Chương IV Nghị định 29/2021/NĐ-CP: Hồ sơ, thủ tục và nội dung thẩm định quyết định chủ trương đầu tư, điều chỉnh chủ trương đầu tư dự án quan trọng quốc gia

Chapter IV

DOCUMENTATION, PROCEDURES AND CONTENTS OF APPRAISAL OF DECISION ON INVESTMENT GUIDELINES AND ADJUSTMENTS TO INVESTMENT GUIDELINES OF PNS

Section 1. DOCUMENTATION, PROCEDURES AND CONTENTS OF APPRAISAL OF DECISION ON INVESTMENT GUIDELINES OF PNS FUNDED BY PUBLIC INVESTMENT CAPITAL

Article 13. Documentation and procedures for application for internal appraisal by project owners or units affiliated to authorities assigned to prepare investment

1. Documentation submitted to apply for internal appraisal includes:

a) An application form for internal appraisal submitted by the project owner or unit affiliated to the authority assigned to prepare investment;

b) A pre-feasibility study report;

c) Other relevant documents (if any).

2. The project owner or unit affiliated to the authority assigned to prepare investment shall submit 15 sets of project dossiers as prescribed in Clause 1 of this Article to its supervisory authority or the authority assigned to prepare investment to carry out internal appraisal as prescribed in Point b Clause 1 Article 19 of the Law on Public Investment. The time limit for internal appraisal shall not exceed 30 days from the date of receipt of all valid documents.

Article 14. Documentation and procedures for application for appraisal by supervisory authorities or authorities assigned to prepare investment

1. Documentation submitted to apply for appraisal includes:

a) An application form filed to the Prime Minister by the supervisory authority or authority assigned to prepare investment;

b) A pre-feasibility study report that has been completed according to opinions received from the internal appraisal;

c) An internal appraisal report;

d) Other relevant documents (if any).

2. The supervisory authority or authority assigned to prepare investment shall submit 01 set of documents as prescribed in Clause 1 of this Article as a report to the Prime Minister, and concurrently submit 20 sets of documents to the Ministry of Planning and Investment.

3. Within 15 days from the receipt of the project dossiers, the Ministry of Planning and Investment shall request the Prime Minister to establish a Council as prescribed in Article 4 hereof.

4. The Council shall appraise investment guidelines of the PNS within 90 days from the date of establishment. If an inspection consultant is hired, the time limit for appraisal by the Council begins from the date on which the consultant hiring contract is signed.

Article 15. Documentation and procedures for application for appraisal by the Council and the Government

1. Documentation submitted by the Council to apply for appraisal to the Government includes:

a) An application form filed to the Government by the supervisory authority or authority assigned to prepare investment;

b) A pre-feasibility study report;

c) An appraisal report prepared by the Council;

d) Other relevant documents (if any).

2. The Government shall consider and give its opinions on investment guidelines of PNS in accordance with the Government’s working regulations.

3. Documentation submitted by the Government to the National Assembly as prescribed in Article 20 of the Law on Public Investment includes:

a) An application form prepared by the Government;

b) The documents specified in Clause 1 of this Article;

c) Other relevant documents (if any).

Article 16. Contents of appraisal of decision on investment guidelines of PNS funded by public investment capital

1. Assessment of project dossiers: legal bases, components and contents of dossiers in accordance with applied regulations.

2. Satisfaction of criteria for determination of PNS;

3. Necessity of investment, conditions for investment, assessment of conformity with socio – economic development strategies and plans, and relevant planning in accordance with the law on planning.

4. Assessment of demand forecast, influence coverage and proposed objectives of investment, scale and form of investment.

5. Assessment of location and site of investment, proposed demand for land area used and demand for utilization of other natural resources (if any); assessment of the compensation, assistance, land clearance and relocation plan.

6. Assessment of analysis, preliminary choice in terms of key technology and techniques, and conditions for supply of raw materials, equipment, energy, services and infrastructural facilities;

7. Assessment of analysis, preliminary selection of investment plans and scale of investment constituents;

8. Preliminary assessment of environmental impacts (if any) prescribed by the law on environmental protection.

9. Assessment of determination of preliminary total investment and capital raising plan: bases for determination of preliminary total investment; capital source structure; preliminary analysis of feasibility of capital raising plans and capability of balancing public investment capital.

10. Assessment of determination of preliminary costs of operation, maintenance, overhaul and major repair during the period of operation of projects.

11. Assessment of the proposed progress of execution of projects, division of investment phases or component or subordinate projects (if any).

12. Preliminary assessment of investment efficiency in terms of finance, society, economy, national defense and security and sustainable development.

