Circular No. 10/2013/TT-BXD of July 25, 2013, on construction quality management THE MINISTRY OF CONSTRUCTION

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1 THE MINISTRY OF CONSTRUCTION Circular No. 10/2013/TT-BXD of July 25, 2013, on construction quality management Pursuant to the Government s Decree No. 63/2012/ND-CP of August 31, 2012, defining the functions, tasks, powers and organizational structure of the Ministry of Construction; Pursuant to the Government s Decree No. 15/2013/ND-CP of February 6,2013, on quality management of construction works (below referred to as Decree No. 15/2013/ND-CP); Pursuant to the Government s Decree No. 12/2009/ND-CP of February 12, 2009, on management of construction investment projects; and Decree No. 83/2009/ND-CP of October 15,2009, amending and supplementing a number of articles of Decree No. 12/2009/ ND-CP of February 12, 2009; Pursuant to the Government s Decree No. 108/2009/ND-CP of November 27, 2009, on investment under Build-Operate-Transfer contracts, Build- Transfer-Operate contracts and Build-Transfer contracts (below referred to as Decree No. 108/2009/ND-CP); and Decree No. 24/2011/ND-CP of April 5, 2011, amending and supplementing a number of articles of Decree No. 108/2009/ND-CP of November 2 7, 2009 (below referred to as Decree No. 24/2011/ ND-CP); Pursuant to the Prime Minister s Decision No. 71/2010/QD-TTg of November 9, 2010, promulgating the Regulation on pilot investment in the form of public-private partnership; At the proposal of the Director of the State Authority for Construction Quality Inspection; The Minister of Construction promulgates the Circular detailing a number of contents of quality management of construction works. Chapter I GENERAL PROVISIONS Article 1. Scope of regulation and subjects of application 1. Scope of regulation: a/this Circular details a number of provisions on quality management of construction works of Decree No. 15/2013/ND-CP, applicable to construction works invested with any funding sources; b/ The contents of appraisal, verification and approval of construction designs and quality management of construction of separate houses, and 1

2 other relevant contents are provided in other circulars of the Ministry of Construction. 2. Subjects of application Vietnamese and foreign organizations and individuals involved in the quality management of construction works in Vietnam. Article 2. Division of responsibilities for quality management of construction works of the investor and project management board or project management consultants 1. The investor shall organize the quality management of construction works from survey, design, construction, test before acceptance to warranty, including: a/ Selecting capable contractors to carry out construction activities; approving subcontractors to participate in construction activities as proposed by the primary or general contractor in accordance with the contracts; b/ Managing the quality of construction survey and design under Articles 13, 18 and 21 of Decree No. 15/2013/ND-CP and relevant provisions of this Circular; c/ Managing the quality of construction under Article 24 of Decree No. 15/2013/ND-CP and relevant provisions of this Circular; d/ Organizing tests before acceptance of construction works under Article 31 of Decree No. 15/2013/ND-CP and relevant provisions of this Circular; dd/ Organizing warranty of construction works under Chapter V of Decree No. 15/2013/ ND-CP; e/ Preserving dossiers of works under Article 28 of this Circular; g/ Settling incidents under Chapter VI of Decree, No. 15/2013/ND-CP and relevant provisions of this Circular; h/ Complying with requests of state management agencies in charge of construction in accordance with law during the construction process. 2. The at-law representative of the investor may authorize the project management board (in case of direct management) or the project management consultant (for hired project management consultants) to perform one or some tasks mentioned in Clause 1 of this Article, except approving the construction design task and construction design as the basis for organizing bidding to select construction contractors, approving results of bidding and selection of contractors, carrying out tests before acceptance 2

3 or approving results of tests before acceptance of completed work items or construction works before being put into use. 3. In case of authorizing the project management board, the investor shall guide, examine and take responsibility for the performance of the project management board. The project management board is responsible to the investor and law for the tasks and powers authorized by the investor. 4. In case of hiring project management consultants, the investor s authorization of tasks to the project management consultants must be specified in the contract. The investor shall examine, urge and supervise the performance of the contract by the project management consultants. The project management consultants are responsible to the investor and law for fulfillment of contractual commitments. 5. If directly designing and building the work, the investor shall establish a construction quality management unit which is independent from the designing unit and construction unit to manage the quality of the work in accordance with this Article. Article 3. Division of responsibilities for quality management of construction works under Engineering- Procurement- Construction (EPC) contracts or Engineering- Construction (EC) contracts 1. The investor does not directly manage the construction quality in a comprehensive manner, but shall perform the following tasks: a/ Elaborating the designing task; b/ Selecting the general contractor and inspect the capability conditions of the general contractor during the implementation process against the bid dossier; appointing subcontractors in permitted cases prescribed by the law on contracts in construction activities; c/ Inspecting the capability conditions of main subcontractors proposed by the general contractor and approving them in accordance with the contract; d/ Checking and approving the construction design prepared by the general contractor; dd/ Approving the construction schedule; e/ Testing before acceptance main construction materials, products and technological equipment used for the work; g/ Witnessing or directly participating in the test before acceptance of some important construction jobs or stages performed by the general contractor and subcontractors; 3

