MINISTRY OF EDUCATION AND TRAINING UNIVERSITY OF TRANSPORT AND COMMUNICATIONS TRAN TRUNG KIEN RESEARCHING THE MANAGEMENT OF EXPLOITATION AND MAINTENANCE OF ROAD TRANSPORT INFRASTRUCTURE IN HANOI CITY MAJOR: CONSTRUCTION MANAGEMENT CODE: 9.58.03.02 SUMMARY OF DISSERTATION FOR DOCTOR OF ECONOMICS HANOI, 2019 The dissertation is completed at the University of Transport and Communications SUPERVISORS: Prof.Dr.Sc Nghiem Van Dinh Dr Nguyen Quynh Sang Reviewer 1: Reviewer 2: Reviewer 3: The dissertation will be defended to the university - level Doctorate Committee at the University of Transport and Communications Time: date month year The dissertation can be found at: - The university’s library - The National Library INTRODUCTION Rationale Hanoi is the socio-economic, political center of the whole country However, in the past years, the city has seen some limitations in the management of exploitation and maintenance of road transport infrastructure such as overlaps in the management of road transportation infrastructure and other technical infrastructures, lack of initiative in the prevention and mending damage, insufficient budgets, road transportation corridor encroached, slow progress of application of Information technology and new construction technology The number of researches on exploitation management and maintenance of road transport infrastructure is very limited For Hanoi, a socio-economic center, the topic on “Researching the management of exploitation and maintenance of road transport infrastructure in the city” becomes increasingly necessary Research objectives Evaluating the management of exploitation, management of maintenance of road transport infrastructure, based on which to propose some solutions to improve the two areas above in Hanoi city Research subjects and scope 3.1 Research subjects The management of exploitation and the maintenance of road transport infrastructure in city under the central government implemented by the road transportation agency 3.2 Research scope Space: The research is conducted in Hanoi city area Content: There are a number of topics and issues in the exploitation management and the maintenance of road transportation infrastructure In this dissertation, the author only focuses on some following areas:  The exploitation management: To research the management of construction engineering, transport safety management Transport safety management is a big issue that requires a separate research, this dissertation only studies the transport safety management in big cities to serve the researching of other contents of the dissertations such as identifying the portfolio of exploitation and maintenance management Developing price frame of exploitation and maintenance management, it doesn’t mention particular solutions for transport safety management  Maintenance management: Researching the management of implementation methods, capital management, science and technology management In big cities, the road transport system includes static and dynamic transport systems However, the dissertation only focuses on the dynamic one including: road, road bridge and road tunnel managed by the Hanoi Transport Department Researching the management of construction engineering, transport safety management since 2011, proposing solutions to 2025 and a vision until 2030 Scientific and practical significance 4.1 Scientific significance The dissertation systemizes and elaborates the theoretical basis on the exploitation management and the maintenance of road transportation infrastructure It also gives objective and scientific evaluation on the real situation of the exploitation management and the maintenance of road transportation infrastructure in the city during the past years The dissertation clearly identifies main contents regarding the above research issues, factors affecting them in big cities 4.2 Practical significance The dissertation analyses, evaluates the real situation of the exploitation management and the maintenance of road transportation infrastructure management in Hanoi city since 2011 with the areas: management of construction engineering, traffic safety management, implementation method management, capital management, science and technology management; points out successes and drawbacks and causes Based on those analysis and evaluation, the author proposes practical and feasible solutions Structure of the dissertation Apart from the introduction and conclusion, list of compositions the author announced, references, annexes, the dissertation consists of chapters: Chapter 1: Overview of researches related to the topic of the dissertation and methodology Chapter 2: Rationale and international experience in management of exploitation and maintenance of road transport infrastructure Chapter 3: The real situation of the management of exploitation and maintenance of road transport infrastructure in Hanoi city Chapter 4: Solutions to improve the management of exploitation and maintenance of road transport infrastructure in Hanoi city CHAPTER OVERVIEW OF RESEARCHES RELATED TO THE TOPIC AND METHODOLOGY 1.1 Overseas researches 1.1.1 On traffic safety management Just mainly focus on researching traffic demand management, solutions to reduce traffic congestion, road safety ensurance 1.1.2 On management of implementation methods Researches