Quyết định 1248/2007/QĐ-BKH của Bộ Kế hoạch và Đầu tư về việc ban hành Khung theo dõi và đánh giá các chương trình, dự án ODA thời kỳ 2006 - 2010

DECISION

PROMULGATING THE FRAMEWORK FOR MONITORING AND EVALUATION OF ODA PROGRAMS AND PROJECTS DURING 2006-2010

THE MINISTER OF PLANNING AND INVESTMENT

Pursuant to the Governments 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 the Prime Ministers Decision No. 150/2006/QD-TTg of June 23, 2006, promulgating the Governments program of action for implementation of the national strategy on foreign borrowings and payment of foreign debts till 2010;

Pursuant to the Prime Ministers Decision No. 290/2006/QD-TTg of December 29, 2006, approving the scheme on orientation to attract and use official development assistance (ODA) during 2006-2010;

Pursuant to the Prime Minister s Decision No. 94/2007/QD-TTg of June 27, 2007, approving the plan of action for implementation of the scheme on orientation to attract and use ODA during 2006-2010;

Pursuant to the Governments Decree No. 131/2006/ND-CP of November 9, 2006, promulgating the Regulation on ODA management and use;

Pursuant to the Ministry of Planning and Investments Circular No. 04/2007/QD-TTg of July 30, 2007, guiding the implementation of the Regulation on ODA management and use (promulgated together with the Governments Decree No. 131/2006/ND-CP of November 9, 2006);

Pursuant to the Planning and Investment Ministers Decision No. 803/2007/QD-BKH of July 30, 2007, promulgating the regime of reporting on the implementation of ODA programs and projects;

At the proposal of the Director of the Foreign Economics Department, the Ministry of Planning and Investment,

DECIDES:

Article 1. To promulgate together with this Decision the framework for monitoring and evaluation of ODA programs and projects during 2006-2010 (below referred to as ODA monitoring and evaluation framework for short).

Article 2. Ministries, ministerial-level agencies, government-attached agencies, central agencies of mass organizations and Peoples Committees of provinces and centrally run cities shall direct, implement and guide their attached units to implement this Decision.

Article 3. This Decision takes effect 15 days after its publication in CONG BAO.

Article 4. Ministries, ministerial-level agencies, government-attached agencies, central agencies of mass organizations and Peoples Committees of provinces and centrally run cities shall implement this Decision.

Ministries, branches and localities shall report problems arising in the course of implementation to the Ministry of Planning and Investment for solution.

FRAMEWORK

FOR MONITORING AND EVALUATION OF ODA PROGRAMS AND PROJECTS DURING 2006-2010
(Promulgated together with the Planning and Investment Ministers Decision No. 1248/2007/QD-BKH of October 30, 2007)

FOREWORD

In order to support the performance of 2006-2010 socio-economic development tasks, the Vietnamese Communist Party and State are determined to further attract and use official development assistance (ODA) while raising the efficiency of its use and ensuring debt payment capacity.

Donors have further made strong commitments to providing ODA for Vietnam, especially after the country became the 150th member of the World Trade Organization (WTO).

It is expected that during the 5 years from 2006-2010, donors will commit to grant USD 19-21 billion of ODA capital to Vietnam. The 2006-2010 five-year plan has set the task of disbursing USD 11 billion of this committed amount.

As ODA constitutes a public financial source of the Government, with concessional loans accounting for around 80%, it is necessary to enhance the inspection, supervision, monitoring and evaluation by political organizations, social organizations, communities benefiting from ODA and donors of the use of ODA capital at all levels (program/project management units (referred to as PMUs for short)), project owners, managing agencies and state management agencies in charge of ODA), in order to maximize accountability and aid effectiveness as well as national debt safety.

In Decision No. 150/2006/QD-TTg of June 23, 2006, promulgating the Governments program of action for implementation of the national strategy on foreign borrowings and payment of foreign debts till 2010, the Prime Minister assigned the Ministry of Planning and Investment to formulate a framework for monitoring and evaluation of ODA programs and projects during 2006-2010; the methodology and process of evaluation of impacts of completed investment and construction projects (below referred to as ODA monitoring and evaluation framework).

