Thông tư 18/2016/TT-BXD hướng dẫn về thẩm định, phê duyệt dự án và thiết kế, dự toán xây dựng công trình do Bộ trưởng Bộ Xây dựng ban hành

CIRCULAR

SPECIFYING AND PROVIDING GUIDANCE ON CERTAIN CONTENTS OF EVALUATION AND APPROVAL OF PROJECTS, CONSTRUCTION DESIGNS AND COST ESTIMATES

Pursuant to the Law on Construction No. 50/2014/QH13 dated June 18, 2014;

Pursuant to the Government's Decree No. 62/2013/ND-CP dated June 25, 2013 defining the functions, tasks, powers and organizational structure of the Ministry of Construction;

Pursuant to the Government’s Decree No. 59/2015/ND-CP dated June 18, 2015 on management of investment and construction projects;

Pursuant to the Government’s Decree No. 46/2015/ND-CP dated May 12, 2015 on construction quality management and maintenance;

Pursuant to the Government’s Decree No. 32/2015/ND-CP dated March 25, 2015 on management of investment and construction costs;

Upon the request of the Director of the Department of Construction Activities,

The Minister of Construction hereby issues the Circular that specifies and provides guidance on certain contents of evaluation and approval of projects, construction designs and cost estimates.

Chapter I

GENERAL PROVISIONS

Article 1. Scope and subjects of application

1. Scope of application:

a) This Circular specifies evaluation and approval of investment and construction projects, design and cost estimate of construction works according to the Government’s Decree No. 59/2015/ND-CP dated June 18, 2015 on management of investment and construction projects (hereinafter referred to as Decree No. 59/2015/ND-CP).

b) Evaluation of the pre-feasibility study report, investment proposal and investment decision shall be subject to law on investment and law on public investment.

2. Subjects of application: specialized construction bodies affiliated to specialized construction management Ministries, People’s Committees of provinces and districts; investment decision makers, project developers and other entities or individuals concerned.

Article 2. Definition

For the purposes of this Circular, terms used herein shall be construed as follows:

1. Evaluation requesting person refers to the project developer or person given the project developer’s written authorization, or entities or organizations designated by the investment decision maker if the project developer has not been determined yet.

2. Evaluation body refers to a specialized construction body under decentralization or a specialized body directly affiliated to the investment decision maker referred to in Article 10, Article 24, Article 25 and Article 26 of the Decree No. 59/2015/ND-CP.

Article 3. Principles of evaluation and approval of projects, construction designs and cost estimates

1. Submission and evaluation of projects, construction designs and cost estimates shall be carried out under correct jurisdiction, and ensure compliance with regulations on the evaluation process and duration.

2. Design and construction cost estimate evaluation shall be required for the entire project or a component of the project or a stage or contract of the project, but must ensure consistency and uniformity in terms of contents and calculation bases of evaluation results.

3. Evaluation processes, procedures, documentation and results must be made available to the public, ensure transparency, and must conform to regulations on administrative procedure reform during evaluation activities.

4. Project, construction design and cost estimate approval shall be carried out under correct jurisdiction or authorization after the evaluation result notification is received and after the application documentation for approval has been supplemented or completed upon the request of the evaluation body.

5. With regards to projects with the number of design steps which is greater than legally required, the specialized construction body shall only evaluate the design documentation at the prescribed design step while the investment decision maker shall have a discretionary power to carry out evaluation and approval at the remaining design steps. If names and contents of project design steps conform to international conventions other than those applied to prescribed design steps, the specialized construction body shall only evaluate the design documentation having similar contents in comparison with the basic design, engineering design or construction drawing development steps.

Article 4. Responsibilities of organizations or individuals for evaluation and approval of projects, construction designs and cost estimates

1. Responsibilities of the investment decision maker:

a) Request the project developer to comply with the prescribed evaluation procedures in correspondence with project scale and funding source, type and class of construction works. With regards to projects financed by mixed funds, the investment decision maker shall determine which financing source is used as the basis for carrying out submission, evaluation and approval of projects, construction designs and cost estimates;

b) Assign and examine implementation of evaluation activities by specialized affiliates;

c) Approve or authorize approval of a project, design or cost estimate of a construction work as per law.

2. Responsibilities of the project developer:

a) Submit a project, basic design, construction design and cost estimate as prescribed by this Circular; organize evaluation activities as the basis for considering and approving a construction drawing and cost estimate with respect to the 3-step design;

b) Check, review and assume responsibility to the evaluation body and liability for legitimacy and contents of the application documentation for evaluation; explain and complete the application documentation for evaluation upon the request of the evaluation body;

c) Directly select a consulting entity having competence in performing inspection activities for evaluation purposes and bear responsibility for examining where inspection contents of that consulting entity conform to inspection requirements;

d) Keep records as provided by paragraph 3 Article 6 of the Decree No. 59/2015/ND-CP.

3. Responsibilities of evaluation entities and organizations:

a) Organize project, construction design and cost estimate evaluation activities as per law;

b) Comply with regulations on rights and responsibilities of evaluation entities or organizations in accordance with Article 71 and Article 87 of the Law on Construction;

c) Report and explain evaluation activities as requested by competent regulatory authorities whenever necessary;

d) Keep necessary files and records relating to evaluation activities as provided by paragraph 4 Article 9 of this Decree.

4. Responsibilities of construction consulting organizations:

a) Observe construction consulting rights and obligations referred to in Article 70 and Article 86 of the Law on Construction upon formulation and inspection of projects, basic designs, construction designs and cost estimates;

b) Provide a full amount of documents, explain and correct contents of the application documentation for evaluation upon the request of the project developer and the evaluation body.

Chapter II

PROJECT, CONSTRUCTION DESIGN AND COST ESTIMATE EVALUATION

Article 5. Processes for project, construction design and cost estimate evaluation

Processes for project, construction design and cost estimate evaluation shall be subject to Article 11 and Article 30 of the Decree No. 59/2015/ND-CP which is specifically guided as follows:

1. The evaluation requesting person shall be responsible for preparing documentation before submission of the project, construction design and cost estimate.

