Thông tư 22/2015/TT-BKHDT

CIRCULAR

ON FORMATS OF REPORT ON INVESTMENT SUPERVISION AND ASSESSMENT

Pursuant to the Law on Public investment dated June 18, 2014;

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

Pursuant to the Law on Investment dated November 26, 2014;

Pursuant to the Government’s Decree No. 84/2015/ND-CP dated September 30, 2015 on supervision and assessment of investments;

Pursuant to the Government’s Decree No. 116/2008/ND-CP dated November 14, 2008 on functions, missions, authority and organizational structure of the Ministry of Planning and Investment;

Ministry of Planning and Investment regulates the following formats of report on investment supervision and assessment:

Article 1. Scope and regulated entities

1. Scope: This Circular regulates formats of report on investment supervision and assessment according to the Government’s Decree No. 84/2015/ND-CP dated September 30, 2015 on supervision and assessment of investments (not applicable to outward investment projects).

Report formats as defined in this Circular shall be applicable to projects that use ODA and concessional loans from foreign sponsors. Differences due to specific traits of such finances shall be governed by laws on use of ODA and concessional loans from foreign sponsors.

2. This Circular applies to organizations and individuals involved in the preparation of reports on investment supervision and assessment.

Article 2. Formats of report on investment supervision and assessment

1. Format of the report on general supervision and assessment of an investment on 6-month or annual basis:

Form No. 1: General supervision and assessment report on 6-month or annual basis

2. Formats of the reports on supervision and assessment of a state-funded investment project:

a) Form No. 02: Pre-construction supervision and assessment report;

b) Form No. 03: Report on supervision and assessment of the implementation of the investment project on quarterly, 6-month or annual basis;

c) Form No. 04: Report on supervision and assessment of modification to the investment  project;

d) Form No. 05: Report on supervision and assessment of investment finalization;

dd) Form No. 06: Report on regular supervision and assessment of project operation on 6-month or annual basis.

3. Formats of the reports on supervision and assessment of a project under public-private partnership (PPP):

a) Form No. 07: Pre-construction supervision and assessment report;

b) Form No. 08: Report on supervision and assessment of the implementation of the investment project on quarterly, 6-month or annual basis;

c) Report on supervision and assessment of modification to the investment project (Form No. 4: Report on supervision and assessment of modification to a state-funded investment project);

d) Form No. 09: Report on supervision and assessment of investment finalization (Pre-operation supervision and assessment report for projects in category C);

dd) Form No. 10: Report on regular supervision and assessment of project operation on 6-month or annual basis.

4. Formats of the reports on supervision and assessment of an investment project that uses other finances:

a) Form No. 11: Pre-construction supervision and assessment report (for the project that is not eligible for a certificate of investment registration);

b) Form No. 12: Report on supervision and assessment of the implementation of the investment project on 6-month or annual basis;

c) Form No. 13: Report of supervision and assessment of investment finalization (for the project that is not eligible for a certificate of investment registration);

d) Form No. 14: Report on regular supervision and assessment of project operation on 6-month or annual basis.

5. Formats of the reports on disbursement of a public investment:

a) Form No. 15: Report on disbursement of a public investment from a provincial State Treasury on quarterly, 6-month or annual basis

b) Form No. 16: Report on disbursement of a public investment from the Central State Treasury on quarterly, six-month or annual basis.

6. Format of the report on public supervision of an investment:

Form No. 17: Report by a Board for public supervision of an investment on 6-month or annual basis.

7. Projects that receive finances from various sources including state fund(s) shall use report formats and adhere to reporting regulations for state-funded projects. PPP projects shall use report formats as defined in Section 3 of this Article.

8. Words in italic format in the forms are hints for users of the forms to fill in actual information.

Article 3. Implementation

1. This Circular comes into force from the date that it is signed.

2. This Circular replaces the Circular No. 13/2010/TT-BKHDT dated June 02, 2010 by the Ministry of Planning and Investment on formats of report on investment supervision and assessment.

3. Ministries, ministerial-level agencies, governmental agencies, central agencies, People’s committees and entities concerned shall report difficulties to the Ministry of Planning and Investment for timely review and revision./.

