Quyết định 74/2008/QD-BLDTBXH

DECISION

PROMULGATING THE REGULATION ON MANAGEMENT AND USE OF FOREIGN AID FOR THE MINISTRY OF LABOR, WAR INVALIDS AND SOCIAL AFFAIRS

THE MINISTER OF LABOR, WAR INVALIDS AND SOCIAL AFFAIRS

Pursuant to the Government s Decree No. 186/ 2007/ND-CP of December 25, 2007, defining the functions, tasks, powers and organizational structure of the Ministry of Labor, War Invalids and Social Affairs;
Pursuant to the Government's Decree No. 131/ 2006/ND-CP of November9, 2006, promulgating the Regulation on management and use of official development assistance (ODA );
Pursuant to the Prime Minister's Decision No. 64/200l/QD-TTg of April 26, 2001, promulgating the Regulation on management and use of foreign non-governmental aid;
Pursuant to the Planning and Investment Ministry's Circular No. 04/2007/TT-BKH of July 30, 2007. guiding the implementation of the Regulation on management and use of official development assistance;
Pursuant to the Planning and Investment Ministrys Circular No. 03/2007/TT-BKH of March 12. 2007, guiding the functions, tasks and organizational structure of management units of ODA-funded programs and projects;
Pursuant to the Finance Ministry's Circular No. 82/2007/IT-BTC of July 12, 2007, guiding the state financial management regime applicable to foreign non-refundable aid constituting state budget revenues;
Pursuant to the Planning and Investment Ministry's Decision No. 803/2007/QD-BKH of July 30, 2007, promulgating the reporting regime applicable to ODA-funded programs and projects;
At the proposal of the director of the Planning and Finance Department,

DECIDES:

Article 1. To promulgate together with this Decision the Regulation on management and use of foreign aid for the Ministry of Labor, War Invalids and Social Affairs.

Article 2. This Decision takes effect 15 days after its publication in "CONG BAO" and replaces the Labor, War Invalids and Social Affairs Ministry's Decision No. 1008/2004/QD-BLDTBXH of July 7, 2004, promulgating the Regulation on management and use of foreign aid for the Ministry of Labor, War Invalids and Social Affairs.

Other regulations contrary to this Decision are annulled.

Article 3. The director of the Ministry's Office, the directors of the Planning and Finance Department, International Cooperation Department and Organization and Personnel Department, heads of concerned agencies, directors of provincial-level Labor, War Invalids and Social Affairs Services and heads of management boards of projects funded with ODA and foreign non-governmental aid belonging to the Ministry of Labor, War Invalids and Social Affairs shall implement this Decision.

REGULATION

ON MANAGEMENT AND USE OF FOREIGN AID FOR THE MINISTRY OF LABOR, WAR INVALIDS AND SOCIAL AFFAIRS
(Promulgated together with the Labor, War Invalids and Social Affair Ministry's Decision No. 74/2008/QD-BLDTBXH of December 31, 2008)

Chapter I

GENERAL PROVISIONS

Article 1. Scope of regulation and subjects of application

1. This Regulation governs the mobilization, receipt, management and use of foreign aid sources for the Ministry of Labor, War Invalids and Social Affairs, including ODA prescribed in the Government's Decree No. 13I/2006/ND-CP of November 9,2006, and foreign non-governmental aid prescribed in the Prime Minister's Decision No. 64/2001/QD-TTg of April 26, 2001.

2. This Regulation applies to all units under and attached to the Ministry of Labor, War Invalids and Social Affairs involved in managing and using foreign aid sources under the management of the Ministry of Labor, War Invalids and Social Affairs.

3. Provincial-level Labor, War Invalids and Social Affairs Services and organizations and individuals participating in programs, projects and non-project aid which are managed, implemented and regulated by the Ministry of Labor, War Invalids and Social Affairs.

4. This Regulation specifies the order of, and assigns responsibilities of concerned units and individuals for, the mobilization, management and use of foreign aid according to regulations but does not supersede current legal documents on management and use of foreign aid.

Article 2. Fundamental principles in management and use of foreign aid

The mobilization, receipt, management and use of foreign aid must abide by the following principles:

1. Units, organizations and individuals under the Ministry are encouraged to, on the basis of their functions and tasks, actively and proactively mobilize and attract foreign aid for the performance of state management tasks and development of non-business activities in the sector.

2. The receipt, management and use of foreign aid must be combined with the raising of the quality, effectiveness and debt-payment capacity and suit the receipt and management capacity of concerned units.

3. Foreign-funded programs, projects and aid amounts must be received, managed and used in strict accordance with law in order to support the fulfillment of socio-economic development objectives of the country and the sector.

4. Foreign aid shall be managed and used on the principle of democratic centralization, publicity and transparency, assignment of duties and decentralization of authority and association of powers with responsibilities so as to ensure coordinated management, strict examination and supervision and increase the proactivity of agencies and units under the Ministry, localities and project owners.

5. The Ministry of Labor, War Invalids and Social Affairs shall perform the unified management of foreign-funded programs, projects and aid amounts implemented by units under its management.

6. Project owners, project management units and heads of assistance-receiving units shall take responsibility before the Minister and law for the management and use of assigned foreign aid sources.

7. The foreign aid management and use by the Ministry of Labor, War Invalids and Social Affairs must comply with the State's current regulations on the management and use of foreign aid and this Regulation.

