DECISION

PROMULGATING REGULATION ON THE ASSESSMENT ON IMPLEMENTATION RESULT OF CONTRACTORS OF CONSTRUCTION AND INSTALLATION PARTICIPATING IN PROJECTS ON TRANSPORTATION CONSTRUCTION USING FUND FROM THE STATE BUDGET THAT ARE DECIDED ON INVESTMENT BY THE MINISTER OF TRANSPORT

THE MINISTER OF TRANSPORT

Pursuant to the Government’s Decree No. 51/2008/ND-CP, dated April 22, 2008, defining the functions, tasks, powers and organizational structure of the Ministry of Transport;

Pursuant to the Government’s Decree No. 12/2009/ND-CP, dated February 12, 2009 on management of investment projects on the construction of works and the Government’s Decree No. 83/2009/ND-CP, dated October 15, 2009 on amending and supplementing a number of articles of the Decree No. 12/2009/ND-CP;

Pursuant to the Government’s Decree No. 209/2004/ND-CP, dated December 16, 2004 on quality management of construction works and the Government’s Decree No. 49/2008/ND-CP, dated April 18, 2008 on amending and supplementing a number of articles of the Decree No. 209/2004/ND-CP;

Pursuant to the Government’s Decree No. 85/2009/ND-CP, dated October 15, 2009 on guiding the Bidding Law and the selection of construction contractors under the Construction Law;

Pursuant to the Circular No. 03/2009/TT-BXD, dated March 26, 2009, of the Ministry of Construction, detailing a number of provisions of the Government's Decree No. 12/2009/ND-CP of February 12, 2009;

...

...

...

DECIDES:

Article 1. To promulgate together with this Decision “Regulation on the assessment on implementation result of contractors of construction and installation participating in projects on transportation construction using fund from the state budget that are decided on investment by the Minister of Transport".

Article 2. This Decision takes effect on the day of signing. In the course of implementation, any arising problems should be reported to the Ministry of Transport for consideration and settlement.

Article 3. The Chief of office, the Chief Inspector, Directors and General Directors of of Departments, Bureaus and heads of relevant units shall implement this Decision.

FOR THE MINISTER OF TRANSPORT
DEPUTY MINISTER




Nguyen Ngoc Dong

REGULATION

...

...

...

(Issued together with the Decision No. 228/QD-BGTVT, dated January 23, 2013)

Article 1. Scope of regulation:

This Regulation shall be applied to assess the implementation result of contractors of construction and installation (including foreign contractors) participating in independent status or partnership in projects on transportation construction using fund from the state budget that are decided on investment by the Minister of Transport, including projects using ODA sourses (assessment of sub-contractors participating in projects is not required).

Authorities of investment decision, other investors in transportation are encouraged to apply these assessment criteria to projects that are managed by them or to make reference to the assessment results of the Ministry of Transport (hereinafter abbreviated to the Ministry).

Article 2. Subjects of application:

This Regulation applies to agencies, units assigned tasks as investors or tasks of management and organization for implementation of projects (Project Management Unit) by the Ministry, the consultancy agencies (Departments, Bureaus) participating in implementation of projects on transportation construction that are decided investment by the Ministry.

Article 3. Objectives of assessment:

1. Annually assessing the implementation results of contractors of construction and installation participating in projects on transportation construction that are decided investment by the Ministry with the aim to update, monitor the acctual implementation results of contractors of construction and installation, on that basis, to have the information for defining of contractors of construction and installation participating in projects on transportation construction that exist violations, contractors of construction and installation that meet requirement and contractors of construction and installation that exceed requirement, so on.

2. The assessment result shall be referenced by the Ministry, authorities of investment decision, investors, Project Management Unit of the Ministry in the course of selection of contractor, decision on handling contractors of construction and installation (if necessary).

...

...

...

Article 4. Implementation of assessment:

1. The assessing agencies:

- Investors shall assess the implementation result of contractors participating bidding packages that are assigned for management by them.

- Projects in which the Ministry of Transport acts as investor: Agencies, units, Project Management Units that are assigned the project management by the Ministry shall assess the implementation result of contractors participating bidding packages under their management.

The assessment must ensure the accuracy, objectiveness, justice, transparence, satisfy for announcement publicly about the implementation result of contractors of construction and installation participating in projects using fund from the State budget that are decided investment by the Ministry.

