Mẫu số 02 Thông tư 05/2023/TT-BKHĐT: Báo cáo đánh giá ban đầu đối với dự án đầu tư công

MINISTRY OF PLANNING AND INVESTMENT OF VIETNAM --------	SOCIALIST REPUBLIC OF VIETNAM Independence - Freedom - Happiness ---------------
No. 05/2023/TT-BKHDT	Hanoi, June 30, 2023

 

CIRCULAR

INVESTMENT SUPERVISION AND EVALUATION REPORT FORMS; ONLINE REPORTING AND MANAGING OPERATION OF INFORMATION SYSTEM FOR INVESTMENT SUPERVISION AND EVALUATION OF PROGRAMS AND PROJECTS UTILIZING STATE FUNDING

Pursuant to the Law on Public Investment dated June 13, 2019;

Pursuant to the Law on Construction dated June 18, 2014;

Pursuant to the Law on amendment to the Law on Construction dated June 17, 2020;

Pursuant to the Law on Investment dated June 17, 2020;

Pursuant to the Law on Investment in Public-Private Partnerships dated June 18, 2020;

Pursuant to the Law on amendment to the Law on Public Investment, the Law on Investment in Public-Private Partnerships, the Law on Investment, the Law on Housing, the Law on Bidding, the Law on Electricity, the Law on Enterprises, the Law on Excise Tax, and the Law on Civil Judgment Enforcement dated January 11, 2022;

Pursuant to Decree No. 130/2018/ND-CP dated September 27, 2018 of the Government elaborating the Law on E-transactions regarding digital signatures and digital signature authenticating services.

Pursuant to Decree No. 29/2021/ND-CP dated March 26, 2021 of the Government on procedures for assessing projects of national importance and supervising, evaluating investment;

Pursuant to Decree No. 89/2022/ND-CP dated October 28, 2022 of the Government on functions, tasks, powers, and organizational structures of Ministry of Planning and Investment;

At request of Director of Department of Investment Supervision and Appraisal and Director of Information Technology and Digital Transformation Center;

The Minister of Planning and Investment promulgates Circular on investment supervision and evaluation report forms; online reporting and managing operation of information system for investment supervision and evaluation of programs and projects utilizing state funding.

Chapter I

GENERAL PROVISIONS

Article 1. Scope

This Circular prescribes:

1. Investment supervision and evaluation report forms according to Decree No. 29/2021/ND-CP dated March 26, 2021 of the Government on procedures for evaluating projects of national importance and supervising, evaluating investment (hereinafter referred to as “Decree No. 29/2021/ND-CP”), other that outward investment projects.

Projects utilizing ODA and concessional loans of foreign sponsors using report forms under this Circular; issues distinctive to the use of these fundings, compliance with regulations and law on the use of ODA and concessional loans of foreign sponsors.

2. Investment supervision and evaluation on professional information system for the purpose of supervising, evaluating investment programs and projects utilizing state funding, and managing operation of information system for supervision and evaluation of investment programs, projects utilizing state funding.

Article 2. Regulated entities

This Circular applies to organizations and individuals relating to the production and submission of report on investment supervision and evaluation.

Article 3. Definitions

1. Information system for supervising and evaluating investment in investment programs and projects utilizing state funding (hereinafter referred to as “System”) means a system for updating, storing information, supervising, evaluating, analyzing, and publicizing information on nation-wide investment programs and projects utilizing state funding. The System consists of:

a) National information portal for investment supervision and evaluation which is a website for investment supervision and evaluation for the purpose of publicizing information on investment utilizing state funding in accordance with Article 14 of the Law on Public Investment;

b) Professional information system means a System enabling organizations and individuals relating to investment utilizing state funding to use accounts provided by the Ministry of Planning and Investment to carry out investment supervision and evaluation as per the law;

c) Technical infrastructures, including: network system, server, security, system software, application software.

2. Digital signatures used in the professional information system: mean digital signatures issued by authentication service providers for Governmental digital signatures and serving Communist Party agencies, Governmental agencies, socio-political organizations.

3. Registration system means a System where organizations and individuals related to investment utilizing state funding to register login accounts of the Professional information system (at https://taikhoan.mpi.gov.vn).

4. General data on investment supervision and evaluation: means data under 8 schedules of Form No. 1 attached hereto.

Chapter II

INVESTMENT SUPERVISION AND EVALUATION REPORT FORM; ONLINE REPORTING AND MANAGING OPERATION OF INFORMATION SYSTEM FOR INVESTMENT SUPERVISION AND EVALUATION OF PROGRAMS AND PROJECTS UTILIZING STATE FUNDING

Section 1. INVESTMENT SUPERVISION AND EVALUATION REPORT FORMS

Article 4. Investment supervision and evaluation report forms

1. Annual investment supervision and overall evaluation report form:

Form No. 1: Annual investment supervision and overall evaluation report form:

2. Supervision and evaluation forms for public investment projects and non-public investment projects utilizing state funding, including:

a) Form No. 2: Initial evaluation report;

b) Form No. 3: Periodic supervision and evaluation report form during investment (6-monthly, yearly);

c) Form No. 4: Mid-term or mid-phase evaluation report;

d) Form No. 5: Supervision and evaluation report for adjustment of investment projects;

dd) Form No. 6: Irregular report form;

e) Form No. 7: Investment supervision and evaluation report for ending investment;

g) Form No. 8: Periodic supervision and evaluation form during use and operation (6-monthly, yearly);

h) Form No. 9: Impact assessment report;

dd) Form No. 10: Yearly supervision and evaluation summary report for investment projects under management.

3. Supervision and evaluation report forms for investment projects in public-private partnerships, including:

a) Form No. 11: Periodic supervision and evaluation report form during investment (6-monthly, yearly);

b) Form No. 12: Periodic supervision and evaluation form during use and operation (6-monthly, yearly);

c) Supervision and evaluation report form for adjustment of investment project shall use Form No. 5 under Point d Clause 2 of this Article;

d) Mid-term, mid-phase, final evaluation forms and impact assessment forms shall use corresponding forms under Clause 2 of this Article.

4. Supervision and evaluation report forms for investment projects utilizing other funding sources, including:

a) Form No. 13: Periodic supervision and evaluation report form during investment (6-monthly, yearly);

b) Form No. 14: Irregular evaluation report;

c) Form No. 15: Supervision and evaluation report form for adjustment of investment projects;

d) Form No. 16: Final evaluation form;

dd) Form No. 17: Periodic supervision and evaluation form during use and operation (6-monthly, yearly);

e) Form No. 18: Impact assessment report.

5. Community investment supervision report form;

Form No. 19: Community investment supervision report form.

6. In regard to projects that utilize multiple funding sources including state funding, report forms and policies shall conform to regulations applicable to public investment projects and non-public investment projects utilizing state funding. With respect to investment projects in public-private partnerships utilizing state funding, use schedules under Clause 3 of this Article.

7. In forms mentioned above, details expressed in italic font are instructional in nature and shall be elaborated by users on a case-by-case basis.

Section 2. ONLINE REPORTING AND MANAGING OPERATION OF INFORMATION SYSTEM FOR SUPERVISION AND EVALUATION OF INVESTMENT PROGRAMS AND PROJECTS UTILIZING STATE FUNDING

Article 5. Regulations on update and reporting of project developers, component project developers

1. If investment of programs and projects is approved: Update information of the programs and projects according to Decision on investment guidelines, Decision on investment in the System within 7 working days from the date on which investment guidelines and investment decisions are issued/approved.

2. During implementation:

a) If adjustment or addition is made to details under Point b Clause 4 Article 101 of Decree No. 29/2021/ND-CP, the changes shall be immediately updated in the System within 7 working days from the date on which competent authority approves the changes.

b) On the 25^th of each month, update on information on: actual value at the site and disbursement value; images or videos on current construction status in regard to projects that involve construction shall be made.

3. At the end of programs, projects: update on information on project settlement according to Decision on settlement approval shall be made within 7 working days from the date on which settlement is approved.

4. Upload the following documents to the System within 7 working days from the date on the which the documents are approved, promulgated, issued by competent authority (documents uploaded to the System shall be color scanned from original copies or electronic copies bearing Governmental digital signatures), including:

a) Decision/Approval of investment guidelines, Decision on adjustment to investment guidelines (if any);

b) Decision on investment, revised Decision on investment (if any);

c) Decision approving technical design or construction drawing design and estimates; Decision on adjustment to technical design or technical construction drawing and estimates (if any);

d) Decision approving contractor selection plan, Decision approving adjustment to contractor selection plan (if any);

dd) Evaluation result report;

g) Report on inspection results;

g) Project supervision and evaluation report mentioned under Clause 5 of this Article;

h) Decision approving settlement.

In addition to information and reports uploaded by project developers and component project developers in accordance with regulations above, project developers and component project developers are encouraged to upload all documents according to functions of the Professional information system.

