CIRCULAR No CIRCULAR No. 06/2001/TT-BKH OF SEPTEMBER 20, 2001 GUIDING THE IMPLEMENTATION OF THE REGULATION ON THE MANAGEMENT AND USE OF OFFICIAL DEVELOPMENT ASSISTANCE (Issued together with the Government�s Decree No. 17/2001/ND-CP of May 4, 2001) Pursuant to the Government�s Decree No. 75/CP of November 1, 1995 on the functions, tasks, powers and organizational apparatus of the Ministry of Planning and Investment; In furtherance of Article 4 of the Government�s Decree No. 17/2001/ND-CP of May 4, 2001 issuing the Regulation on the management and use of official development assistance (hereinafter referred to as the Regulation for short). The Ministry of Planning and Investment hereby guides the implementation of the Government�s Decree No. 17/2001/ND-CP of May 4, 2001 issuing the Regulation on the management and use of official development assistance as follows: I. GENERAL PROVISIONS 1. Scope of regulation The Regulation on the management and use of official development assistance (ODA) regulates activities of attracting, managing and using this resource which is provided by the following donors and in the following forms: 1.1. ODA-providing donors include: 1.1.1. Foreign governments; 1.1.2. Inter-governmental or inter-state organizations, including: a/ Development organizations of the United Nations (UN) such as: The United Nations Development Program (UNDP); the United Nations Children�s Fund (UNICEF); the World Food Program (WFP), the United Nations Food and Agriculture Organization (FAO); the United Nations Fund for Population Activities (UNFPA); the United Nations Development Capital Fund (UNDCF); the United Nations Industrial Development Organization (UNIDO); the United Nations High Commissioner for Refugees (UNHCR); the World Health Organization (WHO); the International Atomic Energy Agency (IAEA); the United Nations Educational, Scientific and Cultural Organization (UNESCO); the International Fund for Agricultural Development (IFAD); the International Monetary Fund (IMF); the International Development Association (IDA) and the International Bank for Reconstruction and Development (IBRD) under the World Bank (WB) group. b/ The European Union (EU), the Organization for Economic Cooperation and Development (OECD), the Association of South-East Asian Nations (ASEAN). c/ International financial organizations: The Asian Development Bank (ADB); the Organization of Petroleum Exporting Countries (OPEC); the Northern Europe Investment Bank (NIB); the Northern Europe Development Fund (NDF); the Kuwait Fund. 1.2. Forms of ODA provision include: 1.2.1. Non-refundable ODA, which is the ODA not to be refunded to the donors. 1.2.2. Preferential ODA loans (also called preferential credit), which are borrowed by the Vietnamese Government at concessional interest rates and under preferential conditions with the "non-refundable component" (also called "support component") accounting for at least 25% of the total value of each loan. 1.2.3. Mixed ODA, which are non-refundable aid amounts or preferential loans provided simultaneously together with commercial credit amounts with the "non-refundable component" accounting for at least 25% of the total value of these amounts. The method of calculating the "non-refundable component" is provide for in Appendix I to this Circular (not printed herewith). 1.3. The activities of attracting, managing and using loans with a support component of under 25% from international financial organizations, including loans from the International Monetary Fund (IMF), loans from the International Bank for Reconstruction and Development (IBRD) under the WB, and the Ordinary Capital Resource Fund (OCR) under the ADB, also fall under the governance scope of the Regulation and this Circular. 2. Priority domains for ODA use: Support with ODA loans for a number of manufacturing domains in order to solve socio-economic problems mentioned at Point e, Clause 2, Article 3 of the Regulation is construed as production and business programs and projects which primarily aim to support the solution of a particular social matter such as job creation, increase of incomes for the poor, tackling of social vices, etc. II. MOBILIZATION, NEGOTIATION, CONCLUSION OF INTERNATIONAL FRAMEWORK AGREEMENTS ON ODA 1. Lists of priority programs and projects for ODA mobilization at the annual conferences of donors� consulting group (CG conferences). 1.1. In the first week of August every year, the Ministry of Planning and Investment shall send written guidance to the managing agencies on how to prepare lists of programs and projects for selection and incorporation in the lists of priority programs and projects for ODA mobilization to be presented at the annual CG conferences. 