4 h/ Testing before acceptance completed work items and construction works for use; i/ Complying with requests, or requesting the general contractor to comply with requests of state management agencies in charge of construction in accordance with law during the construction process. 2. The general contractor is responsible for managing the quality of the jobs performed by the general contractor and subcontractors, including: a/ Elaborating and submitting the quality control procedure for all the jobs performed by the general contractor and subcontractors; b/ Controlling the quality of survey, design and construction activities they carry out in accordance with Decree No. 15/2013/ND-CP and relevant guiding circulars; c/ Selecting capable subcontractors according to regulations; d/ Supervising and testing before acceptance the jobs performed by subcontractors; dd/ Being responsible to the investor for the quality of the jobs performed by subcontractors. Article 4. Division of responsibilities for quality management of construction works under construction contracts or Engineering- Procurement (EP) contracts or Procurement- Construction (PC) contracts 1. The investor shall: a/ Organize the quality management of construction works in accordance with Clauses 1 and 2 of this Circular with regard to the jobs directly performed by the general contractor and primary contractors; b/ Inspect the capabilities of subcontractors proposed by the general contractor and approve them in accordance with the contract; appoint subcontractors in permitted cases prescribed by the law on contracts in construction activities; witness or directly participate in the tests before acceptance of some construction jobs performed by subcontractors when necessary. 2. The general contractor shall: a/ Discharge the contractor responsibilities for quality management of construction works according to Decree No. 15/2013/ND-CP and relevant legal documents with regard to their jobs; b/ Select capable subcontractors according to regulations; supervise and test before acceptance the jobs performed by subcontractors; 4

5 The general contractor is responsible before the investor and law for the quality of the construction jobs performed by subcontractors. 3. Subcontractors shall discharge the contractor responsibilities for quality management of construction works according to Decree No. 15/2013/ND- CP and relevant legal documents with regard to their jobs. Article 5. Division of responsibilities for quality management of construction works of investment under BOT, BTO, BT or PPP contracts 1. The project enterprise shall: a/ Select consultancy contractors, procurement contractors, construction contractors and other contractors to implement the project in accordance with the bidding law. The contractor selection results must be notified to the state agencies competent to sign BOT, BTO, BT or PPP contracts within 15 working days after the making of decisions on contractor selection; b/ Make the technical design based on the feasibility study report and project contract, and send them to the state agencies competent to sign BOT, BTO, BT or PPP contracts for supervision and examination; c/ Manage and supervise, or hire an independent consultancy organization to manage and supervise construction activities; test before acceptance the work items and the whole work according to the approved designs in accordance with the construction law and agreements in the project contract; d/ Discharge all the investor responsibilities for quality management of construction works defined in Article 2 of this Circular; dd/ Conduct technology transfer, provide training, warranty and maintenance according to the requirements of the project contract and relevant laws. 2. The state agencies competent to sign BOT, BTO, BT or PPP contracts shall: a/ Receive and check the contractor selection results sent by the project enterprises against the requirements of the project contracts and relevant laws; b/ Supervise and examine the technical designs made by the project enterprises according to current regulations or appraise the designs according to Decree No. 15/2013/ND-CP, if the state agency competent to sign the BOT, BTO, BT or PPP contract is also the state management agency in charge of construction; consider and decide on changes in the technical designs compared to the feasibility study reports; 5

