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THE GOVERNMENT
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THE SOCIALIST
REPUBLIC OF VIETNAM
Independence - Freedom - Happiness
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No. 136/2015/ND-CP
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Hanoi, December
31, 2015
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DECREE
GUIDANCE
ON IMPLEMENTATION OF CERTAIN ARTICLES OF THE LAW ON PUBLIC INVESTMENT
Pursuant to the Law on Government Organization
dated December 25, 2001;
Pursuant to the Law on Public Investment dated June
18, 2014;
Pursuant to the National Assembly’s Resolution
No. 100/2015/QH13 dated November 12, 2015 on approval of the investment policy
for national target programs for the period of 2016-2020;
At the request of the Minister of Planning and
Investment,
The Government hereby promulgates the Decree on
guidance on implementation of certain articles of the Law on Public Investment.
Chapter I
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Article 1. Scope of application
This Decree hereby provides detailed guidance on
certain articles of the Law on Public Investment in respect of:
1. Categorization of public investment programs,
projects.
2. Establish, assess and decide the investment
policy for a Group-A, Group-B and Group-C public investment program or project.
3. Establish, assess and decide investment in a
Group-A, Group-B and Group-C public investment program or project.
4. Amendments to public investment programs,
projects.
5. Management of a public investment project
without construction constituents
Article 2. Applicable entities
Agencies, organizations or individuals regarding
public investment activities, management and utilization of public investment
capital
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1. General investment project refers to large-scale
projects, those that contain investment elements relating to different
industries, fields or are located in different localities. General investment
projects include component projects in different industries, fields or
localities.
2. Project constituent refers to a part of the structure
of investment projects categorized by industries, fields or purposes of
investment.
3. Project managed by a Ministry, the
Ministry-level body, Government organ, Supreme People’s Court, State Audit,
Office of the President, Office of the National Assembly, central agency of the
Vietnamese Fatherland Front, a political organization, socio-political
organization and state-owned corporations, incorporations and other central
agency (hereinafter referred to as Ministry, central industry administration), People’s Committees at all levels of local
governments, and enterprises using public investment capital, refers to the
project in which the decision on investment is granted by the Ministry, central
agency), People’s Committees at all levels of local governments under the
provisions of Article 39 of the Law on Public Investment and the project in
which investment is decided by enterprises in accordance with laws and
regulations.
4. Emergency project refers to the investment
project required to commence immediately to serve the purpose of protecting
national sovereignty, assuring national security; preventing any serious harm
to human life, health and assets of the community; mitigating or responding to,
in a timely manner, or preventing any potential consequences resulting from any
acts of God, accidents or responding to extremely serious environmental
accidents.
5. Internal inspection refers to the preliminary
inspection to be carried out to ensure perfection of documentation and report
submitted to a competent authority or the Inspection Council to apply for its
inspection of the investment policy, financing source and capability of
allocating investment funds which is used as the basis for the competent
authority to make a decision on the investment policy. Internal inspection
includes inspection of pre-feasibility study report, report on the proposed
investment policy; inspection of financing source and capability of allocating
investment funds. The authority in charge of the internal inspection of programs
or projects of Ministries, centrally-affiliated branches and People’s
Committees at all levels authorized to manage these programs or projects shall
be designated by the Heads thereof.
Article 4. Categorization of
public investment programs
1. National target program refers to programs
defined in paragraph 9 Article 4 of the Law on Public Investment using public
investment capital and other financing sources provided by other economic
sectors (if any).
2. Target program using the central government budget
refers to programs using the whole or a part of central government budget for
making investment in conformity with objectives and duties of:
a) Ministries or centrally-affiliated branches
only;
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c) Local authorities only.
3. Investment program using the whole of balanced
local government budget, local government bond, financing derived from receipts
which are retained for investment but have yet to be accounted for in the local
government budget and other legitimate local financing source refers to target
programs of all levels of local governments developed to carry out specific
targets and tasks of each locality.
4. Target program using public debts or national
bonds refers to the program that aims at performing several important targets
or tasks across the nation.
5. Investment program using ODA capital and
concessional loans provided by foreign sponsors refers to the collection of
activities, projects involved in one or various sectors, areas, regions,
territories, Ministries, centrally or locally-affiliated branches to perform
specific targets or tasks.
6. State-run credit program for investment and
development includes credit programs for investment and social policy credit
programs executed by the Vietnam Development Bank, Vietnam Bank for Social
Policies for the purpose of investing in projects eligible for application for
loans in this program under the directions of the Government.
7. Program for making investment from specific types
of collections which are retained for investment but have yet to be accounted
for in the state budget balance of Ministries or centrally-affiliated branches
refers to the program serving the purpose of performing several specific
targets or tasks decided by the National Assembly or Government.
Article 5. Classification of
public investment projects
1. Public investment projects are classified in
accordance with Article 6 of the Law on Public Investment.
2. Criteria for classification of Group-A, Group-B,
Group-C projects are consistent with regulations laid down in Article 8, 9 and
10 of the Law on Public Investment and detailed regulations laid down in the
Appendix No.I attached hereto.
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3. Criteria for determination of Group-C key
projects of each locality:
a) The People’s Council at the provincial level
shall decide criteria for determination of Group-C key projects put under the
management of each locality in respect of 5 years’ mid-term public investment
plan in conformity with 5-year targets or plans for socio-economic development,
financial capability and specific characteristics of each locality;
b) Main criteria for determination of Group-C key
projects include: Significant, important roles that projects in each area,
sector or administrative division play in socio-economic
development of each locality over periods of time; scale of projects based on
areas or sectors; influence of these projects on development of areas or
sectors and territories; economic and social effectiveness and financial
efficiency (if any).
Article 6. Adjustment to
classification criteria for public investment projects
1. Public investment projects are adjusted in
accordance with Article 11 of the Law on Public Investment. Particularly for
the price index, the adjustment to the investment outlay shall be considered if
the annual average consumption price index increases by more than 30% as
against that price in 2015 in the first adjustment; following adjustments shall
be considered if the annual average consumption price index increases by more
than 30% in comparison with that price in the previous adjustment year.
2. The Ministry of Planning and Investment:
a) Submit a general report to the Government to
obtain its opinions on adjustment to criteria for classification of public
investment projects in accordance with paragraph 1 of this Article;
b) Follow the Government’s opinions mentioned in
subparagraph a of this paragraph, prepare a complete report for submission to
the Prime Minister and, after obtaining the Prime Minister's approval, act on
behalf of the Prime Minister and the Government to submit to the National
Assembly criteria for classification of projects of national significance;
request the National Assembly Standing Committee
to decide adjustment to criteria for classification of Group-A, Group-B and
Group-C public investment projects and report to the National Assembly in the
coming plenary session.
Article 7. Costs for
establishment and assessment of public investment program, project
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a) The cost for establishment of the report on the
proposed investment policy and feasibility study report (applicable to hiring
of consultants);
b) Assessment cost;
c) With regard to the program in which the policy for
investment or investment is not decided by competent authorities, costs
referred to in subparagraph a and b of this paragraph shall also be entered and
posted into the expense account of the agency assigned to establish or assess
public investment programs.
2. The cost for formulation and assessment of the
pre-feasibility study report of Group-A projects includes
a) The cost for formulation (with regard to the
consultancy hiring), assessment of the pre-feasibility study report of Group-A
projects which are constituted by construction components in which the
preliminary determination of the investment outlay is consistent with
regulations laid down in paragraph 2 Article 15 of the Law on Public Investment
and laws on construction;
b) The cost for formulation (applicable to the
consultancy hiring), assessment of pre-feasibility study report of Group-A
projects which are not constituted by construction components in accordance
with regulations on projects including construction components as referred to
in subparagraph a of this paragraph, except for contents relating to
construction design.
3. The cost for formulation (with regard to the
consultancy hiring), assessment of the pre-feasibility study report of Group-B
projects (including those with or without construction components) in which the
preliminary determination of the investment outlay is consistent with
regulations laid down in paragraph 2 Article 15 of the Law on Public Investment
and the following specific regulations:
a) The project that has the investment outlay
ranging from VND 800 billion to under VND 2,300 billion shall be allowed to
spend less than 60% of the cost for formulation and assessment of the
pre-feasibility study report of Group-A projects as referred to in paragraph 2
of this Article;
b) The project that has the investment outlay of
VND 800 billion at the maximum shall be allowed to spend less than 30% of the
cost for formulation and assessment of the pre-feasibility study report of
Group-A projects as referred to in paragraph 2 of this Article.
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5. The cost for formulation (with regard to the
consultancy hiring), assessment of feasibility study report of the project
which are not constituted by construction components shall be consistent with
regulations laid down in the Law on Public Investment and laws on construction,
except for contents relating to construction design.
6. The cost for formulation (with regard to the
consultancy hiring), assessment of the pre-feasibility study report, the report
on the proposed investment policy and the feasibility study report stipulated
in paragraph 2, 3, 4 and 5 of this Article shall be included in the fund for
pre-investment in projects. In respect of a project in which the decision on
policy for investment or the decision on investment is not granted by a
competent authority, costs spent on the work of formulating the pre-feasibility
study report, the report on the proposed investment policy or the feasibility
study report shall be accounted for and entered in the pre-investment cost in
the expenditure on investment in development put under the management of
Ministries or centrally-affiliated branches and local governments at all levels
in charge of project management.
Chapter II
FORMULATION, ASSESSMENT
OF AND DECISION ON THE POLICY FOR INVESTMENT IN PUBLIC INVESTMENT PROGRAM OR
PROJECT
Article 8. Authority to grant
and conditions for making the decision on the policy for investment in public
investment programs and projects
1. Authority to decide the policy for investment in
programs or projects shall be consistent with regulations laid down in Article
17 of the Law on Public Investment. In respect of Group-B or Group-C projects
financed by different funding sources:
a) The Heads of Ministries, central agencies shall
be vested with authority to decide the policy for investment in projects
managed within the jurisdiction of these Ministries or central agencies as
prescribed by paragraph 4 Article 17 of the Law on Public Investment;
b) The People’s Council and the People's Committee
at all levels shall be vested with authority to decide the policy for
investment in projects managed under the jurisdiction of each locality in
accordance with subparagraph b paragraph 5 and paragraph 6 Article 17 of the
Law on Public Investment.
2. Conditions for deciding the policy for
investment in programs or projects shall be consistent with regulations laid
down in Article 18 of the Law on Public Investment.
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1. With regard to national target programs,
processes and procedures for deciding the policy for investment in these
programs shall comply with regulations specified in Article 19 and 21 of the Law
on Public Investment.
2. Processes and procedures for grant of the
decision on the policy for investment in public investment programs within the
jurisdiction of the Government shall be consistent with regulations laid down
in Article 22 of the Law on Public Investment.
3. Processes and procedures for grant of the
decision on the policy for investment in investment programs using funds from
local budget balance and funds derived from local government bond, state budget
revenues that are retained but not recorded in the local budget balance sheet
as well as other loans included in the local budget to serve the public
investment purpose shall be consistent with regulations laid down in Article 28
of the Law on Public Investment.
Article 10. Processes and procedures
for grant of the decision on the policy for investment in Group-A projects
Processes and procedures for grant of the decision
on the policy for investment in Group-A projects (including emergency projects
and public-private partnership projects referred to in subparagraph b paragraph
3 Article 33 of the Law on Public Investment) shall be consistent with Article
23 of the Law on Public Investment.
Article 11. Processes and
procedures for grant of the decision on the policy for investment in programs
and projects using ODA fund and overseas concessional loans provided by foreign
sponsors
Processes and procedures for grant of the decision
on the policy for investment in programs and projects using ODA fund and
overseas concessional loans provided by foreign sponsors shall be consistent
with regulations laid down in Article 24 of the Law on Public Investment and
the Government's Decree on management and utilization of ODA fund and overseas
concessional loans provided by foreign sponsors.
Article 12. Processes and
procedures for grant of the decision on the policy for investment in Group-B
and Group-C projects, except for small-scale Group-C projects that belong to
national target programs referred to in Article 13 of this Decree
1. Processes and procedures for grant of the
decision on the policy for investment in Group-B and Group-C projects managed
by the central committee of Vietnamese Fatherland Front and socio-political
institutions and other relevant agencies or organizations shall be consistent
with Article 25 of the Law on Public Investment.
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3. Processes and procedures for grant of the
decision on the policy for investment in Group-B and Group-C projects using the
central budget, government or sovereign bonds or treasury bills under the management
of each local governments shall be consistent with Article 27 of the Law on
Public Investment. With regard to provincially-managed investment projects, the
provincial People’s Committee shall establish a Council for assessment of the
report on the proposed policy for investment in these projects in accordance
with subparagraph b paragraph 2 Article 23 of the Law on Public Investment, or
shall assign the Department of Planning and Investment to lead and cooperate
with relevant agencies to carry out assessment of the report on the proposed
policy for investment, internal assessment of investment portfolio and
capability of allocating investment funds.
4. Processes and procedures for grant of the
decision on the policy for investment in Group-B and Group-C projects using
funds from local budget and funds derived from local government bonds, state
budget revenues that are retained for investing purposes but not recorded in
the local budget balance sheet as well as other loans provided by the local
budget to serve the investment purpose shall be consistent with regulations
laid down in Article 29, 30 and 31 of the Law on Public Investment.
Article 13. Abridged processes
and procedures for formulation, assessment of and grant of the decision on the
policy for investment in respect of small-scale Group-C projects that belong to
national target programs and are executed by uncomplicated techniques and are
financed by both the Government and the people
1. The Prime Minister shall grant the decision on criteria
that small-scale Group-C projects that belong to national target programs and
are executed by uncomplicated techniques and are financed by both the
Government and the people (hereinafter referred to as small-scale Group-C
project) must meet to be eligible for the abridged processes and procedures
under the provisions of paragraph 2, 3, 4 and 5 of this Article.
2. Ministers and Heads of centrally-affiliated
agencies:
a) Assign an affiliation to formulate and conduct
internal assessment of the report on the proposed policy for investment in
projects specified in the portfolio of small-scale Group-C projects governed
under the provisions of paragraph 1 of this Article (formulation of the report
on the proposed policy for investment in specific projects is not required) and
create an estimate of the investment outlay of all projects in the portfolio in
which the structure of public investment financing source and mobilization of
other kinds of finances must be clarified; complete and send the Ministry of
Planning and Investment, the Ministry of Finance and owner of national target
program projects using the central budget, sovereign and government bonds with
the intention of carrying out assessment of the funding source and capability
of allocating investment funds;
b) Grant the decision on the policy for investment
in the entire project portfolio, including objectives, scale, investment outlay
for the entire project portfolio, capital structure, location, progress of
execution of projects on the basis of taking into account the report on
assessment of funding source and capability of allocating investment funds of
the Ministry of Planning and Investment provided for in subparagraph a of this
paragraph.
