Tóm tắt Luận án State administration on incomings from exploitation of road works in Vietnam
MINISTRY OF EDUCATION AND TRAINING
UNIVERSITY OF TRANSPORT AND COMMUNICATIONS
HOANG NGOC SON
STATE ADMINISTRATION ON INCOMINGS FROM
EXPLOITATION OF ROAD WORKS IN VIETNAM
Major: Construction administration
Code: 9.58.03.02
SUMMARY OF DOCTORAL THESIS IN ECONOMICS
HANOI - 2020
The project is completed at: University of Transport and Communications
Scientific instructor 1: Dr. Nguyen Quynh Sang TS. Nguyễn Quỳnh Sang S.
Scientific instructor 2: Assoc.Prof.Dr. Vu Trong Tich P PGS.TS. Vũ Trọng Tích
GS.TS. Vũ Trọng Tích
Reviewer 1: .................................................................................................................
Reviewer 2: .................................................................................................................
Reviewer 3: .................................................................................................................
The thesis is going to be defended to Examination Committee of University of
Transport and Communications at:...............................................................................
At
date
month
year ...................................................................
It is available to find the thesis at the library:
- Library of University of Transport and Communications;
- National Library.
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INTRODUCTION
1. Reason for choosing this topic
System of road works is critical in the national system of transport, which plays an
important role in the socio-economic development, contributes to guarantee of national defense
and security, and improves people‘s lives. Therefore, it is necessary to put investment in
development as a priority. Recognizing the important role mentioned above, for many years, the
State has used a relatively large amount of budget to make investment in road transport
infrastructure. Since 2013, the Fund of Road Maintenance was established and put into operation,
starting to collect tolls based on types of vehicle instead of toll collection through toll plaza to
pay the State budget. Thus, in addition to annual state budget, the road sector now has an
additional channel to mobilize stable capital for maintenance.
The investment in new construction and maintenance of road traffic infrastructure requires
an extremely large budget, and is difficult or take a long time for capital recovery. In the context
of limited state budget resources and increasingly less official development assistance, the
incomings from exploitation of road works is now an important source for reinvestment in
transport infrastructure. The state administration on incomings from exploitation of road works is
very vital. These incomings contribute to increase of annual state budget for allocating to
investment in road works, thereby the quality of maintenance also gets better. In recent years, the
State has issued many policies and regulations to generate incomings from exploitation of road
works, such as: incomings from types of vehicle, through fuel selling prices, or direct collection
from vehicles, etc. Recently, the State has made a lot of innovations in exploitation of road
infrastructure works towards attracting the private sectors, such as: Selling the right to collect
tolls, leasing the right to exploit, transferring road transport infrastructure assets and exploiting
the fund of land located on both sides of the road, which has encouraged private investors to pay
more attention to road infrastructure, thereby generating capital to serve maintenance and
investment in road infrastructure development, and promoting socio-economic development.
However, efficiency of road transport infrastructure exploitation is not commensurate with
scale of existing assets; some localities has not been actually close in the course of
implementation and direction and delayed in organization, leading to the ineffective
exploitation of financial resources from road transport infrastructure; The new toll collection
applied to national highways has a high traffic volume of vehicles; The capital sources from
private economic sectors have not been yet attracted much. There are many causes leading to
shortcomings and limitations mentioned above, including the state administration on incomings
from road transport infrastructure exploitation, such as: law system on incomings from road
transport infrastructure exploitation; apparatus of road transport infrastructure asset
management from the central to local levels, especially at the district and communal levels;
good organization of direction and implementation at the central and local levels;
decentralization of authority and responsibility for relevant agencies, organizations and units;
propaganda, dissemination and training on law associated with summarizing, preliminarily
assessing the situation of the incomings from road transport infrastructure exploitation, and so
on.
For the above reasons, the author decides to choose the topic: “State administration on
incomings from exploitation of road works in Vietnam” as a research topic of the doctoral thesis
in major of Construction Administration.
2. Research objective
The research purpose of the thesis topic is to propose a number of solutions on the
scientific and practical basis for aim of improving the State administration on incomings from the
exploitation of road works in Vietnam.
For accomplishment of purpose mentioned above, the thesis needs to achieve the following
specific objectives:
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First of all, to systematize and clarify the theoretical and practical basis of the State
administration on incomings from exploitation of road works in case of presence of new
incomings with innovation in administration technology and increasingly-developed and modern
road network.
Secondly, to analyze, evaluate objectively and scientifically current situation of the state
administration on incomings from exploitation of road works in recent period, thereby pointing
out the shortcomings, limitations and their causes for the state administration on incomings from
exploitation of road works.
Thirdly, to suggest a number of solutions to make the state administration on incomings
from exploitation of road works in Vietnam better.
3. Research object and scope
- Research object
Research object of the thesis is the state administration on incomings from exploitation of
road works.
- Research scope
+ Content scope: Research on incomings and state administration on incomings at the
central and local levels for exploitation of road works, in which, focus on researching in-depth
issues: Formation and issuance of regimes and policies on collection; Organization of collection
appratus; Management of collection process; Inspection, examination and supervision of
collection process.
+ Time scope: The research project on the state administration on incomings from
exploitation of road works in the period from 2008 to 2019 and solution orientations until 2030.
+ Space scope: The whole system of road transport works in Vietnam.
4. Scientific and practical significance of the thesis
Scientific significance: is reflected in systematization and clarification of the theoretical
and practical basis for the State administration on incomings from exploitation of road works. A
scientific assessment on current situation and recommendations to make the State administration
on incomings from road works in Vietnam.
Practical significance: The thesis has analyzed and evaluated the current situation of the
state administration on incomings from exploitation of road works in Vietnam; pointed out the
shortcomings, limitations and their causes. On that basis, it proposes a number of feasible
solutions in line with reality for purpose of assisting agencies that manage incomings from
exploitation of road works in Vietnam to apply them flexibly in practical conditions, thereby
achieving better efficiency for incomings from exploitation of road works in Vietnam.
5. Title and structure of the thesis
Title of the thesis: “State administration on incomings from exploitation of road works
in Vietnam”
In addition to the introduction, conclusion, recommendations, references and appendices,
the thesis’s content consists of 4 chapters:
Chapter 1: Overview of works related to thesis topic and research method.
