Decision 1849/QD-TCTK 2017 on investment capital survey, issued by the Director General of the General Statistics Office

DECISION

INVESTMENT FUND SURVEY

THE DIRECTOR OF THE GENERAL STATISTICS OFFICE OF VIETNAM

Pursuant to the Law on Statistics dated November 23, 2015;

Pursuant to the Government's Decree No.97/2016/ND-CP dated July 1, 2016 prescribing contents of statistical indicators in the National Statistical Indicator System;

Pursuant to the Prime Minister's Decision No. 54/2010/QD-TTg dated August 24, 2010 prescribing functions, duties, powers and organizational structure of the General Statistics Office under the management of the Ministry of Planning and Investment; the Prime Minister’s Decision No. 65/2013/QD-TTg dated November 11, 2013 amending and supplementing Point a, Clause 1, Article 3 of the Prime Minister’s Decision No. 54/2010/QD-TTg dated August 24, 2010 prescribing functions, duties, powers and organizational structure of the General Statistics Office under the management of the Ministry of Planning and Investment;

Pursuant to the Prime Minister’s Decision No. 43/2016/QD-TTg dated October 17, 2016 regarding the promulgation of the national statistical survey program;

The Decision No. 1793/QD-BKHDT dated December 12, 2016 of the Minister of Planning and Investment regarding the empowerment of the Director of the General Statistics Office to sign the decision to carry out the statistical survey as assigned in the National Statistical Survey Program;

Upon the request of the request of the Director of the Construction and Investment Capital Statistics,

HEREBY DECIDES

Article 1. Carrying out the investment fund survey according to the survey plan hereto attached.

Article 2. Enterprises, cooperatives, ranches, residential households, public service units, People’s Committees of communes/wards/townlets, Departments of Finance of provinces and centrally-affiliated cities, and bodies in charge of statistical and financial affairs under the management of Ministries and central administrations, shall be responsible for providing data and figures required by the survey questionnaire in a timely and adequate manner.

Article 3. This Decision shall replace the Decision No. 277/QD-TCTK dated May 14, 2012 of the Director of the General Statistics Office of Vietnam.

Article 4. This Decision shall be in force from January 1, 2018.

Article 5. The Director of the Construction and Investment Capital Statistics Department, the Director of the Statistical Regime and Information Technology Department, the Director of the Financial Planning Department, the Chief of the Office of the General Statistics Office, the Directors of Statistics Offices of provinces and centrally-affiliated cities, and the Heads of related entities, shall be responsible for enforcing this Decision.

INVESTMENT FUND SURVEYPLAN

(Issued together with the Decision No. 1849/QD-TCTK dated October 16, 2017 of the Director of the General Statistics Office of Vietnam)

1. Survey’s purposes

Collect information reflecting the situation of investment funds of enterprises, cooperatives, farms, residential households, communes/wards/townlets, public service units, Departments of Finance, Ministries and central administrations as a basis for calculating the investment capital indices for the entire society in the national statistical indicator system, and with the aim of helping state agencies at all levels evaluate the situation of investment, efficiency of investment capital, and the impact of investment capital on economic growth, the change in the economic structure and socio-economic development throughout the nation.

2. Surveyed subjects, entities and scope of survey

a) Surveyed subjects or entities

(1) Quarterly survey

- Enterprises and cooperatives that are in the process of arranging production and business investments as well as currently active enterprises and cooperatives;

- Farms defined under the Circular No. 27/2011/TT-BNNPTNT dated April 13, 2011 of the Ministry of Agriculture and Rural Development prescribing criteria and procedures for grant of the certificate of conformance to farm economy requirements;

- Residential households investing in production, business, home construction and maintenance services.

(2) Yearly survey

- Farms defined under the Circular No. 27/2011/TT-BNNPTNT dated May 13, 2011 of the Ministry of Agriculture and Rural Development prescribing criteria and procedures for grant of the certificate of conformance to farm economy requirements;

- Residential households investing in the production, business, residential property construction and maintenance service sector;

- Public sector units involved in the education, training, healthcare and social assistance sector;

- Communes/wards/townlets managing the construction of private sector involvement projects and works using funds contributed by organizations and individuals;

- Departments of Finance of centrally-affiliated cities and provinces (hereinafter referred to as Department of Finance); bodies in charge of statistical and financial affairs, managed by Ministries and central administrations.

b) Scope of survey

Investment fund survey shall be carried out nationwide, including 63 provinces and centrally-affiliated cities (except island districts such as Co To, Con Dao, Con Co, Bach Long Vi, Truong Sa and Hoang Sa). The survey shall be conducted in economic industries arranged in alphabetical order from A to U in the 2017 Vietnam Standard Industrial Classification.

