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:
1. Prof.Dr.Sc. Nghiem Van Dinh
2. 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

of road transport infrastructure, based on which to propose some solutions to
improve the two areas above in Hanoi city.
3. 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


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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

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 1
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

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:


5
systemizing, analyzing,
collection.

comparing,

sociology investigation,

statistics

CHAPTER 2
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.

- 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


7

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


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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

coherence with traffic safety.
2.2.6. Contracts on management of exploitation and maintenance of road
transport infrastructure.
2.2.6.1. Contract based on implementation volume.
The agency in charge of management of exploitation and maintenance of
road transport infrastructure is responsible for the jobs required by the road
management agency and the accptance, liquidation by Quarter based on
implmentation volume and unit price set.
2.2.6.2. Performance Based Contract
Perfomance based Contract is also called lump sum contract, the payment
is decided based on the satisfaction of set criteria on results and quality.
2.2.7. Criteria to evaluate the management of exploitation and maintenance
of road transport infrastructure
- Evaluate the management of construction engineering: Comparing the
results with the regulations in the standards of technical maintenance [55],
operation management [15].
- Evaluate the traffic safety management: Comparing the results with the
regulations in legal documents on management and protection of road


10
transport infrastructure asset, management of exploitation and maintenance of
road transport infrastructure.
- Evaluate the management of implementation methods: Reviewing the
effectiveness brought by the methods and modes of contract.
- Evaluate the management of capital: Seeking and mobilising new
supplement capital sources.
- Evaluate the management of science and technology: Through the level
of application of new construction technology, new material; investment of
machine, modern equipment; application of IT in the management process.

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.


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.


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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

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

Transport

expense

demand
(%)

Maintenance
Funds

2011

451.726

351.442

0

351.442

77,8

2012

687.431

511.801

0


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

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,


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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

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.


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CHAPTER 4

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 do 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 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



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.