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VIETNAM ACADEMY OF SOCIAL SCIENCE GRADUATE ACADEMY OF SOCIAL SCIENCES NGUYEN THUY LAN INNOVATING THE MANAGEMENT OF CONSTRUCTION INVESTMENT PROJECTS USING STATE BUDGET AT STATEOWNED SCIENCE AND TECHNOLOGY INSTITUTIONS Major: Economic Management Code: 62.34.04.10 DOCTORAL DISSERTATION SUMMARY HANOI, 2016 This work is completed at: GRADUATE ACADEMY OF SOCIAL SCIENCES Supervisor: ASSOC.PROF DR NGUYEN XUAN DUNG ASSOC.PROF DR CU CHI LOI Reviewer 1: PROF DR NGUYEN QUANG THAI Reviewer 2: ASSOC.PROF DR TRAN ĐINH THAO Reviewer 3: ASSOC.PROF DR PHAM XUAN ANH The thesis will be defenced in the Commission for doctoral thesis evaluation of the Graduate Academy of Social Sciences At……… , on…………….2016 The thesis can be found at: - The National Libary of Vietnam - The Library of the Graduate Academy of Social Sciences INTRODUCTION The urgency of the research Effective allocation of scarce resourcesin the management of public investment projects generally and construction investment projects using state budget particularlyis considered to be a major State’s policy Currently, the State has passed serveral policies aimed at gradually changing the mechanism of financial management activities for the public service units, including the Science and Technology business units, as well as investing in qualified facilities and signing these facilties to management units, then determining the appropriate depreciation according to the law, steadily giving these units control over their own budgets and reducing financial assistance from the State’s budget The State has spent its budget on science and technology in general and scientific and technological institutions of government in particular, which focus was equipment for scientific research purposes State budget investment capital has enhanced work area as well as upgrading a number of specialized research institutes, laboratories, information centers, library, etc However, the implementation of the plan has thus far been slow; Implementation process changes; business payment and settlement was still at large; outdated models that does not fit the new regulations of the State as well as unclear Project Management System, For the reasons above, the issue of "Innovating the management of construction investment projects using state budget at state-owned science and technology institutions" is the author selected research topic for her doctoral dissertation, majoring in in the field of economic management The purposes and tasks of the dissertation 2.1 Purposes of the dissertation:The thesis will examine the reality of Construction Investment in the organization of government science and technology in the period from 2006 to 2015, analyzing the accomplishments as well as the drawbacks of the policies, deducing the reasons to the problem while at the same time and proposing solutions in the upcoming periods 2.2.Tasks of the dissertation - Literaturally reviewingstudies related to the chosen topic from some countries in the area - Introducing and clarifying concepts relating toconstruction investmentproject management using the state budget - Assessing the situation of the management of construction investment projects using state budget at state-owned science and technology institutions, highlighting and analyzing the main issues - Proposing some major solutions for improving and innovatingthe management of construction investment projects using state budget at state-owned science and technology institutions Subject and Scope of the Research 3.1 Subject of Research: Management of construction investment projects funded by the state budget at science and technology institutions of the government 3.2 Scope of Research - Content:The process of organizing the management andimplementation ofconstruction investment projectsusing funds from the state budget - Scope: Construction Investment Projects held at State owned Science and Technology Institution - Duration: From 2006 to 2015, oriented to 2020 and projected until 2030 The methodology and research methods of the disseration - Literature review research: Focusing on the theoretical framework of the subject in questions; referencing past researches of the same caliber - Research Survey Methodology: Surveying government officials having worked or currently working in the field of Project Construction Investment funded by state budget (received 124 responses), in-depth interviews with five expert in the field of organization of government science and technology Using statistical methods, combined with SPSS software to determine the frequency of the same comments as a basis for evaluation - Using statistical analysis and comparative rate control: Using secondary data collected from previous researches as well as primary data from surveys and interviews to conduct ratio analysis to make comparisons to assess the situation and clarify the cause of the problems - Analyzing and synthesizing systems:Observing the domestic and internatiomal impact on science and technology in general, to project management in governmental institutions in particular to propose solutions New scientific contributions of the disseration - Formalizing some theoretical issues and practical project management with capital construction investment budget, clarification of the nature of the management of construction investment projectsusing the state budget, distinguishing the difference between the cost of capital construction investment and construction investment - Proposing a system of project evaluation criteria through various stages: the evaluation of projects approved for decision making; the implementation of the project to assess the quality of management; the completion