Investors, Project Management Units shall be responsible before the Ministry and law for the assessment results implemented by them and sending reports made according to the enclosed forms to the Ministry.

2. The agencies summing up the assessment result:

a. Transportation Works Quality Control and Construction Management Bureau shall consider and sum up the assessment results in the implementation stage of contractors (including criteria in points a, b, c clause 1 Article 5 of this Regulation) on the basis of reports on assessment result of investors, Project Management Units.

Summing for a general assessment result on the basis of assessment results of the Financial Department and the Transport Infrastructure Bureau.

...

...

...

c. The Transport Infrastructure Bureau shall consider and sum up the assessment results of contractors in implementation of responsibility about works warranty (criterion in point e clause 1 Article 5 of this Regulation) on the basis of reports on assessment result of investors and Project Management Units.

3. During summing up assessments, depending on content, quality and time limit for report of investors (Project Management Units), the Transportation Works Quality Control and Construction Management Bureau, Financial Department, Transport Infrastructure Bureau may request investors (Project Management Units) for justifications, amendments or clarification of contents and assessment results (if necessary).

Article 5. Assessment criteria (for each bidding package):

1. Each bidding package shall be assessed according to the following contents:

a. Capacity for actual mobilization of contractors:

+ Personnel mobilization;

+ Mobilization for machine, equipment.

b. Meeting requirements on overall and detailed progress.

c. Meeting requirement on quality, labour safety, traffic safety, environmental hygiene, fire and explosion prevention.

...

...

...

e. Implementation of responsibility for works warranty of contractors.

2. Assessment criteria are provided in the Annex 1 enclosed with this Regulation.

Article 6. Principles of assessment, handling of assessment results and defining of implementation results of contractors:

1. Principles of assessment, handling of assessment results:

a. A contractor may be assessed with “fault” for 01 criterion when it fails to meet requirements of affair set out for such criterion (counted by year), after investor or Project Management Unit has a reminding or correcting document at the third time, but contractor has remedied to ensure requirement and not affect seriously to quality and progress of works.

b. A contractor may be assessed with “violation” for 01 criterion when it fails to meet requirements of affair set out for such criterion (counted by year), after investor or Project Management Unit has reminded or corrected at the third time, but contractor fail to remedy or have remedial measures but still fail to ensure requirement; or have violation affecting seriously to quality and progress of works.

Together with assessing a contractor with “violation”, investor, Project Management Unit must have timely handling measures, propose for the contract termination, sanction to contractor, replacement by other contractor in performing and meeting requirements on quality and progress of bidding package or project.

With regards to “violations” of a contractor but it is not serious to terminate contract, or if a contractor exceed 6 “faults” / 01 bidding package, investor, Project Management Unit must have handling measures applicable to contractor under authority to timely overcome or report and propose to competent authorities for the handling measures in accordance with regulation, not affecting the quality and progress of bidding package or project.

c. Reminds and corrections of investors, Project Management Units are expressed through: Minutes of site inspection; reminding and correcting documents, and other documents urging for implementation. Content of reminds and corrections ensure to clarify contents suitable with assessment criteria.

...

...

...

2. Defining the implementation result of contractors:

Investors, Project Management Units shall, based on the assessment results, implementation results of contractors, define the satisfaction level of contractors as follows:

- A contractor of construction and installation shall be assessed as “meeting and exceeding requirement”: In case where this contractor has no fault and has at least 01 assessment criterion of “meeting and exceeding requirement” / total bidding packages.

- A contractor of construction and installation shall be assessed as “meeting requirement”: In case where this contractor has not more than 3 “faults” / 01 bidding package and total “faults” of all bidding packages are not more than 8 “faults”.

- A contractor of construction and installation shall be assessed as “average”: In case where this contractor has between 4 and 6 “faults” / 01 bidding package or total “faults” of all bidding packages are not more than 20 “faults”.

- A contractor of construction and installation shall be assessed as “failing to meet requirement” in case where this contractor has more than 6 “faults” / 01 bidding package or total “faults” of all bidding packages exceed 20 “faults” or has 01 “violation” / total bidding packages.

“Faults” and “violations” of a contractor shall be made accumulated sum for all bidding packages that such contractor participate in.