3. The Head of the Central Committee of the
Vietnamese Fatherland Front and socio-political organizations as well as other
agencies or institutions:
a) Assign an affiliation to formulate and conduct
internal assessment of the report on the proposed policy for investment in
projects specified in the portfolio of small-scale Group-C projects governed
under the provisions of paragraph 1 of this Article (formulation of the report
on the proposed policy for investment in specific projects is not required) and
create an estimate of the investment outlay for the entire project portfolio in
the portfolio in which the structure of public investment financing source and
mobilization of other kinds of finances must be clarified; complete and send
the Ministry of Planning and Investment, the Ministry of Finance and owner of
national target program projects using the central budget, sovereign and
government bonds with the intention of carrying out assessment of the funding
source and capability of allocating investment funds;
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4. The President of the provincial People’s
Committee:
a) Assign the agency in charge of managing national
target programs or inferior-level People’s
Committees to prepare the report on the proposed policy for investment in the
entire portfolio of small-scale Group-C projects governed under the provisions
of paragraph 1 of this Article (formulation of the report on the proposed
policy for investment in specific projects is not required) and prepare an
estimate of the investment outlay for the entire project portfolio in which the
structure of funding source for public investment must be clarified and mobilization
of other kinds of finances for investment must be clarified for submission to
the competent regulatory authority;
b) Assign the Department of Planning and Investment
to take charge of and cooperate with relevant bodies in assessment of the report
on the proposed policy for investment in the entire portfolio of small-scale
Group-C projects and not to conduct the detailed assessment of specific
projects;
c) Direct agencies referred to in subparagraph a of
this paragraph to prepare a complete report on the proposed policy for
investment in projects according to the assessment report defined in
subparagraph b of this paragraph for submission to the Department of Planning
and Investment to request the provincial People's Committee to obtain its opinions
on completion of the synthesis report for submission to the Ministry of
Planning and Investment, the Ministry of Finance and the Ministry acting as the
owner of national target programs to assess the funding source and capability
of allocating investment funds for projects using the central budget, sovereign
and government bonds;
d) After considering the report on assessment of
the funding source and capability of allocating investment funds prepared by
the Ministry of Planning and Investment, grant the decision on the policy for
investment in the entire project portfolio, including objectives, scale,
investment outlay for the entire project portfolio, capital structure, location
and progress of execution of projects.
5. The Ministry of Planning and Investment and the
agency assigned to assess the funding source and capability of allocating
investment funds referred to in Article 38 of the Law on Public Investment
shall take charge of and cooperate with relevant agencies in assessment of the
entire portfolio of small-scale Group-C projects (detailed assessment of
specific projects is not required) which is sent to Ministries,
centrally-affiliated branches and local authorities to prepare a complete
report on the proposed policy for investment for submission to the competent
authority to grant the decision on the policy for investment.
Article 14. Processes and
procedures for grant of the decision on the policy for investment in Group-B
and Group-C projects using the central budget
1. Subject to the Decision of the competent
authority on emergency state and situation in accordance with provisions laid
down in the Ordinance on Emergency State, Law on Natural Disaster Prevention
and Control, Law on Dikes and other relevant legislative documents, decisions
on the emergency state in the area of national defense and security
(hereinafter referred to as competent authority’s emergency order), Heads of
Ministries, or centrally-governed agencies, shall assume the following
responsibilities:
a) Assign their affiliates of survey organizations
to prepare the report on the proposed policy for investment in projects;
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c) Direct units referred to in subparagraph a of
this paragraph to submit the complete report on the proposed policy for
investment in projects to the Prime Minister, and forward it to the Ministry of
Planning and Investment, the Ministry of Finance and any relevant Ministries or
centrally-governed agencies in relation to emergency projects.
2. Subject to the competent authority’s emergency
order, the Presidents of the provincial People’s Committees shall assume the
following responsibilities:
a) Assign specialized divisions or the
district-level People’s Committees to prepare the report on the proposed policy
for investment in projects;
b) Assign the Department of Planning and Investment
to take charge of and cooperate with relevant departments or industry
management agencies to assess the report on the proposed policy for investment
in projects;
c) Direct agencies referred to in subparagraph a of
this paragraph to submit the complete report on the proposed policy for
investment in projects in accordance with the assessment report stipulated in
subparagraph b of this paragraph to the Department of Planning and Investment,
then forward it to the provincial People’s Committee to make a final report for
submission to the Prime Minister, the Ministry of Planning and Investment, the
Ministry of Finance and any relevant Ministries or centrally-governed agencies
in relation to emergency projects.
3. The Ministry of Planning and Investment shall
take charge of or collaborate with the Ministry of Finance in assessment of
possibility of providing additional financing sources derived from the annual
state budget to execute emergency projects or works to be completed within a
planning year, and request the Prime Minister to grant his decision on the
policy for investment and allocation of additional funds from the annual
central budget to execute these projects or works.
4. The Prime Minister shall grant the decision on
the policy for investment in emergency projects, including objectives, scale,
investment outlay, site locations, progress of project execution, structure of
financing sources with particular attention paid to the specific level of funds
derived from the central budget used for investment in these projects.
Article 15. Processes and
procedures for grant of the decision on the policy for investment in Group-B and
Group-C projects using funds derived from the local budget
1. With regard to projects using funds from the
local budget at the provincial level, the Presidents of the People’s Committees
at the provincial level shall consult the competent authority’s emergency
orders:
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b) Assign the
Department of Planning and Investment to take charge of or cooperate with
relevant departments or industry management agencies in assessment of the
report on the proposed policy for investment in projects which is then reported
to the provincial People’s Committee to request its decision on the policy for
investment and provide additional funds for project execution;
c) Decide the policy for investment in emergency
projects, including objectives, scale, investment outlay, location, time,
execution progress and funding source structure; report to the provincial
People’s Council in the latest meeting on the decision on the policy for
investment in Group-B emergency projects and key Group-C projects under the
management of the provincial-level government.
2. With regard to projects using funds from the
local budget at the district or commune level, the Presidents of the People’s
Committees at this level shall consult the competent authority’s emergency
orders:
a) Assign specialized divisions at the district or
commune level to prepare the report on the proposed policy for investment in
projects;
b) Assign agencies specializing in investment or
establish the Assessment Council to assess the report on the proposed policy
for investment in projects, and then report to the People’s Committee at the
same level to decide the investment policy or provide additional funds for
project execution;
c) Decide the policy for investment in emergency
projects, including objectives, scale, investment outlay, location, time,
execution progress and funding source structure; report to the same-level
People’s Council in the latest meeting on the decision on the policy for
investment in Group-B emergency projects and key Group-C projects under its
management.
Article 16. Rules and duration
of grant of the decision on the policy for investment in and launch of
emergency projects
1. Rules for deciding the policy for investment in
emergency projects shall be consistent with regulations laid down in paragraph
1 Article 33 of the Law on Public Investment.
2. Procedures for grant of the decision on the
policy for investment in emergency projects:
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b) With regard to Group-B and Group-C projects,
these procedures shall be consistent with the shortened procedures stipulated
by Article 14 and 15 hereof to ensure that projects are executed and completed
for operation in a time-efficient manner.
3. With respect to emergency projects, prompt
commencement of components of emergency projects for the purpose of alleviating
natural calamities, floods, erosion of dykes or embankments to the extent of
causing breach of these dykes, lakes, dams, or erosion of roads, railroads
resulting in traffic congestion, or other emergencies in the area of national
defense and security shall be allowed under the competent authority’s emergency
orders. Documents required for investment stated in paragraph 2 of this Article
must be prepared and completed during the process of project execution.
Addition of emergency projects to the mid-term
public investment plan must meet conditions stipulated by the Law on Public
Investment and the Government’s Decree on the mid-term and annual public
investment plan.
Article 17. Rules, processes
and procedures for the decision on the policy for investment in projects in the
form of public-private partnership
1. Rules for the decision on the policy for
investment in projects in the form of public-private partnership shall be
consistent with paragraph 2 Article 33 of the Law on Public Investment.
2. Processes and
procedures for grant of the decision on the policy for investment in
public-private partnership projects using public investment funds shall be
consistent with Article 23, 24, 25, 26, 27, 29, 30 and 31 of the Law on
Public Investment and Article 18 hereof shall be
consistent with Article 23 of the Law on Public Investment.
3. Processes and procedures for grant of the
decision on the policy for investment in public-private partnership projects
which do not use public investment funds shall be consistent with the law on
public-private partnership investment.
Article 18. Rules, processes
and procedures for the decision on the policy for investment in projects using
state-own investment and development credit loans
1. Rules for the decision on the policy for
investment in projects using state-own investment and development credit loans
shall be consistent with paragraph 1 Article 32 of the Law on Public
Investment.
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3. Processes and procedures for grant of the
decision on the policy for investment in Group-B and Group-C projects under the
management of Ministries, centrally-governed agencies, the central committee of
Vietnamese Fatherland Front and socio-political institutions and other relevant
agencies or organizations, or the People’s Committees at the provincial level
which use state-own investment and development credit loans shall be consistent
with subparagraph c, d and dd paragraph 2 Article 32 of the Law on Public
Investment.
4. With regard to processes and procedures for grant
of the decision on the policy for investment in Group-B or Group-C projects
using state-own investment and development credit loans for investing and
trading activities performed by Economic Incorporations, State-Owned General
Companies, enterprises and other relevant agencies, organizations or
individuals which are not governed under paragraph 3 of this Article:
a) Economic Incorporations, State-Owned General
Companies, enterprises and other relevant agencies, organizations or
individuals shall grant the decision on the policy for investment in projects
in consistence with paragraph 1 Article 32 of the Law on Public Investment;
b) Processes and procedures for the lending
decision:
- Economic incorporations, state-owned general
companies, enterprises and other relevant agencies, organizations or
individuals shall put forward the investment portfolio and prepare required
documents submitted to apply for state-own investment and development credit
loans to the Vietnam Development Bank (in respect of capital managed by the
Vietnam Development Bank) and the Vietnam Bank for Social Policies (in respect
of capital managed by the Vietnam Bank for Social Policies);
- The Vietnam Development Bank and the Vietnam Bank
for Social Policies shall assess these documents and decide whether such credit
loans are given to these economic incorporations, state-owned general
companies, enterprises and other relevant agencies, organizations or
individuals.
Detailed provisions on required documents and procedures
for application for loan, procedures for and contents of assessment of projects
using loan capital shall be consistent with provisions set forth in paragraph 1
Article 32 and paragraph 1 Article 69 of the Law on Public Investment and other
laws and regulations on management of state-own investment and development
credit loans and social policy loans.
Article 19. Contents of the
pre-feasibility study report and the report on the proposed policy for
investment in programs or projects
1. Contents of the report on the proposed policy
for investment in public investment programs shall be consistent with the Law
on Public Investment.
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3. Contents of the report on the proposed policy
for investment in Group-B or Group-C projects shall be consistent with Article
36 of the Law on Public Investment.
4. The report on the proposed policy for investment
in Group-B and Group-C emergency projects shall be consistent with Article 36
of the Law on Public Investment which focus on the following main contents:
a) Nature and degree of emergency of the project;
b) Scale, location and extent of investment in the project;
c) Preliminary report on investment outlay and
structure of investment financing sources including funds derived from the
central budget, the amount of capital to be allocated in the planning year;
capital derived from local government's budget; other legitimate funding
sources; resources contributed by residential communities (if any);
d) Proposed progress of execution and quality of
the project;
dd) Initial determination of costs incurred from
operation, maintenance activities during the process of project operation;
e) Rules for payment and compensation for site
clearance activities in accordance with laws and regulations on emergency state
and situations;
g) Execution solutions.
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a) List of projects;
b) Necessity, requirements for investment
execution, evaluation of consistency of projects with national target programs;
c) Preliminary report on investment outlay and
structure of investment financing sources of all of project portfolios,
including funds derived from the central budget, funds derived from the local
government’s budget; other legitimate funding sources; resources contributed by
residential communities (if any);
d) Proposed progress of project execution;
dd) Project execution solutions.
6. Contents of the report on the proposed policy
for investment in public-private partnership Group-B and Group-C projects shall
be consistent with Article 36 of the Law on Public investment and laws and
regulations on investment made in the public-private partnership form.
Article 20. Application for
assessment of the pre-feasibility study report and the report on the proposed
policy for investment in programs or projects
1. Application for assessment of the
pre-feasibility study report and the report on the proposed policy for
investment in programs or projects includes:
a) for the competent authority’s grant of the
decision on the policy for investment in programs and projects;
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c) The internal assessment report;
d) The report on assessment of funding source and
capability of allocating investment funds prepared by the competent authority;
dd) The emergency order of the competent authority
(applicable to emergency projects);
e) Other relevant documents requested by the level
of government delegated authority to grant the decision on the policy for
investment.
2. The number of assessment documents submitted to
the Standing Committee of the Assessment Council or the agency taking charge of
assessment as stipulated in paragraph 1 of this Article shall be consistent
with the following provisions:
a) The report on the proposed policy for investment
in programs: 20 sets of documents;
b) The pre-feasibility study report of Group-A
projects: 15 sets of documents;
c) The report on the proposed policy for investment
in Group-B or Group-C projects: 05 sets of documents.
The agency taking charge of assessment or the
Standing Committee of the Assessment Council in respect of the pre-feasibility
study report, the report on the proposed policy for investment may request
program owners and project management authority to provide additional
assessment documents whenever necessary.
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1. Application for assessment of the funding source
and capability of allocating investment funds for programs or projects
includes:
a) The statement on assessment of funding source
and capability of allocating investment funds submitted to the agency assigned
to assess the funding source and capability of allocating investment funds;
b) The pre-feasibility study report of Group-A
projects; the report on the proposed policy for investment in national target
programs, target programs, Group-B or Group-C projects referred to in the Law
on Public Investment and Article 19 hereof;
c) The internal assessment report;
d) Opinions of the People’s Council or the Standing
Committee of the provincial People’s Council about Group-A projects; key
Group-B and Group-C projects using funds derived from the central budget,
national bonds and sovereign bonds managed under the local government;
dd) Other relevant documents (if any).
2. The number of documents submitted to the agency
taking charge of assessing funding source and capability of allocating
investment funds in accordance with paragraph 1 of this Article is 05 sets of
documents.
The agency taking charge of assessment of the
funding source and capability of allocating investment funds in accordance with
Article 38 of the Law on Public Investment may request program owners and the
project management authority to provide an additional number of assessment documents
whenever necessary.
Article 22. Application
submitted to the competent authority to grant the decision on the policy for
investment in programs or projects
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a) Documents referred to in paragraph 1 Article 20
hereof, of which contents of the statement and the pre-feasibility study
report, and the report on the proposed policy for investment defined in
subparagraph a and b paragraph 1 Article 20 hereof, have been completed
according to the assessment report prepared by the Assessment Council or
assessment authority;
b) The assessment report of the Assessment Council
or assessment authority on the policy for investment in programs or projects;
c) The report on assessment of funding source and
capability of balancing port investment in programs or projects prepared by the
authority assigned to assess the funding source and capability of allocating
investment funds.
2. The number of documents submitted to the
competent authority to apply for grant of the decision on the policy for
investment in programs or projects referred to in paragraph 1 of this Article
is 05 sets of documents.
The level of government competent to grant the
decision on the policy for investment programs or projects may request program
owners and the project management authority to provide an additional number of
documents (if necessary).
Article 23. Contents of
assessment of the policy for investment in public investment programs
1. Conformity to requirements for determination of
national target programs or target programs.
2. Compliance of contents of application for
assessment with laws and regulations.
3. Consistency with strategic objectives, plans and
schemes for socio-economic development of regions or territories; plans for
development of industries or sectors.
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5. Socio-economic effectiveness, environmental protection
and sustainable development.