Form No. 1 General supervision and assessment report on 6-month or annual basis

.... ... [place], ... ... ... [date]

GENERAL SUPERVISION AND ASSESSMENT REPORT

(6-month/ annual basis)

To: ………………………………………………….

I. PROMULGATION OF WRITTEN GUIDELINES WITHIN AUTHORITY FOR POLICIES AND LAWS ON INVESTMENT

- Indicate written guidelines that were issued in the reporting period (code, issue date and main excerpts of the guiding documents).

- Preliminary evaluation of the efficiency and effects of written guidelines issued on the management of investments.

II. SCHEME MANAGEMENT (specifying circumstances and results, achievements, failure, reasons and concerned organizations' responsibilities and obstacles originating from regulations and policies and solutions recommended).

1. Establishment, appraisal and approval of schemes within authority.

2. Management of the implementation of schemes according to regulations.

3. Major obstacles and solutions recommended

III. EXECUTION OF INVESTMENT PLANS (specifying the circumstances and results, achievements, failure, reasons and concerned organizations’ responsibilities, obstacles originating from policies and regulations, and solutions recommended).

- Summarization of figures on investment plans in the year;

- Implementation of investments in the period (value of amounts invested);

- Result of capital mobilization and disbursement in the period;

- Unsettlement of outstanding investments (if existing);

- Dissipation and loss of investments (if existing).

(Enclosed with Sheet 01)

IV. MANAGEMENT OF PUBLIC INVESTMENT PROGRAMS (specifying circumstances and results, achievements, failure, reasons and concerned organizations' responsibilities and obstacles originating from regulations and policies and solutions recommended).

1. Establishment, appraisal and endorsement of investment schemes.

2. Establishment, appraisal and approval of investment programs.

3. Implementation of programs.

a) Management of the implementation of programs: master and elaborate plans for the implementation of programs; execution and revision of plans for the implementation of programs;

b) Planning, appraisal and endorsement of investment projects in a program;

c) Implementation of programs: progress in the implementation of the programs' objectives, summarization of projects in each program, value of works performed;

d) Implementation of investments: mobilization and disbursement of finances for the programs, unsettled investments for infrastructure development;

dd) Capacities for implementation of the programs’ constituent projects and project owners’ abidance by regulations on investment management;

4. Major obstacles and solutions recommended.

(Enclosed with Sheet 02)

MANAGEMENT OF STATE CAPITAL INVESTMENT PROJECTS (specifying circumstances and results, achievements, failure, reasons and concerned organizations' responsibilities and obstacles originating from regulations and policies and solutions recommended).

1. Establishment, appraisal and endorsement of investment schemes.

2. Planning, appraisal and endorsement of investments.

3. Establishment, appraisal and endorsement of technical designs and estimates.

4. Project implementation:

a) Management of project implementation: master and elaborate plans for project implementation, execution and revision of plans;

b) Implementation of investment projects: progress, volume and value of works performed, quality of works, alterations during the advancement of the projects;

c) Execution of investment plans: mobilization of finances for the projects, disbursement (advances, retrieval of advances, payments); finalization of finances made to completed projects, any unsettled investments for infrastructure development and solutions;

d) Capacities for project implementation and compliance by project management boards and contractors with regulations on investment management;

dd) Difficulties and obstacles arising during the advancement of the projects and remedial actions within authority;

e) Recommendation of measures against difficulties and obstacles beyond authority.

5. Operation of completed projects.

6. Major obstacles and solutions recommended.

(Enclosed with Sheet 03)

VI. MANAGEMENT OF PUBLIC PRIVATE PARTNERSHIP PROJECTS (specifying circumstances and results, achievements, failure, reasons and concerned organizations' responsibilities and obstacles originating from regulations and policies and solutions recommended).

1. Establishment and announcement of projects;

2. Investor selection, negotiation, contracting and handling of procedures for certificates of investment registration;

3. Summarization of project contracts executed;

4. Adherence to regulations on certification of investment registration;

5. Compliance by contract parties with regulations on investment management during their execution of project contracts.

6. Operation of projects.

7. Difficulties and obstacles arising during the advancement of the projects and remedial actions within authority;

(Enclosed with Sheet 04)

VII. MANAGEMENT OF INVESTMENT PROJECTS UTILIZING OTHER SOURCES OF FINANCES (specifying circumstances and results, achievements, failure, reasons and concerned organizations' responsibilities and obstacles originating from regulations and policies and solutions recommended).

