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THE GOVERNMENT
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THE SOCIALIST
REPUBLIC OF VIETNAM
Independence - Freedom - Happiness
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No.131/2015/ND-CP
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Hanoi, December
25, 2015
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DECREE
GUIDANCE
ON PROJECTS OF NATIONAL SIGNIFICANCE
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 Law on Public Investment dated
November 26, 2014;
Pursuant to the Law on Procurement dated
November 26, 2013;
Pursuant to the Law on Construction dated June
18, 2014;
Upon the request of the Minister of Planning and
Investment;
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Chapter I
GENERAL PROVISIONS
Article 1. Scope of application
This Decree shall specify guidance on projects of
national significance, including: Organization and operational modality of the
State Assessment Council; documentation and procedure for application for
assessment and contents of assessment of projects of national significance;
hiring of inspection consultants, and costs of assessment and inspection of
projects of national significance.
Article 2. Scope of application
This Decree shall apply to agencies, organizations
or individuals involved in projects of national significance.
Article 3. Definition
For the purposes of this Decree, terms used
hereunder shall be construed as follows:
1. Projects of national significance defined in the
2014 Law on Public Investment, the 2014 Law on Construction and those in which
policies for making investments are decided by the National Assembly under the
provisions of the 2014 Law on Investment are hereinafter referred to as
projects of national significance.
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3. Project owner defined in the 2014 Law on
Construction or investors defined in the 2014 Law on Investment is hereinafter
referred to as stakeholder.
4. Credit-based loans secured by the Government,
loans secured by state-owned assets, state enterprises’ investment and
development funds, value of land use rights, and capital derived from the
administrative development fund, are hereinafter referred to as other state
capital which does not belong to the public investment capital.
Chapter II
ORGANIZATION AND
MODALITY OF OPERATION OF STATE ASSESSMENT
Article 4. Organization,
responsibility and authority of the State Assessment Council
1. The State Assessment Council established under
the Prime Minister's decision for specific projects shall be tasked with
conducting assessment of projects of national significance (pre-feasibility
study report or feasibility study report) for submission to the National
Assembly with a view to seeking its decision on investment policy or for
reporting to the Prime Minister to apply for the investment decision
(hereinafter referred to as Council).
2. The State Assessment Council is composed of the
Chairperson, the Vice Chairperson and other members of the Council. The
Chairperson of the State Assessment Council is the Minister of Planning and
Investment; the Vice Chairperson and other members of the Council are
representatives of Ministries, industrial authorities and other relevant
agencies decided by the Prime Minister upon the request of the Ministry of
Planning and Investment.
3. The Chairperson, Vice Chairperson and members of
the State Assessment Council shall be held accountable to the Prime Minister
for organizing assessment and assessment activities according to their assigned
duties; giving the Council’s assessment opinions on assessment results,
conclusions and recommendations regarding elements of projects of national
significance.
4. The State Assessment Council shall be vested
with the following powers:
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b) Request the project owner to provide important
documents during the process of assessing projects of national significance,
pay costs of inspection and assessment according to the approved budget
estimate and progress of assessment contents;
c) Request the consultancy contractor to provide
relevant documents during the process of inspecting projects of national
significance.
5. The State Assessment Council shall work on a
collective basis and shall be subject to the direction of the Chairperson of
the Council. The meeting of the State Assessment Council shall be considered
valid if it is attended by at least 50% of members (including authorized
persons). Conclusive opinions must be unanimously approved according to the
majority rule. In the event that the voting ratio is 50/50 per the Council’s
membership (including those making their presence at the meeting and those
casting their votes by sending their documents to the Council), the issue shall
be passed by the Chairperson's casting his deciding vote.
The final resolution in which assessment elements
of projects of national significance are passed for submission to the
Government and the Prime Minister must be voted for by at least 2/3 of the
State Assessment Council’s membership. Opinions obtained from members of
the State Assessment Council shall be delivered by voting at the meeting or in
writing to the State Assessment Council.
6. The State Assessment Council shall be
automatically dissolved after all stipulated assessment duties have been
completed.
Article 5. Responsibility and
authority of the Council’s Chairperson
1. Consider approving the assessment plan after
receiving opinions from the Council, decide to convene the Council’s meetings,
preside over such meetings; assign responsibilities to the Vice Chairperson and
members of the Council.
2. Decide to establish the interdisciplinary
Assessment Expert Group or the Assistance Group for the Council, depending on
work duties in specific projects of national significance.
3. Whenever necessary, the Council’s Chairperson
can authorize one Vice Chairperson to convene and preside over the Council’s
meetings or report to the Government on certain contents or work duties
directly undertaken by the Vice Chairperson.
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Article 6. Responsibility and
authority of the Council’s Vice Chairperson
1. Assist the Council’s Chairperson in directing
operations of the Council; monitor and perform duties of the Council assigned
by the Council's Chairperson; regularly make a review report on the Council's
performance.
2. Assist the Council’s Chairperson in reviewing
and assessing reports on specialized matters and the Council's other activities
for submission to the Prime Minister.
Article 7. Responsibility and
authority of the Council’s members
2. Mobilize workforce, working equipment and
research facilities under their management to fulfill their assigned duties.
