Community Investment Funds - CIF Manual Cao Bang

Manual Guideline on Implementing The Regulation on Decentralization and Management of CIFs in Cao Bang
LIST OF ABBREVIATIONS AND ACRONYMS ADB CDB CEM CIF CIG DARD DBRP DPC DPI DoF DPMO EU EUR IFAD GOL ODA PPB PPC PPMU TA TOR ToT USD UN VBARD VBSP VND Asian Development Bank Commune Development Board Committee for Ethnic Minorities Community Investment Fund Common Interest Group Department of Agriculture and Rural Development Developing Business with the Rural Poor District Peoples Committee Department of Planning and Investment Department of Finance District Project Management Office European Union European currency International Fund for Agricultural Development Government of the Grand Duchy of Luxembourg Official Development Assistance Project Preparation Board Provincial Peoples Committee Province Project Management Unit Technical Assistance Terms of Reference Training of Trainers United States Dollar United Nations Vietnam Bank for Agriculture and Rural Development Vietnam Bank for Social Policies Vietnamese currency (Dong)
The manual Guideline on implementing the regulation on decentralization and management of the CIFs" Page 2
FOREWORD The Developing Business with the Rural Poor (DBRP) in Cao Bang project is designed to empower targeted communes and communities to propose their own socio-economic development plan in the light of People know, People discuss, People do, People inspect and People benefit. The government at all levels will provide support in procedures and finance, methods and experts for improving the local peoples and communes capacities. This creates the most fundamental element for sustainable development of rural economics and for poverty reduction as the projects objectives. The project has introduced, though at small extent, a new thought and approach of the State management agencies on organization, implementation, and management of investment and basic construction projects, especially those belonging to the national target programmes. It is therefore easy to see that the project will have to face more risks than others, namely:
Empowerment to the commune level while the qualification of officials at the commune level and the grassroots level is still limited, which is the greatest risk of the project. The target area is quite large (in more than 10 districts and 50 communes), with poor infrastructure, limited qualifications of people, and low living standards (people in some particular places are very poor). The project staff at all levels must be patient, diligent, hard-working, and sympathetic towards the poor so as to implement well the projects objectives.
The manual Guideline on implementing the regulation on decentralization and management of the Community Investment Funds (CIFs) includes 2 volumes: Volume 1: CIF utilization processes including: 1. Part 1: Process of Project Formation and Proposal by the Community 2. Part 2: Processes of Survey, Design and Consultant Selection. 3. Part 3: Methods of Bidding and Contractor Selection 4. Part 4: Process of Construction Quality Management; 5. Part 5: Payment and Final Settlement of Accounts of The Project 6. Part 6: Process of Management, Operation and Maintenance Volume 02: Appendices
The manual Guidelines on implementing the regulation on decentralization and management of the Community Investment Funds (CIFs) is an instructional document for DPMO, CDB, and Village Development Board to understand and implement according to the procedures for planning, implementation and management of a Small&Medium Scale construction investment project in the commune with the community participation. This manual refers to contents and implementation manner of each specific activity in the project implementation process. The manual also helps community staff and DPMO during the instruction and support towards the communes and villages to implement the steps of forming, proposing, implementing and managing sub-projects in the communes. Besides, it can be used as a reference for the training staff, monitoring and evaluation staff, and financial staff of the Provincial Project Management Unit during their task implementation. The manual Guideline on implementing the regulation on decentralization and management of the Community Investment Funds (CIFs) is compiled under the leading of Mr. Phuong Tien Tan Deputy Director of the DPI Project Director and participation of national and international consulting organizations: Lux-Development VIE/029 project: Mr. Rudi Schuetz Chief Technical Advisor of VIE/029 Project Mr. Doan Manh Tuong Senior Infrastructure Expert VIE/029 Project Consultancy team: Mr. Nguyen Quang Phuc Consultant Mrs. Tran Thi Kim Dang Consultant Mrs. Dam Thi Thao Head of Expenditure Control Department the State Treasury Branch of Cao Bang Province Mr. Duong Hung Dung Head of Investment Office Cao Bang Provincial Department of Finance Mr. Dam Van Hai Head of Budget Department Cao Bang Provincial Department of Finance Mrs. Hoang Th Tuyen Head of Accounting Office State Treasury Branch of Cao Bang Province Mr. Hoang Trung Kien Vice Head of Foreign Economic Relations Office Cao Bang Provincial Department of Planning and Investment Mr. Vu Anh Tuan Vice Head of General Office - Cao Bang Provincial Department of Planning and Investment DBRP Project in Cao Bang:
Mrs. Bui Thi Que: Vice Head of Community Planning Department Besides, it includes the participation and comments by many relevant agencies in the province (Department of Construction, DPI, DPMOs, etc.) and, especially, the consideration and support by IFAD in Vietnam; We would like to express our faithful gratitude to the close coordination of the experts and organizations that have helped us in completing this manual;
Mr. Nong Minh Thang: Deputy Director of Project Management Unit. Mr. Pham Xuan Tung : Chief Accountant Mr. Lam Duy Tang: Head of Community Planning Department. Mrs. Tham Thi Loan : Staff of Monitoring and Evaluation Office
Management Unit of the DBRP Project in Cao Bang
GENERAL REGULATIONS I. Implementation bases:
Pursuant to the Financing Agreement No. 741 VN and the Nonrefundable Aid No. 997 VN signed on 16 January 2008 between the Government of the Socialist Republic of Vietnam and the International Fund for Agricultural Development (IFAD); Pursuant to Decision No. 2025/QD UBND dated 7 September 2009 by Cao Bang PPC on issuing the regulation on decentralization and management of the CIFs under the DBRP Project in Cao Bang. II. Detailed guideline on implementation of CIF: 1. Introduction of CIF and principles of fund use: - The DBRP project in Cao Bang, which is implemented in 50 communes of 10 districts, aims at improving the life quality of the rural poor through the market participation and contributing to sustainable and equitable poverty reduction. Under this, the CIF is a Project improving the commune financial management capacity and directly contributing to poverty reduction by allocating the commune budget to for-the-poor agricultural and rural development activities, namely: Building village and commune level infrastructures, production and marketing facilities, and operational capacity building services CIF will be used to complement and assist the existing capital sources and programmes: Programme 135-Phase II, Programme 30A, etc. The investment capital in the projects CIF under regulations of the Agreement includes: + 80% from IFAD loan + 20% from the Government of Vietnam and beneficiaries - The owner of investment capital in the CIF is the CDB, who has an active account at the District State Treasury. + Only use maximum 90% of IFAD loan to invest in commune infrastructure + The remaining 10% for improving the commune capacity. (including training in computer use for the mass organizations, commune Party Committee and Peoples Committee; training skills such as meeting facilitation, and minutes taking for the CIG leaders, and heads of villages; developing the production and business models for others learning and replication; organizing visits to effective production and business models inside and outside the province, etc. depending on the actual needs of the commune.)
- To be used effectively, publicly, and transparently for the right purposes. 2. Scope of adjustment. The scope of adjustment under this regulation includes the infrastructure works in communes, and commune capacity improvement activities invested by the capital from the DBRP project, including: IFAD capital: Capital funded by IFAD. Counterpart fund of the Government of Vietnam: Including the Government budget for operation expenses and domestic taxes.
Counterpart capital by the beneficiaries: Mainly in kind such as labor, materials for building rural infrastructure and contributions from site clearance. III. Conditions of disbursement and forms of money transfer of the CIF 1. Conditions of disbursement: The commune has development plan; its approved participatory socio-economic
The commune is trained on the commune integrated financial resources management process and the management and use process of the CIF; The commune has the approved estimate of CIF; The commune has issued the decision on establishing the CDB;
2. Management and use process of the CIF: 2.1. Establishment of CDB: The DPC issues a decision on establishing CDB (Participants: Chairman of Commune Peoples Committee as the head of the board, commune accountant, land registry or construction staff, staff in the commune departments, etc.) Transaction account opening: After the issuance of the decision on establishment, CDB opens an account at the District State Treasury Meeting of CDB:
2.2.
CDB organizes CIF utilization and assigns tasks to its members. The participants include the CDB, collaborators (if any) and representatives of the District Project Management Unit. The main contents to be mentioned in the meeting include: Publicly announcing of the CIF, informing about capital source and cost norm;
Inspecting, reviewing and considering the approved socio-economic development plan and selecting the activities to be funded by the CIF. Selecting and determining benefited villages and hamlets; Agreeing on capital allocation to the activities; Assigning tasks to the members of the CDB and collaborators (if any) in management, implementation and monitoring of the activities under the CIF Meeting at benefited villages:
2.3.
CDB coordinates with the heads of villages/hamets to organize village and hamet meetings to inform about the CIF and determine the beneficiaries of the fund. Everyone in the village, including males and females, especially the poor and ethnic minority people are invited to the meeting Notifying information about the CIF including:
+ Total financed budget of the commune and expenditure amount to be allocated to the village in the year + Principles, conditions and objects of the fund + Activities proposed by the village in the Socio-economic Development Plan financed by the CIF; budget estimates for these activities Notes: Village and hamet meetings are conducted only when the representatives of at least 70% of the households in the village, hamlet are present and the gender priority is applicable; Ensuring the sufficient time for discussion, opinion exchange and proposals; At the end of the village meeting, the following results must be achieved: Minutes of village meeting, including the summary table of activities 2.4. Appraisal of the village/hamlet activities:
On receiving the minutes of village/hamlet meeting, the CDB conducts appraisal of the activities proposed by the village/hamlet, while ensuring that: Total expenditure for village/hamlet activities must be suitable with the amount allocated to the village from the community development fund; The activities proposed by the village/hamlet must be suitable with the priority activities in the conclusion of the CDB meeting. If such
activities are not of the priority activities in the conclusion of the extended CDB meeting but are suitable with the peoples expectation, the CDB will consider and issue their decision. 3. Organizing the operation structure of the CIF The operation structure of the CIF in Cao Bang includes provincial, district and commune levels. The specific responsibilities of each levels are as follows: 3.1. Commune Development Board (CDB): Assigning tasks related to the functions and duties of the Board to each member of the CDB in accordance with their knowledge and capacity; Participating in village, hamlet, and commune development planning; summarizing the village, hamlet, commune needs using the participatory approach with the assistance and guidance of the Cao Bang Provincial DPI, district DPMO, and DBRP project in Cao Bang Defining the highest priorities for activities financed by the CIF using the participatory approach; Informing the purposes, objectives and the regulations and criteria of CIF management, and capital source in commune meetings; Making expenditure estimates for the activities; Instructing the villages and hamlets to implement the activities; Organizing seminars and training workshops in communes, villages and hamlets; Preparing and recording management and monitoring forms and archiving them all systematically at the Commune Peoples Committee; Collecting all the receipts and invoices related to the expenses for CIF management activities as requested by the Project; Making annual reports on the results of CIF management and use, conducting annual wrap-up meeting to evaluate the Fund management and use and consider the effectiveness of the support from the fund according to the requirements. District Project Management Office (DPMO): Assigning functional tasks to each member in accordance with their knowledge and capacity;
3.2. -
Participating in and supporting the village, hamlet, and commune development planning activities; Organizing seminars and training workshops related to the Project in the district and commune.; Supporting and advising the communes during their use of Fund as requested by the project; Coordinating with related parties to solve the problems arising from Fund management; Carrying out inspection, supervision, monitoring and evaluation of the CIF utilization in the communes of district regularly and extraodinarily; Summarizing and reporting the plan progress and the fund use every three months to the Provincial Project Management Unit; Organizing 6-month and one-year preliminary wrap-up meetings on implementation of the project activities in the area; Making an annual summary report on the CIF management and use and submitting the report to the DPC and the Provincial Project Management Unit on the 30th of January every year. Cao Bang Provincial Project Management Unit (PPMU): Making plans for implementing activities improving system capacity and the communes financial management capacity (document compilation, seminar and training workshop preparation and organization) to implement in communes using the CIF; Making plans for organizing and using the CIF in 10 districts of the Project; Directing the 10 districts to make plans of using expenditure sources from the Community Invesment Fund (CIF) for and organize implementation of the activities accodring to the plan, progress and results; Ensuring purpose-driven and effective financial and CIF management; Preparing periodic reports (report on the progress and use of fund) as requested by the Project; Transfering all the annually allocated expenditure to the commune as soon as all the necessary conditions are satisfied; Summarizing and introducing good experience in management and use of the commune development fund of districts to the communes;
3.3. -
4. Commitments and rules on the use of CIFs: Using forms I - 1 and I - 2:
PART I: FORMING AND PROPOSING PROJECTS I. Village/hamlet meeting for work selection; 1. Purposes and results to be achieved: People in the village know about the members of the CIF management board, status quo of the existing works in the village, village potentials and limitations, amount of capital and eligible investment projects that may be proposed; Selecting and proposing the works of villages, inter-villages, and communes
2. Participants: All people in the village (both males and females) Representatives of organizations, departments, and associations in the village DPMO support staff and community staff of the provincial project (If required)
3. Content: Informing the list of members of the CIF management board; Introducing eligible investment projects, average investment rate for each project, and the capital allocated to the commune in the project implementation cycle and each year; Evaluating the status quo of the existing projects in the village, Selecting and proposing the construction investment projects in the village
4. Steps of implementation: Step 1: Preparation:
DPMO support staff and PPMU community staff meet the heads and leaders of villages to agree and inspect its preparation Step 2: Meeting The head of village introduces the participants, content, purposes and secretary of the meeting; The village representative introduces the list of members of the newly established CBD;
Presenting the criteria for proposing and selecting the eligible investment projects according to regulations of the project, including: Project items, investment norms, amount of capital allocated to the commune and the capital each year; Taking time to answer the peoples questions; Instructing people to select suitable projects:
+ Dividing people into separate teams by gender; + Each village representative acts as the team leader and instructs his members to propose projects; + Agreeing on the selected projects; + Reaching an agreement among teams and giving votes; + Disclosing the number of votes for each project and arranging them by the number of votes from higher to lower Step 3: Meeting summary and evaluation
5. Necessary documents: List of the CDB members in Ao paper; Minutes of invested project list; Board, papers, chalk, etc. Table of village project status quo evaluation Criteria for project selection: Included in the list of the eligible investment projects Have the highest number of beneficiaries in the village; Have little or no impact on the environment; Have little impact on movement, compensation, and resettlement; Easy to implement, and everyone in the village is able to participate in implementation; Not coincide with other programmes/projects; Have a short time of work execution Placed where there are many CIGs established by the Project Suitable with the project expenditure Giving priority to females (Forms I - 3 and I - 4 attached)
II. COST ESTIMATE OF VILLAGE/HAMLET 1. Contents:
THE
PROJECT
SELECTED
BY
THE
- Classifying the projects selected by the people in the village; - Carrying out field surveys to these projects, and making estimate of
main volumes;
- Making basic cost estimate based on the investment rate

