The purpose and task of the thesis research 2.1 The purpose of the thesis research The thesis identifies the purpose of the research to clarify the theoretical and practical basis for
Trang 1VIETNAM ACADEMY OF SOCIAL SCIENCES
GRADUATE ACADEMY OF SOCIAL SCIENCES
TRAN HOANG HAI
INNOVATION MANAGEMENT ORGANIZATION
IN THE DIRECTION OF VIETNAM’S SEAPORT PATTERNS AUTONOMOUS PORT AUTHORITY
Major: Economic management
Code: 9340410
SUMMARY OF PH.D THESIS
Hanoi - 2019
Trang 2The dissertation was accomplished at
Graduate Academy of Social Sciences
Supervisors: Dr Tran Kim Hao
Dr To Dinh Thai
Reviewer 1: Prof Dr Dang Dinh Dao
Reviewer 2: Assoc Prof Dr Ngo Tuan Nghia
Reviewer 3: Assoc Prof Dr Phi Manh Hong
The dissertation will be defended at the Thesis Committee
of Graduate Academy of Social Sciences
held in………
Available at:
- National Library of Vietnam
- Library of Graduate Academy of Social
Trang 3PREAMBLE
1 The urgency of the topic
In the world, sea transport is considered as one of the most preeminent means of transportation due to its low cost and high ability to spread the regional economy Sea transport activities with a central role is the operation of the seaport system, always the concern of specialized managers The efficiency of shipping activities depends not only on the growth of the fleet, but also on the organizational structure of the port system Without proper investment and proper port system operation, the advantages of sea transport will not be promoted
For a maritime country like Vietnam, when the mechanism of centralized bureaucratic central planning was abolished, it shifted to a socialist-oriented market economy, and when our Party and State were and are gradually taking steps building an open economy, international integration, the field
of shipping is increasingly concerned by the state: the number of seaports has been increased and invested more; The planning is expanded from north
to south; Seaports increasingly play an important transport link in our country's integration with the global economy
However, port management currently faces many challenges The old-style management model does not keep up with the requirements of development both in width (scale, port scope) and depth (complexity, technology, technology, production organization ) the performance is limited and many of the available and potential resources have not been used effectively The reality of Vietnam's port operation and investment is facing a big question - that is to determine which management method and model is suitable for the seaport to achieve its efficiency commensurate with its potential and contribute to the successful implementation of "Sea Strategy"?
To overcome weaknesses and limitations in the way of managing and coordinating seaport activities, towards coordinating effectively and synchronously seaport infrastructure projects and infrastructure networks
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connected with Seaports, it is very necessary to research to find an optimal management model of seaports and suitable for the conditions of Vietnam Therefore, the topic " Innovation management organization in the direction of Vietnam’s seaport patterns autonomous port authority "for this doctoral thesis is very necessary and meaningful in both theory and practice
2 The purpose and task of the thesis research
2.1 The purpose of the thesis research
The thesis identifies the purpose of the research to clarify the theoretical and practical basis for port management and current status of Vietnam's seaport management, based on which proposed a number of solutions to renovate management organization port management
Research hypotheses
The current seaport system of Vietnam is still inefficient and does not meet the requirements of integration One of the basic causes is that port management has many shortcomings, so it is necessary to renovate port management On the other hand, the model of autonomous port authority is
an effective model being used by many countries around the world The thesis hypothesizes that it is possible to renovate the port management organization in the direction of the model of autonomous port authority to improve the efficiency of seaport exploitation
2.2 Research tasks of the thesis
Based on the overview of research results related to the research scope of the topic, the author identifies the research tasks in this thesis as:
- Clarifying theoretical and practical bases for port management and port organization management;
- Managing seaports of countries around the world; International experience lessons for port management in Vietnam
- Assessing the efficiency of Vietnam's port management activities over the past time: clarifying the limitations in port management, thereby
proposing the renewal of the management of Vietnam's seaport
Trang 5- Thirdly, how is the management model of seaports in Vietnam currently constraining the development of seaport system?
- Fourthly, how does Vietnam need to renovate its port management organization to improve the performance of its seaport system?