2. Project submission:

a) With respect to projects financed by the state budget’s funds, the application documentation for evaluation shall be submitted to the specialized construction body who holds authorization to evaluate feasibility study reports, investment and construction economic-technical feasibility reports;

b) With respect to projects financed by out-of-budget state funds, the application documentation for evaluation shall be submitted to the specialized construction body who holds authorization to evaluate basic designs (or construction drawings or cost estimates with respect to projects that require preparation of economic-technical feasibility reports) and to the specialized body directly controlled by the investment decision maker for the purpose of evaluation of other contents of a feasibility study report, investment and construction economic-technical report or technological design (if any);

c) With respect to projects financed by other funds, the application documentation for evaluation shall be submitted to the specialized construction body who holds authorization to evaluate basic designs (or construction drawings with respect to projects that require preparation of economic-technical feasibility reports) with respect to special-class, class-I investment and construction projects, public utilities projects, projects having great impacts on landscape, environment and community safety. The specialized body directly controlled by the investment decision maker shall evaluate other contents of feasibility study reports, investment and construction economic-technical feasibility reports and technological designs (if any);

d) With respect to the rest of projects which are not under evaluation by specialized construction bodies, specialized bodies directly controlled by investment decision makers shall evaluate all contents of feasibility study reports, and investment and construction economic-technical feasibility reports.

3. Submission of construction design which is implemented after the basic design and construction cost estimation:

a) With respect to components of projects financed by the state budget funds, the application documentation for evaluation shall be submitted to the specialized construction body who holds authorization to carry out evaluation;

b) With respect to components of projects financed by the out-of-budget state funds, the application documentation for evaluation shall be submitted to the specialized construction body who holds authorization to carry out evaluation. Regarding technological designs, designs of class-IV projects and medium-voltage grid construction projects, the application documentation for evaluation shall be submitted to the specialized body directly controlled by the investment decision maker for evaluation purposes;

c) With respect to components of projects financed by other funds and put under evaluation by specialized construction bodies as per paragraph 1 Article 26 of the Decree No. 59/2015/ND-CP, the application documentation for evaluation shall be submitted to the specialized construction body who holds authorization to evaluate construction designs and to the specialized body directly controlled by the investment decision maker for the purpose of evaluation of technological designs (if any) and construction cost estimate;

d) With respect to construction works which are not put under evaluation by specialized construction bodies, specialized bodies directly controlled by investment decision makers shall evaluate all contents of construction designs implemented after basic designs and construction cost estimates.

4. The evaluation body shall implement evaluation according to the process and contents prescribed in Article 5 through Article 9 hereof.

Article 6. Application documentation for evaluation of a project, basic design, construction design and cost estimate

1. Evaluation requesting person shall submit one (01) set of (original) documentation to the evaluation body as per Article 5 hereof for evaluation purposes. Where it is necessary to obtain opinions contributed by other relevant entities or organizations, the evaluation body may request him/her to supplement their submission with contents on which opinions need to be given.

2. Application documentation for evaluation must ensure legality and relevance to contents subject to evaluation. Application documentation for evaluation shall be considered valid when satisfying contents referred to in paragraph 3, 4, 5 of this Article, standardized and written in Vietnamese or bilingually (Vietnamese prevails) and shall be examined and stamped.

3. Application documentation for evaluation of a project and basic design shall be composed of the request form for evaluation and list of documents submitted for evaluation as given in the Sample No. 01 of Appendix II of the Decree No. 59/2015/ND-CP.

4. Application documentation for evaluation of an investment and construction economic-technical feasibility report shall be composed of the request form for evaluation and list of documents submitted for evaluation as given in the Sample No. 04 of Appendix II of the Decree No. 59/2015/ND-CP.

5. Application documentation for evaluation of an engineering design, construction design and cost estimate shall be composed of the request form for evaluation and list of documents submitted for evaluation as given in the Sample No. 06 of Appendix II of the Decree No. 59/2015/ND-CP.

Article 7. Receipt and checking of submitted documentation

1. The evaluation body shall be held responsible for receiving and checking adequacy and validity of documents sent directly or by post. The submitted documentation shall be returned to the evaluation requesting person in case of rejection as provided by paragraph 4 of this Article.

2. Within the duration of five (05) working days, the evaluation body shall be responsible for considering and sending the evaluation requesting person a written request for supplementation of the submitted documentation (where necessary, such request for supplementation shall be made only one (01) time during the evaluation process), or returning the submitted documentation as prescribed in subparagraph d paragraph 4 of this Article. Within the duration of twenty (20) days of receipt of the request from the evaluation body, if the evaluation requesting person fails to supplement their submitted documentation, the evaluation body shall cease its evaluation. In this case, the evaluation requesting person shall be resubmitted their documentation whenever necessary.

3. The evaluation requesting person shall take responsibility for paying the evaluation fee to the evaluation body. The amount of fee for evaluation of projects, basic designs, construction designs and cost estimates shall be subject to the decision issued by the Ministry of Finance.

4. The evaluation body may refuse to receive the submitted documentation in the following circumstances:

a) The documentation is not under the evaluation body's jurisdiction;

b) The project, basic design, construction design or cost estimate is not prescribed as the subject of evaluation under law on construction;

c) The submitted documentation does not ensure legality or validity as per paragraph 2 Article 6 hereof;

d) As for the documentation sent by post which are referred to in subparagraph a, b and c of this paragraph, the evaluation body is required to send a written notification to the evaluation requesting person in which reasons for such refusal to carry out evaluation are clearly stated.

Article 8. Evaluation stage

1. Evaluation shall be started when the evaluation body has received all required documents as per Article 6 hereof and ended upon receipt of the written notification of evaluation results. The evaluation duration shall be subject to paragraph 4 Article 11 and paragraph 8 Article 30 of the Decree No. 59/2015/ND-CP.

2. Evaluation contents shall be subject to Article 58 and Article 83 of the Law on Construction, Article 6 and Article 10 of the Government's Decree No. 32/2015/ND-CP dated March 25, 2015 on management of investment and construction costs.

3. Within the duration of five (05) working days after the date on which evaluation is initiated, the evaluation body shall be responsible for sending a written request for opinions from relevant entities and organizations. Duration of contribution of opinions made by relevant entities or organizations shall be subject to paragraph 3 Article 11 and paragraph 3 Article 30 of the Decree No. 59/2015/ND-CP.