2. Purposes and Results to be achieved: Preliminary cost estimate of investment in the projects selected by the people for submission to the commune and meeting for final selection is obtained. 3. Participants:
- DPMO support staff or PPMU infrastructure staff - Key staff of the CDB, and Village Development Board.
4. Order of implementation:
- The projects proposed and selected by the people are classified into
2 types: new construction works and improved construction works;
- Carrying out surveys of the project status quo;

+ The survey participants record necessary data such as scope description, status quo, number of beneficiaries, etc. and make preliminary estimates of the main volumes; + Collecting opinions of the survey participants, discussing and reaching an agreement to make construction cost estimates for the projects according to form I - 5 (Notes: The project Investigation, survey and cost estimate steps require the efficient support of DPMO staff and PPMU infrastructure staff) III. COMMUNE MEETING FOR COMMUNE PROJECT SELECTION 1. Contents:
- Representatives of the villages introduce the proposed projects

selected by the people;
- Summarizing the projects of the communes villages;

- Comparing the projects with the selection criteria; - Voting to select projects
2. Purposes and Results to be achieved: The proposals of the villages/hamlets are summarized to select the commune projects in a fair and democratic manner 3. Participants:
- All the members of the CDB; - Heads and secretaries of the villages; - Representatives of the Communist Party, Youth Union, and social
organizations of the commune;
- DPMO and PPMU staff (If any)

4. Order of implementation: Step 1: Preparation; Step 2: Meeting process:
- Head of the CDB presides over and introduces the participants,

contents, and purposes of the meeting;
- Representatives of the villages present their villages project selection

and proposal results;
- Representative of the CDB presents the criteria of project selection to

the commune;
- District support staff instructs on project selection by voting method; - Summarizing and evaluating the meeting, reaching an agreement on
the minutes and signing thereon according to the form Criteria for commune project selection:
- Included in the list of eligible investment projects; - Have many benefited villages and people; - Have poor villages (according to the commune evaluation); - Have many benefited poor people; - Have little or no impact on the environment;
- Have very little or no impact on movement, compensation, and

resettlement;
- Capable of self-implementation and local people contribute many

working days;
- Suitable with capital source invested and allocated to the commune; - Not coincide with the works of other projects, and have a short
execution time
- Have many CIGs supported by the project. - Expenditures for each work are suitable with the project expenditure - Project proposed by many females
(Attached forms: form I -6 and appendices) IV. PREPARING AND SUBMITTING THE PROPOSED PROJECT LIST 1. Purposes and Results to be achieved
- Preparing the proposed project list selected by the people in the

commune and submitting it to the District Peoples Committee (DPC), PPMU for appraisal and approval
- The content presents the peoples expectation and ensures validity in

terms of legal procedures and priority order
- The proposal document is bound in the regulated form, including:

+ Statement summarizing the project list; + Proposal for each project shall be bound in separate pages; + Attached appendices (If any) 2. Participants:
- CDB; - DPMO or PPMU support staff (if required)

3. How to make a statement:
- Name of project: as stated in the statement; - Construction location: Writing the exact name of work position named
by the locality according to the village/hamlet and commune
- Briefly describing the project scope and its status quo; - Giving preliminary investment cost estimate
- Expected implementation time (It is possible to consult PPMU or

DPMO staff);
- Methods of implementation
(Attached forms: form I-7 and appendices) (Notes: The representative signatures of the followings are required in the proposal: Head of the CDB, DPMO support staff) V. APPRAISAL & APPROVAL OF PROJECT PROPOSAL 1. Purposes and Results to be achieved:
- PPMU makes a decision on agreeing with the project list in

accordance with the project objectives;
- DPC appraises and makes a decision on approving the communes

proposals submitted by the CDB 2. Participants:
- Specialized department of the relevant districts (Department of

