Thông tư 13/2010/TT-BKH quy định về mẫu báo cáo giám sát, đánh giá đầu tư do Bộ Kế hoạch và Đầu tư ban hành

CIRCULAR

PROVIDING FORMS OF INVESTMENT MONITORING AND EVALUATION REPORTS

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

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

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

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

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

Article 1. Scope of regulation and subjects of application

1. Scope of regulation: This Circular provides in detail forms of investment monitoring and evaluation reports specified in the Government's Decree No. 113/2009/ND-CP of December 15, 2009, on investment monitoring and evaluation.

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

Article 2. Forms of investment monitoring and evaluation reports

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

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

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

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

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

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

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

2. In these forms, the contents in italic are for instructive and illustrative purposes which may be concretized by report makers to suit the practical situation.

Article 3. Organization of implementation

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

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

FORM NO. 1

REPORT ON MONITORING AND ASSESSMENT OF ANNUAL AND BIANNUAL OVERALL INVESTMENT

REPORT ON MONITORING AND ASSESSMENT OF OVERAL INVESTMENT

(Biannual/annual)

To: ………………………………………………….

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

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

- Preliminarily assessing the efficiency and impact of the guiding documents issued for investment management.

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

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

2. The management of implementation of provisions as prescribed.

3. The main obstacles and proposal for remedies.

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

1. Formulation, appraisal and approval of projects.

2. Status of project implementation

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

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

- A number of projects of slow progress, the main reasons; remedies;

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

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

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

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

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

- Plans for allocation of capital in the period;

- Results of disbursement of investment capital in the period;

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

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

4. Main obstacles and proposed remedies.

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

1. Verifying and issuing certificate of investment

- Situation of project appraisal;

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

2. Managing the implementation of investment projects

- Investment capital plan as registered;

- Disbursement actually achieved.

3. Main obstacles and proposed remedies.

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

1. Status of implementation of reporting regulation.

2. Assessment of quality of reports.

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

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

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

- The main findings after examining and evaluating the project.

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

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

6. Main obstacles and proposed remedies.

VI. PROPOSALS AND RECOMMENDATIONS

1. The proposals for innovation of mechanism and policy of administration of the Government, ministries and sectors.

2. Proposals for implementation

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

Subform 01

STATUS OF INVESTMENT IN REPORTING PERIOD

Note: State capital is aggregated from the state funds in the projects using 30% state capital or more and the state funds of projects using other funds.

Subform 02

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

Subform No.03

STATUS OF INVESTMENT MONITORING FOR PROJECT USING OTHER FUNDS

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

FORM NO. 2

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

REPORT ON MONITORING AND ASSESSMENT OF INVESTMENT

(Month …. year ….)

Project name: ……………………..

To: ………………………………………………….

1. Status of project implementation

1.1. Project implementation progress

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

1.2. Status of disbursement

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

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

+ Construction and installation costs:

+ Equipment costs:

+ Other costs:

2. Assessment of project implementation

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

2.2. Analysis of existent causes

2.3. Solutions to handle the existences and obstacles.

3. Proposal

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

FORM NO. 3

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

REPORT ON MONITORING AND ASSESSMENT OF INVESTMENT IMPLEMENTATION

(Quarterly/Biannual/Yearly)

Project name: ……………………..

To: ………………………………………………….

I. Content of report:

1. Status of project implementation:

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

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

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

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

1.5. Other costs related to the project:

1.6. Changes related to the process of project implementation:

2. Project management:

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

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

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

2.4. Quality assurance and effect of project management:

3. Status of information processing and feedback

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

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

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

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

1. Status of project implementation:

2. Project management:

3. Information processing and feedback:

III. Proposed implementation solution:

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

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

Note:

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

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

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

Subform No. 04

FORM OF PROJECT INFORMATION

1. Project name:

2. Project investor:

3. Project planning consultation organization:

5. Main objectives of project:

4. Scale and capacity:

5. Project location:

6. Land use area:

7. Form of project management:

8. Project timeline:

- Approval date of investment decision:

- Project implementation time:

+ Starting time:

+ End time:

9. Total investment:

10. Investment capital:

11. Brief description of project:

Subform No. 05

PROGRESS OF TECHNICAL DESIGN FORMULATION

Subform No. 06

PROGRESS OF SITE CLEARANCE AND RELOCATION

Subform No. 07

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

Subform No. 08

PROGRESS OF BIDDING IMPLEMENTATION

Subform No. 09

PROGRESS OF CONTRACT PERFORMANCE

Unit: Million dong

Subform No. 10

SUMMARY OF PERFORMANCE AND PAYMENT OF PROJECT INVESTMENT CAPITAL

Unit: Million dong

FORM NO. 4

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

REPORT ON MONITORING AND ASSESSMENT OF INVESTMENT PROJECT

Project name: ……………………..

To: ………………………………………………….

I. Information about project:

1. Project name:

2. Investor:

3. Project planning consultation organization:

5. Main objectives of project:

4. Scale and capacity:

5. Project location:

6. Land use area:

7. Form of project management:

8. Project timeline:

- Approval date of investment decision:

- Project implementation time:

+ Starting time:

+ End time:

9. Total investment:

10. Investment capital:

11. Brief description of project:

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

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

IV. Cause, reason and necessity for project adjustment:

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

V. Re-assessment of adjusted project:

VI. Proposal:

FORM NO. 5

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

REPORT ON MONITORING AND ASSESSMENT OF PROJECT INVESTMENT TERMINATION

Project name: ……………………..

To: ………………………………………………….

I. Information about project:

1. Project name:

2. Investor:

3. Project planning consultation organization:

5. Main objectives of project:

4. Scale and capacity:

5. Project location:

6. Land use area:

7. Form of project management:

8. Project timeline:

- Approval date of investment decision

- Project implementation time:

+ Starting time:

+ End time:

9. Total investment:

10. Investment capital sources

11. Brief description of project:

12. Information about bidding result:

II. Content:

1. Summing up the whole process of project implementation:

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

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

2.1. Results of implementation of approved contents (Specifying the result and achievements of the approved content: objectives, scale of investment, the total investment, progress, quality ...).

2.2. Result of financial implementation:

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

- Stating essential adjustment on total investment of project;

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

2.3. Factors affecting the results of project implementation:

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

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

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

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

2.5. The impact on sectors and fields:

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

2.6. The sustainability of project:

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

2.3. Learning from experience from practicality of the project:

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

FORM NO. 6

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

REPORT ON MONITORING AND ASSESSMENT OF INVESTMENT PROJECT IMPLEMENTATION

(Biannual/annual)

Project name: ……………………………….

To: ………………………………………………….

I. Information about project:

1. Investor:

2. Main objectives of project:

3. Scale and capacity:

4. Project location:

5. Total investment and funds

6. Main timeline:

- Isue date of Certificate of investment;

- Date of commencement;

- Date of completion;

II. Status of project implementation

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

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

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

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

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

II. Proposals for solutions:

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

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