Article 24. Contents of
assessment of the policy for investment in public investment projects
1. Necessity of the project.
2. Compliance of contents of application for
assessment with laws and regulations.
3. Consistency with strategic objectives, plans and
schemes for socio-economic development of regions or territories; plans for
development of industries or sectors.
4. Consistence with criteria for classification of
Group-A, Group-B and Group-C projects.
5. Contents referred to in Article 35 and 36 of the
Law on Public Investment with particular attention paid to specific facts and
figures of the project such as objectives, size, investing form, extent,
location, required land area, duration and progress of execution, plan for
selection of main technology, solution to environmental protection, financing
sources and capability of allocating investment portfolio, rate of return on
investment, debt repayment capability in case of use of loans;
6. Socio-economic effectiveness, environmental
protection and sustainable development.
7. In respect of emergency projects, the additional
assessment of emergency characteristics that require prompt actions to initiate
such projects or their components.
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Article 25. Contents of
assessment of the funding source and capability of allocating investment funds
for programs or projects
1. Compliance with procedures, internal assessment,
and perfection of documents required for programs or projects.
2. Consistence of programs or projects with funding
sources; consistence with purposes and subjects invested in by the proposed
funding source.
3. Capability of allocating funds for programs or
projects from total planned mid-term capital of each industry, sector, program
or each Ministry, centrally-governed agency and local authority in order of
priority stipulated by the Law on Public Investment and relevant laws and
regulations.
Capability of allocating investment funds derived
from the state budget divided into those derived from the central budget and
those derived from the local government’s budget, public bonds, sovereign
bonds, state budget revenues retained for investing purposes but not recorded
in the state budget balance sheet, ODA funds, concessional loans granted by
foreign sponsors, state-owned credit loans for investment and development and
other legitimate capital. Consideration of capability of allocating funds shall
be based on the proposed demands of public investment programs or projects out
of total investment capital according to specific funding sources in the
mid-term and annual investment plan. As for the funding source derived from the
state budget, capability of allocating funds of each level of state budget,
portion of additional target-set funds allocated by the upper level of state
budget to the lower level of state budget, including funds for national target
programs, target programs and other additional amounts.
4. Proposed levels of funds allocated to projects
according to specific funding sources and schedule of this allocation.
5. Other opinions (if any).
Article 26. Time limits for
assessment of the policy for investment in programs or projects, and the
authority in charge of sending the assessment result
1. Time limits for assessment of the pre-feasibility
study report of Group-A projects, report on the proposed policy for investment
in programs or Group-B or Group-C projects, after the Standing Committee of the
Assessment Council, or the authority taking charge of assessment, receives all
valid documents, shall be provided for as follows:
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b) Target programs: less than 45 days;
c) Group-A projects: less than 45 days;
d) Group-B projects: less than 30 days;
dd) Group-C projects: less than 20 days;
2. Time limits for assessment of the funding source
and capability of allocating investment funds for programs or projects, after
the assessment authority receives all valid documents, shall be provided for as
follows:
a) National target programs, target programs: less
than 40 days;
b) Group-A projects: less than 30 days;
c) Group-B and Group-C projects: less than 15 days.
3. Time limits for assessment of the investment
policy and assessment of the funding source and capability of allocating funds
referred to in paragraph 1 and 2 of this Article shall only be applied to the
stage in which assessment is submitted to the competent authority for grant of
the decision on the policy for investment in public investment programs or
projects.
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4. Where it is necessary to extend the time limit for
assessment of the investment policy, or assessment of funds and capability of
allocating funds, the authority taking charge of assessment or the Standing
Committee of the Assessment Council must:
a) Report to the Prime Minister to apply for his
decision on the time limit for assessment of the pre-feasibility study report
of national target programs, target programs and Group-A projects;
b) Notify the authority competent to grant the
decision on the policy for investment of extension of the time limit for
assessment of the report on the proposed policy for investment in Group-B and
Group-C projects;
c) The extended duration is not allowed to exceed
the equivalent assessment duration referred to in paragraph 1 and 2 of this
Article.
5. The authority taking charge of assessment of
funding source and capability of allocating investment funds shall submit the
report on assessment of funding sources and capability of allocating investment
funds in accordance with the following provisions:
a) to the Council for assessment of the report on
the proposed policy for investment in respect of public investment programs in
which the competent authority allows establishment of the Council for
assessment of the report on the proposed policy for investment,
b) as stipulated in paragraph 4 Article 23 of the
Law on Public Investment in respect of Group-A projects;
c) to the applicant for assessment; the project
management agency; the authority competent to assess the investment policy and
the authority competent to grant the decision on the investment policy.
6. The council for assessment or the authority in
charge of assessment of the pre-feasibility study report of Group-A projects,
the report on the proposed policy for investment in programs or Group-B or
Group-C projects shall submit the assessment report in accordance with the
following provisions:
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b) as stipulated in paragraph 5 Article 23 of the
Law on Public Investment and to the Government’s Office for the purpose of
reporting to the Prime Minister in respect of Group-A projects;
c) to applicants for assessment, project management
authorities and authorities competent to grant the decision on the investment
policy in respect of Group-B or Group-C projects.
Article 27. Time limits for
grant of the decision on the policy for investment in programs or projects, and
time limits for delivery of the decision on the investment policy to the
authority in charge of compilation of public investment plans
1. Time limits for grant of the decision on the
policy for investment in programs or projects, after the authority competent to
grant the decision on the policy for investment receives all valid documents,
shall be provided for as follows:
a) Target programs: less than 30 days;
b) Group-A projects: less than 30 days;
c) Group-B and Group-C projects: less than 20 days.
2. Within a duration of 15 working days, after the
authority competent to grant the decision on the policy for investment in
programs or projects, Ministries, centrally-governed agencies and local
governments managing these programs or projects must:
a) submit to the Ministry of Planning and
Investment and the Ministry of Finance: the decision on the policy for
investment in programs or projects using funds derived from the central budget;
public bonds; sovereign bonds; ODA and concessional loans provided by foreign
sponsors; state-owned credit loans for investment and development; state budget
revenues retained for investing purposes but having yet to be recorded in the
state budget balance sheet of Ministries or centrally-governed agencies;
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Chapter III
DESIGN, ASSESSMENT OF
AND DECISION ON INVESTMENT IN PUBLIC INVESTMENT PROGRAMS OR PROJECTS
Article 28. Authority to carry
out, bases for design, assessment of and decision on investment in programs or
projects
1. Authority to grant the decision on investment in
programs or projects shall be consistent with regulations laid down in Article
39 of the Law on Public Investment.
2. Bases for design, assessment of and decision on
investment in programs or projects shall be consistent with regulations laid
down in Article 40 of the Law on Public Investment.
Article 29. Processes for
design, assessment of and decision on investment in public investment programs
1. Process for formulation, assessment of and
decision on investment in national target programs shall be consistent with
regulations specified in Article 41 of the Law on Public Investment.
2. Processes for design, assessment of and decision
on investment in public investment programs in which the policy for investment
is decided by the Prime Minister shall be consistent with Article 42 of the Law
on Public Investment.
3. Processes for design, assessment of and decision
on investment in public investment programs in which the policy for investment
is decided by the People’s Council shall be consistent with Article 43 of the
Law on Public Investment:
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b) With regard to programs totally using funds
allocated from the local government budget at the district, commune level, or
state budget revenues retained for investing purposes but having yet to be
recorded in the government budget balance sheet at the district or commune
level, the Presidents of the People’s Committees at the district or commune
level shall establish the Assessment Council to assess the feasibility study
report of these programs;
c) Subject to the assessment report of the
Assessment Council, program owners shall complete the feasibility study report
and draft the Decision on investment for submission to the Presidents of the People’s
Committees at the equivalent levels referred to subparagraph a and b of this
Article for review and decision.
Article 30. Processes for
design, assessment of and decision on investment in projects without
construction components
1. Processes for granting and contents of the
decision on investment in projects managed by Ministries or centrally-governed
agencies shall be provided for as follows:
a) Heads of Ministries, centrally-governed agencies
assign project owners in accordance with the investment policy decided by the
competent authority to prepare the feasibility study report; establish the
Assessment Council or assign the agency specializing in management of
investment to assess the feasibility study report for projects;
b) Project owners after consulting assessment
opinions referred to in subparagraph a of this paragraph prepare a complete
feasibility study report of projects for submission to Heads of Ministries,
centrally-governed agencies or heads of their directly inferior agencies assigned
or authorized to decide investment in Group-B or Group-C projects in accordance
with regulations laid down in subparagraph c paragraph 2 Article 39 of the Law
on Public Investment with the intention of deciding investment;
c) Competent authorities decide investment in
projects, including the following main contents: name of the project; project
owner; project formulation consultancy organization (if any); objectives,
investment scale, project execution progress; location; technological design
(if any); technical standards; investment outlay; funding source and proposed
allocation of funds based on the project execution progress; applied project
management forms;…
2. Processes for granting and contents of the
decision on investment in projects managed by provincial governments:
a) The President of provincial People’s Committee
assigns a project owner with reference to its investment policy decided by the
competent authority to prepare the feasibility study report of projects for
submission to the provincial People’s Committee
or any of its directly inferior agencies assigned or authorized to decide
investment in accordance with subparagraph c paragraph 3 Article 39 of the Law
on Public Investment;
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c) Project owners after consulting assessment
opinions referred to in subparagraph b of this paragraph prepare a complete
feasibility study report of projects for submission to the Department of
Planning and Investment for the purpose of making a general report to the
President of the provincial People’s Committee or its directly inferior
agencies assigned or authorized to decide investment in Group-B or Group-C
projects in accordance with regulations laid down in subparagraph c paragraph 3
Article 39 of the Law on Public Investment with the intention of deciding
investment;
d) Competent authorities decide investment in
projects, including the following main contents: name of the project; project
owner; project formulation consultancy organization (if any); objectives,
investment scale, project execution progress; location; technological design
(if any); technical standards; investment outlay; funding source and proposed
allocation of funds based on the project execution progress; applied project
management forms;…
3. Processes for granting and contents of the
decision on investment in projects managed by the local government at the
district or commune level:
a) The President of the People’s Committee at the
district or commune level assigns project owners in accordance with the
investment policy decided by the competent authority to prepare the feasibility
study report; assigns the agency specializing in management of investment or
establishes the Assessment Council to assess the feasibility study report for
projects;
b) Project owners after consulting assessment
opinions referred to in subparagraph a of this paragraph prepare a complete
feasibility study report of projects for submission to the President of the
People’s Committee at the district or commune level, or its directly inferior agencies
assigned or authorized in accordance with regulations laid down in subparagraph
c paragraph 4 Article 39 of the Law on Public Investment with the intention of
deciding investment;
c) Competent authorities decide investment in
projects, including the following main contents: name of the project; project
owner; project formulation consultancy organization (if any); objectives,
investment scale, project execution progress; location; technological design
(if any); technical standards; investment outlay; funding source and proposed
allocation of funds based on the project execution progress; applied project
management forms;…
Article 31. Processes for
design, assessment of and decision on investment in projects with construction
components
1. Processes for formulation, assessment of
investment projects with construction components shall be consistent with laws
on construction and the Law on Public Investment.
2. With respect to projects managed by the
provincial government:
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b) The Department of Planning and Investment takes
charge of or cooperates with relevant agencies in assessment of other contents
of the feasibility study report of projects (if any); assesses all of projects
for repair, renovation, maintenance and improvement using public investment
capital (except those using funds derived from the state budget) with the
investment outlay of less than VND 5 billion under the management of the
provincial government; sends synthesized assessment results to project owners;
c) Project owners after consulting assessment
opinions referred to in subparagraph a and b of this paragraph prepare a
complete feasibility study report of projects for submission to the Department
of Planning and Investment. The Department of Planning and Investment verifies
consistence with the investment policy approved by the competent authority and
capability of allocating investment funds, and compile a general report for
submission to the President of the provincial People's Committee or send
directly inferior agencies assigned or authorized in accordance with
subparagraph c paragraph 3 Article 39 of the Law on Public Investment for
consideration of or decision on investment in projects.
3. With respect to projects managed by the local
government at the district or commune level:
a) The authority in charge of assessment sends
project owners and the agency specializing in management of investment at the
district or commune level assessment reports in accordance with provisions set
forth in paragraph 1 of this Article;
b) The agency specializing in management of
investment at the district or commune level takes charge of or cooperates with
relevant agencies in assessment of other contents of the feasibility study
report of projects (if any); assesses all of projects for repair, renovation,
maintenance and improvement using public investment capital (except those using
funds derived from the state budget) with the investment outlay of less than
VND 5 billion under the management of the local government at the district or
commune level; sends synthesized assessment results to project owners;
c) Project owners after consulting assessment
opinions referred to in subparagraph a and b of this paragraph prepare a
complete feasibility study report of projects for submission to agency
specializing in management of investment at the district or commune level, or
to directly inferior agencies assigned or authorized by the People’s Committee
at the district level to decide investment.
4. The Heads of Ministries, centrally-governed
agencies and the Presidents of the People’s Committees at all levels, or their
inferior agencies shall be assigned or authorized to decide investment in
projects, including the following main contents in accordance with laws and
regulations on construction.
Article 32. Processes for
formulation, assessment of and decision on investment in emergency projects
The Heads of Ministries, centrally-governed
agencies and the Presidents of the People’s Committees at all levels who have
authority to decide investment in projects as stipulated by Article 39 of the
Law on Public Investment shall make their decision on processes for
formulation, assessment of and decision on investment in emergency projects
managed by Ministries, centrally-governed agencies or local authorities;
conduct assessment, approval of projects, designs and budgets to ensure laws on
public investment, laws on construction and other relevant laws and regulations
are observed.
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Processes for and contents of formulation,
assessment of and decision on investment in projects to be executed in the
public-private partnership form shall be consistent with provisions laid down in
the Law on Public Investment, laws on construction, Article 30 and 31 hereof
and the Government’s Decree on public-private partnership investment.
Article 34. Processes for and
contents of formulation, assessment of and decision on investment in adjustment
to programs or projects
1. The competent authority makes the decision on
investment in adjustment to programs or projects in accordance with provisions
laid down in paragraph 1, 2 and 3 Article 46 of the Law on Public Investment.
2. Program or project owners:
a) Give a general assessment of execution of public
investment programs or projects on the date of requesting adjustments; report
on the result of evaluation of these programs or projects to the authority who
has competence in making the decision on investment;
b) Assign specialized agencies to formulate reports
on proposed adjustments to public investment programs or projects. Report on
any adjustment to such programs or projects must clearly state reasons for
adjustments; give an analysis of socio-economic and financial effectiveness (if
any) produced by adjustments to these programs or projects;
c) Conduct the internal assessment of adjustments
to public investment programs or projects, including assessment of funding
sources and capability of allocating investment funds in the event that an
increase in investment scale entails an increase in the investment outlay;
d) Within a permitted duration of 15 working days
of receipt of assessment opinions referred to subparagraph c of this paragraph,
send a complete report on proposed adjustments to public investment programs or
projects to the competent authority for its decision on such adjustments
thereto. With regard to adjustments to programs or projects entailing
adjustments to investment outlay:
- Owners of national target programs or target
programs and Heads of Ministries, centrally-governed agencies and Presidents of
the People’s Committees at the provincial level who manage projects using funds
derived from the central budget, public bonds, sovereign bonds, ODA and
concessional loans provided by foreign sponsors, state budget revenues retained
for investing purposes but having yet to be recorded in the state budget
balance sheet of Ministries or centrally-governed agencies send the Ministry of
Planning and Investment or the Ministry of Finance a report on proposed
adjustments to programs or projects for the purpose of assessment of funding
source and capability of allocating investment funds;
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dd) Within a permitted duration of 15 working days
of receipt of assessment reports referred to subparagraph d of this paragraph,
send a complete report on proposed adjustments to public investment programs or
projects according to assessment opinions to the competent authority for its
decision on such adjustments thereto.