Finance - Planning, Department of Industry and Trade)
- DPMO - DPC, and PPMU

3. Steps of implementation:
- CDB submits the proposals to PPMU for consideration whether the

proposed project lists are suitable with the project objectives and then making a decision on approving the proposed list
- CDB submits the proposals to the DPC; - Group of specialized departments (Department of Industry and Trade,
Department of Finance - Planning) appraises the proposal and submits it to the DPC;
- Based on the written evaluation of the appraisal team, the DPC gives
its approval according to the following criteria: + Project eligibility; + Preliminary technical feasibility; + Financial capacity; + Resettlement and compensation issues; + Local Peoples contribution possibility;
+ Possibility of coincidence with other projects + Suitability with the project objectives (Forms I-8 to I - 12 with attached appendices) VI. NOTIFICATION OF THE PROJECTS SELECTED BY THE DISTRICT TO THE VILLAGES/HAMLETS 1. Contents: Notifying the projects in the villages and commune selected by DPC; Notifying the peoples responsibilities, rights, and duties with the project
2. Purposes and Results to be achieved: Purposes:
Informing the people in the village about the proposed projects selected and rational reasons for not choosing other proposed projects Results:
People in the village know about the projects executed in their village and commune. They have practical activities to prepare for the participation in building and contributing to the projects 3. Order of implementation: After the commune meeting, the village representatives will post up the list of projects appraised and selected by the district at public sites or the village bulletin Informing on the village radio station; Notifying to the people in meetings
PART II SURVEY, DESIGN AND PREPARATION OF ECO-TECHNICAL REPORT The survey, design, and preparation of estimate and eco-technical report for the projects include the following tasks: 1. Selecting consultants on survey, design and preparing eco-technical report; 2. Process of survey, design and preparing eco-technical report; 3. Holding village/hamlet meetings for approving the project survey and design plans; 4. Acceptance of eco-technical report and construction drawing; 5. Submission, appraisal, approval of eco-technical report and construction drawing. Because these tasks require highly qualified staff in CDBs, DPMO and PPMU infrastructure staff are required to provide frequent support to the CDBs for the best quality outputs; I. Selection of consultants on survey, design and preparing ecotechnical report 1. Purposes and results: Selecting the most capable contractor on survey, design and eco-technical report preparation to meet the quality and progress of the project 2. Persons in charge: Head of CDB DPMO support staff (Commune support)
3. Steps of implementation: Step 1: Preparing and approving the TOR With the support of the DPMOs TA staff, CDB sets up the provisions on tasks of survey and design consultant based on the approval decision according to form II -1 Step 2: Sending invitation letter for expression of interest
Based on the list of potential consultancy bidders provided by DPI, PPMU, DPMO or the contractors implementing these tasks in the commune, CDB will send an invitation letter for expression of interest to at least 03 bidders according to form II - 2
Step 3: Learning the list of eligible and capable bidders and selecting the contractor Inviting bidders to submit Documents of capacity, experience, etc. to confirm their capacity Considering, evaluating and selecting the most capable bidders for contract negotiation based on the bidders Document of capacity and with the support of district TA staff, and PPMU infrastructure staff Step 3: Invitation for contract negotiation and signing
After the result of selecting the consultant for survey, design and ecotechnical report preparation is available; CDB will send the selected bidder an invitation letter for contract negotiation according to form II - 3 Step 4: Contract negotiation Carrying out the contract negotiation with the consultant based on the tasks approved. The negotiation content includes: + General regulations + Consultants tasks + Contract price + Form of contract + Contract implementation time + Payment method and progress of contract. The negotiation minutes are prepared according to form II - 4 with the signature of representatives of the related parties (CDB, Contractor) Notes: These processes require the support by DPMO or PPMU staff Step 5: Preparing a written approval on Single-source selection and contract signing The CDB prepares an approval decision on result of selecting the consultant for survey, design and economic-technical report preparation according to form II - 5 Signing contract with the consultancy contractor (According to form II 6)
II. Survey, design and preparation of eco-technical report 1. Purposes and results:
The project documents of execution design drawing and eco-technical report are the basic legal documents to implement the following tasks: bidding, managing and monitoring the work execution, carrying out payment and final settlement of accounts and the work acceptance. These documents are also the basis for such implementation during operation, and maintenance. 2. Participants: CDB Employed consultant Heads and leadership of villages DPMO and PPMU TA staff
3. Steps of implementation: a) Survey: Based on approved tasks for the survey and design consultant, the employed consultant sets up survey plan for the project and submits it to the CDB for approval CDB issues a decision on survey plan approval The consultant carries out the project survey according to the approved plan Making survey report and submitting it to the CDB for approval CDB approves the survey report by the consultant
b) Designing, making estimates and preparing economic-technical report: Based on the survey result, the consultant sets up the design plan, and makes estimates and economic-technical report for the project
Notes: When designing works with simple techniques, the model design plan and shaped design should be taken full advantage. The design plan must ensure the highest economic benefit, smallest land area and least compensation, with little impact on the environment, etc. The economic-technical report must clearly show the socio-economic development targets of the area or village/hamlet as well as the targets related to the projects monitoring and evaluation indicators such as number of beneficiaries, irrigated land area, etc. and clarify the number and value of the peoples contribution and of the Project, or contribution forms by the beneficiaries, etc.
During the survey and design, the consultant must consult the benefited communities, villages as well as commune governments to have the most feasible plan. CDB should monitor all of this process of the consultant. DPMO and PPMU staff will support the CDB during this monitoring process. III. Village/hamlet meeting for approval on the project survey and design plans 1. Purposes and results: Informing the plans and results of project survey and design to the village/hamlet people Helping the village/hamlet people and beneficiaries of the Project be informed about the design plan, and their contribution responsibility and other responsibilities with the project
2. Participants : CDB Employed consultant Village/hamlet leadership DPMO and PPMU staff Representatives of the benefited village people
3. Steps of implementation: Holding commune meetings to inform the CDB members Informing the commune people by: + Posting up the design plans at the commune head office + Informing on the radio station of the village + Directly informing the villages Holding meetings of all the commune people for the plan approval, discussing and reaching an agreement on: + Responsibilities, rights and duties of the people with the project + Duties of the people with the reciprocal contribution as 10% of the project + Method of the work organization, execution, and monitoring with the peoples participation + Compensation and site clearance plans
All of these processes are recorded in minutes with the agreement and signature of CDB, and heads of villages attached with the list of households according to form II - 7 IV. Acceptance on results of the survey, design and eco-technical report 1. Purposes and results: Preparing the minutes of acceptance on the quality of survey, design and ecotechnical report in accordance with regulations and contracts
2. Participants: CDB Employed consultant Support by DPMO and PPMU staff
3. Steps of implementation: Evaluating the quality of survey and design compared to the applicable survey and design tasks and standards Checking the form and quantity of survey and design result reports Making acceptance on the volume of construction survey work according to the signed contract of construction survey Preparing minutes and reaching an agreement on accepting survey and design according to form II - 8
V. Submission, appraisal, and approval of eco-technical report, design of shop drawing, estimate and project bidding plan 1. Purposes and results: Achieving a decision on approving the Document of execution technique design, estimate, eco-technical report and the project bidding plan as a legal basis for CDB to organize the bid, select contractor and execute the works. 2. Participants: CDB submits the Document of design, estimate, eco-technical report and the project bidding plan The districts specialized departments (Department of Industry and Trade, Department of Finance Planning) are assigned to be responsible for appraisal The DPC issues a decision on approval
3. Steps of implementation: Step 1: CDB makes a statement and submits it to the districts relevant specialized departments for appraisal and approval of the Document of design, estimate, eco-technical report and the project bidding plan with the support of the DPMO and PPMU staff according to form II - 9 Step 2: DPC assigns the relevant departments to carry out appraisal and submit appraisal report or revision (If any) Step 3: DPC issues a decision on approval based on the appraisal report by specialized departments
Notes: These steps are implemented with the DPMO and PPMU staff support
PART III METHODS OF BIDDING AND BIDDER SELECTION GENERAL INSTRUCTIONS To ensure strict compliance with recommendations by IFAD in procurement and bidding, the Commune Development Board needs to be aware of the following issues during the project implementation: Complying with the Decision No. 2025/2009/QD-UBND dated September 7, 2009 by the PPC on issuing instructions of management, use and disbursement procedure of CIF source, and not misapplying the regulations negotiated by IFAD and the PPC (via instructions and manual). During selection of consultant, CDB should pay attention to the consultants capacities and set up requirements for the consultant such as document quality, and completion period, and should carry out cautious negotiation before making the decision on appointment of consultant. CDB shall actively control the implementation time and avoid the case of excessive workload on the consultant that leads to delay of the project progress Actively contacting the districts specialized departments for record & document appraisal and approval Avoiding unclear and non-transparent situations in bidding that were warned by IFAD such as: + Same font and size in the documents
+ Minor difference in bid prices by the bidders + Bidders participating in the bid packages all win the bid respectively + If any evidence of bid rigging is found by IFAD, the loan provision will be ended and the whole province has to take responsibility for this problem. METHODS OF BIDDING IN THE PROJECT According to general regulations by IFAD, the Project divides the methods of bidding according to the following bid package prices: 1. For the project with bid package price > 60,000 USD (or an equivalent amount in VND at the current exchange rate) The method of single envelope competitive bidding shall be applied. Bidding documents and Bids shall be prepared in both English and Vietnamese. The opinions and approval by IFAD shall be obtained before the project implementation 2. For the project with bid package price > 30.000 USD up to 60.000 USD (Or an equivalent amount in VND at the current exchange rate): The method of local competitive bidding shall be applied 3. For the project with bid package price 30.000 USD (Or an equivalent amount in VND at the current exchange rate): The method of local competitive bidding or appointment of contractors shall be applied 4. For the project with bid package price < 300 million VND: The force account method can be applied. When this method is applied, the Owner should pay careful attention to capacity, labor mobilization capacity, equipment and machines for implementation and supervision in accordance with the articles No.7 to No.13 of the Decision 2025/QD-UB dated September 7, 2009 Note: For consultancy and supervision packages, Bid preparation and evaluation packages consultancy, and insurance packages, the method of appointment of contractor shall be applied due to relatively small bid package value. The order for this will be similar to the appointment of contractor of survey and design consultancy. Due to the relatively small value of the projects works, the process of submission, appraisal and approval of the bidding plan may be
immediately implemented during the submission, approval and appraisal of economic and technical statements; CDBs may employ consultant for bidding management (From the document preparation, submission and approval to the signing of the construction contract with contractors). In case, CDBs are of full capacity to carry out the work, they can implement this process by themselves under supervision and with the support of DPMO, PPMU officials.
The content of bidding for construction contractor selection in the competitive bidding shall include the following steps: Step 1: Submission, appraisal and approval of the bidding plan Step 2: Preparation, submission, appraisal and approval of the bidding document Step 3: Invitation for bids Step 5: Opening and evaluation of bids Step 6: Submission, appraisal and approval of bidding results Step 7: Notification of bidding results Step 8: Negotiation and signing of the construction contract
In this part, we shall only present the procedures of Bidder selection for construction contracts. The order of bidder selection for bidding preparation and management consultancy, consultancy and supervision and insurance package shall be applied according to part 2 Selection of consultant for survey, design and preparation of eco technical statements.
A. THE METHOD OF LOCAL COMPETITIVE BIDDING
I. SUBMISSION, APPRAISAL AND APPROVAL OF THE BIDDING PLAN Due to relatively small value of the projects works, this step may be carried out simultaneously with the submission, appraisal and approval of economic and technical statements. However, this part shall be introduced separately here. 1. Purposes and results: To obtain a specific plan that helps CDB carry out the bidder selection in compliance with the right method and project progress.
2. Participants:
The commune development board (CDB) (Or the employed consultant) DPMO, PPMU Support officials The districts departments (Offices of Industry and Trade, Finance Planning) The District Peoples Committee
