Circular No. 05/2023/TT-BKHĐT stipulates the model for investment supervision and evaluation reports; online reporting systems and management operation of the information system on investment supervision and evaluation for programs and projects funded by state capital.

 

 

 

 

 CIRCULAR

REGULATIONS ON THE FORMS OF MONITORING AND EVALUATION REPORTS FOR INVESTMENTS; REPORTING SYSTEMS AND MANAGEMENT OPERATIONS OF THE INFORMATION SYSTEM FOR MONITORING AND EVALUATING INVESTMENTS IN PROGRAMS AND PROJECTS FUNDED BY STATE CAPITAL

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

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

BASED ON THE LAW AMENDING AND SUPPLEMENTING CERTAIN PROVISIONS OF THE CONSTRUCTION LAW dated June 17, 2020;

Pursuant to the Investment Law dated June 17, 2020;

Pursuant to the Public-Private Partnership Investment Law dated June 18, 2020;

BASED ON THE LAW AMENDING AND SUPPLEMENTING CERTAIN PROVISIONS OF THE PUBLIC INVESTMENT LAW, THE PUBLIC-PRIVATE PARTNERSHIP INVESTMENT LAW, THE INVESTMENT LAW, THE HOUSING LAW, THE BIDDING LAW, THE ELECTRICITY LAW, THE ENTERPRISE LAW, THE SPECIAL CONSUMPTION TAX LAW, AND THE CIVIL ENFORCEMENT LAW dated January 11, 2022;

Pursuant to Decree No.Decision No. 130/2018/NĐ-CPBASED ON THE GOVERNMENT’S DECISION NO. 29/2021/NĐ-CP dated March 26, 2021 on procedures and formalities for assessing national key projects and monitoring and evaluating investments;

Pursuant to Decree No.29/2021/NĐ-CPBASED ON THE GOVERNMENT’S DECISION NO. 29/2021/NĐ-CP dated March 26, 2021 on procedures and formalities for assessing national key projects and monitoring and evaluating investments;

Pursuant to Decree No.Decision No. 1269/QĐ-TTgdated October 2, 2019 of the Prime Minister on the establishment of the National Innovation and Creativity Center;

AT THE PROPOSAL OF THE HEAD OF THE DEPARTMENT OF MONITORING AND ASSESSMENT OF INVESTMENTS AND THE DIRECTOR OF THE CENTER FOR INFORMATION TECHNOLOGY AND DIGITAL TRANSFORMATION;

THE MINISTER OF PLANNING AND INVESTMENT ISSUES THIS CIRCULAR TO REGULATE THE FORMS OF MONITORING AND EVALUATION REPORTS FOR INVESTMENTS; REPORTING SYSTEMS AND MANAGEMENT OPERATIONS OF THE INFORMATION SYSTEM FOR MONITORING AND EVALUATING INVESTMENTS IN PROGRAMS AND PROJECTS FUNDED BY STATE CAPITAL.

PART I

GENERAL PROVISIONS

Article 1. Scope of Regulation

This Circular stipulates on:

1. The forms of reports on monitoring and evaluation activities for investments as prescribed in the GOVERNMENT DECREE NO. 29/2021/NĐ-CP dated March 26, 2021 on procedures and formalities for assessing national key projects and monitoring and evaluating investments (hereinafter referred to as GOVERNMENT DECREE NO. 29/2021/NĐ-CP), except for foreign investment projects.

Projects using ODA and preferential loans from foreign donors shall implement the report forms under this Circular; issues that differ due to the specific nature of these funds shall be implemented in accordance with the laws on the use of ODA and preferential loans from foreign donors.

2. The reporting system for monitoring and evaluating investments on the business information system to carry out monitoring and evaluation of programs and projects funded by state capital and management operations of the information system for monitoring and evaluating investments in programs and projects funded by state capital.

Article 2. Applicability

This Circular applies to organizations and individuals related to the preparation and reporting of monitoring and evaluation activities for investments.

Article 3. Explanation of Terms

1. The information system for monitoring and evaluating investments in programs and projects funded by state capital (hereinafter referred to as the System) is a system for updating, storing information, monitoring, evaluating, analyzing, and publicly disclosing information according to the provisions of the Public Investment Law regarding programs and projects funded by state capital nationwide. The System includes the following components:

a) The National Portal for Monitoring and Evaluating Investments is a website for monitoring and evaluating investments aimed at transparently disclosing information on investments funded by state capital as stipulated in Article 14 of the Public Investment Law;

b) The business information system is a system for organizations and individuals involved in state-funded investment activities to use accounts issued by the Ministry of Planning and Investment to perform monitoring and evaluation activities for investments as prescribed;

c) The technical infrastructure system, including: network systems, servers, security measures, system software, application software.