on contract on road maintenance according to performance quality (PBC contract) 1.1.3 Capital management Researches have shown that it is necessary to move forwards diversifying capital sources and prioritizing private sector 1.1.4 On management of science and technology Researches on application of technological solutions to vehicle flows management (smart traffic), development of IT software on road data management, supervision of construction status 1.2 Local researches 1.2.1 On traffic safety management Researches on solutions to improve road safety 1.2.2 On management of implementation methods Evaluating the implementation of PBC contract in Vietnam, development of criteria set to assess road maintenance quality 1.2.3 Capital management Researches on solutions to mobilize and use capitals for road maintenance 1.2.4 On management of science and technology Developing orientations and missions for science and technology application 1.3 Conclusion from the overview and the research gap of the topic 1.3.1 Conclusion from the overview of researches Researches conducted at different levels and aspects have covered some areas of management of expolitation and maintenance of road transport infrastructure such as maintenance contract, mobilizing capital for maintenance, ensuring traffic safety, science and technology application 1.3.2 Research gap related to the topic Firstly, on the researching perspective, researches have only focuses on one area of management of exploitation or management of maintenance of road transport infrastructure There has not been any works that researches comprehensively all areas of traffic safety management, implementation method management, capital management, science and technology management Secondly, on research scope, almost all researches have only focused on road in general and national highway in particular in the whole country, are yet to focus on a particular region or an area Thirdly, there is yet to have any research on management of expolitation and maintenance of road transport infrastructure in Hanoi alone 1.4 Research missions Firstly, it is necessary to systemise and clearify the theoretical and practical basis of the management of expolitation and maintenance of road transport infrastructure Secondly, it is necessary to objectively and scientifically analyse, evaluate the real situation of management of expolitation and maintenance of road transport infrastructure in Hanoi in recent years; point out successes, drawbacks and causes Thirdly, proposing some solutions to overcome the drawbacks 1.5 Methodology In the dissertation, the following researching methods are used: systemizing, analyzing, collection comparing, sociology investigation, statistics CHAPTER RATIONALE AND INTERNATIONAL EXPERIENCE IN MANAGEMENT OF EXPLOITATION AND MAINTENANCE OF ROAD TRANSPORT INFRASTRUCTURE 2.1 Road transport infrastructure and its exploitation and maintenance 2.1.1 Road transport infrastructure 2.1.1.1 Overview of road transport infrastructure Road transport infrastructure forms part of transport infrastructure, including: road, road bridge, road tunnel, parking space, car park, traffic safety corridor [43] 2.1.1.2 Concepts, characteristics of urban road transport infrastructure a, Concept of urban road transport infrastructure Urban road transport infrastructure is established in cities to serve people’s mobility as well as economic exchanges by road transport in the city [21] b, Characteristics of urban road transport infrastructure - Besides functioning as transporting, it is the place to arrange public constructions, identify boundaries… - Alongside the road lies construction works, requiring highly on environmental sanitation and sense In the streets, many infrastructure works on and under the ground are situated 2.1.2 Exploitation and maintenance of road transport infrastructure 2.1.2.1 Exploitation of road transport infrastructure a, Concepts of road transport infrastructure exploitation Road transport infrastructure exploitation is viewed as all activities related to operation of road transport infrastructure according to the exploitation process and capacity maintenance to bring about benefits for people, society and the country The purpose of road transport infrastructure exploitation is to bring about benefits for people and the country regarding transport, mobility and life quality improvement b, Contents of activities concerning road transport infrastructure exploitation Including following contents: guarantee of road transport infrastructure, management of the exploitation to ensure quality and traffic safety order; maintenance of road transport infrastructure; traffic organization [32] The dissertation only focuses on researching two contents: - Management of road transport infrastructure to ensure quality and traffic safety order - Maintenance of road transport infrastructure 2.1.2.2 Maintenance of road transport infrastructure a, Concept of road transport infrastructure maintenance Road transport infrastructure maintenance is the work to ensure and maintain its normal operation, safety of the construction according to the requirements of the design b, Contents of road transport infrastructure maintenance The maintenance may consist of one, some or all work items: sight, quality test, maintenance and mending [15] 