to evaluate the effectiveness of project management - Assessing the situation of the state - budget construction investment project management in the government science and technology organization using SWOT analysis - Proposing solutions for innovating construction investment project management using state budget regarding to financial resources, implementation and organization, organization structure and management process 6.Theoretical and practical significance of the dissertation -Theoretically, the research has managed to indicate following points: the nature of the management of construction investment projects using the state budget, difference between the cost and capital of construction investment - Practically, the thesis has proposed a number of solutionsto innovate the management of construction investment projects using the state budget at the government science and technology organizations including a system of evaluation criteria and process management that could be appliedgenerally to public science and technology organizations Structure of the dissertation: The thesis is divided into four chapters as follows: Chapter Literature Review of research situation Chapter 2.Theoretical and practical basis of the management of construction investment projects using the state budget at state-owned science and technology institutions Chapter Status of the management of construction investment projects using the state budget at state-owned science and technology institutions Chapter 4.Solution to innovate the management of construction investment projects using the state budget at state-owned science and technology institutions CHAPTER LITERATURE REVIEW OF RESEARCH SITUATION 1.1 Studies of foreign scholars 1.1.1 The Relationship between State’s Budget and Government Spending Generally, the authors focused on the importance of the budget in macroeconomic management and budgeting priorities of the government as well as management of the state budget according to the tasks divided Many studies have shown the relationship between public investment, budget and social policies, which refers to the structure of capital expenditure in order to achieve high efficiency and limit public debt and State budget deficit 1.1.2 Investment Project Management and Pulblic Investment Management Studies on project management was recorded fairly early on, for example the research concerning the management of the progress and costs through horizontal chart of Henry Gantt (1861-1919); Project analysis and management of national target programs of Frederick Winslow Taylor (1856-1915); Project Management tools: resource allocation, division of work over time, project progress along gloves and CPM network diagram; MPM; Pert, etc In 1969 the Project Management Institution at the Georgia Institute of Technology School of America was established Later in 1983 their publication of"A Guide to the Project Management Body of Knowledge- PMBOK Guide" became the handbookfor researchers and managers in the process of implementation of the project On the otherhand, the researches conducted by World Bank has provided assessments of investment management for the Government, which consists of basic characteristics: Orientation investment; Investment preparation; Project evaluation; Independent evaluation; Estimating project; Organization of implementation; Adjust the project (if neccessary); Monitoring from the grassroots; Evaluation results via "A DiagnosticFramework for Assessing Public Investment Management" (2010) 1.2 Studies of domestic scholars 1.2.1.Researches on Government Spending and Construction Investment On a local scale, Trinh Thi Thuy Hong’s doctoral dissertation, named "Management of state expenditure, investment in capital construction in the province of Binh Dinh," (2012) mentioned the content, method of preparation of cost estimates, executive expenses, settlement expenses in construction investment utilizing Government’s funds 1.2.2 Researches on managing construction investment projects The authors have analyzed Project Management by looking at: Procurement Management, which consists of managing progress, volume, quality, costs, supplies, equipment, human resources, etc For example, the research by Bui Ngoc Toan as editor in 2006 titled "Organization management and implementation of construction projects;" Trinh Quoc Thang‘s "Management of investment projects construction" (2007); Do Dinh Duc and Bui Manh Hung’s "Management of construction investment projects" (2012) Bui Manh Hung and Bui Ngoc Toan, Bach Tung Dao, Tran Anh Tu, co-editor of the 2012"Managing resources projects construction investment;"Dr Thai Ba Can (2009), "Analysis and management of investment projects;" Tu Quang Phuong’s"Curriculum management of investment projects" in 2005 However, the on-site management approach did not manage to distinguish much between cost management and capital managemen Meanwhile, these researches fail to analyze the process of annual planning, medium-term plan, advance spending and advance recovery, etc which implies the impraticality of theseresearches with institutions that have no specialized construction unit Serveral authors examining State funded project management activities in various Governmental branches, such as the construction and transportation sector, which would imoly that those project evaluation criteria can not be applied (Tran Van Khoi’s doctoral thesis (1999), "Innovating the process of managing investment projects and ehancing equipment capacity of transportation construction firm;" Le Thanh Huong’s doctoral thesis (2005) “The reality of managing of investmen projects in the construction infrastructure sector of Vietnam,” etc 1.2.3 Managing construction investment