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THE
MINISTRY OF PLANNING AND INVESTMENT
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SOCIALIST
REPUBLIC OF VIETNAM
Independence
- Freedom - Happiness
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No.
04/2007/TT-BKH
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Ha
Noi, July 30, 2007
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CIRCULAR
GUIDING THE IMPLEMENTATION OF THE REGULATION ON MANAGEMENT AND
USE OF OFFICIAL DEVELOPMENT ASSISTANCE (PROMULGATED TOGETHER WITH THE
GOVERNMENT’S DECREE 131/2006/ND-CP OF NOVEMBER 9, 2006)
Pursuant to the Government’s
Decree 61/2003/ND-CP of June 6, 2003, on the functions, tasks, powers and
organizational structure of the Ministry of Planning and Investment;
Pursuant to Article 3 of the
Government’s Decree 131/2006/ND-CP of November 9, 2006, promulgating the
Regulation on management and use of official development assistance;
The Ministry of Planning and
Investment guides the implementation of the Government’s Decree 131/2006/ND-CP
of November 9, 2006, promulgating the Regulation on management and use of
official development assistance (below referred to as the Regulation for short)
as follows:
Part I
GENERAL PROVISIONS
I. THE SCOPE OF
REGULATION DEFINED AT POINTS B AND C, CLAUSE 2, ARTICLE 1 OF THE REGULATION IS
GUIDED AS FOLLOWS:
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2. Donors’ loans under
concessional conditions on interest rates, grace periods and repayment
durations which fail to ensure the non-refundable element stated at Points b
and c, Clause 2, Article 1 of the Regulation will fall under the scope of regulation
of this Regulation if:
a/ Loans within the framework of
official development assistance between the Government of Vietnam and donors
(national programs, credit lines and other financial supports).
b/ The use of these loans complies
with the requirements on donors’ and Vietnam’s process and procedures similar
to those applicable to concessional loans defined at Points b and c, Clause 2,
Article 1 of the Regulation.
For other cases, if donors’ loans
fail to satisfy the conditions specified at Points a and b above, the Ministry
of Planning and Investment shall consult the OECD-DAC on the application of the
Regulation to these loans.
II. TERMS
MENTIONED IN CLAUSES 4, 6, 9, 10, 11, 15 AND 16, ARTICLE 4 OF THE REGULATION
ARE CLARIFIED AS FOLLOWS:
1. Programs or projects include:
a/ Programs or projects with one
or more than one component in one or more than one domain but under the
management of only one agency.
b/ Programs or projects with many
component projects which are participated in by many managing agencies,
including one managing agency holding the coordinating role and other agencies
managing component projects. In this case, programs or projects are referred to
as umbrella programs or projects. The managing agency holding the coordinating
role is referred to as umbrella program- or project-managing agency.
2. Regional programs or projects
are programs or projects that finance a group of countries within a certain
geographical area to cooperate in implementing activities in a specific domain
so as to achieve specified objectives in their common interests.
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4. Program- or branch-based
approach: Donors base themselves on the development program, planning or plan
of a branch or domain, which has been approved by a competent Vietnamese
agency, to provide additional resources to ensure that the program is implemented
in a coordinated, sustainable and effective manner.
In some cases, program- or
branch-based approach may be attached with some conditions agreed upon between
donors and Vietnam in order to encourage the implementation of some development
policies.
When policy conditions set by a
donor fall beyond their deciding competence, managing agencies shall submit
them to the Prime Minister for consideration and decision.
Program- or branch-based approach
may be implemented through the following forms of funding:
a/ Budget support: Donors
additionally provide ODA capital directly for the state budget, central budget
or budgets of provinces, cities or districts to support the attainment of
socio-economic development objectives in a plan period, comply with the budget
law and regulations of Vietnam on budgeting; budget implementation;
supervision, monitoring and evaluation of the process of budget implementation.
Budget support includes:
- General budget support (GBS):
One donor or a group of donors provides ODA capital for the central budget,
local budgets or a branch’s budget.
- Target budget support (TBS): One
donor or a group of donors provides ODA capital for the budget of a specific
target program.
b/ Pooling fund: One donor or a group
of donors agrees to contribute ODA capital to a common fund to finance the
implementation of a specific program or domain.
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d/ Sector loan: A donor provides
ODA loans for the implementation of projects in order to support the
development of a branch or domain with many different beneficiary units and on
a large area. Sector loans are a type of umbrella program or project.
Part II
ODA MOBILIZATION
AND PREPARATION OF ODA-CALLING LISTS
I.
COORDINATION IN ODA MOBILIZATION STIPULATED IN ARTICLE 6 OF THE REGULATION IS
GUIDED AS FOLLOWS:
1. The Ministry of Planning and
Investment shall assume the prime responsibility for, and coordinate with
concerned Vietnamese agencies, the World Bank and other donors in, preparing
agendas for and organizing CG conferences for Vietnam, including informal
mid-term CG conferences and formal annual CG conferences; and assume the prime
responsibility for Vietnam’s participation in international forums on ODA for
Vietnam.
Within 10 working days from the
closing date of a conference or forum, the Ministry of Planning and Investment
shall send a report to the Prime Minister on the results of the conference or
forum and publicize its outcomes and documents on the Ministry’s website and
the mass media.
2. If managing agencies intend to
mobilize ODA on the occasion of high-ranking Party and State visits or negotiations,
they shall coordinate with the Ministry of Planning and Investment in
suggesting ODA mobilization contents before submitting them to the Prime
Minister for consideration and decision on their inclusion in the working or
negotiation agendas with other countries and donors.
3. Ministerial-level agencies,
branches and provincial-level People’s Committees shall assume the prime
responsibility for organizing ODA mobilization meetings for their respective
branches, domains or localities in accordance with current regulations on
organization of international conferences and seminars.
In the course of preparing and
organizing ODA mobilization conferences for their respective branches, domains
or localities, organizing agencies at different levels shall work with the
Ministry of Planning and Investment on relevant issues such as guidelines and
policies on ODA mobilization for branches, domains or localities; share
necessary information on funding sources and conditions as well as funding
process and procedures so as to ensure that ODA mobilization activities are in
line with general guidelines and polices, practical and highly effective.
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4. When wishing to organize an
inter-branch, inter-regional or inter-local ODA mobilization conference or
receiving a joint proposal of provinces and cities in a region, several regions
or localities, the Ministry of Planning and Investment or another agency as
decided by the Prime Minister shall assume the prime responsibility for
organizing a regional, inter-regional or inter-local conference in accordance
with current regulations on organization of international conferences and
seminars.
Within 10 working days from the
closing date of a conference, the Ministry of Planning and Investment or the
organizing agency shall send a report on the outcomes of the conference to the
Prime Minister and also to the provinces and cities participating in the
conference and concerned agencies and branches. These reports shall be
publicized on the websites of the Ministry of Planning and Investment and the
mass media.
