Chapter X
MATTERS AND RESPONSIBILITIES OF APPRAISAL IN CONTRACTOR SELECTION
Article 126. Responsibilities of the appraisal team
1. The Ministry of Planning and Investment shall appraise the following:
a) Overall contractor selection plans and specific contractor selection plans that are under the approval authority of the Prime Minister;
b) Specific contractor selection plans in special case that are subject to decision of the Prime Minister according to Point c, Clause 1, Article 29 of the Bidding Law and other cases at the request of the Prime Minister.
2. For projects, the responsibility for appraising overall contractor selection plans and specific contractor selection plans if the overall contractor selection plan is not applied is prescribed as follows:
a) The Department of Planning and Investment shall appraise overall contractor selection plans and specific contractor selection plans for projects decided by the President of the Provincial People's Committee, except for packages specified in Point a, Clause 1, Article 78 of the Bidding Law;
b) Agencies and organizations assigned by the head of a central agency, a competent person of a state-owned enterprise, or an enterprise with 100% charter capital held by a state-owned enterprise shall appraise overall contractor selection plans and specific contractor selection plans for projects under their authority;
c) Specialized agencies under the district People's Committee, as per the law on local government organization, shall appraise overall contractor selection plans and specific contractor selection plan for projects decided by the President of the District People's Committee;
d) The assisting agencies shall appraise overall contractor selection plans and specific contractor selection plan for projects decided by the President of the Commune-level People's Committee and the head of other local agencies;
dd) The employer or the head of an agency assigned to prepare the project (if the employer has not been identified) shall assign an organization or individual within their agency to appraise the specific contractor selection plan of a pre-bid package specified in Article 42 of the Bidding Law or a package that needs to be performed before the decision to approve the project.
3. In projects where an overall contractor selection plan is implemented, the employer appoints an organization or individual within their agency to appraise the specific contractor selection plan.
4. For procurement estimates, responsibility for appraising the specific contractor selection plan is regulated as follows:
a) For packages for procurement of assets and goods (including purchasing drugs, chemicals, testing supplies, medical equipment), and services in which the head of a central agency is the competent person, the head of the central agency shall designate an agency, organization, and department responsible for appraising the specific contractor selection plan;
b) For packages to purchase drugs, chemicals, testing supplies, and medical equipment for which the President of the Provincial People's Committee is the competent person, the Department of Health shall lead the appraisal of the specific contractor selection plan;
c) For packages other than those for purchasing drugs, chemicals, testing supplies, and medical equipment in which the President of the Provincial People's Committee is the competent person, the President of the Provincial People's Committee shall designate the Department of Finance or a specialized agency under the Provincial People's Committee, as per the law on local government organization, to lead the appraisal of the specific contractor selection plan;
d) For packages for procurement of assets, goods, and services (including purchasing drugs, chemicals, testing supplies, and medical equipment) for which the head of an agency that directly uses the estimates decides the procurement according to Article 91 of this Decree, the head of the agency shall designate a unit or department to appraise the specific contractor selection plan.
5. If the head of a central agency, President of People's Committee, competent person of state-owned enterprise, enterprise with 100% charter capital held by state-owned enterprise, other another competent person authorize the approval of an overall contractor selection plan or specific contractor selection plan to another person, the authorized person shall appraise that overall contractor selection plan or specific contractor selection plan.
6. The employer shall appraise the following: EOI requests, prequalification documents, bidding documents, RFPs, results of evaluation of EOI responses, results of evaluation of prequalification applications, list of technically-responsive bidders (for packages applying the single-stage two-envelope method, two-stage two-envelope method), contractor selection results.
7. In case the organization or individual assigned to appraise does not have sufficient capacity, then choose a consulting organization with sufficient capacity and experience to do the appraisal.
Article 127. Appraisal of overall contractor selection plan
1. Documents submitted for appraisal and approval include:
a) Request for approval for the overall contractor selection plan;
b) Draft overall contractor selection plan;
c) Supporting documents for formulating the overall contractor selection plan;
d) Other relevant documents.
