Circular No. 06/2001/TT-BKH guiding the implementation of regulations on the management and use of official development assistance (ODA)

CIRCULAR

Guidelines for implementing the Regulation on management and use of official development assistance promulgated together with

Decree No. 17/2001/NĐ-CP dated May 4, 2001 of the Government.

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Based on Decree No. 75/CP dated November 1, 1995 of the Government regarding functions, tasks, powers, and organizational structure of the Ministry of Planning and Investment.

Implementing Article 4 of Decree No. 17/2001/NĐ-CP dated May 4, 2001 of the Government concerning the issuance of the Regulation on management and use of official development assistance (hereinafter referred to as the Regulation).

The Ministry of Planning and Investment issues guidelines for implementing Decree No. 17/2001/NĐ-CP dated May 4, 2001 of the Government concerning the issuance of the Regulation on management and use of official development assistance as follows:

I. GENERAL PROVISIONS

Thông tư này quy định chi tiết khoản 4 Điều 38 Luật Thủy sản số 18/2017/QH14 đã được sửa đổi, bổ sung tại điểm c khoản 21 Điều 14 Luật số 146/2025/QH15.

The Regulation on management and use of official development assistance (ODA) governs activities related to attracting, managing, and utilizing this resource provided by sponsors and in the following forms:

1.1. Sponsors providing ODA include:

1.1.1. Foreign governments;

1.1.2. Inter-governmental or international organizations, including:

a. United Nations Development Organizations (UN) such as: United Nations Development Programme (UNDP); United Nations Children's Fund (UNICEF); World Food Programme (WFP); Food and Agriculture Organization of the United Nations (FAO); United Nations Population Fund (UNFPA); United Nations Development Fund for Special Purposes (UNDCF); United Nations Industrial Development Organization (UNIDO); United Nations High Commissioner for Refugees (UNHCR); World Health Organization (WHO); International Atomic Energy Agency (IAEA); United Nations Educational, Scientific and Cultural Organization (UNESCO); International Fund for Agricultural Development (IFAD); International Monetary Fund (IMF); International Development Association (IDA) and International Bank for Reconstruction and Development (IBRD) under the World Bank (WB).

b. European Union (EU), Organization for Economic Co-operation and Development (OECD), Association of Southeast Asian Nations (ASEAN).

c. International Financial Institutions: Asian Development Bank (ADB); Organization of Petroleum Exporting Countries (OPEC); Nordic Investment Bank (NIB); Nordic Development Fund (NDF); Kuwait Fund.

1.2. Forms of ODA provision include:

1.2.1. Non-repayable ODA: This form involves providing ODA that does not need to be repaid to the sponsor.

1.2.2. Preferential loan ODA (also called preferential credit): The Government of Vietnam borrows at preferential interest rates and conditions so that the "non-repayable element" (also called the "grant component") reaches at least 25% of the total value of the loan.

1.2.3. Hybrid ODA: This includes non-repayable grants or preferential loans provided simultaneously with commercial credits, but when combined, the "non-repayable element" reaches at least 25% of the total value of these credits.

The method of calculating the "non-repayable element" is specified in Appendix 1 of this Circular.

1.3. Activities related to attracting, managing, and using loans from International Financial Institutions with a grant component below 25%, including loans from the International Monetary Fund (IMF), loans from the International Bank for Reconstruction and Development (IBRD) under the World Bank (WB), and Ordinary Capital Resources (OCR) under the ADB, also fall within the scope of regulation of the Regulation and this Circular.

2. Priority areas for using ODA:

Supporting certain production sectors to address economic and social issues through ODA loans as stipulated in Point d, Clause 2, Article 3 of the Regulation means production programs and projects aimed primarily at addressing specific social issues such as creating jobs, increasing income for the poor, combating social evils, etc.

II. PROMOTION, NEGOTIATION, SIGNING OF INTERNATIONAL FRAMEWORK AGREEMENTS ON ODA
QUOTATION OF ODA

1. List of priority programs and projects for ODA promotion at the annual meeting of the Donor Advisory Group (DAG).

1.1. In the first week of August each year, the Ministry of Planning and Investment issues a document guiding the competent agencies to prepare a list of programs and projects to be selected for inclusion in the list of priority programs and projects for ODA promotion at the annual DAG meeting.

1.2. By the end of September each year, the competent agencies submit to the Ministry of Planning and Investment the list of priority programs and projects for ODA promotion at the annual DAG meeting. A preliminary outline for each program and project according to the model in Appendix 2 of this Circular.

2. Coordination in promoting ODA

The coordination in promoting ODA as stipulated in Article 8 of the Regulation is guided as follows:

2.1. Sector-specific ODA coordination meetings

Sector-specific ODA coordination meetings (referred to as sector ODA meetings) are organized to enhance ODA promotion and ensure effective use of ODA funds in accordance with sectoral approaches consistent with national economic and social development strategies, sectoral and regional development plans, and five-year plans.