funds in project management In this particular field, some studies propose solutions to prevent waste and loss of state investment capital such as: Dr Thai Ba Can (2003), "Financial management in construction investment;"Nguyen Manh Duc (1994) "Improving management mechanism in order to improve the efficiency of capital construction investment capital in Vietnam;" Nguyen Ngoc Dinh (1996) "Managing and improving the efficiency of capital use basic construction investment in VN,"etc Many authors approach capital management from the State authorities to establish control and assuage outstanding debts in capital construction such as Le Hung Son (2003)"Solutions to improve the quality of financial management of investment projects in the state treasury system in Vietnam;'' (2003) Doctor-Associate Proffersor Nguyen Dinh Tai, Le Thanh Tu (2010) "Raising the efficiency of public investment in Vietnam;" the Ministry of Planning and Investment research (2005), "Recommendations of to improving the efficiency allocation of state budget investment;" Serveral studies and proposal to manage investment capital from the state budget in areas such as Doi Quang Tuan’s doctoral thesis (2009), "Towardsimprovement of the investment capital for basic construction’s efficiency, managed by the city of Hanoi;" Le The Sau (2012) "Effects of investment projects by state budget Bac Giang province," etc However these resreaches are not applicable to Science and Technology projects 1.2.4 Research evaluation of investment projects construction Some authors have proposed methods of cost analysis, assessment of financial efficiency of investment projects, such as: Nguyen Hong Thang eds (2010), "Evaluation of investment projects the public sector"; Luu Thi Huong (2004), “Financial evaluation of project" The studies on Project Invesment Evaluation lean towards the assessment of economic efficiency, not the benefits of said projects on social welfare 1.3 Research results and research questions 1.3.1 Research results Both domestic and international researches about the state budget, public investment project management are recorded very early on They are also very systematic, ensuring the rationale for construction investment project implementation in general, the State capital construction investment project in particular However, these researches vary in economic and political differences 1.3.2 Research drawbacks amd research questionsvà vấn đề đặt cần tiếp tục nghiên cứu First,in terms of the system uses data and research methods: Most authors use the system of secondary statistics (GSO, Ministry of Planning and Investment, Ministry of Finance, Ministry of Transportation, MOIT ) to analyze, which means that the results may depend very much on the method of how the primary data was collected Through the system of secondary data and tabulated comparisons, the authors will thus analyzie the research by qualitative methods instead of using quantitative analysis (via sociological surveys, survey data, regression model SPSS software, etc.) to identify the strengths and weaknesses of research subjects Second, the approach: The authors approach the research at at macro level and there is no specific procedure for the management of the state budget on construction project There is also litlle to no mention about investment on construction projects Project from the aspect of the state budget in the allocation and management agencies directly implementing the project; Project Management or Construction Investment research at a local from the state budget, a specific field, the type of production and business projects, transport infrastructure, should the investment policy, QDDT, project evaluation, organizing now, will have management practices and how other organizations implement projects of public service units, particularly units of public sector science and technology Thus, despite there have been many studies about managing investment construction run by state budget but there is by far no guide for the state owned institutions in science and technology, which needs to be examined more closely CHAPTER2 THEORETICAL AND PRACTICAL BASIS OF THE MANAGEMENT OF CONSTRUCTION INVESTMENT PROJECTS USING STATE BUDGET AT STATE-OWNED SCIENCE AND TECHNOLOGY INSTITUTIONS 2.1 Public investment andstate funded construction investment 2.1.1.Investment and public investment According to the author, "investment is the use of resources (capital, physical assets, intellectual labor, technology, ) in order to conduct current operations (create, exploit and use Its assets ) to obtain beneficial results (increase of capital, physical assets, intellectual, technological ) in order to implement certain objectives in the future " Investment activities include private investment and public investment, also known as public investment Public investment is the investment activities of the State in programs and projects to build infrastructure and socio-economic investments in programs and projects for socio-economic development (Law on Public Investment No 49/2014 / QH13 dated 06/18/2014) 2.1.2 The concept and nature of construction investment by state budget Capital investment in construction using the state budget according to the author are: "the investment activities of the State in programs, projects include new construction, repair and renovation of buildings to serve economic development and social " Capital investment in construction by nature is a form of state budget funds for public investment activities in new construction, repair and renovation of buildings to serve socio-economic development policy of the Party and the State " 2.2 Capital formation resources, capital construction investment and investment and construction