Chapter II

AID MOBILIZATION, NEGOTIATION AND CONCLUSION

Article 3. Mobilization of foreign aid

1. Grounds for mobilization of foreign aid

Aid shall be mobilized on the following grounds:

1.1. The national socio-economic development strategy, the comprehensive poverty reduction and growth strategy (CPRGS), the national strategy on borrowing and repayment of foreign loans, and national five-year and annual socio-economic development plannings and plans;

1.2. Five-year and annual development strategies, plannings and plans of the labor, war invalids and social affairs sector;

1.3. The Government's orientations on attraction and use of foreign aid;

1.4. Public investment programs, national target programs and national programs under the management of the labor, war invalids and social affairs sector;

1.5. Development cooperation strategies and programs between Vietnam and donors;

1.6. Priorities of the Ministry of Labor, War Invalids and Social Affairs and practical demands of each sector or domain in each period;

1.7. Some other domains as decided by the Minister of Labor, War Invalids and Social Affairs.

2. Coordination in aid mobilization:

2.1. Coordination in ODA mobilization

2.1.1. The International Cooperation Department shall assume the prime responsibility for, and coordinate with the Planning and Finance Department, concerned units and donors in, preparing and submitting to the Ministry documents for participation in consultancy group (CG) meetings if so requested.

2.1.2. The International Cooperation Department shall assume the prime responsibility for, and coordinate with the Planning and Finance Department and concerned units in, submitting to the Ministry a document to be sent to the Planning and Investment Ministry to suggest ODA mobilization contents on the occasion of high-ranking Party and State visits or negotiations.

2.1.3. If a unit under the Ministry wishes to mobilize ODA on the occasion of overseas visits or international negotiations of the Ministry's leadership, it shall assume the prime responsibility for, and coordinate with the International Cooperation Department and the Planning and Finance Department in, suggesting ODA mobilization contents before submitting them to the Ministry for consideration and decision on their inclusion in the working or negotiation agendas with donor countries or organizations.

2.1.4. The organization of ODA coordination meetings for the sectors or domains under the Ministry's management, when necessary, must comply with current regulations on organization of international conferences and seminars.

a/ The International Cooperation Department shall assume the prime responsibility for, and coordinate with the Planning and Finance Department and concerned units in, preparing a plan on the organization of the conference, covering such details as the conference contents and scope, number and composition of participants, and time, venue and funds for the conference, and submitting it to the Ministry for approval or subsequent submission to a competent agency for approval.

b/ Based on the approval of the competent authority, the International Cooperation Department shall assume the prime responsibility for, and coordinate with the Planning and Investment Department in, drafting a coordination request to be sent to the Planning and Investment Ministry.

c/ The International Cooperation Department shall assume the prime responsibility for, and coordinate with the Planning and Investment Department and concerned units in, organizing ODA coordination conferences for the sectors or domains under the Ministry's management according to the approved plan.

d/ Within 10 working days from the closing date of a sector-based ODA mobilization conference, the International Cooperation Department shall assume the prime responsibility for, and coordinate with the Planning and Investment Department in. submitting to the Ministry a report on outcomes of the conference which shall be sent to the Prime Minister and also to the Planning and Investment Ministry, the Finance Ministry and the Foreign Affairs Ministry for coordination in follow-up activities. The report on conference outcomes shall be posted on the websites of the Planning and Investment Ministry and the Labor, War Invalids and Social Affairs Ministry.

2.1.5. Units under the Ministry shall take the initiative in mobilizing foreign aid under Clause I, Article 3 of this Regulation and according to their assigned functions and tasks.

2.2. Coordination in mobilization of non-governmental aid

2.2.1. Annually, on the basis of the grounds for aid mobilization defined in Clause 1, Article 3 of this Regulation and their assigned functions and tasks, units under the Ministry shall work out and send a list of programs, projects and non-project aid amounts, enclosed with their detailed outlines (made according to the form in Appendix I to the Planning and Investment Ministry's Circular No. 04/200l/TT-BKH of June 5, 2001. guiding the implementation of the Prime Minister's Decision No. 64/2001/QD-TTg of April 26, 2001), to the International Cooperation Department and the Finance and Planning Department for sum-up.

2.2.2. The International Cooperation Department shall assume the prime responsibility for, and coordinate with the Planning and Finance Department in, synthesizing and selecting programs, projects and non-project aid amounts for inclusion in a non-governmental aid-culling list to be submitted to the Ministry for approval which shall serve as a basis for aid mobilization.

2.2.3. Units under the Ministry may take the initiative in mobilizing non-governmental aid on the basis of the grounds defined in Clause I, Artie le 3 of this Regulation and their assigned functions and tasks.

Article 4. Formulation of ODA-calling lists

1. Preparing for the formulation of ODA-calling lists with respect to each donor

Within 5 working days after receiving a written notice from the Planning and Investment Ministry on the working or negotiation agenda with the donor, the Planning and Finance Department shall propose the Ministry to sign and send to concerned units a notice requesting them to formulate detailed outlines of programs and projects for inclusion in the ODA-calling list.

2. Formulating detailed outlines of programs and projects for submission to the Ministry'

2.1. On the basis of the Ministry's notice, units wishing to receive ODA shall draw up a list of programs and project calling for ODA and formulate detailed outlines of each program or project with the contents prescribed at Point b. Clause 2, Article 7 of the ODA Regulation and in the form prescribed for each type of programs and projects in Appendix 2 to the Planning and Investment Ministry's Circular No. 04/2007/TT-BKH of July 30,2007, guiding the implementation of the Regulation on ODA management and use.

2.2. Units shall send the list of programs and projects calling for ODA and their detailed outlines to the Planning and Finance Department and the International Cooperation Department according to regulations.

2.3. A dossier of registration for an ODA-calling list comprises:

a/The unit's official request for registration of programs and projects calling for ODA;

b/ Eight sets of the detailed outlines of each program and project (each set comprising a Vietnamese version and an English version).