5. The following supervision and evaluation reports bearing seals or Governmental digital signatures shall be uploaded to Professional information system:

a) Periodic supervision and evaluation report: 6-monthly, yearly. Supervision and evaluation report of investment of project developers and component project developers according to Schedule No. 9 shall be consolidated from information available on the Professional information system from contracts of the projects;

b) Supervision and evaluation report for adjustment of investment projects;

c) Final investment supervision and evaluation report;

d) Annual supervision and evaluation summary report of investment programs and projects under their management.

Report deadline shall conform to Point a Clause 11 Article 100 of Decree No. 29/2021/ND-CP.

6. On an annual basis, report data on investment supervision and overall evaluation on the Professional information system, including:

a) Consolidate information from programs and projects under their management available on the Professional information system;

b) Review and add additional report data;

c) Send data report.

Report deadline shall conform to Point a Clause 11 Article 100 of Decree No. 29/2021/ND-CP.

7. Update of information and report on the Professional information system mentioned under Clauses 1, 2, 3, 4, 5, and 6 of this Article shall act as alternative to periodic physical report produced by project developers and component project developers in accordance with Decree No. 29/2021/ND-CP and this Circular.

8. Project developers and component project developers that fail to comply with reporting regulations under this Article shall be met with penalties in accordance with Article 103 of Decree No. 29/2021/ND-CP.

Article 6. Regulations on report of ministries, central departments, local governments, and state-owned enterprises

1. On an annual basis, produce investment supervision and overall evaluation on the Professional information system, including:

a) Review and consolidate investment supervision and overall evaluation based on data from Professional information system of project developers and component project developers within their management or from subordinate authorities;

b) Produce investment supervision and overall evaluation report using Form No. 1 attached hereto (together with Schedules No. 1, 2, 3, 4, 5, 6, 7, and 8 consolidated from data on the Professional information system) and upload this report to the Professional information system. When uploaded reports have been verified by Governmental digital signatures, physical report submission to competent authorities in accordance with Decree No. 29/2021/ND-CP and this Circular.

c) Report deadline shall conform to Point c Clause 11 Article 100 of Decree No. 29/2021/ND-CP.

2. Once local Resolutions on medium-term and annual public investment plans are approved, local governments shall upload the list and funding of each program, project utilizing local government budget on Professional information system.

Article 7. Account management

1. Account registration

a) If Governmental digital signatures have been granted:

Register online at https://taikhoan.mpi.gov.vn

b) If Governmental digital signatures have not been granted:

Log onto https://taikhoan.mpi.gov.vn, declare relevant information of program, project developers, and choose any of the followings:

Method 1: Contact and request presiding authority to use their own account to verify registration information.

Method 2: Print account registration after declaration, request head of the entity to verify (signature and seal), and send color scanned copies of the registration to dautucong@mpi.gov.vn.

2. Account issuance

a) With respect to accounts registered in accordance with Point a Clause 1 of this Article: the Ministry of Planning and Investment shall issue the account within 1 working day from the date on which registration is complete.

b) With respect to accounts registered in accordance with Method 1 of Point b Clause 1 of this Article: the Ministry of Planning and Investment shall issue the account within 1 working day from the date on which presiding authority verifies the registration.

c) With respect to accounts registered in accordance with Method 2 of Point b Clause 1 of this Article: the Ministry of Planning and Investment shall issue the account within 1 working day from the date on which they receive the email containing the registration.

d) Issued account shall be sent via registered email or phone number.

dd) If user requests re-sending of password, the Ministry of Planning and Investment shall rely on registered information to re-send the password.

3. Account verification

Registration system shall be connected to National population database which verifies registration information.

4. Account recall and suspension

a) An account shall be recalled at request presented in writing or an e-mail bearing digital signatures or an electronic document bearing digital signatures of presiding authority.

b) An account shall be immediately suspended when it is found to be used for destroying data, attacking or scanning the System.

5. Account security requirements

a) User shall be required to change password within 1 working day from the date on which he/she receives the account and once every quarter.

b) User shall not be allowed to disclose the password to individuals who are not responsible for updating information on the Professional information system. If user is changed, individuals receiving the account shall change the password and user information on the Professional information system.

Article 8. Responsibilities of project developers and component project developers

1. Promptly and accurately update information and reports in accordance with Article 5 hereof.

2. On a quarterly basis, before the 10^th of the first month of the next quarter (or February 10 of the next year in case of the 4th Quarter), verify as to whether data has been updated on the Professional information system.

3. Assume responsibility for information and data registered in the Professional information system and be held accountable in case of inaccurate report, information on investment within their management.

4. Assign officials to manage account usage Expedite and supervise implementation of account security requirements of user in accordance with Clause 5 Article 7 hereof.

Article 9. Responsibilities of ministries, central departments, local governments, and state-owned enterprises

1. Verify registration information of subordinate authorities or project developers under their management in accordance with Point b Clause 1 Article 7 hereof.

2. Produce investment supervision and overall evaluation report in accordance with Article 6 hereof.

3. On a quarterly basis, before the 15^th of the first month of the next quarter (or before February 15 of the next year in case of the 4^th Quarter), verify data updated on the Professional information system of programs and projects by project developers and component project developers.

4. Expedite, supervise compliance with regulations on information and report update on the Professional information system of subordinate authorities or project developers under management.

5. Assign officials to manage account usage Expedite and supervise implementation of account security requirements of user in accordance with Clause 5 Article 7 hereof.

Article 10. Responsibilities of entities affiliated to the Ministry of Planning and Investment

1. Information Technology and Digital Transformation Center shall

a) develop, manage, and operate the System.

b) manage Professional information system account on a nation-wide scale.

c) cooperate in expediting, supervising, and examining information, report update on the Professional information system.

d) publicize the use of Professional information system in real time; publicize report on Professional information system of agencies and other information as per the law.

dd) provide training and guidelines on using the System on a nation-wide scale.

2. Department of Investment Supervision and Appraisal shall

a) consolidate investment supervision and overall evaluation report on an annual basis on the Professional information system, including:

- Consolidate information from investment supervision and overall evaluation data of ministries, central departments, local governments, and state-owned enterprises on the Professional information system.

- Upload annual investment supervision and overall evaluation reports bearing seals or Governmental digital signatures on the Professional information system.

b) take charge of expediting, supervising, and inspecting information, report update on the Professional information system.

Chapter III

ORGANIZING IMPLEMENTATION

Article 11. Organizing implementation

1. This Circular comes into force from September 01, 2023.

2. This Circular replaces Circular No. 22/2015/TT-BKHDT dated December 18, 2015 of the Ministry of Planning and Investment and Circular No. 13/2016/TT-BKHDT dated September 26, 2016 of the Ministry of Planning and Investment.

3. Difficulties that arise during the implementation of this Circular should be reported to the Ministry for consideration./.

 

MINISTER Nguyen Chi Dung

 

The Circular has been uploaded on the legislative document system of the Ministry of Planning and Investment

 

Form No. 01

Annual investment supervision and overall evaluation report

REPORTING AGENCY -------	SOCIALIST REPUBLIC OF VIETNAM Independence - Freedom - Happiness ----------------
No. /BCGSDT	(Location and date)

 

INVESTMENT SUPERVISION AND OVERALL EVALUATION REPORT

(of the year ……)

To: ……………………………………………

I. PROMULGATION OF DOCUMENTS GUIDING POLICIES AND REGULATIONS RELATING TO INVESTMENT WITHIN THEIR COMPETENCE:

- Specify guiding documents promulgated during reporting period (document number, date of issue, excerpt).

- Evaluate effectiveness and impact of guiding documents regarding investment management.

II. PLANNING MANAGEMENT (specify the situation and implementation results, advantages, disadvantages, causes, and responsibilities of relevant agencies and organizations; difficulties regarding policies, regulations, and proposed solutions).

1. Procedures for producing, evaluating, and approving planning under their management.

2. Management of planning implementation.

3. Primary difficulties and proposed solutions.

III. IMPLEMENTATION OF INVESTMENT CAPITAL PLAN (specify the situation and implementation results, advantages, disadvantages, causes, and responsibilities of relevant agencies and organizations; difficulties regarding policies, regulations, and proposed solutions).

- Consolidated data on investment capital plan in the year;

- Implementation of investment capital in the period (workload value of all funding sources);

- Results of investment mobilization and disbursement in the period:

- Capital construction outstanding debt (if any);

- Waste and loss of investment (if any).

(Attached Schedule 1)

IV. MANAGEMENT OF PUBLIC INVESTMENT PROGRAMS

 (specify the situation and implementation results, advantages, disadvantages, causes, and responsibilities of relevant agencies and organizations; difficulties regarding policies, regulations, and proposed solutions).