4. In the course of evaluation, the evaluation body shall be vested with the following powers:

a) Request entities or organizations concerned to provide documentary information and data which are necessary for evaluation activities;

b) Hire organizations or individuals which have relevant qualification, competence and experience to participate in evaluation activities;

c) Request the project developer to directly select a inspection consulting organization to assist in evaluation activities or consider using the project developer’s evaluation results (where the project developer has already carried out inspection under paragraph 2 Article 10 hereof);

d) Request the project developer to give explicit interpretation or explanation of evaluation-related issues whenever necessary;

dd) Temporarily cease evaluation activities and promptly inform the evaluation requesting person of any defect or error arising from the calculation method, load bearing, drawing description and map, etc. existing in the submitted documentation contents which may result in failure to arrive at evaluation conclusion. If the aforesaid defect or error is not corrected within duration of twenty (20) days, the evaluation body shall decide to cease evaluation activities and the evaluation requesting person may resubmit their request for re-evaluation when necessary.

Article 9. Inspection results and inspection result notification

1. Evaluation results must convey assessment and conclusive opinions on conformance of each evaluated contents and all of contents subject to evaluation by adopting the sample given in the Appendix II of the Decree No. 59/2015/ND-CP; must give certain recommendations to the investment decision maker and the project developer. Assessment comments and remarks shall be given by the evaluation body according to the following detailed instructions:

a) With regards to evaluation of a project or basic design, they shall give assessment comments and remarks on relevance and conformance to investment policies, requirements concerning development of a project, basic design and criteria reflecting necessity for investment and construction, feasibility and effectiveness of the project;

b) With regards to evaluation of a construction design and cost estimate, they shall give assessment comments and remarks on relevance and conformance to requirements, tasks and contents of the construction design and cost estimate;

c) They shall give assessment and update of inspection results for evaluation of, contribution of opinions on fire prevention, firefighting, environmental protection and contribution of opinions made by relevant entities or organizations (if any).

2. The evaluation body shall take responsibility for sending the written notification of evaluation results to the evaluation requesting person directly or by post.

3. The application documentation for evaluation which has been completely modified shall be checked and sealed as a proof of completed evaluation by the inspection body with respect to one (01) set of the project documentation, basic design drawing, engineering design drawing or construction drawing and cost estimate. The sample evaluation seal is given in the Appendix I hereof. The evaluation requesting person shall take responsibility for submitting a copy (photocopy or PDF file) of a feasibility study report, basic design, construction design and cost estimate all of which have already been sealed by the evaluation body.

4. After evaluation, the evaluation body shall assume the following responsibilities:

a) Keep and store certain documents such as evaluation request forms, conclusions of organizations or individuals involved in evaluation, records of contribution of opinions from relevant entities and organizations, evaluation result notification and copies of documents which have already been sealed as a proof of completed evaluation as prescribed in paragraph 3 of this Article;

b) Return documents submitted to request evaluation to the evaluation requesting person, except archived or deposited documents referred to in subparagraph a of this paragraph.

Article 10. Inspection carried out to serve project, construction design and cost estimate evaluation purposes

Inspection carried out to serve project, construction design and cost estimate evaluation purposes shall be subject to Article 11 and Article 30 of the Decree No. 59/2015/ND-CP which is specifically guided as follows:

1. Based on inspection requirements imposed by the evaluation body, the project developer shall be responsible for directly selecting a consulting organization having competence in performing inspection activities for evaluation purposes.

2. In the case where the project developer carries out inspection activities prior to submission, the specialized construction body shall consider using inspection results for evaluation purpose.

3. The consulting organization which is designated to carry out inspection activities to serve evaluation purposes of the specialized construction body must satisfy the following requirements:

a) Have competence in performing construction activities under law;

b) Have information about its construction competence posted on the electronic information page of the Ministry of Construction or a Department of Construction as per Article 69 of the Decree No. 59/2015/ND-CP. Where an inspection consulting organization has not registered information about its construction competence, specialized bodies directly controlled by the Ministry of Construction or Department of Construction shall decide to grant their approval in writing;

c) Be independent of the project developer and contractors providing consultancy for development of a project, construction design and cost estimate in legal and financial aspects.

4. The process for directly selecting an inspection consultant that assists in evaluation activities upon the request of specialized construction body shall be specifically prescribed as follows:

a) The evaluation body proposes requirements and scope of inspection activities serving evaluation purposes, including certain major contents:

- Those prescribed in subparagraph c, d, dd paragraph 2 and paragraph 3 Article 58 of the Law on Construction with respect to project and basic design evaluation;

- Those prescribed in paragraph 4 Article 58 of the Law on Construction with respect to economic – technical feasibility report evaluation;

- Those prescribed in paragraph 1, 3, 4, 5, 6, 7 Article 83 of the Law on Construction with respect to construction design and cost estimate evaluation.

b) Based on inspection requirements imposed by the evaluation body, the project developer sends an inspection request, enclosing inspection requirements and contents and a draft contract (including such information as scope of work, implementation duration, quality standards to be achieved, contract value and accountability, etc.), to the consulting organization designated to render the inspection service;

c) Upon the project developer’s inspection request, the consulting organization sends a proposal to carry out inspection activities to the project developer that proceeds to consider, negotiate about and enter into a contract.

5. Duration of project, basic design, construction design and cost estimate inspection shall be subject to paragraph 5 Article 11 and paragraph 4 Article 30 of the Decree No. 59/2015/ND-CP. Where it is necessary to extend the inspection duration, the project developer must send the evaluation body a written notification which specify reasons for application for extension.

6. The project developer shall take responsibility for examination and assessment of an inspection report prepared by the consulting entity before sending it to the evaluation body. The sample inspection report is given in the Appendix I hereof.

Article 11. Decentralization or authorization of project, construction design and cost estimate evaluation

1. Specialized construction bodies directly controlled by construction management Ministries may recommend specialized construction Departments to competent persons who are accorded the discretionary power to authorize them to evaluate reports of economic - technical feasibility of investment and construction for state-funded class-II or lower-class projects developed under the investment and construction decision of Ministries, Ministry-level organs, centrally-controlled organs of political organizations, socio-political organizations, economic groups and state-owned incorporations within a provincial-level administrative subdivision.