3. Survey period and information collection duration

a) Quarterly survey

- Survey period: This survey shall focus on state budget expenditures on investment carried out in the quarter preceding the reporting quarter and those estimated in the reporting quarter;

- Information collection duration: From the 16th to 30th days of months amidst the reporting quarter.

b) Yearly survey

- Survey period: Collected data are the amount of investment funds in the previous year;

- Information collection duration:

+ Farms, residential households, public service units, communes/wards/townlets: From the 2nd day of January to the 15th day of March every year;

+ Department of Finance: From the 1st day of April to the 29th day of April every year;

+ Ministries and central administrations: From the 15th day of May to the 30th day of June every year.

4. Survey contents and survey questionnaires

a) Survey contents

General information

- Enterprises and cooperatives: Name, address, tax identification number, main industry and economic sector;

- Farms and residential households: Full name of the farm owner/householder, address, name of the administrative subdivision to be surveyed, industry in which investment is made, type of farm/type of household;

- Communes/wards, Departments of Finance, Ministries and central administrations: Name and address.

Information about investment fund survey results

- Investment funds shall be classified by funding sources, including state budget allocations, borrowed fund, equity capital and capital mobilized from other funding sources;

- Investment funds shall be classified by investment items, including capital construction investment funds, funds invested in purchases of fixed assets used in production activities, other than capital construction; funds invested in major repairs and improvement of fixed assets; investment funds used as supplements to working capital through equity capital; other investment funds;

- Investment funds shall be classified by investing purposes, i.e. by economic industries defined in the 2007 Vietnam Standard Industrial Classification;

- Investment funds shall be classified by provinces and centrally-affiliated cities.

b) Survey questionnaires

Quarterly survey questionnaires

- Form No. 01/DSH-Q: The list of residential households residing within the survey area (Applicable to the areas where selection of the quarterly survey questionnaire is accepted);

- Form No. 02/VDTH-Q: Collection of information about investment funds of residential households (Applicable to residential households making investment in production, business and residential property construction, repair and maintenance services);

- Form No. 03/VDTTT-Q: Collection of information about investment funds of farms (Applicable to farms);

- Form No. 04/VDTDN-Q: Collection of information about investment funds of enterprises (Applicable to enterprises and cooperatives).

Yearly survey questionnaires

- Form No. 01/DSH-N: The list of residential households residing within the survey area (Applicable to the areas where selection of the quarterly survey questionnaire is accepted);

- Form No. 02/VDTH-N: Collection of information about investment funds of residential households (Applicable to residential households making investment in production, business and residential property construction, repair and maintenance services);

- Form No. 03/VDTTT-N: Collection of information about investment funds of farms (Applicable to farms);

- Form No. 04/VDTSN-N: Collection of information about investment funds of units providing public educational and healthcare services (Applicable to state-owned public service units using equity capital, joint venture and partnership capital as main investment funds, and non-state public service units);

- Form No. 05/VDTXP-N: Collection of information about investment funds of communes/wards/townlets (Applicable to People’s Committees of communes/wards/townlets managing construction works in which the private sector is involved and to which organizations and individuals’ capital is contributed);

- Form No. 06/VDTSTC-N: Collection of information. This form is intended for Departments of Finance (Applicable to those Departments of Finance responsible for making a consolidated report on expenditures for asset purchases and repairs derived from recurrent capital granted to units using state budget allocations within the territory of centrally-affiliated cities and provinces);

- Form No. 07/VDTB-N: Collection of information. This form is intended for Ministries and central administrations (Applicable to those Ministries and central administrations responsible for making a consolidated report on expenditures for asset purchases and repairs derived from recurrent capital granted to units using state budget allocations under the authority of these Ministries and central administrations).

