correlation analysis The results of correlation analysis show that: all significance levels Sig < 0.05 and the correlation coefficients (r) ranged from 0.343 to 0.662 (satisfying the condition -1 ≤ r ≤ + 1) Therefore, all four independent variables have a very close linear relationship with the dependent variables 4.2.5 Results of linear regression analysis and research model validation 4.2.5.1 Results of linear regression analysis Table 4.20: Summary of regression analysis results Coefficientsa Unstandardized Standardized Coefficients Coefficients Model B Std Error Beta t (Constant) 561 362 1.552 PLA 223 081 189 2.747 ORG 231 108 193 2.146 LED 028 094 026 298 CTR 362 105 300 3.438 a Dependent Variable: OPO Sig .122 007 033 766 001 Collinearity Statistics Tolerance VIF 759 447 483 475 1.318 2.238 2.071 2.106 - The results of regression analysis show that all four independent variables (including planning behavior, organizing behavior, implementation process leading behavior and implementation process controlling behavior) have a positive relationship with dependent variables (the investor satisfaction with quality, progress and cost) However, the variable "implementation process leading behaviorLED" has no statistical significance in the model, because according to the t-test results (Table 4.20), the significance level of the LED variable is 0.766 > 0.05 - The relationship between the dependent variable and 03 independent variables (planning behavior, implementation process organizing behavior and implementation process leading behavior) through the regression coefficient (β) is expressed in the form of regression equation as follows: OPO = 0.561 + 0.223 PLA + 0.231 ORG + 0.362 CTR 4.2.5.2 Regression model validation Test the appropriateness of the prognostic model • Regression standardized residual 21 Graph 4.1: Histogram of regression standardized residual - Based on the graph (Figure 4.1), it can be seen that: the normal distribution curve is superimposed and almost coincided with the amplitude of the histogram This curve is bell-shaped, which is consistent with the graph of normal distribution The mean (Mean = 2.37 E – 15) is close to and the standard deviation is 0.989, which is close to Thus, it can be affirmed that the distribution of residual fluctuations of the prognostic model is approximately normal and the assumption of normal distribution of the residuals is not violated Graph 4.2 Normal P-P Plot of regression standardized residual - The Normal P-P Plot (Figure 4.2) shows the differential points in the residual distribution gathered into a diagonal As such, the assumption of normal distribution of the residuals is not violated • Test the linear relationship between dependent variable and independent variable - Based on the Scatter Plot chart (Figure 4.3), it can be seen that the distribution points of the residuals form a straight line and fluctuate around the zero coordinate As such, the assumption of linear relationship between the dependent variables and the other variables is not violated 22 Figure 4.3: Scatter Plot Scatter 4.2.6 Findings discussion First factor: Planning - The findings show that the implementation planning factor has a positive impact and plays an important role in the implementation results of bidding package as well as the road transport infrastructure construction investment project - However, in the reality of road transport infrastructure construction investment in our country, the planning of project implementation as well as the planning of bidding packages implementation has not been paid special attention by relevant stakeholders In addition, the capacity of organizations and individuals involved in planning is limited; the scale of road transport infrastructure construction investment project is large and complicated, as a result, in many bidding packages and many projects, the contents of the master plan and detailed plan must be changed and supplemented; design documents, total investment, estimates and contract value, etc must be adjusted many times during project implementation This fact greatly affects the organization and implementation as well as the implementation schedule of the bidding package and the whole project, etc Second factor: Implementation organizing - The findings show that the organizing factor has a statistically significant influence on implementation results of the bidding package and the road transport infrastructure construction investment project - Financial difficulties of the parties and unstable legal factors are the factors leading to delayed schedule and cost overruns of road transport infrastructure investment projects in Vietnam The resource delay is one of the factors that affect the project quality The overlap between laws and legal procedures is considered a major barrier in the construction of road transport infrastructure investment projects in our country today Third factor: Implementation process leading - The findings show that the implementation process leading factor has no impact on implementation results of the bidding package and the road transport infrastructure investment project in Vietnam The findings are also found in the previously published studies Geoghegan and Dulewicz acknowledge that the theory has failed to prove the existence of a direct relation between leading factor and implementation results and success of the project - The implementation process leading factor is not selected in the explanatory model for the dependent variable, therefore, it is difficult to explain such findings in terms of general principles and standards of management science However, the above-mentioned findings can be explained 23 according to