3. The authority who have competence in making the
decision to adjust programs or projects approve the decision on investment in
such adjustments with reference to contents stipulated by paragraph 4 of this
Article and specified duration stated in paragraph 1 Article 44 hereof.
4. Contents of the decision on adjustments to
public investment programs or projects must include adjustments which correspond
to contents of the decision on investment programs or projects referred to in
the Law on Public Investment and provisions enshrined in this Decree.
Article 35. Documents
submitted to apply for assessment of public investment programs
1. Documents submitted to apply for assessment of
public investment programs include:
a) Statement on assessment of the program,
including necessity of investment in the program; objectives and main contents
of the feasibility study report of the program; request for the competent
authority's granting the decision on the program;
b) The feasibility study report on the program in
accordance with provisions laid down in paragraph 1 Article 47 of the Law on
Public Investment;
c) Other relevant documents that provide assistance
for assessment of a public investment program or project.
2. The number of documents on assessment of a
public investment program sent to the authority in charge of assessment or the
Standing Committee of the Assessment Council is 20 sets of documents. The
authority taking charge of assessment or the Standing Committee of the
Assessment Council may request program owners to provide additional documents
whenever necessary.
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1. Documents submitted to apply for assessment of a
public investment project without construction components include:
a) The statement on assessment of the project,
including necessity of investment in the project; objectives and main contents
of the feasibility study report of the project; request for the competent
authority's granting the decision on the investment project;
b) The feasibility study report on the project in
accordance with provisions laid down in paragraph 2 Article 47 of the Law on
Public Investment;
c) The report of the Vietnamese Fatherland Front at
all levels in which opinions from residents living in communities where project
sites are located are collected in accordance with provisions laid down in
paragraph 2 Article 82 of the Law on Public Investment;
d) Other relevant documents that provide assistance
for assessment of public investment programs or projects.
2. Documents submitted to apply for assessment of
public investment projects with construction components in accordance with laws
on construction, opinions from residents of communities referred to in
subparagraph c paragraph 1 of this Article and other relevant provisions of
laws.
3. The number of documents submitted to apply for
assessment to the authority in charge of assessment or the Standing Committee
of the Assessment Council shall be provided for as follows:
a) 15 sets of documents in respect of projects
without construction components;
b) 10 sets of documents in respect of Group-B and
Group-C projects without construction components;
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The authority in charge of assessment may request
the project management authority to provide additional documents whenever
necessary.
Article 37. Documents
submitted to the competent authority to apply for grant of the decision on
investment in programs or projects
1. Documents submitted to the competent authority
to apply for grant of the decision on investment in programs or projects include:
a) The application form sent to the competent
authority to apply for grant of the decision on investment in programs or
projects, and the feasibility study report which has been completed according
to assessment opinions;
b) The decision on the policy for investment in
programs and projects issued by the competent authority;
c) The report on assessment of funding source and
capability of allocating investment funds;
d) The report on assessment of the feasibility
study report;
dd) Other relevant documents.
2. The number of documents submitted to the
competent authority to apply for grant of the decision on investment in
programs or projects in accordance with paragraph 1 of this Article includes:
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b) 3 sets of documents in respect of Group-A
projects;
c) 2 sets of documents in respect of Group-B and
Group-C projects.
The level of government competent to grant the
decision on investment in programs or projects may request the applicant for
the decision on investment in programs or projects to provide additional
documents (if necessary).
Article 38. Documents on
assessment of the funding source and capability of allocating investment funds
for adjustment programs or projects
1. Documents submitted to the competent authority
for assessment of the funding source and capability of allocating investment
funds for adjustment programs or projects include:
a) The application form submitted to the competent
authority for assessment of the funding source and capability of allocating
investment funds used for increasing the investment outlay of programs or
projects;
b) The decision on initial investment and decisions
on preceding adjustments of programs or projects (if any);
c) The report on assessment of funding source and
capability of allocating investment funds of programs or projects which is
submitted to the authority that has competence in deciding the policy for
initial investment and preceding adjustments;
d) The report on internal assessment for
adjustments to the decision on investment in programs or projects;
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2. The number of documents submitted to the agency
taking charge of assessing funding source and capability of allocating
investment funds shall be consistent with paragraph 2 Article 21 hereof. The
agency taking charge of assessment of the funding source and capability of
allocating investment funds of programs or projects may request program owners
and the project management authority to provide additional documents whenever
necessary.
Article 39. Documents
submitted to the authority competent to grant the investment decision to apply
for adjustments to programs or projects
1. Documents submitted to the competent authority
competent to grant the investment decision to apply for adjustments to programs
or projects include:
a) The application form submitted to the authority
having competence in grant of the investment decision to apply for adjustments
to programs or projects; clarification of objectives and reasons for such
adjustments in accordance with paragraph 1 Article 46 of the Law on Public
Investment;
b) The decision on the policy for investment in
programs and projects issued by the competent authority;
c) The decision on
investment in programs or projects issued by the authority that have competence
in granting the decision on initial investment and decisions on preceding
adjustments of programs or projects (if
any);
d) The report on assessment of the funding source
and capability of allocating investment funds for programs or projects
according to the adjusted investment outlay;
dd) The report on internal assessment of proposed
adjustments to programs or projects and other assessment reports in accordance
with laws (if any);
e) The inspection and evaluation report on
execution of programs or projects in accordance with paragraph 3 Article 46 of
the Law on Public Investment;
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2. The number of documents submitted to the authority
having competence in granting the decision on investment in adjustments to
programs or projects shall be consistent with paragraph 2 Article 37 hereof.
The level of government competent to grant the decision on investment in
programs or projects may request any agency to submit additional documents
whenever necessary.
Article 40. Contents of
assessment of programs or projects
1. Assessment of national target programs or target
programs shall include the following contents:
a) Compliance of contents of assessment documents
with laws and regulations;
b) The conformity of programs to the policy for
investment in programs which have been approved by the competent authority;
c) Contents of the feasibility study report on
programs referred to in paragraph 1 Article 47 of the Law on Public Investment;
d) Consistency with the funding source and
capability of allocating investment funds assessed by the competent authority;
consistence of the investment outlay of programs with mid-term and annual
investment plans; structure of funds derived from the central budget, local
government budget and other legitimate funding source; capability of capital
recovery and debt repayment in case of use of loans.
2. Contents of assessment of public investment
projects without construction components include:
a) Compliance of contents of assessment documents
with laws and regulations;
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c) Contents of the feasibility study report of
projects referred to in paragraph 2 Article 47 of the Law on Public Investment;
d) Consistence with the report on assessment of the
funding source and capability of allocating investment funds; consistence of
the investment outlay with allocation of funds in the mid-term and annual
investment plan; structure of the funding source, capability of allocating
funds for public investment and mobilization of capital and other resources for
project execution purposes; evaluation of operating, maintenance, overhaul and
major repair costs during the process of operation of projects;
dd) Influence of projects on development of the
sector, area and territories and localities; generation of more state budget
revenues, employments, income and people’s life; impacts on environment and
sustainable development.
3. Contents of assessment of public investment
projects with construction components shall be consistent with provisions laid
down in paragraph 2 of this Article and laws on construction.
4. In the course of assessment of public investment
programs or projects in terms of contents provided for in paragraph 1, 2 and 3
of this Article, regulations laid down in the decision on the investment policy
which has been approved by the competent authority must be consulted. Investment
scale, investment outlay indicators, including funding source structure, are
not allowed to exceed the permitted levels stated in the decision on the
investment policy. Where it is urgent that investment scale and investment
outlay of programs or projects must be increased as against those stipulated in
the decision on the investment policy, the agency making the decision on the
investment policy must be notified to give its opinions, and the funding source
and capability of allocating investment funds must be re-assessed. Where an
increase in investment scale does not entail an increase in the investment
outlay and ensures that objectives of projects mentioned in the decision on the
investment policy are met, re-assessment of the funding source and capability
of allocating investment funds is not required.
Article 41. Contents of
assessment of adjustment programs or projects
1. Assessment of national target programs or target
programs shall include the following contents:
a) Contents referred to in paragraph 1 Article 40
hereof;
b) Compliance of adjustments to programs with laws
and regulations as stipulated by paragraph 1 and 3 Article 46 of the Law on
Public Investment and this Decree.
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a) those as stipulated by paragraph 2 and 3 Article
40 hereof;
b) Compliance with laws and regulations on
adjustments to projects as stipulated by paragraph 2 and 3 Article 46 of the
Law on Public Investment, laws on construction and this Decree.
Article 42. Contents of
assessment of the funding source and capability of allocating funds for
investment in adjustment programs or projects
1. Compliance with procedures, internal assessment
of increases in the investment outlay, perfection of required documents.
2. Assessment of funding source and capability of
allocating funds in respect of an increase in the investment outlay of projects
must be consistent with provisions laid down in the Law on Public Investment,
and capability of allocating 5-year investment funds. The report on assessment
should clarify:
a) Consistency of projects with objectives,
subjects of industries, sectors and programs financed by proposed funds.
b) Capability of allocating funds for increases in
the investment outlay of the project in total mid-term planned investment
capital of each industry, sector, or the program of Ministries,
centrally-governed agencies and local authorities in accordance with laws and
regulations.
3. Levels of funds allocated to projects from financing
sources subject to assessment requests and specific time of fund allocation.
Article 43. Time limits for
assessment of programs or projects
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a) National target programs: less than 40 days;
b) Target programs: less than 30 days;
c) Group-A projects: less than 40 days;
d) Group-B projects: less than 30 days;
dd) Group-C projects: less than 20 days;
2. Time limits for assessment of public investment
projects with construction components shall be consistent with laws on
construction.
3. Time limits for assessment referred to in paragraph
1 of this Article shall only be applied to the stage in which an assessment is
carried out to apply for the competent authority’s approval of the decision on
investment in public investment programs or projects. Time limits for internal
assessment conducted by Ministries, agencies of central or local government
shall be specifically designated by the Heads thereof, or the Presidents of the
People’s Committees at the provincial level.
4. Where extension of the time limit for assessment
of programs or projects is required,
a) The Ministry of Planning and Investment must
report to the Prime Minister to obtain his permission for extension of the time
limit for assessment of national target programs or target programs;
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c) The authority in charge of assessment or the
Standing Committee of the Council on Assessment of public investment projects
must notify the authority having competence in granting the decision on
investment in projects of the extended assessment time period;
d) The extended duration referred to in
subparagraph a, b and c of this paragraph is not allowed to exceed the
equivalent assessment duration referred to in paragraph 1, 2 and 3 of this
Article.
Article 44. Time limits for
grant of the decision on investment in and the decision on adjustments to
programs or projects, and time limits for delivery of the decision on
investment in and the decision on adjustments to programs or projects to
authorities in charge of synthesis of mid-term and annual public investment
plans
1. Time limits for grant of the decision on
investment in and the decision on adjustments to public investment programs or
projects after the date on which the authority that has competence in grant of
the decision on investment in programs or projects receives all required valid
documents shall be provided for as follows:
a) National target programs: less than 30 days;
b) Target programs: less than 20 days;
c) Group-A projects: less than 20 days;
d) Group-B and Group-C projects: less than 15 days.
2. Within a duration of 15 working days after the
authority competent to grant the decision on investment in or the decision on
adjustments to programs or projects, Ministries, centrally-governed agencies
and local governments in charge of managing these programs or projects must
send:
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b) the Department of Planning and Investment, the
Department of Finance or the agency specializing in management of investment at
the district or commune level: the decision on investment in programs or
projects using funds derived from the local government budget, local government
bonds, investment funds derived from state budget revenues retained for
investing purposes but having yet to be recorded in the local government
budget.
Chapter IV
MANAGEMENT OF PUBLIC
INVESTMENT PROJECTS WITHOUT CONSTRUCTION COMPONENTS
Article 45. Conduct of
management of projects
1. The investment decision-making person shall make
the decision on forms of conduct of project management in consistence with
specific management requirements and conditions of projects, and ensure
conformity to investment objectives and effectiveness of approved projects.
2. With respect to projects using funds derived from
ODA, concessional loans provided by foreign sponsors, forms of conduct of
project management shall be consistent with provisions set out in international
agreements on ODA or agreements with sponsors. In the absence of specific
provisions set out in international agreements on ODA or agreements with
sponsors, conduct of project management shall be consistent with provisions set
out in paragraph 1 of this Article.
3. With respect to PPP projects, conduct of project
management shall be consistent with provisions set out in the law on PPP
investment and relevant laws.
4. With respect to emergency projects:
a) the authority having competence in granting the
decision on investment in projects in accordance with Article 39 of the Law on
Public Investment shall decide conduct of emergency project management; conduct
of oversight of construction activities and acceptance testing for handover of
completed projects in accordance with laws and regulations on public
investment, laws on construction and other relevant laws;
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Article 46. Project design
1. One or multiple steps of project design are
decided by the authority having competence in granting the decision on
investment depending on project types and project execution forms, including:
a) The preliminary design for the purpose of
preparing the pre-feasibility study report of Group-A projects, and the report
on the proposed policy for investment in Group-B and Group-C projects;
b) Design at the stage of decision on investment
and execution of projects:
- With regard to small-scale Group-C projects with
the investment outlay of under VND 15 billion, the one-step design, including
the construction drawing (if any), is applied;
- With regard to Group-B and Group-C projects with
the investment outlay of at least VND 15 billion, the two-step design,
including the basic design and construction drawing (if any), is applied;
- With regard to Group-A projects, the three-step
design, including the basic design, technical design and construction drawing
(if any), is applied;
- Other design steps in accordance with international
practices (if any).
2. Contents of the preliminary design plan and
design steps in the stage of investment decision and project execution as
referred to in paragraph 1 of this Article shall be consistent with laws and
regulations on management of construction projects, except for contents
relating to the construction design.
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4. With regard to projects designed by at least two
design steps as referred to in subparagraph b paragraph 1 of this Article, the
latter design step must be consistent with key contents and parameters shown in
the first design step.
Article 47. Contents and
determination of the investment outlay of the project
1. The initial investment outlay refers to the
estimated investment costs determined to be consistent with the preliminary
design plan and other contents of the pre-feasibility study report of Group-A
projects, the report on the proposed policy for investment in Group-B and
Group-C projects. The initial investment outlay of projects is calculated on
the basis of the scale, productivity or capacity of projects and investment
rate or data on costs of projects of the same type, size and nature which have
already been executed or are under execution, or are subject to modification or
supplementation of other necessary expenses.