1. Production, evaluation, and decision/amendments to program investment guidelines.

2. Production, evaluation, and decision/amendments to programs.

3. Implementation of the programs.

a) Management of program implementation: produce master plan and detail plan for program implementation; execute and revise program implementation plan;

b) Production, evaluation, and decision on investment in component projects, projects in the program;

c) Program implementation: implementation schedule of program objectives; consolidated implementation of component project in the program; value of implemented load;

d) Implementation of investment capital plan: funding mobilization for the program; disbursement; capital construction outstanding debt (if any) of component projects of the program;

dd) Capability to organize implementation of component project of the program and compliance with regulations on investment management of component project developers;

4. Primary difficulties and proposed solutions.

(Attached Schedule 2)

V. MANAGEMENT OF PUBLIC INVESTMENT PROJECTS (specify the situation and implementation results, advantages, disadvantages, causes, and responsibilities of relevant agencies and organizations; difficulties regarding policies, regulations, and proposed solutions).

1. Production, evaluation, decision/revision to investment guidelines.

2. Production, evaluation, decision on investment, and revision to projects.

3. Production, evaluation, and approval of technical design and estimates.

4. Implementation of the projects:

a) Management of project execution: produce master plan and detailed plans for project execution; plan execution and revision;

b) Implementation of investment projects: implementation schedule; load and value of implemented load; work quality; changes during project execution;

c) Implementation of investment capital plan: funding mobilization of the projects; disbursement (advance, advance repayment, payment); settlement of funding of finished projects; capital construction outstanding debt (if any) and handling;

d) Capability to organize project implementation and compliance with regulations on investment management of project management boards and contractors;

dd) Difficulties and issues during project execution and handling thereof by competence;

e) Proposed solutions for handling difficulties and issues that exceed their competence.

5. Utilization and operation of finished projects.

6. Primary difficulties and proposed solutions.

(Attached Schedules 3.1, 3.2, 7, and 8)

VI. MANAGEMENT OF NON-PUBLIC INVESTMENT PROJECTS UTILIZING STATE FUNDING (specify the situation and implementation results, advantages, disadvantages, causes, and responsibilities of relevant agencies and organizations; difficulties regarding policies, regulations, and proposed solutions).

1. Implementation of investment projects: Production, evaluation, and approval of technical design and estimates; load and implementation schedule; work quality; changes during project execution.

2. Implementation of investment capital plan: funding mobilization of the project (state funding, equity, loan capital); disbursement (advance, advance repayment, payment); settlement of finished projects; capital construction outstanding debt (if any) and handling thereof.

3. Project utilization and operation: results of business and investment activities, information on employment, submission to state budget, investment in research and development, financial situations of the enterprises and field-specific criteria.

4. Implementation of requirements relating to environmental protection, land use, resource and mineral use as per the law.

5. Implementation of regulations under documents approving investment guidelines, certificate of investment registration (if any), and decision on project investment.

6. Fulfillment of business and investment conditions with respect to projects in conditional business lines.

7. Implementation of investment incentives (if any).

8. Difficulties and issues that arise during implementation, utilization, operation of the projects and handling results.

(Attached Schedules 3.1 and 8)

VII. MANAGEMENT OF INVESTMENT PROJECTS IN PUBLIC-PRIVATE PARTNERSHIPS (specify the situation and implementation results, advantages, disadvantages, causes, and responsibilities of relevant agencies and organizations; difficulties regarding policies, regulations, and proposed solutions).

1. Project development and announcement.

2. Summary of contractor selection, negotiation and signing of project contracts.

3. Summary of project contract execution.

4. Compliance with regulations on investment management of project contract signatories regarding execution of project contracts.

5. Implementation of settlement, utilization, and operation.

6. Difficulties and issues during project execution (if any) and handling thereof by competence.

(Attached Schedules 4 and 8)

VIII. MANAGEMENT OF INVESTMENT PROJECTS UTILIZING OTHER FUNDINGS (specify the situation and implementation results, advantages, disadvantages, causes, and responsibilities of relevant agencies and organizations; difficulties regarding policies, regulations, and proposed solutions).

1. Project execution schedule and project objective execution schedule.

2. Contribution schedule of investment, charter capital, legal capital (with respect to investment and business lines required to have legal capital).

3. Project utilization and operation: Results of business and investment activities, information on employment, submission to state budget, investment in research and development, financial situations of the enterprises and field-specific criteria.

4. Implementation of requirements relating to environmental protection, land use, resource and mineral use as per the law.

5. Implementation of regulations under written decision or approval of investment guidelines and Certificate of investment registration (if any).

6. Fulfillment of business and investment conditions with respect to projects in conditional business lines.

7. Implementation of investment incentives (if any).

8. Difficulties and issues that arise during implementation, utilization, operation of the projects and handling results.

(Attached Schedules 5 and 8)

IX. IMPLEMENTATION OF INVESTMENT SUPERVISION AND EVALUATION OF PROJECT DEVELOPERS AND STATE AUTHORITIES (state the situation and implementation results, advantages, disadvantages, causes, and responsibilities of relevant agencies, organizations; difficulties regarding policies and regulations, and proposed solutions).

1. Implementation of reporting regulations.

2. Quality assessment of reports.

3. Investment project inspection and evaluation results in the period.

- Number of inspected projects; level of accomplishment relative to the plan (attach list of projects where investment decision is made by competent person and inspection of which is carried out by regulatory authorities);

- Number of projects evaluated; level of accomplishment relative to the plan (attach list of projects evaluated by each type of evaluation);

- Primary discoveries following project inspection and evaluation.

4. Investment project inspection and evaluation plan in the next period (attach list of projects expected to be inspected, evaluated in the period).

5. General assessment regarding investment supervision and evaluation in the period.

6. Handling results following investment supervision and evaluation.

7. Primary difficulties and proposed solutions.

X. IMPLEMENTATION OF INVESTMENT SUPERVISION OF THE COMMUNITY (state the situation and implementation results, advantages, disadvantages, causes, and responsibilities of relevant agencies, organizations; difficulties regarding policies and regulations, and proposed solutions).

1. Implementation of investment supervision of the community: Training and advanced training; organization and operating expenditure; number of supervised projects; etc.

2. Implementation of reporting regulations of the Committees of Vietnamese Fatherland Front of all levels.

3. Quality assessment of reports.

4. Primary discoveries of investment supervision at community:

a) Conformity of decisions on investment guidelines and investment decisions with investment planning and plans in communes as per the law;

b) Compliance of project developers with regulations on: land boundaries and use; detail premise planning, architecture and construction solutions; waste handling, environmental protection; compensation, premise clearance, relocation solutions, investment schedule and plans;

c) Implementation and schedule of programs, projects;

d) Actions violating community benefits; negative impacts of the projects on the environment during project investment and operation.

dd) Discovered actions that waste or lose funding, assets of the projects.

e) Implementation of transparency and openness in investment.

5. Handling results following community investment supervision.

6. Difficulties, issues, and proposed solutions.

(Attached Schedule 6)

(Details of community investment supervision held annually by the Committees of Vietnamese Fatherland Front of all levels)

XI. PROPOSITIONS AND RECOMMENDATIONS

1. Propositions regarding policies, regulations, direction of the Government, ministries, and central departments.

2. Propositions regarding organizing implementation.

 

HEAD OF AGENCY (Signature and seal)

 

Schedule 1

Implementation of investment capital in reporting period

Unit: billion VND

No.	Details	Annual capital plan (including those carried over from previous year)	Repayment of capital construction outstanding debt	Remaining capital construction outstanding debt	Implementation in the period		Disbursement in the period		Total amount to be recovered, deducted1 (if any)	Discovered losses and waste2 (if any)
					Value	Relative to annual capital plan (%)	Value	Relative to annual capital plan (%)
		(1)	(2)	(3)	(4)	(5)=(4)/(1)	(6)	(7) = (6)/(1)	(8)	(9)
I	Public investment plan
1	Public investment
1.1	State budget (domestic funding)
a	Central government budget
b	Local government budget
1.2	ODA and concessional loans of foreign sponsors
1.3	Other public investment
2	Non-public investment state funding
3	Other funding3
3.1	Domestic
3.2	Foreign
II	Projects utilizing non-public investment state funding
1	Non-public investment state funding
2	Other funding
2.1	Domestic
2.2	Foreign
III	Investment project in PPP
1	State funding in PPP projects
1.1	Public investment
1.2	Other state funding
2	Equity
3	Mobilized funding
3.1	Domestic
3.2	Foreign
IV	Projects utilizing other funding (funding of domestic investors, foreign investment, etc.)4
1	Domestic funding
2	Foreign funding
V	Total
1	Public investment (I.1+III.1.1)
2	Non-public investment state funding (I.2+II.1 + III.1.2)
3	Other funding
3.1	Domestic (I.3.1+II.2.1+III.3.1+IV.1)
3.2	Foreign (I.3.2+II.2.2+III.3.2+IV.2)

_________________________

¹ When investigation, examination, and audit have been carried out

² Based on conclusion of competent authority.