13. Assessment of solutions for organizing execution of projects: definition of the project owner (if any); form of project management.

14. Assessment of particular mechanisms and policies; investment incentives and assistance and conditions for application thereof (if any).

Section 2. DOCUMENTATION, PROCEDURES AND CONTENTS OF APPRAISAL OF DECISION ON INVESTMENT GUIDELINES OF PPP PROJECTS SUBJECT TO DECISION ON THEIR INVESTMENT GUIDELINES BY THE NATIONAL ASSEMBLY

Article 17. Documentation and procedures for application for appraisal

1. Documentation submitted to apply for appraisal:

a) Documentation submitted by the competent authority includes the documents specified in Clause 1 Article 15 of the Law on Public – Private Partnership Investment.

b) Documentation submitted by the investor includes the documents specified in Point c Clause 1 Article 27 of the Law on Public – Private Partnership Investment.

2. The competent authority shall submit 01 set of documents as prescribed in Clause 1 of this Article as a report to the Prime Minister, and concurrently submit 20 sets of documents to the Ministry of Planning and Investment.

3. Within 15 days from the receipt of the project dossiers, the Ministry of Planning and Investment shall request the Prime Minister to establish a Council as prescribed in Article 4 hereof.

4. The Council shall appraise investment guidelines of projects within 90 days from the date of establishment. If an inspection consultant is hired, the time limit for appraisal by the Council begins from the date on which the consultant hiring contract is signed.

5. Documentation submitted by the Council to apply for appraisal to the Government includes:

a) The documents specified in Clause 1 of this Article;

b) An appraisal report prepared by the Council;

c) Other relevant documents (if any).

6. The Government shall consider and give its opinions on investment guidelines of the project in accordance with the Government’s working regulations.

7. Documentation submitted by the Government to the National Assembly shall comply with Article 16 of the Law on Public – Private Partnership Investment.

Article 18. Contents of appraisal of decision on investment guidelines of projects

1. Assessment of project dossiers: legal bases, components and contents of dossiers in accordance with applied regulations.

2. Satisfaction of criteria for determination of projects subject to decision on their investment guidelines by the National Assembly.

3. Conformity with requirements for project’s eligibility for PPP investment specified in Clause 1 Article 14 of the Law on Public – Private Partnership Investment.

4. Conformity with bases for preparation of pre-feasibility study reports specified in Clause 2 Article 14 of the Law on Public – Private Partnership Investment.

5. Conformity with the socio – economic development strategies and plans, and relevant planning in accordance with the law on planning.

6. Assessment of objectives; proposed project scale, site and duration of the project, demands for use of land and other natural resources;

7. Assessment of analysis, preliminary choice in terms of key technology and techniques, and conditions for supply of raw materials, equipment, energy, services and infrastructural facilities;

8. Assessment of analysis, preliminary selection of investment plans and scale of investment constituents;

9. Assessment of the compensation, assistance, land clearance and relocation plan.

10. Preliminary assessment of environmental impacts (if any) prescribed by the law on environmental protection.

11. Assessment of determination of preliminary total investment.

12. Assessment of determination of preliminary costs of operation, maintenance, overhaul and major repair during the period of operation of projects;

13. Assessment of division of investment phases or component or subordinate projects (if any).

14. Preliminary assessment of investment efficiency in terms of finance, society, economy; effects of PPP projects on the community and population living within these projects; effects of projects on national defense, security and sustainable development; capital recovery.

15. Relevance of the PPP contract type.

16. Mechanism for distribution of revenue reductions.

17. Funding sources and capital balancing capability of PPP projects funded by state capital.

18. Assessment of form of project management.

19. Assessment of particular mechanisms and policies; investment incentives and assistance and conditions for application thereof (if any).

Section 3. DOCUMENTATION, PROCEDURES AND CONTENTS OF APPRAISAL OF APPROVAL FOR INVESTMENT GUIDELINES OF PPP PROJECTS SUBJECT TO APPROVAL FOR THEIR INVESTMENT GUIDELINES BY THE NATIONAL ASSEMBLY

Article 19. Document and procedures for application for appraisal by investors or competent authorities

1. Documentation submitted to apply for appraisal:

a) Documentation submitted to apply for appraisal of approval for investment guidelines of projects proposed by investors shall comply with Clause 1 Article 33 of the Law on Investment;

b) Documentation submitted to apply for appraisal of approval for investment guidelines of projects set up by competent authorities shall comply with Clause 2 Article 33 of the Law on Investment.

2. The investor or competent authority shall submit 20 sets of documents as prescribed in Clause 1 of this Article to the Ministry of Planning and Investment.

