Bản dịch văn bản 03/2007/TT-BKH
Circular 03/2007/TT-BKH
Cơ quan ban hành: Bộ Kế hoạch và Đầu tư
Ngày ban hành: 2007-03-12

CIRCULAR Guiding the functions, tasks and organizational structure of ODA program or project management Units Pursuant to the Government's Decree No. 61/2003/ND-CP of June 6, 2003, defining the functions, tasks, powers and organizational structure of the Ministry of Planning and Investment; Pursuant to Clause 4, Article 25, guiding the functions, tasks and organizational structure of project management units defined in the Government's Decree No. 131/2006/ND-CP of November 9, 2006, promulgating the Regulation on management and use of official development assistance (ODA); The Ministry of Planning and Investment guides the functions, tasks and organizational structure of ODA program or project management units as follows: I. GENERAL PROVISIONS 1. Regulation scope This Circular defines the functions, tasks and organizational structure of management units of ODA technical assistance programs or projects and ODA investment programs or projects, hereinafter referred to as Project Management Unit; and the responsibilities of managing agencies, project owners and ODA state management agencies to the Project Management Unit. This Circular does not apply to the following cases: a/ ODA is provided in the form of budget support (ODA capital transferred directly into the state budget and managed according to current regulations on state budget management); b/ Project owners hire consultants to manage implementation of investment programs or projects. 2. Forms of management of ODA program or project implementation ODA program or project implementation may be managed in the following forms: a/ Managing agencies directly manage and monitor, or assign a unit under their management to be the project owner to manage and monitor, implementation of technical assistance programs or projects. b/ Project owners directly manage and monitor implementation of investment programs or projects. c/ Project owners hire a consultation organization to manage implementation of investment programs or projects (executive director of investment programs or projects) according to current law. When directly managing and monitoring program or project implementation under the forms specified at Points a and b, managing agencies or project owners shall establish Project Management Units according to this Circular's provisions, hereinafter referred to as agency deciding on establishment of the Project Management Unit. For simple and small technical assistance programs or projects having a total capital (including domestic contributed capital) of less than VND 1 billion (aid capital in the original foreign currency shall be converted into Vietnam dong at the official exchange rate applied by the State Bank of Vietnam at the time of considering the establishment of the Project Management Unit), managing agencies and project owners may use their working apparatus rather than establishing a Project Management Unit to manage and monitor program or project implementation. For simple and small investment programs or projects having a total capital (including domestic contributed capital) of less than VND 1 billion (aid capital in the original foreign currency shall be converted into Vietnam dong at the official exchange rate applied by the State Bank of Vietnam at the time of considering the establishment of the Project Management Unit), managing agencies and project owners may use their working apparatus rather than establishing a Project Management Unit to manage and monitor program or project implementation, or may hire persons having expertise and experience to help manage and monitor program and project implementation. 3. Principles of organization and operation, and management scope, of the Project Management Unit a/ Principles of organization and operation of the Project Management Unit: - The Project Management Unit is established to assist the managing agency or project owner in implementing the program or project; - Task assignment and authorization to the Project Management Unit shall be specified in the decision on establishment of the Project Management Unit or in specific authorization documents issued by the agency deciding on establishment of the Project Management Unit; - Observing the provisions of Vietnamese law and international agreements signed with donors; - The Project Management Unit and its head shall take responsibility for their acts in performing their assigned tasks before law and the agency deciding on its establishment; - Having the duty of justifying issues under their competence to the agency deciding on establishment of the Project Management Unit, ODA state management agencies, law enforcement bodies, people-elected bodies, socio-political organizations and donors; - All activities of the Project Management Unit shall be publicized and supervised according to current law; - Managing and using efficiently, and avoiding loss and waste of, resources of programs or projects; - Observing the anti-corruption law; and adopting measures to prevent and combat corruption. b/ Management scope of the Project Management Unit: The Project Management Unit may simultaneously manage a number of programs or projects when it meets the following conditions: - Being capable and organized in a way that allows its functional sections (bidding, ground clearance, planning, finance, organization, administrative issues and personnel management) to serve all projects; - Being permitted by the agency deciding on its establishment with decisions on establishment of the Project Management Unit for each specific program or project in accordance with this Circular's provisions. II. FUNCTIONS AND TASKS OF THE PROJECT MANAGEMENT UNIT The Project Management Unit functions to assist project owners to implement programs or projects with the following tasks: 1. General functions and tasks a/ Planning tasks, including elaborating an overall plan