5. For the purpose of ODA
mobilization work, the Ministry of Foreign Affairs or an overseas diplomatic
mission of the Socialist Republic of Vietnam may request the Ministry of
Planning and Investment to supply necessary information and documents on
development cooperation in Vietnam and relevant donors; guidelines and policies
of the Party and State on ODA attraction and use.
II. THE ORDER
OF FORMULATION OF ODA-CALLING LISTS STIPULATED IN CLAUSES 2 AND 3, ARTICLE 7 OF
THE REGULATION IS GUIDED AS FOLLOWS:
1. Step 1: Preparing for the
formulation of ODA-calling lists with respect to each donor
Managing agencies and units seeking
for ODA shall prepare and study the following relevant documents:
a/ Development plannings and plans
of the State, branches, domains and localities; public investment programs;
national target programs and branches’ and localities’ target programs; general
documents on ODA; the strategic orientation on borrowing and repayment of
foreign loans and the orientation on attraction and use of official development
assistance in each period; and the system of use criteria for making a general
list of ODA-calling projects;
b/ Information and documents on
donors publicized by donors (donors’ financing policies and programs; donors’
financing programs and priority areas for Vietnam; and financing process and
procedures). Such information and documents are available on the websites of
the embassies or aid agencies and publications distributed by these agencies.
Interested Vietnamese organizations and units may directly request the
embassies or donors’ aid agencies in Vietnam to supply these documents;
c/ Information on the website of
the Ministry of Planning and Investment covers ODA capital commitments,
financing conditions and procedures; reports on results of negotiations on
development cooperation with relevant donors; and medium-term financing
programs already signed with donors.
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2. Step 2: Formulating detailed
outlines of programs and projects and submitting them to managing agencies
On the basis of the information
mentioned at step 1, units seeking for ODA shall take the initiative in
formulating or shall formulate under the direction and instruction of managing
agencies detailed outlines of programs and projects according to the contents
specified at Point b, Clause 2, Article 7 of the Regulation and the form of
detailed outline of a technical assistance project (Appendix 2a); the form of
detailed outline of ODA-funded investment project (Appendix 2b); the form of
detailed outline of ODA-funded program (Appendix 2c) or the form of detailed
outline of program- or branch-approached ODA support (Appendix 2d) to this
Circular (not printed herein).
For umbrella programs or projects,
managing agencies shall put forward umbrella program or project proposals, and
coordinate with managing agencies expected to participate in umbrella programs
or projects in formulating their detailed outlines under the guidance in
Appendix 2e to this Circular (not printed herein).
3. Step 3: Selecting programs and
projects for inclusion in the ODA calling list
Managing agencies shall consider
and select ODA programs and projects proposed by their attached units on the
following bases:
a/ Proposed programs and projects
must be in the domains prioritized for ODA use stipulated in Article 3 and have
ODA mobilization grounds specified in Article 5 of the Regulation;
b/ Proposed programs and projects
must conform with donors’ policies and capabilities;
c/ Proposed programs’ and
projects’ detailed outlines meet the requirements prescribed in this Circular;
d/ Units proposing ODA programs or
projects are capable of receiving, managing and implementing the programs or
projects and exploiting and using the outcomes of completed programs or
projects, if they are assigned to act as program or project owners.
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Within two months before the
Ministry of Planning and Investment exchanges opinions or negotiates with each
donor, the managing agency shall send to the Ministry of Planning and
Investment a complete and valid dossier, consisting of the managing agency’s
official written request for funding, briefly explaining the bases for
proposing each program or project, enclosed with eight sets of the detailed
outline of each program or project proposed to be funded with ODA in Vietnamese
and English. For an umbrella program or project, the managing agency proposing
the program or project shall also send written agreements of managing agencies
expected to participate in the program or project.
5. Step 5: Synthesizing and
submitting to the Prime Minister an ODA-calling list
After receiving complete and valid
dossier sets of managing agencies proposing the inclusion of programs or
projects in the ODA-calling list, the Ministry of Planning and Investment shall
base itself on the domains prioritized for ODA use specified in Article 3, the
bases for ODA mobilization specified in Article 5 of the Regulation, and the
system of criteria used for drawing up an ODA-calling list specified in this
Circular, collect opinions of state management agencies in charge of ODA and
concerned agencies, and consult donors to draw up a ODA-calling list at the
proposal of managing agencies.
When many localities seek for ODA
in a certain domain but donors’ ODA capital available for this domain is limited,
the Ministry of Planning and Investment may use the criteria system provided in
Appendix 3 to this Circular to select one or some appropriate localities to
participate in programs or projects.
At least one month before
exchanging opinions or negotiating with donors, the Ministry of Planning and
Investment shall submit to the Prime Minister ODA-calling lists with respect to
each donor enclosed with the detailed outline of each program and project. If
opinions remain divergent on the contents of programs and projects, the
Ministry of Planning and Investment shall review all opinions, propose
solutions and report them to the Prime Minister for consideration and decision.
For other cases, the drawing up of
an ODA-calling list is guided as follows:
- For a donor that has no program
on regular provision of ODA for Vietnam or has no schedule on annual or
periodical negotiations on development cooperation programs, managing agencies
and their attached units seeking for ODA from this donor shall take the initiative
in obtaining information and documents on the donor and base themselves on the
guidance in this Circular to prepare detailed outlines for programs or projects
calling for financial assistance. Then, managing agencies shall send to the
Ministry of Planning and Investment written requests for inclusion of programs
or projects in the ODA-calling list, enclosed with the detailed outline of each
program or project as guided at Point 4 of this Section.
Basing itself on each specific
case and the results of exchange of opinions with the donor and the guidance in
this Circular, the Ministry of Planning and Investment shall make and submit to
the Prime Minister an ODA-calling list.
- When a donor proposes and
reaches agreement with a managing agency or its attached unit on financing a
program or project not on the ODA-calling list already approved by the Prime
Minister, the managing agency shall send to the Ministry of Planning and
Investment a written explanation together with the detailed outline of the program
or project already drawn up under the guidance of this Circular. The Ministry
of Planning and Investment shall consult concerned agencies before submitting
to the Prime Minister for permission the additional inclusion of this program
or project in the official financing list.
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- For other arising cases, the
Ministry of Planning and Investment shall report them to the Prime Minister for
consideration and decision.
Within five working days from the
date the Ministry of Planning and Investment submits to the Prime Minister an
ODA-calling list, the Ministry of Planning and Investment shall send official
letters informing the reasons for non-inclusion of programs and projects in the
ODA-calling list to managing agencies.
6. Step 6: Notifying the
ODA-calling list
Within five working days from the
date of receiving the Prime Minister’s decision approving the ODA-calling lists
with respect to each particular donor, the Ministry of Planning and Investment
shall officially notify in the form of notes the donors of the ODA-calling list
enclosed with the detailed outline of each program or project; and at the same
time send official letters notifying managing agencies of programs and projects
disapproved by the Prime Minister.