3. Content: The content of the bidding plan shall include: The packages shall be divided into consultancy and supervision package, construction package, insurance package and bid management consultancy package Prices and capitals for packages + Price for construction package shall be determined basing on the total estimate, and the project estimate. It is necessary to clearly mention the contribution by the local people in terms of materials, workforce and cash (If any) in the bid package price + Price of consultancy package shall be determined basing on the cost norms pursuant to the circulars, decrees by the Government and concerned Ministries and Industries for each relevant task. Method of bidder selection: the method of bidder selection for each package shall be specified. + Construction package: whether the package in the form of competitive bidding, appointment of contractor or force account shall be specified. + Consultancy package: Only the method of appointment of contractor shall be applied. Bidding organization period for each package: the period from the issuance of bidding document to the notification of bidding results which will be specified in the bidding plan. Type of contract: types of contracts (Price adjustment, non-price adjustment, etc.) shall be specified. The selection of contract types shall be subject to the nature and time of the bid package implementation Contract implementation time shall be determined basing on the approved project progress and the actual capacity for bid package implementation Bidding plan documents submitted for appraisal and approval:
Implemented task: (For example, survey, design, and consultancy for bidding management, etc.) Non-bid tasks (For example, site clearance, compensation, etc.) Bidding plan: As the above content Attached appendices (If any)
4. Steps of implementation: Step 1: Bidding plan submission for appraisal CDB (Or the employed consultant but signed by the head of CDB) shall prepare the statement and submit it to the districts office of finance planning for the bidding plan appraisal The districts office of finance planning verifies the bidding plan in compliance with regulations of the Law on bidding and provides appraisal report Step 2: Approval of bidding plan Based on the appraisal report, CDB (Or the employed consultant but signed by the head of CDB) shall prepare and submit the bidding plan statement to the DPC for approval according to form III - 1 The DPC shall make decision on approving the bidding plan
II. PREPARATION, SUBMISSION, APPRAISAL AND APPROVAL OF THE TENDER DOSSIER 1. Purposes and results: To obtain a quality tender dossier for bidding
2. Participants: CDB The employed consultant The Districts specialized departments (Office of Finance - planning, industry and trade, etc.)
3. Contents of the tender dossier: Refer to the form of small-scaled construction tender dossier by the Ministry of Planning and Investment 4. Order of implementation steps: Step 1: Preparation of Tender Dossier
The employed consultant shall prepare the tender dossier for the project The content is as the aforesaid and according to the form of tender dossier for small-scaled project (issued by the Ministry of Planning and Investment) Step 2: Appraisal of tender dossier CDB (Or the employed consultant but signed by the head of CDB) shall prepare the statement according to form III - 2 and submit it to the districts office of finance planning for tender dossier appraisal The districts office of finance planning shall verify the tender dossier in accordance with regulations of the Law on bidding and shall issue the appraisal report Step 3: Approval of tender dossier Based on the appraisal report, CDB shall make decision on approving the tender dossier according to form III - 3
III. INVITATION FOR BIDS AND SALE & ISSUANCE OF TENDER DOSSIER 1. Purposes and results: Bidders in the area can know the bidding information of the project Obtain the list of participating bidders
2. Participants: The Commune Development Board The commune community supervision board Mass media (Newspapers, television, radio, etc.) The employed consultant
3. Steps of implementation: Step 1: Invitation for bids Based on the bidding plan, CDB (or the employed consultant but signed by the head of CDB) drafts the invitation for bids and sends to newspaper and television, etc. according to form III - 4 Step 2: Issuing tender dossier to Bidders
Bidders will come to buy the tender dossier as stated in the invitation for bids. The participating bidders shall be required to present:
Referral of the bidders representative (with seal and signature by the bidders representative) Identity documents of the buyer (ID card, driving license, etc.) Step 3: Bid closing At the time as specified in the invitation for bids, the bid closing shall be carried out before the witness of members of the Team of Bidding Experts (The team of bidding experts may be the employed consultant or members of CDB if qualified) Prepare minutes of bid closing according to form III - 5 All bids submitted after the specified time will not be opened and returned to the bidders with original seal The bids must be maintained according to the policy of confidential document management
IV. OPENING AND EVALUATION OF THE BIDS A. Bid opening 1. Participants: 2. The bidding consultancy team CDB The community supervision board Participating bidders DPMO, PPMU (If any) Steps of implementation: At the time and place as specified in the invitation for bids, open bids of the bidders before the witness of the parties involved
The team of bidding experts shall open the Bids of the bidders and reads loudly the following information: + Bidders name + Bid price + Discount (If any) + Bid bond + Other necessary information - CDB (Or the employed consultant) shall prepare the minutes of bid opening according to form III - 6 B. Evaluation of bids 1. Purposes and results:
To select the best qualified bidder who offers the lowest price for the project implementation 2. Participants: Team of bidding experts CDB DPMO, PPMU Officials (If any)
3. Steps of implementation: Principles: Only the bid evaluation criteria approved in the tender dossier shall be used for evaluation of bids Ensure confidentiality, justice, and impartiality during the evaluation process. Issues to be clarified about the bidders Bids shall be in writing and agreed and signed by the head of CDB and sent to the bidders Order: Checking the eligible status of the bidders: Whether the bid bond is fully prepared and meets basic requirements according to the tender dossier? The Bids must pass preliminary review steps to be reviewed in the next round Evaluating the bidders experience and capacity: the evaluation criteria in the tender dossier shall be used for evaluation of the Bids. Only documents that meet the above criteria may go to the next round Finance evaluation: Check the price and arithmetic errors, discount calculations, and adjust differences compared to the tender dossier Preparing evaluation report: based on the evaluation results by experts, the team of bidding experts shall prepare the bid evaluation report and submit it to the authorities for appraisal and approval according to the Decree No. 85/2009/ND-CP
Bidder who offers the bid that meets all requirements on experience, technical and financial capacity as provided in the tender dossier and offers the lowest bid price will be recommended for contract award Note: During the evaluation process, the experts may carry out independent evaluation or evaluation with the approval of the whole team. All members of the expert team must sign the final evaluation report.
V. SUBMISSION, APPRAISAL AND APPROVAL OF BIDDING RESULTS 1. Purposes and results: To obtain the bidding approval result and select contractor for the project implementation 2. Participants: CDB (Head of the board) Team of bidding experts PPMU, DPMO officials (if required) Districts specialized departments (Offices of finance-planning, industry and trade)
3. Steps of implementation: Step 1: Preparation of statement and submission of bidding result for appraisal The team of bidding experts shall prepare the statement of bidding results for appraisal (Signed and sealed by the head of CDB) and submits it to the districts specialized departments for appraisal according to form III - 7 (Note: The statements must be arranged in the order in which the winning bidder shall be at the first rank followed by next bidders attached with the following documents: Evaluation report, bids and bidding document) The districts specialized departments shall carry out appraisal of the bidding results and issues appraisal report Step 2: Approval of bidding results Based on the appraisal report, CDB shall issue the decision on Approving the bidding results according to form III - 8
VI. NOTIFICATION OF BIDDING RESULTS: 1. Purposes and results: To notify the project bidding results to the bidders, concerned agencies and the whole people in the commune 2. Participants: CDB DPMO, PPMU Officials (If required)
3. Steps of implementation:
CDB shall notify the award notice according to form III - 9 to the bidders and concerned agencies, and then shall invite the successful bidder to come for negotiation and signing the contract. VII. NEGOTIATION AND SIGNING OF CONTRACT
1. Purposes and results: To obtain basic agreement on the construction contract To sign the construction contract
2. Participants: CDB The successful bidder DPMO, PPMU representatives (If required)
3. Content: CDB and successful bidder shall meet and negotiate the contract with the following contents: Construction engineering (Criteria to be applied, construction order, etc.) Construction period Contract form Contract value Advance, payment and final settlement of accounts and warranty
After agreement, the parties shall prepare the minutes according to form III - 10 Contract signing: CDB shall sign the construction contract with the successful bidder before the witness of the parties involved: DPMO, PPMU, Community Supervision Board, Commune Peoples Committee, etc. The contract shall be prepared in accordance with form III - 11
B. COMMUNITY BIDDING AND CONSTRUCTION OF COMMUNITY BIDDING WORKS 1. Regulations on community bid packages Definition: Community bidding is a process of selecting bidder who is a mass organization, household group or local people group to carry out the construction package which has the value of less than 300 million VND funded by IFAD Programme. The community bid packages are those of small-scaled and simple works within the scope of hamlet and village such as, house of culture, classroom (primary school, preschool), drying oven for agricultural products, etc. or the package that combines separate and small work items which have the following features: + Bid package value of less than 300 million VND + Simple technical work that can be carried by the local people, mainly using handicraft labors and available materials in local area + Being approved in the bidding plan 2. Purposes: To facilitate the local people to directly participate in implementing the programme of IFAD project in the local area The local people will get employment, use their knowledge, carry out simple work and use available materials in the local area to increase their income and help to reduce poverty To empower rights to the local people for taking ownership and promote the sustainability of the works
3. Bidding participants: Social mass organizations such as, Farmers Association, Veterans Association, Womens Association, Youth Union, and the participation shall be specified as follows: + At least more than 50% of the members agreeing on bidding participation by the union and association + Having enough time, labors and experience for implementing the package The participation of the household group, and people groups in the commune shall be specified as follows:
+ All groups members are local people (who have permanent residence in the commune) + Representatives of household group and local people group are not under sentence execution period + Having enough time, labors and experience for implementing the package 4. Steps of implementation: Step 1: Provision of the work survey and design: According to requirements, almost these work items only require simple techniques and their value is small. Therefore, the survey, design and preparation of economic technical statement may use the shaped design and sample design provided by DPMO and PPMU. According to the decision No. 2025/QD-UBND dated September 7, 2009 by Cao Bang PPC, the preparation of the economic technical statement for the package value of less than 300 million VND will not be required. When providing the shaped design, and sample design for the work, DPMO or PPMU shall full provide both quantity and detailed estimate, total estimate for the Commune Development Boards Step 2: Bidding plan: Based on the economic technical statement and the shop drawing design, total work estimate, the Commune Development Board (Or individual employed consultant) shall prepare the bidding plan with support of the DPMO and PPMU officials according to form III.B - 1 Contents of the bidding plan: + Bid package name: When assigning the tasks and grouping project tasks into a bid package, CDB should provide a name for such package to fit the purposes of tasks specified by the project + Bid package price: the total amount estimated to be allocated for the work execution. To calculate the package price, the CDB shall base on the approved estimate (if any) or the states regulations on expenditure norm or on the market price depending on the information the CDB obtain. For the community package, the package price must be less than 300 million VND + Funds for the bid package: 90% from IFAD capital and 10% from the contribution capital + Method of bidder selection: Community bidding
+ Time for bidder selection: The time shall be counted from the time CDB gives public notification of the bid package to the time of signing contract with the selected community bidder. This time shall be suitable with the projects progress in the economic technical statement + Contract form: Due to simple and small-scaled nature of the tasks and work, the Commune Development Board needs to specify the contract form as Fixed-price Contract + Time of contract execution: The time of contract execution shall be calculated from the time the Commune Development Board signs the contract with the community bidder to the time the bidder finishes and hands over the products and work to CDB. CDB should calculate this time for ensuring the fulfillment of the tasks in accordance with the time of project implementation Submitting the bidding plan for appraisal: The Commune Development Board submits the bidding plan to the Districts specialized departments for review and appraisal. The submission document shall include: + Statement according to form III.B - 2 + Bidding plan according to form III.B - 1 + Other related documents The districts departments shall carry out appraisal of the bidding plan CDB shall issue decision on approving the bidding plan according to form III.B - 3 Step 3: Invitation for bids Based on the approved bidding plan, CDB shall publicly notify the construction work or goods to be provided so that all commune people are aware of and register for participation. The invitation for community bid shall be in accordance with form III.B - 4 Form of notification: Posting notice on the bulletin of the hamlet, commune, or reading on radio station of such hamlet, commune. Step 4: Setting up selection criteria: CDB shall set up criteria on selecting execution community and submits to the commune Peoples Committee for approval. The selection criteria must be simple, understandable and close to specific requirements of each work as well as specific conditions of each commune/hamlet. In addition to the price, there are some suggestions for the content of these criteria:
+ Foreman steering the execution community shall be required. The foreman shall be experienced in the works of the similar nature in the area. The more skilled and experienced foreman shall be preferred. + Community of plentiful women, ethnic minority people and the poor shall be given priority for realizing the motto of Local people get the works and employments to increase income and improve living standards in terms of material and spirit for the people Step 5: Public meeting with the local community shall be held to introduce the assignment to be done in order to provide the local people with necessary information about the bid package:
Meeting contents: Description of the work, construction location Technical requirements of the work Time of execution Anticipated bid package price Quality requirements of the work Deadline for registration of bidding participation Step 6: The mass organizations, and household (local people) group shall prepare documents and workforce to participate in negotiation and bidding Based on the work load, technical requirements, materials and working days, the mass organizations or household group/local people group shall discuss to agree on the bid price and conditions for executing the bid package in order to prepare for the negotiation and bidding process The mass organizations, and household (local people) group shall appoint 1 representative to participate in the negotiation (The representative must be agreed by at least 70% of the group members and the written election document shall be required) Preparing necessary documents relating to for the capacity of bid package execution: workforce (labors), experience, skills, materials, anticipated methods (plans) of executing the bid package (the list of workforce, experience, skills and proposed preliminary execution plan shall be required) Step 7: Selection of community bidder:
In the event only one mass organization or household group, or local people group takes charge of executing the bid package, such mass organization, household group, or local people group shall appoint a representative to negotiate with CDB. During the negotiation, CDB will be responsible for obviously explaining purposes, meanings and tasks to be implemented by the bidder so that the local people understand thoroughly the tasks. Specifically, the following main issues will be discussed: + Work load to be done + Amount to be paid (working days) + Working time and deadline for work accomplishment + Work quality to be obtained and conditions of acceptance, signing the minutes of acceptance as the basis for payment + List of the people committed to participating in the work implementation
In case a number of mass organizations/ household groups, or local people groups (The Youth Union, Women Association, Veterans Association, Co-operative teams and mason team) wish to execute the bid package, the bidder who proposes the lowest price will win the bid and be invited to negotiate for contract signing. If such negotiation fails, the bidder who offer the second, third lowest price will be invited respectively Step 8: Preparing documents for proposing appraisal and approval of bidding results: Head of CDB shall prepare the statement according to form III.B - 5, and submit it to the districts departments for appraisal of bidding results. The content shall include: + Evidences proving that the method of work execution applied is force account: small capital, simple nature, using handicraftsmen as the main labor force, available materials for the work, etc. + Evidences showing that CDB is qualified to execute the work themselves: specifying the name of the mass organization/union that can take charge of, and execution capacity, experience and prestige of such organization, etc. + The work value approved in the investment report + Construction period + Other issues
The districts departments shall verify and provide appraisal report CDB makes approval decision according to form III.B - 6 Step 9: Contract negotiation and signing After getting the approval result, the Commune Development Board invites the bidder and negotiates the contract signing according to the following principles: + The contract price must not exceed the approved work estimate + Controlling the labor price at a flat rate paid by the community bidder according to this price basing on the market price and within the norm (With calculation under the support of DPMO & PPMU officials)
Head of CDB shall sign the contract with the representative of the construction contractor The contract is signed
5. Construction, payment and final settlement of accounts of the community bidding works For CDB: After the contract is signed, CDB shall make an advance to the contractor at least 50% of the contract value (but not exceed the capital planned or the year estimate arranged for the package) During the contract implementation, CDB or community supervision board shall appoint technical officials to instruct the people to implement the work in accordance with requirements of construction engineering, criteria and code. CDB, community supervision board and the representative of beneficiary shall carry out acceptance of each work item as the basis for payment made to the people For the successful mass organization/ household group The successful mass organization/ household group shall prepare materials, and labors to implement the package in accordance with technical requirements and the package execution period mentioned in the contract The successful mass organization/ household group shall propose CDB to provide forms of documents serving the disbursement, payment and final settlement of accounts (timekeeping table, material purchase receipt from local people, table of finished workload, etc.)
Executing the work in accordance with technical requirements of the owner Payment and final settlement of accounts The contract shall be signed by and between CDB and the mass organization, household group or local people group who execute the package. Such contract shall not require the seal of party B. The table of finished workload must be signed by CDB and the representative of the team, household group, or local people group executing the package and the supervisors (supervision and consultancy, community supervision board) CDB shall prepare the proposed document of advance payment, and payment for the team, groups of households/local people in charge of execution in order to directly pay for individuals participating in execution of the work. In case the representative of the execution team/group has a bank account, the State Treasury will transfer money to such account as required by CDB Based on the contract terms and the execution progress, CDB will determine the advance level appropriately to the investment capital demand of the project which shall not exceed the real capital demand for the execution team, and group of household/people. CDB and the community supervision board are responsible for closely supervising the wage payment for execution participants
The purchase receipt for materials such as rock, sand, gravel, bamboo, neohouzeaua, and wood exploited in the commune area is not required. The seller and buyer can declare by themselves and with confirmation of the head of village and the commune Peoples Committee in the selling area; the two sides can determine the price and quality themselves but the price shall not exceed the average market price in the district area.
PART IV: PROCESS OF WORKS QUALITY MANAGEMENT GENERAL INSTRUCTIONS During the implementation of acceptance, CDB shall give top priority to the quality management. Supervision of the work shall comply with management regulations of the State and IFAD and shall be implemented as follows: CDB: supervision personnel (called the Owner supervisor) shall be required to take charge of supervising progress, solving problems arising during the execution, etc. and quality supervision, inspection of internal acceptance document of the contractor, preparing A- B acceptance document if qualified (Employing a consultant is recommended because the quality supervisor is required to obtain the supervision certificate appropriate with the project scope). Supervision consultant: in case the supervision consultant is employed by the owner, the consultant shall act as the Owners representative for supervising the work and preparing quality acceptance documents, checking the progress, solving problems arising at the construction site and preparing reports to the Owner as provided (note: although the consultant is employed, the Owner shall still be responsible for its supervision task as an Owner). Community supervisor: all CIF works shall require the community supervision board participating in supervising the execution process, checking the signature in acceptance document (The community supervision board implements in accordance with regulations in the Decision No. 2025/2009/QD-UB by Cao Bang PPC and the Decision No. 80/2005/QD - TTg dated 18 April 2005 by the Prime Minister on the community investment supervision rules and the joint Circular No. 04/2006/TTLT-KH&DT-UBTUMTTQVN-TC dated 4 December 2006 by the Ministry of Planning and Investment Standing Board of Vietnam Fatherland Front Central Committee Ministry of Finance on guiding the implementation of the Decision No. 80/2005/QD-TTg dated 18 April 2005 by the Prime Minister).
Steps of implementation: Step 1: Preparing the Contract of Employing the Supervision Consultant Step 2: Establishing the community supervision board and the community supervision team Step 3: Handing over the execution area to the contractor
Step 4: Managing the execution and accepting, and handing over the project for putting it into use Step 5: Management of Additional works
I. SELECTION OF SUPERVISION CONSULTANT The selection procedure of supervision consultant for CDB is similar to the selection of survey and design consultant and preparing eco technical report. Note: The supervision consultant may be: An organization, company Individual (Complying with regulations of the Law on Construction, Decree No. 209 and Decree No. 12 by the Government) The supervision consultants shall be required to provide appropriate diploma, certificate and practice certificate of supervision, etc.
II. ESTABLISHMENT OF COMMUNITY SUPERVISION BOARD 1. Purposes and results: The establishment is to ensure that the work shall be constructed in accordance with the given objective, quality, time and anticipated expenditure as well as facilitate the people benefited from the project to directly participate in management and supervision of implementation process on a democratic, public and transparent basis; The community supervision board and community supervision group shall be positioned in CDBs and hamlets respectively for the project
2. Participants: The community supervision board shall include 3 to 5 persons who are members of CDB and directly benefited from the project (for example, Head of the village, deputy head of the village, farmer association, etc.) At least 1 person who owns certain knowledge of construction engineering or management of construction process (he/she can be the construction or cadastral official in the commune, etc.) shall be required.
3. Obligations and rights: Coordinating with the employed supervision consultant to implement daily checking and supervision of the work construction in terms of construction quantity and quality, cost and time for accomplishment of the work items
Proposing to the head of CDB to suspend execution of the work when the poor quality and quantity of work and violation of implementation time are found during the construction. Opening the journal of the community supervision board, regularly taking note of the execution condition of the work, preparing periodic and regular reports of the execution condition and submitting it to CDB Presenting CDB to acquire opinions from local people on any issue related to the construction of the work
4. Supervision method and approach: The selection of appropriate regime and frequency of regular or periodic checking and supervision shall be based on specific conditions of each commune, and the number as well as nature, scale of the work and capacity of the members of the supervision board Methods: the following methods shall be applied: Intuitive inspection: Directly touching, listening, knocking and looking at the parts or components, or materials used for the work in order to inspect and evaluate quality of such parts or components of the work; Inspection shall be carried out by using simple measuring tools such as ruler, measuring tape, etc. to inspect the size of structure and materials, etc. for the work
5. Order of implementation: Supervising preparations for the construction: checking the construction area, construction site, landmarks, electricity and water supply systems to the site, number of material types used for the construction The inspection of the implementation process of the Contractor at site: Check the centre line, landmark, size and time, etc. and other tasks according to the design, shall be carried out together with the supervision consultant. Participating in final acceptance of the work parts. Taking note and delivering periodic reports, receiving and making reports of the opinions by the local people to CDB. Participating in acceptance and handing over of the project for putting it into use
Steps of implementation are specified as follows:
Inspecting preparations for construction: + Documents, design drawings + Construction area, construction site + Materials provided for construction of the work
Regular/ periodic inspection of the execution quality: + According to each type of work: excavation, backfilling, etc. + According to parts and structure: Foundation, surface, walls, etc.
Confirming the work quantity and quality: + Agreeing with the supervision consultant on quantity and quality of the finished work items.
Taking note and reporting the implementation status: + Taking note of the implemented works on daily basis + Proposing ideas to the supervision consultant and DPMO, PPMU staff at site
Participating in the work acceptance and hand-over: + Contributing opinions on quality, time and cost of the execution + On behalf of the CDB, notifying the local people the issues relating to construction process
III. HANDING OVER CONTRACTOR:
THE
CONSTRUCTION
AREA
TO
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1. Purposes and results: To hand over the construction locations, landmarks, the works direction and technical issues relating to the work to the contractor The contractor shall take over the construction area, main landmarks as well as other issues related to execute the work
2. Participants: CDB Design consultant Supervision consultant Contractor The community supervision board
3. Steps of implementation: Based on the landmarks established during survey and design process, the design consultant shall hand over the construction area to the contractor before the witness of the supervision consultant, CDB and the community supervision board The contractor shall re-check the landmarks, location and direction of the work handed over by the design consultant (Preparing recommendation document if any defects are found) Based on the site clearance landmarks, CDB shall carry out the site clearance and hand over the site to the contractor Preparing the minutes of the land hand-over according to form IV - 1 CDB shall hand over the document to the contractor according to form IV - 2
IV. CONSTRUCTION MANAGEMENT: 1. Purposes and results: To help CDB understand the steps of quality management during construction process CDB shall manage the construction process of the work to ensure the construction quality and time as regulated in the signed contract.
2. Participants
The employed supervision consultant CDB The contractor The community supervision board
3. Steps of implementation Step 1: Inspecting the contractors process of equipment and labor force mobilization CDB together with the supervision consultant and the community supervision board shall inspect machines, equipment, and labor force proposed by the Contractor in his bid for execution of the work Step 2: Inspecting the materials prepared for the works Based on the current and general regulations of the project, CDB together with the community supervision board shall inspect the exfactory certificate of materials before using them for the works. The contractor can only use the materials after providing such certificate. Step 3: Accepting the construction work Each construction work item must be accepted in order (for example, items of excavation, wall building, layer backfill, etc.) and agreed by the supervision consultant to implement the next tasks Before accepting the construction work, the contractor must carry out internal acceptance of his own construction works and records into minutes according to form IV - 3 Implementing acceptance of the construction work. Participants in acceptance: The supervision consultant, representative of the contractor (It is possible to invite CDB and the community supervisor if required) according to form IV - 4 Step 4: Final acceptance of the construction work item: The final acceptance of the construction works for all big or hidden finished items shall be carried out (for example: excavation, backfilling, wall building, and plastering work items ) Before final acceptance of the construction work items, the contractor shall carry out final internal acceptance of his construction work items and records into minutes according to form IV - 5 Implementing final acceptance of construction work items. Participants in acceptance: the supervision consultant, representative of the contractor,