6 c/ Supervise and assess the fulfillment of obligations by the investors and the project enterprises to meet the requirements on planning, objectives, size, technical standards, construction work quality, schedule for raising capital and implementing the projects, environmental protection, and other issues as agreed in the project contracts. Inspect the tests before acceptance carried out by the project enterprises in accordance with Decree No. 15/2013/ND- CP, if the state agency competent to sign the BOT, BTO, BT or PPP contract is also the state management agency in charge of construction; d/ Inspect the quality, value and conditions of the works as agreed in the project contracts; compile a list of transferred assets, identify damage (if any) and request the project enterprises to repair and maintain the works; dd/ Only accept the transfer after the works and equipment and assets related to their operation have been maintained and repaired up to technical and quality requirements and other agreements reached in the project contracts; e/ Coordinate with the project enterprises in compiling the work handover dossiers as the legal ground for the work transfer; g/ Organize the management and operation of the works according to their functions and competence, or assign the management and operation to the investor as agreed in the project contracts after receiving the works. 3. The responsibilities of the project enterprise and the state agency competent to sign the BOT, BTO, BT or PPP contract must be specified in the project contract. Article 6. Technical specifications 1. Preparing and approving technical specifications: a/ The investor shall prepare and approve technical specifications for the works specified in Clause 3* Article 7 of Decree No. 15/2013/ ND-CP; b/ During the construction process, when necessary, contractors engaged in construction activities may request the investor to additionally approve detailed contents of technical specifications; c/ The technical specifications for construction works under EPC and EC contracts must be prepared by these general contractors based on the requirements of the investors; d/ For construction works for which preparation of technical specifications is not compulsory, the contents of technical specifications must be included in the explanations about the construction design, construction drawings and the construction quality monitoring and control procedure. 6

7 2. Technical specifications of a construction work include general specifications and specific technical specifications for each main construction job. Technical specifications must specify the technical requirements to be complied with by the construction contractor, permissible building errors, technical requirements and procedure for inspecting construction materials and products, work equipment and technological equipment used for and installed in the construction work. 3. Consultancy contractors shall formulate specific technical specifications for each work based on the model technical specifications issued by the Ministry of Construction, ministries managing specialized construction works, or professional associations^ Article 7. Classification of construction works defined in Clause 2, Article 6 of Decree No. 15/2013/ND-CP 1. The grades of construction works defined in this Circular serve as the basis for: a/ Identifying construction works that need technical specifications; b/ Stipulating the announcement of information on capabilities of organizations and individuals involved in the construction; c/ Identifying construction works that must have their designs appraised and acceptance tests inspected by state management agencies in charge of construction; d/ Stipulating the classification of incidents and settlement of incidents occurring during the construction process; dd/ Stipulating the construction works warranty duration; e/ Stipulating other relevant jobs. 2. The grades of construction works are determined in the following order: a/ The size, capacity and importance of works according to Appendix 1 of this Circular; b/ The requirements on the durability, fire resistance level and other technical requirements of works in relevant national technical regulations (if any); c/ The grade of a work is the highest grade identified in accordance with Points a and b of this Clause. 3. Grades must be determined for each work and independent work item of a construction investment project. 7

8 Chapter II QUALITY MANAGEMENT OF CONSTRUCTION SURVEY AND DESIGN Article 8. Construction survey tasks 1. The survey task must be formulated in conformity with the size of the construction work, type of construction survey and design step. The investor may hire a consultancy organization or experts to give opinions or appraise the construction survey task when necessary. The construction survey task formulated by the construction survey contractor is the basis for compiling a bidding dossier for construction survey contractors. In the bid dossier for survey, the survey contractor shall make a construction survey technical plan according to Article 9 of this Circular. The investor may hire the survey contractor to formulate the survey task to serve the identification of the building location, make a report on investment and construction, and formulate a construction investment project. 2. The principal contents of a construction survey task: a/ The purpose of construction survey; b/ The scope of construction survey; c/ The method and applicable standards of construction survey (when necessary); d/ The workload of construction survey jobs (estimated); dd/ The duration of construction survey. 3. The construction survey task may be adjusted and supplemented in the following cases: a/ Abnormal factors that may directly affect the design solutions are found during the construction survey; b/ The design contractor finds that the survey documents fail to meet the designing requirements; c/ Abnormal factors in comparison to the survey documents, which may affect the construction quality and construction measures, are found during the construction process. Article 9. Construction survey technical plan 1. A construction survey technical plan must meet the following requirements: 8