2. Digital signatures used in the business information system: digital signatures issued by organizations providing government-specific digital signature verification services for Party and State agencies and political-social organizations.

3. The account registration system is a system for organizations and individuals involved in state-funded investment activities to register accounts to access the business information system (at the address https://taikhoan.mpi.gov.vn).

4. Comprehensive monitoring and evaluation data: data according to the eight sub-tables of Form No. 01 attached to this Circular.

Chapter II

FORMS OF MONITORING AND EVALUATION REPORTS FOR INVESTMENTS; ONLINE REPORTING SYSTEMS AND MANAGEMENT OPERATIONS OF THE INFORMATION SYSTEM FOR

MONITORING AND EVALUATING INVESTMENTS IN PROGRAMS AND PROJECTS

FUNDED BY STATE CAPITAL

FORMS OF MONITORING AND EVALUATION REPORTS FOR INVESTMENTS

Section 1

MODEL REPORT ON MONITORING AND ASSESSING INVESTMENT

Article 4. Templates for monitoring and evaluating investment reports

1. Template for the annual comprehensive monitoring and evaluation report on investment:

Template No. 01: Annual comprehensive monitoring and evaluation report on investment.

2. Templates for monitoring and evaluating public investment projects and state capital investment projects outside public investment, including:

a) Template No. 02: Initial assessment report;

b) Template No. 03: Periodic monitoring and evaluation report during the implementation phase (6 months, annually);

c) Template No. 04: Mid-term or phase assessment report;

d) Template No. 05: Monitoring and evaluation report before adjusting the investment project;

đ) Template No. 06: Ad hoc assessment report;

e) Template No. 07: Completion monitoring and evaluation report;

g) Template No. 08: Periodic monitoring and evaluation report during the operation phase (6 months, annually);

h) Template No. 09: Impact assessment report;

đ) Template No. 10: Summary report on monitoring and evaluation work of investment projects under management for the year.

3. Templates for monitoring and evaluating public-private partnership investment projects, including:

a) Template No. 11: Periodic monitoring and evaluation report during the implementation phase (6 months, annually);

b) Template No. 12: Periodic monitoring and evaluation report during the operation phase (6 months, annually).

c) The monitoring and evaluation report before adjusting the investment project shall be carried out according to Template No. 05 as stipulated in point đ clause 2 of this Article;

d) The mid-term or phase assessment report, completion assessment report, and impact assessment report shall be carried out according to the corresponding templates prescribed in clause 2 of this Article.

4. Templates for monitoring and evaluating investment projects using other sources of funds, including:

a) Template No. 13: Periodic monitoring and evaluation report during the implementation phase (6 months, annually);

b) Template No. 14: Ad hoc assessment report;

c) Template No. 15: Monitoring and evaluation report before adjusting the investment project;

d) Template No. 16: Completion assessment report;

đ) Template No. 17: Periodic monitoring and evaluation report during the operation phase (6 months, annually);

e) Template No. 18: Impact assessment report.

5. Template for community investment monitoring report:

Template No. 19: Community investment monitoring situation report.

6. For projects using multiple sources of funds, including state capital, the reporting templates and procedures shall be implemented according to the regulations for public investment projects and state capital investment projects outside public investment. For public-private partnership investment projects using state capital, the templates shall be implemented according to the provisions of clause 3 of this Article.

7. In the above templates, italicized words are guiding contents that will be concretized by users based on actual circumstances.

Section 2

ONLINE REPORTING SYSTEM AND MANAGEMENT OPERATIONS

INVESTMENT MONITORING AND EVALUATION INFORMATION SYSTEM

STATE CAPITAL INVESTMENT PROGRAMS AND PROJECTS

Article 5. Provisions on updating information and reporting by the investor and component project manager

1. When the program or project is approved for investment: Update the program or project information according to the Investment Policy Decision, Investment Decision into the System within seven working days from the date of approval/endorsement of the investment policy decision or investment decision.

