CIRCULAR

PROVIDING FORMS OF INVESTMENT MONITORING AND EVALUATION REPORTS

Pursuant to Law No. 38/2009/QH12 Amending and Supplementing a Number of Articles of Laws Concerning Capital Construction Investment;

Pursuant to Investment Law No. 59/2005/QH11;

Pursuant to the Government's Decree No. 113/2009/ND-CP of December 15. 2009. on investment monitoring and evaluation;

Pursuant to the Government's Decree No. II6/2008/ND-CP of November 14. 2008, defining the functions, tasks, powers and organizational structure of the Ministry of Planning and Investment;

The Ministry of Planning and Investment provides forms of investment monitoring and evaluation reports as follows:

Article 1. Scope of regulation and subjects of application

...

...

...

2. This Circular applies to organizations and individuals involved in the elaboration of investment monitoring and evaluation reports.

Article 2. Forms of investment monitoring and evaluation reports

1. Forms of investment monitoring and evaluation reports issued together with this Circular include:

a/ Form No. 1: biannual and annual report on investment monitoring and evaluation;

b/ Form No. 2: monthly report on the implementation of investment projects with 30% or more state capital:

c/ Form No. 3: quarterly, biannual and annual report on monitoring and evaluating the implementation of investment projects with 30% or more state capital:

d/ Form No. 4: monitoring and evaluation report upon adjustment of investment projects with 30% or more state capital;

e/ Form No. 5: monitoring and evaluation report upon termination of investment projects with 30% or more state capital:

f/ Form No. 6: biannual and annual report on monitoring and evaluating the implementation of investment projects funded with other sources of capital.

...

...

...

Article 3. Organization of implementation

1. This Circular takes effect on July 17. 2010.

2. Ministries, ministerial-level agencies, government-attached agencies, other central agencies. People's Committees at all levels and concerned organizations and individuals should
report problems arising in the course of implementation to the Ministry of Planning and Investment for timely consideration and settlement.-

MINISTER OF PLANNING AND INVESTMENT




Vo Hong Phuc

FORM NO. 1

REPORT ON MONITORING AND ASSESSMENT OF ANNUAL AND BIANNUAL OVERALL INVESTMENT

...

...

...

SOCIALIST REPUBLIC OF VIETNAM
Independence - Freedom - Happiness
---------------

No.:          /BCGSDT

………, date…    month..     year …….

REPORT ON MONITORING AND ASSESSMENT OF OVERAL INVESTMENT

(Biannual/annual)

To: ………………………………………………….

I. STATUS OF ISSUANCE OF DOCUMENTS GUIDING POLICIES AND LAW IN RELATION TO INVESTMENT UNDER AUTHORITY

- Specifying the guiding documents in the reporting period (Document number, issuance date and document abstract).

...

...

...

II. STATUS OF PLANNING MANAGEMENT(stating the situation and result of performance, the pluses and minuses, the causes and responsibilities of agencies and organizations concerned, the problems related to mechanism and policies and proposing the remedies).

1. Status of formulation, appraisal and approval of planning under the area of management.

2. The management of implementation of provisions as prescribed.

3. The main obstacles and proposal for remedies.

III. STATUS OF MANAGEMENT OF INVESTMENT PROJECTS WITH THE USE OF 30% OF STATE CAPITAL OR MORE (stating the situation and result of performance, the pluses and minuses, the causes and responsibilities of agencies and organizations concerned, the problems related to mechanism and policies and proposing the remedies).

1. Formulation, appraisal and approval of projects.

2. Status of project implementation

- Value of volume invested in the period; achievements against the plans;

- Status of disbursement of projects; achievements against the plans;

...

...

...

- A number of projects adjusted in the period; the main reasons and remedies;

- Total project violated regulations on quality management; seriousness of the violation; major causes and remedies;

- A number of projects lost and wasted; degree of loss and waste, causes and treatment status of detected violations;

- A number of projects violating investment procedures; seriousness, causes and remedies.