³ Means funding that is non public-investment or non-public investment state funding and used in public investment projects

⁴ In regard to projects utilizing other funding sources: Only declare information in the following columns: column (1): specify total funding of new registered projects or added value of projects with revised investment in the year; column (4): implemented value; column (6): disbursement value; column (8) and column (9) (if any).

 

Schedule 2

Consolidated data on public investment programs (of agency acting as program developer, component project developer, or project developer)

No.	Details	National target program	Public investment programs where the Government, Prime Minister decides on investment guidelines	Public investment programs where local government decides on investment guidelines
I	Program developer1
1	Number of programs
2	Total plan funding (billion VND)
3	Implemented value (billion VND)
4	Disbursement value (billion VND)
II	Component project developer2
1	Number of projects
2	Total plan funding (billion VND)
3	Implemented value (billion VND)
4	Disbursement value (billion VND)
III	Project developer under program3
1	Number of projects
2	Total plan funding (billion VND)
3	Implemented value (billion VND)
4	Disbursement value (billion VND)

_________________________

¹ Means agency, organization assigned to manage investment programs (with respect to national target programs, program developer means the authority in charge of overall management of the program); report data summary of all public investment programs under their management.

2 Means agency, organization assigned to preside component project in public investment program; report data summary of all component projects in public investment program under their management

3 Means project developer implementing project in public investment program; reporting data summary of all projects where they act as project developer in all programs.

Agencies shall declare data under sections I, II, and III corresponding to their roles in public investment programs. If an agency takes on multiple roles simultaneously (program developer, component project developer, and project developer under the program), they shall report data in all sections based on their roles.

 

Schedule 3.1

Investment supervision and evaluation of investment projects utilizing state funding

No.

Details

Total

Public investment plan

Projects utilizing non-public investment state funding

Total number

National importance

A

B

C

Total number

National importance

A

B

C

(1)=(2)+(7)

(2)

(3)

(4)

(5)

(6)

(7)

(8)

(9)

(10)

(11)

I

Investment preparation

1

Number of projects with decided investment guidelines in the period

2

Number of projects decided for investment in the period

II

Investment

1

Number of invested projects in the period

a

Number of carried over projects

b

Number of new projects in the period

2

Number of projects whose investment supervision and evaluation report has been filed on the information system for supervision and evaluation in the period

3

Number of projects whose investment supervision and evaluation report has not been filed on the information system for supervision and evaluation in the period

4

Number of projects inspected in the period (by competent individuals issuing decision on investment and regulatory authorities)

5

Number of projects evaluated in the period

6

Number of projects with violations in investment projects discovered in the period (according to inspection, examination, audit conclusions)

a

Failing to conform to the planning

Failing to approve within competence

b

Failing to adhere to project evaluation procedures

7

Number of projects with violations in quality control discovered in the period (according to applicable regulations on quality control)

8

Number of projects with losses and/or wastes discovered in the period (according to conclusion of competent authorities)

a

Total investment of projects with losses and/or wastes

b

Total amount of money lost/wasted

9

Number of projects behind schedule in the period

a

Number of projects behind schedule due to investment procedures

b

Number of projects behind schedule due to premise clearance

c

Number of projects behind schedule due to investors’ capability, project management boards’ capability, and/or contractors’ capability

d

Number of projects behind schedule due to untimely funding allocation

dd

Number of projects behind schedule due to other reasons

10

Number of projects requiring revision to investment guidelines in the period

11

Number of projects requiring amendment to investment decision in the period

a

Number of projects requiring revision to investment objectives, scale

b

Number of projects requiring revision to investment

c

Number of projects requiring revision to investment schedule

d

Number of projects requiring revision due to other causes

12

Number of projects suspended due to various causes

13

Number of projects undergoing contractor selection in the period

a

Total number of contract packages undergoing contractor selection in the period

-

Direct contracting

-

Limited bidding

-

Competitive bidding

-

Other forms

b

Total number of contract packages with violations to bidding procedures discovered in the period

-

Failing to bid in a law compliant manner

-

Failing to sign contracts in a law compliant manner

Ill

Finalizing investment, transferring, bringing into use

1

Number of projects with finalized investment in the period

2

Total number of projects finished without being settled thus far

3

Number of projects settled in the period

4

Utilization and operation situations in the period

a

Number of projects entering into operation

b

Number of projects entering into operation and facing technical difficulties or failing to achieve effectiveness (if any)

c

Number of projects for impact assessment in the period

Note:

- QTQG: Projects of national importance

- Classify projects utilizing non-public investment state funding based on classification criteria of public investment projects.

 

Schedule 3.2

Investment supervision and evaluation of public investment projects by funding sources

No.

Details

Projects utilizing ODA and concessional loans of foreign sponsors

Projects utilizing (domestic) central government budget

Projects utilizing local government budget

Projects utilizing other public investment funding

Total

QTQG

A

B

C

Total

QTQG

A

B

C

Total

QTQG

A

B

C

(1)

(2)

(3)

(4)

(5)

(6)

(7)

(8)

(9)

(10)

(11)

(12)

(13)

(14)

(15)

(16)

I

Investment preparation

1

Number of projects with decided investment guidelines in the period

2

Number of projects decided for investment in the period

II

Investment

1

Number of invested projects in the period

a

Number of carried over projects

b

Number of new projects in the period

2

Number of projects whose investment supervision and evaluation report has been filed on the Information system for investment supervision and evaluation in the period

3

Number of projects whose investment supervision and evaluation report has not been filed on the Information system for investment supervision and evaluation in the period

4

Number of projects inspected in the period (by competent individuals issuing decision on investment and regulatory authorities)

5

Number of projects evaluated in the period

6

Number of projects with violations in investment projects discovered in the period (according to inspection, examination, audit conclusions)

a

Failing to conform to the planning

b

Failing to approve within competence

c

Failing to adhere to project evaluation procedures

7

Number of projects with violations in quality control discovered in the period (according to applicable regulations on quality control)

8

Number of projects with losses and/or wastes discovered in the period (according to conclusion of competent authorities)

a

Total investment of projects with losses and/or wastes

b

Total amount of money lost/wasted

9

Number of projects behind schedule in the period

a

Number of projects behind schedule due to investment procedures

b

Number of projects behind schedule due to premise clearance

c

Number of projects behind schedule due to investors’ capability, project management boards’ capability, and/or contractors’ capability

d

Number of projects behind schedule due to untimely funding allocation

dd

Number of projects behind schedule due to other reasons

10

Number of projects requiring revision to investment guidelines in the period

11

Number of projects requiring amendment to investment decision in the period

a

Number of projects requiring revision to investment objectives, scale

b

Number of projects requiring revision to investment

c

Number of projects requiring revision to investment schedule

d

Number of projects requiring revision due to other causes

12

Number of projects suspended due to various causes

13

Number of projects undergoing contractor selection in the period

a

Total number of contract packages undergoing contractor selection in the period

-

Direct contracting

-

Limited bidding

-

Competitive bidding

-

Other forms

b

Total number of contract packages with violations to bidding procedures discovered in the period

-

Failing to bid in a law compliant manner

-

Failing to sign contracts in a law compliant manner

III

Finalizing investment, transferring, bringing into use

1

Number of projects with finalized investment in the period

2

Total number of projects finished without being settled thus far

3

Number of projects settled in the period

4

Utilization and operation situations in the period

a

Number of projects entering into operation

b

Number of projects entering into operation and facing technical difficulties or failing to achieve effectiveness (if any)

c

Number of projects for impact assessment in the period

Note: If a project utilizes multiple funding sources (ODA, central government budget, local government budget, other public investment), all columns corresponding to used funding sources shall be filled in. For example: A project that utilizes both ODA and (domestic) central government budget, the project shall be summarized in both column (1) and column (6).

 

Schedule 4

Investment supervision and evaluation of investment projects in PPP in the period

No.	Details	Total	By project groups
			(1)	(2)	(3)	(4)
I	Implementation of investment procedures
1	Number of projects with decided investment guidelines
2	Number of projects with investment decisions
3	Number of projects with selected investors
a	Direct contracting
b	Competitive bidding
4	Number of projects with revised investment guidelines
5	Number of projects with amended decision on investment
6	Number of projects entering into contracts
II	Investment
1	Number of invested projects
a	Number of carried over projects
b	Number of new projects
2	Number of projects with investment supervision and evaluation report as per the law
3	Number of projects inspected in the period (by competent individuals issuing decision on investment and regulatory authorities)
4	Number of projects evaluated
5	Number of projects with violations relating to investment procedures, quality control
6	Number of projects with losses and/or wastes discovered in the period (according to conclusion of competent authorities)
a	Total investment of projects with losses and/or wastes
b	Total amount of money lost/wasted
7	Number of projects behind schedule
a	Number of projects behind schedule due to investment procedures
b	Number of projects behind schedule due to premise clearance
c	Number of projects behind schedule due to investors’ capability, contractors’ capability
d	Number of projects behind schedule due to other causes
8	Number of projects requiring revision
a	Number of projects requiring revision to investment objectives, scale
b	Number of projects requiring revision to investment
c	Number of projects requiring revision to investment schedule
d	Number of projects requiring revision due to other causes
9	Number of projects suspended due to various causes
III	Finalizing investment, transferring, bringing into use
1	Number of projects with finalized investment
2	Total number of projects finished without being settled thus far
3	Number of projects settled
4	Operation
a	Total number of projects entering into operation thus far
b	Number of projects entering into operation and facing technical difficulties
c	Number of projects entering into operation and achieving low or non-existent effectiveness (if any)

Note:

(1) Projects where investment guidelines are decided by the National Assembly.