3. Fully participate in the Council’s meetings, exchange
contributed opinions as to contents of review and assessment as well as cast
their votes for the Council’s conclusions. In
some special cases, where it is impossible to participate in a meeting, a
Council member must send a written explanation and authorize a competent
representative to participate in the Council’s meeting.
Article 8. Duties of the
standing body of the Council
The standing body of the Council is the Ministry of
Planning and Investment assigned the following duties:
1. Rally the Ministry’s machinery to assist the
Council’s Chairperson in conducting assessment of projects of national
significance and general operations of the Council; cooperate with relevant
agencies, interdisciplinary Assessment Expert Group, Inspection Consultancy Group
to perform assessment tasks.
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3. Draw up the plan for assessment of projects of
national significance by adopting the form stipulated in Appendix issued
together with this Decree for submission to the Council.
4. Perform other duties assigned by the Council's
Chairperson.
Article 9. Duties of the
interdisciplinary Assessment Expert Group
1. The interdisciplinary Assessment Expert Group is
an organ established to give assistance to the Council which is composed of
experts of Ministries, industrial authorities and localities and other relevant
agencies.
2. The interdisciplinary Assessment Expert Group
shall assume the following duties:
a) Prepare elements of an assessment which are
delivered to the Council's members;
b) Prepare modifications or amendments to
documentation upon the request of the Council’s members, other Assistance
Groups during the process of assessment for submission to the Council;
c) Carry out necessary work contents to assist the
Council in choosing an inspection consultant in accordance with Article 11
hereof whenever it is necessary to employ such inspection consultant;
d) Prepare contracts for inspection consultancy,
contract settlement records and other relevant documents used for the purpose
of payment or settlement of costs of assessment and inspection of projects of
national significance;
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e) Draft an assessment report of the Council for
submission to the Council’s Chairperson for review and filing of such report to
the Government;
g) Implement other work duties assigned by the
Council.
Chapter III
HIRE OF INSPECTION
CONSULTANT AND COST OF ASSESSMENT, INSPECTION OF PROJECTS OF NATIONAL
SIGNIFICANCE
Article 10. Authority to
decide hire of a consultant in inspection of projects of national significance
1. Inspection consultant refers to a domestic or
foreign organization or individual, or a joint venture which is formed by
domestic and foreign partners (hereinafter referred to as consultancy) hired by
the Council to perform one or several part(s) of elements of assessment of
projects of national significance.
2. The Council’s Chairperson shall decide hire of
domestic consultant in inspection of projects of national significance in the
form of selection as referred to in Article 11 hereof; approve the plan for
selection of inspection consultant.
3. The Prime Minister shall consider approving the
policy on permission for hire of foreign consultant or domestic-foreign joint
venture to carry out inspection upon the request of the Council's Chairperson.
Hire and selection of foreign consultant or
domestic-foreign consultancy joint venture for the purpose of inspection of
projects of national significance shall be consistent with regulations laid
down in Article 11 hereof.
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1. The interdisciplinary Assessment Expert Group
shall determine the consultancy contractor that has sufficient competence and
experience to immediately render consultancy services and recommend such
contractor to the Council's Chairperson to obtain his/her approval.
2. Within 15 days from the contract-awarding date,
the interdisciplinary Assessment Expert Group must complete the direct appointment
procedure, including:
a) Prepare and send a draft agreement to the
consultancy contractor under which requirements regarding extent and scope of
work to be carried out, work schedule and work quality that must be met and
equivalent value based on which the agreement is negotiated and finalized
should be included;
b) Proceed to negotiate and complete that
agreement;
c) Submit the result of direct appointment of the
consultancy contractor for specific projects to the Council's Chairperson for
his/her ratification.
d) Prepare conclusion of the agreement with the
appointed contractor. The agreement is signed by three parties, including the
representative of the Council, the project owner (or the agency assigned the
task of making preparations for investment in projects) and the selected
contractor;
dd) Make the result of direct appointment of the
contractor known to the public in accordance with the law on procurement.
Article 12. Cost of assessment
and hire of inspection consultant for projects of national significance
conducted by the Council
1. Cost of inspection refers to cost of hire of
inspection consultant for projects of national significance conducted by the
Council.
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3. Cost of inspection and assessment of projects of
national significance shall be determined as follows:
a) Limit on cost of inspection of pre-feasibility
study report is calculated to be equal to the limit on cost of inspection of
feasibility study report;
b) Cost of assessment equals 20% of the limit on
cost of inspection;
c) The limit on cost of inspection is applied in
accordance with the law on construction.
4. Cost of assessment and hire of consultant in
inspection of projects of national significance shall be included in the
investment outlay and paid by project owners or agencies assigned the task of
making preparations for investment in such projects upon the request of the
Council, which ensures that any requirement regarding assessment and inspection
progress is met according to the stipulated plan.
Project owners or agencies assigned the task of
making preparations for investment shall be liable for paying cost of
inspection to inspection consultants as agreed upon in the signed agreement
after receiving opinions from the Council.
5. The Council shall allow the Council members, the
interdisciplinary Assessment Expert Group and other Assistance Group (if any)
to autonomously take control of their spending and other relevant expenses with
a view to assuring the Council's assessment activities.