3. Situation of implementing investment plans funded by the State:

- Plans for allocation of capital in the period;

- Results of disbursement of investment capital in the period;

- Situation of outstanding debt of investment capital (if any);

- Situation of waste and loss of investment capital (if any).

...

...

...

IV. STATUS OF MANAGEMENT OF INVESTMENT PROJECTS USING OTHER FUNDS (stating the situation and result of performance, the pluses and minuses, the causes and responsibilities of agencies and organizations concerned, the problems related to mechanism and policies and proposing the remedies).

1. Verifying and issuing certificate of investment

- Situation of project appraisal;

- A number of projects issued with certificate of investment in the period, total of registered investment capital (by economic sectors).

2. Managing the implementation of investment projects

- Investment capital plan as registered;

- Disbursement actually achieved.

3. Main obstacles and proposed remedies.

V. IMPLEMENTING THE INVESTMENT MONITORING AND ASSESSMENT (stating the situation and result of performance, the pluses and minuses, the causes and responsibilities of agencies and organizations concerned, the problems related to mechanism and policies and proposing the remedies).

...

...

...

2. Assessment of quality of reports.

3. Result of examination and assessment of investment projects in the period

- A number of projects examined; achievements against the plan (attached to the list of projects decided on investment by the competent person and examined by the state management agency on investment);

- A number of projects assessed, achievements against the plan (attached to the list of assessed projects);

- The main findings after examining and evaluating the project.

4. Plan for examination and assessment of investment projects in the next period (attached to the list of projects expected to be examined and assessed in the period).

5. General assessment of investment monitoring and assessment in the period.

6. Main obstacles and proposed remedies.

VI. PROPOSALS AND RECOMMENDATIONS

...

...

...

2. Proposals for implementation

(Attached to sub-forms: 01, 02, 03)

HEAD OF AGENCY
(Signature, seal)

Subform 01

STATUS OF INVESTMENT IN REPORTING PERIOD

...

...

...

Total

Quarter I

Quarter II

Quarter III

Quarter IV

I. Projects using 30% of state capital or more

...

...

...

Plan

Implementation

...

...

...

% completed

...

...

...

Plan

...

...

...

Implementation

% completed

...

...

...

III. Total

...

...

...

Plan

...

...

...

Implementation

% completed

...

...

...

% compared with the same period of last year

...

...

...

Plan

...

...

...

Implementation

% completed

...

...

...

% Compared with the same period of last year

...

...

...

Plan

...

...

...

Implementation

% completed

...

...

...

% Compared with the same period of last year

...

...

...

Subform 02

STATUS OF INVESTMENT MONITORING AND ASSESSMENT OF PROJECTS USING 30% STATE CAPITAL OR MORE

No.

Content

Total

Classification by group

A

B

...

...

...

I

Investment preparation

1

A number of projects planned for investment preparation in the period

...

...

...

2

A number of projects appraised in the period

3

...

...

...

II

Investment implementation

...

...

...

1

A number of investment projects implemented in the period

2

A number of new projects commenced during the period

...

...

...

3

A number of projects whose reports on monitoring and assessment are made as prescribed in the period.

4

...

...

...

5

A number of projects whose project assessment is done in the period

...

...

...

6

A number of projects in breach of investment procedures detected in the period.

a

Not in accordance with the planning

...

...

...

b

Aprroval beyond power

c

...

...

...

7

A number of projects in breach of quality management detected in the period (under the current regulations of quality management)

...

...

...

8

A number of projects wasted or lost detected in the period (after inspection, examination, audit and finalization)

a

Total investment capital of projects with waste and loss detected.

...

...

...

b

Total amount of loss and waste defined

9

...

...

...

a

A number of projects of slow progress due to investment procedures.

...

...

...

b

A number of projects of slow progress due to site clearance

c

A number of projects of slow progress due to capacity of investor, project management unit and contractors

...

...

...

d

A number of projects of slow progress due to timeless capital allocation

đ

...

...

...

10

A number of projects must be adjusted in the period

...

...

...

a

A number of projects whose objectives and investment scale must be adjusted

b

A number of projects whose investment capital must be adjusted

...

...

...

c

A number of projects whose investment progress must be adjusted

d

...