Sector ODA meetings must be conducted in compliance with current regulations of the State on organizing international conferences and seminars as stipulated in Decision No. 122/2001/QĐ-TTg dated August 21, 2001 of the Prime Minister.

2.1.1. Sector ODA meetings are organized by ministries and sectors responsible for preparation and organization, with the Ministry of Planning and Investment coordinating and co-chairing.

2.1.2. Preparing for sector ODA meetings:

- At least 30 working days before the scheduled opening date, the ministry or sector organizing the meeting sends a letter to the Ministry of Planning and Investment requesting permission to organize the meeting and attaching a cooperation plan for organizing the meeting.

- Within no more than 10 working days from the receipt of the request letter from the ministry or sector, the Ministry of Planning and Investment responds with its opinion on the meeting and the cooperation plan.

- At least 10 working days before the scheduled opening date, the ministry or sector organizing the meeting, in coordination with the Ministry of Planning and Investment, finalizes the content of the materials prepared and presented by Vietnam at the meeting.

2.2. Territorial ODA promotion meetings:

The territorial ODA mobilization conference is organized to enhance opportunities for attracting ODA funds to develop the economy and society of one or several provincial units. The content of provincial ODA mobilization must be consistent with the five-year economic and social development strategy and planning of a province or a territorial region.

The organization of territorial ODA mobilization conferences shall comply with current State regulations on organizing international conferences and seminars as stipulated in Decision No. 122/2001/QĐ-TTg issued on August 21, 2001 by the Prime Minister. The Ministry of Planning and Investment is responsible for guiding the organization of territorial ODA mobilization conferences.

2.2.1. Chairing the territorial ODA mobilization conference:

- A territorial ODA mobilization conference covering two or more provincial units shall be chaired by the Ministry of Planning and Investment.

- A provincial or city-level ODA mobilization conference shall be chaired by the People's Committee (PC) of the province or city.

2.2.2. Preparing the territorial ODA mobilization conference:

a. For a provincial ODA mobilization conference chaired by the PC of the province:

- At least 30 working days before the scheduled opening of the conference, the PC of the province shall send a document to the Ministry of Planning and Investment requesting the organization of the conference and attaching a plan for preparing the conference.

- Within no more than 10 working days from the date of receipt of the request document from the PC of the province, the Ministry of Planning and Investment shall issue a document guiding the organization of the conference.

- At least 10 working days before the scheduled opening of the conference, the PC of the province shall chair a meeting with the Ministry of Planning and Investment to unify the contents of the materials prepared and presented by the Vietnamese side at the conference.

b. For a territorial ODA mobilization conference chaired by the Ministry of Planning and Investment:

- At least 30 working days before the scheduled opening of the conference, the Ministry of Planning and Investment shall send a document to the People's Committees of the relevant provinces requesting cooperation in organizing the conference and attaching a plan for organizing the conference.

- Within no more than 10 working days from the date of receipt of the request document from the Ministry of Planning and Investment, the People's Committees of the relevant provinces shall reply with a document stating their opinions on the conference and their plans for cooperation.

2.3. The preparation plan for the conference includes: purpose of the conference; expected results; content of the conference; participants; time and place of the conference; conference program; outline of materials and documents to be distributed at the conference; conference budget; necessary activities to prepare for the conference; and schedule for implementing activities and division of preparatory tasks (expected lead agency, cooperating agencies).

2.4. Reporting the results of the conference:

Within no more than 20 working days from the end of the ODA sector conference or the provincial ODA mobilization conference, the agency in charge of organizing the conference shall submit a report on the conference results to the Ministry of Planning and Investment, detailing the course and outcomes of the conference compared to the set goals, agreements reached, and unresolved issues between the parties (if any), and recommendations for handling such situations. For territorial ODA mobilization conferences chaired by the Ministry of Planning and Investment, within the aforementioned period, the Ministry of Planning and Investment shall also notify the relevant provinces of the conference results through a document.

2.5. Diplomatic missions of Vietnam abroad mobilize ODA.

2.5.1. Diplomatic missions of Vietnam abroad mobilize ODA according to the strategy, planning, and plan for attracting and utilizing ODA funds, the priority program and project list for ODA mobilization at CG meetings, as well as corresponding donors.

2.5.2. The Ministry of Planning and Investment provides documents on the strategy, planning, and plan for attracting and utilizing ODA funds, the priority program and project list for ODA mobilization, ODA-related regulatory documents, annual ODA reports, and other related information upon request to the Ministry of Foreign Affairs and diplomatic missions of Vietnam abroad to facilitate ODA mobilization.

2.5.3. The Ministry of Foreign Affairs and diplomatic missions of Vietnam abroad promptly inform the Ministry of Planning and Investment of ODA-related information for coordinated mobilization efforts.

3. Priority program and project list for ODA corresponding to each donor

3.1. The priority program and project list for ODA corresponding to each donor includes one or several selected programs and projects prioritized and approved by the Prime Minister for requesting ODA funding from the donor.

