Circular No. 03/2017/TT-BKHĐT stipulates the reporting regime for the establishment, monitoring, and evaluation of the implementation of public investment plans.

CIRCULAR

Regulations on the reporting system for the establishment, monitoring, and evaluation of the implementation of public investment plans

concerning the medium-term and annual public investment plans

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Pursuant to the Law on Public Investment No. 49/2014/QH13 dated June 18, 2014;

Pursuant to Decree No. 77/2015/NĐ-CP dated September 10, 2015 of the Government on medium-term and annual government investment plans;

Pursuant to Decree No. 136/2015/ND-CP dated December 31, 2015, guiding the implementation of certain provisions of the Public Investment Law;

Pursuant to Decree No. 84/2015/ND-CP dated September 30, 2015 of the Government on supervision and evaluation of investment;

Pursuant to Decree No. 16/2016/ND-CP dated March 16, 2016 of the Government on management and utilization of official development assistance (ODA) and preferential loans from foreign donors;

Pursuant to Decree No. 116/2008/ND-CP dated November 14, 2008 of the Government stipulating the functions, tasks, powers, and organizational structure of the Ministry of Planning and Investment;

The Minister of Planning and Investment issues this Circular regulating the reporting system for the establishment, monitoring, and evaluation of the implementation of public investment plans.

PART I

GENERAL PROVISIONS

Article 1. Scope of Regulation

This Circular regulates the reporting system for the establishment, monitoring, and evaluation of the implementation of medium-term and annual public investment plans; the establishment, review, approval of investment policies, and investment decisions for public investment programs and projects of ministries, agencies at the level of ministries, government agencies, the Supreme People's Court, the Supreme People's Procuracy, the State Audit Office, the Office of the President, the Office of the National Assembly, the Vietnam Fatherland Front, political organizations, political-social organizations, state-owned corporations, state-owned joint-stock companies, and people's committees at all levels of local administrative authorities and units using public investment capital (hereinafter referred to as central ministries and agencies and local authorities).

Article 2. Applicability

This Circular applies to agencies, organizations, and individuals participating in or related to the establishment, monitoring, and evaluation of the implementation of public investment plans; the establishment, review, approval of investment policies, and investment decisions; and the management and implementation of public investment programs and projects.

Article 3. Explanation of Terms

1. System: Is the information system at the address https://dautucong.mpi.gov.vn used to update and store information and data related to the establishment, monitoring, and evaluation of the implementation of medium-term and annual public investment plans; the establishment, review, approval of investment policies, and investment decisions for public investment programs and projects of central ministries and agencies and local authorities.

2. Special-purpose digital signature: Is a digital signature signed by a digital certificate provided by an organization providing special-purpose digital signature authentication services for Party and State agencies, political-social organizations.

Article 4. Reporting Forms

1. Online Reporting

a) When applying the online reporting system, attaching documents on the System will replace sending paper documents according to the laws on public investment and the provisions of this Circular.

b) Attached documents on the System are color scans of original documents, stamped documents, or electronic documents with special-purpose digital signatures.

c) The account used for the System is registered at the address https://taikhoan.mpi.gov.vn in accordance with Article 5 of Circular No. 13/2016/TT-BKHĐT dated September 29, 2016 of the Ministry of Planning and Investment on the online reporting system and management operation of the information system for monitoring and evaluating public investment programs and projects funded by state capital (hereinafter referred to as Circular No. 13/2016/TT-BKHĐT). Agencies and units that already have accounts for the System do not need to re-register.

d) Reporting forms will be compiled and printed directly from the System.

2. Reporting in Written Form

a) This reporting form applies to programs and projects with confidential nature.

b) Reporting forms will be downloaded from the "Reporting Forms" section on the System.