3. Within 15 days from the receipt of the project dossiers, the Ministry of Planning and Investment shall request the Prime Minister to establish a Council as prescribed in Article 4 hereof.

4. The Council shall appraise investment guidelines of projects within 90 days from the date of establishment. If an inspection consultant is hired, the time limit for appraisal by the Council begins from the date on which the consultant hiring contract is signed.

Article 20. Documentation and procedures for application for appraisal by the Council and the Government

1. Documentation submitted by the Council to apply for appraisal to the Government includes:

a) The documents mentioned in Clause 1 Article 19 hereof;

b) An appraisal report prepared by the Council;

c) Other relevant documents (if any).

2. The Government shall consider and give its opinions on investment guidelines of PNS in accordance with the Government’s working regulations.

3. Documentation submitted by the Government to the National Assembly as prescribed in Clause 5 Article 34 of the Law on Investment includes:

a) An application form prepared by the Government;

b) The documents specified in Clause 1 of this Article;

c) Other relevant documents (if any).

Article 21. Contents of appraisal of approval for investment guidelines

1. Contents of appraisal of approval for investment guidelines include:

a) Assessment of project dossiers: legal bases, components and contents of dossiers in accordance with applied regulations.

b) Satisfaction of criteria for determination of projects subject to approval for their investment guidelines by the National Assembly;

c) Necessity of executing the investment project;

d) Conformity of the investment project with national planning, regional planning, provincial planning, urban planning and special economic - administrative unit planning (if any);

dd) Objectives, scale, location, duration, execution schedule of the investment project, demand for land use, land clearance and relocation plan, options to select primary technologies;

e) Assessment of the technology to be used in the investment project if the project requires appraisal and collection of opinions on the technology in accordance with the Law on Technology Transfer;

g) Assessment of determination of preliminary total investment; capital sources and feasibility of capital sources;

h) Preliminary assessment of investment efficiency in terms of finance, society, economy, national defense and security and sustainable development;

i) Preliminary assessment of environmental impacts (if any) prescribed by the law on environmental protection;

k) Assessment of investment incentives and conditions for enjoying investment incentives (if any);

l) Assessment of conformity of the investment project with the objectives and orientation for urban development, and residential housing development programs and plans; preliminary plan for phasing of investment with a view to synchronism assurance; preliminary structure of residential housing products and provision of land for social residential housing development; preliminary plan for investment in construction and management of urban infrastructure inside and outside the project in the case of a project on construction of residential houses and urban areas.

m) Special policies and mechanisms; investment incentives, investment assistance and conditions for application thereof (if any).

2. Contents of appraisal of approval for both investment guidelines and investors:

a) The contents specified in Clause 1 of this Article;

b) The ability to satisfy the conditions for land allocation or land lease in the case of land allocation or land lease without auction of the land use right or bidding for investor selection; the ability to satisfy the conditions for land repurposing if the project requires land repurposing;

c) Assessment of satisfaction of market access conditions applied to foreign investors (if any);

d) Other conditions applicable to the investor in accordance with relevant regulations of law.

Section 4. DOCUMENTATION, PROCEDURES AND CONTENTS OF APPRAISAL OF APPROVAL FOR OUTWARD INVESTMENT GUIDELINES

Article 22. Documentation and procedures for application for appraisal by investors

1. The investor shall submit 20 sets of documents as referred to in Clause 1 Article 57 of the Law on Investment to the Ministry of Planning and Investment.

2. Within 05 working days from the receipt of all required project dossiers, the Ministry of Planning and Investment shall request the Prime Minister to establish a Council as prescribed in Article 4 hereof.

3. The Council shall appraise outward investment guidelines within 90 days from the date of establishment. If an inspection consultant is hired, the time limit for appraisal by the Council begins from the date on which the consultant hiring contract is signed.

Article 23. Documentation and procedures for application for appraisal by the Council and the Government

1. Documentation submitted by the Council to the Government includes:

a) The documents specified in Clause 1 Article 57 of the Law on Investment;

b) An appraisal report prepared by the Council;

c) Other relevant documents (if any).

2. The Government shall consider and give its opinions on outward investment guidelines in accordance with the Government’s working regulations.

3. Documentation submitted by the Government to the National Assembly as prescribed in Clause 5 Article 57 of the Law on Investment includes:

a) An application form prepared by the Government;

b) The documents specified in Clause 1 of this Article;

c) Other relevant documents (if any).

Article 24. Contents of appraisal of approval for outward investment guidelines

1. Assessment of project dossiers: legal bases, components and contents of dossiers in accordance with applied regulations.