In the following year, if a contractor already assessed at “average” level still is assessed at “average” level or “failing to meet requirement”, investor or Project Management Unit shall be considered on the level of satisfying their task implementation when the Ministry assesses result of task implementation of such investor or Project Management Unit.

Article 7. Organization for implementation:

...

...

...

a. Assessing the implementation results of contractors of construction and installation under the assessment criteria speified in this Regulation, make 03 sets of dossier of reporting the assessment result and send them to the Ministry (through the Transportation Works Quality Control and Construction Management Bureau) before November 20 each year for summing of the assessment results.

b. A dossier of reporting the assessment results comprises:

- Written report on the assessment results enclosed with table of assessment results made according to the Annex 2, in which defening the implemetation results during year of contractors of construction and installation.

- Enclosed with documents to prove the accuracy of assessment contents (the minutes of site inspection; written reminds and corrections; replacing documents, handling of contractors, so on).

c. During the implementation, investors and Project Management Units shall study and put suitable contents of this Regulation into the contracts signed with contractors in order to strengthen the quality and progress control and serve for assessment of the implementation results of contractors.

2. The Transportation Works Quality Control and Construction Management Bureau:

- After receiving dossier of reporting the assessment results of investors, Project Management Units, the Transportation Works Quality Control and Construction Management Bureau shall send 01 set of dossier to the Financial Department, 01 set of dossier to the Transport Infrastructure Bureau for consideration and summing the assessment results.

- On the basis of dossier of reporting the assessment results of investors, Project Management Units and the assessment results of the Financial Department, Transport Infrastructure Bureau, the Transportation Works Quality Control and Construction Management Bureau shall sum up assessments of implementation results and report them to the Ministry before December 25 of every year.

3. The Financial Department, the Transport Infrastructure Bureau:

...

...

...

- Within 15 days after receiving dossier of reporting the assessment results, they shall send the assessment results to the Transportation Works Quality Control and Construction Management Bureau for summing generally.

4. The Information Technology Center: Publishing the assessment results of contractor and storing the set forms for declaration on the website of the Ministry.

5. The first assessment shall be performed for projects in 2013, after this Regulation is issued. Within 03 months, after this Regulation is issued, investors, Project Management Units shall perform assessment and report results to the Ministry (through the Transportation Works Quality Control and Construction Management Bureau) to sum up, considere, report for the pilot announcement of levels of satisfying of contractors when having enough conditions.

Article 8. Announcement and utilization of the assessment results:

1. The assessment results of implementation results of contractors of construction and installation shall be published on the website of the Ministry.

2. The assessment results of implementation results of contractors of construction and installation shall be one of information that serve for reference and consideration in selection of contractors of construction and installation for investment projects of transportation works construction using fund from the State budget that are decided investment by the Ministry and ensure compliance in accordance with laws on bidding.

ANNEX 1

METHOD AND CRITERIA FOR ASSESSMENT ON THE IMPLEMENTATION RESULTS OF CONTRACTORS OF CONSTRUCTION AND INSTALLATION OF TRANSPORTATION WORKS

...

...

...

The assessment of implementation result of contractors shall base on:

- Bidding dossier, technical standards for acceptance of construction works, technical design dossier, design dossier of construction drawings that are approved (if any).

- Tender dossier of contractors;

- Overall and detailed construction schedules enclosed with chart of mobilizing human resource, machines, supplies, equipment of contractor that are accepted by the investor or Project Management Unit before carrying out the construction;

- Measures to organize construction of contractor that are accepted;

- Measures to assure for traffic safety, labour safety, environmental hygiene, fire and explosion prevention of contractor that already been accepted.

- Conditions stipulated in the signed contracts.

2. Method of assessment:

Assessment of criteria is based on the actual implementation results of contractor in comparison with requirements of bidding package, project, assurance for implementation in satisfying of progress and quality.

...

...

...

- Objective reasons that are not fault of contractors shall be not used for consideration and assessment on the implementation results of contractors.

- For a partnership contractor, the assessment is performed to each contractor in that partnership according to the scope, value corresponding to part of affairs that are undertaken by such contractor under agreement or contract of partnership.

- Depending on nature and content of affairs, the reminds and corrections of investors, Project Management Units must be timely performed in allowed time limit, ensure not to delay the progress or affect to quality of works.