Chapter 2: Theoretical and practical basis of state administration on incomings from
exploitation of road works.
Chapter 3: Current situation of the state administration on incomings from exploitation of
road works in Vietnam.
Chapter 4: Solutions to improve the state administration on incomings from exploitation of
road works in Vietnam.
CHAPTER 1: OVERVIEW OF WORKS RELATED TO THESIS TOPIC AND
RESEARCH METHOD
1.1. Overview of research works related to the thesis topic
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1.1.1. Overview of national studies
1.1.1.1. The research works on incomings from exploitation of road works
The doctoral thesis of “ Solutions to mobilize and use investment capital for road transport
infrastructure development in Vietnam ” by author Pham Van Lien (2005), gives solutions of
capital mobilization that mainly focus on sustainability, comprehensive exploitation of capital
sources, and gradual reduction of State subsidies.
The doctoral thesis: “ Research on incomings from road users in Vietnam” by Le Van
Dung (2011) outlines a number of issues on public sector, proposes 3 new sources of incomings,
namely, axle load charges, incomings from road infrastructure users, and those from indirect road
users.
The doctoral thesis in economics with topic of “State administration of toll collection and
use in Vietnam” by Phan Huy Le at National Economics University (2010) proposes a number of
solutions and recommendations, conditions for implementation to state administration agencies in
order to improve the state administration on road toll collection and use in Vietnam in the
direction of state administration for public services.
The study by Vu Anh Tuan posted in the journal of the Japan Research Center for
Transport Policy (2012) on “How to collect on-the-road charges on the right basis of nature and
efficiency” assumes that registration fees and vehicle using charges will be policy instruments to
regulate fixed endogenous fees.
The scientific research topic of “Completion of bridege management and exploitation
work” by Dang Thi Xuan Mai at University of Transport and Communications (2012). The topic
generalizes the technical and economic nature of bridge management and exploitation work,
analyzes the current situation of bridge management and exploitation work in terms of macro
management of the State in the investigation of documents in this field.
The scientific research topic of “Research on method of analyzing bridge works
exploitation” by Dang Thi Xuan Mai (2009). The topic generalizes the content of traffic works
management and exploitation based on 6 criteria: Management of road and bridge toll collection;
Public administration of bridges; Traffic management; repairs and maintenance management;
Information management, supervision and control; Management and development of road and
bridge network businesss.
The doctoral thesis of “Research on solutions to mobilize and use capital for road
maintenance” by author Nguyen Thi Tuyet Dung at University of Transport and Communications
(2018) develops an order and criteria for the evaluation of capital mobilization and method of
determining capital required for road maintenance; identifies and evaluates factors affecting
capital mobilization and those affecting the efficient use of road maintenance capital. The thesis
proposes 2 groups of solutions for mobilizing and using capital for road maintenance.
Author Pham Thi Tuyet with the article of “Management and exploitation of road
transport infrastructure assets: Result and mission” posted in the Journal of Finance (April 2019)
points out the innovations and limitations in the mechanism of managing and exploiting resources
from road transport infrastructure. On that basis, the author raises missions to be performed in the
coming time such as completing law system on management, use and exploitation of road
transport infrastructure; boosting attraction of all economic sectors to participate in the
development of road transport infrastructure, mobilizing all resources possible through
exploitation methods.
The doctoral thesis of “Research on perfecting management of highways construction
investment and exploitation in Vietnam” by author Nguyen Phuong Cham (2018). According to
investor’s perspective, the thesis has established an econometric model that shows the effects of
factors on the satisfaction of highway users as a basis for proposing solutions towards perfecting
effective management and exploitation of highways in line with the actual conditions of Vietnam.
Author Nguyen Phuong Van, in the article of “Transfer of the right to exploit transport
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infrastructure works in the current conditions of Vietnam” posted in the Journal of Transport
(November 2016), points out that transfer of the exploitation right is not a new issue; and raises
its importance as well as suggests some solutions to improve the efficiency of this work in the
current conditions in Vietnam.
The project of “Capital mobilization and effective promotion of use in road maintenance”
by Ta Quang Huy (2017). Stemming from needs of additional sources to the Fund of Road
Maintenance, the author has developed a project with the aim of generating a legal incomings for
the Fund of Road Maintenance to ensure an adequate, stable and sustainable capital source for the
road maintenance.
The doctoral thesis of “Solutions to attract investment capital for road traffic development
in Vietnam” by author Pham Thi Tuyet (2018), proposes 9 urgent and feasible solutions to attract
investment capital for development of road traffic in Vietnam.
The doctoral thesis of “Research on management, exploitation and maintenance of road
traffic infrastructure in Hanoi city” by author Tran Trung Kien (2019) proposes 06 groups of
solutions to enhance efficiency of management, exploitation and maintenance of road traffic
infrastructure in Hanoi city, including proposal of leasing rights to use road transport
infrastructure and collecting motor vehicle charges entering into the inner city.
1.1.1.2. The studies on state administration on incomings from exploitation of road works
(1) Regarding establishment and issuance of regimes and policies on incomings from
exploitation of road works
The project “Exploitation of financial resources from land and state assets for socio-
economic development in the period of 2013 – 2020” of the Prime Minister (2013).
The project on socialization of the road sector of the Ministry of Transport (2015) to
maximize mobilization of social resources for the development of the road sector, thereby
reducing pressure on state budget capital.
The scientific research project at the level of Ministry of Transport level by Duong Van
Chung at Transport Development and Strategy Institute (2018) of “Research on scientific basis,
proposal of solutions to mobilize breakthrough resources for transport infrastructure
development”.
(2) Regarding organization of collection apparatus for incomings from exploitation of
road works
The project “Fund of Road Maintenance“ by Ministry of Transport (2011) to mobilize a
number of social resources related to use of road in order to share with State budget in meeting
sufficiently, sustainably management of road maintenance.
In 2013, Transport Development and Strategy Institute performed the project of “
Research on mechanisms to effectively mobilize and use capital for road transport infrastructure
maintenance“.