2. Depending on present local conditions, provincial People’s Committees shall decide to decentralize and authorize evaluation of projects, construction designs and cost estimates to divisions having competence in construction management controlled by district-level People's Committees, industrial zone management boards, export processing zones, hi-tech parks and economic zones with respect to projects or construction works that specialized construction management Departments are accorded authority to evaluate.

3. Evaluation decentralization referred to in paragraph 1 and 2 of this Article and arising in other contexts (if any) must ensure conformance to rules and requirements specified in paragraph 6 Article 34 of the Law on Government Organization and Article 13, 14 of the Law on Local Government Organization.

Article 12. Evaluation of investment and construction economic – technical feasibility reports

The process for evaluating projects in which economic-technical feasibility reports are required shall be subject to Article 5 hereof. In particular, authority to evaluate economic-technical feasibility reports referred to in subparagraph a paragraph 3 Article 13 of the Decree No. 59/2015/ND-CP shall be specifically guided as follows:

1. Specialized construction bodies directly affiliated to specialized construction management Ministries shall, subject to provisions laid down in Article 76 of the Decree No. 59/2015/ND-CP, undertake evaluation of:

a) Investment and construction economic – technical feasibility reports of state-funded projects developed under decisions of Ministries, Ministry-level organs, Governmental bodies, centrally-controlled entities of political organizations and socio-political organizations, except those of which authority over evaluation is granted to specialized construction Departments as per paragraph 1 Article 11 hereof;

b) Construction drawings (except technological design) and cost estimates of out-of-budget state-funded projects developed under decisions of Ministries, Ministry-level organs, Governmental bodies, centrally-controlled entities of political organizations, socio-political organizations, economic groups and state-owned incorporations, except those of which authority over evaluation is authorized to specialized construction Departments as per paragraph 1 Article 11 hereof;

c) Construction drawings (exclusive of technological designs) of special-class and class-I projects financed by other funds.

2. Specialized construction Departments shall undertake evaluation of:

a) Investment and construction economic – technical feasibility reports of state-funded projects developed within a province under the decision of the provincial government, and economic – technical feasibility reports of class-II or lower-class projects developed under the decision of Ministries, Ministry-level organs, Governmental bodies, centrally-controlled entities of political organizations and socio-political organizations which is made as per regulations on decentralization laid down in paragraph 1 Article 11 hereof, except those referred to in paragraph 3 of this Article;

b) Construction drawings (except technological designs) and cost estimates of out-of-budget state-funded class-II and class-III projects developed under the decision of the provincial government, Ministries, Ministry-level organs, Governmental bodies, centrally-controlled entities of political organizations, socio-political organizations, economic groups and state-owned incorporations as per regulations on decentralization laid down in paragraph 1 Article 11 hereof, except those prescribed in paragraph 3 of this Article;

c) Construction drawings (except technological designs) of public utilities projects, and projects having great impacts on landscape, environment and community safety which are financed by other funds and developed within a province, except for those referred to in paragraph 1 of this Article.

3. Construction management divisions of district-level People’s Committees and management units of industrial zones, export processing zones, hi-tech parks and economic zones shall evaluate investment and construction economic – technical feasibility reports of projects financed by the state budget's fund; construction drawings and cost estimates of out-of-budget state-funded projects shall be subject to evaluation as per regulations on decentralization laid down in paragraph 2 Article 11 hereof.

Article 13. Other regulations on project, construction design and cost estimate evaluation

1. With respect to projects, designs and cost estimates of directional construction works running past at least two provinces which are put under the evaluation authority of a specialized construction body, a specialized construction body of a specialized construction Ministry shall undertake evaluation.

2. With respect to projects comprising multiple construction works of different types and classes, a body acting as an evaluation leader shall be responsible for evaluating main works or highest-level ones in these projects.

3. With respect to projects executed under Public - Private Partnership (PPP) contracts, competent regulatory bodies referred to in paragraph 1 Article 26 of the Government’s Decree No. 15/2015/ND-CP dated February 14, 2015 on PPP investment shall act as leaders of evaluation of these projects. Evaluation of basic designs, construction designs and cost estimates shall be the same as that of out-of-budget state-funded projects as provided in paragraph 2 Article 11 and paragraph 1 Article 25 of the Decree No. 59/2015/ND-CP.

4. The specialized entity directly controlled by the investment decision maker shall undertake evaluation of construction designs and cost estimates of projects whose main activities are purchase of goods and provision of services, but comprise construction components including construction works, those whose activities do not have a decisive influence over investment objectives, operational safety, those that use and have a proportion of construction cost to total investment outlay which is less than 15%; shall undertake evaluation of economic – technical feasibility reports of projects for repair, alteration and improvement of construction works financed by state budget allocations intended for investment activities.

5. Evaluation of projects financed by mixed funds part of which is state budget fund or out-of-budget state fund which equals at least 30% or under 30% but more than VND 500 billion in proportion to total investment outlay shall be the same as that of out-of-budget state-funded projects.

Chapter III

APPROVAL AND MODIFICATION OF PROJECTS, CONSTRUCTION DESIGNS AND COST ESTIMATES

Article 14. Approval of projects, grant of investment and construction decisions

Approval of projects and grant of investment and construction decisions shall be subject to Article 12 and Article 13 of the Decree no. 59/2015/ND-CP which is specifically guided as follows:

1. The body leading project evaluation activities that are controlled by the investment decision maker shall be responsible for preparing a general report on evaluation results for submission to seek approval. In other cases, the investment decision maker shall consider and authorize their specialized affiliates to prepare a general report on evaluation results for submission to seek approval.

2. The investment decision maker shall be accorded authority to approve projects whose main activities are referred to in paragraph 2 Article 12 of the Decree No. 59/2015/ND-CP and relevant laws. Approval of projects must include specific contents about financing sources, proposed fund distribution depending on project execution duration, number of design steps, applicable standards and regulations as well as construction time length.