Chapter II

ESTABLISHING, ASSIGNING, AND ADJUSTING PUBLIC INVESTMENT PLANS

MEDIUM-TERM, ANNUAL

Article 5. Establishing and Assigning Medium-Term and Annual Public Investment Plans

1. For central government budget funds, ODA funds, and preferential loans from foreign donors; state credit investment development funds; investment funds from retained revenue not yet included in the state budget balance of central ministries and sectors:

a) Central ministries and sectors and provincial Planning and Investment Departments update detailed needs and anticipated medium-term and annual public investment plans and submit them to the Ministry of Planning and Investment through the System. The time and data reported by central ministries and sectors and localities are recorded as the time and data at the point of submitting the report to the Ministry of Planning and Investment through the System.

b) The Ministry of Planning and Investment compiles the national medium-term and annual public investment plans based on the data regarding the needs and anticipated medium-term and annual public investment plans of central ministries and sectors and localities that have been updated on the System.

c) Within five working days from the date the Prime Minister assigns the medium-term and annual public investment plans, the Minister of Planning and Investment issues a decision assigning the medium-term and annual public investment plans simultaneously in writing and through the System.

2. For locally balanced budget funds, local government bond funds, other loans from the local budget, and investment funds from retained revenue not yet included in the local budget balance:

a) Within fifteen working days from the date the Provincial People's Committee decides to assign detailed medium-term and annual investment plans for provincial locally balanced budget funds, local government bond funds, other loans from the provincial budget, and investment funds from retained revenue not yet included in the provincial budget balance, the provincial Planning and Investment Department updates the medium-term and annual investment plans for each project on the System.

b) Within fifteen working days from the date the District or Commune People's Committee decides to assign detailed medium-term and annual investment plans for district or commune locally balanced budget funds, and investment funds from retained revenue not yet included in the district or commune budget balance, the district or commune People's Committee departments responsible for managing public investment update the medium-term and annual investment plans for each project on the System.

Article 6. Adjusting Medium-Term and Annual Public Investment Plans, Pre-funding Plan Capital

1. For central government budget funds, ODA funds, and preferential loans from foreign donors; investment funds from retained revenue not yet included in the state budget balance of central ministries and sectors:

Within ten working days from the date the Prime Minister adjusts the medium-term and annual public investment plans and pre-funds plan capital, the Ministry of Planning and Investment updates on the System information about adjustments and pre-funded plan capital for each project's medium-term and annual public investment plans (if applicable).

2. For locally balanced budget funds, local government bond funds, other loans from the local budget, and investment funds from retained revenue not yet included in the local budget balance:

a) Within ten working days from the date the Provincial People's Committee decides to adjust the medium-term and annual investment plans for provincial locally balanced budget funds, local government bond funds, other loans from the provincial budget, and investment funds from retained revenue not yet included in the provincial budget balance, and pre-funds plan capital, the provincial Planning and Investment Department updates on the System information about adjustments and pre-funded plan capital for each project's medium-term and annual provincial locally balanced budget investment plans (if applicable).

b) Within ten working days from the date the District or Commune People's Committee decides to adjust the medium-term and annual investment plans for district or commune locally balanced budget funds, and investment funds from retained revenue not yet included in the district or commune budget balance, the district or commune People's Committee departments responsible for managing public investment update on the System information about adjustments for each project.

Article 7. Content, forms, and time for reporting

1. The report on demand and projected annual public investment plans, medium-term public investment plans shall include the contents prescribed in Articles 52 and 53 of the Public Investment Law and the guidance of the Ministry of Planning and Investment.

a) The list of report forms for the statistical reporting system of the national reserve sector issued together with Appendix I of this Circular;

a) For the preparation of medium-term public investment plans

- Ministries and central agencies shall report on demand and projected medium-term public investment plans according to forms No. 1, 2, and 8 for preparing medium-term public investment plans and supplementary guiding documents of the Ministry of Planning and Investment (if any).

- Provincial People's Committees shall report on demand and projected medium-term public investment plans according to forms No. 25, 26, and 42 for preparing medium-term public investment plans and supplementary guiding documents of the Ministry of Planning and Investment (if any).

b) For the preparation of annual public investment plans

- Ministries and central agencies shall report on demand and projected annual public investment plans according to forms No. 12, 13, and 20 for preparing annual public investment plans and supplementary guiding documents of the Ministry of Planning and Investment (if any).