2. The investment outlay of a project refers to the
total investment cost of that project which is determined more specifically to
be relevant to the basic design or one-step design referred to in subparagraph
b paragraph 1 Article 46 hereof and other contents of the feasibility study
report of the project. The investment outlay is composed of expenses incurred
from purchase of property, houses and lands, etc.; raw materials, machinery
parts, components and equipment; wage, salary; consultancy service; provision
for any additional workload and slippage; management and others.
3. The investment outlay is specified as follows:
a) Expenses incurred from property, house and land
purchase, etc.;
b) Expenses incurred from raw materials, machinery
parts and components,… paid for execution of projects such as synchronous
equipment production and ship building,...;
c) Equipment costs including purchase of equipment
and technological appliances, training and technology transfer costs (if any),
and installation, testing and calibration costs, etc.;
d) Wage and salary costs for project execution;
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e) Transportation and insurance costs; expenses
incurred from payment of taxes and fees and other related expenses;
g) Consultancy service expense including
consultancy of survey, formulation of the pre-feasibility study report, the
report on the proposed policy for investment, formulation of the feasibility
study report, design and consultancy of supervision of projects and other
relevant costs (if any);
h) Expenses incurred from provision for additional
workloads and for slippage during the project execution period;
i) Managerial and other expenses.
4. Method of determination of several specific expenses
included in the investment outlay is provided for as follows:
a) Property, house and land purchase expense is
determined on the basis of size, productivity or capacity of a project with
reference to the basic design and in conformity with time of calculation of the
investment outlay and project location;
b) Expenses incurred from raw materials, machinery
parts and components (if any) for the purpose of executing synchronous
equipment production and shipbuilding projects, etc. are determined on the basis
of quantity and quality according to technical requirements and market prices;
c) Equipment costs are determined on the basis of
quantity and types of equipment or system according to the plan for selected
technology, technique and equipment, market price and other related costs;
d) Wage and salary costs are determined with
reference to limits, wage and salary of employees in accordance with laws and
regulations;
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e) Transportation and insurance costs, or taxes and
fees or other relevant costs, are determined in accordance with laws and
transportation charges;
g) Consultancy expenses are determined on the basis
of consultancy of similar projects which have been completely executed, or
estimation of specific amounts spent on consultancy activities according to
specified limits (if any) market prices;
h) Expenses incurred from provision for additional
workloads and slippage during the project execution period are determined on
the basis of ratio thereof to the investment outlay and specific elements of
expenses referred to in paragraph 3 of this Article;
i) Managerial expenses and other expenses are
determined in accordance with laws and regulations, and characteristics and
conduct of management of a project.
Article 48. Contents and determination
of project budget
1. Project budget refers to total necessary
expenses used for execution of projects at the stage of project execution in
conformance to the feasibility study report of the project and the approved
project design; other work duties to be performed.
2. Contents of project budget refer to expenses
referred to in paragraph 3 Article 47 hereof.
3. Project budget is determined on the basis of
calculation of specific expenses defined in paragraph 4 Article 47 of this
Decree on the date of formulation of the project budget estimate.
Article 49. Authority to
assess, approve the design and project budget
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2. In respect of Group-A and Group-B projects
managed by the provincial People’s Committees, the Department of Planning and
Investment shall take charge of and cooperate with any specialized Department
in conduct of assessment of the design, project budget and submission of such
assessment to the Presidents of the People’s Committees or any agencies
assigned or authorized to grant the investment decision (in accordance with
provisions set forth in subparagraph c paragraph 3 Article 39 of the Law on
Public Investment) for approval.
2. In respect of projects managed by the People’s
Committees at the district or commune level, and Group-B and Group-C projects
in which granting of the decision on investment is assigned or authorized by
the provincial People's Committees, the project management authority affiliated
to the People's Committees at the district or commune level shall take charge
of assessment of the design, project budget estimate and submission of such
assessment to the Presidents of the People’s Committees at the district and
commune level for approval.
Article 50. Processes,
procedures and time limit for assessment of the project design and budget
1. Project owners shall send project design and
budget documents to the project management authority according to contents
stipulated in Article 52 hereof.
2. The project management authority shall take
charge of or cooperate with any relevant authority in conduct of assessment of
contents of project design and budget in accordance with provisions laid down
in Article 51 hereof. In the course of assessment, the authority taking charge
of assessment shall be allowed to invite any organization or individual having
relevant professional qualifications or experience to participate in assessment
of specific parts of the project design or budget to support its assigned
assessment duty.
3. Time limits for assessment of the project design
or budget conducted by the project management authority from the date on which
valid documents are received shall be provided for as follows:
a) Group-A projects: less than 40 days;
b) Group-B projects: less than 30 days;
c) Group-C projects: less than 20 days.
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1. Subject matters of the assessment of the project
design and budget include contents referred to in Article 47 hereof and
contents referred to in paragraph 2 of this Article.
2. Subject matters of approval of the project
design and budget include:
a) General information about the project: name and
components of the project (specifying the project group); owner and design
contractor of the project; project site (if applicable);
b) Scale, technology, technical parameters and key
socio-technical indicators of the project;
c) Major national technical regulations and
standards which are applied;
d) Main design solutions of project components and
the whole project;
dd) Project budget;
e) Requirements of completion and supplementation
of design documents and other contents (if applicable).
3. Time limits for approval of the project design
or budget estimate: the authority having competence in granting the decision on
investment in projects shall approve the budget estimate from the date on which
all required documents are received in accordance with the following
provisions:
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b) Group-B projects: less than 10 working days;
c) Group-B projects: less than 5 working days.
Article 52. Documents
submitted to apply for assessment of the project design and budget
1. Application form for assessment of the project
design.
2. Demonstration of the design, drawings (if
applicable), and related survey documents.
3. Copy of the decision on the policy for
investment in projects and the decision on investment in projects together with
approved design documents.
4. General report of the project owner on
compatibility of design documents with laws and regulations.
5. Project budget.
Article 53. Acceptance testing
of projects before operation
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2. Subject to the specific conditions of each
project, each component of a project, constituent projects or the entire
project after being completed may be brought into operation.
3. A record on the acceptance testing and handover
of completed components of a project, constituent projects or the entire
project shall serve as the basis for the project owner’s bringing them into
operation and settle investment funds.
4. Dossier of project handover includes documents
on project completion; user’s manual or operational instructions; project
warranty regulations.
5. Project investment dossier must be archived in
accordance with laws on state archives.
Article 54. Completion of investment
in projects
1. Investment in a project is completed when the
project owner takes over the entire project and that project's warranty term
expires in accordance with laws and regulations.
2. Before handover of a project, a contractor must
move his property (if applicable) out of the project site.
Article 55. Project operation
1. After taking over a project, the project owner
or organization authorized to manage operation of the project shall be
responsible for effective operation and conduct of the project to meet approved
purposes and socio-technical norms.
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Chapter V
DUTIES, POWERS OF AGENCIES,
ORGANIZATIONS OR INDIVIDUALS OVER FORMULATION, ASSESSMENT OF AND DECISION ON
THE POLICY FOR INVESTMENT, THE DECISION ON INVESTMENT IN PUBLIC INVESTMENT
PROGRAMS OR PROJECTS, AND MANAGEMENT OF PUBLIC INVESTMENT PROJECTS
Article 56. Duties and powers of
the Government
1. Consistently practice the state management in
respect of formulation, assessment of and decision on the policy for
investment, the decision on investment in public investment programs or
projects.
2. Request the National Assembly to grant the
decision on the policy for investment in national target programs.
3. Decide the policy for investment in target
programs referred to in paragraph 2 Article 17 of the Law on Public Investment.
Article 57. Duties and powers
of the Prime Minister
1. Issue any decision or direction relating to
formulation, assessment of and grant of decision on the policy for investment,
the decision on investment in public investment programs or projects.
2. Make the decision on the policy for investment
and the decision on investment in programs or projects in accordance with
provisions laid down in paragraph 3 Article 17, paragraph 1 Article 39 of the
Law on Public Investment.
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a) the State Assessment Council to assess the
policy for investment and grant the decision on investment in national target
programs;
b) the interdisciplinary Council to assess the
policy for investment and grant the decision on investment in target or Group-A
programs in accordance with the Law on Public Investment.
Article 58. Duties and powers
of the Ministry of Planning and Investment
1. Counseling the Government to consistently
practice its state management in respect of formulation, assessment of and
decision on the policy for investment, the decision on investment in public
investment programs or projects; manage public investment projects without
construction components.
2. Issue or take charge of studying preparations
for, and request the competent authority to issue legal documents on
formulation, assessment of and grant of decision on the policy for investment,
the decision on investment in programs or projects; manage public investment
projects without construction components.
3. Request the Prime Minister to establish the
State Assessment Council, the interdisciplinary Assessment Council or the
Assessment Council to assess Group-A public investment programs or projects
that fall under the authority to grant the decision on the policy for
investment, the decision on investment of the National Assembly, Government or
Prime Minister.
4. Take charge of or cooperate with related
agencies in conduct of assessment of the report on the proposed policy for
investment, assessment of funding source and budget-balancing capability of
public investment programs or projects in accordance with laws on public
investment.
5. Provide professional instructions and hold a
professional and operational training, drilling or improvement courses for
public servants or employees of Ministries, centrally-governed agencies and
local jurisdictions at all levels in respect of formulation, assessment of and
decision on investment in public investment programs or projects.
6. Conduct inspection, examination and supervision
of formulation, assessment of and decision on the policy for investment, the
decision on investment in public investment programs or projects of Ministries,
centrally-governed agencies or local jurisdictions.
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1. Take charge of or cooperate with the Ministry of
Planning and Investment in instructing Ministries, centrally-governed agencies
and local jurisdictions to plan operating or recurrent expenditure budget to
perform spending duties referred to in paragraph 1, 3, 4 and 5 Article 15 of
the Law on Public Investment.
2. Cooperate with the Ministry of Planning and
Investment in assessment of funding source and budget-balancing capability of
programs or projects using funds derived from the central budget, public bonds,
sovereign bonds and other centrally-controlled funds for public investment
purposes in accordance with the Law on Public Investment.
Article 60. Duties and powers
of Ministries or centrally-governed agencies
1. Conduct formulation and internal assessment of:
a) the pre-feasibility study report, the report on
the proposed investment policy and the feasibility study report of national
target programs, target programs that fall within their authority or duties
assigned by the Government;
b) the pre-feasibility study report, the report on
the proposed investment policy, and the feasibility study report of public
investment projects under their management.
2. Make the decision on the policy for investment
in Group-B and Group-C public investment projects under their authority defined
in paragraph 4 Article 17 of the Law on Public Investment.
3. Make the decision on investment in public
investment projects as stipulated in paragraph 2 Article 39 of the Law on
Public Investment; delegate or assign authority to inferior authorities to
decide investment in Group-B and Group-C projects (if necessary) in accordance
with provisions laid down in subparagraph c paragraph 2 Article 39 of the Law
on Public Investment.
4. Issue and provide guidance on implementation of
standards, regulations and ecotechnical norms as the basis for formulation of
the pre-feasibility study report, the report on the proposed investment policy,
the feasibility study report of projects that fall within their functions or
duties assigned by the Government and in accordance with laws and regulations.
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6. Join the State Assessment Council for assessment
of national target projects, the interdisciplinary Council for assessment of
target programs and Group-A projects, or hold the position of Chairperson of
the Assessment Council for assessment of Group-A projects in accordance with
the Prime Minister's appointment decision.
7. Collaborate with the Ministry of Planning and
Investment in assessing other programs or projects in accordance with laws and
regulations.
8. Assign duties to their affiliated project
management authorities in respect of formulation, assessment of and decision on
the policy for investment, the decision on investment in public investment
programs or projects, and management of public investment projects.
9. Provide guidance on, conduct inspection and
supervision of formulation, assessment of and decision on the policy for
investment, the decision on investment in public investment programs or
projects, and management of public investment projects that fall within their
assigned functions or duties in accordance with laws on public investment and
construction.
Article 61. Duties and powers
of the People’s Council at all levels
1. Make the decision on the policy for investment
in public investment programs under the management of the People's Council at a
single level in accordance with subparagraph a paragraph 1 Article 91 of the
Law on Public Investment.
2. Make the decision or delegate authority to the
Standing Committee of the People’s Council at the same level to consider, give
opinions and make the decision on the policy for investment in projects using
public investment funds under its management in accordance with subparagraph b
and c paragraph 1 Article 91 of the Law on Public Investment.
3. Oversee formulation, assessment of the decision
on the policy for investment, and grant the decision on investment in programs
or projects managed by local jurisdictions.
4. The provincial People’s Council shall be, in
addition to duties or powers stipulated in paragraph 1, 2 and 3 of this Article,
vested with the authority to grant the decision on Group-C target project
criteria in accordance with paragraph 3 Article 5 hereof.
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1. Conduct formulation, assessment of and request
the People’s Committee at the same level to grant the decision on the policy
for investment in projects in accordance with subparagraph a, b and c paragraph
2 Article 92 of the Law on Public Investment, and subparagraph a and c
paragraph 3 Article 93 of the Law on Public Investment together with provisions
set forth in this Decree.
2. Make the decision on the policy for investment
in projects in accordance with regulations laid down in paragraph 3 Article 92
and paragraph 4 Article 93 of the Law on Public Investment.
3. Make the decision on investment in public
investment programs or projects in accordance with subparagraph a and b
paragraph 3, and subparagraph a and b paragraph 4 Article 39 of the Law on
Public Investment; the President of the People's Committee at the provincial
and district level shall be allowed to assign or authorize inferior authorities
to decide investment in Group-B or Group-C projects in accordance with
subparagraph c paragraph 3 and subparagraph c paragraph 4 Article 39 of the Law
on Public Investment.
4. Make the decision on management of public
investment projects without construction components under the management of
each People's Committee in accordance with laws on public investment and other
relevant laws and regulations.
5. Conduct a poll to collect opinions from
authorities, organizations or enterprises and residential communities as to the
policy for investment, or the decision on investment in programs or projects in
accordance with laws and regulations.
6. Inspect compliance with laws and regulations on
formulation, assessment of and decision on the policy for investment and the
decision on investment in public investment programs or projects of inferior
authorities.
7. The People’s Committee shall perform, in
addition to the duties or powers referred to in paragraph 1, 2, 3, 4, 5 and 6
of this Article, the following duties:
a) Request the People’s Council at the same level
to ratify Group-C key projects of local jurisdictions;
b) Assign duties to departments or divisions at the
provincial level and specify rules for cooperation between local departments
and levels of local government in formulation, assessment of and decision on
the policy for investment and the decision on investment in public investment
programs or projects under the management of local jurisdictions;
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Article 63. Duties and powers
of the Vietnam Fatherland Front
The Vietnam Fatherland Front at all levels shall
perform duties and exercise powers relating to community supervision referred
to in Article 95 of the Law on Public Investment.
Article 64. Duties and powers
of the Department of Planning and Investment
1. Take charge of or collaborate with relevant
authorities in counseling and requesting the provincial People’s Committee to
approve:
a) criteria for determination of Group-C key
projects of each local jurisdiction;
b) rules for cooperation between local divisions
and levels of local government in formulation, assessment of, and decision on
the policy for investment and the decision on investment in programs or
projects located within localities under its management;
c) the report on the proposed policy for investment
in target programs managed by local jurisdictions in accordance with provisions
set forth in the Law on Public Investment;
d) the report on the proposed policy for investment
and the decision on investment in projects under the management of provincial
local jurisdictions;
dd) regulations relating to management of public
investment projects without construction components.