(3) Regarding the management of the collection process for incomings from exploitation of
road works
The project of “Improvement of management of road toll collection ” by Dang Thi Xuan
Mai et al. at University of Transport and Communications (2010). The proposed solutions for
improvement of toll collection management consist of 3 contents: Express points of views on the
financial and socio-economic benefits of toll collection; Modernization of toll plaza;
Socialization of toll collection.
The doctoral thesis of “State administration on collection and use of road tolls in
Vietnam” by author Phan Huy Le at National Economics University (2010).
(4) Regarding inspection, examination and supervision of the collection process from
exploitation of road works
The project of “Crime and law violation prevention in mobilizing and using capital
sources in the transport sector” by Ministry of Transport (2017). The implementation of the
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project is aimed at combating and preventing crime and law violation in mobilizing, distributing
and using capital sources in order to ensure a sustainable socio-economic development in the new
period.
The State Audit is one of the indispensable tools in strengthening the State’s inspection
and control to prevent loss, waste and negativity that has been happening in all stages of
investment process. In the course of researching on this issue, the thesis of author: Hoang Van
Luong (2012), Tran Thi Ngoc Han (2012), therefore, proposes solutions to improve the audit
quality in the course of construction investment audit, economical and efficient use of capital
sources in this field.
1.1.2. Overview of foreign research works
(1) Small, Kenneth A.(1992), with the research on use of incomings from traffic
congestion restriction fees, concerns about use of incomings from road toll collection. The idea
now is not to use the incomings to cover expenditures but to use the incomings on the effective
basis. In the opinion of the author, the collected road tolls are not necessarily re-used for transport
investment but can be allocated to large funds and other budgets to further invest for socio-
economic development.
(2) The studies of Gillen, D. (1997) on efficiency of using transport infrastructure at ideal
prices: the second best rule, by Jones, P. (2003) on possibility of road users to accept traffic fees
and challenges; Research by Kratena, K. and Puwein, W. (2002) on heavy truck tolls, focuses on
analyzing and giving arguments and approaches to determine the traffic fees. Besides, it also
states problems to be encountered in use of different approaches to determine road tolls and
proposal for solution.
(3) Author Юсynoв H.A. with the book "Teория u пpamuka rocyдacтвeнно - чacтнoro
napтнества (2004) refers that if a private enterprise receives the right to build road works, it
will have chance to exploit and maintain such works.
(4) Author Cesar Queiroz (2005) with the article “Launching Public Private Partnerships
for Highways in Transition Economies” emphasizes public-private partnership that is not only
suitable for new construction investment (ĐTXD) projects, expansion and renovation, but also for
projects of road maintenance, with program of franchise for maintenance and fee collection rights
to mobilize capital for exploitation of works.
In addition, there are many studies around the world on incomings and state
administration on incomings from exploitation of road works:
(5) The article of “ Financial innovation for road maintenance ” by Dr.Gunter J.Zietlow
(1999), at the 3rd International Science Conference on Roads and Bridges.
(6) An in-depth research by Marcus Einbock on “ The impact of road toll collection on the
enterprise system ” recognized the negative impact of unreasonable toll collection on operations
of enterprises in general; Parry, I.W.H. (2002) with the research on comparing the effectiveness
of traffic congestion limit policies; The study by Poole, R. (1992) on the introduction of the price-
based toll of traffic congestion; The study of Hai Yan and William H. K. Lam on traffic fee
optimization in the condition of congestion, has researched on collection of traffic tolls from a
different view.
(7) The article of authors including Andrea Broaddus, Todd Litman, Gopinath Menon
(2009) on the topic of “Transportation demand management” presented the experiences of some
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cities on traffic demand management, limit of demand on use of personal motor vehicles.
(8) The article of authors including Stephen Lockwood, Ravi Verma, Michael Schneider
(1999) on “ Public and private partnership in toll road development, overview of practices
around the world” at the 3rd International Science Conference on Roads and Bridges in Vietnam.
(9) The article of authors including Gerhard Menckhoff, Christopher Zegras (1999)
“Experiences and a number of issues in transfer of urban transport infrastructure” at the 3rd
International Science Conference on Roads and Bridges in Vietnam.
(10) The article of Antonio Postigo (2008), “Financing road infrastructure in China and
India: current trends and future options” analyzes the strengths and limitations of financial
policies for Road transport in China and India.
1.1.3. Review on the research works and research gap of the thesis topic
1.1.3.1. Reviews
Firstly, the research works of domestic and foreign authors related to incomings from road
users in general and road toll collection in particular for aim at achieving high efficiency have
provided the scientific arguments that assist the author to give directions and solutions to state
administration on incomings from exploitation of road works in an efficient, stable and
sustainable basis.
Secondly, the studies on state administration on collection and use of road tolls have
clarified the concept of road, road charges and the content of the state administration on
collection and use of road tolls in Vietnam; also, it shows the shortcomings and issues in need of
being research for the state administration on incomings from exploitation of road works in order
to achieve the objectives set out.
Thirdly, the research topics on incomings from road users in general and the state
administration on collection of road tolls in particular have proposed solutions to the public-
private cooperation in the work of the state administration on incomings from exploitation of road
works in Vietnam.
Fourthly, a number of issues such as: objectives, views, orientations, principles, criteria,
experiences mentioned in the domestic and foreign scientific studies, seminars on road toll
collection management will be acquired, inherited and developed by the author to build a
theoretical basis for the state administration on incomings from exploitation of road works in
Vietnam.
Fifthly, there are many legal documents related to the state administration on incomings
from exploitation of road works, but it can be seen that they still exist a number of shortcomings
and inconsistency among documents, low feasibility, poor legal document quality, and theoretical
research on law has not kept up with requirements of reality.
Based on the reviews above, the following conclusions can be drawn:
Firstly, majority of scientific works only focus on systematizing, analysing and
researching the impacts of policies and regimes directly and indirectly affecting the road toll
collection from users and proposing solutions to improve toll collection efficiency.
Secondly, a number of works are only interested in application of technologies and
techniques in road toll collection, discussion about application of technical solutions to improve
toll collection efficiency.