specific conditions in the management of road transport infrastructure construction investment projects in Vietnam Based on the reality of management of road transport infrastructure construction investment projects in our country, as well as the results of expert surveys, it can be assessed that the leadership positions of the bidding package and the project always deliver the requirements about the work to subordinates in a clear and specific way and make sure that each subordinate clearly understands each assigned task However, the leadership positions have not played a good role of coordination among the groups and the project participants; the conflicts arising in the implementation process have not been well resolved Especially, they have not been able to inspire and motivate their subordinates to well complete their tasks The findings provide a scientific basis for proposing solutions to improve the implementation results of road transport infrastructure investment project in Vietnam Fourth factor: Implementation process controlling -The findings show that the implementation process controlling factor has a very statistically significant influence and the greatest impact on implementation results of the bidding package and road transport infrastructure investment project - The reality of management of road transport infrastructure investment project in Vietnam and the results of expert survey show that the implementation process controlling factor plays an important role and has a great influence on implementation results of road transport infrastructure investment projects This fact is also affirmed in the regression equation that expresses the relationship between the independent and dependent variables when the implementation process controlling variable has the largest regression coefficient (β) 4.3 Recommendations for improvement of implementation results of road transport infrastructure investment projects in Vietnam 4.3.1 For State management agencies - The State should perfect the current system of legal documents related to construction investment activities, especially the current legal system on investment in the form of public-private partnership (PPP), which is incomplete, insufficient and inconsistent with actual conditions, frequently changes and overlaps - The State should reduce the cumbersome investment procedures to accelerate the project implementation - The Ministry of Planning and Investment and functional agencies should review, approve and give an early announcement on the allocation, adjustment and supplement of capital for projects to be implemented so that the construction schedule is ensured - The Ministry of Transport should consider reducing the steps for opinion collection during the project appraisal process to shorten the implementation time, etc 4.3.2 For Project Management Units - Constantly innovating the management, streamlining the organizational structure to enhance the management capacity Strengthening decentralization and decentralization, and clearly defining the responsibilities of functional departments and divisions - In parallel with renovation of the project management apparatus, special attention should be paid to the training and fostering for managers in consistence with the characteristics of each work and the project requirements - Paying special attention to the implementation planning for each project and each bidding package; as well as evaluation of plan implementation 24 - In order to control the implementation schedule and quality of the completed project, the PMU should strictly apply sanctions for the stakeholders about their commitments to the project schedule and quality - Establishing and developing a process as well as a specific control method on quality, schedule and cost of project implementation as a basis for application and implementation - Closely managing and supervising the mobilization of resources (materials, machinery, equipment and personnel) of the contractor according to the signed contract - Leadership positions and officers in charge of the PMU shall regularly follow the assigned projects, and work with the contractor to timely remove difficulties and obstacles in order not to affect the implementation results of the projects At the same time, the leadership positions should show their role in good coordination between groups and parties involved in the implementation; well solve conflicts arising during implementation process - Strengthening the inspection and supervision of contract performance; contract modification; control volume, norms, unit price, etc in order to effectively control the project implementation costs, prevent the waste and loss of investment capital - Accelerating the application of modern management technologies, especially the application of building information modeling (BIM) 4.3.3 For construction contractors - Taking the effective capital mobilization measures to ensure their financial capacity for implementation of bidding packages according to the signed contracts - Training and improving skills for workers, professional qualifications for personnel and engineers of the contractors - Paying special attention to the quality of construction planning Before starting the construction, the contractor should establish and submit the construction method to the investor to obtain the investor's approval - Using the site superintendent and key personnel in accordance with the specified requirements and the list as proposed in the bids when joining the bid - Key formals and technical staff of the contractor must be regularly present at the site to operate, direct and control all stages in the construction process to ensure that