7. Step 7: Notifying the official
financing list
Within five working days from the
date of receiving the donors’ official documents notifying their acceptance to
provide ODA for programs and projects on the ODA-calling list already approved
by the Prime Minister or according to documents signed with the donors on the
results of annual or periodical negotiations on development cooperation already
approved by the Prime Minister, the Ministry of Planning and Investment shall
notify in writing managing agencies of programs and projects included in the
official financing list and those disapproved by the donors.
Prime Minister decisions approving
the ODA-calling list and Ministry of Planning and Investment notifications on
the official financing list serve as a legal basis for formulating program and
project documents and carrying out other preparatory jobs.
Part III
PREPARATION,
APPRAISAL AND APPROVAL OF CONTENTS OF ODA PROGRAMS AND PROJECTS
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Within five working days from the
date of receiving a written notification of the Ministry of Planning and
Investment on the official financing list, managing agencies shall issue
decisions on program or project owners in accordance with Clause 16, Article 4
and Points a and b, Clause 1, Article 10 of the Regulation.
1. For important national
investment programs and projects falling under the investment-deciding
competence of the Prime Minister stipulated at Point a, Clause 1, Article 19 of
the Regulation, the Prime Minister shall decide on their investors in
investment decisions.
2. For technical assistance
programs and projects falling under the approving competence of the Prime
Minister stipulated at Point b, Clause 1, Article 19 of the Regulation, the
Prime Minister shall decide on their owners in his/her decisions approving
technical assistance programs or projects.
3. For technical assistance
programs and projects falling under the approving competence of managing
agencies stipulated in Clause 2, Article 19 of the Regulation, managing
agencies shall directly manage and direct, or assign their attached units to
act as project owners directly managing and directing, the implementation of
these programs or projects.
4. For investment programs or projects
that are decided by the heads of managing agencies stipulated in Clause 2,
Article 19 of the Regulation, investment decision issuers shall assign units in
charge of managing and using works to act as investors.
If at the time of issuance of an
investment decision the managing agency cannot yet identify a unit in charge of
managing, exploiting or using the work, it shall select a qualified unit to act
as investor. In the course of implementing a program or project, the managing
agency shall identify or set up a unit in charge of managing and using the work
and assign this unit to join the investor in testing and taking over the work
before putting it to operation and use according to current regulations.
If the unit in charge of managing,
operating and using the investment program or project fails to meet all
conditions specified at Point a, Clause 1, Article 10 of the Regulation to act
as investor, the managing agency shall select a qualified unit as investor. The
investor shall appoint a staff of the unit in charge of managing and using the
work to an appropriate position to participate in managing the process of
preparation and implementation of the program or project. At the same time,
this staff shall, together with the investor, join in testing the work before
taking over and putting it to use. If the investor sets up a project management
unit, a deputy head of the unit must be a staff of the unit in charge of
managing and using the work.
If a program or project belongs to
a managing agency and consists of various multi-sector components to be
implemented and benefited from by its attached units, the managing agency shall
select a qualified unit from these units to as a program or project owner. The
program or project owner shall set up a project management unit consisting of
members who come from the units implementing and benefiting from the program’s
or project’s components.
5. For umbrella programs or
projects falling under the approving competence of managing agencies:
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- Managing agencies of component
projects shall issue decisions on owners of component projects.
Within five working days from the
date of issuance of decisions on program or project guidelines, managing
agencies shall officially notify them to the Ministry of Planning and
Investment and relevant donors.
II. PREPARATION
FOR THE COMPILATION OF ODA PROGRAM OR PROJECT DOCUMENTS STIPULATED AT POINT A,
CLAUSE 2, ARTICLE 10 AND IN ARTICLES 13, 14 AND 15 OF THE REGULATION IS GUIDED
AS FOLLOWS:
1. Project owners shall coordinate
with donors and owners of component projects (for umbrella programs or
projects) in organizing the formulation of ODA program or project documents up
to required quality and according to schedule.
2. The structure and contents of
documents of technical assistance projects, ODA-funded programs and umbrella
programs or projects must comply with the forms provided in Appendices 4a, 4b
and 4c to this Circular (not printed herein).
Documents of ODA-funded investment
projects must be formulated according to current regulations on investment and
construction management, taking into account requirements stated in Article 13
of the Regulation.
3. If applying the program- or
branch-based approach, managing agencies shall coordinate with donors and
concerned agencies in formulating appropriate support documents.
III. APPRAISAL
AND APPROVAL OF PROGRAMS AND PROJECTS STIPULATED IN ARTICLES 16, 17, 18 AND 19
OF THE REGULATION ARE GUIDED AS FOLLOWS:
1. Appraisal and approval of
ODA-funded technical assistance projects
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In order to ensure the quality of
appraisal toward sustainability and professionalization, managing agencies
should identify an attached unit specializing in appraising technical
assistance programs and projects.
Pending the identification of a
unit specializing in appraising technical assistance programs and projects,
depending on each specific case and the contents of technical assistance
projects, the managing agency shall appoint an attached unit with relevant
professional capacity to appraise specific technical assistance projects.
Project owners may not appraise
their technical assistance projects.
For technical assistance projects
falling under the approving competence of the Prime Minister, the Prime
Minister shall decide on agencies in charge of appraisal at the proposal of the
Ministry of Planning and Investment.
b/ Contents of appraisal
Appraisal of an ODA-funded
technical assistance project must clarify the following issues:
- Rationality of the project in
terms of:
+ Development objectives compared
with the Government’s priorities, principles and policies of the donor,
compared with the objectives identified in the detailed outline and the
official financing list;
+ Direct objectives, impacts of
the project implementation on the specific development objectives of the
ministry, branch and locality, and the unit implementing and benefiting from
the project;
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+ Each project component, output
products of each component and activities of creating these output products;
+ The budget allocation structure
of the project, consisting of ODA capital and contributed domestic capital set
aside for domestic and foreign consultants, local and overseas training,
equipment and supplies, management expenses and other expenses;
+ Project implementation
indicators.
- Feasibility of the project in
terms of:
+ Input factors (funding,
equipment, experts and other factors) of the whole project;
+ Objectives, outcomes, activities
and input requirements for each activity and method of organization of
implementation;
+ Implementation duration;
+ Mechanisms of management and
organization of implementation (including financial management mechanisms and
coordination mechanisms);
+ Impacts of the project from
direct beneficiaries to indirect beneficiaries;
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+ Measures to monitor, evaluate
and promote the project implementation (tasks and responsibilities of
implementing and coordinating units; mechanism for sharing and updating project
management information; mechanism for project evaluation and reporting
evaluation results; measures to attract beneficiaries’ concern and
participation);
+ The Vietnamese party’s ability
to contribute domestic capital.