project management 2.2.1 Capital Author: The capital is full of material wealth exists in the form of a country, business or household at a certain time to get used to the country's development, operations enterprise and business or household to maximize profits 2.2.2 The sources of capital State funds include capital budget; SOE capital; The capital domestic borrowing (bonds, equity bonds, preferential loans ) Funds from the private sector include: The savings of the population, the accumulated amount of the private enterprises, cooperatives Capital Markets: Channel attract idle capital of households, businesses, financial institutions a large capital for the economy 2.2.3 The cost of construction investment and construction investment The cost of capital construction investment to achieve the purpose of construction, including: preparation of investment; investment implementation; work is put into exploitation and use and other costs related to the construction of the approved ecommerce 2.2.4 Management of construction investment projects by state budget The author said: "Management of capital construction investment project using the state budget is the process of planning, organization management, control and supervision from the beginning to the end of the project to ensure the project consistent with master plan development sectors, the State regulatory compliance, completed on schedule, quality by design and within the approved budget " 2.3 Project Management Cycle and content built with capital investment budget 2.3.1 Cycle implementation of investment projects in construction The cycle includes: Preparation of investment; Investment implementation; Ended investment 2.3.2 Content management of construction investment projects by state budget 2.3.2.1 Project management scope Manage project scope includes: management planning, plan (medium-term and annual), ordering the project to implement rolling 2.3.2.2.Preparation of investment management and formulation, appraisal and approval of design Identify investors, established approved investment policy; Invesment up; The agreement with the State management agencies in planning, architecture, environment, fire protection, not static (if any), infrastructure (electricity, water Second, full project management legislation, appropriate updates practices Anticorruption laws stricter, contributed to curb corruption Third, the system construction norms in full DTXD, formed spreadsheets costs, construction costs for the construction investment project according to market space, contribute to ensuring project quality Fourth, the development of design consulting firm, supervision, project management bidding centers, associations manage costs, quality, engineering valuation, expert independent assessment; building information systems market prices, the capacity of contractors, consultants to provide transparency of the market Fifthly, close monitoring from all levels and branches through the investor's report, the independent grading frame from the authorities to regulate and timely treatment Building community monitoring mechanism to detect the leakage phenomenon, the territorial capital charges Implementing responsible head Sixth, socializing investment resources in the form of PPP for infrastructure construction such as science and technology laboratories, research centers as well as diversifying fundings to ease the pressure on the State capital Evaluation formula system: (1) Total investment TMĐT=CXD+CTB+CTV+CQLDA+CK+CGPMB+DP In which : CXD: Cost of construction; CTB: Cost of equipment; CTV: Cost of advisory; CQLDA: Cost of project management; CK: Other cost; CGPMB: Cost of site clearing compensation; DP: Cost of redundancy; (2) Investment capital unit cost indicator: S= CP/N In which: CP= CXD+CTB+CQLDA+CTV+CK; N: Capacity of the project as designed (3)Payback period T= In which: T: Payback period (years); L: Annual expected profit; depreciation; TMĐT: Total project investment (4) Net present value NPV = PV (Cash inflow)- PV (Cahs outflow) If NPV>0, the project is possible, If NPV is the closest to 0; r2: Higher discount rate at which NPV2< is the closest to 0; NPV: Net present value; proper IRR (at which NPV = 0) should be between r and r2 (6) Bidding savings of each package in a project : Δi: Bidding savings of ith package ; GT(GT)i: Value of ith package GT(TT)i: Value of ith wining bid the larger Δi, the saver the ith bidding process is (7) Bidding savings rate of the project: In which HĐT:Bidding effeciency rate of a project of n packages, which will be better if the value is closer to (8) Rate of disbursements during the year In which βGN: Rate of disbursements in a year ; VGN: Disbursed project capital in a year; VĐT: Investment funds allocated regarding to the cost estimates; Rate of disbursements in a year demonstrates the rate of projected plan completion in each year The closer to βGN is, the higher rate of project completion in a year is (9) The rate of capital payment in the year(: In which : Rate of disbursements in a year ; Capital paid in a year The closer to this indicator is, the higher rate of completed volume is, and the smaller the advanced capital is (10) Coefficient of assets put in use H(QL)= TSCĐ In which V 12 TSCĐ: The value of assets put in use after removing costs of the damage and reconstruction that not go into the settlement; V: total fund paid through Treasury where the project account was opened CHAPTER STATUS OF THE MANAGEMENT OF CONSTRUCTION INVESTMENT PROJECTS USING STATE BUDGET AT STATEOWNED SCIENCE AND TECHNOLOGY INSTITUTIONS 3.1 An overview of state-owned science and technology institutions 3.1.1.State-owned science and technology institution According to the Law on Science