Türkiye'de YİD (yap-işlet-devret) modeli ile yapılan otoyol projelerinin bakımı ve işletilmesi
Operation maintenance for highway built with BOT (build-operate-transfer) model in Turkey
Yazar: HİLMİ ANIL GÜNDEMİR
Danışman: DOÇ. DR. MURAT ERGÜN
İstanbul Teknik Üniversitesi / Lisansüstü Eğitim Enstitüsü / İnşaat Mühendisliği Ana Bilim Dalı / Ulaştırma Mühendisliği Bilim Dalı
Derece: Yüksek Lisans, 2024
Konu: Ulaşım = Transportation

Özet:
Zaman karşısında teknolojinin hızla ilerlemesiyle, ulaşım sistemlerinin verimliliği artmış, seyahat süreleri kısalmış ve ulaşım daha güvenli hale gelmiştir. Ulaşım sistemlerinin gelişmesiyle, mevcut ulaşım koridorlarının genişletilmesi ve yeni ulaşım koridorları oluşturulması ihtiyacı oluşmuştur. Özellikle gelişmekte olan ülkeler bu ihtiyacı hızlı ve güvenli bir şekilde karşılayabilmek için ulaşım altyapılarına büyük yatırımlar yapmaktadırlar. Yapılan yatırımlar ülkelerin kalkınma hızlarını arttırırken aynı zamanda toplumun refah seviyesini de yukarıya çekmektedir. 
Ulaştırma altyapısının geliştirilmesi için yüksek maliyetli projeler tasarlanmaktadır. Kendi kaynaklarıyla yeterli finansmanı sağlayamayan ülkeler, proje finansmanına çözüm olarak Yap-İşlet-Devret (YİD) modelini kullanmayı tercih etmektedirler. YİD modeli sayesinde, bir kamu hizmeti veya altyapı tesisi özel sektöre devredilir ve özel sektör bu tesisi inşa eder, işletir ve belirli bir süre sonra devreder. 
YİD modeli temel olarak kazan-kazan mantığına dayanmaktadır. Bu modelde, bir yanda yatırımı yapan ve işletme süresi sonuna kadar kar elde etmek isteyen yüklenici firma, diğer tarafta da işletme süresi sonunda yatırıma bedelsiz olarak sahip olacak devlet bulunmaktadır. Bu karşılıklı faydanın oluşturulması için YİD projeleri ihale süreci öncesinde detaylı olarak analiz edilir, projeye ait trafik tahminleri yapılır ve tüm çalışmalar sonucunda sözleşme koşulları belirlenir.
Son 10 yıl içinde ülkemizde de altyapı projelerine büyük yatırımlar yapılmıştır. Ulaştırma altyapısının geliştirilmesi için yapılan yatırımlar arasında asma köprüler, tüneller, otoyollar gibi ülkemiz içinde yeni ulaşım koridorları oluşturacak ve mevcut koridorları genişletecek boyutta projeler de bulunmaktadır. Ülkemizde son dönemde hayata geçirilen altyapı projelerinde genellikle YİD modeli tercih edilmiştir.
YİD modeli ile finansmanı sağlanan projelerde ilk yatırım maliyetleri yüklenici firma tarafından karşılanır. Yüklenici firmalar finansmanlarında yurtiçi ve yurtdışı merkezli bankalar üzerinden uzun dönem geri ödemeli kredi kullanabilir. Yapım dönemi tamamlandıktan sonra, projenin işletme süresi içindeki işletme ve bakım çalışmaları da sözleşme süresi sonuna kadar yatırımcı firma tarafından yapılır. 
İşletme ve bakım çalışmaları, projenin servis ömrü boyunca kesintisiz, sorunsuz ve güvenli şekilde hizmet verebilmesi için son derece önemlidir. İşletme ve bakım çalışmaları sırasında kullanılacak yöntemler ve kullanılacak malzemeler, projenin bulunduğu bölgedeki çevresel koşullar, kanuni düzenlemeler, proje gereklilikleri, yol kullanıcılarının beklentileri ve benzeri birçok parametre dikkate alınarak her projeye özel olarak belirlenmelidir.
Bu çalışmada, Türkiye'de YİD modeliyle ihale edilen otoyol projelerinin işletme ve bakım ile ilgili uygulanan yöntemleri incelenmekte, projelerin yapım ve işletme ve bakım maliyetleri incelenmekte ve bunlarla ilgili önerilere yer verilmektedir.

Abstract:
With the rapid advancement of technology over time, the efficiency of transportation systems has significantly improved. This progress has led to shorter travel times, increased safety, and more reliable mobility for people and goods. As transportation systems evolve, the growing demand for efficient, interconnected networks necessitates the expansion of existing transportation corridors and the creation of new ones. These developments are critical for supporting economic growth, fostering regional connectivity, and addressing the increasing needs of urbanization and globalization.
Particularly in developing countries, where infrastructure gaps are more pronounced, governments are prioritizing substantial investments in transportation systems. These investments aim to address immediate mobility challenges, enhance trade routes, and support broader developmental goals. By building new highways, rail networks, and ports, or upgrading aging infrastructure, nations are working to meet the need for efficient and safe transportation solutions quickly and effectively.