Thirdly, when it comes to the management of incomings from road users in general and
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road tolls in particular, the studies mainly aim at toll collection agencies which are toll plazas
paid to state budget managed by Directorate for Roads of Vietnam and Department of Transport
of provinces, the form of BOT toll collection (build-operate-transfer) is still new and in the pilot
stage.
Fourthly, a number of current incomings arising has not been mentioned by the studies:
Fee collection of road pavement and median strip for placing billboards; Fee collection for use of
roadway, roadside, pavement invested by the State (bicycles, motorbikes, cars at parking zones,
public transport parking zones invested by the State) and so on. Recently, the State has made
many innovations for exploiting road infrastructure assets towards attracting the private sector
such as: Leasing the right to exploit, transferring road transport infrastructure assets in a certain
term and exploiting the fund of land located on both sides of the road, which has encouraged
private investors to pay more attention to the road infrastructure, thereby generating capital to
serve maintenance and investment in road infrastructure development, and promoting socio-
economic development.
Fifthly, the system of legal documents related to the State administration on incomings
from exploitation of road works should be further supplemented and improved.
Therefore, the new differences and contributions of postgraduates in the thesis need to
focus deeply on analyzing and explaining the main theoretical problems, current situation of state
administration on incomings from exploitation of road works, thence proposing solutions to make
administration on incomings from exploitation of road works today better.
1.1.3.2. Research gaps and questions:
Based on the reviews and conclusions above, the research gap of the thesis topic in need of
being focused on researching is:
First of all, to systematize and clarify the theoretical and practical basis of the State
administration on incomings from exploitation of road works in case of presence of new
incomings with innovation in administration technology and increasingly-developed and modern
road network.
Secondly, to analyze, evaluate objectively and scientifically current situation of the state
administration on incomings from exploitation of road works in recent period, thereby pointing
out the shortcomings, limitations and their causes for the state administration on incomings from
exploitation of road works.
Thirdly, to suggest a number of solutions to make the state administration on incomings
from exploitation of road works in Vietnam better on the basis of science and practice.
Research questions:
- Which incomings does exploitation from road works consist of? What is the state
administration on incomings from exploitation of road works?
- What is purpose of the state administration on incomings from exploitation of road
works? which principles is it based on? And which requirements does it need to satisfy?
- What are contents of the state administration on incomings from exploitation of road
works? And what are criteria for assessment? How is the current situation of incomings and the
state administration on incomings from exploitation of road works in Vietnam today? What are
existing shortcomings and difficulties? And what are causes? What are solutions to perfect the
state administration on incomings from exploitation of road works?
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1.2. Research framework of the thesis
Mission approach and solution of the thesis:
Basis for research
Research idea
Expected outcome
Find out facts and reliable
information of the state
administration on incomings
from exploitation of road
works
Affirm the necessity for
improving the state
administration on incomings
from exploitation of road
works in Vietnam
Determine title of the thesis
topic
Research and review of
published scientific works
related to the thesis topic
Determine the research
content of the thesis,
expected in-depth studies
Find research gap
Collect and research on
secondary theoretical, legal
and practical documents
related to research mission
Develop a theoretical
framework, look for lessons
learned about the state
administration on incomings
from exploitation of road
works
Establish the theoretical,
legal and practical basis for
the further studies
Process and analyze
information by statistics to
clarify the successes and
shortcomings of the state
administration on incomings
from exploitation of road
works in Vietnam
Build an objective practical
basis for researching on
and proposing solutions to
Collect information to serve
research on current situation
of the state administration on
incomings from exploitation
of road works in Vietnam
perfect
administration
incomings
the
state
on
from
exploitation of road works
in Vietnam
Combine theory and practice
of Vietnam conditions,
closely follow the current
situation of the state
administration on incomings
from exploitation of road
works to find perfect
solutions
Views, objective, orientation;
Propose
a
system of
expected
solutions;
solutions to perfect the
state administration on
sociological investigation to
verify the correctness of the
expected solutions
incomings
from
exploitation of road works
in Vietnam
Figure 1.1. Research framework of the thesis
1.3. Research methods of the thesis
On the basis of the methodology of dialectic materialism and historical materialism used
by economic researchers to study development of nature, society and thinking. The thesis uses
the following main research methods:
1.3.1. Methods of synthesis, analysis, comparison
To synthesize some statistical reports of National Assembly Standing Committee,
Government, State Audit, Ministries of Planning and Investment, Finance, Transport and
Directorate for Roads of Vietnam, etc. on the current state of road transport infrastructure, the
system of administration documents, the development strategy of the industry, the investment
capital demand, etc. To carry out in-depth research on experience of typical countries in the state
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administration on incomings from exploitation of road works in the region such as Japan, China,
Singapore and so on. Especially, the experiences for management of incomings from
exploitation of road works in the form of socialization, in combination with analysis of
secondary data to serve as a basis for building orientations, objectives, and viewpoints of the
state administration on incomings from exploitation of road works.
1.3.2. The expert method
Through interviews with experts, managers to collect opinions and information on
assessment of the current situation as well as solutions for the state administration on incomings
from exploitation of road works in Vietnam. The purpose of interviewing different subjects is to
obtain information, thence supporting the author to compare the collected information, evaluate
the logics of quantitative analysis with qualitative analysis.
1.3.3. Methods of sociological investigation
In the chapter 3 and 4 of this thesis, the author used the questionnaire survey method to
assess the current situation and propose solutions to make the state administration on incomings
from exploitation of road works in Vietnam to be carried out realistically and exactly. The
research surveyed 138 subjects, including 91 subjects of central state management agencies
related to receivables from road infrastructure exploitation (83 subjects under the agencies of the
Ministries of Finance, Transport and Communications and Planning and Investment, and 8
subjects under Directorate for Roads of Vietnam), 18 subjects under local transport departments,
20 subjects as investors of road transport infrastructure, and 7 subjects under Government
Inspectorate, State Audit and Inspectorate of the Ministry of Finance.