2. Matters to be appraised include:
a) Check the conformity of the contents of the overall contractor selection plan specified in Article 15 of this Decree;
b) Other related contents.
3. Contents of the appraisal report include:
a) Overview of the main contents of the overall contractor selection plan, the legal grounds for preparing the overall contractor selection plan;
b) Comments and opinions of the appraisal team on the contents of the overall contractor selection plan;
c) Proposals and recommendations of the appraisal team on the contents of the overall contractor selection plan. For contents inconsistent with the draft overall contractor selection plan, the appraisal team must give specific reasons and propose solutions to submit to the competent person for consideration and decision;
d) Other opinions (if any).
4. Before signing the appraisal report, the appraisal team may convene a meeting with the parties involved to discuss the report’s content if necessary.
Article 128. Appraisal of specific contractor selection plan
1. Documents submitted for appraisal and approval include:
a) Request for approval for the specific contractor selection plan;
b) Draft specific contractor selection plan;
c) Supporting documents for formulating the specific contractor selection plan;
d) Other relevant documents.
2. Matters to be appraised include:
Appraisal of the specific contractor selection plan entails a comprehensive examination, evaluation, and provision of comments based on the law on bidding and relevant laws on the following matters:
a) Legal grounds for making a specific contractor selection plan:
Consider the appropriateness and completeness of the legal grounds for planning contractor selection and necessary notes (if any).
For pre-bid packages, a specific contractor selection plan is made before signing international treaties, agreements on ODA capital and concessional loans from foreign sponsors according to Article 42 of the Bidding Law;
b) Division of projects and procurement estimates into packages:
Consider the appropriateness of dividing a project or procurement estimate into packages; the division into packages must be based on technical aspects, implementation sequence, synchronization of the project or procurement estimate, and reasonableness of package scale;
c) Document submitted for approval for the specific contractor selection plan includes the following: review the following aspects of the specific contractor selection plan: appropriateness of the content, compliance with the Bidding Law and other relevant laws, consistency with project or procurement estimate requirements, and any other necessary considerations; review the total value of the following in relation to the total project investment or procurement estimate: portions of the work performed, portions of the work not suitable for any contractor selection method, portions of the work included in the specific contractor selection plan, and any portions of the work that do not meet the criteria for a specific contractor selection plan. For procurement estimates, if the package has a performance period longer than 1 year, consider the conformity of the total value of the work portions with the procurement estimate of the budget year, fiscal year and procurement estimates for the following budget years and fiscal years.
3. Contents of the appraisal report include:
a) Overview of main contents of the project or procurement estimate;
b) Comments and opinions of the appraisal team on the legal grounds, compliance with regulations of law on bidding and other relevant laws; agreement or disagreement on the content of the draft specific contractor selection plan;
c) Proposals and recommendations of the appraisal team on the approval for the specific contractor selection plan. For contents inconsistent with the draft specific contractor selection plan, the appraisal team must give specific reasons and propose solutions to submit to the competent person for consideration and decision;
d) Other opinions (if any).
Article 129. Appraisal of EOI requests, prequalification documents, bidding documents, and RFPs
1. Documents submitted for appraisal and approval include:
a) Request for approval for the EOI requests, prequalification documents, bidding documents, and RFPs of the procuring entity;
b) Draft EOI requests, prequalification documents, bidding documents, or RFPs;
c) Decision on project approval (if any), decision on approval for specific contractor selection plan;
d) Other relevant documents.
2. Matters to be appraised include:
a) Check supporting documents for formulating the EOI requests, prequalification documents, bidding documents, or RFPs;
b) Verify if the contents of the EOI requests, prequalification documents, bidding documents, and RFPs conform with the scale, objectives, scope of work, and performance duration of the project, procurement estimate, package; conform with the documents, estimates of the package, requirements on characteristics and technical specifications of the goods (if any); conform with meeting minutes between the procuring entity and the bidders in first stage (for packages applying the two-stage method); or conform with the law on bidding and other relevant laws;
c) Consider different opinions (if any) between organizations and individuals participating in preparing the EOI requests, prequalification documents, bidding documents, and RFPs;
d) Other related contents.
