Decision No. 08/2001/QĐ-BKHCNMT on the issuance of the Regulation on the examination and approval and management of GEF (Global Environment Facility) projects in Vietnam.

REGULATION

Examination and management of GEF projects (Global Environment Facility)

of Vietnam

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(Issued together with Decision No. 08/2001/QĐ-BKHCNMT dated May 4, 2001 of the Minister of Science, Technology, and Environment)

PART I

GENERAL PROVISIONS

Article 1. Scope of Application

Article 1. This regulation stipulates the procedures for the development, examination, and management of projects using the Global Environment Facility Fund (hereinafter referred to as GEF).

Article 2. The process of developing, examining, and managing GEF projects shall comply with the regulations on the use and management of official development assistance funds of the Socialist Republic of Vietnam, GEF regulations, and this regulation.

Article 2. Explanation of terms:

GEF project: is a project funded by GEF aimed at addressing environmental issues, specifically biodiversity, climate change, ozone layer depletion, international water resources, and land degradation.

Project concept note: is a two-to-three-page proposal providing basic information about a GEF project designed according to GEF templates.

Project summary: is a fifteen-to-twenty-page detailed proposal developed from the project concept note designed according to GEF templates.

Project document: is the final document containing all detailed information about a project, including budget, timeline, and implementation plan. This document is prepared for the executing agency and the host country to sign before the project begins.

PDF A: is a proposal requesting GEF funding up to $25,000 for preparing PDF B or a project summary designed according to GEF templates.

PDF B: is a proposal requesting GEF funding between $25,000 and $350,000 for preparing project documents and necessary supporting materials designed according to GEF templates.

PDF C: is a proposal requesting GEF funding between $350,000 and $1,000,000 for preparing technical designs and feasibility studies for projects costing over $1 million, designed according to GEF templates.

Project proposal: includes project concept notes, PDF A, PDF B, PDF C, and project summaries.

GEF project mobilization: is the process of attracting GEF funding for project proposals.

Executing agency for GEF: this agency is responsible for supporting the development and implementation of projects funded by the Global Environment Facility through designated implementing agencies. The executing agencies include the United Nations Development Programme (UNDP), the United Nations Environment Programme (UNEP), and the World Bank (WB).

Implementing agency: the agency responsible for the day-to-day activities of specific projects. The implementing agency may be government agencies, other United Nations agencies, non-governmental organizations, or community organizations. The implementing agency closely coordinates with the GEF executing agency regarding project management and is accountable to it. The implementing agency is clearly defined in the project document.

GEF-Vietnam: is the national focal point for GEF with the responsibility of coordinating all GEF activities within the country. The organizational structure of GEF-Vietnam consists of an inter-ministerial steering committee chaired by the Ministry of Science, Technology, and Environment, and a permanent office (GEF-Vietnam Office) located at the Environmental Protection Department.

Article 3. Process of developing, examining, and managing GEF projects

The process of developing, examining, and managing GEF projects is carried out through the following main steps:

- Preparing GEF project proposals and registration forms for GEF project development

- Reviewing GEF project proposals and establishing a priority list for GEF project mobilization

- Preparing and completing GEF project documents

- Examining GEF project documents

- Signing specific GEF projects

- Implementing GEF projects

- Monitoring and evaluating the implementation of GEF projects

- Finalizing and handing over the results of GEF projects

Chapter II

PROCEDURE FOR EXAMINING GEF PROJECTS

Article 4 Preparation of GEF project proposals

1. Formulating project concepts and consulting relevant parties: All organizations and individuals can formulate GEF project concepts and seek opinions from relevant specialized parties such as the GEF-Vietnam Office, UNDP and WB representative offices in Vietnam. Concepts that meet GEF criteria will be encouraged to register for GEF project development.

2. Registering for GEF project development: At any time, agencies wishing to develop GEF projects can register for project development with the Ministry of Science, Technology, and Environment/GEF-Vietnam. The GEF project development registration form (GEF project form) is specified in Article 5 of this regulation.