and Technology, the "Organization of science and technology with the function mainly for scientific research, research and development and technology development, service activities science and technology, the government set up and implementation register activities prescribed by law" Science and Technology Organization established by the Government and the governmental has: Vietnam Academy of Social Sciences (VASS) and the Vietnam Academy of Science and Technology (VAST) 3.1.2 Characteristics of State-owned science and technology instutions First, is the interdisciplinary research unit, interdisciplinary social science and humanities, the country's largest science and technology; Policy advice, technology development, service of the Party, State, local, business; Training high quality human resources for the XH Second, the heads of the institutions of the Government science and technology as a leader, responsible before the State and the owner of the State capital, who QDDT projects Third, task functions, organizational structure and powers of the institutions under the Government MOST prescribed by the Government Fourth, the decision is only binding on the officials, employees and workers under his unit 3.1.3 Characteristics, classification projects using State budget construction investment in Science and Technology Government organizations 3.1.3.1.Charateristics First, the investor is not the owner of capital should be granted QD DT test, monitoring of the content to limit discretion 13 Second, the State Administration of comprehensive planning, capital allocation, execution, settlement, handed over through the State Budget Law, Construction Law, Investment Law, Procurement Law and the text direction other lead Third, the project comply with development plan of science and technology institutions and government-sector planning by the host organization, which has affected the development of science and technology in general, organizations KHSun in particular Fourth, the project is non-profit, it is difficult to apply current standards so effectively evaluate project results to evaluate the project on bringing ensure investment objectives, minimum cost, time most reasonable Fifth, the number of projects each plan less, investors are scientists, amateur PMU thus limiting the executive management 3.1.3.2 Classification Divide into three groups: A; B; C 3.2 Status of State investment for science and technology in Vietnam 3.2.1 Current status of the State investment in Vietnam The nature of the State's investment of public investment From 2006 to present, the proportion of investment in total social investment (accounting for 38.67% 2006-2010; 2011-2014 accounted for 39.46%) in the state budget that accounts for the highest average 55, 47% in the 2006-2010 period decreased to 47.08% during 2011-2014) Investment in major contributions to economic growth, to create a driving force for national development, economic restructuring towards industrialization and modernization, attracting investment of economic development and FDI Limitations: The effect of low investment, high ICOR Overlapping planning, lack of long-term vision, not focusing on environmental factors Spread public investment, slow progress due to insufficient allocation of capital construction work in progress, slow wasteful use More investment losses, energy investors, consultants, contractors limited Payment and settlement of slow, prolonged arrears exploitation leading to low efficiency 3.2.2 Current status of investment from the State budget for science and technology 3.2.2.1.Funding from the state budget for science and technology Sources of funding for scientific and technological activities, include: the state budget; The business revenues; Other funding sources; Funding, grants, donations from individuals and organizations domestically and internationally However, 14 state budget plays a decisive role for the development of science and technology, etc 3.2.2.2 Current status of construction investment capital from the state budget for science and technology For 2006-2010: Total central budget is: 2,124,280 VND, of which construction is 269 240 Capital expenditure billion (12.67%) During construction 269 240 billion central budget expenditures are spent on construction of science and technology is 7604 billion (representing 2.824%); Spending on science and technology institutions of government is 557 billion (accounting for 0.21%) In 2011-2015: Total central budget is: 4,760,500 VND, of which: Accrued investment in capital construction is: 494 400 billion (10.385%) In the central budget expenditure 494 400 billion construction of science and technology is 18 264 billion (representing 3.694%); Spending on science and technology institutions of government are 1.550 billion (accounting for 0.31%) The data above shows, the last time investment for infrastructure development, science and technology from the central budget is very modest, especially in the construction of facilities for the organization of government science and technology is very limited, not to match demand actual bridge location is the leading agency for scientific research in the country 3.3.Status of the management of construction investment projects using state budget atstate-owned science and technology institutions 3.3.1 Manage scope, planning The period 2006 to 2015, held under the Government Science and Technology has 51 projects (group A: 2, B: 37; C: 12) 16 construction projects TN rooms; 03 projects to build research centers of high technology; 02 computer center analysis and forecasting; The rest are building research facilities, training, libraries, museums, warehouses keep raw The project is already in the planning approved