Chương II Thông tư 18/2016/TT-BXD: Thẩm định dự án và thiết kế, dự toán xây dựng công trình

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.