and detailed annual plans on program or project implementation (disbursement plan, spending plan, bidding plan, etc.) which specify resources used, implementation schedules, completion deadlines, quality targets and criteria for acceptance of results of each program or project activity, to be used as the basis for monitoring and evaluation. The overall plan on project implementation shall be prepared by the Project Management Unit three months before a program or project starts and shall be approved by the agency deciding on establishment of the Project Management Unit. Detailed annual plans shall be elaborated based on agreement with donors and submitted to the agency deciding on establishment of the Project Management Unit for approval. These annual plans must conform to the annual planning schedules of the agency deciding on establishment of the Project Management Unit and ensure timely implementation of programs or projects according to specific international agreements on ODA signed. b/ Tasks of management of preparation for program or project implementation: - For technical assistance programs or projects: Management of preparation for technical assistance program or project implementation covers study of documents on technical assistance programs or projects, or international agreements on ODA signed with donors, the procedures and conditions for program or project implementation (regulations on budget spending, accounting, project auditing and reporting) - For investment programs or projects: Management of preparation for investment program or project implementation must comply with current regulations on management of work investment and construction while taking into consideration a number of requirements particular for ODA programs and projects (evacuation and resettlement of inhabitants, ground clearance, environmental impact assessment and social impact assessment) on the basis of international agreements signed with donors. c/ Tasks of bidding and contract management: - Performing bidding tasks assigned by the agency deciding on establishment of the Project Management Unit in accordance with the bidding law and donors' bidding rules; - Managing performance of obligations specified in contracts signed between authorized persons and contractors (in terms of work progress, volume and quality; labor safety; and environmental sanitation). Monitoring, supervising and evaluating activities and performance results of contractors. Promptly solving according to its competence problems arising in the course of contract performance; - Organizing the take-over of works and making financial payment and settlement in accordance with law. d/ Tasks of financial and asset management and disbursement: - Performing financial and asset management and carrying out procedures for disbursement in accordance with law and donors' rules. e/ Administrative and coordination tasks and responsibility of justification: - Organizing an office for, and manage personnel of, the Project Management Unit; - Establishing an internal information system, collecting, classifying and archiving all information and original documents concerning programs or projects and the Project Management Unit in accordance with law; - Preparing conditions for the agency deciding on establishment of the Project Management Unit to publicize contents, organization and implementation progress of programs or projects to direct beneficiaries of programs or projects (applied to technical assistance programs or projects) and to local administrations, people-elected bodies, socio-political and non-governmental organizations in project areas (applied to investment programs or projects); - Providing accurate and true information for law enforcement, oversight, inspection and auditing agencies, donors, the mass media and concerned individuals within the scope of its assigned tasks and responsibilities, except for information restricted by law to the public; - Being the authorized representative of the agency deciding on establishment of the Project Management Unit in civil transactions within the powers of representative specified in the Regulation on organization and operation of the Project Management Unit and in authorization documents; - Acting as the coordinator of the agency deciding on establishment of the Project Management Unit and agencies participating in program or project implementation in working with donors on concerned issues in the course of program or project implementation; - Coordinating with functional units of the agency deciding on establishment of the Project Management Unit in program or project activities. e/ Tasks of monitoring, evaluating and reporting program or project implementation: - Organizing evaluation of the Project Management Unit's activities; - Organizing monitoring and assessment of ODA program or project implementation according to current law, including: + Making reports on program or project implementation according to regulations; supplying and sharing information through the national system of monitoring and assessment of ODA programs or projects; + Hiring consultants to make initial, mid-term and final evaluations according to contents of the approved feasibility study reports or program or project documents; coordinating with donors or competent management agencies in evaluating programs or projects. - Submitting periodical and extraordinary reports on program or project implementation according to current regulations to the agency deciding on establishment of the Project Management Unit which will send these reports to the Ministry of Planning and Investment, the Ministry of Finance and the provincial-level People's Committees of localities where programs or projects are implemented for monitoring, supervision and support of project implementation; f/ Tasks of take-over, hand-over and financial settlement of programs or projects: - Preparing conditions for managing agencies and project owners to take over programs or projects and hand completed programs or projects over to recipients for operation and exploitation according to regulations. - Making reports on completion and financial settlement of programs or projects according to the deadlines specified in Clause 3.5, Article 3, Section III of this Circular. 