Method and criteria for assessment shall comply with the below table:

No.

Criteria for assessment

Basis to define the level of satisfying

Result of assessment

I

...

...

...

1

Capacity to mobilize personnel

1.1. Arranging adequate personnel meeting requirement on quantity, conditions of qualification and experience in comparison with the tender dossier and chart of mobilization of human resource that are accepted.

Or arranging personnel fails to meet above requirements but after investor or Project Management Unit remind for the first time, contractor has adjusted and replaced in conformity with requirements.

Meeting requirement

1.2. Arranging of key personnel

- Failing to meet requirement as prescribed in item 1.1 or ensuring on personnel quality in item 1.1 but failing to meet requirement on qualification, experience of bidding package and not violating provision in item 1.3.

Fault

1.3. Contractor violates one of the following contents:

...

...

...

- Fail to arrange the key technical officers although the investor or Project Management Unit has reminded at the third time, the contractor still fail to implement.

- Fail to meet provision in item 1.2 and the investor or Project Management Unit has reminded at the third time, the contractor still fail to implement.

Violation

2

Capability to mobilize machines and equipment

2.1. Arranging adequately quantity in proper with models or types, capacity and quality that meet requirement of bidding package, be suitable with construction measures, the overall and detailed construction schedule that have been approved in accordance with regulation.

Meeting requirement

2.2. Arranging of machines and equipment: Failing to meet requirement as prescribed in item 2.1 or meeting the quantity in item 2.1 but failing to meet requirement on models, capacity as required and having remedied after investor or Project Management Unit reminds for the third time.

Fault

...

...

...

Violation

3

Arranging construction

3.1. Arranging construction site, warehouses and yards (for gathering of supplies, equipment, fuels, materials), management house, huts, camps to meet requirement on construction measures, the overall and detailed construction schedule of bidding package that have been approved in accordance with regulation.

Meeting requirement

3.2. Failing to meet requirement as prescribed in item 3.1 or having arranged but they are not adequate, unconformable with the actual construction conditions and they have been remedied after investor or Project Management Unit reminds for the third time.

Fault

3.3. Contractor fails to meet provision in item 3.2 although the investor or Project Management Unit has reminded at the third time, the contractor still fail to implement as required and affect to progress and quality of bidding package.

Violation

...

...

...

Progress of construction:

4

Overall progress of construction:

4.1. Actual progress of construction exceeds the approved overall progress of construction

Meeting and exceeding requirement

4.2. Actual progress of construction meets the approved overall progress of construction

Meeting requirement

4.3. Actual progress of construction is late of ≤ 10% in comparison with the approved overall progress of construction.

Fault

...

...

...

Violation

5

Detailed progress of construction:

5.1. Actual progress of construction exceeds the approved detailing progress of construction

Meeting and exceeding requirement

5.2. Actual progress of construction meets the approved detailing progress of construction

Meeting requirement

5.3. Actual progress of construction is late of ≤ 20% in comparison with the approved detailing progress of construction.

Fault

...

...

...

Violation

III

Construction quality, labour safety, traffic safety, environmental hygiene, fire and explosion prevention:

6

Construction quality

6.1. Meeting technical requirement of bidding package.

Meeting requirement

6.2. Investor, Project Management Unit, Supervision Advisory, or the consulting agencies of Ministry has comments on quality not be ensured and required for remedy, repair and the contractor has remedied and repaired according to the approved design.

Fault

...

...

...

Violation

7

Ensuring traffic safety:

7.1. Perform well the traffic safety measures during construction.

Meeting requirement

7.2. Happening congestion, traffic accidents but not cause damages to people.

Fault

7.3. Contractor violates one of the following contents:

- Happening traffic accidents that cause damages to people, means.

...

...

...

Violation

8

Labour safety, fire and explosion prevention

8.1. Implement properly and adequately in accordance with regulations on measures of labour safety, fire and explosion prevention during construction.

Meeting requirement

8.2. Happening occupational accidents, fire, explosion but not have damage to people and assets

Fault

8.3. Happening occupational accidents that have damages to people and assets.

Violation

...

...

...