3. The sample investment and construction decision is given in the Appendix I hereof.

Article 15. Approval of construction designs and cost estimates

1. The investment decision maker and the project developer shall be vested with authority to approve construction designs and cost estimates with the contents specified in Article 28 of the Decree No. 59/2015/ND-CP. The investment decision maker shall be authorized to approve construction designs and cost estimates as referred to in paragraph 1 Article 72 of the Law on Construction.

2. The investment decision maker shall be accorded authority to approve construction drawings and cost estimates of projects of which investment and construction economic - technical feasibility reports are required.

3. The sample application form for approval of projects, construction designs and cost estimates is given in the Appendix I hereof.

Article 16. Modification of investment and construction projects

1. State-funded or out-of-budget state-funded investment and construction projects may be modified if they fall into cases referred to in paragraph 1 Article 61 of the Law on Construction. The investment decision maker shall be vested the right to make their decision on modification contents regarding investment objectives, scale, project execution location, progress, total investment outlay and funding source structure.

2. Projects or basic designs of which authority to grant approval is delegated to the investment decision maker shall be evaluated according to the procedures prescribed in paragraph 3 of this Article.

3. The process for evaluation of modified projects and basic designs shall be specifically guided as follows:

a) The project developer sends a written request for evaluation to the investment decision maker to seek their consent to the plan for modification of the submitted project, including reasons, contents, scope of modification and recommended solutions to modification;

b) Based on the written consent obtained from the investment decision maker to the plan for modification of the submitted project, the project developer shall assume responsibility for preparing modified project and basic design documentation for submission to the body leading evaluation under its delegated authority;

c) Preparation of a general report on evaluation results and submission of the modified project shall be subject to paragraph 1 Article 14 hereof.

4. Approval of modified investment and construction projects granted by the investment decision maker shall comprise modified contents or all of project contents after being modified.

5. The body leading evaluation of the modified project and basic design shall also be the one leading evaluation of the approved project and basic design.

Article 17. Modification of construction designs and cost estimates

1. Modification of construction designs and cost estimates shall be subject to Article 84 of the Law on Construction and Article 11 of the Government’s Decree No. 32/2015/ND-CP on management of investment and construction costs.

2. The investment decision maker shall be authorized to make their decision on modification of construction designs and cost estimates when such modification entails modification of investment and construction project. Modification in other cases shall be decided by the project developer who is responsible for their modification decision. The project developer shall be responsible for reporting to the investment decision maker on contents of modification of construction design carried out under their decision.

3. The specialized construction body shall evaluate construction designs and cost estimates in the following cases:

a) Modification of construction design is carried out due to any change of geological conditions, design load, structural solutions, materials used in load bearing structures (except if modification results in an increase in safety for construction works) and impacts of construction methods on load bearing safety;

b) Modification of construction cost estimate is carried out because modification thereof leads to an excess of total investment outlay or of the estimated amount approved by the investment decision maker.

4. Modified construction designs or cost estimates shall be approved under the discretionary decision of the project developer as prescribed in paragraph 2 of this Article, shall not be subject to evaluation as provided in paragraph 3 of this Article, and where necessary, shall be evaluated at the project developer’s discretion as the basis for their approval decision.

5. Approval of modified construction designs and cost estimates granted by the investment decision maker and the project developer shall encompass approval of modifiable contents or all of contents of modified construction designs and cost estimates. The investment decision maker or the project developer shall be accorded authority to approve construction designs and cost estimates modified at their discretion as provided by paragraph 2 of this Article.

Chapter IV

IMPLEMENTING PROVISIONS

Article 18. Responsibilities of the Ministry of Construction

As regards project, construction design and cost estimate evaluation activities, the Ministry of Construction shall assume the following responsibilities:

1. Lead and guide implementation of project, construction design and cost estimate evaluation activities of sectoral Ministries, local jurisdictions and enterprises.

2. Delegate authority to relevant specialized construction bodies in implementation of project, construction design and cost estimate evaluation activities.

3. Conduct periodic or ad-hoc inspection of implementation of evaluation activities by specialized construction bodies at different administrative levels. Make a decision on revocation and cancellation of evaluation results or request re-evaluation whenever there is any error in carrying out evaluation activities which leads to impacts on legality, quality, safety, costs and progress of construction works; prepare a general review report on evaluation results.

4. Take charge of cooperating with specialized construction Ministries in resolution of difficulties or problems arising from implementation of evaluation activities by sectoral Ministries, local jurisdictions, enterprises and project developers.

5. Hold training courses on evaluation activities that are attended by relevant entities, organizations and individuals.

6. Issue and guide application of assessment criteria for evaluation activities; norms of costs of project, basic design, construction design and cost estimate inspection consultancy.

Article 19. Responsibilities of relevant Ministries

As regards project, construction design and cost estimate evaluation activities, Ministries shall bear the following responsibilities:

1. Specialized construction Ministries:

a) Direct, guide and examine evaluation activities of specialized construction bodies that are put under their assigned management; give authority to relevant specialized construction bodies to organize project, construction design and cost estimation activities; make a decision on revocation and cancellation of evaluation results or request re-evaluation whenever there is any error in evaluation activities that may cause impacts on legality, quality, safety, costs and progress of construction works.

b) Collaborate with other specialized construction Ministries and provincial People’s Committees in organizing evaluation activities with respect to projects of national importance, directional investment and construction projects connecting different administrative subdivisions;

c) Prepare a quarterly general report on implementation of project, construction design and cost estimation evaluation activities under their jurisdiction and send it through to the Ministry of Construction for its review and supervision during 15 first days of the following quarter. The sample evaluation report is given in the Appendix II hereof.

2. Ministries, Governmental bodies and centrally-governed entities of political organizations and socio-political organizations:

a) Implement rights and responsibilities of the investment decision maker under law with respect to projects under their authority to grant the investment decision;

b) Assign their affiliated entities to participate and cooperate in project, construction design or cost estimate evaluation under their management in accordance with laws on construction;

c) Check evaluation activities of affiliated specialized bodies and cooperate in promptly resolving any difficulty that may arise during the evaluation process.

Article 20. Responsibilities of provincial and district-level People's Committees

As regards project, construction design and cost estimate evaluation, provincial and district-level People’s Committees shall assume the following responsibilities:

1. Decide delegation of authority, decentralization or authorization in carrying out project, construction design and cost estimate evaluation and approval within their jurisdiction in conformity with laws on construction and specific conditions of each jurisdiction.