3. Selecting programs and projects for inclusion in the ODA-calling list:

3.1. Within 5 working days after receiving a complete and valid dossier from a proposing unit, the Planning and Finance Department shall assume the prime responsibility for, and coordinate with the International Cooperation Department in, scrutinizing, summing up and proposing to the Ministry a list of programs and projects calling for ODA.

3.2. Grounds for selection of programs and projects calling for ODA

a/ Proposed programs and projects are in the domains prioritized for ODA use defined in Article 3 and conform with the grounds for ODA mobilization specified in Article 5 of the ODA Regulation.

b/ Proposed programs and projects conform with donors' policies and capabilities.

c/ Proposed programs' and projects' detailed outlines satisfy the prescribed requirements.

d/ Units proposing ODA programs or projects are capable of receiving, managing and implementing programs or projects and exploiting and using outcomes of completed programs or projects, if they are assigned to act as program or project owners.

4. Drawing up and submitting an ODA-calling list:

After the Ministry's leadership approves the list of programs and projects calling for ODA, the Planning and Finance Department shall send the list to the Planning and Investment Ministry within the prescribed time limit and, at the same time to the proposing units for information.

5. Notifying the official financing list

5.1. Within 5 working days after the receipt of the Planning and Investment Ministry's written notification of programs and projects selected for inclusion in the official financing list and rejected ones, the Planning and Finance Department shall notify concerned units thereof.

5.2. The Prime Minister's decision approving the ODA-calling list and the Planning and Investment Ministry's notification on the official financing list serve as a legal basis for units to formulate program and project documents and carry out subsequent activities.

6. In other cases, the making of an ODA-calling list is guided as follows:

6.1. For a donor that has no program on regular provision of ODA for Vietnam or has no schedule on annual or periodical negotiations on development cooperation programs, units seeking for ODA shall take the initiative in obtaining information and documents on the donor and prepare detailed outlines for ODA-calling programs or projects as prescribed and send them to the International Cooperation Department (and also to the Planning and Finance Department) for inclusion in the Ministry's ODA-calling list. After reaching agreement with the donor, the International Cooperation Department shall notify aid mobilization results to proposing units (and also the Planning and Finance Department), proposing units shall make a report, enclosed with the detailed outlines of programs and projects as prescribed, to the Ministry (via the Planning and Finance Department) for signing and addressing to the Planning and Investment Ministry for inclusion in the ODA-calling list.

6.2. When a donor proposes and reaches agreement with the Ministry or a unit to finance a program or project not on the ODA-calling list approved by the Prime Minister, the concerned unit shall submit a report, enclosed with the detailed outlines of the program or project to the Ministry (via the Planning and Finance Department) for approval and addressing to the Planning and Investment Ministry for inclusion in the ODA-calling list.

6.3. For regional programs and projects:

Participating units shall submit a report, enclosed with the detailed outlines of the projects (or component projects or activities) to the Ministry (via the Planning and Finance Department) for signing for approval and submission to the Prime Minister for consideration and decision.

6.4. For other arising matters, concerned units shall submit a report to the Ministry (via the Planning and Finance Department) for approval and addressing to the Planning and Investment Ministry for reporting to the Prime Minister for consideration and decision.

Chapter III

PREPARATION, APPRAISAL AND APPROVAL OF CONTENTS OF ODA-FUNDED PROGRAMS AND PROJECTS

Article 5. Issuance of decisions on owners of ODA projects

1. Within 2 working days after receiving the Planning and Investment Ministry's written notification of the official financing list, the Planning and Investment Department shall send an official notice to units with programs and projects included in the official financing list, and also to the Organization and Personnel Department.

2. Within 3 working days after receiving the Planning and Investment Department's notice, the Organization and Personnel Department shall propose the Minister to decide on program and project owners.

Article 6. Preparation for the compilation of ODA program and project documents

1. Project owners shall coordinate with donors, concerned agencies and owners of component projects (for umbrella programs and projects) in formulating ODA program and project documents.

a/ The structure and contents of program and project documents comply with Articles 13, 14 and 15 of the ODA Regulation and Appendix 4 to Circular No. 04/2007/TT-BKH.

b/ Documents of ODA-funded investment projects shall be formulated according to Article 13 of the ODA Regulation and current regulations on investment and construction management.

c/ If applying the program- or sector-based approach, managing agencies shall work with donors and relevant agencies in formulating appropriate support documents.

d/ In case program or project documents are formulated according to donors' forms, they must have all contents prescribed in Articles 13, Hand 15 of the ODA Regulation.

2. The time limit for formulation of program or project documents is 45 days, for technical assistance projects, or 60 days, for investment projects, counting from the effective date of the decision on selection of the program or project owner.

Article 7. Appraisal and approval of contents of ODA-funded programs and projects

1. Competence to approve contents of ODA-funded programs and projects

1.1. The Prime Minister shall approve:

a/ Decisions on investment in important national programs and projects;

b/ Programs and projects accompanied with framework policies and technical assistance programs and projects in the security and defense domains.

1.2 Ministers shall decide on investment programs and projects and approve the contents of technical assistance programs and projects other than those prescribed in Clause 1 of this Article.

2. Appraisal of ODA-funded programs and projects

2.1. For programs and projects falling within the approving competence of the Prime Minister:

a/ For programs and projects defined at Item a: The Planning and Finance Department shall, in coordination with project owners and the International Cooperation Department, work with the Investment and Planning Ministry and concerned ministries and branches in carrying out appraisal procedures according to regulations. Project owners shall take the prime responsibility for projects' professional contents in the process of appraisal.

b/ For programs and projects defined at Item b: The Planning and Finance Department shall assume the prime responsibility for, and coordinate with project owners, the International Cooperation Department and concerned units in, appraising and submitting the contents of programs and projects to the Ministry for signing and subsequent submission to the Prime Minister for the latter to approve program and project documents and permit their implementation.