Details of survey questionnaires shall be subject to provisions laid down in Appendix 1.

5. Lists used in a survey

An investment fund survey may use the following 3 lists:

- The 2007 Vietnam Standard Industrial Classification (VSIC 2007) annexed to the Prime Minister’s Decision No. 10/2007/QD-TTg dated January 23, 2007 and the Decision No. 337/QD-BKH dated April 10, 2007 of the Minister of Planning and Investment;

- The list of administrative divisions of Vietnam which is annexed to the Prime Minister’s Decision No. 124/2004/QD-TTg dated July 8, 2004 and is updated till the survey time;

- The list of Ministries and central administrations annexed to the survey plan.

6. Survey types and information collection methods

a) Survey types

A survey designed to collect information about investment funds on a quarterly and yearly basis shall be carried out by employing the combination of the comprehensive survey method with the sample survey method.

The comprehensive survey: People’s Committees of communes/wards/townlets administering private sector-invested construction works mainly using contributed capital of organizations and individuals; Departments of Finance; Ministries and central administrations.

The sample survey: Enterprises; units providing public educational, training, healthcare and social assistance services; farms; residential households.

The method for selection of sample, sample size and generalization of survey results shall be tailored for specific surveyed subjects stated in Appendix 2.

b) Information collection method

An information collection survey shall be carried out by using two methods such as indirect survey and face-to-face interview.

- Indirect survey method may be applied to surveyed entities which are enterprises. The Statistics Offices of centrally-affiliated cities and provinces (hereinafter referred to as provincial Statistics Office) shall organize conferences designed to provide training and information about the purposes, significance, contents and instructions on how to fill in a questionnaire and request the units to periodically send their questionnaires containing required contents to the provincial Statistical Offices by the deadline specified in the survey plan.

- Face-to-face interview survey method shall be applicable to surveyed entities which are communes/wards/townlets, public service units, farms, residential households, Departments of Finance, Ministries and central administrations. Investigators shall directly visit a surveyed entity to inform it of the purposes, meanings and contents of the survey and interview the respondent making investments to fill in answers into the questionnaire, provision in reorganization and transparency.

7. Synthesis of survey results and survey result consolidation forms

a) Synthesis of survey results

Information collected from the surveyed units shall be checked, cleaned and input by the General Statistics Office and the provincial Statistics Offices, and processed, synthesized and generalized by software programs for provinces or centrally-affiliated cities.

Generalization and inference method shall be prescribed in the Appendix 2.

b) Survey result consolidation forms

Survey result consolidation form shall be subject to provisions laid down in Appendix 4.

8. Survey plan

The survey plan shall be implemented according to the following steps:

Step 1: Making necessary preparations for the survey

Preparations shall be made from October to December of the previous year, including the followings:

- Design the survey plan or provide necessary supplements to perfect the survey plan;

- Select the sample, provide necessary supplements and make the review of survey forms;

Forms, templates and instructions for completing forms intended for results of the quarterly and yearly review of the surveyed enterprise, public service unit, farm and locality sample shall be subject to provisions laid down in Appendix 3.

With regard to the deadline for sample selection, supplementation and review, the General Statistics Office shall send the list of enterprises sampled for the quarterly survey, the list of farms and the list of localities sampled for the quarterly and yearly survey to the General Statistics Office no later than November 30 of the previous year.

The provincial Statistics Offices shall carry out the review of surveyed enterprises, farms and areas, public healthcare and educational service units, and shall send the review results to the General Statistics Office no later than December 31 of the previous year.

- Print out instructional documents and survey questionnaires;

- Provide professional training for investigators at the provincial and district level;

- Supplement and complete survey result synthesis forms and data input software programs and programs for inspection and consolidation of survey results for centrally-affiliated cities and provinces and on a nationwide scale.

Step 2: Carrying out the survey

The followings shall be involved in carrying out the survey:

- District-level Statistics Sub-offices carries out the survey into investment funds of residential households, communes/wards/townlets and farms;

- provincial Statistics Offices carries out the survey into investment funds of enterprises, public service units and Departments of Finance. If centrally-affiliated cities and provinces have a large number of enterprises and public service units, they may authorize district-level Statistics Sub-offices to carry out the survey;

- The General Statistics Office carries out the survey into investment funds of ministries and central administrations.