the construction process complies with the process, technical specifications and design documents in all items as well as the whole project - The contractor's leadership positions are requested to show the executive role in the construction process; a good coordination between groups and parties involved in the implementation; at the same time, well resolve conflicts arising during the implementation process; Especially, the leadership positions shall inspire and motivate subordinates to fulfill their tasks, etc 4.3.4 For construction investment consulting units - Training and fostering to improve the professional qualifications of consultants and engineers Enhancing the responsibility and professional ethics of individuals and construction investment consulting units - Establishing a mechanism to inspect and supervise all activities within the scope of consulting work under the contract signed with the investor - Strengthening the application of modern equipment and software for construction investment consulting activities, etc CONCLUSIONS AND RECOMMENDATIONS The management organization plays a very important role in the project implementation process and affects the implementation results of road transport infrastructure construction investment 25 projects However, no great importance is attached to the influence of management organization factors on implementation results of construction investment projects in general and road transport infrastructure construction investment projects in the previously published studies The thesis's study aims to fill the knowledge gap by determination of management organization factors and evaluation of the influence of management organization factors on implementation results of road transport infrastructure construction investment projects For achievement of such objective, a research model based on the organizational behavior model of Stephen P Robbins and Timothy A Judge (2013) was proposed and tested based on the data of expert survey across the North, Central Region and South of Vietnam The data analysis to test the proposed research model was performed through the SPSS Statistics 26 statistical software The analysis results showed 03 independent variables including: planning, organizing, and controlling of the implementation process The implementation process has a positive and statistically significant influence on implementation results of road transport infrastructure construction investment projects The findings not only contribute to clarifying the scientific basis of the influence of the management organization factors on implementation results of road transport infrastructure construction investment projects but also provide scientific information to propose solutions for improvement of implementation results of road transport infrastructure construction investment projects in Vietnam • New contributions of the thesis In terms of theory: - The thesis systematizes and deepens the theoretical basis of the management organization factors, as well as the criteria reflecting and measuring the implementation results of road transport infrastructure construction investment projects - The thesis develops a research model on the influence of the management organization factors on the results of implementation results of road transport infrastructure construction investment projects in a scientific manner and in consistence with the conditions in Vietnam based on the organizational behavior model by Stephen P Robbins and Timothy A Judge In terms of practice: - The thesis analyzes and evaluates the influence of management organization factors on implementation results of road transport infrastructure construction investment projects in Vietnam - The thesis gives recommendations to stakeholders related to the project implementation management (the State management agencies, the PMU/Investors, contractors, consulting units) to improve the implementation results of road transport infrastructure construction investment projects in Vietnam • Limitations of the thesis The research objectives of the thesis have been achieved, however, there are still limitations in the research as follows: - The expert survey for collection of primary data was conducted only for domestic organizations and no attention is paid to the foreign entities (investors; consultants; contractors; lenders) who participate in the road transport infrastructure construction investment projects in Vietnam - The road transport infrastructure construction investment projects in the survey are not evenly distributed across three regions of the North, Central Region and South Recommendations for further research directions: - Based on the findings of the thesis, for purpose of future studies, the model can be used to study the influence of the management organization factors on implementation results of construction 26 investment projects of other infrastructures (such as education, healthcare and energy) and expand the survey respondents to the foreign organizations involved in the infrastructure construction investment in Vietnam 27 ... construction investment projects in Vietnam, thereby giving recommendations to improve the implementation results of road transport infrastructure investment projects in Vietnam * Specific objectives: -... projects in Vietnam in recent years? - What recommendations should be made to improve the implementation results of road transport infrastructure construction investment projects in Vietnam Object... investment projects in Vietnam - The thesis makes recommendations to improve the implementation results of road transport infrastructure construction investment projects in Vietnam Thesis structure