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3. Hold the standing position in the Assessment
Council, or take charge of assessment and approval of the decision on
investment, project design and budget of projects without construction
components under the management of provincial local jurisdictions and other
projects under the authority assigned by the provincial People's Committee.
4. Take charge of or cooperate with the Department
of Finance in assessment of funding source and budget-balancing capability of
projects using funds derived from the local budget balance, local government
bonds, state budget revenues that are retained for investing purposes but have
yet to be recorded in the local budget balance.
5. Conduct and
provide professional instructions on formulation, assessment of and decision on
the policy for investment in programs or projects, the decision on investment
in public investment projects without construction components for other
departments or divisions of a province and local jurisdictions at the district
or commune level.
Article 65. The State
Assessment Council and the interdisciplinary Assessment Council
1. The State Assessment Council established under
the Prime Minister's decision shall assume the following responsibilities:
a) Assess the report on the proposed policy for
investment in national target programs in order for program owners to make a
complete report to the State Assessment Council for the purpose of preparing a
general report for submission to the Prime Minister and the Government before a
request is filed to the National Assembly to obtain its decision on the
investment policy;
b) Assess the feasibility study report of national
target programs in order for program owners to make a complete report to the
State Assessment Council for the purpose of preparing a general report for
submission to the Prime Minister to request his decision on investment.
2. The interdisciplinary Assessment Council
established under the Prime Minister's decision shall assume the following
responsibilities:
a) Assess the report on the proposed policy for
investment in target programs in order for program owners to make a complete
report on the proposed policy for investment to the Prime Minister before a
request is filed to the Government to obtain its decision on the investment
policy;
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3. The State Assessment Council, or the interdisciplinary
Assessment Council, shall be composed of the Chairperson, Deputy Chairperson
and members of the Council. The Chairperson of the State Assessment Council, or
the interdisciplinary Assessment Council, must be the Minister of Planning and
Investment; the Deputy Chairperson and other members of the Council must be
representatives coming from the leadership of Ministries, centrally-governed
agencies or other relevant agencies in accordance with the Prime Minister's
decision upon the request of the Chairperson of the Council.
4. The State Assessment Council and the
interdisciplinary Assessment Council shall work according to the collective
rules and shall be chaired by the Chairperson of the Council.
5. Chairperson and members of the State Assessment
Council and the interdisciplinary Assessment Council shall be held accountable
to the Prime Minister for conduct of assessment and assessment-related
activities according to their assigned duties, assessment opinions, conclusions
and recommendations regarding programs or projects.
6. The State Assessment Council and the
interdisciplinary Assessment Council shall be automatically dissolved after
completion of their assessment activities in accordance with laws and
regulations.
Article 66. Responsibilities
of the Chairperson, Deputy Chairperson and members of the State Assessment
Council and the interdisciplinary Assessment Council
1. Responsibilities of the Chairperson, Deputy
Chairperson and members of the State Assessment Council and the
interdisciplinary Assessment Council include the followings:
a) Approve working rules, plans and schedules of
the Council and other related issues that may arise during the process of
assessment of programs or projects after the Council’s unanimous vote; decide
to convene the Council’s meetings; chair the Council’s meeting sessions; assign
responsibilities to the Deputy Chairperson and members of the Council;
b) Decide to establish the interdisciplinary
Assessment Expert Group or the Assisting Group of the Council depending on work
requirements;
c) Whenever necessary, the Chairperson of the
Council may authorize the Deputy Chairperson of the Council to convene and
chair the Council’s meeting sessions or report to the Government on several
contents or work activities assigned by the Chairperson of the Council;
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2. Responsibilities of the Deputy Chairperson of
the State Assessment Council and the interdisciplinary Assessment Council
include the followings:
a) Direct, monitor and perform duties assigned by
the Chairperson of the Council. Make a regular report on review of performance
of duties assigned by the Chairperson of the Council;
b) Assist the Chairperson of the Council in
considering and evaluating professional reports and performing other activities
in the Council for submission to the Prime Minister.
3. Responsibilities of members of the State
Assessment Council and the interdisciplinary Assessment Council include the
followings:
a) Have opinions on contents of assessment of
programs or projects that fall within functions or duties of Ministries or
centrally-governed agencies and local jurisdictions in charge of these projects
or programs, and general issues that may arise from programs or projects;
b) Mobilize workforce, equipment and research
facilities under its management to fulfill assigned duties;
c) Fully attend the Council’s meetings, and
exchange opinions on contents of assessment and cast their votes on the
Council’s conclusions upon request. In some special cases in which they are
unable to directly participate meetings, members of the State Assessment
Council and the interdisciplinary Assessment Council shall send their written
opinions and authorize their representatives to attend these meetings. Opinions
of such authorized representatives are opinions of the Council’s members.
Article 67. Rights and
responsibilities of agencies, organizations or individuals in respect of
formulation, assessment of and decision on the policy for investment, the
decision on investment in programs or projects
Rights and responsibilities of agencies,
organizations or individuals in respect of formulation, assessment of and decision
on the policy for investment, the decision on investment in programs or
projects shall be consistent with provisions laid down in Articles 96, 97, 98,
99, 100 and 101 of the Law on Public Investment.
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IMPLEMENTARY PROVISIONS
Article 68. Transition
1. With respect to how to deal with programs,
projects in which decisions on investment are granted by competent authorities
before the date of entry into force of the Law on Public Investment , but funds
for investment have yet to be allocated:
a) Provisions laid down in paragraph 1 Article 106
of the Law on Public Investment shall prevail;
b) With respect to projects of which funds for
execution are allocated by competent authorities according to the 2015 public
investment plan or previous-year plans, the fund allocation plan shall be
followed, and formulation, assessment of and decision on the policy for
investment in such projects shall not be required in accordance with the Law on
Public Investment;
c) With respect to projects of which funds for
execution have not been allocated by competent authorities by the end of the
plan year of 2015, but funding source and capability of balancing investment
portfolio prior to January 1, 2015, the specific funds invested in such
projects shall be accepted, and funding source re-assessment and fund balancing
processes shall not be required; formulation, assessment of and decision on the
policy for investment in these projects must comply with provisions laid down
in the Law on Public Investment and this Decree with reference to the level of
funds subject to the competent authority’s assessment of funding source and
investment portfolio balancing.
With respect to any project of which the approved
policy for investment is not different from the decision on investment which
has been approved before the date of entry into force of the Law on Public
Investment, the competent authority shall allocate funds in the midterm and
annual public investment plan to such project in accordance with the approved
investment decision.
With respect to any project of which the approved
policy for investment is different from the approved decision on investment,
the competent authority shall allocate funds in the midterm and annual public
investment plan to such project in accordance with the approved investment
policy approved the competent authority. The Prime Minister and the People’s
Committee at all levels shall assign the midterm and annual public investment
plan to projects according to the re-approved investment decision.
2. With regard to projects in which the decision on
investment and use of funds other than funds for public investment is approved,
if public investment funds in the 2016 plan are used for execution of these
projects, the funding source, capability of balancing investment portfolio and
decision on the investment policy must be assessed, and the decision on
investment must be re-approved in accordance with the Law on Public Investment
and relevant laws.
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a) Carry out formulation, assessment of and
decision on the investment policy and the decision on investment in these
projects in accordance with the Law on Public Investment and this Decree. With
respect to projects prior to January 1, 2015 in which the specific level of
fund for investment is approved, or of which the funding source and capability
of balancing investment portfolio are assessed, and in which the specific level
of fund for public investment is accepted by the Ministry of Planning and
Investment, re-assessment of the funding source and capability of balancing
investment portfolio shall not be required (if an increase in the investment outlay
is not demanded);
b) With regard to projects in which the decision on
investment granted by the competent authority does not conform to the processes
or procedures referred to in the Law on Public Investment, formulation,
assessment of and decision on the investment policy and the decision on
investment in these projects shall be required in accordance with the Law on
Public Investment.
c) With regard to projects in which funds for
investment have been allocated according to the 2015 public investment plan,
formulation, assessment of and decision on the investment policy and the
decision on investment in these projects shall be required in accordance with
the Law on Public Investment.
4. If any district, rural district or ward does
not, in the course of execution of pilot programs, organize the People’s
Council at the same level, it is considered as a budget unit of the People’s
Committee at the higher level. Formulation, assessment of and decision on the
policy for investment shall be consistent with provisions of this People’s
Committee at the higher level.
Article 69. Implementation
1. This Decree shall enter into force on February
15, 2016. Any previous regulations inconsistent with those enshrined in this
Decree shall be repealed.
2. The Minister of Planning and Investment shall
provide guidance on implementation of this Decree (when necessary).
3. Ministries, Heads of Ministry-level agencies,
Heads of other central bodies, Presidents of the People’s Committees of
centrally-affiliated cities and provinces, and Heads of agencies or units
concerned, shall be responsible for enforcing this Decree./.
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PP. THE
GOVERNMENT
THE PRIME MINISTER
Nguyen Tan Dung
ANNEX 1
CLASSIFICATION
CRITERIA OF PUBLIC PROJECTS
(Issued together with the Government’s Decree No.136/2015/NĐ-CP
dated December 31, 2015)
No.
PUBLIC
PROJECT CLASSIFICATION
Total
investment
A
GROUP
A
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I
CLASSIFICATION BY CLAUSE 1,
ARTICLE 8 OF THE LAW ON PUBLIC INVESTMENT
1. Public projects specified in
point a, clause 1, article 8 of the Law on Public Investment
a) Projects located in special
national sites approved by competent authorities;
b) Projects located in the
vicinity of special national sites within provinces where such special
national site is located, and directly affect such sites under laws on
cultural heritage.
2. Projects located in strategic
positions regarding national security and defense as specified in point b,
clause 1, Article 8 of the Law on Public Investment.
Subprojects or projects granted the Investment Decision by competent authorities and located
in strategic positions regarding national security and defense shall be
classified under point 1, 2, 4 and 5 of this section and Sections II, III,
IV and V of Part A, B and C of this Annex.
3. National confidential projects
approved by competent authorities under Law on National Security as specified
in point c, clause1 of Article 8.
4. Public projects specified inn
point d, clause 1, article 8 of the law on public investment:
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b) Explosives warehouses and plants.
5. Infrastructure
projects for industrial zones and processing export zones as specified in
point Article, clause 1, Article 8 of the Law on Public Investment
Subprojects or projects granted
Investment Decision by competent authorities and located in industrial zones
and processing export zones shall be classified under point 1, 2, 3 and 4 of
this section and Sections II, III, IV and V of Part B and C of this Annex.
For
all amount of investment
II
CLASSIFICATION BY CLAUSE 2,
ARTICLE 8 OF THE LAW ON PUBLIC INVETSMENT
1. Public
projects specified in point a, clause 2, article 8 of the Law on Public Investments
a) Overpasses on national
highways and expressways;
b) Railway bridges crossing
express railways and national railways;
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d) International and domestic
airports,
dd) Express railways and national
railways; urban railways; overhead railways; underground railways;
special-purpose railways; provincial railways and substations;
e) Road tunnels, railway tunnels,
pedestrian tunnels and subway tunnels;
g) Expressways and national
highways
2. Public projects specified inn
point b, clause 2, article 8 of the law on public investment:
a) Thermal power stations;
b) Hydropower plants; reservoirs
and damps of hydropower plants and pumped-storage hydropower plants
c) Wind power plants (wind
farms);
d) Solar power plants (solar
farms);
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e) Power plants using marine
energy
g) Waste-to energy plants;
h) Biomass power plants
i) Gasification power plants;
k) Other types of power plants;
l) Electrical lines and
substations.
3. Public projects specified in
point c, clause 2, article 8 of the Law on Public Investment:
a) Oil rigs;
b) Gas and oil pipelines and
other oil sucking auxiliary equipment.
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a) Basic chemical plants
including: Plants for production of Ammonia, acid, caustic soda, chlorine of
all kind, soda, pure inorganic substances, welding rods and other types of
chemicals other than those in point 6, Section III, Part A of this Annex;
b) Petrochemical plants;
c) Fertilizer production plants;
d) Cement plants
5. Public projects specified in
point dd, clause 2, article 8 of the Law on Public Investment:
a) Non-ferrous metallurgical plants;
b) Steel mills
c) Mechanical factories;
d) Mechanical factories for
manufacturing of complete equipment and agricultural machinery;
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6. Public projects specified in
point e, clause 2, article 8 of the Law on Public Investment:
a) Plants for production of
mining chemical raw materials (Apatite sifting plants);
b) Coal preparation plants;
c) Ore enrichment plants and ore
preparation plants;
d) Alumina refineries;
dd) Mines for extraction of
building materials;
e) Coal/ore mining projects;
g) Plants and projects for mining
and processing other types of minerals.
7. Public projects specified in
point g, clause 2, article 8 of the Law on Public Investment:
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b) Condo complexes.
At
least 2,300 billion dong
III
CLASSIFICATION BY CLAUSE 3,
ARTICLE 8 OF THE LAW ON PUBLIC INVETSMENT
1. Public projects specified in
point a, clause 3, article 8 of the Law on Public Investments:
a) Carriageways, municipal roads
(expressways, streets, collector roads), rural roads and ferries;
b) Overpasses, footbridges;
railway bridges and floating terminals;
c) Waterways on rivers, lakes,
bays and routes to island, canals;
d) Navigational channels at
estuaries, open bay gates, on the sea
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e) Sea marks
g) Lighthouses;
h) Transport infrastructures
other than those in point a, section II, Part A of this Annex.
2. Public projects specified in
point b, clause 3, article 8 of the Law on Public Investment:
a) Projects for construction of
dikes at rivers, seas, estuaries, and special-purpose dikes;
b)Regulation works including
seawalls, embankments, etc, at estuaries, coastal and rivers;
c) Reservoirs and detention
basins;
d) River dredging projects;
pipeline systems;
d) Pumping stations, wells, water
purification and treatment plants;
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g) Projects for raw water supply;
h) Sewer systems or dams;
i) Auxiliary infrastructures for
managing and operating irrigation works;
3. Public projects specified inn
point c, clause 3, article 8 of the Law on Public Investment:
a) Water plants, clean water
treatment projects, water storage tanks other than those in point dd, clause
2 of this Section;
b) Pumping stations (for both raw
water and clean water), Storm water pump stations other than those in point
dd, clause 2 of this section;
c) Water pipelines (for raw water
and clean water), storm water pipelines and combined sewer systems
d) Wastewater treatment projects
other than centralized wastewater treatment in economic zones, industrial
zones and industrial clutches;
dd) Wastewater drainage systems;
wastewater pumping stations;
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g) Waste treatment plants
including transshipment stations landfills, incineration plants, waste
processing plants; solid waste treatment areas;
h) Community lighting projects;
i) Green parks;
k) Cemeteries
l) Underground and aboveground
parking lots;
m) Cable ducts, utility tunnels
and technical tunnels;
n) Projects for procurement of
non-secret specialized equipment for State administrative agencies, national
security and defense agencies
4. Public projects of
manufacturing electric generators, electric engines, transformers and accumulators
as specified in point Article, clause 3, Article 8 of the Law on Public
Investment:
5. Public projects specified in
point dd, clause 3, article 8 of the Law on Public Investment:
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b) Informatic and electronic
component factories.