2. Direct and inspect evaluation activities of specialized construction Departments or divisions having competence in management of construction which are controlled by district-level People’s Committees, make a decision on revocation and cancellation of evaluation results or request re-evaluation whenever there is any error in carrying out evaluation activities which leads to impacts on legality, quality, safety, costs and progress of construction works.

3. Resolve difficulties arising from processes and documentation requirements and cooperate in performing evaluation activities within their jurisdiction.

4. Prepare a quarterly general report on implementation of project, construction design and cost estimate evaluation activities under their jurisdiction and send it through to the Ministry of Construction for its review and supervision during 15 first days of the following quarter. The sample evaluation report is given in the Appendix II hereof.

Article 21. Transition and entry into force

1. As regards project, construction design and cost estimate evaluation:

a) Resubmission of investment and construction projects, construction designs and cost estimates which have been submitted before this Circular's entry into force shall not be required and these projects, designs and cost estimates shall be evaluated in accordance with applicable regulations existing before entry into force of this Circular;

b) Modification of projects, construction designs and cost estimates carried out after this Circular’s entry into force shall be subject to provisions laid down herein.

2. Entry into force:

a) This Circular shall take effect from August 15, 2016.

b) Regulations on inspection, evaluation and approval of investment and construction projects, construction designs and cost estimates laid down in the Circular No. 03/2009/TT-BXD dated March 26, 2009 of the Ministry of Construction providing details of certain contents of the Government’s Decree No. 12/2009/ND-CP dated February 12, 2009 on management of investment and construction projects; the Circular No. 10/2013/TT-BXD dated July 25, 2013 specifying certain contents of management of construction quality; the Circular No. 13/2013/TT-BXD dated August 15, 2013 of the Ministry of Construction prescribing inspection, evaluation and approval of construction designs and the Circular No. 09/2014/TT-BXD dated July 10, 2014 of the Ministry of Construction on amendments to certain articles of Circulars providing guidance on the Government’s Decree No. 15/2013/ND-CP dated February 6, 2013 on management of construction quality, shall be repealed from this Circular's entry into force.

In the course of implementation of this Circular, if there is any difficulty that may arise, entities, organizations and individuals should promptly inform the Ministry of Construction for its assessment and revision.

APPENDIX I

SAMPLE DOCUMENTS REQUIRED IN THE PROCEDURES FOR PROJECT, CONSTRUCTION DESIGN AND COST ESTIMATE EVALUATION
(Issued together with the Circular No. 18/2016/TT-BXD dated June 30, 2016 of the Ministry of Construction)

Sample document No.01

Project developer’s general report

(Issued together with the Circular No. 18/2016/TT-BXD dated June 30, 2016 of the Ministry of Construction)

GENERAL REPORT

On documentation submitted to apply for evaluation

Dear (Name of the evaluation body)

Pursuant to the Law on Construction No. 50/2014/QH13 dated June 18, 2014;

Pursuant to the Government’s Decree No. 59/ND-CP dated June 18, 2015 on management of investment and construction projects;

Pursuant to the Circular No. 18/2016/TT-BXD dated June 30, 2016 specifying and providing guidance on certain contents regarding evaluation and approval of projects, design and estimate of costs of construction works;

According to the construction design and estimate of costs of construction works (if any) prepared by ..... (name of the preparation entity); 

On other relevant legal grounds;

(Name of the project developer) hereby submits the General Report on design and estimate of costs of construction works (if any), including the followings:

1. Conformity of components and representation of the design documentation to terms and conditions of a construction contract and legislative regulations (design documentation composed of design interpretation, drawings, construction surveying materials and other related documents, which are required by relevant laws); 

2. Statistics of technical regulations or standards which are mainly applied in the construction design documentation; 

3. Information about capability of the surveying contractor, the contractor of construction design and cost estimation (if any) (sectors or industries allowed for carrying out construction surveying and design activities which are specified in the business license or other certificates issued by competent authorities); 

4. Practicing certificate and information about competency of the principal investigator and leader of construction surveying, design and cost estimate (describing in detail qualifications and competency of these principal investigators and leaders);

a. Construction surveying principal investigators:

- Construction surveying principal investigator is accredited to have sufficient competence in carrying out…(construction surveying activities allowed according to the practicing certificate)……….and those referred to in the Certificate No. .........issued on (date).......which remain unexpired till the date of submission.  

b. Principal investigators and leaders of construction design:

- Construction design principal investigator …….is accredited to have sufficient competence in undertaking construction design activities and those referred to in the Certificate No. .........issued on (date).......which remain unexpired till the date of submission.  

- Construction design leader specializing in design operations licensed under the practicing certificate)……..is accredited to have sufficient competence in undertaking construction design activities and those referred to in the Certificate No. .........issued on (date).......which remain unexpired till the date of submission.  

Sample document No.02

Project inspection report

(Issued together with the Circular No. 18/2016/TT-BXD dated June 30, 2016 of the Ministry of Construction)

Dear the project developer,

(Name of the inspection body) has received the Document No……dated…..that request the inspection of the project ……(Name of the construction project).

Pursuant to the Law on Construction No. 50/2014/QH13 dated June 18, 2014;

Pursuant to the Government’s Decree No. 59/2015/ND-CP dated June 18, 2015 on management of investment and construction projects;

Pursuant to the Circular No. 18/2016/TT-BXD dated June 30, 2016 specifying and providing guidance on certain contents regarding project evaluation and approval, and construction design and cost estimate;

Pursuant to the Consultancy Contract No. ……..dated………..which has been signed between ……(the inspection body) and……….(the project developer);

On other relevant legal grounds…………………………………………………………………;

After reviewing project dossiers, (the inspection body) shall inform the inspection results of.....(the project name), including:

I. GENERAL INFORMATION ABOUT THE PROJECT

1. The project name:

2. Project group, type, class and scale:

3. Investment decision maker:

4. Project developer’s name and contact information (address, telephone, etc.):

5. Construction location:

6. Value of investment outlay; financing source:

7. Project execution duration:

8. Contractor that prepares the feasibility study report:

9. Other information (if any):

II. COMPOSITION OF THE PROJECT DOSSIER

1. Legal documents (List down legal documents in the application package):

2. Project-related, surveying and design dossiers and materials:

3. Contractor competency dossiers:

III. CONTENTS OF THE PROJECT DOSSIER

1. Main contents of the project

(Briefing basic contents of dossier of the project to be inspected)

2. Main regulations and standards to be applied.

IV. REMARKS ON QUALITY OF THE APPLICATION DOCUMENTATION FOR INSPECTION

(Commenting on and specifically evaluating details of the following contents upon the project developer's inspection demand) 

After receipt of the dossier of the project (project name) and after review of such dossier, (the inspection body's name) informs the quality of the application documentation for inspection, including:

1. Representation and list of documents to be inspected (commenting on representation, validation and sufficiency/adequacy of the dossier in comparison with regulations in force).

