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研究生:阮玉勇
研究生(外文):Nguyen Ngoc Dung
論文名稱:公民參與BOT之研究:理論與應用
論文名稱(外文):CITIZEN PARTICIPATION IN BOT: THEORY AND POTENTIAL APPLICATION
指導教授:荷世平荷世平引用關係
指導教授(外文):Shih-Ping Ho
口試委員:許耀文王裕仁
口試日期:2013-06-11
學位類別:碩士
校院名稱:國立臺灣大學
系所名稱:土木工程學研究所
學門:工程學門
學類:土木工程學類
論文種類:學術論文
論文出版年:2013
畢業學年度:101
語文別:英文
論文頁數:129
中文關鍵詞:BOT投資公民公私夥伴關係項目管理
外文關鍵詞:BOTinvestmentcitizenPPPsProjectManagement
相關次數:
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To improve infrastructure system, especially in transportation, for over 2 decades, Vietnamese government has been trying to attract more investment from some main sponsors like Japan, EU, USA. Hundreds of project has been processing along the country from 1990. As the fast growth speed of Vietnam in the last decades, more and more investors were ready to jump into infrastructure section. Various models which are based on Public-Private Partnerships basically have been developed and transformed to compatible form as Vietnamese condition. However, in some recent years, due to expansion of larger projects, more and more capital need to be attracted. In Vietnam, many people tend to keep gold as a safe investment channel. But within some years, unstable gold price made people get much trouble. Actually, gold can be transformed into capital for infrastructure and that must be a huge source of investment. This leads to demand that we need to find better investment model so that we can attract more people choosing it as an attractive channel. This thesis tries to develop a new model called CBOT (Citizen-Build-Operate-Transfer) that can satisfy expectation from government and residents. Based on CBOT, many people will have chance to invest directly into government’s projects and receive better interest rate, even much higher than banking rate.
The CBOT model has some advantages and it is considered to be better than BOT or other models on some certain details. Moreover, by using clearer process of management, it will help to reduce corruption in Vietnam and bring better quality for infrastructure system. Overall, it can be applied to collect all amount of free saving money from residents into infrastructure investment. Then, the whole country will be released gradually from stressful debt given by many sponsors like the USA, Japan. Moreover, national macroeconomic system tends to be healthier and more stable just in some years and most residents will benefit from it.
Because of specific detail of private investment when cooperating with much capital from big corporate, we change an amount of capital into flexible form even before and after construction phase. Interest returning plan must be calculated carefully to reduce risk for the whole project.
The thesis also conducts a survey in some provinces directly affected by project in Vietnam to check ability and readiness of residents to support for the new model. Many people, are asked on their attitude over the new model and also their expectation in some aspects.
At last, a case study - Da Nang – Quang Ngai Expressway - has been analyzed as an example to test the model in many aspects. After analysis, some idea has been recommended for the government to apply the new model successfully.


TABLE OF CONTENTS
Acknowledgement i
Abstract ii
Table of contents iii
List of figures vii
List of tables viii

CHAPTER 1: INTRODUCTION
1.1. Background of PPPs 2
1.2. What is PPPs 2
1.3. PPPs around the world 3
1.3.1. Literature review 3
1.3.2. United-Kingdom 4
1.3.3. Australia 6
1.3.4. Philippines 7
1.3.5. India 8
1.4. Comparison between 2 groups of nation 9
1.5. PPPs in Vietnam 11
1.5.1. Ability to apply PPPs in Vietnam 11
1.5.2. Overview of investment policies in Vietnam 15
1.6. Motivation for a new model 19
1.7. Objective 20
1.8. Research scope 20
1.9. Limitation 21
1.10. Thesis outline 21

CHAPTER 2: LITERATURE REVIEW AND EVALUATION OF TRADITIONAL BOT MODEL IN VIETNAM
2.1. Literature review 23
2.2. Review existing BOT scheme in Vietnam 24
2.2.1. Structure 24
2.2.2. Problem 25

CHAPTER 3: DEVELOP MODEL CITIZEN-BUILD-OPERATE-TRANSFER (CBOT)
3.1. Definition of CBOT 28
3.2. Main specifications 28
3.2.1. Management 28
3.2.2. Cash flow 29
3.3. Concept cash flow 29
3.3.1. Cash flow chart 29
3.3.2. Definition of factors 30
3.4. Function of each unit in CBOT model 31
3.4.1. The government 31
3.4.2. State Owned Enterprise (SOE) 32
3.4.3. Project Management Unit (PMU) 32
3.4.4. Private company 32
3.4.5. Household 33
3.4.6. Insurance company 34
3.4.7. Contractor, designer, consultant and project manager 34
3.4.8. Operator 34
3.5. Project management unit (PMU) 35
3.5.1. Description 35
3.5.2. Responsibility 35
3.5.3. Structure 36
3.6. Responsibility matrix of all CBOT project stakeholders 37
3.7. Corruption prevention 40
3.7.1. Management aspect 40
3.7.2. Financial aspect 40
3.8. Risk sharing 40
3.9. Necessity method to reduce and prevent risk 42
3.10. Ability for investment from population 43
3.10.1. Gold saving habit 43
3.10.2. Banking activities 44
3.10.3. Stock market 46
3.10.4. Real estate market 47
3.10.5. Expected high demand for infrastructure system 47
3.10.6. Conclusion 47
3.11. Advantage and disadvantage 48
3.11.1. Advantage 48
3.11.2. Disadvantage 49
3.12. Comparison with others 49
3.13. Governmental management and general procedure 52
3.13.1. Phase 1: Preparation 52
3.13.2. Phase 2: Construction 53
3.13.3. Phase 3: Operation and Maintenance 53
3.13.4. Graph of general process of CBOT and time frame of tasks 54
3.14. Conclusion 61

CHAPTER 4: DEVELOP MODEL CITIZEN-BUILD-OPERATE-TRANSFER (CBOT)
4.1. Introduce about project 63
4.1.1. Information about the project 63
4.1.2. Structure 67
4.2. Forecast rate of traffic flow 71
4.3. Cost summary 71
4.3.1. Cost summary calculation 71
4.3.2. Cost summary diagram 73
4.4. Income from project 75
4.4.1. Types of possible benefit 75
4.4.2. Diagram of possible types of income 76
4.5. Plan for the project of Vietnamese government 78
4.5.1. Schedule for investment 78
4.5.2. Potential source of fund 78


CHAPTER 5: INTRODUCE ABOUT PROJECT AND ANALYZE SOURCE OF FUND
5.1. Introduction 85
5.1.1. Will a survey help for this problem? 85
5.1.2. How the survey can help to answer the problem? 85
5.1.3. Who are the right people to ask? 86
5.1.4. How can we reach them? 86
5.1.5. What is needed to make them understand my question? 86
5.1.6. Which - if any - are the statistical methods used on the data? 87
5.2. Hypothesis and analysis method for survey 87
5.2.1. Hypothesis 1 87
5.2.2. Hypothesis 2 94
5.3. Questionnaire 100
5.3.1. Purpose 100
5.3.2. Method 101
5.3.3. Data collection 101
5.3.4. Result 101
5.3.5. Discussion 104
5.4. Conclusion 104

APPENDIX A: CONTENT OF SURVEY 106
APPENDIX B: ANSWER AND DATA OF SURVEY 113
APPENDIX C: CONTENT OF QUESTIONAIRE 118
APPENDIX D: RESULT OF QUESTIONAIRE 123
REFERENCE 126



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