- Provincial People's Committees shall report on demand and projected annual public investment plans according to forms No. 34, 35, and 42 for preparing annual public investment plans and supplementary guiding documents of the Ministry of Planning and Investment (if any).

c) For the results of allocating and adjusting medium-term and annual public investment plans

- Ministries and central agencies shall report on the results of allocating medium-term and annual public investment plans from state budget capital, retained revenue for investment but not yet included in the state budget allocation, according to the timeframes stipulated in the Decisions on Allocation and Adjustment of Plans (if any) of the competent authority and according to forms No. 3, 4, 14, and 15.

- Provincial People's Committees shall report on the results of allocating medium-term and annual public investment plans from state budget capital, local government bond capital, other loans from the local budget, retained revenue for investment but not yet included in the provincial state budget allocation, according to the timeframes stipulated in the Decisions on Allocation and Adjustment of Plans (if any) of the competent authority and according to forms No. 27, 28, 36, and 37.

- District and commune People's Committees shall report on the results of allocating/adjusting medium-term and annual public investment plans from local budget capital, retained revenue for investment but not yet included in the district and commune local budget allocation, according to the forms and timeframes stipulated in the Decisions on Allocation and Adjustment of Plans (if any) of the competent authority.

d) For the finalization of annual public investment plans

Ministries and central agencies and Departments of Planning and Investment shall update the Annual Public Investment Plan Finalization System of ministries, central agencies, and localities within ten working days from when the competent authority approves, including detailed annual plan finalization figures for each project.

3. Time limit for reporting

a) The time limit for reporting on medium-term public investment plans of ministries, central agencies, and localities as prescribed in Article 58 of the Public Investment Law and Articles 18, 19, and 20 of Decree No. 77/2015/NĐ-CP; the Prime Minister's Directive on preparing medium-term public investment plans for each phase and the guidance of the Ministry of Planning and Investment on preparing and proposing detailed allocation schemes for medium-term public investment plans.

b) The time limit for reporting on annual public investment plans of ministries, central agencies, and localities as prescribed in Article 59 of the Public Investment Law and Articles 32, 33, and 34 of Decree No. 77/2015/NĐ-CP; the Prime Minister's Directive on preparing socio-economic development plans and state budget estimates for the year and the guidance of the Ministry of Planning and Investment on preparing and proposing detailed allocation schemes for annual public investment plans.

c) The time limit for reporting on medium-term and annual public investment plans of units under ministries, central agencies, and localities shall be specifically defined by the Ministers, Heads of Central Ministries and Agencies, and Chairmen of Provincial People's Committees in accordance with the timeframe for consolidating the national overall plan.

Chapter III

REPORT ON THE IMPLEMENTATION SITUATION

OF PUBLIC INVESTMENT PLANS

Article 8. Content and Report Forms

1. Ministries and central agencies shall, based on reports and updated information on the System as stipulated in Article 11 of this Circular, periodically report monthly, quarterly, and annually:

a) The implementation status of the medium-term public investment plan according to forms number 5 and 6;

b) The implementation status of the annual public investment plan according to forms number 16 and 17;

c) The implementation status of the medium-term and annual plans for ODA and preferential loans from foreign sponsors according to Circular No. 12/2016/TT-BKHĐT and forms number 7, 19, and 21.

2. Local People's Committees at all levels shall, based on reports and updates on the System as stipulated in Article 11 of this Circular, periodically report monthly, quarterly, and annually:

a) The implementation status of the medium-term public investment plan according to forms number 29 and 30;

b) The implementation status of the annual public investment plan according to forms number 38 and 39;

c) The implementation status of the medium-term and annual plans for ODA and preferential loans from foreign sponsors according to Circular No. 12/2016/TT-BKHĐT and forms number 31, 41, and 43.