2.2 Management of exploitation and management of maintenance of road transport infrastructure 2.2.1 Management of exploitation of road transport infrastructure 2.2.1.1 Concept of management of exploitation of road transport infrastructure It is an activity in the exploitation to use the construction works whose nature is the overall effects from the management subject on the exploitation to use the works through using tools, methods and management system to impact the exploitation activities to make sure the construction works operates according to design, ensuring traffic safety order 2.2.1.2 Objectives of road transport infrastructure exploitation management To ensure smooth traffic and safety; ensuring capacity through construction works; serve mobility and transport demand, saving costs 2.2.1.3 Contents of road transport infrastructure exploitation management in big cities The management of road transport infrastructure exploitation concerns many subjects: road management agency, investor, enterprises managing the exploitation… Therefore it may be seen differently by each subject whose perspectives are not alike After researching the documents [15], [20], [32], [40], [45], [55], in the author’s opinion, road transport infrastructure exploitation management consists of the following contents: administration management and management of road transport infrastructure asset protection; Management of information and supervision system; management of fees collection; management and development of services; management of construction engineering; traffic safety management In the research scope of the dissertation, the author only focuses on researching the following contents: management of construction engineering, traffic safety management Those are issues that have not been studied in a particular locality Besides, traffic safety management is in reality the biggest problem in the management of exploitation of road transport infrastructure 2.2.2 Management of maintenance of road transport infrastructure 2.2.2.1 Concepts of management of maintenance of road transport infrastructure It is an activity in the exploitation to use the construction works whose nature is the overall effects from the management subject on the maintenance through using methods and management system to make sure the construction works operates according to design 2.2.2.2 Objectives of management of maintenance of road transport infrastructure Maintain technical status and level of the construction; fix damage, ensuring traffic capacity according to design and traffic safety; prevent downgrading and ensure the longevity of the construction 2.2.2.3 Contents of maintenance of road transport infrastructure management in big cities The maintenance of road transport infrastructure management may be viewed differently according to different managing subjects From the perspective of the managing subject as the road transport agency and after studying the documents [15], [20], [32], [40], [45], [55], in the author’s opinion, the management of maintenance of road transport infrastructure contains the following contents: a, Management of methods of maintenance: It is the method the subject manages the implementation of maintenance plan to reach the maintenance objectives * Methods of maintenance Maintenance of road transport infrastructure is one of the public service manufacturing and supplying areas, which is done by plan assignment, order and procurement b, Management of capital for maintenance : Identifying capital demand according plan, seeking mibilisation sources and managing the use of capital effectively c, Science and technology management: Researching the application of science and technology advance to improve the maintenance of road transport infrastructure management d, Management of maintenance quality: To make sure maintenance work is done acoording to plan, process, meeting demands on quality and safety In its research scope, the dissertation only focuses on the following contents: implementation method management, management of capital for maintenance,science and technology management 2.2.3 The relation between management of exploitation and management of maintenance of road transport infrastructure Management of exploitation and management of maintenance of road transport infrastructure unify in objectives and management organisation system 2.2.4 Characteristics of management of exploitation and maintenance of road transport infrastructure 2.2.4.1 General characteristics of the management of exploitation and maintenance of road transport infrastructure - Including different management items and requiring a close cordination from the Central agencies to localities, from State management to enterprise management [33] - It needs frequently conducting to ensure safe and smooth exploitation of road transport infrastructure 2.2.4.2 Characteristics of management of exploitation and maintenance of road transport infrastructurein big cities - In big cities, there are often conflicts with daily traffic activities because 11 Application of public-private partnership to projects on maintenance, upgrading of road system instead of traditional procurement 2.4.1.2 Seoul city (Korea) Combination between the State and private sector to mobilise investment capital and transfer the management