(2) Projects where investment guidelines are decided by the Prime Minister.

(3) Projects where investment guidelines are decided by ministers, heads of central government authorities, other agencies in accordance with Clause 1 Article 5 of the Law on Public-Private Partnerships.

(4) Projects where investment guidelines are decided by People’s Councils of provinces.

 

Schedule 5

Investment supervision of projects utilizing other funding sources

No.	Details	Total	FDI projects			Domestic projects
			(1)	(2)	(3)	(1)	(2)	(3)
1	Number of projects with investment guidelines approved in the period
2	Number of projects requiring revision to investment guidelines in the period
3	Number of projects with certificate of investment registration issued in the period
4	Number of projects with certificate of investment registration revised in the period
5	Number of invested projects in the period
a	Projects issued with certificate of investment registration
b	Projects not issued with certificate of investment registration
6	Total investment registered (billion VND)
a	Total investment registered thus far
b	Total investment increased in the period
-	New registered projects
-	Projects registered for increased investment
7	Total investment implemented (billion VND)
a	Total investment implemented thus far
b	Total investment implemented in the period
-	Equity
-	Loan capital
-	Other legitimately mobilized funding
8	Number of projects inspected, evaluated in the period
9	Number of projects with violations in investment management discovered in the period
10	Number of projects with violations in environmental protection discovered in the period
11	Number of projects with violations in land use discovered in the period
12	Number of projects with violations in resource management discovered in the period
13	Number of projects with certificate of investment registration revoked in the period
14	Number of projects with finalized investment in the period
15	Number of projects entering into operation in the period
a	Number of projects generating profits
b	Submission to the budget (billion VND)

Note:

(1): Projects where investment guidelines are approved by the National Assembly, Prime Minister.

(2): Projects where investment guidelines are approved by People’s Committees of provinces.

(3): Projects where investment guidelines are not required to be approved.

 

Schedule 6

Summary of community investment supervision results
of ………………… (Area)

Year: ……………

No.	Details	Total number of projects	Where:			Note
			Projects utilizing community funding and efforts; commune-level government budget; direct funding for commune-level government	Public investment projects, projects utilizing non-public investment state funding, and investment projects in PPP	Projects utilizing other funding sources
1	Total number of investment projects in the area
2	Total number of projects supervised by the community, in which:
a	Comply with regulations and law
b	Contain violations
c	Undetermined
3	Number of projects yet to be supervised by the community, in which:
a	Due to information withheld by agencies
b	Due to information withheld by project developers
c	Other causes
4	Total number of projects with violations reported by the community:
a	Notice on handling results has been issued
b	Notice on handling results has not been issued
c	Project developers have complied with the notice

 

Schedule 7

LIST OF PROJECTS IN GROUPS A, B, C UTILIZING PUBLIC INVESTMENT

(of the year ……)

Unit: billion VND

No.	Name of project	Project developers	Total investment	Funding sources (list all funding sources of the projects)	Accumulated implemented value by the end of reporting year	Accumulated disbursement by January 31 of the following year	Capital plan of the next year (including those carried over)	Investment supervision and evaluation report	Discovered violations relating to investment procedures	Discovered violations relating to quality control	Total amount to be recovered, deducted8 (if any)	Discovered losses and waste9 (if any)	Behind schedule
(1)	(2)	(3)	(4)	(5)	(6)	(7)	(8)	(9)	(10)	(11)	(12)	(13)	(14)
A	NEW PROJECTS
I	Group A projects
1
2
(...)
II	Group B projects
1
2
(...)
III	Group C projects
1
2
(...)
B	CARRIED OVER PROJECTS
I	Group A projects
1
2
(...)
II	Group B projects
1
2
(...)
III	Group C projects
1
2
(...)
C	PROJECTS WITH FINALIZED INVESTMENT IN THE PERIOD
I	Group A projects
1
2
(...)
II	Group B projects
1
2
(...)
III	Group C projects
1
2
(...)

Note:

Columns (9), (10), (11), (13), and (14): tick an X where appropriate (if any).

_________________________

⁸ When investigation, examination, and audit have been carried out

⁹ Based on conclusion of competent authority.

 

Schedule 8

LIST OF PROJECTS OF NATIONAL IMPORTANCE

(of the year ……)

Unit: billion VND

No.	Name of project	Project developers	Total investment	Funding sources (list all funding sources of the projects)	Accumulated implemented value by the end of reporting year	Accumulated disbursement by January 31 of the following year	Capital plan of the next year (including those carried over)	Investment supervision and evaluation report	Discovered violations relating to investment procedures	Discovered violations relating to quality control	Total amount to be recovered, deducted10 (if any)	Discovered losses and waste11 (if any)	Behind schedule
(1)	(2)	(3)	(4)	(5)	(6)	(7)	(8)	(9)	(10)	(11)	(12)	(13)	(14)
A	PROJECTS OF NATIONAL IMPORTANCE
I	New projects
1
2
(…)
II	Carried over projects
1
2
(…)
III	Projects with finalized investment in the period
1
2
(…)
B	PROJECTS FROM WHERE CRITERIA OF NATIONAL IMPORTANCE ARISE
I	Carried over projects
1
2
(...)
II	Projects with finalized investment in the period
1
2
(...)

Note:

Columns (9), (10), (11), (13), and (14): tick an X where appropriate (if any).

_________________________

¹⁰ When investigation, examination, and audit have been carried out

¹¹ Based on conclusion of competent authority.

 

Form No. 02

Initial evaluation report of public investment project

PRESIDING AGENCY PROJECT DEVELOPER -------	SOCIALIST REPUBLIC OF VIETNAM Independence - Freedom - Happiness ----------------
No. /BCDGDT	(Location and date)

 

INITIAL EVALUATION REPORT

Project name: ………………

To: ……………………………………

I. PROJECT INFORMATION (summarized according to Investment Decision)

1. Name of project:

2. Project developer:

3. Counseling organization:

4. Project objective:

5. Scale and capacity:

6. Primary investment contents/primary investment items:

7. Project location:

8. Land use area:

9. Project management form:

10. Timestamps of the project:

- Number and approval date of investment decision:

- Date of project execution:

+ Commencement date:

+ Ending date:

11. Total investment:

12. Investment funding sources:

II. CONTENTS OF EVALUATION

1. Preparation, arrangement, and mobilization of resources to execute the project according to approved objectives and schedule.

2. New difficulties and issues that arise since date on which the project is approved.

3. Other relevant contents (if any).

III. PROPOSITIONS

Proposed solution for handling issues appropriate to practical conditions.

 

PROJECT DEVELOPER (Signature and seal)

 

Form No. 03

Periodic supervision and evaluation report during investment stage of public investment projects and projects utilizing non-public investment state funding

PRESIDING AGENCY PROJECT DEVELOPER -------	SOCIALIST REPUBLIC OF VIETNAM Independence - Freedom - Happiness ----------------
No. /BCGSDGDT	(Location and date)

 

INVESTMENT SUPERVISION AND EVALUATION REPORT
(6-monthly/annual)

Project name: ………………………………

To: ……………………………………………

I. PROJECT INFORMATION (summarized according to Investment Decision or amended Investment Decision)

Specify details similar to those under Section 1 of Form No. 2.

(Project information shall only be specified once in the initial report when investment decision is issued or when revision is made to the project information above)

II. IMPLEMENTATION OF THE PROJECT

1. Implementation of the project:

1.1. Project schedule: (production of technical design, premise clearance, relocation, bidding, contract execution, etc.).

1.2. Value of work load executed according to contract schedule:

1.3. Funding management and summary of disbursement results:

1.4. Quality of work load completed: (Describe quality of work load completed corresponding to value of work load in each stage that has been commissioned and paid for)

1.5. Other costs relating to the project:

1.6. Changes relating to project execution:

2. Project management:

2.1. Execution plan: (Specify master plan of each project management phase in order to achieve the required schedule)

2.2. Detail plan regarding project management: (Describe detail plan of each stage in regard to work load related to project management)

2.3. Results attained relative to the plan set forth and revise plan appropriate to the requirements:

2.4. Quality control and project management:

3. Information processing and response:

3.1. Report information veracity: (Accuracy and adequacy of report information)

3.2. Report information processing: (Whether the processing of report information is timely in order to respond promptly and avoid further consequences of the project).