The Governments Decree No. 131/2006/ND-CP of November 9, 2006, set the tasks of establishing, operating and perfecting a national system of monitoring and evaluation of ODA programs and projects; sharing information with concerned agencies and donors and efficiently exploiting this system.

The Prime Ministers Decision No. 94/2007/QD-TTg of June 27, 2007, approving the plan of action for implementation of the scheme on orientation to attract and use ODA during 2006-2010, set the task of enhancing the monitoring and evaluation of ODA programs and projects with 4 major activities, including (i) building a database on ODA, (ii) elaborating a regulation on sharing of information between Vietnamese agencies and donors, (iii) identifying ODA indicators to be included in socio-economic indicators in national statistics, and (iv) institutionalizing the system of monitoring and evaluation of ODA projects.

Based on the assessment of the actual monitoring and evaluation of ODA programs and projects in the recent past, research results and experience drawn in the process of pilot establishment of an ODA monitoring and evaluation system in some ministries, branches and localities1, and relevant experience of some foreign countries, the Ministry of Planning and Investment has formulated a framework for monitoring and evaluation of ODA programs and projects together with a plan of action to establish and operate a national system for monitoring and evaluation of ODA programs and projects during 2006-2010.

The ODA monitoring and evaluation framework has been formulated on the basis of:

- The 2006-2010 five-year socio-economic development plan;

- The orientation for foreign debt management toward 2010 (according to the Prime Ministers Decision No. 135/2005/QD-TTg of June 8, 2005);

- The scheme on orientation to attract and use ODA during 2006-2010 (according to the Prime Ministers Decision No. 290/2006/QD-TTg of December 29, 2006):

- The plan of action for implementation of the scheme on orientation to attract and use ODA during 2006-2010, promulgated together with the Prime Ministers Decision No. 94/2007/QD-TTg of June 27, 2007;

- The Governments Decree No. 131/2006/ND-CP of November 9, 2006, promulgating the Regulation on ODA management and use;

- The Ministry of Planning and Investments Circular No. 04/2007/TT-BKH of July 30, 2007, guiding the implementation of the Governments Decree No. 131/2006/ND-CP of November 9, 2006, on ODA management and use;

- The Planning and Investment Ministers Decision No. 803/2007/QD-BKH of July 30, 2007, promulgating the regime of reporting on the implementation of ODA programs and projects;

- The study results and experience drawn in the process of pilot establishment of an ODA monitoring and evaluation system in 6 ministries (the Ministry of Planning and Investment, the Ministry of Finance, the Ministry of Transport, the Ministry of Agriculture and Rural Development, the Ministry of Education and Training, and the Ministry of Health), and 7 provinces and cities (Hanoi, Ho Chi Minh City, Can Tho, Bac Ninh, Nghe An, Quang Nam and Quang Ngai)2.

I. REAL SITUATION OF MONITORING AND EVALUATION OF ODA PROGRAMS AND PROJECTS

Recently, Vietnam has attracted and used a relatively big amount of ODA capital to assist the performance of national socio-economic development tasks.

The recent use of ODA is basically efficient, contributing to developing socio-economic infrastructure and enhancing institutional and human capacity.

One of many factors attributing to the efficient use of ODA is the work of monitoring and evaluation of ODA programs and projects, which has been carried out and incrementally improved, contributing to bettering the implementation of ODA programs and projects and accelerating the disbursement of ODA capital.

During the past time, the work of monitoring and evaluation of ODA programs and projects has achieved the following major results:

First, this work has been gradually institutionalized and improved through government decrees and legal documents of concerned agencies regarding ODA management and use. The Governments Decree No. 131/2006/ND-CP of November 9, 2006, on ODA management and use provides for the establishment and operation of a national system for monitoring and evaluation of ODA programs and projects, sharing of information on ODA between Vietnamese agencies and donors and efficient exploitation of this system. In order to enhance the monitoring and supervision of the implementation of projects, the Ministry of Planning and Investment issued Decision No. 803/2007/QD-BKH, providing for a reporting regime based on the system of forms harmonized with donors ones.