Chapter IV
PROCESS, PROCEDURE FOR
AND ELEMENTS OF ASSESSMENT OF THE INVESTMENT POLICIES FOR PROJECTS OF NATIONAL
SIGNIFICANCE
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Article 13. Process and
procedure for filing of application for assessment by project owners or
agencies directly affiliated to agencies assigned the task of making
preparations for investment
1. Documentation submitted to apply for assessment
shall be composed of the followings:
a) Application form for assessment;
b) Pre-feasibility study report;
c) Other relevant documents.
2. Project owners or agencies directly affiliated
to agencies assigned the task of making preparations for investment
(hereinafter referred to as project owner) shall be required to send 15 sets of
project documents under the provisions of paragraph 1 of this Article to their
governing body or agencies assigned to make preparations for investment to
carry out the internal assessment as stipulated in subparagraph b paragraph 1
Article 19 of the 2014 Law on Public Investment. The duration of internal
assessment shall last less than 30 days of receipt of all required documents.
3. Projects owners or agencies directly affiliated
to agencies assigned the task of making preparations for investment must
complete project dossiers based on predetermined assessment elements and
prepare complete application for submission to the Prime Minister.
Article 14. Process and
procedure for filing of application for assessment by governing bodies or
agencies assigned the task of making preparations for investment
1. Documentation filed to apply for assessment by
governing bodies or agencies assigned the task of making preparations for
investment (hereinafter referred to as governing body) shall be composed of the
followings:
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b) Pre-feasibility study report;
c) Internal assessment report stipulated in
subparagraph b paragraph 1 Article 19 of the 2014 Law on Public Investment;
d) Other relevant documents.
2. The governing body shall send 01 set of
documents as provided for in paragraph 1 of this Article as a report to the
Prime Minister, and concurrently send 20 sets of documents to the Ministry of
Planning and Investment.
3. No later than 05 working days of receipt of
project dossiers, the Ministry of Planning and Investment shall report to the
Prime Minister on establishment of the Council in accordance with regulations
laid down in Article 4 hereof.
4. The Council shall assess the investment policy
for projects of national significance within a period of 90 days of receipt of
all valid project dossiers.
Article 15. Documentation
submitted to apply for assessment by the Council and Government
1. Documentation submitted to apply for assessment
by the Council shall be composed of the followings:
a) Application form sent to the Government by the
governing body (prepared by the governing body after taking into consideration
and completing project dossiers based on assessment opinions obtained from the
Council);
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c) Assessment report prepared by the Council;
d) Other relevant documents.
2. The Government shall consider and give its
opinions on investment policies for projects of national significance in
accordance with the Government’s working regulations.
3. Dossiers submitted by the Government to the
National Assembly as stated in Article 20 of the 2014 Law on Public Investment
shall include specific documents:
a) Statement prepared by the Government;
b) Pre-feasibility study report that is completed
on the basis of assessment opinions obtained from the Government;
c) Assessment report prepared by the Council;
d) Other relevant documents.
Article 16: Elements of
assessment of the investment policies for projects of national significance
financed by public investment funds
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a) Evaluation of project dossiers: Legal bases,
components and contents of dossiers in accordance with applied regulations;
b) Satisfaction of criteria for determination of
projects of national significance;
c) Necessity of investment, conditions for investment,
evaluation concerning compatibility with the plan, strategy, scheme and
proposal for socio-economic development, industrial and sectorial development
planning; compliance with laws and regulations;
d) Evaluation concerning demand forecast, influence
coverage and proposed objectives of investment, scale and form of investment;
dd) Evaluation concerning location and site of
investment, proposed demand for land areas used for projects and demand for
utilization of other resources (if any);
e) Evaluation concerning analysis, preliminary
choice in terms of key technology and techniques, and conditions for supply of
raw materials, equipment, energy, service and infrastructural facilities;
g) Evaluation concerning analysis, preliminary
selection of investment plans and scale of investment constituents;
h) Evaluation concerning plans for compensation,
support, site clearance, relocation and environmental protection approaches;
i) Preliminary evaluation concerning environmental
and social impacts of projects;
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l) Evaluation concerning preliminary determination
of cost of operation, maintenance, overhaul and major repair during the period
of use and operation of projects;
m) Evaluation concerning the proposed progress of
execution of projects, division of investment phases or component or
subordinate projects (if any);
n) Evaluation concerning investment efficiency in
terms of finance, society, economy, national defense and security and
sustainable development;
o) Evaluation concerning solutions to conducting
implementation of projects: Definition of the project owner (if any); form of
project management;
p) Evaluation concerning particular mechanism and
policy and applicable conditions (if any).
2. As for any project with a construction
constituent, in addition to evaluation of contents stipulated in paragraph 1 of
this Article, evaluation concerning the plan for fundamental design in
accordance with laws on construction must be carried out.