2. Particular tasks a/ On the basis of the content, scale and characteristics of each program or project and the Project Management Unit's capability, the agency deciding on establishment of the Project Management Unit shall authorize the Project Management Unit to decide on or sign documents under the former's competence in the course of implementation management. The authorization may be made right at the start of programs or projects, or at each phase, and shall be defined in the Regulation on organization and operation of the Project Management Unit or in each specific authorization document. b/ When international agreements on ODA signed with donors define the organizational structure of project management, tasks and responsibilities of the Project Management Unit, these provisions shall be concretized and fully defined in the Regulation on organization and operation of the Project Management Unit. 3. Other tasks The Project Management Unit shall perform other tasks within the scope of programs or projects assigned by the agency deciding on establishment of the Project Management Unit. III. PROJECT MANAGEMENT UNIT'S ORGANIZATIONAL STRUCTURE AND ORGANIZATION OF PROJECT IMPLEMENTATION 1. Basic requirements for organization and personnel of the Project Management Unit a/ The Project Management Unit shall have a proper organizational structure and enough personnel with relevant capabilities and experience to ensure efficient and sustainable management of program or project implementation. In specific cases, key titles of the Project Management Unit may be subject to agreement of donors according to donors' rules. b/ The functions, tasks, responsibilities and powers of each division or department; and work relations between divisions and departments shall be clearly specified in the Regulation on organization and operation of the Project Management Unit. c/ Each title and position in the Project Management Unit must have the Terms of Reference worked out by the Project Management Unit director and must be publicized in the Project Management Unit and units of the agency deciding on establishment of the Project Management Unit. The Terms of Reference must specify requirements on professional capabilities, scope of responsibilities and powers, remuneration, reporting and work result evaluation regulations. d/ Key titles of the Project Management Unit include director, deputy director (if any), chief accountant or accountant appointed or dismissed by the agency deciding on establishment of the Project Management Unit. For investment programs or projects, when staffs of project owners' managing agencies are selected to hold these titles, these agencies' approval is required. Holders of other titles of the Project Management Unit shall be selected, appointed and dismissed by the Project Management Unit director. e/ Employees of the Project Management Unit who are selected from the personnel of the agency deciding on establishment of the Project Management Unit shall be approved by this agency. The Project Management Unit may recruit and employ outsiders on a contractual basis. Recruitment of Project Management Unit staffs must base on the standards on expertise, experience and personal qualities specified in the Terms of Reference and must comply with current law and international agreements on ODA signed. f/ Requirements for the Project Management Unit director: - For technical assistance programs or projects: The Project Management Unit director (national project director, if any) must be qualified in terms of personal qualities, professional capabilities and practical experience in managing program and project implementation; have capabilities in coordinating and managing program and project activities. Those who are proficient in foreign languages relevant to the assigned programs or projects shall be prioritized. The Project Management Unit director must be in the working age group throughout the programs' or projects' life specified in program or project documents. The Project Management Unit director (national project director, if any) may work on a part-time basis. The agency deciding on establishment of the Project Management Unit shall, with donors' consultation (when necessary), design standards and the Terms of Reference for the title of Project Management Unit director. The agency deciding on establishment of the Project Management Unit may select and appoint its staff who meets the standards and requirements specified in the Terms of Reference to be the Project Management Unit director. The agency deciding on establishment of the Project Management Unit is responsible for supporting and facilitating the Project Management Unit director to organize efficient implementation of programs or projects. - For investment programs or projects: The Project Management Unit director must possess ethical qualities; professional and leadership capabilities; and experience in program and project management. Those who are proficient in foreign languages relevant to the assigned programs or projects shall be prioritized. The Project Management Unit director must be in the working age group throughout the programs' or projects' life specified in program or project documents. Project owners shall, with donors' consultation (when necessary), design standards and the Terms of Reference for the title of Project Management Unit director. The holder of this post may be recruited through open contests or selected from the staff of project owners or project owners' managing agencies. When a staff of project owners or project owners' managing agencies is selected for this title, the approval of these agencies is required. Recruitment