2.2. For programs and projects falling within the approving competence of the Minister of Labor, War Invalids and Social Affairs, within 5 working days after the receipt of valid and complete dossiers, the Planning and Finance Department shall assume the prime responsibility for, and coordinate with the International Cooperation Department and concerned departments and units in, appraising and proposing the Ministry to approve the contents of program and project documents.

2.3. Appraisal time frame

a/ For technical assistance projects: not more than 15 working days after the receipt of complete and valid dossiers as prescribed in Clauses 1,2, 3 and 4, Article 17 of the ODA Regulation.

b/ For investment projects: not more than 45 working days after the receipt of complete and valid dossiers as prescribed in Article 17 of the ODA Regulation.

c/ For umbrella programs and projects or assistance provided under the program- or branch-based approach: not more than 45 working days after the receipt of complete and valid dossiers as prescribed in Article 17 of the ODA Regulation.

d/ For regional programs and projects: The appraisal and approval of Vietnam's participation are similar to other ODA-funded programs and projects.

dd/ Within 5 working days after the receipt of the appraisal report and the draft decision approving the contents of the program or project, the Ministry's leadership shall issue a decision to approve the program or project contents as prescribed in Clause 2, Article 19 of the ODA Regulation.

e/ Within 5 working days from the date the Ministry's leadership issues a decision approving the program or project, the International Cooperation Department shall issue a written notification to the donor.

2.4. An appraisal dossier shall be made in 8 sets, for programs and projects falling within the approving competence of the Prime Minister, or 6 sets, for programs and projects falling within the approving competence of the Ministry, including at least one original. Documents in foreign languages must be accompanied with Vietnamese translations.

2.5. An appraisal dossier comprises:

a/ A request for approval of the program or project, made by the Ministry (for programs and projects falling within the approving competence of the Prime Minister) or by the project owner (for programs and projects falling within the approving competence of the Ministry);

b/ The Planning and Investment Ministry's notice of the official financing list;

c/ The program or project documents (in Vietnamese and a foreign language, if any);

d/ Documents and opinions of concerned agencies in the process of making preparations for the program or project and agreements and memorandums of understanding with the donor or its representative, the report of the appraisal team made at the donor's request, if any;

dd/ The project owner's financial statements of the last 3 years, certified by the Ministry (for programs and projects subject to the re-lending mechanism).

2.6. Contents of appraisal of ODA-funded programs and projects comply with Articles 16, 17, 18 and 19 of the ODA Regulation and Section III, Part III of Circular No. 04/2001/TT-BKH.

Chapter IV

PREPARATION, APPRAISAL AND APPROVAL OF CONTENTS OF PROGRAMS, PROJECTS AND NON PROJECT AID FUNDED BY NON-GOVERNMENTAL ORGANIZATIONS

Article 8. Preparation of programs, projects and non-project aid proposals

1. Within 5 working days after the receipt of the donor's written commitments on provision or consideration of financial assistance, the International Cooperation Department shall issue a written notification to units wishing to call for non-governmental aid for programs, projects or non-project aid and also to the Planning and Finance Department. In case a unit mobilizes financial assistance by itself or a donor proposes the provision of financial assistance to a specified unit, the concerned unit shall issue a written notification to the International Cooperation Department and the Planning and Finance Department.

2. Within 5 working days after the receipt of the notice of the International Cooperation Department or the financial assistance-mobilizing unit, the Planning and Finance Department shall propose the Ministry to assign the unit to make preparation for the receipt of assistance from non-governmental organizations.

3. Units assigned to prepare for the receipt of aid from non-governmental organizations shall prepare draft aid proposals and send them to the Planning and Finance Department for appraisal.

4. Aid proposals must satisfy the following requirements:

a/ For aid for programs and projects: Units assigned to prepare for the receipt of aid from non-governmental organizations shall formulate program or project documents. If the implementation duration lasts for more than one year, it is required to make an implementation plan, estimate necessary funds for each year and clearly determine the donor's available funds and funds to be raised in subsequent years.

b/ For non-project aid, the objectives and contents of and subjects eligible for aid. the total aid value, a list of aid goods and their value (if assistance is provided in kind) should be stated;

c/ For emergency aid, apart from the above requirements, the degree of damage and essential needs to be immediately met upon the occurrence of the emergency circumstance should be indicated.

Article 9. Appraisal of programs, projects and non-project aid

1. The appraisal of programs, projects and non-project aid from non-governmental sources complies with Point 2.2, Section II of Circular No. 04/2001/TT-BKH and the following provisions:

1.1. For programs, projects and non-project aid falling within the approving competence of the Prime Minister (defined in Clause 1, Article 6 of the Regulation on management and use of foreign non-governmental aid), the Planning and Investment Ministry or the Finance Ministry shall take the main charge for the appraisal as follows:

a/ Units assigned to prepare for the receipt of aid from non-governmental organizations shall send to the Planning and Finance Department all dossiers and documents of the programs or projects and written appraisal requests for study, inspection and submission to the Ministry for approval and sending to the Planning and Investment Ministry or the Finance Ministry for appraisal.

b/ The Planning and Investment Department shall, together with the International Cooperation Department and concerned units, participate in appraisal conferences chaired by the Planning and Investment Ministry or the Finance Ministry. The units assigned to prepare for the receipt of aid from non-governmental organizations shall take the main charge for the contents of relevant documents in the process of appraisal.