CHAPTER 2: THEORETICAL AND PRACTICAL BASIS OF STATE
ADMINISTRATION ON INCOMINGS FROM EXPLOITATION OF ROAD WORKS
2.1. Overview of incomings from exploitation of road works
2.1.1. Exploitation of road works
Road works is a part of transport infrastructure, including roads, stopping and parking
spaces, signal lights, road signs, road markings, sign posts, barriers, traffic islands, median strips,
mileage poles, walls, embankments, drainage systems, vehicle load test stations, toll plazas and
other road auxiliary works and equipment.
Exploitation of road works is all activities in general related to operation of road works in
accordance with process of exploiting and keeping traffic cap of the works according to process
of maintaining and using the facilities of road works that were built or repaired for the people’s
benefit, society, and country.
2.1.2. Incomings from exploitation of road works
The incomings from exploitation of road works consist of those related to use of road
works, including:
Figure 2.1. The incomings from road works
2.2. Theoretical basis for the state administration on incomings from road works
2.2.1. Issues related to the state administration on incomings from road works
The state administration on incomings from exploitation of road works is understood as
the State‘s performing administration functions through use of legal and policy tools, affecting
the subjects involved in the course of toll collection from exploitation of road works in order to
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achieve the requirements, objectives, and plans for incomings from that work.
+ Subject of state administration on incomings from exploitation of road works:
Depending on regulations of each nation, including many agencies, with assignment and
decentralization among the policy-making agencies, agencies that organize, manage the toll
collection process from exploitation of road works, and those resolving dispute and handling
violation.
+ Objects of state administration on incomings from exploitation of road works: are
organizations and individuals getting benefits from road services.
+ Tools for state administration on incomings from exploitation of road works: Offices
(head office, workplace, place where leaders, officials, civil servants and staff perform their
functions, issue administrative decisions and organize implementation of those on incomings
from exploitation of road works); Public assets (expenses and conditions, means to make
collection from exploitation of road works); Administrative decision (expressing the will of the
state on toll collection from exploitation of road works).
+ State administration methods on incomings from exploitation of road works:
Administrative methods (through legal regulations on objects, contents, rates for collection) and
organizational method (rewarding good followers and penalizing those who fail to strictly follow
regulations on exploitation of road works); Legal tools, policies:...; Economic tools: taxes, fees,
etc.
2.2.2. Requirements for state administration on incomings from exploitation of road works
Requirements for state administration on incomings from exploitation of road works
Properly plan
the policy on
incomings from
exploitation of
road works
Fully and properly
enforce the policy
on incomings from
exploitation of
Ensure uniform
management on
incomings from
exploitation of
road works
Minimize loss and
negatives on
incomings from
exploitation of road
works
Facilitate for
citizens and
enterprises
road works
Figure 2.2. Requirements for state administration on incomings from exploitation of road
works
2.2.3. Principles for state administration on incomings from exploitation of road woks
The system of principles for the state administration on incomings from exploitation of
road works must be accordant with principles of general organization and operation set by the
State, adhere to the objectives set out, reflect exactly the State's views on direction and operation
for supply of goods and services, in accordance with the national socio-economic development
and following international commitments and practices, of which the most important are the
following principles:
- Principle of fairness;
- Principle of stability;
- Principle of use for the right purpose;
- Principle of saving and efficiency;
- Principle of publicity and transparency;
- Principle of reasonable decentralization in administration on incomings from exploitation
of road works.
2.2.4. Content of state administration on incomings from exploitation of road works
The management science has shown the basic functions of management include: (i)
Planning; (ii) Organizing the plan implementation; (iii) Directing the plan implementation; (iv)
Controlling the plan implementation . On the basis of applying the basic management functions
to condition of state administration on incomings from exploitation of road works, those
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functions are described specifically as follows:
(i) Make projects and plans for incomings from exploitation of road works:
In the reality of state administration on incomings from exploitation of road works, the
function of making projects, plans for incomings from exploitation of road work is evaluated
through the following 9 criteria: Overall objective at central level; Overall objective at local level;
Project and Plan in detail; Clear implementation instructions; Clearly-defined responsibilities;
Human resources and implementation appratus; A list of incomings in the right orientation;
Guarantee of feasibility; Technology investment.
(ii) Organize the plan implementation for incomings from exploitation of road works
In the reality of state administration on incomings from exploitation of road works, the
function of organizing the plan implementation for incomings from exploitation of road works is
evaluated through the following 6 criteria: Fulfill responsibilities; Ensure collection schedule;
Appropriate objective; Decentralization of state administration; Effective organization and
operation of administration apparatus; Ensure publicity and transparency.
(iii) Direct (lead) the plan implementation for incomings from exploitation of road works
In the reality of state administration on incomings from exploitation of road works, the
function of directing (leading) the plan implementation for incomings from exploitation of road
works is evaluated through the following 8 criteria: Role of direction (leadership) at central level;
Role of direction (leader) at local level; Central obligation; Local obligations; Ensure a clear
understanding of objective (at central level); Ensure a clear understanding of objective (at local
level); Encouragement form; Clear understanding of rights and obligations.
(iv) Control the implementation of projects and plans for incomings from exploitation of
road works
In the reality of state administration on incomings from exploitation of road works, the
function of controlling the implementation of projects and plans for incomings from exploitation
of road works is evaluated through the following 6 criteria: Complete legal document system;
Effective inspection, examination and supervision system; Collection process control standards;
Take action in a timely manner; Handling violations of regulations; Ensure honesty and
objectivity.
The state administration on incomings from exploitation of road works consists of the
following 4 contents:
Content of state administration on incomings from exploitation of road works
Organize the State
administration
apparatus on
incomings from
exploitation of road
works
Formulate and issue
regimes and policies
on incomings from
exploitation of road
works
Inspect, examine
and supervise the
collection process
from exploitation
of road works
Manage the
collection process
from exploitation
of road works
Figure 2.3. Content of state administration on incomings from exploitation of road works
2.2.5. Criteria for assessing the state administration on incomings from exploitation of road works
Consisting of two groups:
a. Group of criteria for assessing the content of policies on incomings from exploitation of
road works:
- Suitability of the collection policy with service quality;
- Performance of the collection policy;
- Impacts of the collection policy on the development of services for exploitation of road
works.
b. Group of criteria for assessing the collection organization
12
- Criteria for assessing collection procedures and processes;
- Time of collection;
- The collector‘s attitude;
- Level of loss;
- Negative behavior in the course of collection;
- Decentralization in collection management.