1. Fulfillment of application procedures for endorsement of investment schemes and certification of investment registration and business registration (if existing).

2. Project progress and advancement of projects’ goals.

3. Progress of financing for investment capital, charter capital and legal capital (for business lines with required level of legal capital).

4. Operation of projects: business result, employee information, payments to the state budget, investments in research and development, corporate finance and specialized targets pertinent to the fields of operation.

5. Fulfillment of requirements for environment protection, use of land and natural resources as per regulations.

6. Enforcement of stipulations in decisions on investment schemes and certificates of investment registration (if existing).

7. Satisfaction of business requirements for projects involved in conditional business lines.

8. Application of investment incentives (if available).

9. Obstacles and solutions recommended.

(Enclosed with Sheet 05)

VIII. INVESTMENT SUPERVISION AND ASSESSMENT BY INVESTORS AND GOVERNMENT AUTHORITIES (specifying the circumstances and results, achievements, failure, reasons and concerned organizations’ responsibilities, obstacles originating from policies and regulations, and solutions recommended).

1. Adherence to reporting regulations.

2. Evaluation of the quality of reports.

3. Results of the inspection and assessment of investment projects in the period.

- Quantity of projects inspected and accomplished according to plan (with the list of investment projects endorsed by competent individuals and inspected by government authorities);

- Quantity of projects assessed and accomplished according to plan (with the list of projects assessed by type);

- Prominent revelations derived from project inspection and assessment.

4. Plans for inspection and assessment of investment projects in the subsequent period (with the list of projects to be inspected and assessed).

5. General evaluation of activities of investment supervision and assessment in the period.

6. Remedial actions resulting from investment supervision and assessment.

7. Major obstacles and solutions recommended.

IX. PUBLIC SUPERVISION OF INVESTMENTS (specifying the circumstances and results, achievements, failure, reasons and concerned organizations’ responsibilities, obstacles originating from policies and regulations, and solutions recommended).

1. Circumstances regarding public supervision of investments: Training and ability enhancement activities, organizational structure, expenditure, number of projects supervised, etc.

2. Fatherland front committees' adherence to reporting regulations.

3. Evaluation of the quality of reports.

4. Salient findings through public supervision of investments:

a) Compliance of decisions on investment schemes and investing with plans for economic - social development, land use, relevant affairs and investments in communal areas as per the laws;

b) Investors' abidance by regulations on: land mark and land use, elaborate site planning, architectural planning, construction planning, waste treatment, environment protection, ground clearance and compensation, resettlement planning, progress and planning of investment;

c) Violations of public interests, adverse impacts of projects on the environment during their investment and operation.

d) Exposure of activities that dissipate or cause loss of the projects' finances and assets.

dd) Demonstration of openness and transparency in investment activities.

5. Actions resulting from public supervision of investment.

6. Obstacles and solutions recommended.

(Enclosed with Sheet 05)

(People’s committees shall report the public supervision of investments on annual basis)

IX. RECOMMENDATIONS

1. Revisions to operational mechanism and policies of the Government, Ministries and agencies.

2. Recommendations on organization and implementation.

Sheet 01

Execution of investment plans in the reporting period

Currency unit: billion dongs

Appendix 02

Summarization of public investment programs (as reported by owners of investment programs or constituent projects or main investors)

Note:

1. NTP: National target program.

2. TP: Target programs as directed by the Government.

3. LTP: Target programs as directed by local governments.

Sheet 03

Supervision and assessment of state funded projects

Note: A*: projects in group A or higher (including vital national projects)

Sheet 04

Supervision and assessment of PPP projects in the period

Sheet 05

Supervision of investment projects funded by other sources

Note: (1): Projects endorsed by the Prime Minister with regard to investment schemes or at higher stage; (2): Projects schemed by local authorities; (3): Projects not requiring approval of investment schemes.