Second, based on the pilot monitoring and evaluation of projects in 6 ministries and 7 provinces and cities, project monitoring and evaluation methods and techniques have been developed and necessary experience and lessons have been drawn for conducting the monitoring and evaluation of ODA programs and projects on a wider scale and building a professional and stable national system for this work.

The evaluation of ODA programs and projects during their implementation and the evaluation of impacts after their completion, including evaluation joined by donors, have initially been carried out, particularly with regard to a number of large programs and projects in the domains of transport, urban water supply, rural electricity and health.

Third, the cooperative relations with donors have been promoted in the monitoring and evaluation of ODA programs and projects through sharing experience, improving monitoring and evaluation capacity, and some joint evaluation activities.

Fourth, on the international arena, Vietnam has actively participated in activities related to project monitoring and evaluation in general and in the evaluation of the implementation of the Paris Declaration and Hanoi Commitments on aid effectiveness in particular.

Despite some achievements, the monitoring and evaluation of ODA programs and projects still see many shortcomings and weaknesses as follows:

- A synchronous national system for monitoring and evaluation of ODA programs and projects has not yet been established and operated on the basis of unified principles, methodologies and institutions.

- A systematic organizational structure from the central to grassroots level in charge of monitoring and evaluating ODA programs and projects with clearly defined functions, tasks and responsibilities has not yet existed.

- The contingent of personnel in charge of monitoring and evaluating ODA programs and projects at all levels, including independent specialists, remains insufficient in quantity and restricted in professional capacity and skills.

- A national database on ODA servicing the monitoring and evaluation of ODA programs and projects and the need for information on this capital source, including information on sources and the use of ODA in the national statistical system on socio-economic development is not available.

II. FRAMEWORK FOR MONITORING AND EVALUATION OF ODA PROGRAMS AND PROJECTS

The objective of the ODA monitoring and evaluation framework during 2006-2010 is to set forth strategic orientations for this work and major activities to be carried out in order to build, operate and perfect a national system for monitoring and evaluation of ODA programs and projects and fulfill the four tasks defined in the Prime Ministers Decision No. 94/2007/QD-TTg of June 27, 2007.

To achieve the above objective, the ODA monitoring and evaluation framework during 2006-2010 covers two main contents as follows:

a/ Strategic orientations for monitoring and evaluation of ODA programs and projects during 2006-2010 (below referred to as strategic orientations for short).

b/ A program of action for implementation of the 2006-2010 strategic orientations (below referred to as program of action for short).

2.1. Strategic orientations

The strategic orientations are aimed to identify strategic objectives and contents serving as a basis for the establishment and operation of a national system for monitoring and evaluation of ODA programs and projects during 2006-2010 and step by step support the development of a public investment monitoring and evaluation system.

The strategic orientations cover 7 objectives:

Objective 1. To establish a unified information system to ensure the operation of the national system for monitoring and evaluation of ODA programs and projects:

a/ To unify the systems of national monitoring and evaluation criteria at all levels (PMUs, project owners, managing agencies and state management agencies in charge of ODA):

Regarding modes and instruments of information and data exchange:

- To identify and establish a system of uniform criteria for monitoring and evaluation of ODA programs and projects at each level;

- To identify and unify the system of criteria applicable to initial evaluation, mid-term evaluation, final evaluation and impact evaluation of ODA programs and projects;

- To unify methodologies and processes of gathering, analyzing and synthesizing information and data at each level and methods of synthesizing and responding to information and data on monitoring and evaluation of ODA programs and projects.

b/ To establish a mechanism for information and data exchange within the national system for monitoring and evaluation of ODA programs and projects:

- To set standards on the exchange of information and data on monitoring and evaluation of ODA programs and projects between PMUs, project owners, managing agencies and state management agencies in charge of ODA in the direction of bottom-up synthesis and top-down response;

- To set uniform standards on software for gathering, storing, processing, synthesizing and transmitting information and data in service of the monitoring and evaluation of ODA programs and projects, ensuring synthesis of reported information and analysis of the situation of monitoring and evaluation of ODA programs and projects;

- To set up a uniform coding system of ODA programs and projects in conformity with the system of national economic branches in service of the analysis of ODA program and project portfolios at the national, branch and territorial levels, and synthesize periodical statistical indicators on the receipt and use of ODA capital for reflection in the national system of statistics on socio-economic development;

- To maintain and develop the Planning and Investment Ministry’s website on monitoring and evaluation of ODA programs and projects in service of public information, training and capacity strengthening, exchange of information and experience on monitoring and evaluation, and sharing of lessons drawn from the formulation and implementation of ODA programs and projects.

Regarding information and data exchange institutions:

- To implement the Planning and Investment Ministry’s Circular No. 04/2007/TT-BKH of July 30, 2007, on monitoring and evaluation of ODA programs and projects, which defines the functions, tasks, responsibilities, relationships and mechanism of coordination and exchange of information between different levels in the course of monitoring and evaluation of ODA programs and projects;

- To provide information and data on the implementation of ODA programs and projects on the basis of the system of harmonized report forms applied jointly by Vietnam and donors under the Planning and Investment Ministry’s Decision No. 803/2007/QD-BKH of July 30, 2007;

- To provide for the establishment of a national database on ODA in service of the monitoring and evaluation of ODA programs and projects as well as the need for information on this capital source;

- To provide for the use of information, data and results of monitoring and evaluation of ODA programs and projects for management and decision making purposes in accordance with the functions and tasks of ODA management and using agencies:

- To provide for the use of information, data and results of monitoring and evaluation of ODA programs and projects in the study, communication and dissemination of good experience and practices in ODA management and use.

Objective 2. To select and use advanced methods and tools for monitoring and evaluation of ODA programs and projects and regularly update them in light of Vietnams conditions:

a/ To apply tools for monitoring the implementation progress of ODA programs and projects at all levels, including aligned monitoring tools (AMT) at PMU's, portfolio monitoring tools (PMT) at managing agencies, and national monitoring tools (NMT), and apply project evaluation methods and standards under the guidance of the OECD-DAC.

b/ To implement an information technology program to support the monitoring and evaluation of ODA programs and projects:

To establish an information system linking PMUs, project owners, managing agencies and state management agencies in charge of ODA to serve the monitoring and evaluation of ODA programs and protects, and concurrently create conditions for individuals, social organizations and media agencies to access this information system.

c/ To apply AMT for PMUs to make preparation for project owners to report to managing agencies on the implementation progress of ODA programs and projects. AMT must be adequately flexible and extendable to meet various requirements of Vietnamese agencies and donors.

d/ To apply PMT for managing agencies to synthesize the implementation of ODA programs and projects on the portfolios they manage and make review reports on ODA mobilization, attraction and management according to current regulations.

dd/ To apply NMT at the state management agencies in charge of ODA (the Ministry of Planning and Investment and the Ministry of Finance) for these agencies to review, analyze and assess the attraction and use of ODA in general and the disbursement of ODA capital and debts in particular.

- The Ministry of Planning and Investment shall use NMT for synthesizing annual ODA capital disbursement plans and making comprehensive reports on ODA mobilization, attraction and management at the national level and assessment reports on the efficiency of ODA use, for submission to the Prime Minister according to current regulations;

- The Ministry of Finance shall use NMT to evaluate the situation of ODA capital disbursement and ODA debts as well as the capability of paying due debts for implementation the strategy on foreign borrowings and payment of foreign debts up to 2010, for submission to the Prime Minister according to current regulations;

- To update the situation of implementation of ODA programs and projects at the national level on the website on monitoring and evaluation of ODA programs and projects.

e/ To set up a national source center for storing information, data and documents on monitoring and evaluation of ODA programs and projects:

- To elaborate regulations on storing information (hard and soft copies) on monitoring and evaluation of ODA programs and projects;

- To put the national source center into operation to serve ODA management and meet the requirements of producing national ODA statistics as well as ODA-related communication.