Section 2: PROCESS, PROCEDURE
FOR AND ELEMENTS OF ASSESSMENT OF INVESTMENT POLICIES FOR PROJECTS OF NATIONAL
SIGNIFICANCE FINANCED BY STATE FUNDS OTHER THAN PUBLIC INVESTMENT CAPITAL
Article 17. Process and
procedure for filing of application for assessment by project owners
1. Documentation submitted to apply for assessment
shall be composed of the followings:
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b) Pre-feasibility study report;
c) Copy of document indicating the legal status of
the project owner (Establishment certificate or business registration
certificate or other legal documents);
d) Copy of one of the following documents:
Financial statement prepared in the latest 02 years by the project owner;
commitment on financial support from parent companies or financial
institutions; guarantee of financial capability of the project owner; note on
financial capability of the project owner;
dd) BCC contract for BCC investment projects;
e) Recommendations in terms of particular policies
and mechanisms (if any);
g) Documented
opinions of state ownership representatives as to investment in projects under
the provisions of the Law on management and utilization of state capital
invested in enterprises’ production and business activities (if the project
owner is an enterprise whose charter capital includes state capital);
h) Resolution of the Board of Members or Managing
Board or Shareholders’ General Meeting in terms of investment in projects as
stipulated by the Law on Enterprise;
d) Other relevant documents.
2. The project owner shall submit 21 sets of
documents as referred to in paragraph 1 of this Article to the investment
registry located at the area where investment projects are executed.
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4. No later than 05 working days of receipt of
project dossiers, the Ministry of Planning and Investment shall report to the
Prime Minister on establishment of the Council in accordance with regulations
laid down in Article 4 hereof.
5. The Council shall assess the investment policy
for projects of national significance within a period of 90 days from its
establishment date.
Article 18. Documentation
submitted to apply for assessment by the Council and Government
1. Documentation submitted to apply for assessment
by the Council shall be composed of the followings:
a) Assessment report prepared by the Council;
b) Pre-feasibility study report that is completed
on the basis of assessment opinions obtained from the Council;
c) Documents stipulated in subparagraph c through
subparagraph i paragraph 1 Article 17 hereof (prepared by the project owner);
2. The Government shall consider and give its
opinions on investment policies for projects of national significance in
accordance with the Government’s working regulations.
3. Documentation submitted by the Government to the
National Assembly shall be composed of the followings:
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b) Investment project dossiers as defined in
paragraph 1 of this Article.
Article 19: Elements of
assessment of the investment policies for projects of national significance
financed by state capital other than public investment capital
1. Assessment elements shall be composed of the
followings:
a) Evaluation of project dossiers: Legal bases,
components and contents of dossiers in accordance with applied regulations;
b) Satisfaction of criteria for determination of
projects of national significance;
c) Necessity of the project;
d) Evaluation concerning compatibility with the plan,
strategy, scheme and proposal for socio-economic development, industrial and
sectorial development planning; planning for utilization of land and other
resources;
dd) Evaluation concerning objectives, scale,
investment location, proposed demands for land area and demands for utilization
of other resources (if any); plan for selection of main technology to be
applied;
e) Evaluation concerning plans for compensation,
support, site clearance, relocation and environmental protection approaches;
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h) Evaluation concerning preliminary determination
of the investment outlay and capital mobilization plan: Bases for determination
of investment capital demands, structure of the investment outlay, level of
accuracy in terms of investment capital demand; capital source structure;
analysis of feasibility of capital mobilization plans;
i) Evaluation concerning preliminary determination
of cost of operation, maintenance, overhaul and major repair during the period
of use and operation of projects;
k) Evaluation concerning the proposed progress of
execution of projects, division of investment phases or component or
subordinate projects (if any);
l) Evaluation concerning investment efficiency in
terms of finance, society, economy, national defense and security and
sustainable development;
m) Evaluation concerning particular mechanism and
policy; preferential treatments, advantages and applicable conditions (if any).
2. As for any project with a construction
constituent, in addition to evaluation of contents stipulated in paragraph 1 of
this Article, evaluation concerning the plan for fundamental design in
accordance with laws on construction must be carried out.
Section 3: PROCESS, PROCEDURE
FOR AND ELEMENTS OF ASSESSMENT OF THE INVESTMENT POLICIES FOR PROJECTS OF
NATIONAL SIGNIFICANCE THAT ARE NOT FINANCED BY STATE CAPITAL
Article 20. Process, procedure
and documentation submitted to apply for assessment
1. The project owner shall prepare documentation
submitted to apply for assessment in accordance with the 2014 Law on Public
Investment, including the followings:
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b) Copy of ID card, citizenship ID card or
passport, applicable to the project owner who is an individual entity; copy of
Establishment Certificate or other equivalent documents indicating the legal
status, applicable to the project owner who is an institutional entity;
c) Recommendation of investment projects including:
the project owner executing projects, investment objectives, investment scale,
investment capital and capital mobilization plan, location, duration and
progress of investment, demands for workforce;
d) Plan for site clearance, relocation and
resettlement (if any);
dd) Preliminary evaluation concerning environmental
impacts, and environmental protection solutions;
e) Evaluation concerning socio-economic impacts and
efficiency of projects;
g) Recommendation of particular policies and
mechanisms (if any);
h) Copy of one of the following documents:
Financial statement prepared in the latest 02 years by the project owner;
commitment on financial support from parent companies or financial
institutions; guarantee of financial capability of the project owner; note on
financial capability of the project owner;
i) Recommendation of demand for land to be
utilized; if the State’s allocation of land, land lease and permission for
conversion of purpose of use of land is not required for a project, a copy of
an agreement on hiring of a site or other documents stating that the project
owner has the right to use such site for execution of projects must be
submitted;
k) Demonstration of technology to be used for a
project as referred to in subparagraph b paragraph 1 Article 32 of the 2014 Law
on Investment, including name, origin and flow chart of such technology; main
specifications, working condition of machinery or equipment and main technology
line;
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m) Other relevant documents.