of exploitation and maintenance to the private sector to take over 2.4.1.3 British Columbia (Canada) It is the pioneer in implementing Performance based contract on maintenance of road transport The contract is awarded through competitive procurement 2.4.1.4 New South Wales State (Australia) Applying the two types of performance-based contract: Normal and mixed contract The PBC contract is the combination between lump sum and price based contract 2.4.2 Lesson learned about management of exploitation and maintenance of road transport infrastructure for Hanoi city Firstly, distinguish the State management responsibilities carried by the State management agencies with the provision of management of exploitation and maintenance of road transport infrastructure done by contractors Secondly, to organize procurement to select an agency to implement management of exploitation and maintenance of road transport infrastructure Thirdly, applying performance based contract in the management of exploitation and maintenance of road transport infrastructure Fourth, to attract economic subjects qualified to participate in the management of exploitation and maintenance, diversifying income flows from road transport infrastructure asset Fifth, applying IT and telecommunications advances in connecting those participating in traffic, means of transport, transport infrastructure to become an information and telecommunication network to ease traffic congestion, save time and cost of traveling, fully exploit the current transport infrastructure 12 CHAPTER REAL SITUATION OF MANAGEMENT OF EXPLOITATION AND MAINTENANCE OF ROAD TRANSPORT INFRASTRUCTURE IN HANOI CITY 3.1 The real situation of road transport infrastructure 3.1.1 Overview of Hanoi The city has favorable natural conditions for socio-economic development, especially it is paid special attention to by the Government and attracts large capital for road transport infrastructure 3.1.2 The real situation of transport system and road transport infrastructure 3.1.2.1 Overview of Hanoi’s transport system Hanoi has a transport system with various means of transport for road, railway, waterway and airway 3.1.2.2 Road transport infrastructure in Hanoi a, Road construction system in Hanoi Consisting of roads, road bridges, road tunnels and other road construction works b, Static traffic system The inner city has the total of 150 public parking places with the area of 272.370 m2 accounting for 1,2% urban land area The area for car park makes up 28% of the total land area for static traffic [66] 3.1.3 Comments on Hanoi road transport infrastructure - The road transport network is not perfect to produce a systematic network - Land area serving transport increases 0,3%-0,5% on average but it is still very insufficient, currently accounting for 8,65% of the urban land whereas the reasonable proportion for a modern city is 20-26 % [21], [53] 3.2 Overview of the management of exploitation and maintenance of road transport infrastructure in Hanoi city 3.2.1 Legal foundation for the management of exploitation and maintenance of road transport infrastructure in Hanoi city Some documents are not timely revised, contents in the documents are not uniform, specilally ones about maitenance fees 13 3.2.2 Organisation system of the management of exploitation and maintenance of road transport infrastructure 3.2.2.1 Organisation structure of the management of exploitation and maintenance of road transport infrastructure The Hanoi Department of Transport is the State management agency in transport area in the city The Commitee for maintaining transport infrastructure construction is an organisation directly under the Department and is responsible for the management of exploitation and maintenance of road transport infrastructure 3.2.2.2 Decentralisation of management of exploitation and maintenance of road transport infrastructure The city manages the exploitation and maintenance of road, roadside (not including pavement) of all routes invested by the city Districts, suburban districts manages the exploitation and maintenance of alleys and all pavements in the area [65] 3.2.2.3 The process of management of exploitation and maintenance of road transport infrastructure The Hanoi Department of Transport is responsoble for assigning construction works to the Commitee for managing the exploitation and maintenance The units taking on management of exploitation and maintenance will be placed an order 3.3 The real situation of management of exploitation and maintenance of road transport infrastructure 3.3.1 Real situation of management of exploitation of road transport infrastructure 3.3.1.1 Construction engineering management a, Dossier management The management is still manually done, dossiers are stored in metal trunk, Softwares for dossier management are not present, making it difficult for reference because of the huge amount of records b, Construction technical status management Examining the construction works according to the road maintenance standards [55], [4] and the real situation to understand the construction status The types of examination are mainly frequent examination, periodical 14 examination and unexpected one 3.3.1.2 Traffic safety management a, Management of road safety corridor The violation of road safety corridor has become increasingly