3. GEF project proposals are designed according to GEF templates. Depending on the level, the project proposal may be in the form of a concept note, PDF A, PDF B, PDF C, or a project summary.

Article 5. GEF project form

The proposing agency sends two sets of GEF project forms to the GEF-Vietnam Office. The GEF project form includes the following documents:

1. Application for examination of the project proposal submitted by the proposing agency

2. Official letter requesting examination of the project proposal from the competent ministry and/or provincial People's Committee.

3. Project proposal in English and Vietnamese (three copies each) according to GEF templates

4. Relevant permits, notifications, and agreements from related agencies during the project preparation process (depending on the characteristics of each project)

5. Agreed documents, memorandums on the content of GEF projects, reports of the expert review team conducted at the request of GEF (if any).

Article 6. Review and establish a list of priority GEF projects for advocacy.

1. Twice a year, in the first quarter and third quarter, GEF-Vietnam organizes reviews of GEF project proposals and establishes a list of priority projects for advocacy.

a) The GEF-Vietnam Office takes the lead in soliciting written opinions from members of the GEF-Vietnam Management Board and the GEF-Vietnam Scientific and Technical Advisory Committee regarding the content of the project proposal. The contributions of the GEF-Vietnam Scientific and Technical Advisory Committee serve as the basis for GEF-Vietnam to consider and request the proposer to modify the content of the project proposal.

b) In cases where necessary, the GEF-Vietnam Office may request the proposing agency to organize meetings to discuss issues related to the content of the project proposal, with the participation of experts and relevant parties designated and chaired by GEF-Vietnam.

c) Projects that have more than 50% consensus among Management Board members will be included in the list of priority projects for advocacy.

2. GEF-Vietnam sends the list of priority projects for GEF advocacy to the Ministry of Planning and Investment for consideration, compilation of the list, and submission to the Prime Minister for approval.

3. In exceptional cases, based on the proposal of the GEF Project Proposing Agency (which has preliminary agreements with the donor and includes a memorandum attached), GEF-Vietnam may consider and approve project proposals outside the two scheduled approval periods.

4. After being approved by the Prime Minister, the list of priority GEF projects for advocacy is announced by the Chairman of GEF-Vietnam to implementing agencies, proposing agencies, and widely publicized as a basis for guiding the advocacy of GEF projects during each period.

Article 7. Preparation and completion of GEF project documentation.

Agencies with GEF project proposals included in the list of priority projects approved by the Prime Minister must organize the preparation and completion of the project documentation. The final documentation dossier, after completion, is submitted to the GEF-Vietnam Office, consisting of three copies in Vietnamese and English.

Article 8. Review of GEF project documentation within the list of priority projects for GEF advocacy approved by the Prime Minister.

1. Hierarchical review process:

The hierarchical review process for GEF projects strictly adheres to the regulations of the Socialist Republic of Vietnam concerning the implementation of projects funded by official development assistance.

a) For project documentation requesting GEF funding under $500,000, the Ministry of Science and Technology is responsible for reviewing and approving. During the review process, the opinion of the Ministry of Planning and Investment is sought.

b) For project documentation requesting GEF funding of $500,000 or more, after being approved by the Ministry of Science and Technology, it is sent to the Ministry of Planning and Investment for government approval.

c) The Ministry of Science and Technology reviews and approves support for project development: PDF A, PDF B.

d) The Ministry of Science and Technology/GEF-Vietnam is responsible for informing implementing agencies and proposing agencies about approved projects.