2. During the implementation process:

a) When there are adjustments or new developments as specified in point b clause 4 Article 101 Decree No. 29/2021/NĐ-CP, update the changed information into the System no later than seven working days from the date of approval by the competent authority of the adjustment or new development.

b) On the 25th day of each month, update the information on: the value of the volume of work completed at the site and the disbursed value; images or videos of the construction status at the site for projects with construction components.

3. Upon completion of the program or project: Update the final settlement information of the project according to the Final Settlement Approval Decision within seven working days from the date of approval of the final settlement.

4. Post the following documents on the System within seven working days from the date of approval, issuance, or release by the competent authority (documents posted on the System must be scanned copies of the original/main version or electronic documents with Government-specific digital signatures), including:

a) Investment Policy Decision/Investment Policy Endorsement Decision, Adjusted Investment Policy Decision (if applicable);

b) Investment Decision, Adjusted Investment Decision (if applicable);

c) Technical Design Approval Decision or Construction Drawing Design Approval Decision and Budget Estimate; Adjusted Technical Design Approval Decision or Adjusted Construction Drawing Design Approval Decision and Budget Estimate (if applicable);

d) Tender Plan Approval Decision, Adjusted Tender Plan Approval Decision (if applicable);

đ) Assessment Result Report;

e) Inspection Result Report;

g) Project monitoring and evaluation report as prescribed in clause 5 of this Article;

h) Final Settlement Approval Decision.

In addition to the information and reports that the investor and component project manager must post according to the above regulations, it is encouraged for investors and component project managers to post all documents according to the functions of the business information system.

5. Monitoring and evaluation reports after being stamped or signed with the Government-specific digital signature uploaded onto the business information system include:

a) Periodic monitoring and evaluation report: 6 months, annually. Specifically, the monitoring and evaluation report on implementing investment by the investor and component project manager according to Sub-form 09 is compiled from information on the business information system from contracts within the management scope;

b) Monitoring and evaluation report before adjusting the investment project;

c) Completion monitoring and evaluation report;

d) Annual summary report on monitoring and evaluation work of programs and projects managed by themselves.

Reporting deadline as stipulated in point a clause 11 Article 100 Decree No. 29/2021/NĐ-CP.

6. Annually report monitoring and evaluation data on the business information system, including:

a) Consolidate information from programs and projects within the management scope already available on the business information system;

b) Review and supplement reporting information;

c) Send the data report.

Reporting deadline as stipulated in point a clause 11 Article 100 Decree No. 29/2021/NĐ-CP.

7. The updating of information and reporting on the Business Information System pursuant to Clauses 1, 2, 3, 4, 5, and 6 of this Article replaces the periodic written paper reporting by the project investors and component project investors as stipulated in Decree No. 29/2021/NĐ-CP and this Circular.

8. If the project investors and component project investors fail to fully comply with the reporting regime prescribed in this Article, they will be subject to violation handling as provided for in Article 103 of Decree No. 29/2021/NĐ-CP.

Article 6. Reporting Requirements for Ministries, Sectors, Localities, and State-Owned Enterprises

1. Report annually on the overall investment supervision and evaluation on the Business Information System, including:

a) Reviewing and compiling supervisory and evaluation data from the Business Information System of the project investors and component project investors within their management scope or from subordinate management agencies;

b) Preparing an overall investment supervision and evaluation report according to Form No. 01 of this Circular (accompanied by Annexes 01, 02, 03.1, 03.2, 04, 05, 06, 07, 08 compiled from data on the Business Information System) and uploading the report onto the Business Information System. Once the report has been uploaded and verified with a Government-specific digital signature, there is no need to send additional written reports to competent authorities as stipulated in Decree No. 29/2021/NĐ-CP and this Circular.

c) The deadline for submitting the report shall be in accordance with point c of Clause 11 of Article 100 of Decree No. 29/2021/NĐ-CP.

2. After the Resolution on the medium-term and annual public investment plan of the locality is approved, the locality shall upload the entire list and capital allocation for each program and project using local government budget funds onto the Business Information System.

Article 7. Management of Usage Accounts

1. Account Registration

a) In cases where a Government-specific digital signature has already been issued:

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

b) In cases where a Government-specific digital signature has not yet been issued:

Access the address https://taikhoan.mpi.gov.vn, fill in relevant information about the program owner and project owner, then proceed with one of the following two methods:

Method 1: Contact the managing agency to have the managing agency confirm the registration information using its existing account.