...

...

11

A number of projects whose performance must be stopped because of various reasons

...

...

...

12

A number of projects in need of selection of contractors in the period

a

Total package held for selection of contractor in the period

...

...

...

-

Contractor appointment

-

...

...

...

-

Open bidding

...

...

...

-

Hình thức khác Other forms

b

Total package in breach of bidding procedures detected in the period

...

...

...

-

Bidding performed not in accordance with regulation

-

...

...

...

III

End of investment, handover and putting of project into use

...

...

...

1

A number of projects whose investment is ended in the period

2

A number of projects whose finalization procedures are done for project completion in the period

...

...

...

3

A number of projects put into use but not effective (if any)

...

...

...

STATUS OF INVESTMENT MONITORING FOR PROJECT USING OTHER FUNDS

No.

Target

Total

Classification by group

(1)

(2)

(3)

1

...

...

...

a

Total capital registered for investment

...

...

...

b

A number of projects whose verification procedures are done for issuance of Certificate of investment

c

A number of projects whose procedures for investment registration has been done

...

...

...

2

A number of projects have been issued with Certificate of investment in the period

a

...

...

...

b

Adjustment of scale of investment capital

...

...

...

c

Adjustment of progress

d

Transfer of investor

...

...

...

3

A number of projects inspected and assessed in the period

4

...

...

...

5

A number of projects in breach of regulations on environmental protection detected in the period

...

...

...

6

A number of projects in breach of regulations on land use detected in the period

7

A number of projects in breach of regulations on management of natural resources detected in the period

...

...

...

8

The projects whose Certificate of investment must be revoked

9

...

...

...

a

Owner’s contributed capital

...

...

...

b

Loans

c

Other legal mobilization

...

...

...

10

A number of projects terminated with their investment in the period

Notes: (1) Project under the approval of the Prime Minister for investment (2): Project with a total investment of 300 billion dong or more (except for projects specified at Point (1) ), (​​3): Project with a total investment of less than 300 billion dong. 

...

...

...

FORM NO. 2

REPORT ON MONITORING AND ASSESSMENT OF MONTHLY INVESTMENT PROJECT FOR INVESTMENT PROJECTS USING 30% OF STATE CAPITAL OR MORE

NAME OF GOVERNING AGENCY
NAME OF INVESTOR
-------

SOCIALIST REPUBLIC OF VIETNAM
Independence - Freedom - Happiness
---------------

Số:          / BCGSDGDT

………, date     month     year…….

REPORT ON MONITORING AND ASSESSMENT OF INVESTMENT

(Month …. year ….)

...

...

...

To: ………………………………………………….

1. Status of project implementation

1.1. Project implementation progress

The volume of work done; accumulated work done from the beginning of the year and of the project; comparison with the plan.

1.2. Status of disbursement

- Value of volume of work done in a month; accumulated value of volume of work from the beginning of the year and of the project; comparison with the plan.

- Status of disbursement of investment capital in a month; accumulated disbursement value from the beginning of the year and of the project; comparison with the plan.

+ Construction and installation costs:

+ Equipment costs:

...

...

...

2. Assessment of project implementation

2.1. Overall assessment of project implementation: (Overall assessment of the implementation of construction investment procedures, volume of implementation, disbursement progress,... assessment of the achievement compared with the plan, the existences and problems).

2.2. Analysis of existent causes

2.3. Solutions to handle the existences and obstacles.

3. Proposal

Proposing the supporting and handling measures of project’s problems (if any) to the person having competence in investment decision.

INVESTOR
(Signature and seal)

...

...

...

FORM NO. 3

REPORT ON MONITORING AND ASSESSMENT OF QUARTERLY, BIANNUAL, ANNUAL INVESTMENT PROJECT IMPLEMENTATION FOR PROJECTS USING 30% OF STATE CAPITAL OR MORE

NAME OF GOVERNING AGENCY
NAME OF INVESTOR
-------

SOCIALIST REPUBLIC OF VIETNAM
Independence - Freedom - Happiness
---------------

Số:          /BCGSDGDT

………, date     month     year…….