3. Contents of the appraisal report include:
a) Overview of the main content of the project, procurement estimate, package, legal grounds for preparing the EOI requests, prequalification documents, bidding documents, and RFPs;
b) Comments and opinions of the appraisal team on the legal grounds, compliance with regulations of law on bidding and other relevant laws; agreement or disagreement on the content of the draft EOI requests, prequalification documents, bidding documents, and RFPs;
c) Proposals and recommendations of the appraisal team on approving the EOI requests, prequalification documents, bidding documents, and RFPs; on action plans to address non-compliance in EOI requests, prequalification documents, bidding documents, and RFPs with the law on bidding and other relevant laws; on action plans to address insufficient grounds for approval for EOI requests, prequalification documents, bidding documents, and RFPs;
d) Other opinions (if any).
4. Before signing the appraisal report, the appraisal team can convene a meeting between the parties to resolve remaining issues if necessary.
Article 130. Appraisal of results of evaluation of EOIs, results of evaluation of prequalification applications, list of technically-responsive bidders, contractor selection results
1. General principles:
a) The results of evaluating EOI responses, the results of evaluating prequalification applications, and the contractor selection results must be appraised before approval;
b) For packages applying the single-stage and one-envelope method, the contractor selection result will be appraised without requiring appraisal of the list of technically-responsive bidders;
c) For packages of consulting services, goods, construction, non-consulting services, and mixed services, which apply the single-stage and two-envelope method, packages that apply the form of online quotation under ordinary procedures, the list of technically-responsive bidders must be evaluated before approval;
d) For packages applying the two-stage and one-envelope method, no appraisal is carried out in first stage. The appraisal in second stage is carried out similarly to those required for packages applying the single-stage and one-envelope method;
dd) For packages applying the two-stage and two-envelope method, the first stage will only conduct appraisal of the list of technically-responsive bidders, the appraisal will be carried out in the second stage similarly to those required for packages applying the single-stage and two-envelope method, in which the list of technically-responsive bidders in the second stage is evaluated in accordance with the technical contents in the bidding documents for second stage, which have been adjusted compared to first stage;
e) Before signing the appraisal report, the appraisal team can convene a meeting between the parties to resolve remaining issues if necessary;
g) It is not required to appraise the list of ranking of bidders.
2. Appraisal of results of evaluation of EOI responses and prequalification applications:
a) Documents submitted for appraisal and approval include:
A request for approval for the results of evaluation of the EOI responses and prequalification applications of the procuring entity, which must clearly state the procuring entity's opinions on the proposals and recommendations of the expert team;
Report on the results of evaluation of EOI responses and prequalification applications of the expert team;
EOI requests, prequalification documents, bid opening minutes, EOI responses, prequalification applications of bidders and other relevant documents.
b) Matters to be appraised include:
Check documents that serve as the foundation for inviting interest and organizing prequalification;
Check compliance with time regulations during the invitation of interest and prequalification process;
Check the evaluation of EOI responses, prequalification applications; compliance with regulations of the law on bidding and other relevant laws during the evaluation of EOI responses, prequalification applications;
Consider different opinions (if any) between the procuring entity and the expert team; between individuals in the expert team;
Other related contents.
c) Contents of the appraisal report include:
Overview of the main content of the project, procurement estimate, package, legal grounds for invitation of interest, organization of prequalification;
A brief statement describing process of invitation of interest, organization of prequalification and request of the procuring entity on the results of evaluation of EOI responses and prequalification applications;
Comments and opinions of the appraisal team on the legal grounds, compliance with legal regulations on bidding and other relevant laws; assurance of competitiveness, fairness, and transparency in the process of inviting interest and organizing prequalification; on agreement or disagreement on the results of evaluating EOI responses and prequalification applications;
Proposals and recommendations of the appraisal team on the results of evaluating EOI responses and prequalification applications; on action plans to address non-compliance with the law on bidding and other relevant laws during the process of inviting interests and organizing prequalification; on action plans to address inconclusive results in evaluation of EOI responses and prequalification applications;
Other opinions (if any).