Method 2: Print out the Account Registration Form after filling in the information, obtain confirmation from the unit leader (sign and stamp), and send a scanned copy of the Account Registration Form via email to [email protected] [email protected].

2. Account Issuance

a) For accounts registered under point a of Clause 1 of this Article: The Ministry of Planning and Investment shall issue the account within one working day from the completion of the registration process.

b) For accounts registered under Method 1 as stipulated in point b of Clause 1 of this Article: The Ministry of Planning and Investment shall issue the account within one working day from when the managing agency confirms the registration information.

c) For accounts registered under Method 2 as stipulated in point b of Clause 1 of this Article: The Ministry of Planning and Investment shall issue the account within one working day from receipt of the email containing the Account Registration Form.

d) New accounts will be sent via email or mobile phone number declared during registration.

đ) In cases where the user requests a password reset, the information previously reported will serve as the basis for the Ministry of Planning and Investment to reset the password.

3. Account Verification

The account registration system is connected to the National Population Database to verify personal information for account registration.

4. Account Revocation and Locking

a) An account will be revoked upon receiving a written request or an email with a digital signature or an electronically signed document from the managing agency.

b) An account will be immediately locked if it is found being used for data destruction, attacks, or scanning the System.

5. Security Requirements for Accounts

a) Users must change the initial password within one working day from receiving the account and must change the password quarterly to ensure security.

b) Passwords should not be disclosed to others who are not responsible for updating on the Business Information System. Upon changing the user of the account, the new user must change the password and update the user information on the Business Information System.

Article 8. Responsibilities of the Project Investor, Component Project Owner

1. Timely and accurately update information and reports as prescribed in Article 5 of this Circular.

2. Quarterly, before the 10th day of the first month of the next quarter (except for the fourth quarter, which is on February 10 of the following year), must confirm the updated data on the Business Information System.

3. Shall be responsible for the information and data entered into the Business Information System and shall bear responsibility under the law in case of inaccurate reporting or provision of information regarding investment implementation within their management scope.

4. Appoint staff to manage account usage. Urge and supervise the implementation of requirements for account security as stipulated in Clause 5, Article 7 of this Circular.

Article 9. Responsibilities of Ministries, Sectors, Localities, State-Owned Enterprises

1. Confirm the account registration information of subordinate agencies or project investors within their management scope as prescribed in Point b, Clause 1, Article 7 of this Circular.

2. Report and evaluate overall investment as prescribed in Article 6 of this Circular.

3. Quarterly, before the 15th day of the first month of the next quarter (except for the fourth quarter, which is on February 15 of the following year), must confirm the updated data on the Business Information System of programs and projects by component project owners and project investors within their management scope.

4. Urge and supervise the implementation of regulations on updating information and reporting on the Business Information System by subordinate agencies or project investors within their management scope.

5. Appoint staff to manage account usage. Urge and supervise the implementation of requirements for account security as stipulated in Clause 5, Article 7 of this Circular.

Article 10. Responsibilities of Units under the Ministry of Planning and Investment

1. Information Technology Center and Digital Transformation Center

a) Construct, manage, and operate the System.

b) Manage account usage of the Business Information System nationwide.

c) Coordinate to urge, supervise, and inspect the updating of information and reporting on the Business Information System.

d) Publicize the situation of Business Information System usage in real-time; publicize the reporting situation on the Business Information System of agencies and other information as prescribed.

đ) Train and guide the exploitation and use of the System nationwide.

2. Department of Investment Monitoring and Evaluation

a) Annually compile comprehensive monitoring and evaluation reports on investment on the Business Information System, including:

- Aggregate information from the monitoring and evaluation data of ministries, sectors, localities, state-owned enterprises on the Business Information System.

- Publish annual monitoring and evaluation reports with government seals or digital signatures on the Business Information System.

b) Take the lead in urging, supervising, and inspecting the updating of information and reporting on the Business Information System.

Chapter III

IMPLEMENTATION

Article 11. Implementation Organization

1. This Circular takes effect from September 1, 2023.

2. This Circular replaces Circular No. 22/2015/TT-BKHĐT dated December 18, 2015 of the Ministry of Planning and Investment on the format of investment monitoring and evaluation reports and 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 investment program and project supervision and evaluation using state capital.

3. In the course of implementation, if there are difficulties, please send comments to the Ministry of Planning and Investment for guidance./.