3.2. Based on the agreed ODA provision mechanism with each specific donor, the Ministry of Planning and Investment will provide specific guidelines on the format and progress of compiling the priority program and project list for ODA requests.

The Ministry of Planning and Investment compiles and arranges the priority program and project list for ODA requests to be submitted to the Prime Minister for review and approval based on:

- The priority program and project list for ODA mobilization at CG meetings.

- Programs and projects proposed by the managing agencies.

- Programs and projects proposed by the donors.

3.3. Proposed programs and projects for inclusion in the priority list must be prepared according to the detailed outline in Appendix 3 of this Circular.

3.4. In accordance with the schedule for each specific donor directed by the Ministry of Planning and Investment, the managing agencies shall submit the project outlines along with formal request documents to the Ministry of Planning and Investment, accompanied by eight sets of documents in both Vietnamese and English as guided by the Ministry of Planning and Investment.

3.5. Within no more than 15 working days from the deadline for submitting the request documents as guided by the Ministry of Planning and Investment in Point 3.4 of Part II of this Circular, the Ministry of Planning and Investment shall submit the draft list for the Prime Minister's review and approval, together with the project outlines to the Government Office, the Ministry of Foreign Affairs, the Ministry of Finance, and related agencies for comments on the program and project list.

3.6. On the basis of research and synthesis of opinions from the Government Office, the Ministry of Finance, the Ministry of Foreign Affairs, and related competent agencies, the Ministry of Planning and Investment compiles the List of programs and projects requiring the respective Donor to provide ODA and submits it for the Prime Minister's consideration and approval.

4. The ODA amounts provided by the Donor under individual programs or projects mentioned in Clause 6, Article 9 of the Regulation shall be understood as one of the following forms:

- ODA amounts agreed to be provided by the Donor but not included in the List of ODA programs and projects for the respective Donor approved by the Prime Minister.

- ODA amounts agreed to be provided by Donors who do not have the practice of committing with Vietnam through Framework International Agreements.

These are special cases and shall be handled as follows:

a. For programs and projects within the approval authority of the Managing Agency, the Ministry of Planning and Investment shall seek the opinions of relevant agencies and submit to the Prime Minister for acceptance of the program and project and transfer to the Managing Agency for approval.

b. For programs and projects within the approval authority of the Prime Minister, the Ministry of Planning and Investment shall conduct an assessment and submit to the Prime Minister for approval of the project in accordance with Decree No. 17/2001/NĐ-CP issued on May 4, 2001, by the Government on management and use of ODA.

III. PREPARATION, ASSESSMENT, APPROVAL OF CONTENT
OF ODA PROGRAMS AND PROJECTS

1. Plan for preparing ODA programs and projects:

Within thirty working days from the date of the decision to establish the Program and Project Preparation Board, the Head of the Program and Project Preparation Board must submit the Plan for Preparing ODA Programs and Projects for approval by the Managing Agency or the Project Leader.

2. Assessment of ODA programs and projects supporting technical assistance (TA):

The assessment of ODA programs and projects supporting technical assistance (TA) under the approval authority of the Prime Minister mentioned in Clause 5, Article 19 of the Regulation shall be guided as follows:

2.1. The Ministry of Planning and Investment is the leading agency organizing the assessment.

2.2. Relevant agencies participating in the assessment of TA programs and projects shall be invited by the Ministry of Planning and Investment based on their functions in managing ODA as stipulated in Articles 37, 38, 39, 40, 41, 42, 43, 44, and 45 of Decree No. 17/2001/NĐ-CP issued on May 4, 2001, by the Government on management and use of ODA, and according to the nature of each specific program and project. These agencies shall bear legal responsibility for the contents of their contributions regarding TA programs and projects.

2.3. Preparation for assessing TA programs and projects:

2.3.1. The dossier of TA programs and projects submitted to the Ministry of Planning and Investment for assessment is considered valid if it includes:

a. A document submitted to the Prime Minister by the head of the Managing Agency.

b. Original documentation of the program and project in Vietnamese and English, agreed upon with the Donor (eight sets).

c. Draft agreement (or Agreement) about the project to be signed between representatives of Vietnam and the Donor, including eight sets in Vietnamese and English or another language agreed upon by both parties (if applicable).

2.3.2. Conditions for assessment:

A TA project is eligible for assessment when it meets the following conditions:

- The TA project is included in the List of ODA programs and projects approved by the Prime Minister.

- It has a valid dossier as specified in Point 2.3.1, Section III of this Circular.

2.3.3. In case the assessment dossier of TA programs and projects does not comply with Point 2.3.1 and does not meet the conditions specified in Point 2.3.2, within five working days from the date of receipt of such dossier, the Ministry of Planning and Investment shall notify and request the Managing Agency to make necessary supplements or amendments to ensure the validity of the assessment dossier.