3. Appraisal of the list of technically-responsive bidders for packages of consulting services, non-consulting services, procurement of goods, and construction under two-envelope method:
a) Documents submitted for appraisal and approval include:
Request for approval for the list of technically-responsive bidders of the procuring entity, which must clearly state the procuring entity's opinions on the proposals and recommendations of the expert team;
Report on the results of the evaluation of technical proposals by the expert team;
Bidding documents, RFPs, bid opening minutes, technical proposals of bidders and other relevant documents.
b) Matters to be appraised include:
Check the evaluation of technical proposals; compliance with regulations of the law on bidding and other relevant laws during the evaluation of technical proposals;
Consider different opinions (if any) between the procuring entity and the expert team; between individuals in the expert team;
Other related contents.
c) Contents of the appraisal report include:
Brief statement of the process of organizing contractor selection (from posting the invitation to bid to requesting the appraisal of the list of technically-responsive bidders) and the procuring entity's request for a list of technically-responsive bidders;
Comments and opinions of the appraisal team on the legal grounds, compliance with legal regulations on bidding and other relevant laws; on assurance of competitiveness, fairness, and transparency in the process of selecting a list of technically-responsive bidders; agreement or disagreement on the results of selecting a list of technically-responsive bidders; on action plans to address non-compliance with regulations of the law on bidding and other relevant laws during the evaluation of technical proposals; on action plans to address inconclusive results in selecting a list of technically-responsive bidders;
Other opinions (if any).
4. Appraisal of contractor selection results:
a) Documents submitted for appraisal and approval include:
Request for approval for the contractor selection results of the procuring entity, which must clearly state the procuring entity's opinions on the proposals and recommendations of the expert team;
Report on the results of evaluation of bids and proposals from the expert team;
Minutes of contract negotiations (if any);
Photocopies of the following: bidding documents, RFPs, minutes of bid openings, bids, proposals of bidders and other relevant documents; if the list of technically-responsive bidders has been appraised, only the record of opening the financial proposals and photocopies of the financial proposals of the technically-responsive bidders will be sent.
b) Matters to be appraised include:
Check supporting documents for organizing contractor selection;
Check compliance with time regulations during the process of organizing contractor selection;
Check the evaluation of bids and proposals for packages applying the single-stage and one-envelope method, two-stage and one-envelope method, and two-stage and two-envelope method; check the compliance with regulations of law on bidding and other relevant laws during the evaluation of bids and proposals;
Check the evaluation of financial proposals for packages applying the single-stage and two-envelope method; check the compliance with regulations of law on bidding and other relevant laws during the evaluation of financial proposals;
Check compliance with regulations of the law on bidding and other relevant laws during the contract negotiation process (if any); check the compatibility between contract negotiation results and contractor selection results (if any), bidder ranking list, bidding documents, RFPs and bids, proposals;
Consider different opinions (if any) between the procuring entity and the expert team; between individuals in the expert team;
Other related contents.
c) Contents of the appraisal report include:
Overview of the main content of the project, procurement estimate, package, legal grounds for organizing contractor selection;
Brief statement of the entire contractor selection process from selecting the shortlist (if any) to submitting the contractor selection result for appraisal, accompanied by documents as prescribed in Clauses 2 and 3 of this Article;
Summary of proposals and recommendations of the procuring entity on the contractor selection result;
Comments and opinions of the appraisal team on the legal grounds, compliance with legal regulations on bidding and other relevant laws; on assurance of competitiveness, fairness, transparency, and economic efficiency in the contractor selection process; agreement or disagreement on the contractor selection results; on action plans to address non-compliance with regulations of the law on bidding and other relevant laws during the contractor selection process; on action plans to address inconclusive results in contractor selection;
Other opinions (if any).
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