2. Satisfaction of criteria for determination of projects subject to approval for their investment guidelines by the National Assembly;

3. Conditions for issuance of the outward investment registration certificate specified in Article 60 of the Law on Investment.

4. Legal status of the investor.

5. Necessity of conducting outward investment activities.

6. Conformity of the investment project with Clause 1 Article 51 of the Law on Investment.

7. Form, scale, location and execution schedule of the investment project, outward investment capital and sources of capital.

8. Assessment of level of risks in the host country.

9. Special policies and mechanisms; investment incentives, investment assistance and conditions for application thereof (if any).

Section 5. DOCUMENTATION, PROCEDURES AND CONTENTS OF APPRAISAL OF ADJUSTMENTS TO INVESTMENT GUIDELINES OF PNS FUNDED BY PUBLIC INVESTMENT CAPITAL

Article 25. Documentation and procedures for application for internal appraisal of adjustments to investment guidelines by project owners or units affiliated to authorities assigned to prepare investment

1. Documentation submitted to apply for internal appraisal includes:

a) An application form for internal appraisal submitted by the project owner or unit affiliated to the authority assigned to prepare investment;

b) Adjusted pre-feasibility study report or adjusted feasibility study report;

c) A report on supervision and assessment of adjustments to the investment project;

d) Other relevant documents (if any).

2. The project owner or unit affiliated to the authority assigned to prepare investment shall submit 15 sets of documents as prescribed in Clause 1 of this Article to its supervisory authority or the authority assigned to prepare investment to carry out internal appraisal as prescribed in Point b Clause 2 Article 34 and Point Clause 1 Article 19 of the Law on Public Investment. The time limit for internal appraisal shall not exceed 30 days from the date of receipt of all valid documents.

3. The project owner or unit affiliated to the authority assigned to prepare investment shall complete the project dossiers based on the contents of internal appraisal.

Article 26. Documentation and procedures for application for appraisal of adjustments to investment guidelines by supervisory authorities or authorities assigned to prepare investment

1. Documentation submitted to apply for appraisal includes:

a) An application form filed to the Prime Minister by the supervisory authority or authority assigned to prepare investment;

b) Adjusted pre-feasibility study report or adjusted feasibility study report that has been completed according to opinions received from the internal appraisal;

c) The internal appraisal report specified in Clause 2 Article 29 hereof;

d) A report on supervision and assessment of adjustments to the investment project;

dd) Other relevant documents (if any).

2. The supervisory authority or authority assigned to prepare investment shall submit 01 set of documents as prescribed in Clause 1 of this Article as a report to the Prime Minister, and concurrently submit 20 sets of documents to the Ministry of Planning and Investment.

3. Within 15 days from the receipt of the project dossiers, the Ministry of Planning and Investment shall request the Prime Minister to establish a Council as prescribed in Article 4 hereof.

4. The Council shall appraise adjustments to investment guidelines of the project within 90 days from the date of establishment. If an inspection consultant is hired, the time limit for appraisal by the Council begins from the date on which the consultant hiring contract is signed.

Article 27. Documentation and procedures for application for appraisal by the Council and the Government

1. Documentation submitted by the Council to the Government includes:

a) The documents specified in Clause 1 Article 26 hereof;

b) An appraisal report prepared by the Council;

c) Other relevant documents (if any).

2. The Government shall consider and give its opinions on investment guidelines of the project in accordance with the Government’s working regulations.

3. Documentation submitted by the Government to the National Assembly includes:

a) An application form prepared by the Government;

b) The documents specified in Clause 1 of this Article;

c) Other relevant documents (if any).

Article 28. Contents of appraisal of adjustments to investment guidelines of PNS funded by public investment capital

All adjustments must be appraised in the similar manner to those referred to in Article 16 hereof.

Section 6. DOCUMENTATION, PROCEDURES AND CONTENTS OF APPRAISAL OF ADJUSTMENTS TO INVESTMENT GUIDELINES OF PPP PROJECTS SUBJECT TO DECISION ON THEIR INVESTMENT GUIDELINES BY THE NATIONAL ASSEMBLY

Article 29. Documentation and procedures for application for appraisal of adjustments to investment guidelines

1. Documentation submitted by the competent authority includes the documents specified in Clause 4 Article 18 of the Law on Public – Private Partnership Investment.

2. The competent authority shall submit 01 set of documents as prescribed in Clause 1 of this Article as a report to the Prime Minister, and concurrently submit 20 sets of documents to the Ministry of Planning and Investment.

3. Within 15 days from the receipt of the project dossiers, the Ministry of Planning and Investment shall request the Prime Minister to establish a Council as prescribed in Article 4 hereof.