2.3. Factors affecting the state administration on incomings from exploitation of road works
2.3.1. Objective factors
2.3.1.1. Legal documents on incomings from exploitation of road works
Clear and transparent legal documents on incomings from exploitation of road works will
be a prerequisite for improving the efficiency of state administration on incomings from
exploitation of road works.
2.3.1.2. Economic situation and living standards of the people
With high living standards, the amount of payables from exploitation of road works does
not account for too much compared to the people's income, so they are willing to pay such
payables.
2.3.1.3. Institutions and sanctions of the state
If the regulations of the local government for concretizing the regulations of the Law and
Central policies is not clear or close to reality, of if they are not constantly revised, updated, it
will cause difficulties for team of deployment, management, leading to a case of ask - give,
harassment, corruption.
2.3.1.4. Consciousness for law observance on fees and charges
When people are conscious of complying with the law well, they will voluntarily declare
and pay the payables from exploitation of road works, thereby minimizing phenomenon on
evasion of fees, charges, and money collected from exploitation of road works.
2.3.2. Subjective factors
2.3.2.1. Qualifications and ethical qualities of managers and leaders.
Qualifications and responsibilities of the officers in charge of collection from exploitation
of road works has a decisive significance to outcome of the state administration on incomings
from exploitation of road works, because they are the ones who directly perform the collection
from exploitation of road works.
2.3.2.2. Infrastructure of the transport sector as well as organizations and individuals allowed to
collect from exploitation of road works.
This factor has a strong impact on management of collection from exploitation of road
works. The infrastructure of transport industry includes: working means, salary, bonus, discipline,
etc.
CHAPTER 3: CURRENT SITUATION OF THE STATE ADMINISTRATION ON
INCOMINGS FROM EXPLOITATION OF ROAD WORKS IN VIETNAM
3.1. Current situation of collection from exploitation of road works in Vietnam
3.1.1. The current situation of the road system in Vietnam
The network of Vietnam road is being exploited so far is 668.758 km in length, of which:
The system of National route with 154 routes is 24,598 km in length managed by Ministry of
Transport, accounting for 3,68% of the length of the road system (excluding roads in villages and
within fields); The highway has 16 routes with length of 977 km; local road system (roads
managed by local authorities) is 635.324 km in length (urban road, provincial road, district road,
communal road and rural road accounts for 27.653 km, 27.941 km, 56.428 km, 523.302 km,
respectively); special-use roads are 7.859 km in length, exploited and managed by organizations
and enterprises. The number of bridges is estimated to be over 28.000 of all kinds.
3.1.2. Current situation of collection from exploitation of road works in Vietnam
The incomings from exploitation of road works in Vietnam consist of: (i) Regulatory fees,
(ii) Incomings from service price of using road transport infrastructure assets, (iii) Incomings
from lease of the right to exploit, transfer of rights to exploit road transport infrastructure assets
13
in a certain term and (iv) Other incomings.
3.1.2.1. Costs in accordance with the law on charges and fees
a. Cost for using road
In recent years, thinking about investment in road maintenance of the transport sector has
changed dramatically. While capital for new construction investment is limited, the policy of
allocating enough capital for maintenance to preserve road assets and restrict new construction
investment is being encouraged. In the course of performing policy of socialization in the road
sector, in 2013, road toll collection is commenced based on the number of vehicles, replacing toll
collection through toll plazas to pay the State budget.
Table 3.5. The result from the road toll collection in the period of 2013-2018
Unit: billion dong
Items
2013
2014
2015
2016
2017
2018
5.435,00 4.928,39 5.703,99 6.375,15 7.173,74 8.034,64
4.737,12 4.645,00 6.177,73 6.150,0 6.950,0
104,04% 122,80% 103,20% 116,65% 115,61%
Actual collection of road tolls
Road toll collection plan
Completion rate compared to expected plan
b. Fees for temporary use of roadway, pavements
According to Circular No. 85/2019/TT-BTC dated November 29, 2019 on guidance on
fees and charges under deciding competence of the People‘s Councils of provinces and cities
under directly the Central, the fees for temporary use of roadway, pavement is one of the 21
fees under deciding competence of People‘s Council of the provinces or cities under directly
the Central, so each locality has a different rate.
Figure 3.5. Result of collecting fees for temporary use of roadway, pavements in the
period of 2013-2017
3.1.2.2. Incomings from the service charges for use of road transport infrastructure assets
a. Business of service spot on road
Table 3.6. Statistics for the number of service stations on the highway as of 2018
NO.
Types of stations
Quantity
1 The number of service stations
2 The number of emergency stations
3 The number of rescue stations
10
8
4
b. Business expansion on road
In addition, the business expansion and development on the highway such as radio
advertisement, advertisement on toll tickets, and expansion of storage system along the highway
is not interested by investors for development investment.
3.1.2.3. Incomings from the lease of the right to exploit, transfer of the right to exploit the road
transport infrastructure assets in a certain term
a. Lease of the right to exploit road transport infrastructure assets
Through the actual survey of some organizations with systems installed within scope of
transport infrastructure system of National Route, it shows that if only a small portion of
incomings from enterprises using road infrastructure is collected, the incomings from road
exploitation has been increased significantly, meeting the basic demand of road maintenance, and
14
reducing the additional state budget funding for annual maintenance, as well. For example, if 1%
of incomings from these organizations is collected, the annual state budget has an additional
capital of about 14.900 billion VND to meet the need for road maintenance.
b. Transfer of the right to exploit the road transport infrastructure in a certain term
It can be said that the great benefits from transfer of the right to exploit highway are very
great, significantly contributing to solving the lack of investment capital for highway
construction. The policy is also performed, but so far, the results have not been as expected.
3.1.2.4. Other incomings as prescribed by law
a. Incomings from exploiting the land bank in the vicinity
Currently, because the State has not yet carried out the collection from exploitation of land
bank on both sides of the road, this huge and legal incomings to the state budget is being ignored.
b. Donations and contributions from domestic and foreign investors, enterprises, people
There are many ways for investors, enterprises and people to contribute to the
development of road transport infrastructure instead of money, it is donating land for road
construction and contributing efforts that are difficult to quantify, so the author has no statistics.