REPORT ON MONITORING AND ASSESSMENT OF INVESTMENT IMPLEMENTATION

(Quarterly/Biannual/Yearly)

...

...

...

To: ………………………………………………….

I. Content of report:

1. Status of project implementation:

1.1. Progress of project implementation: ( Preparation for technical design, site clearance and relocation, bidding and contract performance…)

1.2. Value of volume performed under the progress of contract implementation

1.3. Status of capital management and summary of disbursement result:

1.4. Quality of work achieved: (Describing the quality of work achieved in proportion to the values of work volume for each phase accepted and paid)

1.5. Other costs related to the project:

1.6. Changes related to the process of project implementation:

...

...

...

2.1. Plan for implementation: (Stating the overall plan for each phase of project management in order to obtain the required progress);

2.2. Detailed plan of project implementation management contents: (Describing the detailed plan of each phase for work composition related to the phase of project management and implementation).

2.3. Results obtained compared with the proposed plan and adjustment of implementation plan to suit the requirements:

2.4. Quality assurance and effect of project management:

3. Status of information processing and feedback

3.1. Reporting information assurance: (The accuracy, truthfulness of reporting information)

3.2. Reporting information processing: (The timely reporting information processing after receipt of report for timely feedback to avoid adverse consequences to the project).

3.3. Result of arising problems: (Stating the results achieved through the process of settlement of arising problems during the project implementation).

II. Investor’s self-assessment and remark about the project:

...

...

...

2. Project management:

3. Information processing and feedback:

III. Proposed implementation solution:

Proposing the supporting and handling measures of project’s problems (if any) to the person having competence in investment decision.

INVESTOR
(Signature and seal)

(Attached to subforms No.: 04, 05, 06, 07, 08, 09, 10)

...

...

...

- Subform No.04 is reported only once in the first period;

- Subforms No. 04, 05, 06, 07, 08, 09, 10 are only reported in the periods of activity deployment related to the contents in these subforms;

- For projects which are decided on investment by Chairman of district and commune-level People’s Committee, in addition to sending reports to the person having competence in investment decision and the governing agency, other reports must be sent to the Service of Planning and Investment for summary.

Subform No. 04

FORM OF PROJECT INFORMATION

1. Project name:

2. Project investor:

3. Project planning consultation organization:

...

...

...

4. Scale and capacity:

5. Project location:

6. Land use area:

7. Form of project management:

8. Project timeline:

- Approval date of investment decision:

- Project implementation time:

+ Starting time:

+ End time:

...

...

...

10. Investment capital:

11. Brief description of project:

….., date … month … year …..
INVESTOR
(Signature and seal)

Subform No. 05

PROGRESS OF TECHNICAL DESIGN FORMULATION

No.

...

...

...

Name of contractor performing technical design

Approval date of technical design

Plan

Actuality

A number of documents

(1)

(2)

(3)

(4)

...

...

...

(6)

1-

2-

...

...

...

3-

...

...

...

….., date … month … year …..
INVESTOR
(Signature and seal)

...

...

...

PROGRESS OF SITE CLEARANCE AND RELOCATION

No.

Name of sub-project / package / location

Date on which the competent authority approves the project to compensate for site clearance and relocation

Compensation date (site handover)

Plan

Actuality

Plan

Actuality

...

...

...

(2)

(3)

(4)

(5)

(6)

1-

...

...

...

2-

3-

...

...

...

…

...

...

...

….., date … month … year …..
INVESTOR
(Signature and seal)

Subform No. 07

PROGRESS OF CAPITAL EXPENDITURE FOR IMPLEMENTATION OF SITE CLEARANCE AND RELOCATION PLAN

No.

Name of sub-project / package / location

Costs of site clearance and relocation

Management costs

...

...

...

Accumulation

Plan

Spending

Plan

Spending

Plan

Spending

(1)

(2)

...

...

...

(4)

(5)

(6)

(7)

(8)

(9)

1-

...

...

...

2-

...

...

...

3-

...

...

...

…

...

...

...