1.2. For programs, projects and non-project aid falling within the approving and signing competence of the Minister of Labor, War Invalids and Social Affairs:

a/ Units assigned to prepare for the receipt of aid from non-governmental organizations shall send to the Planning and Finance Department 5 dossier sets of the program, project or non-project aid as prescribed at Point 2.2, Section II of Circular No. 04/2001/TT-BKH.

b/ Within 5 working days after the receipt of a valid and complete dossier, the Planning and Finance Department shall send a written request to relevant agencies for their written opinions.

c/ Within 5 working days after the deadline for consulting concerned agencies and individuals, the Planning and Finance Department shall organize the appraisal.

d/ The appraisal report shall be signed by the director of the Planning and Finance Department according to Clause 2 of this Article. Issues which have been agreed upon and issues on which opinions remain divergent must be expressed in the appraisal report.

2. Appraisal contents:

a/ Compatibility of objectives of the program, project or non-project aid with the priorities of the Government and the Ministry of Labor, War Invalids and Social Affairs;

b/ Feasibility of the program, project or non-project aid in terms of project management and implementation capacity; Vietnamese side's contribution ability (particularly domestic capital contribution) and mechanisms of collaboration in the implementation process;

c/ Rationality of the structure of the program's or project's budget: funds set aside for domestic and foreign specialists, domestic and overseas training, equipment and supplies, management expenses and other expenses;

d/ Commitments, and pre-conditions and other conditions of the donor on the aid, if any; and Vietnam's commitments on the implementation of the program, project or non-project aid;

dd/ Effectiveness and sustainability of the program, project or non-project aid upon completion.

3. Within 5 working days after the receipt of the appraisal report and a draft decision approving the contents of the program, project or non-project aid, the Ministry's leadership shall issue a decision to approve the contents of the program, project or non-project aid under regulations.

4. Within 5 working days after the issuance of the decision approving the program, project or non-project aid by the Ministry's leadership, the International Cooperation Department shall send a written notification to the donor.

Article 10. The competence to approve the contents of programs, projects and non-project aid defined in Article 6 of the Regulation on management and use of foreign non-governmental aid, is specified as follows:

1. The Prime Minister shall approve:

a/ Non-governmental aid-funded programs and projects capitalized at USD 500,000 or more;

b/ Programs and projects related to institutions, policies, laws, administrative reform, culture and information, religion, defense and security;

c/ Non-project aid valued at USD 200,000 or more;

d/ Non-project aid aiming at supporting activities mentioned at Point b. Clause 1 of this Article;

dd/ Programs, projects and non-project aid involving commodities subject to import restrictions (automobiles, motorbikes, used goods and equipment and a number of medicines included in a prescribed list) as prescribed by the Government;

g/ Emergency relief aid without specified recipients (donors do not designate a specific locality to receive relief aid).

2. The Minister of Labor. War Invalids and Social Affairs shall approve:

a/ Programs and projects valued at less than USD 500,000 (except those defined at Point b and Point e, Clause 1 of this Article);

b/ Non-project aid valued at less than USD 200,000 (except those defined at Point d and e. Clause 1 of this Article)

b/ All emergency relief aid for specified recipients.

Chapter V

CONCLUSION OF SPECIFIC TREATIES ON ODA AND NON-GOVERNMENTAL AID

Article 11. Grounds for proposing the conclusion of specific treaties are documents of programs and projects and contents of non-project aid approved by competent authorities.

Article 12. Order of and procedures for the conclusion of specific treaties on ODA:

1. After receiving the project owner's proposal, the Planning and Finance Department shall draft and submit to the Ministry a document on the conclusion of a specific treaty on ODA for a program or project managed by the Ministry for approval and submission to the Government or sending to the State Bank of Vietnam (for programs and projects funded by international financers), the Finance Ministry (for other ODA loans) or the Planning and Investment Ministry (for other programs and projects).

2. The order of and procedures for the conclusion of specific treaties on ODA comply with the current law on conclusion, accession to and implementation of treaties.

3. Proposing units shall assume the prime responsibility for, and coordinate with the International Cooperation Department, the Planning and Finance Department and concerned agencies and units in, negotiating and concluding specific treaties on ODA after obtaining the written authorization of the Government.

4. In the process of implementation of specific treaties on ODA, if they need to make any adjustments, amendments or supplements as stated at Point a, Clause 1. Article 31 of the ODA Regulation, units proposing the conclusion of specific treaties on ODA shall submit them to the Ministry (via the Planning and Finance Department). The Planning and Finance Department shall draft a document on these adjustments, amendments or supplements and submit it to the Ministry for approval in order to seek written opinions of the Planning and Investment Ministry and concerned agencies before submitting them to the Prime Minister for consideration and decision according to current regulations.

Article 13. Negotiation and conclusion of non-governmental aid

The negotiation and conclusion of non-governmental aid comply with Article 5 of the Regulation on non-governmental aid and the following provisions:

1. For programs, projects and non-project aid falling within the approving competence of the Prime Minister:

a/ Within 5 working days after the receipt of the Prime Minister's document approving the program, project or non-project aid, the Planning and Finance Department shall issue a written notification to the unit assigned to prepare for the receipt of aid from non-governmental organizations and also to the International Cooperation Department.

b/ Within 5 working days after the receipt of the Planning and Finance Department's written notification, the International Cooperation Department shall send a written notification on the approval of the program, project or non-project aid to the donor.

c/ The International Cooperation Department shall assume the prime responsibility for, and coordinate with the Planning and Finance Department and concerned units in, preparing and supplying dossiers and documents at the request of the agency in charge of negotiation and conclusion.

d/ Within 5 working days after the receipt of the written notification and the dossier of the program, project or non-project aid already concluded, the International Cooperation Department shall notify the project owner thereof for implementation.

dd/ Within 15 working days from the date of conclusion of the program or project documents, the International Cooperation Department shall send to the Government Office, the Planning and Investment Ministry, the Finance Ministry and the Union of Vietnam Friendship Organizations the approval decision (original), enclosed with the program or project documents which have been approved and stamped on every two adjoining pages.