2.3.4. Within five working days from the date of receipt of a complete (eight sets) valid dossier from the Managing Agency and when the project meets the assessment conditions, the Ministry of Planning and Investment shall send a letter to the agencies invited to participate in the assessment as specified in Point 2.2, Section III of this Circular requesting formal opinions on the TA program and project.

2.3.5. Within fifteen working days from the date of sending the letter, the agencies participating in the assessment must submit formal opinions in writing to the Ministry of Planning and Investment. After this period, if the agencies do not submit written opinions, they will be deemed to agree with the content of the TA program and project.

2.3.6. Based on the content, scale, and nature of the TA programs and projects to be assessed, the Ministry of Planning and Investment shall decide on the form of assessment of these programs and projects according to one of the two following forms:

a. Synthesize opinions (in writing) from participating agencies and submit to the Prime Minister for consideration and approval for TA programs and projects whose content is agreed upon by participating agencies.

b. Organize a conference to assess TA programs and projects to submit to the Prime Minister for consideration and approval when the content is complex and there are differing opinions among participating agencies.

2.4. Assessment of TA programs and projects:

2.4.1. In the case where the assessment is organized in the form specified in Point 2.3.6.a, Section III of this Circular, within ten working days from the deadline for agency comments, the Ministry of Planning and Investment shall compile the opinions and submit them to the Prime Minister for consideration and decision.

2.4.2. In the case where the assessment is organized in the form specified in Point 2.3.6.b, Section III of this Circular, within ten working days from the deadline for agency comments, the Ministry of Planning and Investment shall organize the Assessment Conference.

In exceptional cases, the organization of the Assessment Conference for TA programs and projects may be held after the aforementioned deadline, but not later than twenty working days from the deadline for agency comments.

2.4.3. During the assessment of TA programs and projects, the following aspects must be clarified:

a. The appropriateness of the objectives of the TA program and project with government priorities; the clarity and appropriateness of the expected results (or outputs) of the program and project with the set objectives.

b. Feasibility of the organizational methods for implementing the program and project from the aspects of management capacity and implementation of the project, as well as coordination mechanisms during the implementation process.

c. The contribution capability of Vietnam, particularly the counterpart funding and the rationality in the budget structure of the program and project allocated for domestic and foreign experts, domestic and foreign training, equipment and materials, management costs, and other expenses.

d. Commitments, preconditions, and other conditions set by the donor regarding the aid grant (if any), as well as commitments made by the Vietnamese side to implement the technology transfer program and project.

đ. Effectiveness and sustainability of the technology transfer program and project after completion.

e. Opinions that have been agreed upon or remain differing among the parties.

2.4.4. The results of the review meeting are reflected in the Review Report, which clearly states: the contents agreed upon by the reviewing agencies; the contents requiring supplementation and adjustment (if any); the deadline for completing the supplements and adjustments; opinions not yet agreed upon, proposed to be reserved (if any);

2.5. After the Review Meeting:

2.5.1. In case the Review Meeting concludes that the technology transfer program and project meet the approval conditions, within no more than five working days from the date of organizing the Review Meeting, the Ministry of Planning and Investment shall submit to the Prime Minister for approval of the technology transfer program and project.

2.5.2. In case the Review Meeting requires supplementation, adjustment, or explanation, within no more than five working days from the date of organizing the Review Meeting, the Ministry of Planning and Investment shall send the meeting's conclusions and requirements to the managing agency. Based on the specific content and nature of the supplementation, adjustment, or explanation requirements, the Ministry of Planning and Investment will stipulate the deadlines for completing these requirements. Upon receiving the meeting's conclusions and requirements, the managing agency has the responsibility to carry out the necessary supplementation, adjustment, or explanation as stated in the notification. If negotiations with the donor are required to implement these supplements, adjustments, or explanations, the managing agency must conduct such negotiations and when resubmitting the completed program and project documentation, must provide a written report detailing the negotiation outcomes, specifying the supplementary, adjusted, or explained items accepted and rejected by the donor.

2.5.3. In case, after the review, participating reviewing agencies have opinions different from those previously submitted, they must supplement and send a document to the Ministry of Planning and Investment to amend and adjust the review report submitted to the Prime Minister.

2.5.4. Within ten working days from the date the Prime Minister approves the technology transfer program and project, the Ministry of Planning and Investment shall notify the donor and the managing agency about the approval result to proceed with signing and implementing the program and project.

IV. NEGOTIATION AND SIGNING OF SPECIFIC INTERNATIONAL AGREEMENTS ON ODA

Within no more than five working days after the conclusion of negotiations, the leading negotiation agency must issue a document reporting the negotiation results as stipulated in Article 23 of the Regulation, including the following contents:

1. Leading negotiation agency and participating negotiation agencies

2. Location and time of negotiation

3. Legal basis for negotiation

4. Summary of negotiation progress and results, including detailed agreements reached and issues not yet agreed upon between the parties (if any), and recommendations for handling in this situation.