2. The project owner shall submit 21 sets of
documents as referred to in paragraph 1 of this Article to the investment
registry located at the area where investment projects are executed.
3. Within a permitted duration of 03 working days
of receipt of all required documents, the investment registry shall send 20
sets of project dossiers to the Ministry of Planning and Investment.
4. No later than 05 working days of receipt of all
required project dossiers, the Ministry of Planning and Investment shall report
to the Prime Minister on establishment of the Council in accordance with
regulations laid down in Article 4 hereof.
5. The Council shall assess the investment policy
for projects of national significance within a period of 90 days from its
establishment date.
6. Documentation submitted to apply for assessment
by the Council shall be composed of the followings:
a) Assessment report prepared by the Council;
b) Documents referred to in paragraph 1 of this
Article, including elements of the project which have been completed with
reference to assessment opinions obtained from the Council (prepared by the
project owner);
7. The Government shall consider and give its
opinions on investment policies for projects of national significance in
accordance with the Government’s working regulations.
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a) Statement prepared by the Government;
b) Investment project dossiers as defined in
paragraph 6 of this Article.
Article 21. Elements of
assessment of the investment policies for projects of national significance
that are not financed by state capital
1. Satisfaction of criteria for determination of projects
of national significance.
2. Evaluation of necessity of the project.
3. Information about investors; evaluation of
satisfaction of investment requirements applied to foreign investors (if any).
4. Evaluation concerning objectives, scale,
location, time, progress of execution of projects, demand for lands to be used,
plan for site clearance, resettlement, relocation and environmental protection.
5. Evaluation concerning compatibility of the
project with the master plan for socio-economic development, industrial
development planning; planning for utilization of land and other resources (if
any).
6. Evaluation of legal basis for right of use of
investment location accorded investors. If there is any recommendation about
allocation of land, land lease and permission for conversion of purpose of use
of land, assessment of demands for land to be used, conditions for land
allocation, lease and permission for conversion of purpose of use of land must
be conducted in accordance with laws on land.
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8. Evaluation concerning investment capital and
capital mobilization plan.
9. Evaluation concerning socio-economic impacts and
efficiency.
10. Evaluation concerning particular mechanism and
policy; preferential treatments, advantages and applicable conditions (if any).
Section 4: PROCESS, PROCEDURE
FOR AND ELEMENTS OF ASSESSMENT OF POLICIES FOR OUTWARD INVESTMENT PROJECTS OF
NATIONAL SIGNIFICANCE
Article 22. Process, procedure
and documentation submitted to apply for assessment
1. The project owner shall prepare documentation
submitted to apply for assessment under the provisions of paragraph 1 Article
55 of the 2014 Law on Public Investment, including:
a) Registration form for outward investment;
b) Copy of ID card, citizenship ID card or
passport, applicable to the project owner who is an individual entity; copy of
Establishment Certificate or other equivalent documents indicating the legal
status, applicable to the project owner who is an institutional entity;
c) Recommendation about investment projects,
including investment objectives, scale, form, location; preliminary
determination of investment capital, capital mobilization plan, capital source
structure; progress of execution of a project, investment phases (if any);
preliminary analysis of investment efficiency;
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dd) Commitment on autonomous management of foreign
currency flows or commitment of authorized credit institutions on assurance that
foreign currency amount is adequately provided for the project owner;
e) Decision on outward investment in accordance
with regulations laid down in paragraph 1 and 2 Article 57 of the 2014 Law on
Investment;
g) With regard to any project of an enterprise
whose charter capital is wholly held by the State, Decision on outward
investment stipulated in subparagraph e of this paragraph shall be replaced by
the following documents: written consent of the ownership representative to
investors' registration of outward investment for the purpose of project
execution, including the main contents such as investors, objectives, scale,
form and location of investment; total investment capital, capital mobilization
plan, capital source structure, progress of project execution, indicators
regarding investment efficiency to be achieved in a project; internal
assessment report relating to recommendation about projects for outward
investment as the basis for obtaining approval from the ownership
representative;
h) With regard to any outward investment project in
the banking, securities, insurance, or science and technology sector, investors
are required to submit a written approval of competent state agencies in
relation to conformity to requirements for outward investment in accordance
with regulations enshrined in the Law on Credit Institutions, Law on
Securities, Law on Science and Technology and Law on Trade in Insurance;
i) Other relevant documents.
2. The contractor shall submit 20 sets of documents
as referred to in paragraph 1 of this Article to the Ministry of Planning and
Investment.
3. No later than 05 working days of receipt of all
required project dossiers, the Ministry of Planning and Investment shall report
to the Prime Minister on establishment of the Council in accordance with
regulations laid down in Article 4 hereof.
4. The Council shall assess the investment policy
for outward investment projects of national significance within a period of 90
days from its establishment date.
5. Documentation submitted to apply for assessment
by the Council shall be composed of the followings:
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b) Documents referred to in paragraph 1 of this
Article (prepared by the project owner after consulting and completing project
dossiers based on assessment opinions obtained from the Council).
6. The Government shall consider and give its
opinions on the investment policy for outward investment projects of national
significance according to its working regulations.