Sheet 06

Summarization of public supervision of investments
Name of the local area: (commune/ district/ province)
for the year of …

Form No. 02. Pre-construction supervision and assessment report for state-funded projects

PRE-CONSTRUCTION SUPERVISION AND ASSESSMENT REPORT

Name of the project: …………………..

To: ………………………………………………………………..

I. PROJECT DESCRIPTION

1. Name of the project:

2. Main investor:

3. Project consultant:

4. Project objectives:

5. Scale, capacity:

6. Main investment / main investment items:

7. Project location:

8. Land area in use:

9. Model of project management:

10. Project timeline:

- Number and issue date of the investment decision:

- Project duration:

+ Starting time:

+ Ending time:

11. Total level of investment:

12. Source of investment:

II. PROJECT PREPARATION:

1. Status and feasibility of the investment plan of the project:

a) The medium-term and annual plan for capital:

- On medium term:

- On annual basis:

b) Capacities of fund mobilization and attainment:

- On medium term:

- On annual basis:

4. Preparation of the project:

a) Architectural design, ground clearance and resettlement, selection of the consultant and the building contractor: with regard to the plan, progress, quality and legal compliance, etc.

b) Preparation assessment and expected time for commencement of construction works:

3. Project management:

3.1 Implementation plan: (Describe the general plan for each phase of project management to follow the schedule required)

3.2. Plan for management of project implementation: (Specify details of each phase of works concerning the management of project implementation)

3.3. Assurance of quality and effect of project management:

3.4. Contact for project supervision and assessment: Individuals to be assigned, their address and telephone number.

4. Difficulties:

III. RECOMMENDATIONS:

Recommend measures against any difficulties to the individual competent to grant the investment decision or the competent authorities./.

Form No. 03. Report on regular supervision and assessment of investment realization for state-funded investment projects

REPORT ON SUPERVISION AND ASSESSMENT OF INVESTMENT REALIZATION
(On quarterly/ 6-month/ annual basis)
Name of the project: …………………..

To: …………………………………………

I. PROJECT DESCRIPTION

Indicate the content as defined in Part I of Form No. 02.

(The project shall only be described once in the initial reporting period after the issuance of the investment decision or shall be re-described upon modification to the project with regard to the project description)

II. PROJECT IMPLEMENTATION

1. Implementation of the project:

1.1. Progress of project implementation: (Architectural design, ground clearance and resettlement, bidding, contract implementation, etc.).

1.2. Value of works performed according to the contract progress:

1.3. Capital management and disbursement summary:

1.4. Quality of works attained: (Describe the quality of works attained according to the value of works accepted and paid in each phase).

1.5. Other expenses related to the project:

1.6. Incidents related to project implementation:

2. Project management:

2.1 Implementation plan: (Describe the general plan for each phase of project management to follow the schedule required)

2.2. Plan for management of project implementation: (Specify details of each phase of works concerning the management of project implementation)

2.3. Achievements compared with the plan and modification to the plan according to requirements:

2.4. Assurance of the quality and effect of project management:

3. Handling of information and response:

3.1. Assurance of report quality: (Accuracy and integrity of reports)

3.2. Handling of reports: (Handle information reported in timely manner upon receipt of the report to provide timely response and prevent adverse consequences against the project).

3.3. Result of settlement of difficulties: (Indicate achievements by settling difficulties during project implementation).

III. SELF-EVALUATION OF PROJECT RESULT

1. Project implementation:

2. Project management:

3. Handling of information and response:

IV. RECOMMENDATION

Recommend measures against any difficulties to the individual competent to grant the investment decision or the competent authorities./.

(Enclosed with Sheet 07)

Sheet 07

PROJECT IMPLEMENTATION

Form No. 04. Report on supervision and assessment of modification to state-funded investment projects

REPORT OF SUPERVISION AND ASSESSMENT OF MODIFICATION TO THE INVESTMENT PROJECT

Name of the project: ………………..

To: ……………………………………….

I. PROJECT DESCRIPTION

Indicate the content as defined in Part I of Form No. 02.