plan but low-quality planning, not to catch up with development strategies State investment capital allocated less only meet 50-70% under the proposed plan 3.3.2 Preparation of investment management, appraisal and approval set design 3.3.2.1 Investment preparation management When evaluating the project, due to the non-profit project to the evaluation criteria: Payback T (3); Net present value NPV (4); Internal rate of return IRR (5) can not be used because there is no output to quantify Therefore, the evaluation and assessment project using synthetic indicators: the total area in use; System equipped with devices to ensure innovative, market updates; Consistent quality 15 eCommerce (1); Reasonable investment rate (2); and reasonable investment of time prescribed project team 3.3.2.1 Management formulation, appraisal and approval of design and cost estimates Quality of design, estimation of some projects not guaranteed, not realistic, as most construction items have an increase or decrease, affecting the procurement management, cost management and investment 3.3.3 Management of procurement activities There have been many measures to manage procurement activities through the management of procurement planning, selection of contractors, organizes training courses for personnel in implementing project management From 2010-2014 through procurement savings: 19.84 billion in total 1451.51 billion bid package prices, rate of 1.37% over the bid estimate, mostly due to savings game spacious contractors The Science and Technology of Government institutions have not used the evaluation criteria in the report, such as through procurement savings of each package (6) and procurement savings rate of the project (7) New procurement report mentions the total savings 3.3.4 Quality Management The quality control projects were implemented: Acceptance of input materials, structural obscure, material testing; Test running so most of the project put into use quality basic From 2006-2015, the project has not yet been lost to construction safety However: Some projects started not eligible; Not controlling subcontractors; Execution is not guaranteed (leaky, seepage within the warranty period); Perform quality records slow Some projects put into operation without the acceptance of the State management agencies 3.3.5 Progress Management During 2006-2015, there were 8/51 projects that have slow progress of construction on the site (VASS 04; VAST 04) Also most of the projects are behind schedule project completion settlement for at least months year average 3.3.6 Cost management and investment 3.3.6.1 Investment management expenses Most of the approved projects must be adjusted estimates, construction is due to incorrect calculations (surplus or deficit), greater than the approved value; some projects have to adjust eCommerce (05/51) 3.3.6.2 Management of capital construction investment from the state budget 16 The percentage of disbursements is (8) over 99%; The rate of payment of the project in a year (9) is improved From 2010 to 2015, capital payment aretwice higher than the advanced capital of disbursements The organization of Government science and technology has invited independent auditors to audit all completed projects, after the settlement is approved, the implementation of asset increase and decrease to manage according to regulations However, some projects are not detecting errors such as incorrect volume and unit price, hence, being paid out much by the State audits which causing a number of projects have delayed settlement 3.3.7 Managing the conclusion of the investment The majority of projects have been completed under the new regulatory acceptance handover However, due to urgent work area, the project is still in use before some items not yet been tested safe Many projects are not well controlled contractors warranty period, no established maintenance procedures 3.4 Overall Assessment 3.4.1 Accomplishments - Serious implementation plan, approved plan - Compliance with the order of execution of investment preparation - Manage procurement activities into order - Management of construction quality more trying - Manage the progress made progress compared to the previous period - Management and investment costs are concerned - Diversification of Project forms 3.4.2 Drawbacks - Passive in construction plans, seeking financial resources - Project Implementation awkward, slow progress; Term investment preparation, some stages have not paid adequate attention; Tender quality of some projects is not good; The quality control activities of some projects is limited; Project implementation schedule (especially settlement completed) has been slow; Cost management and capital projects not close; Management apparatus lacks, mandates, overlapping and outdated management model; No system of indicators to evaluate the effectiveness of management and unified management processes 3.4.3 Causes 3.4.3.1 Objective factors Inadequate state regulations; Changes in standards, rules and norms; Macroeconomic instability, inflation (salaries, cost of materials, supplies, 17 equipment, etc.) The innovation policy, open economy, international economic integration as varied in type, price, technology of building materials; Less investment from the state budget, should demand more investment segment despite still being extended to projects without resources 3.4.3.2 Subjective Cause: Project staff is weak and lackluster; Innovation Project Management Organization slower than specified; Coordinating relations between the parts are not synchronized because no process management coordination between the PMU, contractors and specialized agencies of the QDDT; Check, less frequent monitoring CHAPTER SOLUTION TO INNOVATETHE