2. Time limit for reviewing GEF project proposals:

a) Within five working days from the date of receiving a valid project dossier, the GEF-Vietnam Office sends the dossier to solicit opinions from members of the GEF-Vietnam Management Board and the GEF-Vietnam Scientific and Technical Advisory Committee (as appropriate).

b) Within ten working days from the date of receiving the project dossier, members of the Management Board and the Scientific and Technical Advisory Committee submit their written comments to the GEF-Vietnam Office; if no written comments are received beyond this period, it is considered as agreement with the project content.

c) Within twenty working days from the date of receiving the project dossier, GEF-Vietnam issues a document requesting the proposing agency to make necessary supplements and modifications.

d) If necessary, the Ministry of Science and Technology/GEF-Vietnam may request the proposing agency to organize meetings to discuss issues related to the project proposal, with the participation of experts and relevant parties designated by GEF-Vietnam and chaired by GEF-Vietnam.

e) Within thirty working days from the date of receiving a valid project dossier, the Ministry of Science and Technology/GEF-Vietnam completes the review report and submits it to the Ministry of Planning and Investment for consolidation and submission to the Prime Minister for consideration of projects requiring Prime Minister's approval.

f) The review time limits specified in this provision do not include the time taken by the proposing agency to supplement and modify the project dossier.

Article 9. Coordination for GEF project advocacy.

1. The Ministry of Science and Technology/GEF-Vietnam is the lead agency in coordinating GEF activities in Vietnam, responsible for coordinating with the Ministry of Planning and Investment, the Ministry of Foreign Affairs, the proposing and managing agencies, implementing agencies, and other relevant agencies to organize GEF project advocacy.

2. GEF-Vietnam regularly compiles information on GEF project advocacy, GEF policies, priorities, procedures, and government advocacy strategies for GEF projects, and provides guidance to agencies interested in GEF projects to effectively coordinate funding sources.

Article 10. Basic conditions for a project proposal to be approved by GEF-Vietnam:

1. Valid project dossier.

2. The project must fall within the areas supported by GEF.

3. The project must align with national and sectoral strategies, plans, and programs.

4. The implementing agency proposed must have the capacity to implement the project.

5. The project must have the potential to engage relevant stakeholders.

6. In cases where two agencies propose the same project, GEF-Vietnam decides on the implementing agency.

Article 11. Signing GEF projects: Procedures for signing GEF projects are carried out according to GEF regulations and regulations of the Socialist Republic of Vietnam concerning the implementation of projects funded by official development assistance, with the involvement of GEF-Vietnam.

Chapter III

IMPLEMENTATION AND MONITORING, EVALUATION

IMPLEMENTATION OF GEF PROJECTS

Article 12. Implementation of GEF projects:

During the implementation of the GEF project, the enforcement agency is responsible for complying with the contents determined in the project documentation and other relevant regulations.

Article 13. Monitoring and evaluating the implementation of the GEF project:

1. Responsibilities for monitoring and evaluating the implementation of the GEF project:

1.1. The project management board conducts monitoring, evaluation of the project, and periodic reporting according to the schedule specified in the project documentation or detailed in the annual activity program of the project.

1.2. GEF-Vietnam takes the lead in coordinating with related agencies or hiring organizations or foreign and domestic consultants (if necessary) to conduct evaluations of the project's activities.

1.3. The Ministry of Science and Technology and Environment/GEF-Vietnam closely coordinates with the project management agency, related agencies, and sponsors to hold regular or ad hoc meetings (as needed) with all parties involved in each specific GEF project.

1.4. The plan, organization, and funding for monitoring and evaluating the implementation of the project are clearly defined in the project documentation or the annual activity program of the project.

2. Reporting on the Implementation of the Project

2.1. During the implementation of the project, the project management board must prepare reports (technical reports and financial reports) in writing according to the report preparation regulations stipulated in the Management and Use Regulations for Official Development Assistance of the Socialist Republic of Vietnam. These reports need to be submitted to the Ministry of Science and Technology and Environment/GEF-Vietnam for consolidation.

2.2. The GEF-Vietnam Office is responsible for consolidating reports for related management agencies in Vietnam and as required by GEF.

Article 14Acceptance and Transfer of Project Results of the GEF

The procedures for acceptance and transfer of project results of the GEF comply with GEF regulations and other relevant regulations.