3. The Vietnam Development Bank and the Social Policy Bank shall periodically report monthly, quarterly, and annually and update on the System the implementation status of the medium-term and annual plans for state credit investment development according to forms number 10, 11, 23, and 24.

Article 9. Reporting Deadline

1. Central ministries and local authorities shall implement reporting on the implementation and disbursement of the medium-term and annual public investment plans as prescribed in Clause 1, Article 48 of Decree No. 77/2015/NĐ-CP; Government resolutions, Prime Minister directives, and guidance documents issued by the Ministry of Planning and Investment in implementing the medium-term and annual public investment plans.

2. Local levels and sectors shall implement reporting on the implementation and disbursement of the medium-term and annual public investment plans as prescribed in Clause 3, Article 48 of Decree No. 77/2015/NĐ-CP.

Chapter IV

REPORT ON THE IMPLEMENTATION SITUATION

INVESTMENT PROGRAMS AND PROJECTS

Article 10. Reporting on the Implementation Status of Public Investment Programs

1. The Ministry of Planning and Investment, within 15 working days from the date the National Assembly, Government, or Prime Minister approves the investment policy decision or investment decision (if any) for the attached public investment program on the System:

a) The National Assembly resolution approving the investment policy for national target programs, accompanied by the dossier submitted by the Ministry of Planning and Investment on behalf of the Prime Minister to the National Assembly for approval of the investment policy;

b) The Government resolution approving the investment policy for programs decided by the Government;

c) The Prime Minister’s decision approving the national target program, program targets, or investment adjustment decision (if any);

d) The appraisal report on the proposal for the investment policy or feasibility study report of the State Appraisal Council for the national target program;

đ) The appraisal report on the proposal for the investment policy or feasibility study report of the inter-ministerial appraisal council or the Ministry of Planning and Investment-led appraisal for programs under the Government's authority.

2. Program leaders shall:

a) Attach documents included in the dossier submitted to the competent authority for the investment policy decision for the program as stipulated in Clause 1, Article 22 of Decree No. 136/2015/NĐ-CP dated December 31, 2015, guiding the implementation of certain provisions of the Law on Public Investment, except for the contents specified in Points a, d, and đ of Clause 1 of this Article;

b) Update information on component projects of the public investment program during each period;

c) Attach the application for the competent authority to decide on the investment for the program and the completed feasibility study report on the program according to the appraisal opinion;

d) Attach the audit report on the program (if any);

đ) Attach conclusions of supervisory, inspection, and auditing bodies on the program plan (if any).

3. Departments of Planning and Investment or investment management offices under People's Committees at district and commune levels shall, within 15 working days from the date the People's Councils at all levels approve the investment policy and the People's Committees at all levels decide on the investment for the public investment program funded entirely by the local budget, local government bonds, retained revenue for investment but not included in the local budget, and other local budget loans for investment, attach on the System:

a) The People's Council resolution approving the investment policy for the public investment program;

b) The People's Committee decision approving the public investment program or investment adjustment decision (if any);

c) The dossier submitted to the competent authority for approval of the investment policy and decision for the program;

d) The appraisal report on the proposal for the investment policy or feasibility study report on the public investment program under the People's Committee's authority to decide.

4. Reporting on the Implementation Status of Public Investment Programs:

a) Central ministries and local authorities shall report annually, mid-term, and end-term on the implementation status of public investment programs according to forms number 45, 46, and 47 and according to the program leader's guidelines;

b) Public investment program leaders shall report annually, mid-term, and end-term on the implementation status of public investment programs according to forms number 48, 49, and 50.

Article 11. Report on the Implementation of Public Investment Projects

1. The project management entity of public investment projects and component project investors shall update information on the System in accordance with Clauses 1, 2, 3, and 4 of Article 3 of Circular No. 13/2016/TT-BKHĐT.