- Sustainability of the project in
terms of:
+ Necessary factors that ensure
the impacts of the project upon completion;
+ Commitments or conditions that
may be set by the donor and Vietnamese party to ensure the project’s sustainability.
c/ Appraisal time frame
Within 15 working days from the
date of receipt of complete and valid dossiers as stipulated in Clauses 1 thru
4, Article 17 of the Regulation.
d/ Appraisal process
- Step 1: Assessing the validity
of the dossier for appraisal
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+ Comparing and matching the
contents of the project document with six contents of the Prime Minister’s
decision approving the ODA-calling list stipulated in Article 8 of the
Regulation;
+ If the project document contains
changes compared with the contents of the Prime Minister’s decision approving
the ODA-calling list in the project title and donor; managing agency; project
objectives and outcomes; project implementation duration; increase or change of
type of ODA capital (non-refundable and loan); or change of the domestic source
and financial mechanism regarding ODA capital, the agency in charge of
appraisal shall report them to the managing agency for the latter to consult
the Ministry of Planning and Investment, the Ministry of Finance and other
concerned agencies on these changes and submit them to the Prime Minister for
consideration and decision. On the basis of the Prime Minister’s opinion, the
managing agency shall direct the project owner to revise the project document
and assign the agency in charge of appraisal to appraise the project following
the steps from 2 to 4 below.
- Step 2: Consulting concerned
agencies
After receiving eight valid
dossier sets from the project owner, the agency in charge of appraisal shall
send through the managing agency these dossier sets enclosed with a written
request for opinions to the Ministry of Planning and Investment, the Ministry of
Finance and concerned agencies, units and localities on the contents of the
technical assistance project subject to appraisal.
- Step 3: Appraisal
The agency in charge of appraisal
selects either of the following forms of appraisal:
+ Form 1: Reviewing appraisal
opinions
This form applies to technical
assistance projects with clear contents consistent with the project’s detailed
outline enclosed with the ODA-calling list already approved by the Prime
Minister and receiving the consent of agencies consulted on the project
document contents. In this case, the agency in charge of appraisal proceeds
with the following steps:
For projects falling under the
deciding competence of the Prime Minister: The agency in charge of appraisal
shall prepare a report on appraisal results enclosed with an appraisal record
made according to a form provided in Appendix 5 to this Circular (not
printed herein) for the managing agency to submit the project document to
the Prime Minister for approval.
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If the dossier of the project
document is incomplete, the agency in charge of appraisal shall request the
project owner to supplement, revise and complete the dossier, then proceed with
the above steps.
+ Form 2: Organizing appraisal
meetings
If unable to apply form 1, the agency
in charge of appraisal shall appoint a chairperson and a secretary before
organizing an appraisal meeting.
If the appraisal meeting reaches a
conclusion adopting the project document, the agency in charge of appraisal
shall take the following steps:
For projects falling under the
deciding competence of the Prime Minister: The agency in charge of appraisal
shall prepare a report on appraisal results enclosed with an appraisal record
made according to a form provided in Appendix 5 to this Circular for the
managing agency to submit the project document to the Prime Minister for
approval.
For projects falling under the
deciding competence of managing agencies: The agency in charge of appraisal
shall prepare a report on appraisal results enclosed with an appraisal record
made according to a form provided in Appendix 5 and a draft decision approving
the project document contents, made according to a form provided in Appendix 6
to this Circular for the managing agency to approve the project document.
If the dossier of the project
document is incomplete, the agency in charge of appraisal shall request the
project owner to supplement, revise and complete the dossier, then proceed with
the above steps.
- Step 4: Notifying the approval
result
Within 10 working days from the
date the Prime Minister (for projects falling under the approving competence of
the Prime Minister) or the head of the managing agency (for projects falling
under the approving competence of the managing agency) approves the project
document, the managing agency shall notify the donor and project owner of the
approval, and at the same time send to the Ministry of Planning and Investment
and the Ministry of Finance the appraisal report and the approval decision
(originals or notarized copies) enclosed with the approved project document in
Vietnamese and English, which has been appended with the managing agency’s seal
on the inner edges of every two adjoining pages.
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2. Appraisal and approval of
ODA-funded investment projects
a/ Identification of an agency in charge
of appraisal
The identification of an agency in
charge of appraisal of ODA-funded investment projects complies with current
regulations on work investment and construction management.
b/ Contents of appraisal
Apart from the contents prescribed
in legal documents on investment and construction management, in the process of
appraisal, attention should be paid to the following points:
- Project objectives: Comparing
the project objectives identified in the detailed outline and with those
indicated in the official financing list;
- Domestic financial mechanism
applicable to ODA projects;
- Total investment amount of the
project, in which ODA capital must be compared with the total investment amount
and ODA capital already determined in the detailed outline and the official
financing list;
- The Vietnamese party’s possible
contributions, especially contributed capital, taking into account the donor’s
disbursement regulations and Vietnam’s process of making and approving budget
plans;
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- Risks and risk prevention
measures;
- Reasonableness of the project
implementation management method in the aspects of the investor’s project
implementation and management capacity and coordination mechanism in the
implementation process.
c/ Appraisal time frame
Within 45 working days from the
date of receipt of complete and valid dossiers under Article 17 of the
Regulation.
d/ Appraisal process
The process of appraisal of
ODA-funded investment projects complies with current regulations on investment
and construction management, with attention paid to the following contents:
- Assessing the validity of a
dossier for appraisal in accordance with Article 17 of the Regulation;
- Comparing and matching the
contents of the project document with six contents of the Prime Minister’s
decision approving the ODA-calling list stipulated in Article 8 of the
Regulation. If detecting that the project document contains changes compared
with the contents of the Prime Minister’s decision approving the ODA-calling
list in the project title and donor; managing agency; project objectives and
outcomes; project implementation duration; increase or change of type of ODA
capital (non-refundable and loan); or change of the domestic source and
financial mechanism regarding ODA capital, the agency in charge of appraisal
shall report them to the managing agency for the latter to consult the Ministry
of Planning and Investment, the Ministry of Finance and other concerned
agencies on these changes and submit them to the Prime Minister for
consideration and decision. On the basis of the Prime Minister’s opinion, the
managing agency shall direct the project owner to revise the project document
and assign the agency in charge of appraisal to appraise the project according
to the process guided at this Point.
- If the donor organizes a field
appraisal team, the investor shall organize and arrange necessary conditions
for the agency in charge of appraisal to appoint a representative to join the
field appraisal.
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e/ Notification of investment
decisions and sending of investment project documents
Within 10 working days from the
date the Prime Minister (for projects falling under the approving competence of
the Prime Minister) or the head of the managing agency (for projects falling
under the approving competence of the managing agency) issues an investment
decision, the managing agency shall notify in writing the donor and project
owner of the decision, and at the same time send to the Ministry of Planning
and Investment and the Ministry of Finance the appraisal report and the
investment decision (originals or notarized copies) enclosed with the approved
investment project document in Vietnamese and English, which has been appended
with the managing agency’s seal on the inner edges of every two adjoining
pages.