7. Documentation submitted by the Government to the
National Assembly shall be composed of the followings:
a) Statement prepared by the Government;
b) Investment project dossiers as defined in
paragraph 5 of this Article.
Article 23. Elements of
assessment of policies for outward investment projects of national significance
1. Eligibility requirements for being issued the
Certificate of outward investment as stated in Article 58 of the 2014 Law on
Investment.
2. Legal status of investors.
3. Necessity of outward investment.
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5. Evaluation of fundamental contents of a project:
scale, form of investment, location, duration and progress of project
execution, investment capital and capital source.
6. Evaluation of levels of risks incurred in the
state where an investment project is located.
Section 5. PROCESS, PROCEDURE
FOR AND ELEMENTS OF ASSESSMENT OF AMENDMENTS TO INVESTMENT POLICIES FOR INVESTMENT
PROJECTS UNDER THE PROVISIONS OF PARAGRAPH 4 ARTICLE 40 OF THE 2014 LAW ON
INVESTMENT
Article 24. Process, procedure
for filing application for assessment of amendments to investment policies for
projects financed by state capital other than public investment capital
1. Documentation submitted to apply for assessment
by project owners shall be composed of the followings:
a) Written request for amendments to the investment
policy in which any contents required to be amended must be clearly specified;
b) Amended pre-feasibility study report, or amended
feasibility study report;
c) Supervisory report, evaluation of amendments to
investment projects;
d) Copy of document indicating the legal status of
the project owner (Establishment certificate or business registration
certificate or other equivalent legal documents), applicable to the case in
which there is any change to the project owner;
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e) BCC contract for BCC investment projects (if any
change is made);
g) Recommendation about particular policies and
mechanisms (if any).
h) Other relevant documents.
2. The project owner shall submit 21 sets of
documents as referred to in paragraph 1 of this Article to the investment
registry located at the area where investment projects are executed.
3. Within a permitted duration of 03 working days
of receipt of all required project dossiers, the investment registry shall send
20 sets of project dossiers to the Ministry of Planning and Investment.
4. No later than 05 working days of receipt of all
required project dossiers, the Ministry of Planning and Investment shall report
to the Prime Minister on establishment of the Council in accordance with
regulations laid down in Article 4 hereof.
5. The Council shall assess amendments to the
investment policy for projects of national significance within a period of 90
days from the date of entry into force of the establishment decision.
6. Documentation submitted to apply for assessment
by the Council shall be composed of the followings:
a) Assessment report prepared by the Council;
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c) Documents stipulated in subparagraph a and
subparagraph c through subparagraph h paragraph 1 of this Article (prepared by
the project owner).
7. The Government shall consider and give its
opinions on amendments to the investment policy for projects of national
significance according to its working regulations.
8. Documentation submitted by the Government to the
National Assembly shall be composed of the followings:
a) Statement prepared by the Government;
b) Investment project dossiers as defined in paragraph
6 of this Article.
Article 25: Elements of
assessment of amendments to the investment policies for projects of national
significance financed by state capital other than public investment capital
All amendments must be assessed in the similar
manner to those referred to in Article 19 hereof.
Article 26. Procedure for
filing application for assessment of amendments to investment policies for
projects that are not financed by state capital
1. Documentation submitted to apply for assessment
by project owners shall be composed of the followings:
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b) Documents relevant to amendments as defined in
subparagraph b through subparagraph m paragraph 1 Article 20 hereof;
c) Supervisory report, evaluation of amendments to
investment projects;
d) Other relevant documents.
2. The investor shall submit 21 sets of documents
as referred to in paragraph 1 of this Article to the investment registry
located at the area where investment projects are executed.
3. Within a permitted duration of 03 working days
of receipt of all required documents, the investment registry shall send 20
sets of project dossiers to the Ministry of Planning and Investment.
4. No later than 05 working days of receipt of all
required project dossiers, the Ministry of Planning and Investment shall report
to the Prime Minister on establishment of the Council in accordance with
regulations laid down in Article 4 hereof.
5. The Council shall assess amendments to the
investment policy for projects of national significance within a period of 90
days from its establishment date.
6. Documentation submitted to apply for assessment
by the Council shall be composed of the followings:
a) Assessment report prepared by the Council;
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7. The Government shall consider and give its
opinions on amendments to investment policies for projects of national
significance in accordance with the Government’s working regulations.
8. Documentation submitted by the Government to the
National Assembly shall be composed of the followings:
a) Statement prepared by the Government;
b) Investment project dossiers as defined in
paragraph 6 of this Article.
Article 27. Elements of
assessment of amendments to investment policies for projects that are not
financed by state capital
All amendments must be assessed in the similar
manner to those referred to in Article 21 hereof.
Chapter V
PROCESS, PROCEDURE FOR
AND ELEMENTS OF ASSESSMENT OF DECISION ON INVESTMENT IN PROJECTS OF NATIONAL
SIGNIFICANCE
Section 1: PROCESS, PROCEDURE
FOR AND ELEMENTS OF ASSESSMENT OF PROJECTS
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1. Documentation submitted to apply for assessment
by project owners shall be composed of the followings:
a) Assessment statement;
b) Feasibility study report;
c) The National Assembly’s resolution on approval
of the investment policy for projects of national significance;
d) Other relevant documents.