9 a/ Being conformable with the construction survey task approved by the investor; b/ Complying with applicable national technical regulations and standards of construction survey. 2. Contents of a construction survey technical plan: a/ The grounds for making the construction survey technical plan; b/ The composition and workload of construction survey; c/ The surveying method and equipment and laboratory to be used; d/ Applicable construction survey standards; dd/ The organization of the survey and internal quality control measures to be taken by the survey contractor; e/ The survey schedule; g/ Measures for protecting infrastructure works and related construction works in the survey area; h/ Measures for protecting the environment during the survey (water sources, noise, exhaust gas, etc); i/ Estimated cost of construction survey. Article 10. Supervision of construction survey 1. The survey contractor shall itself organize the construction survey quality control. The measures for quality control must be specified in the construction survey technical plan. 2. Contents of the investor s supervision of construction survey: a/ Checking the actual capability of the survey contractor, including surveying staff and equipment used in the field, and the laboratory to be used against the approved construction survey plan and the construction survey contract; b/ Monitoring and examining the construction survey, including the survey location, survey workload, survey procedure, preservation of survey data and testing samples; inspecting the tests done in the laboratory and on-site tests; checking the assurance of occupational safety and environmental safety during the survey. 3. The investor and the survey contractor shall reach agreement on the forms, supervision diary and record of the test before acceptance of on- site survey for use during the survey supervision according to Clause 2 of this Article. 9

10 Article 11. Contents of a construction survey result report 1. Grounds for construction survey. 2. Summary of the location and natural conditions of the surveyed location, characteristics, size and nature of the construction work. 3. The performed workload of the survey. 4. The construction survey results and data after testing and analysis. 5. Assessments, notes and suggestions (if any). 6. Conclusions and recommendations. 7. Appendices. Article 12. Test before acceptance of construction survey result reports 1. Grounds for the test before acceptance : a/ The construction survey contract; b/ The approved construction survey task and construction survey technical plan; c/ The survey contractor s construction survey result report. 2. Test contents: a/ Checking the quality of the construction survey result report against the approved construction survey task and construction survey technical plan; b/ Inspecting the performed workload of construction survey, the conformity of the specifications, volume and other contents according to the construction survey contract; c/ Conclusion on the test. 3. Participants in the test before acceptance: a/ The at-law representative of the investor or an authorized person; b/ The survey supervisor of the investor; c/ The at-law representative of the survey contractor or an authorized person; d/ The survey manager of the construction survey contractor. 4. The record of the test before acceptance of the construction survey result report must specify the items tested, participants in the test; time and location of the test, conclusion (acceptance or non-acceptance), signatures, full names and positions of the at- law representatives and the legal-entity seals of the participants in the test. 10

11 Article 13. Construction design task 1. The investor shall determine or hire consultants to prepare the construction design task. The construction design task must be conformable with the construction investment report (pre-feasibility study report) or the investment policy approved by competent authorities. The construction design task serves as the basis for formulating the construction investment project. The investor may invite a consultancy organization or experts to give opinions or appraise the construction design task when necessary. 2. Principal contents of the construction design task: a/ The grounds for formulating the construction design task; b/ The purpose of the construction work; c/ The building location; d/ The requirements on planning, landscape and architecture of the construction work; dd/ The requirements on the size, life time and uses of the construction work, and other requirements. 3. The construction design task may be adjusted and supplemented to suit the practical conditions and ensure the effectiveness of the construction investment project. Article 14. Requirements on design quality control and specifications of construction design dossiers 1. The design contractor shall conduct internal examination of the construction design dossier during the designing and before delivering the design dossier to the investor or the general construction contractor. The design contractor shall appoint persons or a division under its management, or hire another organization or individual to examine the design quality. The person who examines the design shall sign the design drawings for certification. 2. The design dossier made for each work comprises the design description, calculation table, design drawings, relevant construction survey documents, construction cost estimate and work maintenance procedure (if any). 3. The size, scale and title box of a design drawing must comply with standards applicable to construction activities. The title box of each drawing must contain names and signatures of the designer, the design examiner, the design manager, the at-law representative of the design 11

12 contractor, and the seal of the design contractor, unless the design contractor is an independent practitioner. 4. The descriptions, design drawings and cost estimate must be bound together in a uniform set, enclosed with a list of documents and coded for easy reference and long-term preservation. 5. If acting as general design contractor, the design contractor must be in charge of designing main work items or technologies of the work, and take full responsibility for performance of the design contract to the principal. Design subcontractors are responsible for the progress and design quality before the general contractor and law for the jobs they perform. Article 15. Test before acceptance of construction design dossiers 1. The grounds for the test before acceptance of a construction design dossier: a/ The design contract; b/ The approved design task and dossier of the previous design step; c/ Applicable national technical regulations and standards; d/ The design dossier appraised and approved by the investor. 2. Participants in the test: a/ The at-law representative of the investor; b/ The at-law representative of the design contractor; c/ The design manager. 3. The record of the test before acceptance of the design dossier must specify the tested items, the participants in the test; the time and location of the test, assessment of the quality and quantity of the design dossier based on technical requirements and contractual requirements; conclusion (acceptance or non-acceptance of the dossier, requests for modification and supplementation and other recommendations); signatures, full names and positions of the at-law representatives, and the legal-entity seals of the participants in the test. 4. Design dossiers must be tested before acceptance to serve the payment, settlement and finalization of the design contracts between investors and design contractors. Chapter III QUALITY MANAGEMENT OF CONSTRUCTION, CLASSIFICATION OF INCIDENTS DURING THE CONSTRUCTION PROCESS AND OPERATION AND USE OF CONSTRUCTION WORKS 12