….., date … month … year …..
INVESTOR
(Signature and seal)

Subform No. 08

PROGRESS OF BIDDING IMPLEMENTATION

No.

...

...

...

Package price

Form of biding

Method of bidding

Form of contract

Duration of the contract

Duration of bidding

Result of bidding

Plan

Actuality

...

...

...

Bid-winning price

Increase (+), decrease (-) difference

Bid-winning contractor

(1)

(2)

(3)

(4)

(5)

(6)

...

...

...

(8)

(9)

(10)

(11)

(12)

(13)

1-

...

...

...

...

...

...

...

...

...

3-

...

...

...

…

...

...

...

...

...

...

….., date … month … year …..
INVESTOR
(Signature and seal)

Subform No. 09

PROGRESS OF CONTRACT PERFORMANCE

Unit: Million dong

No.

Package name

Number of contract

Contractor name

...

...

...

Initial contract

Adjusted contract

Actual completion day

Value of work volume done (%)

Value paid

Contract value

Completion day

Contract value

Completion day

...

...

...

Cumulation at the beginning of year

Cumulation after contract signing

Reporting time

Cumulation at the beginning of year

Cumulation after contract signing

(1)

(2)

(3)

(4)

...

...

...

(6)

(7)

(9)

(10)

(11)

(12)

(13)

(14)

(15)

...

...

...

(17)

1-

...

...

...

2-

...

...

...

...

...

...

3-

...

...

...

...

...

...

...

...

...

….., date … month … year …..
INVESTOR
(Signature and seal)

...

...

...

SUMMARY OF PERFORMANCE AND PAYMENT OF PROJECT INVESTMENT CAPITAL

Unit: Million dong

No.

Content description

Investment capital plan

Value of work volume done at the site

Value of work volume accepted

Capital paid(advance+ work volume at site paid

Value of work volume accepted but unpaid

...

...

...

Cumulation from commencement

In reporting period

Cumulation from commencement

In reporting period

Cumulation from commencement

In reporting period

Cumulation from commencement

Total

Advanced capital

...

...

...

Advanced capital

(1)

(2)

(5)

(6)

(7)

(8)

(9)

(10)

...

...

...

(12)

(13)

(14)

(15)

1-

Total

...

...

...

2-

State capital

...

...

...

...

...

...

3-

Other capital

...

...

...

-

Construction & installation

...

...

...

-

Equipment

...

...

...

...

...

...

-

Other costs

...

...

...

…..

...

...

...

….., date … month … year …..
INVESTOR
(Signature and seal)

...

...

...

FORM NO. 4

REPORT ON MONITORING AND ASSESSMENT OF INVESTMENT PROJECT ADJUSTMENT FOR INVESMENT PROJECTS USING 30% OF STATE CAPITAL OR MORE

NAME OF GOVERNING AGENCY
NAME OF INVESTOR
-------

SOCIALIST REPUBLIC OF VIETNAM
Independence - Freedom - Happiness
---------------

Số:          /BCGSDGDT

………, date     month     year…….

REPORT ON MONITORING AND ASSESSMENT OF INVESTMENT PROJECT

Project name: ……………………..

...

...

...

I. Information about project:

1. Project name:

2. Investor:

3. Project planning consultation organization:

5. Main objectives of project:

4. Scale and capacity:

5. Project location:

6. Land use area:

7. Form of project management:

...

...

...

- Approval date of investment decision:

- Project implementation time:

+ Starting time:

+ End time:

9. Total investment:

10. Investment capital:

11. Brief description of project:

II. Status of project implementation: (Reporting in detail the entire process of project implementation to the point of time applying for project adjustment

III. Content of project adjustment: (Stating main contents of project adjustment, components of adjusted project)

...

...

...

 (Comprehensively reviewing the project, stating the reasons and causes for project adjustment and responsibilities of the parties concerned in the process of formulation, appraisal, approval and implementation of the project as a basis of project adjustment and learning from experience for other projects ...)

V. Re-assessment of adjusted project:

VI. Proposal:

INVESTOR
(Signature and seal)

FORM NO. 5

REPORT ON MONITORING AND ASSESSMENT OF PROJECT INVESTMENT TERMINATION FOR PROJECTS USING 30% OF STATE CAPITAL OR MORE

...