2. Project owners shall send project dossiers in
accordance with paragraph 1 of this Article to their governing body or their
state ownership representative (hereinafter referred to as governing body) to
get them reviewed and then submitted to the Prime Minister in accordance with
subparagraph a paragraph 1 Article 44 of the 2014 Law on Public
Investment.
3. Documentation submitted to apply for assessment
by the governing body shall be composed of the followings:
a) Statement filed to the Prime Minister by the
governing body;
b) Feasibility study report;
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d) Other relevant documents.
4. The governing body shall send 01 set of
documents as provided for in paragraph 3 of this Article as a report to the
Prime Minister, and concurrently send 20 sets of documents to the Ministry of
Planning and Investment.
5. No later than 05 working days of receipt of all
required project dossiers, the Ministry of Planning and Investment shall report
to the Prime Minister on establishment of the Council in accordance with
regulations laid down in Article 4 hereof.
6. The Council shall assess dossiers of projects of
national significance within a period of 90 days of receipt of all valid
project dossiers.
7. With reference to assessment opinions obtained
from the Council, the project owner and governing body shall make the project
complete; the governing body shall agree to project elements which have been
revised and send revised ones to the Council.
8. The Council shall submit such project to the Prime
Minister for his consideration and decision to invest in that project.
Submitted documentation shall include:
a) Application form sent to the Prime Minister by
the governing body (prepared by the governing body after taking into
consideration and completing project dossiers based on assessment opinions
obtained from the Council);
b) Feasibility study report that has been completed
on the basis of assessment opinions obtained from the Council;
c) Assessment report prepared by the Council;
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dd) Other relevant documents.
9. The Prime Minister shall consider and give his
opinions on the decision to invest in projects of national significance in
accordance with the Government’s working regulations.
Article 29. ELEMENTS OF
ASSESSMENT BEFORE GRANT OF DECISION ON INVESTMENT IN PROJECTS OF NATIONAL
SIGNIFICANCE
1. Assessment elements shall be composed of the
followings:
a) Evaluation of project dossiers: Legal bases,
components and contents of dossiers in accordance with applied regulations;
b) Necessity of the project;
c) Compatibility of the project with the strategy,
plan and scheme for socio-economic development, industrial development planning;
conformance to the investment policy;
d) Evaluation concerning analysis, determination of
objectives, duties, outputs of the project; analysis, selection of the project
scale; form of investment; analysis of natural conditions, economic and technical
conditions, selection of investment project location;
dd) Evaluation concerning demands for land to be
used, conditions for land allocation, lease and permission for conversion of
purpose of use of land in accordance with laws on land (if any);
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g) Evaluation concerning source of materials;
machinery, equipment; plan for selection of technology, technique and
equipment;
h) Evaluation of environmental impacts and
environmental protection solutions; fire and explosion prevention; national
defence and security assurance and other factors;
i) Evaluation concerning the investment outlay,
including determination of cost of operation, maintenance, overhaul and major
repair of a project during the process of use and operation of such project;
bases for determination of demands for investment capital; level of accuracy
pertaining to demands for investment capital; capital source structure, analysis
of feasibility of capital mobilization plans; competence in capital
mobilization in conformity with the progress of project execution; competence
in capital recovery and loan repayment; risk analysis; workforce training (if
any);
k) Evaluation concerning investment efficiency,
including financial efficiency, and socio-economic efficiency and impacts of
the project;
l) Evaluation of the master plan for compensation,
site clearance, resettlement, farming and residential relocation (if any);
m) Evaluation concerning conduct of management of
projects, including determination of the project owner; form of project
management; relationship and responsibility of entities relating to the process
of project execution, organization of the mechanism for management and
operation of the project.
2. As for any project with a construction
constituent, in addition to evaluation of contents stipulated in paragraph 1 of
this Article, evaluation of the plan for fundamental design in accordance with
laws on construction must be carried out.
Section 2: PROCESS, PROCEDURE
FOR AND ELEMENTS OF ASSESSMENT OF AMENDMENTS TO PROJECTS OF NATIONAL
SIGNIFICANCE
Article 30. Instances of
eligibility for amendments to projects of national significance
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Article 31. Process, procedure
for assessment
1. Documentation submitted to apply for assessment
of amendments to investment projects by project owners shall be composed of the
followings:
a) Statement for assessment of amendments to
investment projects;
b) Amended feasibility study report;
c) Supervisory report, evaluation of amendments to
investment projects;
d) Other relevant documents.
2. Project owners shall send project dossiers in
accordance with regulations laid down in paragraph 1 of this Article to the
governing body for the purpose of reporting and submitting these dossiers to
the Prime Minister.
3. Documentation submitted to apply for assessment
of amendments to investment projects by the governing body shall be composed of
the followings:
a) Statement filed to the Prime Minister by the
governing body to apply for amendments to investment projects;
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4. The governing body shall send 01 set of
documents as provided for in paragraph 3 of this Article as a report to the
Prime Minister, and concurrently send 20 sets of documents to the Ministry of
Planning and Investment.
5. No later than 05 working days of receipt of all
required project dossiers, the Ministry of Planning and Investment shall report
to the Prime Minister on establishment of the Council in accordance with
regulations laid down in Article 4 hereof.
6. The Council shall assess amendments to projects
of national significance within a period of 90 days of receipt of all valid
project dossiers.