must be completed before the issuance of the decision on establishment of the Project Management Unit. 2. Organizational structure of the Project Management Unit On the basis of the content, scale, characteristics, operation scope and management mechanism for implementation of ODA programs or projects, the Project Management Unit director shall design the Project Management Unit's organizational structure and submit it to the agency deciding on establishment of the Project Management Unit. The Project Management Unit's organizational structure usually consists of: a/ The administrative, organizational and supportive section; b/ The functional section in charge of planning, bidding, finance, ground clearance and other necessary activities; c/ The technical section in charge of supervision of design, construction and environment or different technical parts of programs or projects. Each section in the Project Management Unit's organizational structure may take the organizational form of division, department or functional group. When the Project Management Unit manages a number of projects, its organizational structure must comply with Point b, Article 3, Section I of this Circular. Each program or project must have a full-time deputy director (or manager) in charge. There must be a specific Terms of Reference for this title and recruitment shall be conducted as for the Project Management Unit director. 3. Organization of implementation 3.1. Establishment of the Project Management Unit a/ Legal grounds: Establishment of the Project Management Unit must be based on the following legal grounds: - The functions, tasks and powers of managing agencies and project owners; - The decision on investment or approval of programs or projects; - International agreements on ODA signed with donors; - The provisions of this guiding Circular. b/ Establishment of the Project Management Unit: Managing agencies or project owners shall issue a decision to establish the Project Management Unit within 10 working days after the program or project documents are approved by competent authorities. Forms of decisions on establishment of the Project Management Unit are in Appendix I (for technical assistance programs or projects) (not printed herein) and in Appendix II (for investment programs or projects) (not printed herein). When supplementing tasks of managing implementation of new programs or projects, the agency deciding on establishment of the Project Management Unit shall issue a decision to supplement these tasks to the Project Management Unit under operation in accordance with this Circular's provisions. c/ Issuance of the Regulation on organization and operation of the Project Management Unit: The agency deciding on establishment of the Project Management Unit shall issue the Regulation on organization and operation of the Project Management Unit within 15 working days after the date of issuing the decision on establishment of the Project Management Unit. The model Regulation on organization and operation of the Project Management Unit is in Appendix III (not printed herein). d/ The agency deciding on establishment of the Project Management Unit shall send the decision on establishment, and the Regulation on organization and operation, of the Project Management Unit to the Ministry of Planning and Investment, the Ministry of Finance and the State Bank of Vietnam (in accordance with the State Bank of Vietnam's tasks defined in Article 42 of the Government's Decree No. 131/2006/ND-CP of November 9, 2006) within 15 working days after the date of issuance of these decisions to create a basis for state management of the Project Management Unit's operation. 3.2. Seal and bank account of the Project Management Unit a/ The Project Management Unit may register for use of its own seal to serve program or project implementation in accordance with law. b/ The Project Management Unit may open accounts at the State Treasury or commercial banks in accordance with law and international agreements on ODA signed with donors. 3.3. Funds for the Project Management Unit's operation Funds for the Project Management Unit's operation may be taken from the capital source planned for investment preparation (in the stage of program or project preparation) and from the domestic contributed capital (in the stage of implementation preparation and implementation of programs or projects) specified in the investment decision or decision on approval of programs or projects; or may be partly or wholly taken from ODA capital according to international agreements signed with donors. For combined technical assistance and investment programs or projects: - For technical assistance granted by donors as a separate project on investment project preparation, funds for the Project Management Unit's operation are specified according to documents of technical assistance programs or projects approved by competent authorities or specific international agreements on technical assistance programs or projects signed with donors. - For technical assistance provided by donors (as a grant or loan) being part of investment programs or projects, funds for the Project Management Unit's operation must comply with current regulations on investment programs and projects. Limits of expenses for program and project management must comply with current regulations. 