V. MANAGEMENT AND IMPLEMENTATION OF ODA PROGRAMS AND PROJECTS

1. Management Board of ODA Programs and Projects

1.1. Decision to establish the Management Board of ODA Programs and Projects

1.1.1. Within no more than fifteen working days from the date the feasibility study report or the program and project document is approved by the competent authority, the managing agency

must issue a decision to establish the board based on the proposal of the Project Leader or authorize the Project Leader to issue a decision to establish the Management Board of ODA Programs and Projects (referred to as the Project Management Board).

The managing agency and the Project Leader may entrust the management of newly approved projects to an existing Project Management Board managing other ODA programs and projects. In this case, within no more than fifteen working days from the date the feasibility study report or the program and project document is approved by the competent authority, the managing agency must issue a decision or authorize the Project Leader to issue a decision to adjust and supplement the establishment decision of the existing Project Management Board concerning all or part of the contents specified in Point 1.1.2, Section V of this Circular; adjust and supplement the operational regulations of the existing Project Management Board concerning all or part of the contents...

a. Name of the program and project

b. Legal bases for establishing the Project Management Board

c. Name of the managing agency, name of the Project Leader

d. Objectives and scope of management of the Project Management Board

đ. Goals to be achieved by the Project Management Board

e. Functions and tasks of the Project Management Board

g. Powers of the Project Management Board

h. Legal personality of the Project Management Board

i. Organizational structure and personnel of the Project Management Board

1.2. Functions and tasks of the Project Management Board

Within the scope of its assigned duties and powers, the Project Management Board acts as the representative of the Project Leader, fully authorized to act on behalf of the Project Leader to perform the assigned duties and powers. The Project Management Board is responsible to the Project Leader and under the law for its actions.

The Project Management Board has the following functions and tasks:

a. Representing the Project Leader in legal relations and in relations with state management agencies, donors, enterprises, individuals, and organizations both domestically and internationally within the scope of authorization by the Project Leader.

b. Cooperate with the Donor to develop and implement plans for the program and project to ensure that they are carried out according to the objectives, target groups, schedules, and commitments recorded in international treaties on ODA signed and the contents of the approved ODA programs and projects. After its establishment, the Project Management Board must collect and systematize all relevant regulations on ODA issued by the Vietnamese State, management and implementation regulations of the related Donors, study and grasp these documents and international treaties on the programs and projects under their responsibility, and based on this, develop detailed plans for the implementation process, paying particular attention to time and necessary measures to ensure harmony between procedures of Vietnam and those of the Donor.

c. Cooperate with the Donor to determine tasks for each position within the Project Management Board, organize and select staff for the Project Management Board pursuant to the authority of the Project Owner.

d. Based on the plan and progress of the program and project, coordinate with the Donor to timely manage and effectively utilize resources of the works and projects; handle technical disagreements among units participating in the implementation of the program and project.

đ. Develop annual counterpart fund withdrawal plans and ODA funds according to domestic financial mechanisms and the Donor's regulations for the program and project, and carry out the withdrawal procedures according to the implementation schedule.

e. Cooperate with the Donor to select consultants for the program and project.

g. Prepare technical requirements and standards for goods, construction works, and services needed for procurement for the program and project, and organize bidding and select contractors in accordance with Vietnamese regulations and international treaties on ODA agreed upon with the Donor.

h. Prepare and sign contracts within the framework of the program and project, and organize the implementation of signed contracts; supervise parties to fulfill obligations stipulated in the contracts.

i. Strictly comply with reporting systems as prescribed in Article 35 of the Regulation and financial systems, statistical accounting, and auditing regulations currently in force by the State, and fulfill any financial reporting and auditing requirements (if any) of the Donor.

k. Organize the implementation of decisions and be subject to inspection and audit by the Project Owner and competent authorities in accordance with the provisions of the law.

1. Identify potential risks that may occur for the program and project, propose and implement measures to proactively prevent and limit risks.

m. Detect cases requiring adjustment, amendment, or supplementation of the program and project; prepare necessary documents and proceed with the approval procedures from the competent authority.

n. Serve as the point of contact between the Project Owner and relevant agencies involved in the implementation of the program and project to liaise with the Donor on issues during the implementation process.

o. Perform other tasks specified in specific international treaties on ODA as falling within the scope of responsibilities and powers of the Project Owner.

p. Hand over completed programs and projects to receiving units for operation and exploitation, and fulfill the responsibility to repay state budget loans according to obligations stated in the rescheduling loan contracts already signed.

q. Other tasks within the framework of the program and project assigned by the Project Owner.

Specifically, for the Project Management Board managing programs and projects involving construction, additional tasks and powers are also granted as follows:

r. Represent the Project Owner to work with local authorities and related organizations and individuals to resolve issues related to land clearance, compensation, and resettlement in accordance with the schedule and conditions stipulated in the international treaty with the Donor.

s. Prepare construction sites, construction sites, design documents, and technical standards to hand over to contractors in accordance with contractual conditions.

t. Appoint personnel with sufficient professional expertise and administrative authority at the site to address issues arising during construction.