3. Appraisal and approval of
umbrella programs and projects
a/ Identification of an agency in
charge of appraisal
The issuer of the decision
approving the umbrella program or project document shall appoint an attached
unit in charge of appraisal or set up an appraisal council headed by his/her
representative and consisting of representatives of managing agencies of
component projects.
b/ Contents of appraisal
On the basis of the principal
contents stipulated in Article 15 of the Regulation, in the course of
appraisal, the following issues should be clarified:
- The overall framework of the
umbrella program or project, covering the general objectives of the umbrella
program or project and the objectives of component projects, and relationships
between component projects;
- Major activities of the umbrella
program or project and component projects and their relationships in the
implementation process, including their implementation durations;
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- Method of organizing the
implementation and management of the umbrella program or project:
+ Necessity to set up a steering
committee (if any); its structure and operation mechanism;
+ Tasks, powers and
responsibilities of the managing agency of the umbrella program or project and
managing agencies of component projects;
+ Organization of the umbrella
program or project management unit and component project management units under
the provisions of Circular 03/2007/TT-BKH of March 12, 2007, of the Ministry of
Planning and Investment;
+ Relationships, responsibilities
and duties divided between the umbrella program or project owner and component
project owners; between the umbrella program or project management unit and
component project management units.
c/ Appraisal time frame
Within 45 working days from the
date the program-managing agencies receive complete and valid dossiers as
stipulated in Article 17 of the Regulation.
d/ Process of appraisal
- Step 1: Assessing the validity
of a dossier for appraisal
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+ Comparing and matching the
contents of the umbrella program or project document with six contents of the
Prime Minister’s decision approving the ODA-calling list stipulated in Article
8 of the Regulation.
+ If detecting that the umbrella
program or project document contains changes compared with the contents of the
Prime Minister’s decision approving the ODA-calling list in the program or
project title and donor; program- or project-managing agency; program or
project objectives and outcomes; program or project implementation duration;
increase or change of type of ODA capital (non-refundable and loan); or change
of the domestic source and financial mechanism applicable to ODA capital, the
agency in charge of appraisal or the appraisal council shall report them to the
umbrella program or project-managing agency for the latter to consult the
Ministry of Planning and Investment, the Ministry of Finance and other
concerned agencies on these changes and submit them to the Prime Minister for
decision. On the basis of the Prime Minister’s opinion, the umbrella program-
or project-managing agency shall direct the umbrella program or project owner
to revise the program or project document and assign the agency in charge of
appraisal or the appraisal council to appraise the program or project following
the steps from 2 to 4 guided at this Point.
- Step 2: Consulting concerned
agencies
After receiving eight valid
dossier sets from the umbrella program or project owner, the agency in charge
of appraisal shall send through the umbrella program or project-managing agency
these dossier sets enclosed with a written request for opinions (in case of collecting
opinions) or participation in an appraisal meeting (in case of organizing an
appraisal meeting) to the Ministry of Planning and Investment, the Ministry of
Finance, representatives of component projects and concerned agencies, units
and localities on the contents of the umbrella program or project to be
appraised.
- Step 3: Appraisal
+ Form 1: Summing up appraisal
opinions
This form applies to umbrella
programs or projects with clear contents consistent with the programs’ or
projects’ detailed outlines enclosed with the ODA-calling list already approved
by the Prime Minister and receiving the consent of agencies consulted on the
umbrella program or project document contents. In this case, the agency in
charge of appraisal or the appraisal council proceeds with the following steps:
For programs or projects falling
under the approving competence of the Prime Minister: The agency in charge of
appraisal or the appraisal council shall prepare a report on appraisal results
enclosed with an appraisal record made according to a form provided in Appendix
5 to this Circular for the umbrella program- or project-managing agency to
submit the umbrella program or project document to the Prime Minister for
approval.
For programs or projects falling
under the approving competence of managing agencies: The agency in charge of
appraisal or the appraisal council shall prepare a report on appraisal results
enclosed with an appraisal record made according to a form provided in Appendix
5 and a draft decision approving the program or project document contents, made
according to a form provided in Appendix 6 to this Circular, for the umbrella
program or project-managing agency to approve the umbrella program or project
document.
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+ Form 2: Organizing appraisal meetings
If unable to apply form 1, the
agency in charge of appraisal or the appraisal council shall appoint a
chairperson and a secretary for organizing an appraisal meeting.
If the donor organizes a field
appraisal team, the umbrella program or project owner shall organize and
arrange necessary conditions for the agency in charge of appraisal or the
appraisal council to appoint a representative to join the field appraisal.
If the appraisal meeting reaches a
conclusion adopting the umbrella program or project document, the agency in
charge of appraisal or the appraisal council shall take the following steps:
For programs or projects falling
under the approving competence of the Prime Minister: The agency in charge of
appraisal or the appraisal council shall prepare a report on appraisal results
enclosed with an appraisal record made according to a form provided in Appendix
5 to this Circular for the umbrella program- or project-managing agency to
submit the umbrella program or project document to the Prime Minister for
approval.
For programs or projects falling
under the approving competence of managing agencies: The agency in charge of
appraisal or the appraisal council shall prepare a report on appraisal results
enclosed with an appraisal record made according to a form provided in Appendix
5 and a draft decision approving the project document contents, made according
to a form provided in Appendix 6 to this Circular, for the umbrella program- or
project-managing agency to approve the umbrella program or project document.
If the appraisal meeting requests
revision and completion of the dossier of the program or project document, the
agency in charge of appraisal or the appraisal council shall request the
umbrella program or project owner to coordinate with component project owners
in supplementing, revising and completing the program or project dossier
pursuant to the appraisal meeting’s conclusions, then proceed with the above
steps.
e/ Notifying approval decisions
and sending umbrella program or project documents
Within 10 working days from the
date the Prime Minister (for programs and projects falling under the approving
competence of the Prime Minister) or the head of the umbrella program- or
project-managing agency (for programs or projects falling under the approving
competence of heads of program or project managing agencies) issues a decision
approving the umbrella program or project, the umbrella program- or
project-managing agency shall notify in writing the decision to the donor and
umbrella program or project owner, and at the same time send to the Ministry of
Planning and Investment and the Ministry of Finance the appraisal report and
the approval decision (originals or notarized copies) enclosed with the
approved umbrella program or project document in Vietnamese and English, which
has been appended with the managing agency’s seal on the inner edges of every
two adjoining pages. The umbrella program- or project-managing agency shall
send copies of these documents to managing agencies of component projects.
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+ For technical assistance
projects: They shall follow the process of appraisal and approval stipulated at
Point 1, Section III of this Part.
+ For investment projects: They
shall follow the process of appraisal and approval stipulated at Point 2,
Section III of this Part.
4. Appraisal and approval of
program or project-based assistance documents
The process of appraisal of
program- or branch-based assistance documents is similar to the process of
appraisal of umbrella programs or projects stipulated at Point 3, Section III
of this Part.
Authorities issuing decisions
approving branch or domain development programs, plannings and plans shall
approve program- or branch-based assistance.