2. In addition to the information updated in accordance with Clause 1 of this Article, the project management entity of public investment projects and component project investors must attach the following documents to the System within fifteen working days from the date of issuance by the competent authority:

a) Information on approval of the investment proposal for the project:

- Decision on the investment proposal for the project or Decision on the adjusted investment proposal (if applicable);

- Appraisal report on the Preliminary Feasibility Study Report for Class A projects and Appraisal report on the Investment Proposal for Class B and C projects by the appraisal agencies as prescribed by the Public Investment Law;

- Reports on the appraisal of funding sources and the ability to balance funds for the project by the appraisal agencies as stipulated in Article 38 of the Public Investment Law.

b) Information on the decision to invest in the project:

- Specific international agreements, agreements on ODA and preferential loans signed for programs and projects using ODA and preferential loans from foreign donors;

- Petition for the competent authority to decide on the investment in the project;

- Appraisal report on the Detailed Feasibility Study Report for the project by the appraisal agencies as prescribed by the Public Investment Law, Construction Law, and relevant laws;

- Appraisal report on the funding sources and the ability to balance funds for the project with increased total investment as stipulated in Article 38 of the Public Investment Law.

c) Audit report on the project (if any);

d) Conclusions of inspection, audit, and verification agencies regarding plans and public investment projects (if any).

3. Ministries, central agencies, and localities (Planning and Investment Departments at provincial and district levels, and relevant departments under the People's Committees at commune level according to their jurisdiction) shall review the updated information and attachments provided by the investors under their management on the System. If the investor fails to attach the required documents as specified in Clause 2 of this Article, these agencies shall be responsible for attaching them to the System.

Chapter V

DUTIES, RIGHTS, AND RESPONSIBILITIES OF ORGANIZATIONS AND INDIVIDUALS IN IMPLEMENTING THE REPORTING REGIME

ORGANIZATIONS AND INDIVIDUALS IN THE IMPLEMENTATION OF THE REPORTING REGIME

Article 12. Responsibilities of the Ministry of Planning and Investment

1. Department of National Economic Synthesis

a) To take the lead and coordinate with related units to develop procedures within the Ministry for using the System in the preparation and monitoring of medium-term and annual public investment plans;

b) To use the System to compile medium-term and annual public investment plans nationwide based on the reviewed data from related units within the Ministry. To implement the allocation of plans through the System;

c) To provide the Computing Center with the following documents for updating on the System within five days from the date of approval by the competent authority:

- Documents as prescribed in Clause 1, Article 10 of this Circular;

- Information on adjustments to medium-term and annual public investment plans, advance capital according to Clause 1, Article 6 of this Circular;

- Information on extending annual plan capital;

- Notification documents to be sent to central ministries, agencies, and localities via the System.

2. Departments responsible for sectors, programs, and central and local agencies assigned to manage specific sectors, programs, and agencies shall be responsible for implementing the following tasks in their respective fields:

a) To review and monitor information related to plans, programs, and public investment projects assigned by the Prime Minister on the System;

b) To use the System in the compilation, monitoring, and disbursement of medium-term and annual public investment plans and programs and public investment projects;

c) To urge agencies to update and report in accordance with this Circular;

d) To fulfill the reporting responsibilities of program leaders as prescribed in Clause 2 and Clause 4 of Article 10 of this Circular for programs managed by the Ministry of Planning and Investment;

đ) When drafting documents of the Ministry concerning adjustments to public investment plans, in addition to sending them to related units, they must also send them to the Computing Center for updating information on the System.

3. Computing Center:

a) To take the lead in building, upgrading, managing, and operating the System;

b) To urge, supervise, and inspect the updating of information and reports on the System;

c) To publicly disclose the situation of System usage in real-time; to publicly disclose the reporting situation of agencies on the System and other required information;

d) To take the lead in guiding the management, operation, and utilization of the System nationwide;

đ) To take the lead in updating information on the System within the responsibility of the Ministry of Planning and Investment based on the information provided by the Department of National Economic Synthesis as stipulated in point đ, Clause 1 of this Article and received documents as prescribed in point đ, Clause 2 of this Article;

e) To post forms on the System.