4. The Council shall appraise adjustments to investment guidelines of PNS within 90 days from the date of establishment. If an inspection consultant is hired, the time limit for appraisal by the Council begins from the date on which the consultant hiring contract is signed.

5. Documentation submitted by the Council to the Government includes:

a) The documents specified in Clause 1 of this Article;

b) An appraisal report prepared by the Council;

c) Other relevant documents (if any).

6. The Government shall consider and give its opinions on investment guidelines of PNS in accordance with the Government’s working regulations.

7. Documentation submitted by the Government to the National Assembly includes:

a) An application form prepared by the Government;

b) The documents specified in Clause 5 of this Article;

c) Other relevant documents (if any).

Article 30. Contents of appraisal of adjustments to investment guidelines of projects

All adjustments must be appraised in the similar manner to those referred to in Article 18 hereof.

Section 7. . DOCUMENTATION, PROCEDURES AND CONTENTS OF APPRAISAL OF APPROVAL FOR ADJUSTMENTS TO INVESTMENT GUIDELINES OF INVESTMENT PROJECTS AS SPECIFIED IN ARTICLE 41 OF THE LAW ON INVESTMENT

Article 31. Documentation and procedures for application for appraisal of approval for adjustments to investment guidelines of projects

1. Documentation submitted by the investor to apply for appraisal includes:

a) An application form for approval for adjustments to investment guidelines, which specifies the adjustments and reason for adjustment;

b) Adjusted proposal for the investment project or adjusted pre-feasibility study report or adjusted feasibility study report;

c) The documents in Points b, c, dd, e, g and h Clause 1 Article 33 of the Law on Investment related to the adjustments.

d) Other relevant documents (if any).

2. The investor shall submit 20 sets of documents as referred to in Clause 1 of this Article to the Ministry of Planning and Investment.

3. Within 15 days from the receipt of all valid documents, the Ministry of Planning and Investment shall request the Prime Minister to establish a Council as prescribed in Article 4 hereof.

4. The Council shall appraise approval for adjustments to investment guidelines within 90 days from the date of establishment. If an inspection consultant is hired, the time limit for appraisal by the Council begins from the date on which the consultant hiring contract is signed.

5. Documentation submitted by the Council to the Government includes:

a) The documents specified in Clause 1 of this Article;

b) An appraisal report prepared by the Council;

c) Other relevant documents (if any).

6. The Government shall consider and give its opinions on approval for adjustments to investment guidelines of PNS in accordance with the Government’s working regulations.

7. Documentation submitted by the Government to the National Assembly includes:

a) An application form prepared by the Government;

b) The documents specified in Clause 5 of this Article;

c) Other relevant documents (if any).

Article 32. Contents of appraisal of approval for adjustments to investment guidelines of projects

All adjustments must be appraised in the similar manner to those referred to in Article 21 hereof.

Section 8. DOCUMENTATION, PROCEDURES AND CONTENTS OF APPRAISAL OF APPROVAL FOR ADJUSTMENTS TO OUTWARD INVESTMENT GUIDELINES

Article 33. Documentation and procedures for application for appraisal of adjustments to outward investment guidelines

1. Documentation submitted by the investor to apply for appraisal includes:

a) An application form for approval for adjustments to outward investment guidelines, which specifies the adjustments and reason for adjustment;

b) The documents specified in Clause 3 Article 63 of the Law on Investment;

c) Other relevant documents (if any).

2. The investor shall submit 20 sets of documents as referred to in Clause 1 of this Article to the Ministry of Planning and Investment.

3. Within 05 working days from the receipt of all required project dossiers, the Ministry of Planning and Investment shall request the Prime Minister to establish a Council as prescribed in Article 4 hereof.

4. The Council shall appraise approval for adjustments to outward investment guidelines within 90 days from the date of establishment. If an inspection consultant is hired, the time limit for appraisal by the Council begins from the date on which the consultant hiring contract is signed.

5. Documentation submitted by the Council to the Government includes:

a) The documents specified in Clause 1 of this Article;

b) An appraisal report prepared by the Council;

c) Other relevant documents (if any).

6. The Government shall consider and give its opinions on approval for outward investment guidelines in accordance with the Government’s working regulations.

7. Documentation submitted by the Government to the National Assembly includes:

a) An application form prepared by the Government;

b) The documents specified in Clause 5 of this Article;

c) Other relevant documents (if any).

Article 34. Contents of appraisal of approval for adjustments to investment guidelines of projects

All adjustments must be appraised in the similar manner to those referred to in Article 24 hereof.