CDB (It is possible to invite the community supervisor if required) according to form IV - 6 Step 5: Acceptance of the as-built document: The contractor shall prepare the as-built document and submit 07 sets of the document to CDB before the acceptance and handing over the project for putting it into use Content of the as-built document: + Volume 01: Legal documents + Volume 02: Records of works quality management Specific regulations will be mentioned in the Appendix Requirements of the as-built document CDB shall establish a team of as-built document acceptance Inspecting and accepting the as-built document. Participants include: Head (Deputy Head) of CDB, supervision consultant. Invited participants: DPMO, PPMU, the community supervision board, contractor, and such work shall be made into written document In case the acceptance can not be carried out and the contractor is required to make amendment and to complete the document, the number of days within which the contractor is requested for amendment, completion and reacceptance shall be specified. Step 7: Acceptance, hand-over of the work for putting into use: After accepting the as-built document, establishing the acceptance council to hand over and putting the works into use Participants: head of CDB as the Council Chairman, other members include: Representative of the supervision consultant, representative of the design consultant (If required) and invited participants: PPMU, DPMO and the Community supervision board Content: + Bases for acceptance + Evaluation of execution quality + Evaluation of execution progress + Evaluation of execution quantity and cost + Amendments against the approved design + Opinions of the parties
And such contents shall be made in writing with signatures and seals of the parties according to form IV - 7 V. MANAGEMENT OF ADDITIONAL WORKS: 1. Objective and output: To manage additional costs during construction of the work To overcome shortcomings that are not considered in the construction design To avoid the wastage, false statement and collusion among the parties
2. Participants: CDB The district project office, the District Peoples Committee The supervision consultant The design consultant The contractor
3. Steps of implementation: Principle: Efforts should be made to avoid arising problems caused by subjectiveness. When the problems arise, settle the expenditure increase within the scope of under 10% of the signed contract value, except for the force majeure. Step 1: Preparing the minutes of field inspection As the contractor finds out mistakes in the design and the supplement to the arising items to fulfill the work is required , the contractor should submit official document to CDB to propose for supplementing the arising items CDB shall send invitation letter to summon the concerned parties (The supervision consultant, design consultant and Community supervision board) to implement the field inspection and prepare the Minutes of field inspection according to form IV - 8 with signatures and seals of the parties Step 2: Submission of arising and additional quantity and value for approval Based on the quantity and unit price submitted by the design consultant and inspected by the supervision consultant and CDB, establish the statement of applying for the supplement of arising items (Including both
value and quantity) and submit it to the DPMO and the Districts specialized departments for appraisal. The statement shall be in accordance with form IV - 9 The districts project office and other departments shall verify and issue the appraisal document After appraisal results are issued, CDB shall make decision on approving the quantity and value of additional arising items. The approval decision shall be in accordance with form IV - 10 Step 3: Making decision of adjustment of the project estimation and delivering it to the concerned parties In case the arising value does not exceed 10% of the package value, CDB will issue a decision of adjusting total estimation of the project and deliver it to the concerned parties (DPMO, PPMU, treasury) In case the much excessive arising quantity which exceeds the approved total investment, the District Peoples Committee shall issue a decision on adjusting total investment of the project and deliver it to the concerned parties (the Commune Peoples Committee, DPMO, PPMU, Contractor, Supervision consultant, Design Consultant and treasury)
PART V: PAYMENT AND FINAL SETTLEMENT OF ACCOUNTS OF THE PROJECT I. PAYMENT As the work items of the project are only in small scale, of simple nature and require short execution time, the payment shall be divided into 02 phases: Advance for the construction contract (Maximum 50% of the Contract value) Payment upon the work completion
1. Documents submitted to the State treasury for one time: Economic technical report of the work (Issued by CDB) Decision on approving the economic technical report and total estimate for the work (Issued by CDB) The decision on approving the result of construction bidder selection (Issued by CDB) The construction contract between the Owner and the Contractor (Attached with the detailed bid award quotation per work item) (Issued by CDB) The Performance Guarantee (Issued by the Contractor if required)
2. Advance for the construction contract: Required documents for advance shall include: The advance guarantee (As required) Application for advance (Prepared by the contractor) Proposal for advance payment (Submitted to the Treasury and parties by the Development Board) according to form B01/KB Document of investment capital withdrawal (Issued by CDB) according to form C3-07/NS
3. Payment upon the works completion: After the acceptance, hand-over of the works for use, CDB shall make payment for the finished quantity of the work to the contractor. The as-built payment document shall include: The minutes of final settlement of accounts of the construction value/ quantity between the Contractor and the Owner according
to appendix form 2 of the Circular No. 06/2007/TT-BXD dated 25 July 2007 by the Ministry of Construction The official letter of payment request sent to CDB by the contractor The official letter of investment capital payment request (Issued by CDB) according to form B01/KB The document of investment capital withdrawal (Issued by CDB) according to form C3-07/NS The minutes of final acceptance and putting the project into use (Confirmed by the parties) The minutes of contract settlement according to the given form The contract appendices if any
The payment amount for the finished work shall be 95% of the value of finished quantity, and the rest as 5% shall be for the works warranty Note: During payment and final settlement of accounts of the contract between CDB and contractors, the contract shall remain valid. In case the contract becomes invalid, it is necessary to extend the contract II. FINAL SETTLEMENT OF ACCOUNTS OF THE FINISHED PROJECT: 1. Time for final settlement of accounts: According to item 1 Article 1 of the Decree No. 03/2008/ND.CP dated 7 January 2008 by the Government on supplement of a number of articles in the Decree No. 99/2007/ND-CP dated 13 June 2007 by the Government on management of the construction cost providing CDB shall be responsible for preparation of the document of final settlement of accounts of the investment capital for the finished work for the approval of the District Peoples Committee no later than 6 months from the project completion and putting into use. 2. Procedure of final settlement of accounts: The procedure shall be in accordance with the circular No. 33/2007/TT.BTC dated 9 April 2007 by the Ministry of Finance on guiding the final settlement of accounts of the finished project using the States capital resources. The document shall include:
The statement of request for approval on final settlement of accounts by CDB (Original) The report of final settlement of accounts of the finished project as provided in item II, Section II of the circular No. 33/2007/TT-BTC; including 8 forms (Refer the form according to the Circular No. 33/2007/TT-BTC) The related legal documents according to the form No. 02/QTDA (original or copy) The consultancy contracts, minutes of contract settlement (if any) between the owner and consultant, and contractor (original or copy) The minutes of final acceptance, handing over and putting the project into use (original or copy) All final settlement of accounts of the construction quantity A-B (original)
The above documents shall be made into 01 set of Report of final settlement of accounts of the finished work to send to the districts finance-planning office for appraisal 3. Submission and approval of final settlement of accounts of the finished project: CDB shall submit the Report of final settlement of accounts of the finished work to the districts finance-planning office for appraisal The districts appraisal team shall verify the Report of final settlement of accounts of the finished work The districts finance planning office shall submit it to the District Peoples Committee for approval
All above steps shall be implemented in accordance with the Circular No. 33/2007/TT- BTC dated April 9, 2007 by the Ministry of Finance guiding the final settlement of accounts of the finished project using the States capital resources.
PART VI: PROCESS OF MANAGEMENT, OPERATION AND MAINTENANCE I. PURPOSES AND CONCEPTS
1. Purposes: The purpose for issuing this manual is to provide basic knowledge of the operation regime and maintenance procedure for the infrastructure works for officials in the commune and hamlet, managers, operators, maintenance workers and other related persons. In addition, the manual shall also be used as a basis for compiling a curriculum for education, training, information dissemination and supervision, evaluation by the departments and levels for operation and maintenance of the communes infrastructure works 2. Basic concepts: Management and operation: Referring to the management of the works activity during the utilization to meet the designed economic technical criteria Maintenance: Referring to the regular task to inspect and repair the damaged items and components of the works, and to protect and maintain normal operation capacity of the works after the investment is ended. The maintenance period of the work shall be calculated from the day of acceptance and putting the works into use until the works use expires or it no longer meets the quality requirements for use Minor repair: Referring to the repair of some minor damages in some work items to recover the initial quality of such items Beneficiaries: Referring to those benefiting from results of some activities; in this case it is used to indicate the beneficiaries from IFAD programme II. SOME GENERAL REGULATIONS
1. Selecting forms of management, operation and maintenance: There are 2 forms: Organizing the in-charge group or beneficiary group: Referring to the model of specialized group who is in charge of the operation of the works in the whole year. This shall combine the decentralization for
the hamlets, pay the households, beneficiary households or labor individuals by the job to improve the rights and obligations of the parties. The advantage of this model is that the workers can work in team and group and therefore they have high sense of discipline, more basic education, and chances of improving their professional capacity, specialty and more experience thanks to longer time spending on the job. However, this form requires the commune to carry out a suitable labor arrangement and provide benefits for the worker group basing on the working regimes and polices applied to them. Direct management by the commune or village: This form shall be directly guided by an official of the commune, or village. The advantage of this form is that under the direction of the official of the commune or village, it will be easier for labor mobilization upon required. However, the use of labor force in such way shall suffer the lack of synchronization and workers skills. 2. Organization of operation and maintenance forces: Selection of participants: Selection criteria: Having knowledge of the formation of the works main items, construction engineering, normal damage types and process of management, operation and maintenance of the work. The priority should be given to those who are experienced in construction field Having knowledge of technical process, finance, labor organization for the task of the team and group Having skills of communication, dissemination of information, mobilization of the peoples participation, listening to the input or feedbacks from the local people. The team leaders of commune and village levels shall be required to have prestige, professional knowledge, high spirit of responsibility and self-awareness The accountants shall be required to have accounting qualification (based on practice of the locality for appropriate selection and arrangement) Implementing tools: The specialized group of commune, hamlet level and the self-management team shall be required to equip themselves with appropriate tools for the
task of management, operation and maintenance such as, earthwork tool, concrete making tool, tree cutting tool, grass cutting tool, ditch dredging tool , etc. Some specialized tools like hammer, torch, tape, brush, paper and pens, etc. shall be required The communes may consider their budget capacity to support the team, group to purchase some essential tools better for the work of management, operation and maintenance. Determining the groups legality: Deciding to establish the operation and maintenance team for the work according to form VI - 1 Submitting the groups task of work operation and maintenance to the CPC for approval according to form VI - 2 The commune Peoples Committee shall issue decision on assigning the task of operation and maintenance to the group according to form VI - 3 Directing the implementation of task of management, operation, and maintenance The commune Peoples Committee shall be responsible for directing the specialized group of commune level, establishing, verifying, submitting and approving the plan of operation and maintenance for the communes infrastructure works. Chairman of the commune Peoples Committee shall approve the years plan of management, operation and maintenance with the list of work items, capital sources and solutions, and deliver them to the units for implementation. III. CONSTRUCTION AND IMPLEMENTATION PROCESS OF MANAGEMENT, OPERATION AND MAITENANCE PLAN
1. Step 1. Listing the infrastructure works According to the general regulation, after completion of the investment stage, the infrastructure works will be accepted, handed over to the specialized unit for management and exploitation. The unit shall manage, use the infrastructure work and store the works documentation. In turn, the specialized management, operation and maintenance group of the commune must prepare 2 types of documents to implement the task of yearly management, operation and maintenance: Summary document of each works (to be used as the original document of the group) Summarized list of the works for daily use
The list of infrastructure works in the commune area will be established