6. Public projects specified in
point e, clause 3, article 8 of the Law on Public Investment:
a) Detergent manufacturing
plants;
b) Cosmetics production plants;
c) Microbiological
pharmaceuticals and medicine manufacturing plants.
7. Public projects specified in
point g, clause 3, article 8 of the Law on Public Investment:
a) Plastic product plants;
b) Battery factories;
c) Accumulator production
facilities;
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dd) Plants for manufacturing
tyres, conveyors, and technical rubber
e) Material production projects
other than those in point 4, section II, Part A of this Annex.
8. Public projects specified in
point h, clause 3, article 8 of the Law on Public Investment:
a) Motorcycle assembly plants;
b) Plants for manufacturing of
automotive/motorcycle/bicycle components;
c) Mechanical projects other
than those in point 5, sections II, Part A of this Annex.
9. Public projects specified in
point i, clause 3, article 8 of the Law on Public Investment:
a) Telecommunication antenna
masts;
b) Telecommunication cable tanks,
poles and cables;
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d) Telecommunication equipment
investment projects.
At
least 1,500 billion dong
IV
CLASSIFICATION BY CLAUSE 4,
ARTICLE 8 OF THE LAW ON PUBLIC INVESTMENT
1. Public projects specified in
point a, clause 4, article 8 of the Law on Public Investment:
a) Projects for growing headwater
forests and plants for wave resistance; construction and renovation of
dikes;
b) Projects for protection and
development of forests and silviculture systems;
c) Projects for plant varieties,
domestic animal breeds, forestry plants and aquatic breeds;
d) Infrastructures for production
and development of agriculture, salt industry, forestry and fishery.
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a) Forest protection and development
projects in national parks;
b) projects for protection of wildlife
sanctuaries, marine sanctuaries and inland waters;
c) Wildlife conservation
projects; genetic conservation projects; and wildlife rescue centers;
d) Wildlife parks.
3. Infrastructures projects in
new urban complexes as specified in point c, clause 4, Article 8 of the Law
on Public Investment.
Subprojects or projects granted
Investment Decision by competent authorities and located in new urban
complexes (other than projects specified in point 3, Section III, Part A of
this Annex) shall be classified according to the classification criteria in
point 1, 2, and 4 of this Section and Section I, II, II and V and part B and
C of this Annex.
4. Public
projects specified in point d, clause 4, article 8 of the Law on Public
Investment:
a) Dairy plants, confectionery
plants; Plants for production of instant noodle, cooking oil or flavor;
beverage plants; rice mills and agricultural and forestry processing plants;
b) Garment factories and textile
factories;
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d) Tanneries and leather goods
factories
dd) Ceramics and glass production
plants;
e) Pulp mills and paper mills;
g) Tobacco factories;
h) Fishery processing plants; and
canned food processing plants;
i) plants for processing wood and
non-timber products;
k) Shipyards and shipbuilding
projects;
l) Industrial projects other than
those in Section I, II and III of this Section.
At
least 1,000 billion dong
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CLASSIFICATION BY CLAUSE 5,
ARTICLE 8 OF THE LAW ON PUBLIC INVETSMENT
1. Public
projects specified in point a, clause 5, article 8 of the Law on Public Investment:
a) Hospitals of all level;
general medical clinics, specialty medical clinics, medical assessment
centers, diagnostic facilities; maternity wards; health stations of communes
and the similar ones; preventive healthcare facilities; functional
rehabilitation centers; forensic institutes; forensic psychiatric institutes
of all levels; and other types of healthcare facilities.
b) Sanitaria, functional
rehabilitation centers, orthopedic centers, and nursing homes;
c) Convention centers, theaters,
cultural houses, clubs, cinema, circuses and dance halls;
d) Museums, libraries, exhibition
centers and galleries and the like;
dd) Relics, religious facilities,
and outdoor monuments;
e) Classroom, lecture halls, libraries,
offices, official houses, functional and auxiliary works, and teaching
equipment;
g) Dorms
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a)Projects for investment in science
and technology institutes
b) Laboratories;
c) Analysis, testing and
inspection centers
d) Dedicated rooms in the field
of natural science and engineering; technology application and transfer
centers;
dd) Projects for investment in
Standards-Metrology-Quality facilities;
e) Practice facilities;
g) Hi-Tech park infrastructure
projects; and hi-tech agricultural zones;
h) Hydro-meteorological
monitoring networks; environmental monitoring networks, water resources
monitoring networks, geodetic projects, and projects for land and minerals
management;
i) IT infrastructure projects
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l) Electronic commerce and
transaction infrastructure projects;
m) Television/radio broadcasting
towers and base transceiver stations;
n) Television projects and radio
projects
3. Public projects specified inn
point c, clause 5, article 8 of the Law on Public Investment:
a) Petroleum warehouses;
b) Liquefied petroleum gas
warehouses;
c) Refrigerated warehouses;
d) National reserves storage
warehouses;
dd) Special-purpose warehouses;
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g) Other similar projects.
4. Public projects specified in
point d, clause 5, article 8 of the Law on Public Investment:
a) Museum parks;
b) Cables for transport of
passengers;
c) Projects for investment in resorts
or tourist attractions including; internal roads, embankments, pool dredging
and other infrastructures;
d) Stadia, indoor and outdoor
sport facilities and golf courses.
5. Public projects in point dd,
clause 8, Article 8 of the Law on Public Investment:
a) Shopping malls, supermarkets,
convention and exhibition centers, logistics centers, commerce
infrastructures and service-oriented infrastructures;
b) Versatile homes, guest houses
and hotels;
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d) Housing, villa complexes,
detached houses other than those in point 7, Section II, Part A of this
Annex;
dd) other civil construction
projects.
At
least 800 billion dong
B
GROUP
B
I
Projects specified in Section
II, Part A
At
least 120 billion dong but not exceeding 2,300 billion dong
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Projects specified in Section
III, Part A
At
least 80 billion dong but not exceeding 1,500 billion dong
III.
Projects specified in Section IV,
Part A
At
least 60 billion dong but not exceeding 1,000 billion dong
IV
Projects specified in Section V,
Part A
At
least 45 billion dong but not exceeding 800 billion dong
C
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I
Projects specified in Section II,
Part A
<
120 billion dong
II
Projects specified in Section
III, Part A
<
80 billion dong
III.
Projects specified in Section V,
Part A
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IV
Projects specified in Section V,
Part A
<
45 billion dong
ANNEX II
PRE-FEASIBILITY
STUDY SAMPLE AND PUBLIC PROJECT/ PROGRAM PROPOSAL SAMPLE
(Issued together with the Decree No.136/2015/NĐ-CP dated December 31, 2015)
Form
01
Application form for public
project/program approval
Form
02
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Form
03
Group-A project pre-feasibility
study report
Form
04
Proposal for investment policies
for group-B and group-C projects
Form
01
[NAME
OF ORGANIZATION AS APPLICANT]
------
THE
SOCIALIST REPUBLIC OF VIETNAM
Independence - Freedom - Happiness
------------
No:
………..
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APPLICATION
For
decision on the investment policy for………….. [name of project/program]
To: [name of the investment policy-making authority]
Pursuant to the Law on Investment
dated June 18, 2014;
Pursuant to [relevant legal basis),
[Name of applicant] hereby requests [name of the investment policy-making
authority] to consider approving [name of the project/program] as follows:
I. PROJECT/PROGRAM DESCRIPTION:
1. Name of project/program:
2. Name of project investor/program
owner:
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4. Location of project/program:
5. Sources of finance:
Including:
- Investments (specify the amount
of each source of finance):
- Non-business capital sources (specify
the amount of each capital source):
6. Project/program progress
schedule:
7. Name of organization executing
the project/program:
8. Other information (if any):
II CONTENTS OF GROUP-A PROJECT
PRE-FEASIBILITY STUDY, PROPOSALS FOR PROJECT/PROGRAM INVESTMENT POLICIES
- The preparation for the group-A
project pre-feasibility study report or proposals for investment policies for
projects/programs.
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- Assessment of the investment
policy proposal, sources of finance and capital allocation plan.
- Other contents (if any).
III ENCLOSED DOCUMENTS
1. The program/project progress
assessment report (where the project/program is in transition from one stage to
another stage).
2. The pre-feasibility study report
(for group-A projects); or investment policy proposals (for group-B and group-C
projects) under the Law on Public Investment and Article 19 of this Decree.
3. The internal inspection report.
4. The report on assessment of
financial capacity and capital allocation of the competent authority.
5. The project/program assessment
report of the Assessment council or assessing authority
6. Decisions on emergencies under
the Ordinance on Emergencies, Flood Prevention, Law on Dikes and other relevant
laws, Decisions on emergencies in respect of national security and defense (for
emergency projects);
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[Name of applicant] hereby requests
[name of investment policy-making authority] to consider approving the [name of
project/program], phase [specify project/program phase]. /.
FOR
APPLICANT
(Signature, full name, title and seal)
Representative’s full name
Form
02
[NAME
THE PROGRAM OWNER]
----------
THE
SOCIALIST REPUBLIC OF VIETNAM
Independence - Freedom - Happiness
------------
No:
………. ………..
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PROPOSAL
for the investment policy for ……………….. [name of program]
To: [Name
of investment policy-making authority]
Pursuant to the Law on Public Investment
dated June 18, 2014;
Pursuant to [relevant legal basis),
[Name of applicant] hereby requests [name of the investment policy-making
authority] to consider approving [name of the program] as follows:
[Name of applicant] hereby submits
the proposal for investment policy for [name of program] to the [name of the investment
policy-making authority] as follows:
PROGRAM DESCRIPTION:
1. Name of program:
2. Owner of program:
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4. Location of program:
5. Sources of finance:
Including:
- Investments (specify the amount
of each source of finance):
- Non-business capital sources
(specify the amount of each capital source):
6. Program duration:
7. Name of organization executing
the program:
8. Other information (if any):
II PROPGRAM PRIMARY CONTENTS:
1. The necessity of the program for
the achievement of socio-economic development objectives, plans and strategies;
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3. Expected total investment and
resources for the program including projects, beneficiaries, capital allocation,
financial and resources mobilization;
4. The progress schedule according
to the reality and resources mobilization capacity;
5. Estimation of expenses incurring
from the execution and operating costs after the completion;
6. Primary analysis and assessment
of social and environmental impact, as well as socio-economic effectiveness;
7. Components of the project and
program missions under regulations of laws;
8. Plans for carrying out the
program
[Name of applicant] hereby requests
[name of the investment policy-making authority] to consider approving the
[name of program], phase [specify program phase]. /.
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Form
03
[NAME
OF ORGANIZATION AS APPLICANT]
-----
THE
SOCIALIST REPUBLIC OF VIETNAM
Independence - Freedom - Happiness
------------
No:
………. ………..
…………..……….
[Location and date]……….
PRE-FEASIBILITY
STUDTY OF [name of the project]
To: [Investment
policy-making authority]
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Pursuant to [relevant legal basis),
[Name of applicant] hereby requests [name of the investment policy-making
authority] to consider approving the pre-feasibility study of [name of the
project] as follows:
I.PROJECT DESCIPTION
1. Name of project:
2. Investment decision-making authority:
3. Name of investor (if any):
4. Location of project:
5. Estimated investments (specify
the amount of each source of finance, investment phase)
6. Project duration:
7. Other information (if any):
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1. The pre-feasibility study report
(for group-A construction projects) under the Law on Public Investment, this
Decree and Law on Construction.
2. The
pre-feasibility study report (for group-A construction projects) which includes
contents stipulated in clause 2, Article 35 under the Law on Public Investment
and this Decree.
[Name of applicant] hereby requests
[Name of Investment decision-making authority] to consider approving [Name of
project]. /.
FOR
APPLICANT
(Signature, full name, title and seal)
Representative’s full name
Form
04
[NAME
OF ORGANIZATION AS APPLICANT]
-----
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No:
………. ………..
…………..……….
[Location and date]……….
PROPOSAL
for investment policy for [name of program]
To: [Name
of investment policy-making authority]
Pursuant to the Law on Public
Investment dated June 18, 2014;
Pursuant to [relevant legal basis),
[Name of applicant] hereby requests [name of the investment policy-making
authority] to consider approving [name of the project] as follows:
I.PROJECT DESCIPTION
1. Name of project:
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3. The investment decision–making
authority:
4. Name of investor (if any):
5. Location of project:
6. Estimated investments (specify the
amount of each source of finance and investment phases)
7. Project duration:
8. Other information (if any):
II PROJECT PRIMARY CONTENTS
1. The primary contents of the investment
policy proposal (for group-B/ group-C projects) shall conform to Article 36 of
the law on Public Investment.
2. The investment policy proposal
for group-B/ group-C emergency projects shall include all contents under
Article 36 of the Law on Public Investment and clause 4, Article 19 of this
Decree.
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FOR
APPLICANT
(Signature, full name, title and seal)
Representative’s full name
ANNEX III
APPLICATION
FORM FOR ASSESSMENT AND APPROVAL FOR PUBLIC PROJECTS/PROGRAMS
(Issued together with the Decree No.136/2015/NĐ-CP dated December 31, 2015)
Form
01
Application form for assessment
of pre-feasibility study reports or proposals for project investment policies
Form
02
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Form
03
Report on assessment of program
investment policy proposals
Form
04
Pre-feasibility study assessment
report/ Report on assessment of proposals for project investment policies
Form
05
Report on assessment of financial
capacity and capital allocation (for group-A projects/programs )
Form
06
Report on assessment of financial
capacity and capital allocation (for group-B and group –C projects/programs
)
Form
07
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Form
08
Decision on public project
investment policies
Form
01
[NAME
OF ORGANIZATION AS APPLICANT]
----
THE
SOCIALIST REPUBLIC OF VIETNAM
Independence - Freedom - Happiness
------------
No:
………. ………..
…………..……….
[Location and date]……….
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for
assessment of pre-feasibility study / investment policy proposal of [name of
the project]
To:
(name of authority presiding the assessment (hereinafter referred to as
“presiding authority”))
Pursuant to the Law on Public Investment
dated June 18, 2014;
Pursuant to [relevant legal basis),
[Name of applicant] hereby requests [name of the presiding authority] to
consider approving the pre-feasibility study of /investment policy proposal for
[name of the project] as follows:
I.PROJECT DESCIPTION
1. Name of project:
2. Project group:
3. Investment policy-making
authority:
4. Investment decision-making
authority:
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6. Location of project:
7. Estimated investments (specify the
amount of sources of finance and investment phases)
8. Assessed sources of finance:
9. Sector/field funded with
assessed sources of finance:
10. Project schedule (progress schedule
and investment phases):
11. Form of investment:
12. Other information (if any):
II ENCLOSED DOCUMENTS
The enclosed documents are
specified in Article 20 of this Decree.
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FOR
APPLICANT
(Signature, full name, title and seal)
Representative’s full name
Form
02
[NAME
OF ORGANIZATION AS APPLICANT]
----
THE
SOCIALIST REPUBLIC OF VIETNAM
Independence - Freedom - Happiness
------------
No:
………. ………..
…………..……….
[Location and date]……….