3.3. Handling results of difficulties and issues: (Specify results attained by handling of difficulties and issues during project execution).

III. SELF REFLECTION AND EVALUATION REGARDING RESULTS OF PROJECT EXECUTION

1. Implementation of the project:

2. Project management:

3. Information processing and response:

IV. PROPOSITIONS

Hereby request competent individual issuing investment decision or competent authority to support and assist in dealing with difficulties of the project (if any)./.

(Attached Schedule 9)

 

PROJECT DEVELOPER (Signature and seal)

 

Schedule 9

IMPLEMENTATION OF THE PROJECT

PROJECT NAME: …………………… Project developer: ………………………… Location: ………………………………………… Total investment: ………………………………… Total estimates: ……………………………………… Capital plan in the year of the project: ……………………………………… Accumulated capital plan of the project: …………………………………

 

Unit: billion VND

No.

Work item/Contract package

Value

Funding sources

Execution schedule

During reporting period

Accumulated implemented value

Accumulated disbursement

Total amount to be recovered, deducted12 (if any)

Discovered losses and waste13 (if any)

Estimated completion time

Note

Implemented value

Disbursement

1

2

(…)

_________________________

¹² When investigation, examination, and audit have been carried out

¹³ Based on conclusion of competent authority.

 

Form No. 04

Mid-term/mid-phase evaluation report of public investment projects and projects utilizing non-public investment state funding

PRESIDING AGENCY PROJECT DEVELOPER -------	SOCIALIST REPUBLIC OF VIETNAM Independence - Freedom - Happiness ----------------
No. /BCDGDT	(Location and date)

 

MID-TERM/MID-PHASE EVALUATION REPORT

Project name: ……………………

To: ……………………………………………

I. PROJECT INFORMATION

Specify details similar to those under Section I of Form No. 2.

II. CONTENTS OF EVALUATION

1. Conformity of program, project execution results to investment objectives;

2. Level of completion of work load at the time of evaluation relative to approved plan.

3. Other relevant contents (if any).

III. PROPOSITIONS

Propose necessary solutions, including revision to the program, project.

 

PROJECT DEVELOPER (Signature and seal)

 

Form No. 05

Supervision and evaluation report for adjustment of public investment projects and projects utilizing non-public investment state funding

PRESIDING AGENCY PROJECT DEVELOPER -------	SOCIALIST REPUBLIC OF VIETNAM Independence - Freedom - Happiness ----------------
No. /BCGSDGDT	(Location and date)

 

SUPERVISION AND EVALUATION REPORT FOR REVISION TO INVESTMENT PROJECT

Project name: ………………………………

To: ……………………………………………

I. PROJECT INFORMATION

Specify details similar to those under Section I of Form No. 2.

II. IMPLEMENTATION OF THE PROJECT

Produce detail report regarding project execution up to the time of applying for project revision (regarding load, implemented value, disbursement value of each investment work item, etc.).

III. CONTENTS AND REASONS FOR REVISION

- Legal basis for revising the project

- Specify main details of project revision and parts of the project for revision

- State reasons, causes, and responsibilities of relevant parties leading to project revision (in preparation, evaluation, approval, and organization of the project).

IV. RE-EVALUATION OF REVISED PROJECT

V. PROPOSITIONS

Hereby request competent individual issuing investment decision or competent authority to support and assist in dealing with difficulties of the project (if any)./.

 

PROJECT DEVELOPER (Signature and seal)

 

Form No. 06

Irregular evaluation report for public investment projects and projects utilizing non-public investment state funding

COMPETENT INDIVIDUAL ISSUING INVESTMENT DECISION -------	SOCIALIST REPUBLIC OF VIETNAM Independence - Freedom - Happiness ----------------
No. /BCDGDT	(Location and date)

 

IRREGULAR EVALUATION REPORT

Project name: ……………………

To: ……………………………………………

I. PROJECT INFORMATION

Specify details similar to those under Section I of Form No. 2.

II. CONTENTS OF EVALUATION

1. Conformity of program, project execution results to investment objectives by the time of evaluation.

2. Level of completion of work load at the time of evaluation relative to approved plan.

3. Unexpected circumstances (if any), causes of unexpected circumstances, and responsibilities of relevant agencies, organizations, and individuals.

4. Impact and level of impact of unexpected circumstances on program and project execution, completion viability of program and project objectives.

III. PROPOSITIONS

Proposed necessary solutions.

 

COMPETENT INDIVIDUAL ISSUING INVESTMENT DECISION (Signature and seal)

 

Form No. 07

Final investment supervision and evaluation report for public investment reports and projects utilizing non-public investment state funding

PRESIDING AGENCY PROJECT DEVELOPER -------	SOCIALIST REPUBLIC OF VIETNAM Independence - Freedom - Happiness ----------------
No. /BCGSDGDT	………..(Location and date)

 

FINAL INVESTMENT SUPERVISION AND EVALUATION REPORT

Project name: ……………………

To: ……………………………………………

I. PROJECT INFORMATION

Specify details similar to those under Section I of Form No. 2.

II. CONTENTS OF EVALUATION

1. Summary project execution: Provide a brief summary of project execution, from investment preparation to finalization.

2. Summary of project results:

2.1. Implementation results of approved details: Specify the results and level of completion of approved details: objectives, scale, and total investment, implementation schedule, quality, etc.

2.2. Implementation results regarding investment capital: Compare total investment according to investment decision and total implemented, disbursement value; primary adjustments to total investment of the project (if any); factors.

2.3. Factors affecting project implementation results

2.4. Briefly describe benefits brought about by the project to beneficiaries

2.5. Impact and sustainability of the project: Specify factors, maintain sustainability, and improve effectiveness of the project.

3. Lessons learned from organization of project execution and responsibilities of agencies, organizations, and individuals.

III. PROPOSITIONS

State propositions for improving effectiveness, sustainability, or rectifying drawbacks of the project.

 

PROJECT DEVELOPER (Signature and seal)

 

Form No. 08

Periodic supervision and evaluation report during operation of public investment projects and projects utilizing non-public investment state funding

PRESIDING AGENCY PROJECT USER --------	SOCIALIST REPUBLIC OF VIETNAM Independence - Freedom - Happiness ----------------
No. /BCGSDGDT	(Location and date)

 

SUPERVISION AND EVALUATION REPORT DURING OPERATION PHASE

(of the year ……)

Project name: ……………………

To: ……………………………………………

I. PROJECT INFORMATION

Specify details as mentioned under Section I of Form No. 2 and only once in the initial report after the project has entered into operation.

II. PROJECT OPERATION SITUATIONS

1. Economic-technical and operation situations of the project (specify economic-technical and operation situations of the projects, and compare to approved criteria in investment phase).

2. Sustainability; drawbacks, difficulties, and issues of the project (if any).

3. Manufacturing and business situations (for investment projects serving business purposes):

- Employment situations (quantity, composition, education level) by the time of reporting.

- Fulfillment of obligations to employees (salaries, insurance, allowance, social benefits, etc.).

- Fulfillment of obligations to the budget (amount implemented during reporting period, amount accumulated by the time of reporting, amount payable, reasons for failure to pay in a timely manner).

- Profit (amount gained during reporting period, amount accumulated by the time of reporting).

III. PROPOSITIONS

Hereby request competent individual issuing investment decision or competent authority to support and assist in dealing with difficulties of the project (if any)./.

 

USER (Signature and seal)

 

Form No. 09

Impact assessment report for public investment projects and projects utilizing non-public investment state funding

ASSESSING BODY -------	SOCIALIST REPUBLIC OF VIETNAM Independence - Freedom - Happiness ----------------
No. /BCGSDGDT	(Location and date)

 

IMPACT ASSESSMENT REPORT

Project name: ……………………

To: ……………………………………………

I. PROJECT INFORMATION

Specify details similar to those under Section I of Form No. 2.

II. CONTENTS OF EVALUATION

1. Operating economic-technical situations.

2. Socio-economic impact.

3. Environment and ecosystem impact.

4. Sustainability of the project.

5. Lessons learned from investment guidelines, investment decision, project operation; responsibilities of counseling organizations, presiding agencies, project developers, competent individuals issuing investment guideline decisions, investment decisions, and relevant agencies, organizations, and individuals.

III. PROPOSITIONS

State propositions and recommendations for the project.

 

HEAD OF ASSESSING BODY (Signature and seal)

 

Form No. 10

Summary report on supervision and evaluation of public investments and projects utilizing non-public investment state funding in the year

PRESIDING AGENCY PROJECT DEVELOPER -------	SOCIALIST REPUBLIC OF VIETNAM Independence - Freedom - Happiness ----------------
No. /BCGSDGDT	(Location and date)

 

SUMMARY REPORT ON SUPERVISION AND EVALUATION OF INVESTMENT PROGRAMS, PROJECTS UNDER MANAGEMENT IN THE YEAR

(of the year ……)

To: ……………………………………………

I. IMPLEMENTATION OF INVESTMENT CAPITAL PLAN (specify the situation and implementation results, advantages, disadvantages, causes, and responsibilities of relevant agencies and organizations; difficulties regarding policies, regulations, and proposed solutions).