2. Remarks and comments on contents of the feasibility study report, as prescribed by Article 54 of the Law on Construction 2014.

3. Conclusion of the inspection body on whether the project is eligible for inspection.

V. PROJECT INSPECTION RESULTS

1. Contents of inspection of basic design: (several or all contents below, depending on the inspection demand of the project developer). 

a) Relevance of a technological solution or technological line which is selected with respect to any project that requires technological design;

b) Relevance of design solutions in terms of assurance of construction safety, environmental protection, fire and explosive prevention and control: Reaching conclusions on assurance of construction safety of design solutions; examining uniformity between design solutions and environmental protection and fire safety solutions based on opinions of competent authorities as prescribed by the Law on Environmental Protection and the Law on Fire Prevention and Control;   

c) Conformity of basic design to technical standards and regulations: Assessing whether the list of technical standards and regulations conforms to applicable laws; assessing compliance with regulations on application of technical standards and technical regulations for basic design. 

2. Inspection of other information included in the feasibility study report:

a) Assessment of necessity of investment and construction, including conformity to the investment plan, capability of meeting increasing demands concerning scale, output, operational capacity for the purpose of satisfying socio-economic demands, assuring national defence and security over periods of time;

b) Evaluation of factors assuring feasibility of the project, including relevance of the project to the planning for industrial development and the construction planning; capability of meeting the demand for land occupancy and clearance for construction purposes; the demand for use of natural resources (if any), assurance of input factors and satisfaction of demands for products derived from the project; the project developer’s managerial experience; maintenance of national defence and security as well as other factors;

c) Evaluation of factors that assure the project effectiveness, including the investment outlay:

- Examination of the method for estimating total investment outlay; evaluation of contents of total investment outlay structure to be inspected; examination of relevance of application and utilization of relevant norms, unit prices, policies or regulations for estimation and management of investment and construction costs;

- Examination of relevance of workloads in relation to total investment outlay; examination of soundness and rationality of specific costs included in total investment outlay;

- Post-inspection value of total investment outlay (specifying value of specific cost-related accounts, causes of increase or reduction).

d) Evaluation of the project execution progress; project operation costs; possibility of mobilizing capital depending on the project execution progress, and analysis of risks, financial and socio-economic effectiveness of the project.

3. Request for modification of the submitted application (if any).

V. CONCLUSION AND RECOMMENDATION

- The project (Project name) which is Eligible (or Ineligible) for further steps to be taken.

- Several recommendations (if any).

PROJECT INSPECTION PRINCIPAL INVESTIGATOR OR LEADER

- (Signature and full name)

(Inspection results may be supplemented with other contents, depending on requirements or scope of inspection activities of the project developer and the contractor rendering inspection consultancy services).

Sample document No.03

Report on inspection of construction design and cost estimate.

(Issued together with the Circular No. 18/2016/TT-BXD dated June 30, 2016 of the Ministry of Construction)

RESULTS OF INSPECTION OF CONSTRUCTION DESIGN AND COST ESTIMATE

Project: ………......

Dear (the project developer’s name),

Pursuant to the Law on Construction No. 50/2014/QH13 dated June 18, 2014;

Pursuant to the Government’s Decree No. 59/2015/ND-CP dated June 18, 2015 on management of investment projects;

Pursuant to the Circular No. 18/2016/TT-BXD dated June 30, 2016 specifying and providing guidance on certain contents regarding project evaluation and approval, and construction design and cost estimate;

Pursuant to other relevant Decrees or Circulars;

Pursuant to the Document No…..dated…..of (the applicant for inspection)......on....;

On other relevant legal grounds.

As agreed upon in the inspection consultancy contract (contract number) between (the project developer’s name) and (the inspection body’s name) on inspection of engineering design, design of construction drawings and construction cost estimate of (the project’s name).  After a completed review, (the inspection body’s name) hereby informs the following inspection results:

I. GENERAL INFORMATION ABOUT THE CONSTRUCTION WORK

- Name of the construction work: ..... Type and class of the construction work: .....

- Belonging to the investment project:…

- Project developer: …

- Construction estimated value: …

- Funding source: …

- Construction location: …

- Construction surveying body: …

- Construction design and cost estimating body: …

II. LIST OF THE APPLICATION DOCUMENTATION FOR INSPECTION

1. Legal documents:

(List legal documents used for validating the project)

2. List of the application documentation for inspection:

3. Materials used in the inspection process (if any)

III. MAIN CONTENTS OF CONSTRUCTION DESIGN AND COST ESTIMATE

1. Main regulations and standards to be applied.

2. Major design solutions of the construction work.

(Describing major design solutions of components of the construction work).

3. Bases for construction cost estimation

IV. REMARKS ON QUALITY OF THE APPLICATION DOCUMENTATION FOR INSPECTION

(Commenting on and specifically evaluating details of the following contents upon the project developer's inspection demands) 

After receipt of the dossier of the project developer (the project developer’s name) and after review of such dossier, (the inspection body's name) informs the quality of the application documentation for inspection, including:

1. Representation and list of documents to be inspected (commenting on representation and validity of the dossier in comparison with regulations in force).

2. Remarks and comments on contents of the construction design, as prescribed by Article 80 of the Law on Construction 2014.