Depending on the scale, nature of the program and project (investment or technical cooperation, grant or rescheduling loan or mixed...), complexity of the program and project (number of components, inputs and outputs, activities, participants, implementation areas, impact range, etc.) and the context of the Project Owner, the Project Owner may delegate all or part of the above tasks and powers to the Project Management Board based on the capacity of the staff.

The tasks, powers, and responsibilities of the Project Management Board are stipulated in the Decision establishing the Project Management Board.

1.3. In cases where the Project Management Board is not entrusted with all the tasks and powers as set forth in Point 1.2 Section V of this Circular, the competent agency of the project owner shall issue simultaneously a Decision on the organization and implementation of the program and project for functional units under the competent agency responsible, or authorize the Project Owner to issue a Decision on the organization and implementation of the program and project for functional units under the Project Owner responsible as stipulated in Point 2 Section V of this Circular.

1.4. On the organizational structure of the Project Management Board

The organizational structure of the Project Management Board mainly includes the following contents:

1.4.1. Key positions of the Project Management Board as stipulated in Point 1.5.1 Section V of this Circular, subordinate units of the Project Management Board, and functions and responsibilities of key positions as well as subordinate units.

1.4.2. Relationships between key positions and units within the Project Management Board; relationships between units within the Project Management Board.

1.4.3. Staffing of the Project Management Board, including:

a. Number of regular staff members

b. Number of concurrently appointed staff members

c. Number of long-term and short-term contracted employees within the scope of activities of the Project Management Board.

1.5. Human Resources of the Project Management Board

The project management board must have sufficient personnel to meet the assigned tasks and authorities. Depending on the scale of the program, project, content, scope of activities, responsibilities, and assigned authorities, the organizational structure and personnel of the project management board shall be determined according to the following principles:

1.5.1. Positions decided and appointed by the Managing Authority or delegated to the Project Leader to decide and appoint

a. Head of the Project Management Board (or Project Director or Project General Manager for large-scale project management boards that are national priorities): represents the Project Leader to manage and direct the activities of the program and project. The Head of the Project Management Board is responsible to the Project Leader for the activities and results of implementing the program and project according to the functions and duties set out in the Decision establishing the Project Management Board.

b. Deputy Head of the Project Management Board: The Project Management Board may have one or more Deputy Heads. Deputies assist the Head in tasks assigned by the Head; Deputies are selected and proposed for appointment by the Head to the Project Leader.

c. Chief Accountant of the Project: The Chief Accountant is responsible to the Project Leader and to the Head regarding the entire financial management and accounting work of the program and project. The Chief Accountant is appointed by the Project Leader after consulting with the Head.

d. Other key positions (if necessary)

1.5.2. Staff members selected and appointed by the Head of the Project Management Board.

Based on the functions and duties, organizational structure, and staffing of the Project Management Board as stated in the Decision establishing the Project Management Board, the Head of the Project Management Board selects and appoints staff members who do not fall under the category decided and appointed by the Managing Authority or the Project Leader.

1.5.3. Selection of staff for the Project Management Board.

Staff members of the Project Management Board (including those transferred from the Project Leader's organization and those recruited from outside) must be selected according to specific criteria (in terms of expertise, qualifications, experience, personal qualities) as detailed in the "Job Description" or "Terms of Assignment" established and publicly announced by the Head before selection.

1.6. Ensuring the operation of the Project Management Board:

1.6.1. The Project Management Board must have office equipment, communication equipment, and office space sufficient to meet the requirements for managing and implementing the program and project.

1.6.2. The Project Management Board has funds to carry out project management work; salaries for staff members are regulated in the Rules on Organizational Operation of the Project Management Board.

1.6.3. For programs and projects involving rescheduling loans, if deemed necessary, the Project Leader may, based on current regulations, proactively use own capital to supplement the operating budget of the Project Management Board to enhance and improve its operational efficiency.

1.7. Rules on Organizational Operation of the Project Management Board

1.7.1. Within fifteen working days from the date of the Decision establishing the Project Management Board, the Managing Authority issues a decision or delegates the Project Leader to issue the Rules on Organizational Operation of the Project Management Board.

1.7.2. The Rules on Organizational Operation of the Project Management Board are issued based on the proposal of the Project Management Board and must include the following contents:

a. Legal bases for issuing the Rules

b. Material and technical conditions ensuring the activities of the Project Management Board.

c. Regulations on operational systems: management system, coordination within the Project Management Board and with external agencies; coordination with the sponsor regarding project-related matters; reporting system of the Project Management Board.

d. Other provisions.

2. Decision on the Implementation Organization of Programs and Projects

2.1. The Decision on the Implementation Organization of Programs and Projects is issued by the Managing Authority or delegated to the Project Leader simultaneously with the Decision establishing the Project Management Board.