complicated; pavement abuse, business in roadways, building houses, shops in ladm reserved for roadways; hanging advertisements that hinder visibility causing traffic safety disorder and affecting urban beauty b, Traffic investigation Conducted according to real contract c, On duty to ensure smooth traffic Implemented in accordance with the regulations on prevention, combating and overcoming consequences from floods, storms in road transport field 3.3.2 The real situation of management of maintenance of road transport infrastructure 3.3.2.1 Management of implementation methods a, Planning the maintenance Plans are only made for the next year, lack of medium and long term plans; unscientific foundation for making plans, lacking data, the evaluation of construction quality is done mainly by observation The assessment on construction to serve the maintenance plan making is not frequently done b, Implementation of maintenance plan - From 2014 backwards The maintenance plans were carried out by the Maintenance Committee by placing order - From 2015 to now: Apart from placing order, procurement has also been introduced for some routes in the outskirt c, Types of contract Volume based contract is applied in the management of maintenance 3.3.2.2 Science and technology management a, Application of technology Common activities like road sanitation, grass cutting, concrete spraying are often done manually When dealing with tasks like pot hole fixing, 15 resurfacing roadway,outdated materials and equipment are used, affecting the aesthetics b, Application of information technology Data and statistic have not been systemised and encoded by IT, stored in paper or Excel, making it difficult for reference, updating and plan making 3.3.2.3 Capital management Fund for management of exploitation and maintenance of road transport infrastructure is derived from budget for economic development allocated for the Hanoi Department of Transport Besides, there is also a source from the Road Maintenance Fund of Hanoi Table 3.4: Expenses for management of exploitation and maintenance of road transport infrastructure in the period 2011-2016 Unit: Million Dong Sources Year Percent of 35% from the Demand for City expenses budget Road Total meeting Transport expense demand (%) Maintenance Funds 2011 451.726 351.442 351.442 77,8 2012 687.431 511.801 511.801 74,5 2013 878.920 730.726 730.726 83,1 2014 917.718 639.270 67.000 706.270 77,0 2015 949.492 676.909 161.300 838.209 88,3 2016 1.247.716 763.757 192.697 956.454 76,7 On average 79,5 Source: [47] Besides allocating budget for the management of exploitation and maintenance of road transport infrastructure, Hanoi city also reserves a remarkable part of the budget to conduct its anual objective program so as to contributing to its safe and smooth traffic 3.4 Comments on the management of exploitation and maintenance of road transport infrastructure 16 3.4.1 Survey results on evaluating the real situation of management of exploitation and maintenance of road transport infrastructurein Hanoi In order to obtain precise and objective comments on the management of exploitation and maintenance of road transport infrastructure in Hanoi city, the author conducted a survey to 200 managers, engineers, researchers in the filed with the following content: - Evaluating the real situation of the management of exploitation and maintenance of road transport infrastructure in Hanoi city The scale uses marks for respective levels from very poor to very good 1: very poor 2: poor 3: medium 4: good 5: very good - Successes and limitations in the management of exploitation and maintenance of road transport infrastructure in Hanoi city The author points out some successes and limitations in the management of exploitation and maintenance of road transport infrastructure in Hanoi city in the past years to obtain comments from the interviewees 3.4.2 Successes and limitations in the management of exploitation and maintenance of road transport infrastructure in Hanoi city 3.4.2.1 Successes in the management of exploitation and maintenance of road transport infrastructure in Hanoi city First, it has contributed to ensuring construction’s technical requirements, enhance investment efficiency, contributed to serving people’s mobility in a safe way The survey results were that 138/188 agreed, accounting for 73,4% Secondly, making full use of the worker pool who have professional maintenance skills in the city There were 164 respondents agreeing with 87,23% Thirdly, gradually changing implmentation methods to adpat to the reality The survey results showd that 142 persons out of 188 ones agreed, accounting for 75,53% That the ratio is not very high shows that the change in implementation methd has been going at a slow pace 3.4.2.2 Limitations in the management of exploitation and maintenance of road transport infrastructure in Hanoi city Firstly, the management of road transport infrastructure and management of other urban infrastructure are not synchonised, filled with procedures, 17 making it hard to take initiative in the maintenance and repairing The survey showed that 167/188 agreed (88,83 %); assessment on the synchronism lies below medium (2,73/5,0) Secondly, there is yet to have a competitiveness among agencies responsible for the managment of exploitation and