MANAGEMENT OF CONSTRUCTION INVESTMENT PROJECTS USING STATE BUDGET AT STATE-OWNED SCIENCE AND TECHNOLOGY INSTITUTIONS 4.1 International and Domestic Context 4.1.1 International Context 4.1.2 Domestic Context 4.2 Perspective, developing target institutions of government science and technology in the future 4.2.1 Development perspective "Prioritize and focus national resources on science and technology development State responsible investment, encourage all economic sectors to participate in infrastructure development, enhancing the potential synchronization of Social and humanities, natural sciences, engineering and technology " (Resolution No 20 / NQ-TW of the Central Conference (XI) 4.2.2 Development Orientation "Synchornizing the development of Social and humanities, natural sciences, of technical sciences and technologies; bring science and technology to become a key driving force, meet the basic requirements of an industrialized country towards modernization" stressed: "Focus invest in developing Vietnam Institute of science and technology, Vietnam Academy of Social sciences into two scientific organizations and leading technology and ASEAN countries." (Strategy for development of science and technology 2020) 18 4.2.3 Developmemt Goals "Investing in building technical infrastructure, modern equipment according to international standards to cater efficiently research, training and policy advice of the Vietnam Academy of Social Sciences and the specialized institutes, including the Institute of Social priority in the region should strengthen research capacity and deployment "and" Investment in construction, renovation and technical upgrade of the Institute of Science and technology CSVC Vietnam and systems the basis of scientific research and technology deployment, museums, experimental facility, stations, experimental farms of Vietnam science and technology Institute in the hitech park and the provinces and cities directly under the Central Government to meet the requirements of scientific research and technological development "(development plan VASS and approved by the Government VAST) Table4.1.Total mid-term capital of the governmental science and technology institute from 2016-2020 Unit:Million VND No Institution Total Funds Granted Amount of To be funded by 2015 Investment VAST 2.047.883 570.477 1.477.406 VASS 805.513 352.368 452.945 2.853.396 922.845 1.930.351 Total 4.3 Innovative solutions to manage projects in the organization of science and technology under the Government 4.3.1 Solutions related to financial resources 4.3.1.1 Improving the quality of operations planning and allocation of the State budget estimates of capital construction investment - Organized planning: Transparency, focused on the categories: medium, every year in the overall development strategy of the unit and of the country - Distribution, delivery and immediately adjust the state budget estimates in January every year Remove difficulties, actively adjust the estimates on the project 4.3.1.2 Diversification of investment capital outside the State budget - Organize office according to the provisions, auction off facilitiies that are no longer of use; 19 develop forms of cooperation and association with organizations and individuals in the country to tap international investment funds (TPP) 4.3.2 Solutions related to the project implementation - Strengthening the review of the units used, shortening the preparation time of investment, improve the quality of the design, evaluation Project evaluation should take into account the criteria; Total investment, the proportion of the cost structure DTXD (1); Investment rate (2); Design life (3) - Strengthening procurement activities, tight legal framework for an increase or focus public bidding, online bidding, package deal Calculation of indicators: Savings through bidding of each package (6) and procurement savings rate of all projects (7) to evaluate the effectiveness of procurement and rewarded annually - Strengthen monitoring activities in quality management, conducting regular inspections and unscheduled - Use modern tools to manage project progress 4.3.3 Management innovation project finance 4.3.3.1 Cost Management Increased use package contract forms to contractor should calculate carefully detailed in the tender process 4.3.2.2 Capital Managment Advance operations: allocate adequate funding according to schedule contractors to avoid blame inadequate funding lasting progress - Payment activity: Revoke all bidders in advance before reaching 80% of the volume under contract for capital adequacy 80% payment on receivables dossiers (legal, quality profiles ) promote settlement - Settlement activity: Finalization year investment of each project annually, additional evaluation criteria such as: Rate disbursements (8) and the rate paid (9) of the project in years For investment capital settlement items and completed projects should "Open it done yet" and assess the effectiveness of the project management process when settlement through asset calculation coefficient in use (ten) - To manage the funds unified, networked financial unit from level to the Management Board to facilitate monitoring, inspection, monitoring, reporting updates Cost accounting of joint projects in the accounting system of the unit, not accounting once the project ends 4.3.4 Solution for human resources organization structure 20 4.3.4.1 Strengthening the organisational structure of construction investment activities Separation of duties of the specialized agencies of the investor and the investor into two independent levels At the agency's expertise and financial planning committee: should hold diverging towards professional, specializing in managing each project