1.2. Prior to the end of September every year, the managing agencies shall send to the Ministry of Planning and Investment the lists of priority programs and projects for ODA mobilization at the CG conferences. The outline of each program or project shall be made according to the set form. 2. Coordination in ODA mobilization The coordination in ODA mobilization provided for in Article 8 of the Regulation is guided as follows: 2.1. Branch-based ODA coordination meetings The branch-based ODA coordination meetings (called the branch-based ODA meetings for short) are organized to promote the mobilization and ensure the efficient use of ODA according to the approach to each branch or field in line with the national socio-economic development strategy, the development strategy and planning of each branch and the five-year plan of each branch or field. The branch-based ODA meetings must be conducted according to the State�s current regulations on organization of international meetings and seminars under the Prime Minister�s Decision No. 122/2001/QD-TTg of August 21, 2001. 2.1.1. The ministerial-level agencies and branches shall assume the prime responsibility for preparing and organizing branch-based ODA meetings. The Ministry of Planning and Investment shall coordinate with them in preparing for and co-preside over, such meetings. 2.1.2. Preparation for branch-based ODA meetings: - At least 30 working days before the expected opening of a meeting, the ministerial or branch-level agency organizing such meeting shall send a written request to the Ministry of Planning and Investment regarding the organization of the meeting, attaching therewith a plan on coordination in organizing the meeting. - Within 10 working days after receiving the written request of the ministerial-level agency or branch, the Ministry of Planning and Investment shall issue a written reply, clearly stating its opinions on the meeting and the plan for coordination in organizing the meeting. - At least 10 working days before the expected opening of the meeting, the ministerial-level agency or branch with the prime responsibility for organizing the meeting shall consult with the Ministry of Planning and Investment on the contents of the documents to be prepared and presented by the Vietnamese side at the meeting. 2.2. Territory-based ODA mobilization meetings Territory-based ODA mobilization meetings are organized to increase the opportunity to attract ODA for socio-economic development of one or several provincial-level units. The contents of provincial-level ODA mobilization must be in line with the five-year socio-economic development strategy, planning and plan of each province or territory. The organization of territory-based ODA mobilization meetings shall comply with the State�s current regulations on the organization of international meetings and seminars in the Prime Minister�s Decision No. 122/2001/QD-TTg of August 21, 2001. The Ministry of Planning and Investment shall have the responsibility to guide the organization of territory-based ODA mobilization meetings. 2.2.1. Presidency over territory-based ODA mobilization meetings - For a meeting on mobilization of ODA for a single territory consisting of two or more provincial-level units, it shall be presided over by the Ministry of Planning and Investment. - For a meeting on ODA mobilization for a single province or city, it shall be presided over by the provincial/municipal People�s Committee. 2.2.2. Preparation for territory-based ODA mobilization meetings: a/ For provincial-level ODA mobilization meetings presided over by the provincial/municipal People�s Committees: - At least 30 working days before the expected opening of a meeting, the provincial/municipal People�s Committee shall send a written request to the Ministry of Planning and Investment for the organization of the meeting, attaching therewith a meeting-preparation plan. - Within 10 working days after receiving the written request of the provincial/municipal People�s Committee, the Ministry of Planning and Investment shall issue a written guidance on the organization of the meeting. - At least 10 working days before the expected opening of the meeting, the provincial/municipal People�s Committee with the prime responsibility for organizing the meeting shall consult with the Ministry of Planning and Investment on the contents of the documents to be prepared and presented by the Vietnamese side at the meeting. b/ For territory-based ODA mobilization meetings presided over by the Ministry of Planning and Investment: - At least 30 working days before the expected opening of a meeting, the Ministry of Planning and Investment shall send written requests to the concerned provincial/municipal People�s Committees for the latter�s coordination in organizing the meeting, attaching therewith the plan for organizing the meeting. - Within 10 working days after receiving the written requests of the Ministry of Planning and Investment, the concerned provincial/municipal People�s Committees shall issue written replies, clearly stating their opinions on the meeting and their respective plans for coordination. 