2. For programs, projects and non-project aid falling within the approving competence of the Ministry:

a/ Within 10 working days after the issuance of the decision approving the program, project or non-project aid by the Labor, War Invalids and Social Affairs Minister, the unit assigned to receive aid from non-governmental organizations shall assume the prime responsibility for, and coordinate with the International Cooperation Department, the Planning and Finance Department and the donor in, organizing the negotiation and conclusion on aid provision.

b/ Within 15 working days from the date of concluding the program or project documents, the International Cooperation Department shall send to the Planning and Investment Ministry, the Finance Ministry and the Union of Vietnam Friendship Organizations the approval decision (the original), enclosed with the program or project documents which have been approved and stamped on every two adjoining pages.

Chapter VI

MANAGEMENT OF IMPLEMENTATION OF PROGRAMS, PROJECTS AND NON-PROJECT AID

Article 14. Project owners and heads of financial assistance-using units shall manage and use financial assistance and domestic capital for the fulfillment of objectives and contents of programs, projects and non-project aid approved by competent authorities under the State's current regulations and the commitments with donors.

Article 15. For programs, projects and non-project aid assigned to provinces or centrally run cities for direct management (the Ministry recommends them to localities)

On the basis of the framework agreement signed between the Ministry and donors, the International Cooperation Department shall issue written notifications to localities which will benefit from programs, projects and non-project aid, requesting the presidents of the People's Committees of these localities to receive and manage assistance according to regulations.

Article 16. For programs, projects and non-project aid directly managed by the Ministry of Labor, War Invalids and Social Affairs:

1. Establishment of a project management unit:

1.1. In case of necessity to establish a program or project management unit, within 10 working days from the date the program, project or non-project aid is approved by a competent authority, the program or project owner shall issue a decision to set up a project management unit.

1.2. For ODA-funded programs and projects: The order of establishment, organizational structure, functions, tasks and powers of ODA project management units, responsibility relationship between project management units and project owners, managing agencies and state management agencies comply with the Planning and Investment Ministry's Circular No. 03/2007/TT-BKH of March 12, 2007, on the organizational structure, functions, tasks and powers of ODA project management units.

1.3. For programs and projects implemented by the Ministry: The units assigned to act as project owners shall propose the establishment of project management units to the Ministry; the Organization and Personnel Department shall act as the agency in charge of, and coordinate with the Planning and Finance Department and relevant agencies in, proposing the Ministry to issue decisions to establish project management units.

2. Approval of master plans on the implementation of programs and projects:

2.1. Right after the project management unit is established, the project owner shall direct the project management unit in reviewing, updating and adjusting the master plan on ODA program or project program implementation (when necessary) and make a detailed implementation plan for the first year for submission to the Ministry for approval.

2.2. Within 10 days after the receipt of a complete dossier from the project owner, the Planning and Finance Department shall inspect and propose the Ministry to sign a decision to approve the master plan.

2.3. Within 5 days from the date of approval of the master plan by the Ministry's leadership, the Planning and Finance Department shall send the approving decision to the Planning and Investment Ministry, the Finance Ministry and the donor as a basis for monitoring and evaluating the program or project implementation process.

3. Tasks, powers and responsibilities of project owners in managing the program or project implementation comply with Article 24 of the ODA Regulation and the following provisions:

3.1. The project owners shall approve detailed plans on the program or project implementation for the first year and every subsequent year on the basis of the master plan approved by the Ministry. Annual ODA program or project implementation plans must be elaborated and approved according to the annual planning schedule of the Ministry. Annual program or project implementation plans serve as a basis for the allocation of resources for program or project activities and for quarterly planning work, management, monitoring, supervision, evaluation and reward of project management activities of project management units.

3.2. The project owners shall direct project management units to make disbursement plans according to Appendix 7 to the Planning and Investment Ministry's Circular No. 04/2007/TT-BKH and submit annual disbursement plans to the Ministry according to regulations.

Article 17. For programs and projects directly managed and implemented by donors, from the staff recruitment to management and use of financial sources, project owners shall coordinate with their partners in the program or project implementation process on the basis of the program or project documents already signed.

Article 18. Financial management and accounting

All programs, projects and non-project aid belonging to the Ministry are subject to financial management and accounting under the State Budget Law, the Accounting Law, tax laws, current regulations, commitments signed with donors, and the guidance in this Regulation.

1. Elaboration and sum-up of annual cost estimates:

1.1. All expenditures must be planned and estimated according to spending contents and levels agreed upon with the donor in the assistance program or project documents. If the program or project documents do not clearly state spending levels, project management units shall make cost estimates on the basis of domestic spending levels.

1.2. Annually, project management units shall, based on the Ministry's guidance on the contents of and time limits for the elaboration of plans, cost estimates and commitments with donors, elaborate revenue and expenditure plans and estimates with the program's or project assistance and domestic capital and send them to the Planning and Finance Department, which shall sum them up into the general budgetary plan of the Ministry for sending to the Finance Ministry and the Planning and Investment Ministry for submission to the Government and the National Assembly for approval.

1.3. Assistance plans and estimates must be expressed in detail according to each program, project or non-project aid and each capital source: loan capital, assistance capital, domestic capital allocated by the central budget and local budgets and contributions of beneficiaries.