5. Appraisal and approval of
regional programs and projects
Managing agencies are responsible
for appraising and approving the Vietnamese side’s participation activities
similar to other ODA programs or projects stipulated at Points 1, 2 and 3,
Section III of this Part.
Part IV
SIGNING OF
SPECIFIC INTERNATIONAL AGREEMENTS ON ODA
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II.
RESPONSIBILITY TO SUBMIT TO THE GOVERNMENT THE SIGNING OF SPECIFIC
INTERNATIONAL AGREEMENTS ON ODA STIPULATED IN CLAUSE 2, ARTICLE 21 OF THE
REGULATION IS GUIDED AS FOLLOWS:
1. The Ministry of Planning and
Investment shall submit to the Prime Minister the signing of specific
international agreements on non-refundable ODA (excluding specific
international agreements on ODA signed with international financial
institutions specified in Clause 1, Article 42 of the Regulation) for ODA
programs and projects belonging to National Assembly agencies, central agencies
of socio-political organizations or professional organizations, and People’s
Committees of provinces and centrally run cities.
2. To discharge the above
responsibility, according to regulations on the order and procedures for
signing and implementing treaties pertaining to official development assistance
sources, the Ministry of Planning and Investment shall submit to the Prime
Minister:
a/ The negotiation and signing of
specific international agreements on ODA on the basis of official written
proposals of managing agencies mentioned at Point 1, Section II of this Part
sent to the Ministry of Planning and Investment together with all necessary
documents and the implementation according to schedule.
b/ The ratification or approval of
specific international agreements on ODA of managing agencies mentioned at
Point 1, Section II of this Part, for specific international agreements on ODA
subject to ratification or approval, in order to carry out the formalities for
the agreements to become effective.
c/ Plans for implementation of
specific international agreements on ODA shall be made by managing agencies
specified at Point 1, Section II of this Part and sent to the Ministry of
Planning and Investment.
3. If authorized by the Prime
Minister, managing agencies specified at Point 1, Section II of this Part shall
formulate and sign international agreements on ODA according to current
regulations.
III.
RESPONSIBILITY TO SUBMIT TO THE PRIME MINISTER ADJUSTMENTS, AMENDMENTS AND
SUPPLEMENTS TO SPECIFIC INTERNATIONAL AGREEMENTS ON ODA STIPULATED AT POINT A,
CLAUSE 1, ARTICLE 31 OF THE REGULATION IS GUIDED AS FOLLOWS:
In the course of implementing
specific international agreements on ODA, if any adjustments, amendments and
supplements stated at Point a, Clause 1, Article 31 of the Regulation are
needed, agencies proposing the signing of specific international agreements on
ODA shall collect written opinions of the Ministry of Planning and Investment
and concerned agencies before submitting these adjustments, amendments and
supplements to the Prime Minister for consideration and decision according to
current relevant regulations.
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MANAGEMENT OF
IMPLEMENTATION OF ODA PROGRAMS AND PROJECTS
I.
ESTABLISHMENT AND ORGANIZATION OF THE OPERATION OF ODA PROGRAM OR PROJECT
MANAGEMENT UNITS (PROJECT MANAGEMENT UNITS) STIPULATED IN ARTICLE 25 OF THE
REGULATION IS GUIDED AS FOLLOWS:
The order of establishment,
organizational structure, functions, tasks and powers of ODA project management
units, responsibility relationships between project management units and
project owners, managing agencies and state management agencies are stipulated
in Circular 03/2007/TT-BKH of March 12, 2007, of the Ministry of Planning and
Investment on the organizational structure, functions, tasks and powers of ODA
project management units.
For umbrella programs or projects,
on the basis of umbrella programs or project documents already approved by
competent authorities:
- Umbrella program or project
owners shall establish umbrella program or project management units cum
management units of component projects under their management (if any).
- Component project owners shall
set up component project management units after reaching agreement with
umbrella program or project owners on the organizational structure, functions,
tasks, responsibilities and powers of these management units with respect to
umbrella programs or projects and component projects.
II. TASKS OF
MANAGING AGENCIES, PROJECT OWNERS AND PROJECT MANAGEMENT UNITS RELATED TO
PROGRAM OR PROJECT IMPLEMENTATION PLANS STIPULATED AT POINT A, CLAUSE 1,
ARTICLE 35 AND CLAUSE 7, ARTICLE 39 OF THE REGULATION ARE GUIDED AS FOLLOWS:
1. Reviewing, updating and
approving program or project implementation plans
a/ Immediately after setting up
project management units, managing agencies and project owners shall direct the
project management units to coordinate with donors in reviewing, updating and
adjusting (if necessary) master plans on ODA program or project implementation
and making detailed implementation plans for the first year.
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- Milestones of time (commencement
and completion) for items, outputs and major activities of the program or
project and for the whole program or project;
- Work volume to be performed in
each stage, including jobs which can be started before the specific
international agreement on ODA enters into force;
- Volumes of input resources
required for each item, output and activity in each stage, including jobs which
can be started before the specific international agreement on ODA enters into
force.
In reviewing and updating the
master plan on program or project implementation, if only adjusting
implementation schedules (commencement and completion time) of items, outputs
and activities of the program or project without modifying the program or
project completion time specified in the program or project document, the
managing agency shall issue a decision approving the master plan on program or
project implementation.
2. Within five working days from
the date of approval of the master plan on program or project implementation,
the managing agency shall send the approval decision (original) to the Ministry
of Planning and Investment, the Ministry of Finance and the donor as a basis
for monitoring and evaluating the program or project implementation process.
3. On the basis of the updated master
plan on program or project implementation approved by the managing agency, the
project owner shall approve detailed ODA program or project implementation
plans for the first year and each subsequent year.
4. Annual ODA program or project
implementation plans must be made and approved according to annual planning
schedules of managing agencies.
Annual ODA program or project
implementation plans serve as a basis for the allocation of resources for
program or project activities and for quarterly planning work, management,
monitoring, supervision, evaluation and reward of project management activities
of project management units.
5. Project management units shall
make disbursement plans according to Appendix 7 to this Circular (not printed
herein). Project owners shall submit to managing agencies annual disbursement
plans for sum-up and reporting under the guidance of the Ministry of Planning
and Investment on making of annual plans.
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Project owners shall make
compensation, ground clearance and resettlement plans for ODA programs or
projects according to current regulations on compensation, ground clearance and
resettlement.
Before approving program or
project documents, if donors’ regulations on compensation, ground clearance and
resettlement are different from Vietnam’s current regulations on compensation,
ground clearance and resettlement, managing agencies shall submit the case to
the Prime Minister for consideration and decision.
If a signed specific international
agreement on ODA contains provisions on compensation, ground clearance and
resettlement different from Vietnam’s current regulations on compensation,
ground clearance and resettlement, the signed specific international agreement
is complied with.
Agreed compensation and
resettlement plans must be notified to relevant functional agencies and
publicized among stakeholders.