II. PROJECT IMPLEMENTATION

Detailed report on the entire process of project implementation until the application for modification to the project (e.g. load and value of works performed and amounts disbursed for each investment item, etc.)

III. CONTENT AND REASONS OF PROJECT MODIFICATION

- Indicate main details of the modification to the project and project components modified

- Elucidate reasons, causes and parties’ responsibilities concerning the modification to the project (during the phases of establishment, verification, approval and implementation of the project).

IV. RE-EVALUATION OF EFFECTS OF THE MODIFIED PROJECT

V. RECOMMENDATION

Recommend measures against any difficulties to the individual competent to grant the investment decision or the competent authorities./.

Form No. 05. Report on supervision and assessment of finalization of state-funded investment projects

REPORT ON SUPERVISION AND ASSESSMENT OF INVESTMENT FINALIZATION

Name of the project: ……………………..

To: …………………………………….

I. PROJECT DESCRIPTION

Indicate the content as defined in Part I of Form No. 02.

II. CONTENT OF EVALUATION

1. Summary of the entire process of project implementation: Brief description of project implementation from preparation to finalization.

2. Summary of achievements of the project:

2.1. Result of implementation of items approved: Elucidate the result and level of attainment of items approved: objectives, scale, total level of investment, progress, quality, etc.

2.2. Result of realization of investments: Compare the total level of investment as per the investment decision with the total actual amount spent and disbursed; any essential modification to the project's total level of investment; influential factors.

2.3. Factors influencing the result of project implementation

2.4. Basic description of economic and social effects compared with the project's objectives

2.5. Influence and sustainability of the project: Indicate factors that influence, sustain and uphold the efficiency of the project.

3. Lesson(s) acquired from actual project implementation and responsibilities of entities concerned.

III. RECOMMENDATION

Indicate recommendations that uphold efficiency and sustainability of the project or curtail its limitations.

Form No. 06. Report on regular supervision and assessment of the operation of state-funded investment projects

REPORT ON SUPERVISION AND ASSESSMENT OF PROJECT OPERATION

(6 months/ year of …)

Name of the project: ……………………..

To: ……………………………………………..

I. PROJECT DESCRIPTION

Indicate the content as defined in Part I of Form No. 02 only once in the initial reporting period upon the operation of the project.

II. PROJECT OPERATION

1. Economic, technical and operational conditions of the project (specify and compare the project's economic, technical and operational conditions with the targets approved upon the realization of investments).

2. Sustainability, any difficulties and obstacles.

3. Production and trading (for business investment projects):

- Employment (quantity and qualification of employees) until the time of reporting.

- Realization of benefits for employees (salary, insurance, allowance, social welfare, etc.)

- Payment of taxes and duties (amounts paid in the reporting period, accumulated amounts until the time of reporting, amounts payable, reasons of deferral of payments)

- Profit (amounts attained in the reporting period, accumulated amounts until the time of reporting).

III. RECOMMENDATION

Recommend measures against any difficulties to the individual competent to grant the investment decision or the competent authorities./.

Form No. 07. Pre-construction supervision and assessment report for investment projects under public-private partnership

REPORT ON SUPERVISION AND ASSESSMENT OF INVESTMENT REALIZATION

Name of the project: ……………………..

To: ………………………………..

I. PROJECT DESCRIPTION

1. Name of the project:

2. Investor:

3. Competent government authority:

4. Project consultant:

5. Objectives and scale:

6. Main investment / main investment items:

7. Project location:

8. Land area used:

9. Type of contract:

10. Project timeline:

- Project duration:

+ Starting time:

+ Ending time of the investment phase followed by project operation:

- Expected time of transfer:

11. Investment decision: number and issue date of the decision and name of the approval-granting agency

12. Certificate of investment registration: number and issue date of the certificate and name of the certifying agency.

13. Total level of investment:

14. Structure of investment sources:

- State fund;

- Total investment capital (owner’s equity, loan);

15. Financial scheme:

16. Profile of the project enterprise:

- Name of the enterprise:

- Certificate of enterprise registration (number, issue date, name of the certifying agency):

- Charter capital:

- Legal representative:

II. PROJECT PREPARATION

1. Mobilization of capital for the project:

- Contribution to owner’s equity:

- Loan:

- Mobilization of other legitimate finances (if any):

2. Preparation of the project:

a) Architectural design, ground clearance and resettlement, selection of the consultant and the building contractor: with regard to the plan, progress, quality and legal compliance, etc.

b) Preparation assessment and expected time for commencement of construction works:

3. Project management:

3.1 Implementation plan: (Describe the general plan for each phase of project management to follow the schedule required)

3.2. Assurance of the quality and effect of project management:

3.3. Contact for project supervision and assessment: individuals to be assigned, their address and telephone number.

4. Difficulties (if any):

III. RECOMMENDATION

Recommend measures against any difficulties to the individual competent to grant the investment decision or the competent authorities./.

Form No. 08. Report on regular supervision and assessment of investment realization for investment projects under public-private partnership

REPORT ON SUPERVISION AND ASSESSMENT OF INVESTMENT REALIZATION

(On quarterly/6-month/annual basis)

Name of the project: …………………………..

To: ……………………………………………………………

I. PROJECT DESCRIPTION

Indicate the content as defined in Part I of Form No. 07.

(The information in this part is only provided in the initial reporting period upon the commencement of construction works or upon the issuance of decision(s) on modification to the project, the contract or the certificate of investment registration, leading to changes of the project’s information).

II. PROJECT IMPLEMENTATION

1. Progress of project implementation (indicate the result of implementation of main works of the project, estimated volume of works performed in the period, accumulated volume of works from the start of the year and the project in comparison with the plan).

2. Mobilization of capital for the project (indicate the result of mobilization of capital in the period by sources of finances (owner’s equity, loan, legitimate finances mobilized and state fund for project implementation) and accumulated amounts from the start of the year and the project in comparison with the plan).

3. Disbursement (describe the disbursement of investments in the period, accumulated amounts disbursed from the start of the year and the project by source of finances in comparison with the plan).

4. Fulfillment of requirements for environment protection, use of land and natural resources.

5. Implementation of contents in the Certificate of investment registration.

6. Difficulties during project implementation (if any)

III. RECOMMENDATION

Recommend measures against difficulties to competent agencies./.

Form No. 09: Report on supervision and assessment of investment finalization (Pre-operation supervision and assessment report for projects in category C) for investment projects under public-private partnership

REPORT ON SUPERVISION AND ASSESSMENT OF INVESTMENT FINALIZATION

Name of the project: ……………………………..

To: ………………………………………………….

I. PROJECT DESCRIPTION

Indicate the content as defined in Part I of Form No. 07.

II. CONTENT OF EVALUATION

Summary of the entire process of project implementation:

Brief description of project implementation from preparation to finalization.

2. Summary of achievements of the project:

2.1. Result of implementation of contents defined in the Certificate of investment registration or the Project contract (specify the result and level of attainment of contents stated in the Certificate of investment registration: objectives, scale, total level of investment, progress, quality, etc.)

2.2. Result of investment realization (Compare the total investment capital as stated in the Certificate of investment registration with the total amount disbursed; any modification to the total level of investment, factors influencing the result of disbursement).

2.3. Factors influencing the result of project implementation

2.4. Basic description of economic and social effects compared with the project's objectives

2.5. Effect and sustainability of the project:

3. Lesson(s) acquired from actual project implementation and responsibilities of entities concerned.

III. RECOMMENDATION

Indicate recommendations that uphold efficiency and sustainability of the project or curtail its limitations.

Form No. 10. Report on regular supervision and assessment of the operation of investment projects under public-private partnership

REPORT ON SUPERVISION AND ASSESSMENT OF PROJECT OPERATION

Name of the project: …

To: …………………………………………………….

I. PROJECT DESCRIPTION

Indicate the content as defined in Part I of Form No. 07 only once in the initial reporting period upon the operation of the project.

II. PROJECT OPERATION

1. Economic, technical and operational conditions of the project (specify and compare the project's economic, technical and operational conditions with the targets approved upon the realization of investments).

2. Business situations of the project enterprise:

- Employment (quantity and qualification of employees) until the time of reporting.