- Consolidated data on investment plan in the year;

- Implementation of investment capital in the period (workload value of all funding sources);

- Results of investment mobilization and disbursement in the period:

- Capital construction outstanding debt (if any);

- Waste and loss of investment (if any).

(Attached Schedule 1 of Form No. 1)

II. MANAGEMENT OF PUBLIC INVESTMENT PROJECTS (specify the situation and implementation results, advantages, disadvantages, causes, and responsibilities of relevant agencies and organizations; difficulties regarding policies, regulations, and proposed solutions).

1. Production, evaluation, decision/revision to investment guidelines.

2. Production, evaluation, decision on investment, and revision to projects.

3. Production, evaluation, and approval of technical design and estimates.

4. Implementation of the projects:

a) Management of project execution: produce master plan and detailed plans for project execution; plan execution and revision;

b) Implementation of investment projects: implementation progress; load and value of implemented load; work quality; changes during project execution;

c) Implementation of investment capital plan: funding mobilization of the projects; disbursement (advance, advance repayment, payment); settlement of funding of finished projects; capital construction outstanding debt (if any) and handling;

d) Capability to organize project implementation and compliance with regulations on investment management of project management boards and contractors;

dd) Difficulties and issues during project execution and handling thereof by competence;

e) Proposed solutions for handling difficulties and issues that exceed their competence.

5. Utilization and operation of finished projects.

6. Primary difficulties and proposed solutions.

(Attached Schedules No. 3.1, 3.2, 7, and 8 of Form No. 1)

III. MANAGEMENT OF NON-PUBLIC INVESTMENT PROJECTS UTILIZING STATE FUNDING (specify the situation and implementation results, advantages, disadvantages, causes, and responsibilities of relevant agencies and organizations; difficulties regarding policies, regulations, and proposed solutions).

1. Implementation of investment projects: Production, evaluation, and approval of technical design and estimates; load and implementation progress; work quality; changes during project execution.

2. Implementation of investment capital plan: funding mobilization of the project (state funding, equity, loan capital); disbursement (advance, advance repayment, payment); settlement of finished projects; capital construction outstanding debt (if any) and handling thereof.

3. Project utilization and operation: Results of business and investment activities, information on employment, submission to state budget, investment in research and development, financial situations of the enterprises and field-specific criteria.

4. Implementation of requirements relating to environmental protection, land use, resource and mineral use as per the law.

5. Implementation of regulations under documents approving investment guidelines, certificate of investment registration (if any), and decision on project investment.

6. Fulfillment of business and investment conditions with respect to projects in conditional business lines.

7. Implementation of investment incentives (if any).

8. Difficulties and issues that arise during implementation, utilization, operation of the projects and handling results.

(Attached Schedule 3.1 and Schedule 8 of Form No. 1)

IV. PROPOSITIONS AND RECOMMENDATIONS

1. Propositions regarding policies, regulations, direction of the Government, ministries, and central departments.

2. Propositions regarding organizing implementation.

 

PROJECT DEVELOPER (Signature and seal)

 

Form No. 11

Periodic supervision and evaluation report during investment phase for investment projects in PPPs

INVESTOR -------	SOCIALIST REPUBLIC OF VIETNAM Independence - Freedom - Happiness ----------------
No. /BCGSDGDT	(Location and date)

 

SUPERVISION AND EVALUATION REPORT ON INVESTMENT
(6-monthy/yearly)

Project name: ………………………………

To: ……………………………………………

I. PROJECT INFORMATION

1. Name of project:

2. Investor:

3. Competent state authority:

4. Counseling organization:

5. Project objective and scale:

6. Primary investment/primary investment work items:

7. Project location:

8. Land use area:

9. Contract form:

10. Timestamps of project:

- Project execution time:

+ Commencement time:

+ Investment finalization and structure operation time:

- Expected time of transfer:

11. Investment decision: number, date of issue, approving body.

12. Total investment

13. Composition of investment funding sources:

- State funding in the project:

- Total investment (equity, loan capital);

14. Financial solutions:

15. Information on project enterprise:

- Name of the enterprise:

- Business registration certificate (number, date of issue, issuing body):

- Charter capital:

- Legal representative:

(This shall only be declared once in the initial report when the project is commenced or decision on revision to the project or contract which changes project information is issued)

II. IMPLEMENTATION OF THE PROJECT

1. Project progress (specify progress of primary tasks of the project; estimate work load implemented in the period, accumulated from the beginning of the year, from the beginning of the project, and compare those to the plan).

2. Funding mobilization (specify funding mobilization serving the project in the period by funding sources (equity; loan capital; other legally mobilized funding, and state funding); accumulated from the beginning of the year and from the beginning of the project; and compare those to the plan).

3. Disbursement (specify funding disbursement in the period; accumulated from the beginning of the year and from the beginning of the project by funding sources; compare those to the plan).

4. Implementation of requirements pertaining to environmental protection, land use, and use of natural resources and minerals.

5. Implementation of project contracts.

6. Difficulties that arise during implementation (if any).

III. PROPOSITIONS

Hereby requests competent authority to provide support and assist in dealing with difficulties, issues of the project./.

 

INVESTOR (Signature and seal)

 

Form No. 12

Periodic supervision and evaluation report during operation of investment projects in PPP

INVESTOR -------	SOCIALIST REPUBLIC OF VIETNAM Independence - Freedom - Happiness ----------------
No. /BCGSDGDT	(Location and date)

 

SUPERVISION AND EVALUATION REPORT DURING OPERATION PHASE

Project name: ………………………………

(of the year ……)

To: ……………………………………………

I. PROJECT INFORMATION

Specify details as mentioned under Section I of Form No. 11 and only once in the initial report after the project has entered into operation.

II. PROJECT OPERATION SITUATIONS

1. Economic-technical and operation situations of the project (specify economic-technical and operation situations of the projects, and compare to approved criteria in investment phase).

2. Business situations of project enterprise:

- Employment situations (quantity, composition, education level) by the time of reporting.

- Fulfillment of obligations to employees (salaries, insurance, allowance, social benefits, etc.).

- Fulfillment of obligations to the budget (amount implemented during reporting period, amount accumulated by the time of reporting, amount payable, reasons for failure to pay in a timely manner).

- Project impact on socio-economic development.

- Annual revenues, revenues accumulated by the time of reporting, debt repayment of equity, loan capital, etc. and compare to financial solutions under signed contracts.

- Profit (amount gained during reporting period, amount accumulated by the time of reporting).

- Overview on enterprise finance (current liabilities, long-term liabilities, etc. analyze and compare to those in the previous reporting period).

3. Disadvantages, difficulties, and issues of the project (if any).

III. PROPOSITIONS

Hereby requests competent individual issuing investment decision or competent authority to support or provide assistance in dealing with difficulties of the project (if any)./.

 

INVESTOR (Signature and seal)

 

Form No. 13

Periodic supervision and evaluation report during investment phase of projects utilizing other funding sources

INVESTOR -------	SOCIALIST REPUBLIC OF VIETNAM Independence - Freedom - Happiness ----------------
No. /BCGSDGDT	(Location and date)

 

INVESTMENT SUPERVISION AND EVALUATION REPORT

(6-monthly/annual)

Project name: ……………………

To: ……………………………………………

I. PROJECT INFORMATION

1. Investor

a) First investor:

- Name of investor:

- Head office address, phone number, email:

- Contributed funding amount and percentage:

b) Next investor:

- Name of investor:

- Head office address, phone number, email:

- Contributed funding amount and percentage:

2. Economic organization (project enterprise):

- Name of the enterprise:

- Trading information (address, phone number, email address, etc.):

- Business registration (number, date, place of issue):

- Information on legal representative:

- Charter capital:

- Legal capital (if any):

3. Investment project:

- Name of project:

- Location

- Written approval of investment guidelines/Investment registration certificate (if any):

- Land use area:

- Objectives and goals:

- Total investment, funding sources:

- Operating period and progress of the project:

- Investment incentives, aids and conditions (if any):

- Conditions applied to investors executing the project (if any):

(This information shall only be declared once when the project is commenced or when the project is revised where project information changes).

II. IMPLEMENTATION OF THE PROJECT

1. Project execution schedule and project objective execution schedule:

- Project preparation schedule:

- Land allocation:

- Capital construction schedule (if any):

- Schedule of procurement of machinery, equipment, installation and test operation (if any):

- Implementation progress of work items and investment phases (if any):

- Manufacturing, business, and service provision progress:

- Implementation schedule of investment objectives:

2. Contribution schedule of investment, charter capital, legal capital (if any):

a) Funding contribution schedule:

No.	Type of funding	Contributed funding in the period	Contributed funding accumulated at the time of reporting
1	Investment
2	Charter capital
3	Legal capital (if any)

b) Funding sources:

No.	Funding sources	Contributed funding in the period	Contributed funding accumulated at the time of reporting
1	Equity
2	Loan capital from credit institutions
3	Other mobilized funding sources
	Plus

3. Implementation of regulations on relevant issues:

- Regarding the use of land and other resources:

- Regarding environmental protection and fire safety requirements:

- Fulfillment of business and investment conditions with respect to projects in conditional business lines:

- Fulfillment of regulations under written approval of investment guidelines and investment registration certificate (if any).