2.2. The Decision on the Implementation Organization of Programs and Projects must include the following contents:

a. Legal bases for issuing the Decision

b. Name of the Managing Authority, name of the Project Leader

c. Scope and objects regulated by the Decision

d. Organizational structure and activities of units within the scope of regulation and their relationships with related agencies; relationship with the sponsor.

e. Tasks and authorities of units or personnel within the scope of regulation.

g. Material and technical conditions ensuring the operations of functional units within the scope of regulation.

h. Other provisions.

3. Adjustment, amendment, and supplementation of the content of ODA programs and projects during implementation

3.1. The adjustment, supplementation of ODA programs and projects approved by the Prime Minister as stipulated in Point a, Clause 1, Article 31 of the Rules is understood as follows:

3.1.1. Adjusting, amending, and supplementing the content of programs and projects leading to changes in approved objectives.

3.1.2. Adjusting, supplementing the content of programs and projects resulting in an increase in total capital (for a single adjustment or cumulative adjustments) exceeding 10% of the approved total capital or less than 10% but exceeding one million US dollars for investment programs and projects and over one hundred thousand US dollars for technology transfer programs and projects (if the amount is from the sponsor, it must be converted to US dollars at the sponsor's exchange rate).

3.1.3. Adjusting, amending, and supplementing the completion deadline and final withdrawal period of programs and projects leading to the need to adjust the Agreement signed between the Government of Vietnam and the sponsor.

3.2. Documents for requesting adjustment and supplementation of ODA programs and projects.

3.2.1. For requests for adjustment, amendment, and supplementation of programs and projects as specified in Points 3.1.1 and 3.1.2 of Section V of this Circular, the documents submitted to the Ministry of Planning and Investment include:

a. A document from the head of the Managing Authority requesting adjustment, amendment, and supplementation of the program and project.

b. For programs and projects under Official Development Assistance (ODA) that have been adjusted, amended, or supplemented within the authority of the Managing Agency as stipulated in Point b, Clause 1, Article 31 of the Regulation, a copy of the Feasibility Study Report (or Documentation of the Program or Project) most recently adjusted, amended, or supplemented, and the decision approving such Feasibility Study Report (or Documentation of the Program or Project) issued by the Head of the Managing Agency; an explanation of all adjustments, supplements, and amendments made.

c. Notification document committing to adjust, amend, or supplement provided by the Donor (a copy in the agreed language between both parties and its Vietnamese translation) if applicable.

d. Draft agreement for adjusting, amending, or supplementing ODA to be signed between representatives of the Vietnamese Party and the Donor (a copy in the agreed language between both parties and its Vietnamese translation).

e. In cases where the adjustment, amendment, or supplementation dossier of ODA programs and projects is not valid, the Ministry of Planning and Investment will notify and request the Managing Agency to make necessary supplements or amendments to ensure the validity of the dossier. Within no more than five working days from the date of receiving a complete and valid dossier, the Ministry of Planning and Investment will proceed with the review procedures.

3.2.2. For requests to adjust completion deadlines and final withdrawal periods of programs and projects as stated in Point 3.1.3 of Section V of this Circular, the dossier submitted to the Ministry of Planning and Investment shall include:

a. A document from the Head of the Managing Agency requesting to adjust the completion deadline and final withdrawal period of the program or project. It should clearly state the reasons for the adjustment and any related issues arising from the adjustment (if any).

b. The Donor's agreement on the adjustment of the completion deadline and account closure of the program or project.

3.3. The form, procedure, and timeframe for reviewing adjustments, amendments, or supplements to the content as stated in Points 3.1.1 and 3.1.2 of Section V of this Circular for ODA-funded investment programs and projects shall follow the review regulations stipulated in the Management and Construction Regulation.

3.4. The form, procedure, and timeframe for reviewing adjustments, amendments, or supplements to the content as stated in Points 3.1.1 and 3.1.2 of Section V of this Circular for technical assistance programs and projects shall follow the provisions set out in Point 2 of Section III of this Circular.

3.5. The submission to the Prime Minister for consideration and decision on adjustments and supplements to the completion deadlines and final withdrawal periods of programs and projects as stated in Point 3.1.3 of Section V of this Circular shall be carried out as follows: Within no more than five working days from the date the Ministry of Planning and Investment receives a complete and valid dossier, the Ministry will take the lead in implementing one of the following two forms based on the content of the dossier:

3.5.1. Submit to the Prime Minister for consideration and decision.

3.5.2. Send a document to relevant agencies (attached with the adjustment and supplement application dossier from the Managing Agency) requesting formal opinions on the adjustment and supplement:

- Within no more than ten working days from the date the Ministry of Planning and Investment sends the request, relevant agencies must provide their opinions in writing to the Ministry of Planning and Investment.

- Within no more than five working days from the date relevant agencies' feedback period expires, the Ministry of Planning and Investment must send a document to the Prime Minister for consideration and decision.

4. Approval of adjustments, amendments, or supplements to the content of ODA programs and projects by the Managing Agency and the Project Owner.