3 Subject and scope of the thesis research
3.1 Object of the thesis
The object of the thesis is Vietnamese port management with two aspects: state management for seaports and port operation management
* Range of content
The scope of research on Vietnam's port management in this thesis is limited to two aspects: state management and port operation management Regarding the content of state management, the thesis focuses on researching: seaport ownership, port management model and port management organization
* Space range
The dissertation studied the management of seaports in the territory of Vietnam in which the typical sample was Hai Phong seaport system (collectively referred to as Hai Phong seaport) The largest port system in the North has the best productivity and planning of infrastructure in the country
* Time range
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The study was carried out with information and recommendations consistent with the data for the period 2005 - 2018 with a vision to 2030 as well as the conditions of the applicable Maritime Code 2015
4 The methodology and research methods of the thesis
4.1 Methodology of the thesis
The thesis applies dialectical dialectical methodology That is, the dissertation research on port management in Vietnam does not exist independently, it has a dialectical relationship with the state management of non-business units and administrative organizations Ministry, local level The port management itself and the port management organization are not immutable, it is built, formed and developed for a certain period, period with defined socio-economic conditions
4.2 Research methodology of the thesis
In the thesis, the author uses qualitative research methods based on primary and secondary data sources Specific include:
- Methods of summarizing and analyzing primary data: During the research, primary data was collected through in-depth interview techniques
as well as questionnaire surveys The area where primary data collection is carried out is Hai Phong - the largest port system in the North Two questionnaires were prepared and used (See Annex 1 and Appendix 3), with
a number of questionnaires of 200 Respondents were seaport enterprises, logistic transport enterprises, and firms ship is the basis for signing an analysis of the current situation of the management of Vietnam's seaport and at the same time clarifying the purpose and meaning of the renovation
of Vietnam's seaport management organization in the direction of building
an autonomous port government (Chapter 3)
- Methods of synthesis and analysis of secondary data: Based on the collection of theoretical data collected on seaports and port management, on the management model of the World Bank's seaport, on management theory based on the model of port authority in domestic and foreign researches, by synthesizing and analyzing the Overview of the research situation and Chapter 2 of the theoretical basis of the thesis created
Trang 7- Comparative method: This method has been used in thesis research, such as Discover the conception of seaport by tradition and present; compare the basic differences of Vietnam's port management model with those in some countries in the world This method is applied to repeated lessons learned from international experiences in Chapter 2
5 New contributions to the science of the thesis
The thesis has the following main contributions:
- The dissertation contributes to clarify the theoretical basis for port management, port organization organization and model of autonomous port government and port management experience in some countries in the world
- The thesis clearly analyzes the status of management of Vietnamese seaports, organization of Vietnamese seaports; detect and analyze the limitations and shortcomings in port management in our country today
- The dissertation proposes solutions to renovate the port management organization in the direction of building an autonomous port government in Vietnam conditions
6 Theoretical and practical meanings of the thesis
Clarify the ability to apply common theoretical basis for port management and port organization organization according to some world practices and models and conditions in Vietnam
The recommendations for Vietnam are drawn from the research and analysis of the issues of general theoretical basis in port management and organization, as well as on the basis of research and analysis of the current situation Now in the management and organization of Vietnam's seaport management has brought the thesis a practical meaning
7 The structure of the thesis
Topics outside the Introduction and Conclusion include 4 chapters: Chapter 1 Overview of research situation related to the thesis
Chapter 2 Theoretical and practical basis for port management
Chapter 3 Situation of port management in Vietnam
Chapter 4 Proposals and solutions for renovating the management of Vietnamese seaports under the model of autonomous port authority
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Chapter 1 OVERVIEW OF RELATED RESEARCH SITUATION
COME TO THE THESIS 1.1 Research situation abroad
Within the overview of the research situation in foreign countries, the thesis presents approaches to the research content according to the following groups of issues:
- Studies on seaports and the role of seaports
- Studies of seaport ownership
- Studies on seaport management, port management model and port organization organization
- The study of port government organization
- Researching some specific cases of port management in the world
* Some key characteristics drawn from the literature review abroad:
- Firstly, the view of seaports has changed significantly, the port is considered as an important link in the international "logistics supply chain" Therefore, port management needs to be adjusted to suit the new perspective Port management is not only limited to the port area, but also the "port cluster" (the port area includes the port logistics system)
- Second, the diversification of seaport ownership along with the shift of public ownership to private ownership is promoting positive aspects that help improve port performance This shift is gradually becoming a general trend and starting out, the most common in developed countries Meanwhile, developing countries tend to shift their ownership, the power of private investment is increasingly evident Reform of port management is
an inevitable trend