IV. BIDDING
STIPULATED IN ARTICLE 30 OF THE REGULATION IS GUIDED AS FOLLOWS:
Bidding for ODA programs and
projects complies with current regulations on bidding.
Before approving program or
project documents, if donors’ bidding regulations are different from Vietnam’s current
bidding regulations, managing agencies shall submit the case to the Prime
Minister for consideration and decision.
If a signed specific international
agreement on ODA contains provisions on bidding different from Vietnam’s
current bidding, the signed specific international agreement is complied with.
In this case, project owners shall
direct project management units to coordinate with donors to integrate donors’
appraisal process, procedures and duration into the procedures for submission,
appraisal and approval of contents on the bidding plan and contractor selection
result according to Vietnam’s current regulations. This integration process
must be publicly announced to parties involved in bidding activities.
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1. With respect to changes in the
domestic financial mechanism or re-lending conditions stipulated at Point b,
Clause 1 of Article 31, project owners shall report them to managing agencies
for the latter to reach agreement with the Ministry of Planning and Investment
and the Ministry of Finance before submitting them to the Prime Minister for
consideration and decision.
2. With respect to the surplus
capital amount resulted from changes in exchange rate, interest rate,
unallocated reserve capital and other surplus capital amounts arising in the
process of implementation stipulated at Point b, Clause 2 of Article 31,
managing agencies shall negotiate with the Ministry of Planning and Investment,
the Ministry of Finance and the donor to decide on the use of these surplus
capital amounts within the framework of the programs or projects, and proceed
with using them according to current regulations.
3. With respect to the surplus
capital amount to be used for implementing a new program or project stipulated
at Point a, Clause 2 of Article 31, at the proposal of the managing agency, the
Ministry of Planning and Investment shall submit this proposal to the Prime
Minister for permission to use this surplus capital amount. After obtaining the
Prime Minister’s permission, the managing agency shall appraise and approve the
document of the new program or project and organize its implementation
according to current regulations.
Part VI
MONITORING AND
EVALUATION OF ODA PROGRAMS AND PROJECTS
I. PROGRAM
AND PROJECT MONITORING STIPULATED IN ARTICLES 33 AND 35 OF THE REGULATION IS
GUIDED AS FOLLOWS:
1. Requirements and objectives of
monitoring ODA programs or projects:
a/ To ensure accurate, full and
regular (daily, weekly, monthly and annual) update of information concerning
the program and project implementation and management.
b/ To ensure timely identification
of difficulties, problems and incidents that may affect the implementation
progress, quality and costs of programs and projects.
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2. Program and project monitoring
responsibilities and contents
a/ Project management units
Monitoring is part of day-to-day
management work and a duty of project management units.
Monitoring at project management
unit level:
- Monitoring and updating
information on program and project implementation, covering:
+ Project implementation progress;
+ Implemented volumes;
+ Quality;
+ Cost;
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- Monitoring and updating
information on project and program management, covering:
+ Making and concretization of
program and project management plans;
+ Update of the implementation and
adjustment of plans;
+ Update of the assurance of
quality and effectiveness of program and project management;
- Monitoring and updating
information on the processing of and response to feedback on programs and
projects, covering:
+ Assurance of reported
information;
+ Processing of reported
information;
+ Settlement of difficulties and
problems and its results.
b/ Project owners:
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- Arranging necessary resources to
ensure monitoring work at project management units;
- Providing feedback and promptly
handling issues falling within their competence in the course of program or
project implementation;
- Reporting and proposing solutions
to difficulties and problems and issues beyond the competence of project owners
so that managing agencies can issue timely decisions to deal with problems in
the program or project implementation.
c/ Managing agencies
For programs and projects falling
under their management, managing agencies shall:
- Check the completeness,
timeliness and accuracy of information on programs and projects supplied by
project owners;
- Provide feedback and promptly
handle issues falling within their competence;
- Supervise and monitor programs’
and projects’ changes compared with planned contents (implementation progress,
disbursement, bidding, ground clearance, resettlement, environmental
protection, and social welfare);
- Report on and propose solutions
to difficulties and problems, and issues falling beyond their competence so
that concerned agencies can issue timely decisions to deal with problems in the
program or project implementation;
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- Ensure necessary resources
(personnel, funding, material and technical facilities and other related
issues) for program and project monitoring activities at managing agencies. Support
and enhance project owners’ program and project monitoring capacity.
d/ State management agencies in
charge of ODA
To monitor ODA programs and
projects in relevant domains defined in Chapters VI and VII of the Regulation
and report monitoring information to managing agencies and donors.
II.
EVALUATION OF PROGRAMS AND PROJECTS STIPULATED IN ARTICLES 34 AND 35 OF THE
REGULATION IS GUIDED AS FOLLOWS:
1. Requirements and objectives of
the evaluation of each specific program or project:
a/ To compare the results achieved
at the time of evaluation with the program or project implementation plan.
b/ To detect occurred or potential
difficulties and problems in the program or project implementation.
c/ To evaluate the observance of
principles and procedures for program and project management.
d/ To propose necessary measures
to ensure that the program or project is implemented for proper objectives and
in accordance with regulations on progress, scope, volume, quality and cost,
and management principles and procedures.
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f/ To draw experience lessons for
the subsequent stages of implementation of the evaluated program or project
and/or for the implementation of other programs or projects.
2. Evaluation
In order to ensure the objectivity
and transparency, evaluation must be conducted by independent experts or a
group of independent experts and consultants who are hired according to current
regulations and who possess adequate professional qualifications and necessary
experience. Project owners shall coordinate with donors in determining the
duration and funding for evaluation work immediately at the stage of designing
program or project documents.
On a case-by-case basis and as
agreed with donors, evaluation may be conducted in the following stages:
a/ Initial evaluation
Initial evaluation must be
conducted immediately after a program or project is implemented.
The project owner may assign the
project management unit or hire independent consultants to conduct initial
evaluation.
Initial evaluation focuses on
examining the actual situation of a program or project after it is started in
the following aspects:
- The project management unit’s
preparation for the implementation, organization and mobilization of resources
to ensure the program or project implementation according to the set objectives
and plan;
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- Solutions to encountered
difficulties and problems;
- Issues arising due to objective
factors such as changes in the legal environment, requirements for rescheduling
or modification of some items to suit the climate and geological conditions or due
to subjective factors such as capacity and organizational structure of the
project management unit.
The findings of initial evaluation
serve a basis for reviewing and updating the overall program or project
implementation plan and elaborating a detailed program or project
implementation plan for the first year.
b/ Mid-term evaluation
The project management unit may
hire independent experts or a group of independent consultants to conduct
mid-term evaluation in the middle of the program or project implementation
duration or at the end of a stage of implementation of a multiple-staged
program or project.