3.2. Analyze the current situation of the State administration on incomings from
exploitation of road works in Vietnam
3.2.1. Formulate and issue regimes and policies on incomings from exploitation of road works
For a clearer view on the current situation of promulgating and organizing performance of
legal documents on incomings from exploitation of road works; general understanding and
conciousness of incomings from exploitation of road works, the author conducts survey and
analysis on the basis of an overall assessment of the following contents: (1) Understanding of
state administration agencies about receivables, control agencies, investors; (2) Law on
incomings from exploitation of road works; (3) Rates of collection.
Table 3.8. General understanding and conciousness of incomings from exploitation of road
works in Vietnam
NO. Symbol
Content
1 HBC1.1 Charges of using the road in accordance with the law on charges and fees
Charges for temporary use of roadway or pavements in accordance with the law
on charges and fees
2 HBC1.2
Incomings from the service charges of using road transport infrastructure assets
and other incomings related to supply of services in accordance with the law: Gas
HBC1.3 stations, cafeterias, stores, maintenance and repair workshops, hotels, motels,
3
communication services; storage system along the road
Incomings from the service charges of using road transport infrastructure assets
4
5
6
and other incomings related to supply of services in accordance with the law:
Emergency station, rescue station
Incomings from the lease of the right to exploit, transfer of the right to exploit
road transport infrastructure assets in a certain term: Bus terminals, parking lots,
road management houses, stop stations
Incomings from the lease of the right to exploit, transfer of the right to exploit
road transport infrastructure assets in a certain term: Technical infrastructure
projects are lines, cables, pipes
HBC1.4
HBC1.5
HBC1.6
Incomings from the lease of the right to exploit, transfer of the right to exploit
road transport infrastructure assets in a certain term: Other projects installed on
HBC1.7 roads and road safety corridors in accordance with the provisions of law: Placing
advertising board on the pavement, median strip, etc.
7
8
Incomings from the lease of the right to exploit, transfer of the right to exploit
road transport infrastructure assets in a certain term: Transfer of existing
infrastructure assets associated with investment in upgrade and expansion: transfer
HBC1.8
15
of roads, tunnels, bridges
Other incomings (if any) as prescribed by law: Incomings from exploitation of
HBC1.9 land bank in the vicinity
Other incomings (if any) as prescribed by law: Donations and contributions from
HBC1.10 investors
9
10
The incomings are considered a kind of public service
11 HBC2
12 HBC3
12 HBC4
13 HBC5
14 HBC6
15 HBC7
Ministry of Transport has a correct understanding of the incomings
Ministry of Finance has a correct understanding of the incomings
Directorate for Roads of Vietnam has a correct understanding of the incomings
Vietnam Register has a correct understanding of the incomings
Provincial People’s Committee has a correct understanding of the incomings
Departments of Transport of provinces have a correct understanding of the
incomings
16 HBC8
17 HBC9
18 HBC10
Control agencies (Inspection and State Audit, etc.) have a correct understanding of
the incomings
The investors (organizations or individuals in charge of the project) has a correct
understanding of the incomings
19 HBC11 The laws on incomings have been issued fully and synchronously
20 HBC12 The rates of incomings are clearly specified
The general analytical results for indicators measuring general understanding and
conciousness are shown in Table 3.9. The analytical results show that level of general
understanding and conciousness is above the mean threshold, except for the objective HBC11
(mean = 2.91), which indicates that the current law on incomings from exploitation of road works
is considered incomplete and not synchronized.
Table 3.9. The analysis reflecting indicators of general understanding (HBC) on incomings
from exploitation of road works in Vietnam
No.
N
Minimum
Maximum
Mean
Std. Deviation
HBC1.1
HBC1.2
HBC1.3
HBC1.4
HBC1.5
HBC1.6
HBC1.7
HBC1.8
HBC1.9
HBC1.10
HBC2
138
138
138
137
138
138
138
138
137
137
138
138
138
138
138
137
1.00
1.00
1.00
1.00
1.00
1.00
1.00
1.00
1.00
1.00
1.00
1.00
1.00
1.00
1.00
1.00
5.00
5.00
5.00
5.00
5.00
5.00
5.00
5.00
5.00
5.00
5.00
5.00
5.00
5.00
5.00
5.00
4.1667
3.7319
3.9130
3.0657
3.9638
3.9420
3.7536
3.7536
3.6934
3.6423
3.8261
3.5507
3.7971
3.5435
3.4420
3.6058
.79765
1.08433
.79669
.97923
.74881
.62512
.91070
.88632
.88751
.88896
.80973
.82897
.74637
.77478
.78320
.76078
HBC3
HBC4
HBC5
HBC6
HBC7
16
No.
N
Minimum
Maximum
Mean
Std. Deviation
HBC8
HBC9
137
138
138
138
138
1.00
1.00
1.00
1.00
1.00
5.00
5.00
5.00
5.00
5.00
3.4964
3.6884
3.0652
2.8043
3.2391
.81461
.76225
.88133
.95794
.94022
HBC10
HBC11
HBC12
Valid N
(listwise)
134
(1) Make the projects and plans for collection from exploitation of road works in Vietnam
Table 3.12. Criteria for assessing the current situation of making projects and plans for
collection
Symbol
NO.
1
Content
KH1
KH2
KH3
An overall objective on incomings has been developed at the central level
An overall objective on incomings has been developed at the local level
The projects and plans in detail for implementation of collection proposals
from exploitation of road work have been made in line with the overall
objective of all levels
2
3
4
5
KH4
KH5
Instructions for performing projects and plans of incomings collection are clear
The responsibilities of related subjects for the project, plans on incomings are
clear
KH6
KH7
Human resources and organizational apparatus for performing projects and
plans on incomings collection is determined specificially
A list of incomings is established in accordance with the orientation set out by
project and plan
6
7
8
9
KH8
KH9
The project, plans to collect incomings ensure the feasibility
Technology investment in toll collection has been well implemented
The analytical results in Table 3.13 show that the assessment rate of this activity is
approximately above the mean threshold, except that the objective KH6 and KH9 are below
mean. It reflects quite accurately current situation that the investment in human resource
investment as well as technology for performance of receivables collection plan which is still
poor, affecting the quality and efficiency of the plans of collecting receivables, correct objects,
and enough amount to pay the State budget.