- Thirdly, the position and role of port authorities including the port authority change during port reform; port authority unifies and performs two management functions: state management and port operation management The world trend shows that the port authority model has shifted from public ownership to port privatization Port governments are given more autonomy, being responsible for port profits and performance
Trang 9- Fourthly, there exist differences in the establishment of port management organizations in other countries and the model of port authorities is not rigid and imposing It can be changed powers and functions to suit the ownership regime, legal institutions of each country, each region and each region
1.2 The situation of domestic research
The thesis presents the approaches of research content according to the following groups of issues:
- Studies related to State management for public non-business units
- Studies related to Vietnam's port management
- Researches on agencies / organizations managing Vietnam's ports
* Some key characteristics drawn from the literature review review
- Thirdly, studies show that to improve the performance of seaports, the state needs to change its management mechanism by expanding the participation of the private sector The presence of private sector in the port industry will solve the problem of investment in the construction of port infrastructure and logistics areas behind the port
1.3 Identify research gaps
The research gap in the thesis is: Difficulties and barriers in port management are hindering exploitation efficiency and international competitiveness of Vietnamese ports Proposing solutions to renovate
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seaport management organization to improve the efficiency of Vietnamese
seaports
Chapter 2 THEORETICAL AND PRACTICAL BASIS ON PORT
MANAGEMENT 2.1 General issues about seaports
developed into a hub service industry and logistics, playing an important role in the value chain of industrial products in general and the value chain
of logistics transport in particular within a country, a region or globally ”
2.1.2 Classification of seaports
- Classify seaports by type of goods
- Classification of seaports by ownership
- Classification by service object
- Classify seaports according to other criteria
2.1.3 Functions and role of seaports
2.1.3.1 Function of seaport
2.1.3.2 Port role
- Seaports are built to meet the import and export needs of the attractive region Therefore, people used to carry out research on seaport development planning according to pre-established economic development plans
FUNCTION OF THE PORT
TRANSPORT
FUNCTION
INDUSTRIAL DEVELOPMENT FUNCTION
TRADE DEVELOPMENT FUNCTION
FUNCTIONAL SUPPLY
OF SHIP SUPPORT SERVICES
FUNCTION OF CREATING SPACE
Trang 11- As a driving force, the previous port has promoted the birth and development of the city and the economy of the attractive region And after the city or industrial zones were developed, the economic development there required the continued development of the port
2.2 Port management
2.2.1 Port management concept and factors affecting port management
2.2.1.1 Port management concept
Port management can understand, on the one hand, the management activities of state agencies for seaports, on the other hand, is the operation and operation of seaports The subject of these two management functions
is different The subjects of state management over seaports are central and local state agencies responsible for mechanisms, policies, and regulations Port operator is the apparatus of the owner of production means available at
Establishments and factories producing goods in the rear
Demand for import and export of goods by sea
Demand and scale of seaport development
Seaport construction
Economic development in attractive regions (forming concentrated
economic and industrial zones in the rear)
Demand and scale of development of seaports according to goods
transport demand
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the port or an authorized party Although the functions and management tasks of the two management entities mentioned above for the ports may be different, they should generally aim to achieve the same goal of promoting the economic development of the port enterprises and promoting the economy of the zone port area
2.2.1.2 Factors affecting port management
- Socio-economic institutions of the country (for example, market economy, open economy, or centralized bureaucratic centralized economy );
- History of national development (Example: colonial structure );
- Geographic location of the seaport (Example: located in a densely populated urban area, in an isolated area );
- Particularly handled goods (Example: liquid cargo, bulk cargo, general cargo, container cargo )
These four groups of factors, together with each other, determine the port planning, management and operation policy
2.2.2 Contents of port management
2.2.2.1 State management of seaports
Port state management functions and tasks include at least the following activities:
+ Promulgating legal documents on port management
+ Planning for seaport development
+ Investment in construction and development of seaports
+ Issuing and organizing the collection of charges and fees at seaports
+ Regarding the management of administrative procedures and the dispatch of ships in and out of ports
+ Inspection and assurance of maritime security and safety, handling of administrative violations within seaports
2.2.2.2 Port operation management
Port operations can follow a separate port management model, but all include the following basic activities:
Trang 13+ Loading, unloading, transporting, storing and receiving passengers;
+ Managing and exploiting logistics land behind ports and auxiliary industrial parks;
+ Providing ancillary services at the port: Pilotage, towage, shipping agency, supply of materials, repair;
+ Investing in, leasing infrastructure of wharves, logistics;
+ Checking and supervising exploitation activities of operators at seaports and making plans for construction and development of
infrastructure of bridges and seaports in each period
2.2.3 Port management model
2.2.3.1 Baird's port management model
Baird's port management model
Paradigm
seaport
Subject functions Port management
entity
Port owner Port operator
Public port Public Public Public Public/private
WorldBank has identified 4 port management models applied in many countries These four management models are:
+ Public service port model (Public Service Port)
+ Tool port model (Tool Port):
+ Port owner model (Landlord Port)
+ Private port model (Private Service Port)
2.2.4 Factors affecting and evaluating the effectiveness of port management
2.2.4.1 Factors affecting port management performance