7. With reference to assessment opinions obtained
from the Council, the project owner and governing body shall make the project
completely amended; the governing body shall agree to project elements which
have been completely amended and send this amended project to the Council.
8. The Council shall submit such project to the
Prime Minister for his consideration and decision to allow such amendments to
that project. Submitted documentation shall include:
a) Application form sent to the Prime Minister by the
governing body to apply for the Prime Minister’s approval of amendments
(prepared by the governing body after taking into consideration and completing
project dossiers based on assessment opinions obtained from the Council);
b) Feasibility study report that has been
completely amended on the basis of assessment opinions obtained from the
Council;
c) Report on assessment of amendments to projects
prepared by the Council;
d) Supervisory report, evaluation of amendments to
investment projects;
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9. The Prime Minister shall consider and grant his
decision on amendments to projects of national significance in accordance with
the Government’s working regulations.
Article 32. Elements of
assessment of amendments
All amendments must be assessed in the similar
manner to those referred to in Article 29 hereof.
Chapter VI
IMPLEMENTARY PROVISIONS
Article 33. Transitional
provisions in respect of projects which are under execution, or are faced with
issues related to criteria of projects of national significance
1. Projects under execution mean projects in which
decisions on investment has been granted (in respect of projects financed by
state capital) or those in which certificates of registration of investment has
been granted.
2. As for projects which are under execution but
meet criteria of a project of national significance under the provisions of
Article 7 of the 2014 Law on Public Investment and Article 30 of the 2014 Law
on Investment, transitional provisions on such projects shall provide for the
followings:
a) Execution of these projects shall be continued;
project owners shall send review reports to the person making investment
decisions or the investment registry;
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c) Management of the projects stated in this paragraph
shall be consistent with regulations laid down in decisions on investment,
certificates of investment registration which has been issued, or decisions on
investment, certificates of investment registration which has been previously
amended.
3. As for projects under execution which are
subject to any change and of which changes fall under criteria of projects of
national significance under the provisions of Article 7 of the 2014 Law on
Public Investment and Article 30 of the 2014 Law on Investment, transitional
provisions on such projects shall provide for the followings:
a) Execution of these projects shall be continued;
project owners shall report to the person making investment decisions or the
investment registry on any issues that may arise;
b) The person vested with authority to grant an
investment decision or the investment registry shall report to the Prime
Minister for his review and opinions on amendments as well as direction of
reporting to the National Assembly at its year-end meeting on the process of
execution of such projects in which such issues are clearly stated;
c) Process, procedure for considering application
for amendments to projects shall be consistent with applicable regulations in
the similar manner to those applied to projects or groups of projects existing
prior to amendments;
d) Management of projects stipulated in this
paragraph shall be consistent with laws and regulations on projects of national
significance.
Article 34. Effect
1. This Decree shall enter into force from February
15, 2016.
2. The Government’s Decree No. 03/2013/ND-CP dated
January 4, 2013 on detailed provisions and guidance on implementation of
several articles of the National Assembly’s Resolution No. 49/2010/QH12 on
projects or construction works of national significance that must be submitted
to the National Assembly to apply for its decision on investment policies.
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Ministries, Heads of Ministry-level agencies, Heads
of Government agencies, the Presidents of People’s Committees of
central-affiliated cities and provinces, and related organizations and
individuals, shall be responsible for enforcing this Decree./.
PP. THE
GOVERNMENT
THE PRIME MINISTER
Nguyen Tan Dung
APPENDIX
FORM OF INSPECTION PLAN
(Issued together with the Government’s Decree No. 131/2015/ND-CP dated
December 25, 2015)
STATE
ASSESSMENT COUNCIL
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PROJECT [Name
of project]
Hanoi, date……….
INSPECTION PLAN
I. TASKS AND ELEMENTS OF ASSESSMENT
1. Inspection tasks:
Conduct assessment of the pre-feasibility study
report [Name of project] (hereinafter referred to as project) with the
aim of reporting to the Prime Minister to apply for his consideration and
requesting the National Assembly to grant its decision on investment policies (applicable
to projects of national significance submitted to the National Assembly for its
grant of decision on investment policies).
Or: Conduct assessment of the feasibility
study report [Name of project] (hereinafter referred to as project) to
report to the Prime Minister for his consideration and decision on investment.
2. Elements of assessment of the project: Depending
on type of capital source, form of investment and assessment elements must be
consistent with regulations laid down in Article 16, 19, 21, 23, 25, 27, 29 and
32 hereof.
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1. Suggest establishment of the interdisciplinary
Assessment Expert Group or other assistance group (if any).
(Clearly determine elements or contents of work
duties assigned to the interdisciplinary Assessment Expert Group and other
assistance groups).
2. Suggest hire of inspection consultants (if any).
(Recommend inspection consultants, and prepare
specific duties of these inspection consultants)
III. WORK SCHEDULE AND AGENDA OF THE COUNCIL
1. Work agenda of the Council.
2. Plan for
establishment of the interdisciplinary Assessment Expert Group or other
assistance group (if any).
3. Plan for selection of inspection consultants (if
any).
IV. WORK CONDITIONS
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2. Cost of assessment or inspection of the project (detailed
budget estimate attached).
3. Other work conditions.