- Realization of benefits for employees (salary, insurance, allowance, social welfare, etc.)

- Payment of taxes and duties (amounts paid in the reporting period, accumulated amounts until the time of reporting, amounts payable, reasons of deferral of payments)

- Annual turnover, accumulated turnover until the time of reporting, repayment of liabilities concerning owner’s equity, loans and other relevant values in comparison with financial plan as stated in the signed contract.

- Profit (amounts attained in the reporting period, accumulated amounts until the time of reporting).

- Basic information on corporate finance (short-term debt, long-term debt, relevant details, analysis and comparison of such details with those of the reporting period immediately preceding this period).

3. Difficulties (if any)

III. RECOMMENDATION

Recommend measures against any difficulties to the individual competent to grant the investment decision or the competent authorities./.

Form No. 11. Pre-construction supervision and assessment report for investment projects that use finances from other sources

REPORT ON SUPERVISION AND ASSESSMENT OF INVESTMENT REALIZATION

Name of the project: …

To: ………………………………………………….

I. PROJECT DESCRIPTION

1. Investor:

a) First investor:

- Name of the investor:

- Main business address, telephone, email, etc.:

- Value and ratio of capital contribution:

b) Other investors:

- Name of the investor:

- Main business address, telephone, email, etc.:

- Value and ratio of capital contribution:

2. Economic organization (project enterprise):

- Name of the enterprise:

- Business contact information (corporate address, telephone, email, etc.):

- Business registration certificate (number, issue date, issuing place):

- Legal representative:

- Charter capital:

- Legal capital (if applicable):

3. Investment project:

- Name of the project:

- Location:

- Decision on the investment proposal/ Certificate of investment registration (if available):

- Land area used:

- Objectives and scale:

- Total level of investment and source of finances:

- Duration and progress of the project:

- Incentives, supports and their conditions (if available):

- Requirements for investors of the project (if any):

II. PROJECT PREPARATION

1. Mobilization of capital for the project:

- Contribution to owner’s equity:

- Loan:

- Mobilization of other legitimate finances (if any):

2. Preparation of the project:

a) Fulfillment of formalities for land allocation, land return, land lease or land conversion as per the laws on land (if the project receives land(s) from the government, returns or leases land(s) or has land conversion approved);

b) Ground clearance and resettlement (if applicable);

c) Fulfillment of construction and environment formalities as per the laws on construction and environment (if applicable).

3. Difficulties (if any):

III. RECOMMENDATION

Recommend measures against difficulties to competent agencies./.

Form No. 12. Report on regular supervision and assessment of investment realization for investment projects that use finances from other sources

REPORT ON SUPERVISION AND ASSESSMENT OF INVESTMENT REALIZATION

(6 months/ year of …)

Name of the project: …………………………

To: ………………………………………………………..

I. PROJECT DESCRIPTION

Indicate the content as defined in Part I of Form No. 12.

(The information in this part is only provided in the initial reporting period upon the commencement of construction works or upon the modification to the project, which leads to changes of the project’s information).

II. PROJECT IMPLEMENTATION

1. Project progress and advancement of projects’ goals.

- Progress of project preparation:

- Progress of ground clearance (if applicable):

- Progress of infrastructural development (if applicable):

- Progress of procurement and installation of machinery and equipment and test run (if applicable):

- Progress of implementation of investment items and phases (if applicable):

- Progress of activities concerning production, trading and service provision:

- Progress of implementation of investment objectives:

2. Progress of capital contribution, charter capital, legal capital (if applicable):

a) Progress of capital contribution:

b) Source of finances:

3. Compliance with relevant regulations:

- Use of land and natural resources:

- Environment protection and fire prevention:

- Satisfaction of business requirements for projects involved in conditional business lines:

- Compliance to regulations as stated in decision(s) on the investment proposal and in the Certificate of investment registration (if applicable).

4. Realization of investment incentives (if available).

5. Difficulties (if any).

III. RECOMMENDATION

Recommend measures against difficulties to competent agencies./.

Form No. 13: Pre-operation supervision and assessment report (if the project is not eligible for a certificate of investment registration) for investment projects that use finances from other sources

REPORT ON SUPERVISION AND ASSESSMENT OF INVESTMENT FINALIZATION

Name of the project: ………………………

To: …………………………………………………….