3.4. Assets of the Project Management Unit - The Project Management Unit may be equipped with assets to serve program and project management in accordance with law and international agreements on ODA signed with donors. - Assets of the Project Management Unit shall be used efficiently and economically for proper purposes. Leasing, lending, donation, presenting as gifts or use for personal purpose, of assets are strictly banned. - The Project Management Unit shall report to the agency deciding on its establishment on assets which consultants, contractors or suppliers hand over, donate or leave to it for management according to law. - The Project Management Unit's assets upon completion of programs or projects or those unnecessary in the course of project implementation shall be disposed of according to current law. 3.5. Completion of programs or projects and dissolution of the Project Management Unit The time of ODA program or project completion is set in international agreements on ODA or in agreements signed with donors. Within six months after programs or projects are completed, the Project Management Unit of technical assistance projects shall complete reports on completion and financial settlement of programs or projects and submit them to the managing agency (when the managing agency directly manages projects) or to the project owner who will then submit them to the managing agency (when the managing agency assigns a unit under their management to be the project owner). Within six months after programs or projects are completed, the Project Management Unit of investment projects shall make reports on completion and financial settlement of programs or projects for the project owner to submit to agencies deciding on investment of programs or projects. The Project Management Unit shall simultaneously dispose of its assets according to current law. After the reports on completion and reports on financial settlement of programs or projects are approved by competent agencies and the disposal of the Project Management Unit' assets is completed, the agency deciding on establishment of the Project Management Unit shall issue a decision on completion of programs or projects and dissolution of the Project Management Unit. When the above tasks are not completed by the defined deadline, on the basis of the Project Management Unit's justification documents, the agency deciding on establishment of the Project Management Unit may issue documents allowing another six months at most for the Project Management Unit to complete unfinished tasks and ensuring necessary funds for the Project Management Unit's operation in the extended period. When the Project Management Unit manages a number of programs or projects, the agency deciding on establishment of the Project Management Unit shall issue decisions on completion of each specific program or project and adjustment of the functions and tasks of the Project Management Unit in compliance with this Circular's provisions. When the managing agency or project owner is changed in the middle of programs or projects: - The managing agency or project owner handing over and the one taking over programs or projects shall comply with regulations on project hand-over. - The managing agency or project owner handing over programs or projects shall issue a decision to dissolve the Project Management Unit. - The managing agency or project owner taking over programs or projects shall issue a decision to establish the Project Management Unit. 4. Benefits a/ Benefits for the Project Management Unit director and other title holders of the Project Management Unit working on a part-time basis or on temporary assignment must comply with current law, taking into consideration the characteristics and intensity of work and working time to ensure motivation for competent staff to work professionally on a long-term basis for programs or projects. b/ Benefits for the Project Management Unit director and other title holders of the Project Management Unit hired from outside must, on the basis of work characteristics, capabilities and working experience, be agreed on a contractual basis and approved by donors (when ODA capital is used) IV. RESPONSIBILITIES OF MANAGING AGENCIES, PROJECT OWNERS AND ODA STATE MANAGEMENT AGENCIES TO THE PROJECT MANAGEMENT UNIT 1. Managing agencies Managing agencies shall take legal responsibility for the whole process of receiving, managing, organizing implementation of, and putting into use, ODA programs or projects. a/ To the Project Management Unit of technical assistance programs or projects directly managed and implemented by managing agencies: - Issuing decisions to establish and dissolve the Project Management Unit. - Appointing and dismissing the Project Management Unit director and key personnel of the Project Management Unit. - Issuing the Regulation on organization and operation of the Project Management Unit. - Regularly checking and supervising the Project Management Unit's activities according to this Circular and the Regulation on organization and operation of the Project Management Unit in such domains as procurement through bidding, contract negotiation and signing, capital withdrawal, payment, financial management, asset management and performance of financial and tax obligations of programs or projects. Results of inspection and supervision of the Project Management Unit' activities shall be publicized within managing agencies and shared with relevant agencies and donors. - Promptly handling according to their competence problems arising in the Project Management Unit's operation. - Monitoring and supervising the Project Management Unit to ensure full observation of current regulations on reporting. - Monitoring and supervising the Project Management Unit to ensure timely and quality implementation of programs or projects. - Ensuring prompt and sufficient provision of funds and facilities (office, office equipment, communication equipment, etc.) for the Project Management Unit's activities. - Periodically evaluating the Project Management Unit's activities. - Enhancing institutional and human resource capacities of the Project Management Unit. b/ To the Project Management Unit of technical assistance programs or projects of which managing agencies assign a unit under their management to be project owner to directly manage implementation: - Taking legal responsibility for decisions concerning issues under their competence in the course of program or project implementation. - Clearly defining the order, time limit and coordination between functional units under their management in the process of