4. Implementation of investment incentives (if any).

5. Difficulties and issues in project execution (if any).

III. PROPOSITIONS

Hereby requests competent authority to provide support and assist in dealing with difficulties, issues of the project./.

 

INVESTOR (Signature and seal)

 

Form No. 14

Irregular evaluation report for investment project utilizing other funding sources

INVESTMENT REGISTRATION BODY/INVESTMENT REGULATORY AUTHORITY -------	SOCIALIST REPUBLIC OF VIETNAM Independence - Freedom - Happiness ----------------
No. /BCDGDT	(Location and date)

 

IRREGULAR EVALUATION REPORT

Project name: ……………………

To: ……………………………………………

I. PROJECT INFORMATION

Specify details similar to those under Section I of Form No. 13.

II. EVALUATION CONTENTS

1. Conformity of project results to investment objectives.

2. Level of work load completion relative to that required under written approval of investment guidelines, investment registration certificate (if any).

3. Unexpected circumstances (if any) and causes.

4. Effect of unexpected circumstances on project execution and project objective completion.

III. PROPOSITIONS AND RECOMMENDATIONS

State propositions and recommendations.

 

INVESTMENT REGISTRATION BODY/INVESTMENT REGULATORY AUTHORITY (Signature and seal)

 

Form No. 15

Supervision and evaluation report for revision of investment projects utilizing other funding sources

INVESTOR -------	SOCIALIST REPUBLIC OF VIETNAM Independence - Freedom - Happiness ----------------
No. /BCGSDGDT	(Location and date)

 

SUPERVISION AND EVALUATION REPORT FOR REVISION TO INVESTMENT PROJECT

Project name: ……………………

To: ……………………………………………

I. PROJECT INFORMATION

Specify details similar to those under Section I of Form No. 13.

II. IMPLEMENTATION OF THE PROJECT

Produce detail report regarding project execution up to the time of applying for project revision (regarding load, implemented value, disbursement value of each investment work item, etc.).

III. CONTENTS AND REASONS FOR REVISION

- Specify legal basis for project revision.

- Specify main details of project revision and parts of the project for revision

- State reasons, causes, and responsibilities of relevant parties leading to project revision (in preparation, evaluation, approval, and organization of the project).

IV. RE-EVALUATION OF REVISED PROJECT

V. PROPOSITIONS

Hereby requests competent individual issuing investment decision or competent authority to support or provide assistance in dealing with difficulties of the project (if any)./.

 

INVESTOR (Signature and seal)

 

Form No. 16

Final evaluation report for investment projects utilizing other funding sources

INVESTOR/ECONOMIC ORGANIZATION EXECUTING THE PROJECT	SOCIALIST REPUBLIC OF VIETNAM Independence - Freedom - Happiness ----------------
No. /BCDGDT	(Location and date)

 

 

FINAL EVALUATION REPORT

Project name: ……………………

To: ……………………………………………

I. PROJECT INFORMATION

Specify details similar to those under Section 1 of Form No. 13.

II. EVALUATION CONTENTS

1. Evaluate objective implementation results (evaluate attained results compared to initial plan; specify difficulties during project execution which lead to failure to attain initial plan, other than business objectives):

- Objectives relating to project development, creation, enterprise:

- Objectives regarding scale:

- Other objectives:

2. Evaluate resource mobilization results (evaluate attained results compared to initial plan; specify difficulties during project execution which lead to failure to attain objectives under initial plan):

- Financial resources (equity, loan capital, and other mobilized funding, etc.):

- Ingredient resources:

- Earth and other natural resources:

- Labor, intellect, technology resources:

- Resources relating to technical infrastructures such as: electricity, water, traffic, etc.

- Other resources:

3. Evaluate implementation schedule (evaluate attained results compared to initial plan; specify difficulties during project execution which lead to failure to attain objectives under initial plan. Especially difficulties relating to policies, regulations, administrative procedures, etc.; cooperation between investors and authorities, cooperation between regulatory authorities.) :

- Project preparation schedule:

- Premise clearance schedule:

- Construction schedule:

- Schedule of procurement of machinery and equipment, installation, and test operation;

- Funding mobilization:

4. Evaluate benefits of the project (specify benefits brought about the project during implementation, estimated benefits brought about by the project during business operations).

III. PROPOSITIONS

Hereby requests competent regulatory authorities to support and assist in dealing with difficulties of the project (if any)./.

 

INVESTOR/ECONOMIC ORGANIZATION EXECUTING THE PROJECT (Signature and seal)

 

Form No. 17

Periodic supervision and evaluation report during operation phase of investment project utilizing other funding sources

INVESTOR ------	SOCIALIST REPUBLIC OF VIETNAM Independence - Freedom - Happiness ----------------
No. /BCGSDGDT	(Location and date)

 

SUPERVISION AND EVALUATION REPORT DURING OPERATION PHASE

(6-monthly/annual)

Project name: …………………………

To: ……………………………………………

I. PROJECT INFORMATION

Specify in accordance with Section I Form No. 13 and only once in the initial reporting period when the project has entered into operation.

II. PROJECT OPERATION

1. Manufacturing and business situations:

- Employment (quantity, compositions, education level) at the time of reporting.

- Fulfillment of obligations to employees (salaries, insurance, allowance, social benefits, etc.).

- Fulfillment of obligations to the budget (amount paid during reporting period, amount accumulated as of the time of reporting, amount payable, reasons for failure to pay).

- Profit (amount gained during reporting period, amount accumulated as of the time of reporting).

- Overview on enterprise financial situations (current liabilities, long-term liabilities, etc., analyze and compare to those in the previous reporting period).

2. Implementation of regulations relevant issues:

- Regarding use of land and other resources:

- Regarding environmental protection and fire safety requirements:

- Fulfillment of business and investment conditions with respect to projects in conditional business lines:

- Fulfillment of regulations under written approval of investment guidelines and investment registration certificate (if any).

3. Implementation of investment incentives (if any)

4. Disadvantages and difficulties of the project (if any)

III. PROPOSITIONS

Hereby requests competent regulatory authorities to support and assist in dealing with difficulties of the project (if any)./.

 

INVESTOR (Signature and seal)

 

Form No. 18

Impact assessment report for investment project utilizing other funding sources

INVESTMENT REGISTRATION BODY/INVESTMENT REGULATORY AUTHORITY -----	SOCIALIST REPUBLIC OF VIETNAM Independence - Freedom - Happiness ----------------
No. /BCDGDT	(Location and date)

 

IMPACT ASSESSMENT REPORT

Project name: …………………………

To: ……………………………………………

I. PROJECT INFORMATION

Specify in accordance with Section 1 of Form No. 13.

II. EVALUATION CONTENTS

1. Project operation situations.

2. Socio-economic impact and effect of the project.

III. PROPOSITIONS AND RECOMMENDATIONS

Specify recommendations and propositions for the project.

 

INVESTMENT REGISTRATION BODY/INVESTMENT REGULATORY AUTHORITY (Signature and seal)

 

Form No. 19: Community investment supervision report form

Name of investment supervisory board of commune community

(… Quarter/year …)

To: ……………………………………………

No.	Name of project	Conformity of decision on investment guidelines, investment decision with investment plan and planning in the commune	Compliance of project developers with regulations on: land boundaries and use; detail premise planning, architecture and construction solutions; waste handling, environmental protection; compensation, premise clearance, relocation solutions, investment schedule and plans	Implementation and schedule of programs, projects	Discovered violations to community benefits; negative impact of the projects on the environment	Discovered actions that waste or lose capital, assets of the projects	Inspection of transparency and openness during project investment	Monitoring and inspection of compliance of contractors with technical procedures, regulations, material norms, material types as per the law	Monitoring and inspection of construction commissioning and settlement results
(1)	(2)	(3)	(4)	(5)	(6)	(7)	(8)	(9)	(10)
I	Projects utilizing community funding and efforts, commune-level government budget, funding for the commune
1
2
(…)
II	Projects in PPP, projects utilizing state funding (other than those under Section I)
1
2
(...)
III	Projects utilizing other funding sources
1
2
(...)

Community supervisory board of ………… commune

Note:

Tick an x in categories that have been supervised; in which:

- Projects under Section I shall have all their categories supervised.

- Projects under Section II shall have their categories (3), (4), (5), (6), (7), and (8) supervised.

- Projects under Section III shall have their categories (3), (4), (5), (6), and (8) supervised.