Ensuring environmental hygiene

9.1. Implement properly and adequately in accordance with regulations on measures of ensuring environmental hygiene.

Meeting requirement

9.2. Causing the environmental unsanitary, being reflected by opinions, documents of management agencies at all levels or on means of mass media and having remedied after investor or the Project Management Unit reminds

Fault

9.3. During construction, causing the serious influences to environmental hygiene, the environment management agencies made sanction minutes or having written reflects of management agencies at all levels and on means of mass media, although the investor or Project Management Unit has reminded at the third time, the contractor still fail to implement.

Violation

IV

Settlement of procedures for payment and finalization of contractors:

...

...

...

Payment mission

10.1. Implementing the payment acceptance and submission of payment dossier in time prescribed by contracts The payment dossier ensures adequate valid documents, correctness, accuracy and legality of payment data.

Meeting requirement

10.2. Implementing procedures for payment and submission of payment dossier is late, not adequate as required and not violate item 10.3.

Fault

10.3. Failing to implement the payment acceptance and submission of payment dossier in time prescribed by contracts. The payment dossier is inadequate valid documents, non-ensured for correctness, accuracy and legality of payment data although the investor or Project Management Unit has reminded at the third time, the contractor still fail to remedy.

Violation

11

Finalization mission

...

...

...

Meeting requirement

11.2. Time of delivering and submitting the finalization dossier of contract is late. The finalization dossier have inadequate valid documents, not ensure the correctness, accuracy and legality of finalization data. Fail to coordinate well with investor in completing procedures during auditing, appraisal and examination for approval of finalization. Implementing the handling debt and returning in a late manner when being paid in excess of the approved finalization value.

Not violating item 11.3

Fault

11.3. Being late in delivering and submitting the finalization dossier of contract. The finalization dossier have inadequate valid documents, not ensure the correctness, accuracy and legality of finalization data, fail to coordinate with investor in completing procedures during auditing, appraisal and examination for approval of finalization. Failing to implement the handling debt and returning timely when being paid in excess of the approved finalization value although the investor or Project Management Unit has reminded at the third time, the contractor still fail to remedy.

Violation

V

12

Implementation of responsibility for the construction works warranty of contractor

...

...

...

Meeting requirement

12.1.In the warranty duration, works is required for repair of faults, defects but contractor has repaired untimely when having request of management agencies and not violate item 12.3

Fault

12.3. In the warranty duration, works is required for repair of faults, defects, damges or when competent agencies have required for the third time but contractor still fails to remedy or repair

Violation

ANNEX 2

THE ASSESSMENT RESULT OF IMPLEMENTATION RESULT OF CONTRACTORS OF CONSTRUCTION AND INSTALLATION

- Investor (Project Management Unit):

...

...

...

- Name and scope of bidding package:

- Price of bidding package:

No.

Criteria for assessment

Comments to define the level of satisfying

Result of assessment

I

The actual mobilization capacity of contractor

1

...

...

...

Meeting requirement

Fault

Violation

2

Capability to mobilize machines and equipment

...

...

...

Fault

Violation

3

Arranging construction:

Meeting requirement

...

...

...

Violation

II

Progress of construction:

4

Overall progress of construction:

Meeting and exceeding requirement

...

...

...

Fault

Violation

5

Detailed progress of construction:

Meeting and exceeding requirement

...

...

...

Fault

Violation

III

Construction quality, labour safety, traffic safety, environmental hygiene, fire and explosion prevention:

6

Construction quality

...

...

...

Fault

Violation

7

Ensuring traffic safety:

Meeting requirement

...

...

...

Violation

8

Labour safety, fire and explosion prevention:

Meeting requirement

Fault

...

...

...

9

Ensuring environmental hygiene:

Meeting requirement

Fault

Violation

IV

...

...

...

10

Payment mission:

Meeting requirement

Fault

Violation

11

...

...

...

Meeting requirement

Fault

Violation

V

12

Implementation of responsibility for the construction works warranty of contractor:

...

...

...

Meeting requirement

Fault

Violation

Quyết định 228/QĐ-BGTVT năm 2013 về Quy định đánh giá kết quả thực hiện của Nhà thầu xây lắp tham gia dự án xây dựng giao thông sử dụng nguồn vốn Ngân sách Nhà nước do Bộ trưởng Bộ Giao thông vận tải quyết định đầu tư