Mid-term evaluation focuses on:
- The relevance of the program or
project implementation outcomes with the set objectives;
- Degree of completion of the program
or project by the time of evaluation compared with the approved program or
project implementation plan;
- Recommendations, including those
on adjustment of the program or project design or objectives, if necessary;
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Within one month from the date of
receipt of a mid-term evaluation report prepared by consultants, the project
owner shall send to the managing agency and donor this report and the project
owner’s feedback on this report, which analyzes the findings, issues and
proposals presented in the evaluation report and clearly indicates measures to
deal with problems, activities to be carried out in response to these
proposals, and lessons learned from the program or project implementation.
Mid-term evaluation reports and
feedback reports on programs and projects in which investment has been decided
by the Prime Minister and on group-A programs and projects must be sent through
managing agencies to the Ministry of Planning and Investment and the Ministry
of Finance to serve supervision, monitoring and evaluation activities.
c/ Final evaluation
The project management unit shall
hire independent experts or consultancy organizations to conduct final
evaluation of the program or project immediately after the program or project
is completed and this evaluation must be finished within six months from the
date of completion of the program or project stated in the program or project
document. Final evaluation focuses on comprehensively examining and evaluating
the following aspects:
- Program or project design;
- Program or project
implementation process;
- Program or project management
activities;
- Results of achievement of
program or project objectives;
- Resources already mobilized for
the program or project;
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- Impacts of the program or
project;
- Sustainability of the program or
project and factors to ensure the sustainability of the program or project;
- Lessons learned from the program
or project implementation process;
- Necessary recommendations.
Final evaluation report prepared
by consultants and written comments of the project owners must be sent to the
managing agency and donor.
Final evaluation report prepared
by consultants serve as a reference for project management units and project
owners to make program or project completion reports.
Final evaluation reports prepared
by consultants on programs and projects in which investment has been decided by
the Prime Minister and on group-A programs and projects must be sent to the
Ministry of Planning and Investment and the Ministry of Finance to serve
supervision, monitoring and evaluation activities.
d/ Impact assessment (post-project
assessment)
The Ministry of Planning and
Investment shall assume the prime responsibility for, and coordinate with
managing agencies and donors in, elaborating annual plans on impact assessment
of ODA programs and projects.
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Impact evaluation shall be
conducted within three years from the date a program or project is put to
operation or use, focusing on the following major issues:
- Actual economic and technical
operation of the program or project;
- Economic, political and social
impacts of the program or project;
- Environmental and ecological
impacts of the program or project;
- Sustainability of the program or
project;
- Success and failure lessons from
the program or project designing, implementation and operation stages.
Impact assessment reports on
programs and projects in which investment has been decided by the Prime
Minister and on group-A programs and projects must be sent to the Ministry of
Planning and Investment and the Ministry of Finance to serve the management of
investment portfolios and the formulation of investment strategies and
policies.
e/ Extraordinary evaluation
Extraordinary evaluation is
conducted when unexpected problems, difficulties and impacts arise in the
course of program or project implementation.
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- The situation and nature of
unexpectedly arising issues;
- Impacts and degree of impact of
these arising issues on the program or project implementation and the
possibility of attaining the set objectives;
- Intervention measures, agencies
responsible for implementing these measures and time limit for taking these
measures.
Extraordinary evaluation reports
serve as a basis for managing agencies to undertake timely interventions and
take necessary support measures to prevent the failure of programs or projects.
If the managing agency finds that
handling measures fall beyond its competence, it shall send a document enclosed
with an extraordinary evaluation report to concerned state management agencies
or submit them to the Prime Minister for consideration and decision.
III.
REPORTING ON THE IMPLEMENTATION OF PROGRAMS OR PROJECTS STIPULATED IN ARTICLE
36 OF THE REGULATION IS GUIDED AS FOLLOWS:
1. The system of reports on the
implementation of ODA programs and projects consists of three levels:
a/ Program and project owner level
(referred to as program and project level for short): Project owners shall report
on the implementation of ODA programs or projects to managing agencies, the
Ministry of Planning and Investment, the Ministry of Finance, concerned
ministries and branches and provincial-level People’s Committees of localities
where programs or projects are implemented, and donors.
b/ Managing agency level: Managing
agencies shall make general reports on ODA mobilization results and evaluation
of the implementation of ODA programs or projects, and send them to the
Ministry of Planning and Investment and the Ministry of Finance.
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2. Reporting regime and forms: To
comply with regulations and specific guidance in Decision 803/2007/QD-BKH of
July 30, 2007, of the Minister of Planning and Investment, promulgating the
regime of reporting on the implementation of ODA programs and projects.
a/ Project owners shall make
monthly reports (on programs and projects falling under the approving competence
of the Prime Minister and programs and projects equivalent to group-A ones),
and quarterly and annual reports, and program or project completion reports.
b/ Managing agencies shall make
quarterly reports.
c/ The Ministry of Planning and
Investment and the Ministry of Finance shall make biannual and annual reports.
3. Reward regime:
The Ministry of Planning and
Investment shall give appropriate rewards and incentives to agencies and units
that have well observed the reporting regime in accordance with Decision
803/2007/QD-BKH of July 30, 2007, of the Minister of Planning and Investment,
promulgating the regime of reporting on the implementation of ODA programs and
projects.
4. Sanctions against violations of
the reporting regimes:
The Ministry of Planning and
Investment shall sanction violations of the reporting regime as follows:
a/ Irregular violations of the
reporting regime: The Ministry of Planning and Investment shall send written
requests to violating agencies for explanations about the causes of their
violations and commitment to take remedies.
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c/ Prolonged systematic violations
of the reporting regime: The Ministry of Planning and Investment shall report
these cases to the Prime Minister and propose appropriate handling measures,
including proposing the Prime Minister to disapprove ODA-calling programs or
projects proposed by these agencies till their observance of the reporting
regime is improved.
Managing agencies shall prescribe
appropriate rewards as well as sanctions to ensure the observance of reporting
regulations by project owners and project management units under their
management.
Part VII
ORGANIZATION OF
IMPLEMENTATION
I. This
Circular replaces Circular 06/2001/TT-BKH of September 20, 2001, guiding the
implementation of the Regulation on management and use of official development
assistance, promulgated together with the Government’s Decree 17/2001/ND-CP of
May 4, 2001.
II. FOR ONGOING PROGRAMS AND
PROJECTS:
1. For the contents of these
programs and projects falling under the approving competence of the Prime
Minister according to Decree 17/2001/ND-CP but now, according to Decree
131/2006/ND-CP, falling under the approving competence of heads of managing
agencies, Decree 131/2006/ND-CP applies to issues related to the competence of
agencies issuing decisions approving programs or projects.
2. Managing agencies shall review
these programs’ and projects’ implementation plans so as to add the project
monitoring and evaluation contents and ensure resources for the implementation
of these contents.
III. This Circular takes effect 15
days after its publication in “CONG BAO.” In the course of implementation, any
arising problems should be reported by concerned ministries, branches,
localities and units to the Ministry of Planning and Investment for further
addition and revision of this Circular.
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MINISTER
OF PLANNING AND INVESTMENT
Vo
Hong Phuc