3. Comments and remarks on construction cost estimate, specifically including:

a) Cost estimation approach which is selected in comparison with regulations in force;

b) Bases for determination of cost accounts;

c) Unit prices to be applied for the construction work;

d) Reasonable construction costs (Solutions to design and use of building materials, substances or equipment relevant to the function of the construction work for the purpose of enhancing construction cost efficiency).  

4. Conclusion of the inspection body on whether the project is eligible for inspection.

V. DERSIGN INSPECTION RESULTS

(Certain or all of the following contents, depending on the inspection demand of the project developer and specialized construction entity). 

1. Relevance of the succeeding construction design to the preceding one;

a) Engineering design (development of engineering drawings) compared with the primary design;

b) Development of the engineering design compared with design objectives in case of single-step design process.

2. Compliance with applicable technical standards and regulations; legislative regulations on use of building materials for the construction work:

- Compliance with applicable technical standards and regulations:

- Use of building materials which is permitted by laws:

3. Evaluation of relevance of construction design solutions to useful effects of the construction work, level of safety of the construction work and assurance of safety for adjacent construction works:  

- Evaluation of relevance of each construction design solution to useful effects of the construction work.  

- Evaluation and conclusion of load bearing capacity of construction structures and design solutions for maintenance of safety for adjacent structures.

5. Rationality of selected technology lines and equipment for design of the construction work in conformity with technological requirements (if any).

6. Compliance with regulations on environmental protection, fire and explosion prevention and control.

7. Request for modification of the submitted application (if any).

VI. PROJECT INSPECTION RESULTS

1. Inspection rules:

a) Consistency between major estimated costs and designed costs;

b) Accuracy and rationality of application and use of construction unit prices, proportional cost norms, estimated consultancy costs and estimated cost accounts included in the construction cost estimate;

c) Construction estimated value.

2. Post-inspection construction estimated value

Depending on the aforesaid bases and rules, post-inspection estimated value shall be calculated as follows:

(Detailed Appendix hereto attached)

Causes of increase or decrease: (specifying reasons for increase or decrease).

3. Request for modification of the submitted application (if any).

VII. CONCLUSION AND RECOMMENDATION

Engineering design/construction drawing development documentation and construction cost estimate which satisfy conditions for further steps.

Several recommendations (if any).

SPECIALTY-SPECIFIC INSPECTION PRINCIPAL INVESTIGATOR OR LEADER

- (Signature, full name and number of practicing certification…)

- …………………

- (Signature, full name and number of practicing certification…)

(Inspection results may be supplemented with other contents, depending on inspection demands of the project developer and the inspection consultancy contractor).

Sample document No.04

Decision on approval of investment and construction project

(Issued together with the Circular No. 18/2016/TT-BXD dated June 30, 2016 of the Ministry of Construction)

DECISION

On approval of investment and construction project

(Name of approving individual/entity)

Pursuant to the Law on Construction No. 50/2014/QH13 dated June 18, 2014;

Pursuant to the Government’s Decree No. 59/2015/ND-CP dated June 18, 2015 on management of investment projects;

Pursuant to the Circular No. 18/2016/TT-BXD dated June 30, 2016 specifying and providing guidance on certain contents regarding project evaluation and approval, and construction design and cost estimate;

On other relevant legal grounds;

Based on the inspection result notification No….

Upon the request of …given in the report No….dated…

HEREBY DECIDES

Article 1. To approve the investment and construction project with the following main contents:

1. The project name:

2. The project developer:

3. Investment and construction objectives:

4. Investment and construction contents and scale:

5. Invitation of bids for development of the project:

6. Principal investigator undertaking development of the project:

7. Construction location:

8. Area of land to be occupied:

9. Type and class of the construction work (specifying type and class of main construction works belonging to the project):

10. Number of designing steps:

11. Construction plan (basic design plan):

12. Technological equipment (if any):

13. Site clearance and resettlement plan (if any):

14. Total investment outlay:

Total amount:

Including:

- Construction cost:

- Payments and equipment:

- Site clearance compensation and resettlement cost:

- Project management cost:

- Investment and construction consultancy cost:

- Others:

- Contingency cost:

15. Financing source (specifying the proposed fund allocation plan, depending on the project execution duration):

16. Project management form:

17. Project execution duration:

18. Useful life of the construction work:

19. Other contents:

Article 2. Implementation.

Article 3. Responsibilities of relevant bodies for enforcement of this decision./.

Sample document No.05

Decision on approval of construction design and cost estimate

(Issued together with the Circular No. 18/2016/TT-BXD dated June 30, 2016 of the Ministry of Construction)

DECISION

On approval of construction design and cost estimate

(Approving body)

Pursuant to the Law on Construction No. 50/2014/QH13 dated June 18, 2014;

Pursuant to the Government’s Decree No. 59/2015/ND-CP dated June 18, 2015 on management of investment projects;

On other relevant legal grounds;

Based on the inspection result notification No….

Upon the request of …given in the report No….dated… and the evaluation result notification No…. dated…;

HEREBY DECIDES

Article 1. To approve the construction design and cost estimate (if any) with the following main contents:

1. Name of the construction work:

2. Belonging to the project:

3. Type and class of the construction work:

4. Construction location:

5. Contractor that undertakes preparation of the construction surveying report:

6. Contractor that undertakes development of the construction design:

7. Principal investigator and leader that undertake construction surveying, design and cost estimation:

8. The body undertaking inspection of construction design and cost estimate (if any):

9. Scale and main technical specifications and design solutions of the construction work:

10. Construction estimated value (if any):

(In words: …)

Including:

- Construction cost:

- Equipment cost:

- Site clearance compensation and resettlement cost (if any):

- Project management cost:

- Investment and construction consultancy cost:

- Others:

- Contingency cost:

11. Useful life of the construction work:

12. Other contents:

Article 2. Implementation.

Article 3. Relevant entities and individuals shall be responsible for enforcement of this decision./.

Sample document No.06

Sample stamp for evaluation and inspection of construction design

(Issued together with the Circular No. 18/2016/TT-BXD dated June 30, 2016 of the Ministry of Construction)

SAMPLE EVALUATION STAMP OF THE EVALUATION BODY

(Sample stamp dimensions: width ranging from 4 cm to 6 cm; length ranging from 6 cm to 9 cm)

SAMPLE INSPECTION STAMP OF THE INSPECTION BODY

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