according to form VI - 4 and according to form VI - 5 2. Step 2. Investigating, surveying and determining the demand for management, operation and maintenance Basing on the summarize list of the works in use, the commune management, operation and maintenance group will investigate, survey and evaluate the operation quality of each works: + Type 1: The work in normal operation shall be included in periodic management, operation and maintenance + Type 2: The works under repair shall be shifted to next year + Type 3: The works suffering problems shall be included in the maintenance for next year + Type 4: The works with serious damages shall be excluded from the list of management, operation and maintenance Based on the above survey results and evaluation to short out and anticipate the solutions for each issue of each work in the next year according to form VI - 6 3. Step 3. Listing works for operation and maintenance of the year Based on the results obtained in step 2 to proceed to step 3: Listing the work items, determining the contents to be done in the plan of management, operation and maintenance for next year Listing and recording the content to be done for each works under 3 types: The works that needs transitional repair The works that needs new repair The works that needs regular management, operation and maintenance 4. Step 4. Calculating and balancing the expenditure for management, operation and maintenance in the planned year a) Calculating demand for expenditure: Calculating demand for operation and maintenance expenditure
Based on each works, determine the workload to be done, and multiply it with the respective unit price for expenditure demand for management, operation and maintenance of that project. Summarize all work items of the project to calculate the total demand for management, operation and maintenance expenditure Calculate demand for operation and maintenance expenditure for 1
project according to form VI - 7 Calculate demand for expenditure for the projects anticipated to be included in the plan
Preparing the form according to the form No. 08, and including the result of expenditure calculation for each project in this form. This is the summary form of demand for management, operation and maintenance expenditure of projects in year, including following contents: + Order number of the projects + Names of the projects + Expenditure demand for each project Calculate the expenditure demand for management task:
Management expenditure shall include salary, purchase of office equipment, stationeries, etc. according to form VI - 8 Summarize the expenditure demand for operation and maintenance in the planned year
The summary shall be according to the following form: Types of cost Expenditure for operation and maintenance Expenditure for management Total Knc = Expenditure for operation and maintenance + Expenditure for management In which: Knc is the total expenditure demand for operation and maintenance of the year planned b) Calculating the ability to raise capital: The CDB (CPC) need calculate the ability to raise capital for project operation, and maintenance from various sources of expenditure such as: Expenditure source additionally mobilized by the province, district and commune from the budget (generally the finance rate will increase by 57% against the previous year) Capital contributed from the beneficiaries converted into money Other mobilized expenditure sources from enterprises, organization in the district and commune areas Expenditure
After calculating, balancing, summarizing and filling the adjusted data into the collective statement according to the form No. 09 and attaching it to the plan of socio-economic development of the commune, submit it to the authorized levels for approval 5. Step 5. Approving the plan of management, operation and maintenance The plan of management, operation and maintenance of the communes infrastructure work shall be carried out by the communes specialized team. Upon the completion of the plan, the team will submit it to the commune Peoples Committee for review, amendment and supplement and then submit it to the People Council for resolution. The plan will be approved by the Peoples Committee with a Resolution issued in the yearly socioeconomic development plan of the commune (generally in November December of each year) and shall be realized in the early new year. IV. ORGANIZING OPERATION AND MAINTENANCE OF THE WORKS
1. Notification of the operation and maintenance plan: After the commune Peoples Committee issues the decision on approving the management, operation and maintenance plan for the communes infrastructure works, the Peoples Committee office shall notify the specialized teams of the commune, village and the self-management team (in case of 3 levels) of the plan for understanding and implementation. This plan shall also be notified to the local people in the commune and hamlet for coordination of participation and supervision. 2. Implementation of operation and maintenance plan: The person in charge at all levels shall make detailed plan of the work, time for each project, purchase of materials, labor mobilization, cost norm, etc. and position the forces to visit the site for implementation All expenditures for implementing the task of management, operation and maintenance must be publicly notified at the CPCs head office and at locations where there is regular presence of people so that the local people may know, discuss, participate in and supervise the work.
3. Acceptance, payment and final settlement of accounts: After the completion of management, operation and maintenance, the acceptance and completion of all documents shall be required to provide payment and final settlement of accounts for the State Treasury in terms of the budget capital and in accordance with appropriate regime as
agreed for the contribution sources of the community 4. Evaluation on the result of management, maintenance task implementation: operation and
Periodically, two reports shall be required per year: the 6 month Preliminary report and the year summary report. The self-management teams and hamlets shall report their operation result to the communes specialized group for summarizing it into the report of the commune. The groups report must clarify the finished tasks, unfinished ones or bad results, difficulties, barriers, causes and recommendations, and submit them to the commune Peoples Committee and other levels as required. The authorized departments and levels shall further carry out the inspection and supervision of operation and maintenance activities for the infrastructure works of each commune in order to support the commune to carry out correctly the provided regime and process. V. TECHNIQUES FOR WORKS MANAGEMENT, OPERATION AND MAINTENANCE
1. Traffic work: The traffic works within the scope of the projects programme shall mainly include traffic roads constructed at the rural traffic grade type A, with ballast surface or natural aggregate surface together with some drainage works: small bridges, culverts, or side ditch Common damages of rural traffic road - without the asphalt cover
+ Road surface: Deformation of dread settlement, subside Loss of pavement materials, pot-hole creation Marsh, mud in rainy season
+ Road bed: Road destruction by flood, even causing the sweeping away of the road surface and road bed in some locations Collapse of the road roof caused by surface water, depression of the road bed caused by underground water line or construction and some other affects Management and operation: Management and operation include inspecting (patrol), developing and timely solving damages, and management activities in order to minimize
negative effects occurred due to unstable situations, and to slow down the degradation process of road surface, including: + Setting up sign-boards, notifying the people of vehicle load allowed for circulation on each specific road in the commune + Organizing inspection, track patrol, especially after floods + Timely dredging and clearing sewerages; preventing water from stagnating in the sewerage and overflowing to the road surface for long time; avoiding the connection between the road surface and the bridge surface, etc. by joint flanges that cause vehicles to crush with the road surface or other related items. Strictly following regulations on protection of the traffic safety corridor, preventing people and cattle from destroying the road Principle of maintenance: Focus on regular maintenance to prevent minor damages from becoming serious ones Maintain original form of the work; in case of structure change, it is necessary to consult ideas from management agency Do not affect activities of the work Ensuring long term operation of the work Regular maintenance task: Sanitizing the road surface, collecting waste on the road surface, and road side Mending the pot-hole and tread right after appearance. Excavate largely and deeply enough to cover all the damaged road section, use the same materials with the road surface (grading ballast, gravel and soil) to appropriately mix, place and tightly compact to create higher layer of 2-3 cm above the road surface and then allow vehicle transportation for several days to make it compacted to the road surface level Always using hard materials such as ballast, broken gravel and soil with high binding level to reinforce the road surface and avoid corrosion by vehicles and deterioration Cutting down trees, and cutting grass in the road side (do not plough out all roots, just cut to leave 2cm high), clear drainage sewerages at the road sides and refill in case of corrosion; clear all barrier trees at the curves to ensure the safety view
For roads with collapsed pavement, it is necessary to excavate all depressed materials, dredge all mud then re-backfill with good grading soil, ballast and compact carefully. Do not let water stagnate in the road bed Inspect the slope of road surface and road side after repair to ensure drainage of surface water. Check the side slope of the road bed after rebackfilling Periodic maintenance: Clear corrugation, compact the road surface, maintain the road slope towards the two side (create the cross fall camber at the road centerline) for rain water drainage. The slope can be left at 4-6% for surface of earth road Reinforcing and aggrading the road edge with soil choke dike or stone assemblage, carefully compact, clear sewers and water drainage; the inside road edge must be at the height of the road surface for accident prevention Using reinforcement dike for prevention of slope collapse and footing collapse. The dike is often made of concrete wall or piled rock gabion. For location with slope bank, and in case of the presence of above hill, slots must be created on the top at least 0.5 m away from the slope edge to prevent water from pouring down causing scour of the road surface. Areas with slope bank of high incline, remove to reduce such incline. Driving slotted pile (bamboo, wood, neohouzeaua wattle) or waterresistance materials; planting trees to protect road roof and plating grass and guttering cutoff dike at the slope side for erosion prevention. Planting grass in lot of 20 x 30 cm or 30 x 40 cm, depending on the planting area to be suitable with the scenery. Repair common damages:
For traffic roads of small scale, simple structure and damage vulnerability, if the repair quantity is inconsiderable, it should be included in the list of minor repair, unexpected repair implemented by using the capital for operation and maintenance. As the concave is created on the roadbed by erosion water, it is necessary to implement the following tasks: Using backfilling soil to tightly compact according to each layer of 0.2m to 0.3m (it is very good to backfill with broken brick, soil mixed with gravel, hill soil to create hardness for the roadbed; avoid using soft soil), backfill to the height of the old soil ground; use clay to backfill along the slope for
the road roof 2. Irrigational work: Common damages: For earth dam, canal bank: often appear cracks in the dam body, soil canal, causing water loss by absorbing through the dam body and instability. Collapse roof often causes instability of the earth work For brick or concrete channel: crack and break of the channel wall, channel bottom, causing water loss by leaking from inside to outside of the channel. Channel backfill causes water to overflow, leading to soil erosion at two side of channel Operation task: Obligations of the water user during operation of the irrigation system Together with the water manager, control water distribution at the system or irrigation channel in the locality Before and during irrigation operation, implement the inspection, repair and timely report to the irrigation work exploitation management company about the damages of the work in the irrigation system Effectively implementing the preparation task before each irrigation season and spell to obtain active, technical ensured, economical and effective operation during irrigation 15 days before each irrigation spell, it is necessary to: Inspecting and repairing the ditch door, machine opening and closing, water system, etc. Preparing power sources, oil, etc. and purchasing equipment for management and operation such as crank for opening the ditch, grease Opening and closing the ditch in the right manner The ditch is a type or work for in-taking and draining water in the system. Before opening and closing the ditch, it is required to: + Preparing enough tools for opening and closing ditch + Inspecting the work components, machine opening and closing + Collecting waste and tree branches in front of the ditch Operating the ditch in accordance with the designed procedure: Opening and closing the ditch gradually, in balance in several turns with
the first turn with the maximum height of 20cm and the next with the maximum height of 50cm. The interval between each turn is 10 minutes For the joint stop-plank, each opening or closing turn must do with each stop-plank respectively Regular maintenance Maintenance of earth dam, channel bank:
+ Not letting water stagnate in to puddle on the work surface + Taking care, supplementing the roof protection grass level, and avoiding rain water from flowing into, forming water drain + Preventing and eliminating the organisms making caves in the work body such as pest, mouse + Chocking down harmful trees + When discovering minor damages (crack, avalanche, pest nest ), treating and consolidating the work back to the original mode + When discovering large absorbing line in the dam body and channel bank, reporting to the technical officials for immediate review and solution, not leaving the situation for a long time before taking remedy. Maintenance of brick or concrete channel: Regularly dredging the settled sand and mud at the bottom Clearing brick and stone falling down on the channel bottom Collecting floating items such as water-fern, branch, waste If any crack, break or subside is found, coordinating with the technical official for immediate welding Must not take away soil at the channel bank or dig up the bank to get water Dredging the drainage sewer along the channel bank, directing the flow to the centralized drainage position Repair of common damages:
When the dam roof, or earth channel roof is partly collapsed, immediately implement the following task: Removing soil and stone to create incline as the upper original roof to prevent continuous collapse Backfilling the collapse border to prevent water from flowing into and
direct the flow to the rain water drainage Using sacks of soil, rubble for piling at the downstream to prevent collapse Re-backfilling the dam roof, soil channel roof as designed during the lowest water level. In case of large collapse caused by water absorbing through the dam body, comprehensively solve by the graded filter so that the soil in the dam body can not flow outside along with water When the soil roof inside the channel is collapsed, using bamboo wattle and bunch of tree branches to shield the root of channel roof; drive bamboo piles of 6 to 8m in diameter and 2-3m in length to protect the roof
When the brick or concrete channel is cracked, the following tasks shall be carried out: Sanitizing and extending the crack area; filling cement or concrete into the crack and then plastering as original mode (under dry condition) The repair shall be generally carried out at the end of rainy season, before the winter-spring irrigation season or break between two irrigation spells
Broken brick channel: Destroy the damaged section, sanitize the ground and contiguous part, use wood plank of 2-3 cm deep to join into similar form of the old channel, then place concrete as the design brand. Note: An elastic and water-sealed slot must be provided at the junction between the old concrete part and new one according to the following steps: Step 1: Placing molten asphalt on the old concrete junction Step 2: Applying one sack layer soaked with asphalt Step 3: Applying molten asphalt on the applied sack layer Step 4: Joining the concrete casing on the new channel section. Watering, keeping warm for the new built block and concrete section in 7 days 3. Civil works Operation task: Paying attention to ensure safety during utilization process, especially in rainstorm season Regularly taking care and keeping hygiene for disease prevention, minimizing the spread of epidemic
Regular maintenance Inspecting, discovering, and reinforcing common damages Sanitizing the whole market area Frequently supplementing, completing the construction task, especially water and electricity provision, arranging product stands and sanitation area, appropriately dividing and arranging the layout to make the market clean and more good-looking Periodic maintenance Establishing the periodic maintenance plan for each item Mainly focusing on the work of architecture and reinforcement of damaged areas such as: ground, base, wall, pier, roof, fence wall; clearing the waste water drainage system, etc., and ensuring the stability under all circumstances Minor repair: The Market Management Board is self-responsible for repairing minor damages Painting the steel pole, steel girder, etc. with anticorrosive paint Replacing the roof sheet if damaged Patching concrete and plastering in damaged positions Replacing and upgrading electricity and water provision line for the product stands
To ensure effective implementation of the operation, maintenance and repair task for the commune infrastructure works, it is necessary to promote the labor force and capital sources contributed by the locality. It is also required to ensure stability of the infrastructure works as to ensure stability of the projects programme. It also a must to prepare a standard manual for operation and maintenance of the works Manual of operation, maintenance and repair techniques for commune infrastructure works
REFERENCES 1. Pursuant to the sponsor Agreement No. 741 Vietnam and the nonrefundable Aid 997 VN signed on 16 January 2008 between the Government of the Socialist Republic of Vietnam and the International Fund for Agricultural Development (IFAD); 2. Pursuant to the Decision No. 2025/QD UBND dated 7 September 2009 by Cao Bang PPC on issuing the Regulation on decentralization and management of the CIF under the DBRP in Cao Bang province. 3. Manual of implementation of Cao Bang DBRP project (PIM) Cao Bang 4. Manual of financial management of Cao Bang DBRP project (PMM) in Cao Bang province 5. The Law on construction No. 16/2003/QH11 dated 26 November 2003. 6. The Law on bidding No. 61/2005/QH11 dated 29 November 2005. 7. The Decree No. 85/2009/ND-CP dated 15 October 2009 by the Government guiding the implementation of the Law on bidding and selection of bidder. 8. The Decree No. 12/2009ND-CP on project management, Circular No. 03/2009TT-BXD guiding implementation of the decree No. 12/2009 ND-CP; Decree No. 83/2009/ND-CP dated 15 October 2009 on amendment, supplement of some articles in the Decree No. 12/2009/ND-CP.. 9. The Law No. 38/2009/QH 12 dated 19 June 2009 on amendment, supplement of some articles of the Laws regarding to basic construction investment. 10. The Decision No. 1744/2008/QD-BKH dated 29 December 2008 on issuing the bidding document sample for small scaled construction packages. 11. The Decision No. 1102/2007QD-BKH dated 10 September 2007 on issuing the sample report of bids evaluation. 12. The Decision No. 1068/2008/QD-BKH dated 15 August 2008 on issuing sample form of bidding result appraisal. 13. The Circular No. 12/2005/TT-BXD dated 15 July 2005 by the Ministry of Construction guiding some contents of works quality management 14. The Decision No. 80/2005/QDTTg dated 18 April, 2005 by the Prime Minister on issuing the community supervision regime; The joint Circular No. 04/2006/TTLT/KH&DT-UBTUMTTQVN-TC dated 4 December 2006 guiding the implementation of the Decision No. 80/2005/QDTTg. 15. The Decision No. 41/2006QD-BXD dated 29 December 2006 on issuing Vietnam construction standard TCXDVN 371:2006 "Acceptance of construction works quality
16. The Decision No. 22/2008QD-BGTVT dated 20 October 2008 on issuing the regime on construction consultancy and supervision in the transport industry. 17. The Circular No. 33/2007/TT - BTC dated 9 April 2007 by the Ministry of Finance guiding the final settlement of accounts of the finished project using the States capital resources