maintenance This is one of the biggest drawbacks, seen in 100% respondents showing agreements The competitiveness among the agencies lies below average (2,28/5,0) Thirdly, fund for management of exploitation and maintenance of road transport infrastructure is yet to meet the demand and largely dependent on the State 100% respondents agreed Concretely assessments are as follows: allocating enough fund for the demand of management of exploitation and maintenance (2,91/5,0); already mobilised sources in the society (2,36/5,0); ensure rational proportion between fund for fresh construction and maintenance (2,91/5,0); public implmentation of spending and earning annually for the Road Maintenance Fund (2,04/5,0) Fourth, the maintenance is mostly done to serve political purpose or unexpectedly Units in charge are not proactive in immediately repairing new damage as well as in implementing prevention of damage in construction The drawback above received agreement from 172/188 votes (91,49%) The survey results are: evaluating the proactiveness in fixing damage right after appearing (2,16/5,0); encouranging agencies which implement the management of exploitation and maintenance to develop facilities, technology and managing and maintenance equipment (2,45/5,0); Ensuring road transport infrastructure is always in best serving condition (2,85/5,0); ensuring the proactiveness in carrying out tasks from agencies in charge (2,33/5,0); agencies inc ahrge is proactive in detecting and preventing damage from developing in the construction (2,43/5,0) Fifth, the appilcation of IT, new construction material has been going slowly, not caught up with the pace of technical and scientific advance Vehicles and equipement used in road patrol is quite elemantary The survey showed 156/188 respondents agreed (82,98%), concretely: agencies in charge invest in machines, modern equipment for the maintenance 18 (2,95/5,0); Application of new technology and materials in maintenance (2,86/5,0); Application of IT to the managment of exploitation and maintenance (2,90/5,0) Sixth, the work relating to traffic safety has been paid much attention to but not been radically carried out In the survey, 176/188 showed agreement (93,62%) Concretely: Timely handling when trafic accidents happen and construction incidents (2,72/5,0); ensuring sufficient road equipment, conspicuous place of installment (2,89/5,0); preventing enroachment of safety corridor (2,88/5,0); controlling weight and limits of the vehicle (2,89/5,0) 3.4.2.3 Causes of the limitations in the management of exploitation and maintenance of road transport infrastructure in Hanoi city a, Objective causes Legal regulations in management of road safety corridor is not clear and concrete The assignment to many different sectors and levels lead to overlaps b, Subjective causes Firstly, there is not a clear distinction in management of urban technical infrastructure with management of roadway, pavement and ground space Secondly, the city has not pushed up the socialization of management of exploitation and maintenance of road transport infrastructure Concretely, procurement methods have not been introduced widely, the participation of economic sectors and social communities are not there Thirdly, modes of capital mobilization for the management of exploitation and maintenance of road transport infrastructure are not diversified Notably, a financial source from renting the rights to exploit, use assets of road transport infrastructure should be seriouly considered because it contributes massively Fourth, there has not been an appropriate contract management method Fifth, road management agencies have not really paid good attention to the research on application of scientific and technological advances to the management of exploitation and maintenance 19 CHAPTER SOLUTIONS TO IMPROVE THE MANAGEMENT OF EXPLOITATION AND MAINTENANCE OF ROAD TRANSPORT INFRASTRUCTURE IN HANOI CITY 4.1 Orientation foundation for developing road transport infrastructure in Hanoi city and viewpoints for solutions 4.1.1 Orientation foundation for developing road transport infrastructure in Hanoi city Planning of transport in the city towards 2030 and vision until 2050 [53] has identified the comprehensive development of road transport infrastructure: road network for foreign affairs (highway, national highway, ring roads); urban road and suburban road; interchanges; bridges, tunnels, making premise and motives for socio-economic development 4.1.2 Viewpoints for solutions Firstly, based on the limitations in the management of exploitation and maintenance of road transport infrastructure in Hanoi city in the past years Secondly, towards the overall goal of improving quality, maintaining life of road transport infrastructure, ensuring smooth and safe traffic Thirdly, grasp thoroughly the policy on comprehensive innovation of management of exploitation and maintenance of road transport infrastructure by the Ministry of Transport Fourth, inheriting and bringing into full play achieved results, learning from achievements, experiences from advanced countries Fifth, make full use of the existing force, facilities and human resources Sixth, open, transparent manner and enhance the supervision from the State agency and community 4.2 Some solutions to improve the management of exploitation