2. Aid certification:

2.1. Aid certification declarations shall be filled in and registered by project owners/aid-benefiting units with finance agencies according to regulations for certifying the aid amount already received.

2.2. The order, time and dossier of elaboration of aid certification declarations are specified in Section II. Pan II of the Finance Ministry's Circular No. 82/2007/TT-BTC of July 12, 2007, and documents amending or replacing that Circular.

3. State budget accounting complies with the regime of spending control and state budget accounting guided in the Finance Ministry's Circular No. 82/2007/TT-BTC of July 12, 2007, and the following specific provisions:

3.1. For aid being imported goods and domestic goods and services, current regulations shall be complied with.

3.2. For aid in cash: To comply with Point 3.5, Section n. Part II of the Finance Ministry's Circular No. 82/2007/TT-BTC of July 12,2007, documents amending or replacing this Circular and the following specific provisions:

a/ Within 5 working days after the receipt of the Finance Ministry's notice of aid amounts received in the quarter, the Planning and Finance Department shall notify aid-benefiting units thereof.

b/ On the basis of the Planning and Finance Department's notice, monthly, aid-benefiting units shall collect all vouchers on spending and payment from non-refundable aid and. on that basis, draw up statements of expenditures and payments made with aid in cash based on each declaration for certification of aid in cash and send these statements to state treasuries where transactions are conducted for the latter to make certification of the total expenditures made with aid money and then send these documents to the Ministry (the Planning and Finance Department).

c/ Within 5 working days after receiving a complete dossier from the unit, the Planning and Finance Department shall sum up and send the dossier to the Finance Ministry for the latter to record state budget revenues and expenditures according to regulations.

4. Procurement regimes, spending levels and management of funds and assets formed from non-refundable aid comply with current regulations.

5. Accounting and financial settlement

Project owners, project management units and assistance-receiving and -benefiting units shall record and promptly, adequately, accurately and truthfully reflect aid sources already received and used (including aid in kind and cash) and value) in invoices and accounting books; and make financial statements and settlement according to current regulations.

Article 19. Reporting on implementation of assistance

1. Owners of ODA programs and projects comply with Article 36 of the ODA Regulation, Section III, Part VI of Circular No. 04/2007/TT-BKH and Decision No. 803/2007/QD-BKH.

2. Owners of programs and projects funded with non-governmental aid shall make reports under Article 20 of the Regulation on nongovernmental aid according to the forms in Appendices 2 and 3 to Circular No. 04/2001/TT-BKH.

3. For programs, projects and non-project aid which are received by the Ministry of Labor, War Invalids and Social Affairs for transferring to localities for management and implementation by provincial-level People's Committee presidents, directors of provincial-level Labor, War Invalids and Social Affairs Services and project owners shall sum up and send reports thereon to the Ministry (via the Planning and Finance Department) on a periodical basis and upon the completion of programs or projects.

Article 20. The adjustment, amendment and supplementation of ODA programs and projects in the process of implementation comply with Article 31 of the ODA Regulation and Section V, Part V of Circular No. 04/2007/TT-BKH and the following specific guidance:

1. With respect to changes in domestic financial mechanisms or re-lending conditions, project owners shall report them to the Ministry. Within 5 days after the receipt of a complete and valid dossier, the Planning and Finance Department shall draft and submit a document to the Ministry for the latter to reach agreement with the Planning and Investment Ministry and the Finance Ministry before submitting them to the Prime Minister for consideration and decision.

2. With respect to surplus funds resulted from changes in exchange rate, interest rate, unallocated reserve funds and other surplus funds arising in the implementation process, project owners shall assume the prime responsibility for, and coordinate with the Planning and Finance Department in, negotiating with the Planning and Investment Ministry, the Finance Ministry and donors to decide on the use of these surplus funds within the framework of the programs or project and use them according to current regulations.

3. For surplus funds for implementation of a new program or project, the project owner shall report thereon to the Ministry for the Planning and Finance to draft and submit a document to the Ministry for the latter to make proposals to the Planning and Investment Ministry.

Article 21. Examination, inspection and supervision of the aid receipt, management and use

1. Project owners and beneficiaries shall examine the receipt, management and use of assistance.

2. The Planning and Finance Department shall assume the prime responsibility for, and coordinate with specialized departments in, examining the receipt, management and use of assistance by units and projects.

3. The Ministry's Inspectorate shall assume the prime responsibility for and coordinate with specialized departments in, examining and supervising units and projects in the receipt, management and use of aid.

4. Examination and inspection contents cover the observance of law and commitments with donors on aid receipt, management and use.

5. The examination and inspection of projects regarding aid receipt, management and use must comply with legal provisions.

Chapter VII

MONITORING AND EVALUATION OF PROGRAMS AND PROJECTS

Article 22. Monitoring and evaluation of programs and projects

1. Monitoring of programs and projects:

Monitoring of programs and projects covers activities carried out in a regular and periodical basis to update all information relating to the implementation of programs and projects; to classify and analyze information; to promptly propose options to serve the decision-making process of competent authorities in order to ensure that the programs and projects are implemented according to proper objectives and within the prescribed time frames and resource limits.

2. Evaluation of programs and projects:

2.1. Evaluation of projects covers activities carried out on a periodical basis in order to systematically and objectively examine the relevance, effectiveness, productivity, impact and sustainability of programs and projects so as to make necessary adjustments and draw experience for subsequent stages or for implementation of other programs or projects.