I. PROJECT DESCRIPTION

Indicate the content as defined in Part I of Form No. 12.

II. CONTENT OF EVALUATION

1. Evaluation of the result of objectives (evaluate results compared with the plan; indicate difficulties during project implementation, which lead to failure of objectives planned except for business objectives):

- Objectives concerning the establishment of the project or enterprise:

- Objectives concerning the scale;

- Other objectives.

2. Evaluation of the result of mobilization of resources (evaluate results compared with the plan; indicate difficulties during project implementation, which lead to failure of objectives planned):

- Financial resource (owner’s equity, loan and other resources, purchase of machinery and equipment on deferred payment):

- Source of materials:

- Land and natural resources:

- Labor, knowledge, technology:

- Infrastructure: electricity, water, traffic, etc.

- Other resources.

3. Evaluation of the progress of project implementation (evaluate results compared with the plan; indicate difficulties during project implementation, which lead to failure of objectives planned): In particular, obstacles from regulations, administrative formalities ... or cooperation of the investor and supervisory agencies or cooperation of state management authorities):

- Progress of project preparation:

- Progress of ground clearance:

- Progress of construction:

- Progress of procurement and installation of machinery and equipment and test run:

- Progress of capital mobilization

4. Evaluation of benefits from the project (indicate benefits that the project produces during its implementation and anticipate benefits that the project generates from business activities).

III. RECOMMENDATION

Recommend measures against difficulties to competent government agencies./.

Form No. 14. Report on regular supervision and assessment of the operation of investment projects that use finances from other sources

REPORT ON SUPERVISION AND ASSESSMENT OF PROJECT OPERATION

(6 months/ year of …)

Name of the project: …………………………..

To: ………………………………………………….

I. PROJECT DESCRIPTION

Indicate the content as defined in Part I of Form No. 12 only once in the initial reporting period upon the operation of the project.

II. PROJECT OPERATION

1. Business situations:

- Employment (quantity and qualification of employees) at the time of reporting.

- Realization of benefits for employees (salary, insurance, allowance, social welfare, etc.)

- Payment of taxes and duties (amounts paid in the reporting period, accumulated amounts until the time of reporting, amounts payable, reasons of deferral of payments)

- Profit (amounts attained in the reporting period, accumulated amounts until the time of reporting).

- Basic information on corporate finance (short-term debt, long-term debt, relevant details, analysis and comparison of such details with those of the reporting period immediately preceding this period).

2. Compliance with relevant regulations:

- Use of land and natural resources:

- Environment protection and fire prevention:

- Satisfaction of business requirements for projects involved in conditional business lines.

- Compliance to regulations as stated in decision(s) on the investment proposal and in the Certificate of investment registration (if applicable).

3. Realization of investment incentives (if available).

4. Difficulties (if any)

III. RECOMMENDATION

Recommend measures against difficulties to competent government agencies./.

Form No. 15. Report by the provincial State Treasury on disbursement for local investment projects that use public fund.

REPORT ON DISBURSEMENT OF PUBLIC INVESTMENT

(On quarterly/6-month/annual basis)

To: …………………………………………………………

I. DISBURSEMENT OF PUBLIC INVESTMENT

1. Disbursement for public investment programs:

- Total number of local programs that use public investments:

- Total number of programs to which investments have been disbursed in the period:

- Total value and ratio of investments disbursed in the period compared with the plan

+ From the Central government budget:

+ From the local government budget:

+ ODA:

+ From government bonds:

+ Other public investments:

2. Disbursement for investment projects that use public fund:

- Total number of local investment projects that use public fund:

- Total number of projects to which public investments have been disbursed in the period:

- Total value and ratio of investments disbursed in the period compared with the plan

+ From the Central government budget:

+ From the local government budget:

+ ODA:

+ From government bonds:

+ Other public investments:

3. Difficulties regarding disbursement of investments (if any).

II. RECOMMENDATION:

(Enclosed with Sheet 08)

Sheet 08. Disbursement for investment projects that use public fund