and maintenance of road transport infrastructure in Hanoi city The dissertation suggests groups of solutions as follows: 4.2.1 Perfecting the assignment, decentralization for management of exploitation and maintenance of road transport infrastructure Clearly identifying subjects for managing roadway, pavements and underground space as follows: - Managing roadway space: Hanoi Department of Transport - Managing pavement space: the Hanoi Department manages all 20 pavements space: maintenance, issuing permission to use pavement temporarily, permission for digging pavements - Management of underground space: establishing a Project Management Unit of underground technical infrastructure under the city, which specialized in managing an underground construction system 4.2.2 Procurement on management of exploitation and maintenance of road transport infrastructure - Organize open procurement to select contractors to implement the management of exploitation and maintenance - Expand participators to professional contractors and communities, organizations Communities and social organizations will some manual work, not using materials such as clearance of drains; clean road signal systems… 4.2.3 Intensifying the mobilization of capitals for management of exploitation and maintenance of road transport infrastructure 4.2.3.1 Mobilizing capital through renting the rights to use road transport infrastructure Allowing organizations, individuals to hire the rights to use road transport infrastructure for construction in road transport infrastructure system, within the land scope in a certain allowed time The organisations and individuals have to pay for using road transport infrastructure 4.2.3.2 Mobilization of capital through charging vehicles travelling to the inner city Vehicles moving to routes, areas highly prone to congestion have to be charged The charge depends on the location, route and duration 4.2.4 Applying performance based contract for management of exploitation and maintenance of road transport infrastructure This is a new type of contract in Vietnam Therefore, when deploying, it is advised to focus on the following: 4.2.4.1 Selecting construction works to implement the contract Firstly, prioritizing the PBC on national highway, ring roads, urban highway managed by the Hanoi Department of Transport It is because those routes have similarities with the routes in previous PBC in Vietnam Secondly, urban roads, provincial roads, suburban roads; bridges, tunnels 4.2.4.2 Determining the portfolio for management of exploitation and maintenance a, Evaluating road surface status 21 Proposing using Maintenance Control Index (MCI) by the Japanese road transport management agency to evaluate road surface The tasks in PBC contract will be decided based on the MCI b, Determining portfolio for management of exploitation and maintenance The author proposed the porfolio for activities related to management of exploitation and maintenance, which includes: overall management, frequent maintenance of road surface, frequent maintenance of traffic signs and traffic safety equipment; frequent water supply and sewerage; regular maintenance of pavements, road-bed, vegetation control; regular maintenance of bridges, tunnels 4.2.4.3 Criteria for evaluating the management of exploitation and maintenance Activities related to the management of exploitation such as: road patrol, vehicles counting; checking and updating construction statistics; being on duty to ensure smooth traffic are evaluated through the following criteria: meeting requirements for performance; meeting requirements for organization 4.2.4.4 Perfecting the process to select contractors in the management of exploitation and maintenance of road transport infrastructure The dissertation proposes a process to select the contractor for the managment of exploitation and maintenance of road transport infrastructure under performance based contract as follows: Passed Invitation for bidding Preliminary selection PBC Contract Fail Fail Evaluating bidding documents Contractors failed Passed Selected contractors Contractors failed Negotiation Signing contract Diagram 4.8: Process of selecting contractor for management of exploitation and maintenance of road transport infrastructure under PBC Source: the author 22 The selection of contractor for management of exploitation and maintenance of road transport infrastructure under PBC must abide by the regulations of procurement laws [42] However, the following contents should be taken into account to be applicable to PBC - Preliminary selection: This is compulsory step when adopting PBC Only the shortlisted contractors are invited to bidding - Bidding invitation document: There has not been a template for bidding invitation document for management of exploitation and maintenance of road transport infrastructure under PBC The author suggests that it be basically similar to the traditional template Especially, in the procurement data section, it is essential to clearly mention responsibilities and services that may be implemented such as exploitation maangement, regular maintenance, preliminary improvement, urgent mending - Evaluation of bidding documents: Criteria for evaluation Prerequisites Pass Fail Experience, capability Pass Fail Technical aspects Score Price Lowest price Diagram 