The impact of these investments extends beyond mere convenience. Improved transportation systems stimulate economic growth by facilitating commerce, reducing logistical costs, and attracting foreign investments. They also enhance social welfare by connecting remote communities, enabling better access to education, healthcare, and employment opportunities. In essence, the advancement of transportation systems, powered by technology and infrastructure development, serves as a catalyst for improving the overall quality of life and driving sustainable progress in societies worldwide.
High-cost projects are being meticulously planned and designed to meet the growing demands of modern transportation infrastructure. These projects often involve advanced technologies, complex engineering solutions, and extensive resource allocation to ensure they meet safety, efficiency, and sustainability standards. However, the financial burden of such large-scale developments can pose significant challenges, particularly for countries with limited public funds.
To overcome these constraints, many nations turn to innovative financing models such as the Build-Operate-Transfer (BOT) approach. The BOT model has emerged as a practical and efficient solution, allowing governments to implement critical infrastructure projects without shouldering the full upfront costs. Under this model, a public service or infrastructure facility is entrusted to the private sector, which assumes responsibility for financing, designing, and constructing the project.
Once construction is complete, the private sector entity operates the facility for a predetermined period, during which it generates revenue, often through user fees, tolls, or government payments. This operational phase allows the private company to recoup its investment while maintaining and managing the infrastructure. At the end of the agreed-upon period, the facility is transferred back to the government, typically in a fully operational and well-maintained state, at no additional cost.
The BOT model offers a win-win scenario: governments gain access to essential infrastructure without immediate financial strain, and private companies benefit from the opportunity to earn a return on their investment. This collaborative approach has proven particularly effective in regions where public funding is insufficient, enabling the development of transformative projects such as highways, bridges, tunnels, and airports that are vital for economic growth and societal welfare.
The Build-Operate-Transfer (BOT) model is fundamentally built on the principle of mutual benefit, often described as a win-win arrangement. On one side, the contractor company undertakes the responsibility of financing, designing, constructing, and operating the project. In return, it expects to generate a profit during the operational period through revenue streams such as user fees, tolls, or service charges. On the other side, the state benefits by acquiring a fully functional infrastructure asset at the end of the operating period, typically at no additional cost. This transfer ensures that the public gains access to essential facilities without the need for significant initial capital expenditure by the government.
To achieve this balance of interests, BOT projects require meticulous planning and analysis before any formal tendering process begins. The success of a BOT project heavily depends on the accuracy of its groundwork. Detailed feasibility studies are conducted to assess the technical, economic, and social viability of the project. Traffic forecasts, for instance, are critical in projects like highways, bridges, or rail networks to estimate potential revenue and determine the economic feasibility for the contractor.
Additionally, contract conditions are carefully crafted to define the roles, responsibilities, and expectations of all stakeholders. These contracts include provisions for risk-sharing, financial arrangements, timelines, and operational standards to ensure transparency and alignment of interests. Such thorough preparatory work is essential not only for attracting capable private investors but also for ensuring that the project serves public needs effectively and efficiently.
This detailed, structured approach has made the BOT model a preferred mechanism for implementing high-cost infrastructure projects, particularly in countries where public funds are limited. It enables governments to leverage private sector expertise and resources while ensuring that the infrastructure ultimately serves the public good.
In the last decade, substantial investments have been directed toward the development and expansion of infrastructure projects in our country, reflecting a national commitment to modernizing and enhancing the transportation network. As economic growth accelerates and urbanization continues to shape the landscape, the need for efficient, reliable, and interconnected transportation corridors has become increasingly urgent. To address this demand, several ambitious projects have been initiated, including the construction of suspension bridges, tunnels, highways, and other critical transportation infrastructure. These projects are designed not only to improve the flow of goods and people but also to foster regional connectivity and contribute to the overall development of the nation's economy.
Among these investments, notable projects include iconic suspension bridges that span key waterways, creating new routes and reducing travel times significantly. The construction of tunnels, both under urban areas and major geographical barriers, has facilitated smoother and safer transit, particularly in densely populated regions. Additionally, the expansion and modernization of highways, which form the backbone of the country's road transportation network, have improved access to rural and remote areas, opening up new opportunities for economic activity and social integration.
In terms of project financing and execution, the Build-Operate-Transfer (BOT) model has become the preferred approach for many of these large-scale infrastructure endeavors. The BOT model allows the government to partner with private investors who finance, construct, and operate the projects for a predetermined period. This approach enables the country to tackle significant infrastructure challenges without burdening public budgets with upfront costs, while also benefiting from the private sector's expertise in project management and technology. Once the operational phase concludes, the infrastructure is transferred back to the government, often fully paid off and in a state of optimal functionality. The widespread adoption of the BOT model in recent years has not only accelerated the pace of transportation infrastructure development but has also contributed to the overall modernization and efficiency of the nation's transportation system.