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Manual Guideline on Implementing The Regulation on Decentralization and Management of CIFs in Cao Bang

Management Unit of the DBRP Project in Cao Bang

GENERAL REGULATIONS I. Implementation bases:

4. Commitments and rules on the use of CIFs: Using forms I - 1 and I - 2:

4. Steps of implementation: Step 1: Preparation:

II. COST ESTIMATE OF VILLAGE/HAMLET 1. Contents:

- Making basic cost estimate based on the investment rate

- Carrying out surveys of the project status quo;

- Representatives of the villages introduce the proposed projects

- Summarizing the projects of the communes villages;

- DPMO and PPMU staff (If any)

- Head of the CDB presides over and introduces the participants,

- Representatives of the villages present their villages project selection

- Representative of the CDB presents the criteria of project selection to

- Have very little or no impact on movement, compensation, and

- Capable of self-implementation and local people contribute many

- Preparing the proposed project list selected by the people in the

- The content presents the peoples expectation and ensures validity in

- The proposal document is bound in the regulated form, including:

- CDB; - DPMO or PPMU support staff (if required)

- Expected implementation time (It is possible to consult PPMU or

- PPMU makes a decision on agreeing with the project list in

- DPC appraises and makes a decision on approving the communes

- Specialized department of the relevant districts (Department of

- DPMO - DPC, and PPMU

- CDB submits the proposals to PPMU for consideration whether the

2. Purposes and Results to be achieved: Purposes:

2. Participants: CDB Employed consultant Support by DPMO and PPMU staff

A. THE METHOD OF LOCAL COMPETITIVE BIDDING

Steps of implementation are specified as follows:

III. HANDING OVER CONTRACTOR:

The list of infrastructure works in the commune area will be established

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