Article 13. Responsibilities of central ministries and local authorities

1. Implement reporting and updating information on the System in accordance with this Circular.

2. The reported information and figures must ensure:

a) Accuracy, completeness, timeliness, honesty, and objectivity;

b) The content and format of reports must be complete and comply with the requirements set forth in this Circular;

c) When there are changes to previously reported data or when data for the current reporting period shows unusual fluctuations, the reporting entity must submit written adjustment reports to the receiving entity;

d) Consistency between paper reports and updated information on the System.

3. Utilize the System in the work of summarizing and monitoring the implementation of medium-term and annual public investment plans at central ministries and local authorities.

4. Urge project sponsors and units under central ministries and local authorities to implement reporting and updating systems in accordance with the provisions of this Circular.

5. Bear responsibility before management agencies, inspection and audit bodies regarding the content and accuracy of reported information and figures.

Article 14. Responsibilities of program managers

1. Timely and accurately update information and reports as stipulated in Article 10 of this Circular.

2. Bear responsibility for information and data entered into the System and bear liability under the law for inaccurate reports or provision of information leading to incorrect understanding of investment implementation within their management scope.

Article 15. Responsibilities of project sponsors and component project sponsors

1. Timely and accurately update information and reports as stipulated in Article 11 of this Circular.

2. Bear responsibility for information and data entered into the System and bear liability under the law for inaccurate reports or provision of information leading to incorrect understanding of investment implementation within their management scope.

Article 16. Handling Violations

1. Organizations, entities, and individuals violating the provisions of this Circular shall be subject to legal sanctions depending on the nature and severity of the violation.

2. Central ministries and local authorities, program managers, project sponsors, and component project sponsors failing to fully implement reporting and updating systems as prescribed in this Circular will not have their medium-term and annual public investment plans considered unless they obtain permission from the competent authority due to objective reasons preventing them from updating information on the System.

Chapter VI

IMPLEMENTING PROVISIONS

Article 17. Transitional Provisions

1. For the 2017 plan: Implement reporting procedures as prescribed in this Circular by submitting written reports simultaneously with online reports on the System.

2. From the 2018 plan:

a) Reporting on the implementation and disbursement of plans, programs, and projects shall be done through online reporting on the System;

b) Reporting on the establishment, allocation, and adjustment of medium-term and annual public investment plans shall be done through online reporting on the System while also submitting written reports for archival purposes to serve inspection, audit, and review activities as required.

3. For information related to plans, programs, and projects allocated in the 2016 and 2017 plans that have not been updated on the System, by December 31, 2017, central ministries, local authorities, program managers, project sponsors, and component project sponsors are responsible for fully updating the information on the System in accordance with this Circular.

4. In areas where sufficient means for online reporting are not available, reporting procedures shall be implemented through written submissions to higher-level management agencies. Higher-level management agencies are responsible for updating the information on the System.

5. Information updated on the System in accordance with Circular No. 12/2016/TT-BKHĐT and Circular No. 13/2016/TT-BKHĐT does not need to be updated again on the System.

Article 18. Effective Date

1. This Circular takes effect from June 15, 2017.

2. This Circular replaces Circular No. 05/2007/TT-BKHĐT dated August 9, 2007, issued by the Ministry of Planning and Investment regarding report forms and guidelines for implementing Decision No. 52/2007/QĐ-TTg dated April 16, 2007, of the Prime Minister on the reporting system for the implementation of state-funded investment plans.

3. The report forms on the establishment, examination, monitoring, and evaluation of foreign-invested capital investment plans specified in this Circular replace the annexes in Appendix III of Circular No. 12/2016/TT-BKHĐT.

4. Previous regulations concerning the reporting system for establishing, monitoring, and evaluating public investment plans that conflict with the provisions of this Circular are hereby abolished.

Article 19. Implementation

1. Ministries, ministerial-level agencies, government agencies, other central agencies, People's Councils at all levels, and related organizations and individuals are responsible for implementing this Circular.

2. During implementation, if there are difficulties or obstacles, agencies, units, and organizations should report to the Ministry of Planning and Investment for timely guidance.