2.3. Contents of the meeting preparation plan include: the meeting�s purposes; the meeting�s results to be obtained; the meeting contents, the participants; the meeting�s time and venue; the meeting agenda; outlines of materials and documents to be handed out at the meeting; the funding for organizing the meeting; necessary activities in preparation for the meeting; and their implementation timetable; and assignment of preparatory work (expected presiding agency(ies) and coordinating agency(ies)). 2.4. Reporting on the meeting results: Within 20 working days after the end of a branch-based ODA meeting or provincial-level ODA mobilization meeting, the ministerial-level agency or provincial/municipal People�s Committee, which has assumed the prime responsibility for organizing such meeting, shall send to the Ministry of Planning and Investment a report on the meeting results, clearly stating the meeting�s proceedings and results against the set objectives, agreements already reached, matters (if any) on which the parties still have divergent opinions and proposed solutions thereto. For a territory-based ODA mobilization meeting presided over by the Ministry of Planning and Investment, the Ministry of Planning and Investment shall, also within the above-said time-limit, issue written notices on the meeting�s results to the concerned provinces. 2.5. ODA mobilization by Vietnam�s overseas diplomatic missions 2.5.1. Vietnam�s overseas diplomatic missions shall mobilize ODA in line with the strategy, planning and plan on ODA attraction and use, the lists of priority programs and projects for ODA mobilization publicized at CG Conferences and by corresponding donors. 2.5.2. The Ministry of Planning and Investment shall supply documents on the strategy, planning and plans on ODA attraction and use, the lists of priority programs and projects for ODA mobilization, legal documents on ODA, annual reports on ODA and relevant information at the requests of the Ministry for Foreign Affairs and Vietnam�s overseas diplomatic missions for carrying out ODA mobilization activities. 2.5.3. The Ministry for Foreign Affairs and Vietnam�s overseas diplomatic missions shall notify in time the Ministry of Planning and Investment of ODA-related information for coordination in the mobilization work. 3. Lists of ODA programs and projects for corresponding donors 3.1. Lists of ODA programs and projects for corresponding donors include one or several programs and/or projects selected and arranged in the priority order which the Prime Minister has considered, approved and permitted the calling of ODA from donors for their implementation. 3.2. For each particular donor, on the basis of the ODA provision mechanism agreed with the donor, the Ministry of Planning and Investment shall issue a separate guidance on the mode and tempo of listing ODA programs and projects calling for financial support. The Ministry of Planning and Investment shall sum up and arrange the lists of ODA programs and projects calling for financial support and submit them to the Prime Minister for consideration and approval based on: - The lists of priority programs and projects for ODA mobilization at CG Conferences; - ODA programs and projects proposed by the managing agencies; - ODA programs and projects proposed by the donors. 3.3. ODA programs and projects which are proposed to be included in the lists must be prepared according to the detailed outline form. 3.4. According to the schedule for each particular donor as guided by the Ministry of Planning and Investment, the managing agencies shall send the Ministry of Planning and Investment the program and/or project outlines together with their written proposals and 08 document sets in Vietnamese and English also as guided by the Ministry of Planning and Investment. 3.5. Within 15 working days after the end of the time limit for the managing agencies to send their written proposals as guided by the Ministry of Planning and Investment at Point 3.4, Section II of this Circular, the Ministry of Planning and Investment shall send a draft list of programs and projects for submission to the Prime Minister together with their outlines to the Government Office, the Ministry for Foreign Affairs, the Ministry of Finance and concerned functional agencies for the latter�s comments. 3.6. After studying and summing up the opinions of the Government Office, the Ministry of Finance, the Ministry for Foreign Affairs and concerned functional agencies, the Ministry of Planning and Investment shall make a general list of programs and projects calling for ODA from the corresponding donors and submit it to the Prime Minister for consideration and approval. 