4.9 Criteria for evaluating bidding documents Sources: the author 4.2.5 Intensification of application of IT to the management of exploitation and maintenance of road transport infrastructure 4.2.5.1 Modernising road patrol Using an intergration of digital map, mobile technology and cloud computing and probably developing them into a software installed on smart mobile phones Data obtained on site by the patrol employee will be synchonised directly to the server thanks to the cloud computing, which helps the manager to receive and process the information timely Also, the schedule for road patrol should be managed closely with sensors and digital maps 23 4.2.5.2 Establishing a price frame for the management of exploitation and maintenance of road transport infrastructure Using Microsoft Excel to build a price frame for the management of exploitation and maintenance of plastic concrete road in the city, serving as the foundation for building budget and cost estimate 4.2.6 Intensifying the use of new construction technology in the maintenance of road transport infrastructure Using stripped and spolied topsoil technology in maintenance of roads This is a new technology used in developed coutries and very suitable to Hanoi as it ensures road surfaces not being heightened, saving materials, reducing pollution 4.3 Evaluation on the necessity and feasibility of the solutions The author has conducted a survey to test the necessity and feasibility of those solutions The result has showed that all of them are necessary and feasible, among which are solutions with the highest necessity and feasibility: procurement in management of exploitation and maintenance of road transport infrastructure; intensifying IT in the management of exploitation and maintenance; applying performance based contract CONCLUSION AND RECOMMENDATIONS CONCLUSION Hanoi is the socio-economic center of the whole country with a diverse road transport infrastructure Confronting increasing pressures on road transport infrastructure, the investment in road transport infrastructure is an essential solution but it has met with difficulty in capital, land fund Therefore, seeking solutions for management of exploitation and maintenance of road transport infrastructure to prolong the life and maintain good serving status of road transport infrastructure is regarded as important and urgent for Hanoi city 24 New contributions from the dissertation (1) Supplement and improve the theoretical and practical basis on management of exploitation and maintenance of road transport infrastructure: Clearly identify the content of management of exploitation and management of maintenance of road transport infrastructure in big cities; points out basic characteristics of management of exploitation and management of maintenance of road transport infrastructure in general and urban road transport infrastructure in particular; provides basis theory about performance based contract; introduce international experience in management of exploitation and maintenance of road transport infrastructure; determing factors affecting the management of exploitation and maintenance (2) Scientifically and objectively evaluate the real situation of management of exploitation and maintenance of road transport infrastructure in Hanoi city (3) Proposing solutions to improve the management of exploitation and maintenance of road transport infrastructure in Hanoi city RECOMMENDATION - For the Government: It should enact documents stipulating the focal subject responsible for settlement of violating road safety, enacting regulations on hiring rights to exploit the asset of road transport infrastructure Besides, it should allow Hanoi to apply special mechanism in implmenting projects on deterioration prevention, reducing traffic jam and ensuring traffic safety - For the Ministry of Transport, Directorate for roads of Vietnam: enacting circulars instructing on PBC contract, templates for bidding and PBC LIST OF PUBLISHED WORK BY THE AUTHOR RELATING TO THE TOPIC Tran Trung Kien (2016) “Renovating the management and maintenance of roads through PBC contract implementation”, Economy and Forecast Magazine, (05), page 41 Tran Trung Kien (2017), “Experience in implementing performance based contract for management of maintenance of roads in the world and lessons for Vietnam”, Transport and Communications Magazine, (12), page 171 Tran Trung Kien (2018), “Solutions to intensifying the mobilization of capital for maintenance of roads in Vietnam”, Transport and Communications Magazine, (04), page 153 Tran Trung Kien (2018), “Solutions to improve the magement of exploitation and maintenance road construction works in Hanoi”, Transport and Communications Magazine, (11), page 126 ... natural conditions for socio-economic development, especially it is paid special attention to by the Government and attracts large capital for road transport infrastructure 3.1.2 The real situation... in the management of exploitation and maintenance of road transport infrastructure Fourth, to attract economic subjects qualified to participate in the management of exploitation and maintenance,... Reviewer 2: Reviewer 3: The dissertation will be defended to the university - level Doctorate Committee at the University of Transport and Communications Time: date month year The dissertation