appraisal, decision-making and approval of relevant contents submitted by project owners to prevent delays in the implementation of programs or projects. - Through project owners, regularly checking and supervising the Project Management Unit's activities according to this Circular and the Regulation on organization and operation of the Project Management Unit issued by project owners as well as current regulations in such domains as procurement through bidding, contract negotiation and signing, capital withdrawal and payment, financial management, asset management and performance of financial and tax obligations of programs or projects. Results of inspection and supervision of the Project Management Unit' activities shall be publicized within managing agencies and shared with relevant agencies and donors. c/ To the Project Management Unit of investment projects: - Taking legal responsibility for decisions concerning issues under their competence in the course of program or project implementation. - Clearly defining the order, time limit and coordination between functional units under their management in the process of appraisal, decision-making and approval of relevant contents submitted by project owners to prevent delays in the implementation of programs or projects. - Through project owners, regularly checking and supervising the Project Management Unit's activities according to this Circular and the Regulation on organization and operation of the Project Management Unit issued by project owners as well as current regulations in such domains as procurement through bidding, contract negotiation and signing, capital withdrawal and payment, financial management, asset management and performance of financial and tax obligations of programs or projects. Results of inspection and supervision of the Project Management Unit' activities shall be publicized within managing agencies and shared with relevant agencies and donors. 2. Project owners a/ Performing tasks, responsibilities and powers of project owners according to current regulations. b/ To the Project Management Unit, project owners shall have the tasks of: - Issuing decisions to establish or dissolve the Project Management Unit. - Appointing or dismissing the director and key personnel of the Project Management Unit. - Issuing the Regulation on organization and operation of the Project Management Unit. - Regularly checking and supervising the Project Management Unit's activities according to this Circular and the Regulation on organization and operation of the Project Management Unit issued by project owners in such domains as procurement through bidding, contract negotiation and signing, capital withdrawal and payment, financial management, asset management and performance of financial and tax obligations of programs or projects. Results of inspection and supervision of the Project Management Unit' activities must be publicized within managing agencies and shared with relevant agencies and donors. - Promptly handling according to their competence problems arising in course of the Project Management Unit's operation. - Monitoring and supervising the Project Management Unit to ensure full observation of current regulations on reporting, including submission of reports on program or project implementation prepared by the Project Management Unit to managing agencies. - Monitoring and supervising the Project Management Unit to ensure timely and quality implementation of programs or projects. - Ensuring prompt and sufficient provision of funds and facilities (office, office equipment, communication equipment, etc.) for the Project Management Unit's operation according to commitments made in specific international agreements on ODA signed with donors. - Periodically evaluating the Project Management Unit's activities. - Enhancing institutional and human resource capacities of the Project Management Unit. 3. ODA state management agencies a/ Performing assigned functions, tasks and powers according to current law. b/ Checking and supervising regularly or extraordinarily implementation of this Circular's provisions and the Regulation on organization and operation of the Project Management Unit issued by the agency deciding on establishment of the Project Management Unit. c/ Assisting the enhancement of the Project Management Unit's professional capacity. V. ORGANIZATION OF IMPLEMENTATION 1. This Circular takes effect 15 days after its publication in "CONG BAO." 2. Project management units established after this Circular takes effect shall comply with this Circular. 3. For operating project management units: a/ For ODA programs or projects to be completed in 2007 according to signed agreements or ODA programs or projects with a prolonged implementation duration of 18 months or less (from the date of ending in 2007), the Project Management Unit of these programs or projects may continue to operate but shall be restructured and rearranged to be capable of performing the remaining tasks. b/ For programs or projects not defined at Point a, Article 3, Section V of this Circular, if the Project Management Unit has been assigned to operate as the project owner, managing agencies shall make arrangements in accordance with this Circular's provisions and current law with a view to ensuring that the Project Management Unit no longer operates as the project owner. c/ For other cases, the Project Management Unit director shall, with donors' consultation (when necessary), check and complete the Regulation on organization and operation of the Project Management Unit, and submit it to the agency deciding on establishment of the Project Management Unit for amendment or signing for issuance of the new Regulation in accordance with this Circular's provisions. 4. In the course of implementation of this Circular, managing agencies, project owners, the Project Management Unit and relevant agencies and units shall promptly report arising problems to the Ministry of Planning and Investment.