4 . ODA amounts provided by the donors for separate programs or projects mentioned in Clause 6, Article 9 of the Regulation are construed as falling in one of the following forms: - ODA amounts which the donors have agreed to provide but are not on the lists of ODA programs and projects for the corresponding donors, already approved by the Prime Minister. - ODA amounts which the donors have agreed to provide but such donors have no practice of pledging with Vietnam through international framework agreements. These are peculiar cases and dealt with as follows: a/ For programs and projects falling under the approving competence of the managing agencies, the Ministry of Planning and Investment shall consult with the concerned agencies and submit them to the Prime Minister for consent on their reception and assignment to the managing agencies for approval thereof. b/ For programs and projects falling under the approving competence of the Prime Minister, the Ministry of Planning and Investment shall appraise them before submitting them to the Prime Minister for approval according to the provisions of the Government�s Decree No. 17/2001/ND-CP of May 4, 2001 on the ODA management and use. III. PREPARATION, APPRAISAL AND APPROVAL OF THE CONTENTS OF ODA PROGRAMS AND PROJECTS 1. ODA program or project preparation plans Within 30 working days after the issuance of decisions on setting up Program or Project Preparation Boards, the chairmen of the Boards shall have to submit the ODA program or project preparation plans to the managing agencies or project owners for approval. 2. Appraisal of technical support ODA programs and projects The appraisal of technical support ODA programs or projects that fall under the approving competence of the Prime Minister as stated in Clause 5, Article 19 of the Regulation is guided as follows: 2.1. The Ministry of Planning and Investment is the agency assuming the prime responsibility for organizing the appraisal. 2.2. The concerned agencies shall be invited by the Ministry of Planning and Investment to participate in appraising technical support programs and projects on the basis of their functions of performing the State management over ODA as stated in Articles 37, 38, 39, 40, 41, 42, 43, 44 and 45 of the Government�s Decree No. 17/2001/ND-CP of May 4, 2001 on the ODA management and use as well as the nature of each specific program or project. These agencies shall be responsible before law for their contributed opinions on the technical support programs or projects. 2.3. Preparation for appraisal of technical support programs and projects: 2.3.1. Dossiers of to-be-appraised technical support programs or projects, which are sent to the Ministry of Planning and Investment, shall be deemed valid if they comprise: a/ The document on the submission of the program or project to the Prime Minister, endorsed by the head of the managing agency; b/ The original document of the program or project in Vietnamese and English, already agreed with the donor (8 sets). c/ The draft agreement (or treaty) on the project to be signed between the representatives of the Vietnamese side and the donor, 8 sets in Vietnamese and in either English or another language as agreed upon by the two sides (if any). 2.3.2. Appraisal conditions: To be eligible for appraisal, a technical support project must satisfy all the following conditions: - It is on the list of ODA programs and projects already approved by the Prime Minister. - It has a valid dossier set as provided for at Point 2.3.1, Section III of this Circular. 2.3.3. Where a dossier for appraisal of a technical support program or project is not valid under Point 2.3.1 and fails to meet the conditions stated at Point 2.3.2, within five working days after receiving the dossier, the Ministry of Planning and Investment shall notify such to the managing agency and request it to make necessary supplements or amendments to validate the dossier. 2.3.4. Within five working days after receiving the complete and valid dossiers (8 sets each) from the managing agencies and if the projects are eligible for appraisal, the Ministry of Planning and Investment shall send documents to the agencies which are invited to participate in the appraisal as stated at Point 2.2, Section III of this Circular, requesting them to give their official opinions on the technical support programs or projects. 2.3.5. Within 15 working days after the Ministry of Planning and Investment sends its written requests, the appraising agencies must send their official written opinions to the Ministry of Planning and Investment. Past this time limit, if they have no written opinions, they shall be deemed to have agreed to the contents of the technical support programs or projects. 2.3.6. Basing itself on the contents, size and nature of each technical support program or project to be appraised, the Ministry of Planning and Investment shall decide on the form of appraisal in either of the two following ways: a/ Summing up (written) opinions of the appraising agencies and submitting them to the Prime Minister for consideration and approval, for technical support programs or projects having their contents unanimously agreed upon by the appraising agencies. b/ Organizing a meeting to appraise the technical support program or project and submitting its results to the Pri

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