...

...

SOCIALIST REPUBLIC OF VIETNAM
Independence - Freedom - Happiness
---------------

Số:          /BCGSDGDT

………, date     month     year…….

REPORT ON MONITORING AND ASSESSMENT OF PROJECT INVESTMENT TERMINATION

Project name: ……………………..

To: ………………………………………………….

I. Information about project:

1. Project name:

...

...

...

3. Project planning consultation organization:

5. Main objectives of project:

4. Scale and capacity:

5. Project location:

6. Land use area:

7. Form of project management:

8. Project timeline:

- Approval date of investment decision

- Project implementation time:

...

...

...

+ End time:

9. Total investment:

10. Investment capital sources

11. Brief description of project:

12. Information about bidding result:

II. Content:

1. Summing up the whole process of project implementation:

Briefly describing the process of project impelementation from the preparation for implementation to the end of investment.

2. Summing up the achieved results of implementation of project:

...

...

...

2.2. Result of financial implementation:

- Comparing the total investment by investment decision with the total actual disbursement value;

- Stating essential adjustment on total investment of project;

- Stating factors which effect the disbursement compared with the approved investment decision

2.3. Factors affecting the results of project implementation:

- Stating the factors which affect the results of project implementation including: Legal grounds, project management, bidding, procurement, site clearance and relocation engineering and technological issues...

- Advantages and difficulties and remedies that the investor has carried out.

2.4. Preliminarily stating social-economic efficiency compared with the project objectives:

The project implementation aims to the completion of project objectives and contribution to implementation of objectives and duties of the Government’s plan for social-economic development.

...

...

...

The project implementation effecting the relevant sectors and fields (Economy, science and technology, environment, culture and society, etc. ....).

2.6. The sustainability of project:

Stating the impacting factors and ensuring the sustainability and promoting the efficiency of the project.

2.3. Learning from experience from practicality of the project:

Lessons drawn from the project and recommendations (if any) in order to promote the efficiency, sustainability or overcome the limitations of the project.

INVESTOR
(Signature and seal)

...

...

...

REPORT ON MONITORING AND ASSESSMENT OF ANNUAL AND BIANNUAL INVESTMENT PROJECT IMPLEMENTATION FOR INVESTMENT PROJECTS USING OTHER FUNDS

NAME OF GOVERNING AGENCY
NAME OF INVESTOR
-------

SOCIALIST REPUBLIC OF VIETNAM
Independence - Freedom - Happiness
---------------

Số:          /BCGSDGDT

………, date     month     year…….

REPORT ON MONITORING AND ASSESSMENT OF INVESTMENT PROJECT IMPLEMENTATION

(Biannual/annual)

Project name: ……………………………….

...

...

...

I. Information about project:

1. Investor:

2. Main objectives of project:

3. Scale and capacity:

4. Project location:

5. Total investment and funds

6. Main timeline:

- Isue date of Certificate of investment;

- Date of commencement;

...

...

...

II. Status of project implementation

1. Progress of project implementation: (stating the results of main work implementation of the project; expected work volume done in the period, accumulation from the beginning of year and project and comparison with the plan).

2. Status of capital mobilization for the project: (specifying the result of capital mobilization for project implementation in the period based on the funds (investor’s capital, bank loans and legal mobilization); accumulation from the beginning of the year and project; comparison with the plan).

3. Status of disbursement (stating the disbursement of investment capital in the period; accumulated disbursement value from the beginning of the year and of the project; comparison with the plan.

4. Implementation of the requirements for environmental protection, land use, mineral and natural resources use: (stating the project work done to ensure the requirements of environmental regulations, the use of land, mineral and natural resources ...)

5. The implementation of contents of Certificate of investment: (stating contents done in accordance with provisions of Certificate of investment issued by each phase of project).

II. Proposals for solutions:

Proposing the supporting and handling measures of project’s problems (if any) to the competent agencies.

...

...

...

INVESTOR
(Signature and seal)