Table 3.13. Statistical analysis describing criteria related to planning
Criteria
N
Minimum
1.00
Maximum
5.00
Mean
3.4855
Std. Deviation
.82157
KH1
KH2
KH3
KH4
KH5
KH6
KH7
KH8
KH9
138
138
138
138
138
138
137
138
138
1.00
1.00
1.00
1.00
1.00
1.00
1.00
1.00
5.00
5.00
5.00
5.00
5.00
5.00
5.00
5.00
3.2464
3.2681
2.9275
3.1739
2.9638
3.2774
3.2319
2.5870
.77187
.80636
.86824
.90346
.84066
.84653
.73782
.91003
Valid N
(listwise)
137
3.2.2. Organize the State administration apparatus on incomings from exploitation of road works
(2) Organize implementation of the plan to collect from exploitation of road works in Vietnam
17
Table 3.16. The criteria to assess the organization and implementation of the collection
projects and plans
NO. Symbol
Content
The State administration agencies on incomings (Ministry of Transport) have
fulfilled their responsibilities in organizing the collection of incomings.
The State administration agencies on incomings (Ministry of Finance) have
fulfilled their responsibilities in organizing the collection of incomings
The State administration agencies on incomings (Directorate for Roads of
1
2
TC1.1
TC1.2
3
TC1.3 Vietnam) have fulfilled their responsibilities in organizing the collection of
incomings
The State administration agencies on incomings (Provincial People’s
TC1.4 Committee) have fulfilled their responsibilities in organizing the collection of
incomings
4
5
6
7
8
The State administration agencies on incomings (Vietnam Register) have
TC1.5
fulfilled their responsibilities in organizing the collection of incomings
The State administration agencies on incomings (Department of Transport of
TC1.6 provinces) have fulfilled their responsibilities in organizing the collection of
incomings
Ensure the progress of incomings collection according to projects and plans:
TC2.1
Charges according to regulations of law on charges and fees;
Ensure the progress of incomings collection according to projects and plans:
TC2.2 Incomings from the service charges of using road transport infrastructure assets
and other incomings related to supply of services in accordance with law;
Ensure the progress of incomings collection according to projects and plans:
TC2.3 Incomings from the lease of the right to exploit, transfer of the right to exploit
the road transport infrastructure asset in a certain term
9
Ensure the progress of incomings collection according to projects and plans:
10
11
12
TC2.4
Other incomings (if any) as prescribed by law
TC3 The organization and implementation is consistent with the collection obejctive
Decentralization of state administration on incomings between Ministry of
TC4
Transport and Provincial People’s Committee is clearly performed
13
14
TC5 Organize and operate the incomings management apparatus effectively
TC6 Ensure publicity and transparency in the collection of incomings
The analytical results in Table 3.17 show that the assessment rate of this activity is above
or approximately above the mean threshold, except for criterion TC5, which shows that these
activities have been assessed as relatively weak in recent years. This result is consistent with
current situation of organizing and implementing the collection plan in the past. On the other
hand, criteria of publicity and transparency in the collection of incomings (TC6) is also assessed
relatively low, indicating that it is necessary to promote more transparency and openness in
organizing collection of receivables to create mutual consent among stakeholders and the whole
society.
Table 3.17. Statistics describing the organization and implementation of the collection projects
18
and plans
Criteria
N
Minimum
Maximum)
Mean
3.6159
Std. Deviation
TC1.1
TC1.2
TC1.3
TC1.4
TC1.5
TC1.6
TC2.1
TC2.2
TC2.3
TC2.4
TC3
138
138
138
138
138
138
138
138
138
138
138
138
138
138
138
1.00
1.00
1.00
1.00
1.00
1.00
1.00
1.00
1.00
1.00
1.00
1.00
1.00
1.00
5.00
.70785
.72786
.70617
.70407
.73742
.73105
.59268
.68476
.70901
.65054
.79126
.98698
.91547
.93751
5.00
5.00
5.00
5.00
5.00
5.00
4.00
5.00
5.00
5.00
5.00
5.00
5.00
3.7681
3.5362
3.5652
3.5000
3.3043
3.7464
3.4565
3.3913
3.2826
3.4275
3.4130
2.9638
3.0652
TC4
TC5
TC6
Valid N (listwise)
3.2.3. Manage the collection process from exploitation of road works
(3) Direct implementation of the collection plan from exploitation of road works in Vietnam
Table 3.20. Criteria for assessing the direction of performing the collection projects and plans
NO. Symbol
Content
CD1 The central leaders show their good leading role in the state administration of
decentralized incomings
1
CD2 The local leaders show their good leading role in the state administration of
decentralized incomings
CD3 The central leaders well perform their obligations in state administration of
decentralized incomings
2
3
4
5
CD4 The local leaders well perform their obligations in state administration of
decentralized incomings
CD5 The central leaders ensure that individuals and subordinate units understand
clearly the objectives, projects and plans of collecting decentralized incomings
CD6 The local leaders ensure that individuals and subordinate units understand clearly
the objectives, projects and plans of collecting decentralized incomings
CD7 The leaders well perform incentives to promote working motivation for subjects
in state administration on incomings
6
7
8
CD8 The leaders ensure that individuals and subordinate units understand clearly their
rights and obligations in state administration on incomings
The analytical results in Table 3.21 shows that the assessment rate of this activity is above
the mean threshold, except for criterion CD7. This result shows that the direction of performing
the plan to collect from exploitation of road works in the past is not too bad, but it needs to be
improved further to clearly define the leading role of collectives and relevant individuals, thence
creating a strong change in the state administration on receivables. On the other hand, the
encouragement of subjects involved in the implementation of the collection projects and plans by
combining various forms is very necessary, simple management based on administrative orders
should be avoid due to poor working productivity.
Table 3.21. Statistics descring the criteria for directing implementation of the collection
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