with the investor an.Doi sort innovative project management model 4.3.4.2 Innovation project management model Consolidate project management a project for Group A projects, especially important projects; Model building process balcony area and project management center project Using the model of project management consultants for projects with foreign investment of the budget so as not to add more project managers Apply general contracts with small-scale projects Organize training of project management activities 4.3.5 Solutions related to innovation process management and monitoring 4.3.5.1 Develop and issue management process Constructing a system of management process to implement consistently including: Project management process: as proposed by the author 21 Qui trình quản lý đấu thầu 4.4 Proposals 4.4.1 Proposing theGovernment - Establish criteria for assessment of public investment; Socialization of resources invested in construction investment project on science and technology stories; Promulgate standards and norms for investment projects pulsed fields of science and technology; Guide salaries, allowances project management Adjust spending on appraisal consulting, procurement, etc - Focus on an evaluation focal adjustment fund projects unit to avoid reporting clues - Focus on investment of 5-7 years for the organization of government science and technology in particular, and on science and technology in general 4.4.2 Proposing State-owned science and technology institutions Make recommendations to the scientific and technological institutions of government - Sort, renewing the Management Board in order to comply with current regulations To separate evaluation unit with direct management department project - Disclosure project on electronic portal of the unit to facilitate community supervision; Create separate media receiver, answer the special comments from interested persons; Issuing management processes to perform consistent unit; 22 Develop criteria for evaluating outputs to quantify the cost of change, as a basis for evaluating the effectiveness of activities in general and in particular the Project Management Construction Investment - With the plan of arrangement VASS office has been approved, need each content deployment, roadmap and implementation stages to avoid affecting other operations With VAST, urgently working with subject departments approved the plan of arrangement built headquarters CONCLUSION In the period 2006-2016, funded by the state budget Project Construction Investment in science and technology institutions of government has made certain contributions to the modernization of facilities for research and scientific training However, this activity also certain limitations Therefore, the thesis was to address some of the following issues: - Researching overview of domestic and foreign situation, evaluating the results, the limitations, and thereby drawing the lessons for the management of investment projects funded by the State - Formalizing some theoretical issues and practical project management of capital construction investment using the state budget, to clarify the nature of capital investment in construction using the state budget, pointing out the difference between the cost of investment in building and construction investment, interpreting the concept of project management using the state budget construction investment in science and technology institutions of government - Proposing criteria for evaluating project phases: Evaluation of projects to make the decision for approval; Implementation of the project to assess the quality of management; Finish the project to evaluate the effectiveness of management systems with quantitative criteria - Assessingthe situation with the state budget construction investment project management in the organization of government science and technology, pointing out strengths and weaknesses and analyze the causes - Proposing some innovative project management solution built with capital investment budget: / Group of solutions to financial resources; / Group of solutions to project implementation; / Group of solutions to organizational structure of the apparatus (3); and / Solutions related management processes, 23 including proposal management processes through diagrams describing the relationship between objects System evaluation criteria and process managers can apply for capital construction investment project by the State in public science and technology organizations 24 PUBLISHED PUBLICATION Nguyen Thuy Lan, Management of construction investment projects funded by the state in the public organization of science and technology: International experiences and lessons for Vietnam, Journal of Issues of World Economics and Politics, (238), pg.3-9 Nguyen Thuy Lan, The construction investment project management in the science and technology institutions of the Government, Journal of Economics forecast, 6(614), pg.6-8 Nguyen Thuy Lan, Innovating the model of construction investment projects management using state budget - a look from science and technology institutes, Journal of Social Sciences and Humanities (37) pp 33- 39; Nguyen Chien Thang & Nguyen Thuy Lan (2015).Decentralization in attractingFDI, Social Sciences Publisher 25 [...]... monitoring 4.3.5.1 Develop and issue management process Constructing a system of management process to implement consistently including: 1 Project management process: as proposed by the author 21 2 Qui trình quản lý đấu thầu 4.4 Proposals 4.4.1 Proposing theGovernment - Establish criteria for assessment of public investment; Socialization of resources invested in construction investment project on science and
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