2.2. Evaluation shall be carried out on a periodical and irregular basis (when necessary). Periodical evaluation shall be carried out at the following 4 principal stages:

a/ Initial evaluation: To be conducted right after the program or project is implemented in order to examine the actual situation of the program and project compared to the approved program or project documents so as to work out handling measures right from the stage of technical design and elaboration of detailed implementation plans;

b/ Mid-term evaluation: To be conducted in the middle of the program or project implementation duration in order to examine the implementation process from the beginning and propose necessary adjustments;

c/ Final evaluation: To be conducted as soon as the program or project is completed in order to examine achieved results, review the whole implementation process and draw necessary experience to serve as a basis for elaboration of a program or project completion report.

d/ Impact assessment: To be conducted at an appropriate time within 3 years from the date the program or project is put into operation or use in order to clarify the program's and project's effectiveness, sustainability and socio-economic impacts against set objectives.

2.3. Evaluation plans and funds which are deducted from the sources of ODA capital, non-governmental capital, domestic capital or other funding sources must be specified and determined in the program or project documents and suit the nature of each type of program or project.

3. Responsibilities for monitoring and evaluation of programs or projects:

3.1. Project management units shall regularly monitor and evaluate programs or projects according to the following provisions:

a/ To elaborate a master plan and annual detailed plans on the implementation of the program or project, clearly determining resources, implementation schedule, time limit for completion, quality objectives and criteria for acceptance of results of each activity under the program or project, which shall serve as a basis for monitoring and evaluation. The master plan on the project implementation must be prepared by the project management unit at least 3 months before the program or project is started and approved by the project owner. Annual detailed plans must be elaborated after reaching agreements with the donor and submitted to the project owner for approval in accordance with the managing agency's annual planning schedule;

b/ To set up an internal information network to collect and store all information, data, dossiers, documents, books and invoices of the program or project, reports of contractors and changes in the state laws and policies and donors' regulations related to the management of implementation;

c/ To make implementation reports according to regulations, supply and share information via sectoral, local and national systems of monitoring and evaluation information;

d/ To hire consultants to conduct initial evaluation, mid-term evaluation and final evaluation according to the contents of the feasibility report or approved program or project documents; to act as the agency in charge of coordinating with donors or competent management agencies in evaluating the program or project.

3.2. Project owners shall direct, urge and support project management units in monitoring and evaluating programs or projects. If project owners cannot solve arising difficulties and problems by themselves, they shall report them to competent authorities for settlement.

3.3. Project owners shall inform political organizations, social organizations, local administration and elected agencies in localities where the programs or projects are implemented the objectives and contents of activities, the amounts of ODA capital, non-governmental capital and domestic capital of the programs or projects; the organizational structure and regulations on the operation of project management units, so as to involved the community in supervising the implementation process.

3.4. The Planning and Finance Department shall monitor the implementation of programs and projects under its management; give feedbacks based on project owners' reports; analyze the list of programs and projects in order to determine the implementation progress.

3.5. The Planning and Finance Department shall assume the prime responsibility for, and coordinate with concerned units in, examining the results of evaluation of programs and projects conducted by owners of projects under its management. When necessary, it shall coordinate with donors and concerned agencies in conducting irregular evaluation of programs and projects.

4. Reporting on the implementation of programs and projects:

4.1. In the process of program or project implementation, project management units shall make and send reports prescribed below to project owners for sending to managing agencies, the Planning and Investment Ministry, the Finance Ministry and provincial-level People's Committees in the localities where the programs and projects are implemented:

a/ Monthly reports, to be sent within 10 days after the month-end (applicable to investment programs and projects falling within the approving competence of the Prime Minister);

b/ Quarterly reports, within 15 days after the quarter-end;

c/ Annual reports, not later than January 31 of the subsequent year;

d/ Completion reports, within 6 months after the program or project is completed;

dd/ Reports on changes (if any) in the contents of specific treaties on ODA.

The forms of reports are provided in Article 3 of Decision No. 803/2007/QD-BKH.

4.2. Reports to donors shall be made as agreed upon in relevant treaties on ODA.

4.3. The Planning and Finance Department shall make consolidated reports on results of mobilization of ODA and non-governmental aid and reports on the implementation of programs and projects under its management according to current regulations.

Chapter VIII

ORGANIZATION OF IMPLEMENTATION

Article 23. Organization of implementation

1. The Ministry's leadership:

1.1. The Minister shall consider and approve the following contents related to programs, projects and non-project aid:

- Lists of programs and projects to be included in annual and five-year plans;

- Programs, projects and proposals for non-project aid;

1.2. The vice minister in charge of external affairs shall assist the Minister in directing the performance of external tasks in the process of attracting, managing and using of assistance sources; and give his/her opinions on assistance programs and projects before submitting them to the Minister.

1.3. Vice ministers in charge of specialized domains shall assist the Minister in directing and approving contents of programs, projects and non-assistance projects, participate in the negotiations and sign documents to be sent to donors in the process of implementation of programs, projects and non-project aid in the domains assigned by the Minister and give their opinions on contents falling within the Minister's competence before submitting them to the Minister for approval.

2. The Planning and Finance Department shall guide and examine the implementation of this Regulation.

3. Functional units under the Ministry of Labor, War Invalids and Social Affairs shall, within the ambit of their functions and tasks, guide relevant contents of this Regulation.

4. Units under the Ministry, project owners, project management units and concerned organizations and individuals shall implement this Regulation.

5. Provincial-level Labor, War Invalids and Social Affairs Services shall:

5.1. Assist provincial-level People's Committees in performing the state management functions and other tasks assigned by provincial-level People's Committees towards all programs, projects and non-project aid which are received by the Ministry and assigned to provinces or centrally run cities for implementation;

5.2. Guide and supervise preparatory committees, project owners and project management units on a periodical basis and upon the completion of programs, projects and non-project aid, sum up and report implementation results to provincial-level People's Committees and the Ministry of Labor, War Invalids and Social Affairs.