In projects financed with the Build-Operate-Transfer (BOT) model, the initial investment costs are primarily covered by the contractor company, which assumes the financial responsibility for the construction of the infrastructure. This substantial upfront investment is typically sourced through a combination of equity financing from the contractor company and long-term repayment loans from both domestic and international financial institutions. These loans, often structured with extended repayment periods and favorable interest rates, are a crucial element in enabling the contractor to manage the high costs associated with large-scale infrastructure projects. By securing funding from a diverse range of financial sources, contractor companies can spread the financial risk and ensure they have the necessary capital to complete the construction phase on time and within budget.
Once the construction phase is completed, the project enters the operational phase, during which the contractor company is responsible for the day-to-day operation, maintenance, and management of the infrastructure. This phase can last for several years, often 15 to 25 years, depending on the terms of the contract. During this period, the contractor generates revenue through user fees, tolls, or other forms of payment, which are designed to cover both the operational costs and the loan repayments. The contractor company must ensure that the infrastructure is properly maintained to meet safety, efficiency, and regulatory standards, as any failure to do so could lead to penalties or a reduction in revenue.
The operation and maintenance responsibilities are critical to the success of the BOT model, as they directly impact the quality of service provided to the public and the profitability of the project. The investor company must employ a robust maintenance strategy, taking into account factors such as traffic volumes, environmental conditions, and technological advancements. At the end of the contract period, once the agreed-upon time for operation has elapsed, the infrastructure is transferred back to the government, typically in a fully operational and well-maintained condition. This arrangement ensures that the public sector eventually gains full ownership of the infrastructure, with minimal financial outlay, while the private contractor recoups its investment and earns a return on the project through the operational revenues.
Operation and maintenance works are critical for ensuring that a transportation infrastructure project delivers uninterrupted, trouble-free, and safe service throughout its service life. These activities are essential for preserving the integrity and functionality of the infrastructure, ensuring that it remains in optimal condition for the long term. The methods and materials used for operation and maintenance should be specifically tailored to each project, as the unique characteristics of every infrastructure -whether it's a bridge, tunnel, highway, or other facility- require distinct approaches. These approaches should account for several important factors, including environmental conditions, legal regulations, project-specific requirements, and the expectations of road users.
Environmental conditions in the region where the project is located play a significant role in determining the maintenance schedule and techniques. For instance, a bridge in a coastal area may require more frequent inspections and maintenance due to saltwater corrosion, whereas infrastructure in regions with harsh winters may need to be equipped with weather-resistant materials and undergo more rigorous snow and ice management. The geographical location also dictates the materials used in construction and maintenance, as different climates and weather patterns require customized solutions to ensure longevity and performance.
Legal regulations are another crucial factor that must be taken into consideration when planning operation and maintenance activities. Infrastructure projects must comply with local, national, and international standards regarding safety, environmental protection, and operational efficiency. These regulations ensure that the infrastructure meets all required safety standards and minimizes its environmental impact. Regular audits and inspections are often mandated by law to ensure compliance with these regulations, and failure to adhere to these standards can result in penalties or operational shutdowns.
The project's specific requirements and the needs of the communities it serves are also integral to the maintenance strategy. For example, if the infrastructure supports high volumes of traffic, it may require more frequent maintenance to address wear and tear. Additionally, as road users' expectations evolve over time, contractors must adapt their maintenance practices to meet new demands, such as improving traffic flow, increasing safety measures, or reducing travel times. Technological advancements may also impact maintenance approaches, as innovations in monitoring, diagnostic tools, and automated systems allow for more efficient and proactive maintenance strategies.
By considering these various parameters and developing a comprehensive maintenance plan, the contractor ensures that the infrastructure will continue to function at an optimal level throughout its service life. This proactive approach not only extends the lifespan of the infrastructure but also minimizes the risk of accidents, delays, and service disruptions, ultimately enhancing the overall user experience and contributing to the long-term success of the project.
In this study, the methods applied regarding the operation and maintenance of highway projects tendered with the Build-Operate-Transfer (BOT) model in Turkey are thoroughly examined. The research delves into the various strategies and practices used to ensure the longevity and functionality of these projects throughout their operational phases. By analyzing case studies of ongoing and completed BOT highway projects, the study provides insight into the specific operational and maintenance techniques employed, considering factors such as environmental conditions, traffic volume, legal requirements, and technological advancements.
Furthermore, the study explores the construction, operation, and maintenance costs associated with these projects, providing a detailed financial analysis of the funding models, cost structures, and revenue generation mechanisms in place. This includes a breakdown of the initial investment required for construction, ongoing operational costs, and long-term maintenance expenses, as well as how these costs are balanced between the public and private sectors under the BOT model. The study emphasizes the importance of accurate cost forecasting and effective financial management to ensure that the projects remain economically viable and deliver maximum benefit to both the private contractors and the public sector.
In addition, the research identifies challenges faced during the operation and maintenance phases, such as unforeseen environmental factors, traffic congestion, or evolving legal regulations. It also highlights best practices for addressing these challenges and maintaining a high standard of service throughout the life of the project. The findings of the study suggest several improvements, including more flexible maintenance strategies, better integration of technological innovations for monitoring and repair, and stronger public-private cooperation to ensure that both parties are incentivized to meet the project's long-term goals.