Objective 3. To professionalize the contingent of cadres conducting the monitoring and evaluation of ODA programs and projects:

a/ To strengthen the system of organizations in major units to conduct the monitoring and evaluation of ODA programs and projects at all levels.

b/ To professionalize the work of monitoring and evaluation of ODA programs and projects:

- To consider monitoring and evaluation a highly professional operation in the domain of provision of public services;

- To set standards for recognition of monitoring and evaluation professionals;

- To develop a network of source monitoring and evaluation personnel as a basis for the establishment of a professional association of monitoring and evaluation officers. Right in 2008, with the assistance of VAMESP-II, to set up a club of monitoring and evaluation officers;

- To develop cooperative relations with other countries and international organizations in order to share information and learn their experience in the monitoring and evaluation domain.

c/ To enhance the capacity of officers in charge of monitoring and evaluation of ODA programs and projects, including:

- Integrating contents of monitoring and evaluation of ODA programs and projects into project management training programs;

- Compiling standard training programs and documents for professional program and project monitoring and evaluation officers;

- Training and granting certificates to professional ODA program and project monitoring and evaluation officers.

Objective 4. To ensure budgets for the monitoring and evaluation of ODA programs and projects:

a/ To issue regulations on funding sources and funds for the monitoring and evaluation of ODA programs and projects at all levels;

b/ To issue regulations on funding sources and funds for impact evaluation (evaluation of ODA programs and projects after their completion).

Objective 5. To coordinate with donors in the monitoring and evaluation of ODA programs and projects:

a/ To work with donors in harmonizing and unifying methods and tools used in the monitoring and evaluation of ODA programs and projects;

b/ To establish bilateral and multilateral mechanisms for coordination with donors in monitoring and evaluation work.

c/ To cooperate with donors in evaluating ODA programs and projects:

To cooperate with donors in organizing independent evaluation of some ODA programs and projects;

To cooperate with donors in evaluating impacts of some ODA programs and projects;

d/ To cooperate in strengthening the capacity of monitoring and evaluating ODA programs and projects.

Objective 6. Use of monitoring and evaluation results for development results-based management:

a/ To ensure the possibility of accessing and sharing information on the implementation of ODA programs and projects acquired from their monitoring and evaluation results: All agencies, organizations, donors and media agencies may easily access and share information on monitoring and evaluation of ODA programs and projects;

b/ To promulgate regulations on the mechanism of providing feedback to issues which need intervention and solution based on results of monitoring and evaluation of ODA programs and projects: To elaborate regulations on feedback to information discovered in the process of monitoring and evaluating ODA programs and projects at each level within the national system for monitoring and evaluation of ODA programs and projects.

Objective 7. To integrate and use tools, skills and experience of the system for monitoring and evaluation of ODA programs and projects to support the development of a public investment monitoring and evaluation system:

Based on the development and operation of a system for monitoring and evaluation of ODA programs and projects, to step by step support the development and operation of a public investment monitoring and evaluation system in the post-2010 period.

2.2. Program of action

The program of action for implementation of the ODA monitoring and evaluation framework during 2006-2010 in the enclosed Appendix identifies priority contents based on the strategic orientations mentioned in Section 2.1.

Footnotes:

1 Within the framework of the Vietnam-Australia monitoring and evaluation support project, phase II (VAMESP-II) financed by the Australian Government.

2 Within the framework of the Vietnam-Australia monitoring and evaluation support project, phase II (VAMESP-II) financed by the Australian Government.

program of action for implementation of the framework for monitoring and evaluation of ODA programs and projects during 2006-2010

(Promulgated together with the Planning and Investment Ministers Decision No. 1248/2007/QD-BKH of October 30, 2007)