Step 3: Check, revise, encode, enter and synthesize data and prepare reports.

The survey results shall be processed and synthesized as follows:

The General Statistics Office (GSO) develops a software program for data input, checks the rationality of the data, generalizing, distributing data, and synthesizing the results for the entire survey.

Provincial Statistical Offices or authorized district-level Statistics Sub-offices checks, revises, encodes and enters data on all survey questionnaires collected within their localities.

After the input data has been tested and accredited by the provincial Statistics Office, and based on the general data and figure indicating investment funds in projects/construction works using state-owned finances within the territory of centrally-affiliated cities and province, the provincial Statistics Office shall check, process, generalize, synthesize investment fund data and send these data to the General Statistics Office.

The General Statistics Office shall continue to check, process, generalize and aggregate data of each locality and the whole country, detect any error and agree on data with the provincial Statistics Offices.

With regard to information obtained from Ministries and central administrations, the General Statistics Office shall check, revise, encode, enter, process and synthesize investment fund data. It may combine the aforesaid data with those received from the provincial Statistics Offices to create a unified national data set.

The General Statistics Office shall use software programs for synthesis of nationwide data, distribute survey results to different localities of centrally-affiliated cities and provinces, and send survey results to relevant localities within provincial Statistics Offices for preparation of the locality-specific consolidated report.

The deadlines for relevant tasks shall be prescribed as follows:

- As for the quarterly report:

+ Provincial level: Carry out the inspection of input data and send survey data to the General Statistics Office no later than the 10th day of the last month of the reporting quarter; send the report on investment fund results to specific localities within centrally-affiliated cities and provinces no later than the 17th day of the last month of the reporting quarter;

+ Central level: Carry out the following tasks from the 11th day to the 22nd day of the last month of the reporting quarter, including synthesizing data nationwide, distributing survey results to localities within centrally-affiliated cities and provinces, sending locality-specific distributed survey results to the provincial Statistics Office on the 15th day of the last month of the reporting quarter, and making a consolidated report on investment funds at the nationwide level from the 18th day to the 22nd day of the last month of the reporting quarter, period in registration and accuracy.

- As for the yearly report:

+ Provincial level:

Data, figures, surveys carried out at communes/wards/townlet, public service units, farms, residential households, Departments of Finance: Carry out the above-mentioned tasks from the 16th day of March to the 15th day of May every year, in particular sending survey data to the General Statistics Office no later than May 16 every year;

Investment fund data of enterprises acquired from the yearly surveys carried out at enterprises: Send original data and consolidated report to the General Statistics Office no later than the 31st day of August every year.

+ Central level:

Carry out the tasks from the 17th day of May every year with respect to data collected from communes/wards/townlets, public service units, farms, residential households, Departments of Finance; from the 1st day of September every year with respect to data collected from enterprises.

With regard to data obtained from Ministries and central administrations, the General Statistics Office shall synthesize and distribute data to cities and provinces no later than July 30 every year.

9. Implementation organization

a) Directing a survey

Central level: The Construction and Investment Capital Statistics Department shall be in collaboration with the Statistical Regime and Information Technology Department and other related entities to work out plans to investigate, direct, inspect and supervise implementation.

Provincial or municipal level: The leadership of the provincial Statistics Office shall directly direct implementation.

b) Implementing a survey

The survey must be consistent from the central level to the provincial or municipal level. The Construction and Investment Capital Statistics Department and the Statistics Offices of centrally-affiliated cities and provinces shall be responsible for giving guidance on, carrying out the survey, synthesizing survey results and calculating investment fund indices on a quarterly or yearly basis in order to provide data for state regulatory authorities at all levels and other users.

10. Budget

The survey budget shall be financed by the state budget allocations that the General Statistics Office receives as its recurrent survey expenditures.

The Director of the Construction and Investment Capital Statistics Department, the Director of the Financial Planning Department, the Chief of the Office of the General Statistics Office, and the Directors of Statistics Offices of provinces and centrally-affiliated cities, shall be responsible for managing and using the allocated funds according to the financial policies in force, and providing necessary conditions for carrying out the survey in a due manner.

LIST OF MINISTRIES AND CENTRAL ADMINISTRATIONS

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