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APPLICATION
FORM
for
assessment of financial capacity and capital allocation of [name of project]
To:
[name of authority presiding over the assessment, (hereinafter referred to as
“presiding authority”)]
Pursuant to the Law on Public
Investment dated June 18, 2014;
Pursuant to [relevant legal basis),
[Name of applicant] hereby requests [name of the presiding authority] to assess
the financial capacity and capital allocation of [name of the project] as
follows:
I.PROJECT DESCIPTION
1. Name of project:
2. Project group:
3. Investment policy
decision-making authority:
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5. Name of investor (if any):
6. Location of project:
7. Estimated investments (specify the
amount of each source of finance and investment phases).
8. Assessed sources of
finance:
9. Sector/field funded with
assessed sources of finance:
10. Duration (progress schedule and
investment phases):
11. Form of investment:
12. Other information (if any):
II ENCLOSED DOCUMENTS
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2. Emergency order of the competent
authority (for emergency projects).
[Name of applicant] hereby requests
[name of the presiding authority] to assess the financial capacity and capital
allocation of [name of the project]. /.
FOR
APPLICANT
(Signature, full name, title and seal)
Representative’s full name
Form
03
NAME
OF ASSESSING AUTHORITY
-----
THE
SOCIALIST REPUBLIC OF VIETNAM
Independence - Freedom - Happiness
------------
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…………..……….
[Location and date]……….
REPORT
on
assessment of the investment policy proposal for [name of program]
To:
(name of assessing authority)
Pursuant to the Decision No……. on
establishment of the Assessment Council dated ……………by……….. [Name of the
authority competent to establish the Assessment Council); [Name of the
assessing authority] or the Assessment Council hereby produces the assessment
results as follows:
Part I
ASSESSMENT
DOCUMENTS AND ASSESSING AUTHORITY
I. ASSESSMENT DOCUMENTS
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2. The investment policy proposal
under the Law on Public Investment and provisions of this Decree.
3. The internal inspection report
of [name of the program owner].
4. The program progress report (for
programs in transition from one stage to another).
5. The report on assessment of
financial capacity and capital allocation plan of [name of program].
6. Other relevant documents (if
any).
II LEGAL BASIS
1. The Law on Public Investment.
2. Guidance on the Law on Public
Investment.
3. Other relevant documents (if
any).
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1. Presiding authority:
2. Cooperating authorities:
3. Members of Assessment Council:
4. Methods of assessment: By
meeting or questionnaire survey or both of them (where necessary).
Part II
RECOMENDATION
I. PROGRAM DESCRIPTION AND
PROPOSALS BY OWNER OF THE PROGRAM
1. Name of program:
2. Owner of program:
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4. Location of program:
5. Sources of finance:
Including:
- Investments (specify the amount
of each source of finance):
- Non-business capital sources
(specify the amount of each capital source):
6. Program duration:
7. Name of organization executing
the program:
8. Other information (if any):
II PROPOSALS OF COOPERATING
AGENCIES/ ASSESSMENT COUNCIL MEMBERS
Proposals of cooperating authorities/
Assessment Council members under the Law on Public Investment and Government’s
Decrees.
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The investment policy shall be
assessed in accordance with the Law on Public Investment and Article 23 of this
Decree.
3. Other
proposals (if any).
………………………………………
(The assessing
authority/Assessment Council has the right to adjust the assessed elements in
accordance with the Law on Public Investment and the guidance of the Prime
Minister and Ministry of Planning and Investment.)
IV CONCLUSION
[Name of program] is/ is not
eligible for being granted the investment policy.
[Name of the assessing authority/Assessment
Council) hereby requests the program owner [name of program owner] to report
adjustments (where necessary) or the investment policy to competent authorities.
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Form
04
NAME
OF ASSESSING AUTHORITY
-----
THE
SOCIALIST REPUBLIC OF VIETNAM
Independence - Freedom - Happiness
------------
No:
………. ………..
…………..……….
[Location and date]……….
REPORT
On
assessment of pre-feasibility study (for Group-A projects)/ investment policy
proposals (for Group-B and Group-C projects)
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The [Name of the assessing
authority], after the receipt of the Application No………for approval for
pre-feasibility study of/ investment policy proposal for [name of project], and
the assessment results of relevant authorities, hereby presents the assessment
result of the pre-feasibility study/ investment policy proposal as follows:
Part I
ASSESSMENT
DOCUMENTS AND ASSESSING AUTHORITY
I. ASSESSMENT DOCUMENTS
1. The pre-feasibility study or
project investment policy proposal under the Law on Public Investment *
2. The internal inspection report
of the project management organization.
3. The report on assessment of
financial capacity and capital allocation plan under the Article 38 of the Law
on Public Investment.
4. Proposals of the People’s
Council or Standing People’s Councils at all levels (for those assessed by the
Ministry of Planning and Investment, and Ministry of Finance).
5. Other relevant documents (if
any).
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1. The Law on Public Investment.
2. Written guidance on the
implementation of the Law on Public Investment.
3. Other relevant documents (if
any).
III ASSESSING AUTHORITIES
1. Presiding authority:
2. Cooperating authorities:
3. Methods of assessment: By
meeting or questionnaire survey or both of them (where necessary).
Part II
PROPOSALS
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1. Name of project:
2. Project group:
3. Investment
policy- making authority:
4. Investment decision-making
authority:
5. Name of
investor (if any):
6. Location of
project:
7. Estimated
investments (specify the amount of each source of finance and investment phases).
8. Assessed
sources of finance:
9. Sector/field
funded with assessed sources of finance:
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11. Form of investment:
12. Other information (if any):
II PROPOSALS OF COOPERATING AUTHORITIES
All
proposals of cooperating authorities shall be aggregated in accordance with the
Law on Public Investment and Government’s Decrees.
III PROPOSALS OF THE ASSESSING
AUTHORITY
The investment policy shall be
assessed in accordance with the Law on Public Investment and Government’s
Decrees.
The assessment shall focus on
elements stipulated in Article 24 of the Decree.
Other proposals (if any).
……………………………………………….
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IV CONCLUSION
[Name of program] is/ is not
eligible for being granted the Investment policy.
The [name of applicant] shall
request the competent authority to make adjustments (where necessary) or grant
the investment policy (if the investment policy is approved).
FOR
ASSESSING AUTHORITY
(Signature, full name, title and seal)
Representative’s full name
Form
05
NAME
OF ASSESSING AUTHORITY
-----
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No:
………. ………..
…………..……….
[Location and date]……….
REPORT
On
assessment of financial capacity and capital allocation plans (for group-A
projects)
To: [The
Assessment Council/ presiding authority]
Pursuant to the Decision No……..on
the establishment of the Assessment Council for…………[name of the
project/program) dated……………..by [name of authority establishing the Assessment
Council) and application No………for assessment of financial capacity and capital
allocation plan submitted by [name of applicant] on…………, the [name of
assessing authority] hereby presents the assessment results as follows:
Part I
ASSESSMENT
DOCUMENTS AND ASSESSING AUTHORITY
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
1. The pre-feasibility study or investment
policy proposal under the Law on Public Investment*.
2. The internal inspection report
of [owner of the program/ project management organization].
3. The report on assessment
financial capacity and capital allocation plan under the Article 38 of the Law
on Public Investment.
4. Proposals of the People’s
Council or Standing People’s Councils at all levels (for those assessed by the
Ministry of Planning and Investment, and Ministry of Finance).
5. Other relevant documents (if
any).
II LEGAL BASIS
1. The Law on Public Investment.
2. Documents providing guidance on
the implementation of the Law on Public Investment.
3. Other relevant documents (if
any).
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
1. Presiding authority:
2. Cooperating authorities:
3. Methods of assessment: By
meeting or questionnaire survey or both of them (where necessary).
Part II
PROPOSALS
I. PROJECT/PROGRAM DESCRIPTION
AND PROPOSALS OF THE ASSESSING AUTHORITY/ASSESSMENT COUNCIL
1. Name of project/program:
2. Project group:
3. Investment policy-making
authority:
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5. Name of investor (if any):
6. Location of project/program:
7. Investment (specify the amount
each source of finance and investment phases).
8. Assessed sources of finance:
9. Sector/field funded with
assessed sources of finance:
10. Project/program schedule (progress
schedule and investment phases):
11. Form of investment:
12. Other information (if any):
II PROPOSALS OF COOPERATING AUTHORITIES
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III PROPOSALS OF ASSESSING
AUTHORITY
The financial assessment shall be made
in accordance with the Law on Public Investment and Government’s Decree.
The proposals shall focus on
assessment elements stipulated in Article 25 of this Decree and shall specify
the following aspects:
1. For sources of finance: the
proportion of the project/program to the invested capital; the project
objectives, beneficiaries and field/sector of the program/project.
2. For capital allocation plans:
the capital mobilization capacity
3. For funding: the amount of
funding for the program/plan and schedule of disbursement
(The assessing
authority/Assessment Council has the right to adjust the assessed elements
(where necessary) in accordance with the Law on Public Investment and the
guidance of the Prime Minister and Ministry of Planning and Investment.
IV CONCLUSION
It is feasible/ infeasible to reach
the balance between the financial capacity and capital allocation of the [name
of project/program]. The applicant shall submit the complete capital structure
to the investment policy-making authority.
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
FOR
ASSESSING AUTHORITY
(Signature, full name, title and seal)
Representative’s full name
Form
06
NAME
OF ASSESSING AUTHORITY
-----
THE
SOCIALIST REPUBLIC OF VIETNAM
Independence - Freedom - Happiness
------------
No:
………. ………..
…………..……….
[Location and date]……….
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REPORT
on
assessment of financial capacity and capital allocation plans (for group-B and
group–C projects)
To:
(Name of the Assessing Authority)
Pursuant to the application for assessment
of sources of finance and capital allocation No……….submitted by [Name of
applicant] on………, the assessing authority [name of assessing authority] hereby
presents the assessment results of financial capacity and capital allocation
plan as follows:
Part I
ASSESSMENT
DOCUMENTS AND ASSESSING AUTHORITY
I. ASSESSMENT DOCUMENTS
1. The investment policy proposal
under the Law on Public Investment.
2. The internal inspection report
of the project management organization.
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
4. Proposals of the People’s
Council or Standing People’s Councils at all levels (for those assessed by the
Ministry of Planning and Investment, and Ministry of Finance).
5. Other
relevant documents (if any).
II LEGAL BASIS
1. The Law on Public Investment.
2. Documents providing guidance on
the implementation of the Law on Public Investment.
3. Other relevant documents (if
any).
III ASSESSING AUTHORITIES
1. Presiding authority:
2. Cooperating authorities:
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Part II
PROPOSALS
I. PROJECT DESCRIPTION AND
PROPOSAL OF THE ASSESSING AUTHORITY/ASSESSMENT COUNCIL
1. Name of project:
2. Project group:
3. Investment policy-making
authority:
4. Project investment decision-making
authority:
5. Name of investor (if any):
6. Location of project:
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
8. Assessed sources of finance:
9. Sector/field
funded with assessed sources of finance:
10. Project
schedule (progress schedule and investment phase):
11. Form of investment:
12. Other information (if any):
II PROPOSALS OF COOPERATING AUTHORITIES
All proposals of cooperating authorities
shall be aggregated in accordance with the Law on Public Investment and Government’s
Decrees.
III PROPOSALS OF THE ASSESSING
AUTHORITY
The assessment of sources of
finance and capital allocation plan shall be made in accordance with the Law on
Public Investment and Government’s Decrees.
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
1. For sources of finance: the
proportion of the project/program to the invested capital; the project objectives;
beneficiaries and field/sector of the project.
2. For capital allocation: the
capital mobilization capacity
3. For funding: the amount of
funding each respective project and schedule of disbursement
(The assessing authority/Assessment
Council has the right to adjust the assessed elements (where necessary) in
accordance with the Law on Public Investment and the guidance of the Prime
Minister and the Ministry of Planning and Investment.
IV CONCLUSION
It is feasible/ infeasible to reach
the balance between the financial capacity and capital allocation of the [name
of project]. The applicant shall submit the complete capital structure to the investment
policy-making authority.
The [name of applicant] shall
request the competent authority to make adjustments (where necessary) or grant
the Investment policy (if the investment policy proposal is approved). /.
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orm
07
[NAME
OF THE INVESTMENT POLICY-MAKING AUTHORITY
-------]
THE
SOCIALIST REPUBLIC OF VIETNAM
Independence - Freedom - Happiness
------------
No:
………. ……………
…………..……….
[Location and date]……….
DECISION
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Pursuant to the Law on Public
Investment;
Pursuant to the guidance on the
implementation of the Law on Public Investment;
Other relevant documents (if
any);
At requests of the [name of owner
of the program]/ Assessment Council, the [name of the investment policy-making
authority] hereby decides as follows:
Article 1. Approval for the
investment policy of [name of program
1. Program objectives:
2. Contents of program:
3. Investment: (specify the amount
of each source of finance).
4. Owner of program:
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6. Duration of the program:
7. Plans for the program execution:
8. Other contents (if any).
Article 2. Implementation
organizations
1. The owner of the program shall:
a) Take charge of and cooperate
with relevant agencies to submit the pre-feasibility study of [name of program]
to the Investment decision-making authority under the Law on Public Investment;
b) Other contents (if any).
2. Responsibilities of relevant
authorities (if any).
Article 3. Implementation
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2. [name of authority] shall
inspect and supervise the implementation of this Decision and submit reports to
the [name of Investment decision-making authority under regulations of laws. /.
FOR
DECISION-MAKING AUTHORITY
(Signature, full name, title and seal)
Representative’s full name
Form
08
[NAME
OF INVESTMENT POLICY-MAKING AUTHORITY]
-------
THE
SOCIALIST REPUBLIC OF VIETNAM
Independence - Freedom - Happiness
------------
No:
………. ……………
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DECISION
*
On
investment policy for………………. [name of project]
Pursuant to the Law on Public
Investment;
Pursuant to the guidance on the
implementation of the Law on Public Investment;
Other relevant documents (if
any);
At requests of the [name of
project management organization/ Assessment Council, the [name of Investment
policy-making authority] hereby decides as follows:
Article 1.Approval for the
investment policy for [name of project] by project management organization
1. Project objectives:
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3. Project group:
4. Total investment:
5. Sources of finance (specify the
amount of each source of finance):
6. Location of project:
7. Duration of project:
8. Project progress:
9. Other contents (if any).
Article 2. Implementation
organizations
1. The [name of project management
organization] shall:
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b) Other contents (if any).
2. Responsibilities of relevant
authorities (if any).
Article 3. Implementation
1. The [Name of the project management
organization] and relevant authorities shall be responsible for the
implementation of this Decision.
2. The [Name of inspecting/supervising
authority] shall inspect and supervise the implementation of this Decision and submit
reports to [name of Investment policy-making authority] under regulations of
laws. /.
FOR
DECISION-MAKING AUTHORITY
(Signature, full name, title and seal)
Representative’s full name
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* Pre-feasibility
study report of group-A projects; report on investment policy proposals for
group-B and group-C projects.
*
Pre-feasibility study report of group-A projects; report on proposals for
program investment policies.
* Where the Standing People’s Council is
authorized to make decisions on investment policies for group-B projects and
group-C key projects, the Standing People’s Council shall grant the Decision on
Investment policy under the form of an official dispatch which includes similar
contents to that using in this form but shall not be made into clauses.