Approval of adjustments, amendments, or supplements to the content of programs and projects as stated in Points 3.1.1 and 3.1.2 of Section V of this Circular, which falls under the authority of the Managing Agency as stipulated in Point a, Clause 2 and Point b, Clause 1 of Article 31 of the Regulation, and the approval authority of the Project Owner as stipulated in Point b, Clause 2 of Article 31 of the Regulation, must ensure unified management of ODA. At least ten working days before the approval date, the agency issuing the approval decision must submit to the Ministry of Planning and Investment a document of the Donor's agreement or request for adjustment.

VI. MONITORING AND EVALUATION OF PROJECTS

1. The Project Management Board reports on the implementation of ODA programs and projects:

During the implementation of ODA programs and projects, the Project Management Board must submit periodic reports as required to the Managing Agency, the Ministry of Planning and Investment, the Ministry of Finance, and the provincial People's Committee concerned, and the sectoral management ministry as follows:

1.1. Monthly report:

For investment programs and projects approved by the Prime Minister and classified as national key projects, within no more than ten working days after the end of each month, the Project Management Board must submit a report according to the template in Appendix 6 of this Circular. For the first-month report, immediately after the Agreement takes effect, in addition to the report as per the template in Appendix 6 mentioned above, it must also submit "Basic Information about the Project" as per the template in Appendix 4 of this Circular.

1.2. Quarterly report:

Within no more than fifteen working days after the end of each quarter, all ODA Project Management Boards must submit a report according to the template in Appendix 5 of this Circular. For programs and projects not classified as national key projects, for the first-quarter report, immediately after the Agreement takes effect, in addition to the report as per the template in Appendix 5 mentioned above, it must also submit "Basic Information about the Project" as per the template in Appendix 4 of this Circular.

1.3. Annual report:

By no later than January 31 of the following year, the Project Management Board must submit a report according to the template in Appendix 7 of this Circular.

1.4. Final report:

Within no more than six months after the completion of the ODA program or project, the Project Management Board must submit a report according to the template in Appendix 9 of this Circular.

2. Reports by the Managing Agency:

Every quarter, within no more than twenty working days after the end of each quarter and forty working days after the end of each year, the Managing Agency must prepare a quarterly and annual consolidated report on ODA mobilization results and evaluate the implementation of ODA programs and projects under its management to be submitted to the Ministry of Planning and Investment and the Ministry of Finance as per the template in Appendix 8 of this Circular.

3. Handling violations of reporting systems:

For agencies that fail to comply with the reporting system as prescribed, depending on the severity of the violation, the Managing Agency or the Ministry of Planning and Investment may, within their respective functions, coordinate with relevant agencies to:

3.1. The responsible agency must directly provide detailed explanations regarding the contents specified in the reporting system.

3.2. Within their authority, handle violations by agencies that fail to comply with the reporting system, or report such issues to competent authorities for handling if they exceed their jurisdiction.

4. Establishing a monitoring and evaluation system for ODA programs and projects

The establishment of a monitoring and evaluation system for ODA programs and projects at the managing agencies mentioned in Clause 5, Article 45 of the Regulation shall be guided as follows:

4.1. At the Departments of Planning and Investment under provincial People's Committees, and the Planning and Investment Departments (or main units for ODA management) under Ministries and sectors, specialized units (or concurrently assigned units) shall be organized to serve as focal points for monitoring and evaluating ODA programs and projects under the management of the respective managing agencies.

4.2. Functions and tasks of the focal point for monitoring and evaluating projects are as follows:

- Monitor the implementation of ODA programs and projects under the responsibility of the managing agency; update issues encountered during the implementation of ODA programs and projects, and coordinate with relevant agencies to resolve these issues.

- Monitor and urge the resolution of issues encountered during the implementation of ODA programs and projects; compile reports on project implementation status and propose measures to address outstanding issues for the head of the unit.

- Urge the Project Management Boards under the managing agency and related Project Management Boards according to state administrative management functions (for provinces and cities, this refers to projects managed by Ministries and sectors but implemented within the province or city territory; for Ministries and sectors, this refers to projects within their sectoral management but managed by provinces and cities) to comply with the reporting system as prescribed.

- Prepare reports as required for the managing agency.

- Lead the organization of evaluations of ODA programs and projects upon request from the head of the managing agency.

- Develop, operate, and apply information technology, and guide procedures in the management, monitoring, and evaluation of ODA programs and projects under the responsibility of the managing agency.

VII. IMPLEMENTATION ORGANIZATION

1. This Circular replaces Circular No. 15/1997/TT-BKH dated October 24, 1997, issued by the Ministry of Planning and Investment guiding the implementation of Decree No. 87/CP dated August 5, 1997.

2. This Circular takes effect fifteen days from the date of signature. During its implementation, if there are any difficulties, ministries, localities, and related units need

to promptly reflect them to the Ministry of Planning and Investment for further supplementation and improvement of this guiding Circular.