13 Article 16. Plans and measures for controlling construction quality during the construction process Before the construction commences, the investor and construction contractors shall reach agreement on their quality control systems; the plan and measures for quality control based on technical specifications and proposals of the contractors, including: 1. The organization diagram, a list of the investor s and contractors divisions and persons managing construction quality in accordance with the construction contract; the rights and obligations of these entities for construction quality management. 2. Quality assurance objectives and policies. 3. The plan for quality testing and appraisal; observation and survey of technical specifications of the work according to the designing requirements and technical specifications. 4. The measures for inspecting and controlling the quality of supplies, materials, structures, construction products, work equipment and technological equipment to be used and installed in the work. 5. The procedure for inspecting and supervising the construction process, supervising the manufacture and installation of equipment, determining construction jobs, construction stages or parts of the work that need to be tested before acceptance; the grounds for the test before acceptance, participants in the test and test record forms. 6. Measures for ensuring occupational safety, environmental protection, and fire and explosion prevention and fighting during the construction process. 7. The procedure for compiling and managing relevant dossiers and documents during the construction process; the format and contents of the construction diary; supervision forms; the procedure for internal reporting and reporting to the investor and report forms; the order and procedure for issuing and processing written notices of opinions of involved parties, and procedure for resolving issues that arise during the construction process. 8. Agreement on the language used in documents and dossiers related to the construction process. If the investor or contractors are foreigners, the languages of the documents are Vietnamese and English. 9. Other relevant contents according to the construction contract. Article 17. Management of quality of materials, structures, construction products and equipment installed in construction works 13

14 1. Materials, structures, construction products, work equipment and technological equipment (collectively referred to as products) must undergo quality control according to requirements of applicable technical regulations and standards, requirements of the design, the terms of the construction contract and relevant documents. The investor and the procuring party shall inspect and approve the origins of products before they are used and installed in the construction work. 2. Methods of product quality control are provided as follows: a/ For industrially produced products that are goods available on the market: The investor and the procuring party shall inspect the origins and labels of goods and manufacturer s announcement of quality conformity, certificates of conformity with regulations or standards (if necessary) according to the Law on Product and Goods Quality, the Commercial Law and relevant laws. The investor or the procuring party may carry out inspections at the premises of the manufacturers, or request quality tests when necessary as agreed upon in the contract. Manufacturers and suppliers of goods and products shall provide certificates and relevant papers as prescribed for the procuring party to prove the origins and quality of goods; b/ For products that are exclusively manufactured for the construction work according to the design requirements: If the products are manufactured at industrial facilities, the investor or the procuring party shall conduct quality inspections as prescribed at Point a of this Clause together with regular or unexpected inspections during the manufacture process. If the products are manufactured at the construction site, the investor or the general contractor shall inspect and supervise the manufacture process similarly to other construction jobs; c/ For construction materials extracted from mines: The investor and material supplier shall survey the quality and reserve of the mines according to the design requirements, relevant technical regulations and standards; and carry out regular or unexpected inspections during the mining process; d/ Related parties shall test and inspect the product quality according to the design requirements and applicable technical regulations and standards. Article 18. Construction diaries and as-built drawings 1. The construction contractor shall keep a construction diary. This diary must have its pages numbered and bear a stamp of the construction contractor on every two adjoining pages and certification of the investor. 14

15 The construction diary may be made separately for each work item or for the whole construction work. 2. The construction contractor and construction supervisor of the investor, if the investor directly supervises the construction process, or the construction supervisor of the supervision contractor, if the investor hires a consultancy organization to supervise (below referred to as construction supervisor of the investor) shall regularly record in the construction diary the following: a/ The developments of construction conditions (temperature, weather and relevant information), construction progress, the test before acceptance of daily construction work at the site; detailed description of incidents, damage and other issues that arise during the construction process; b/ Recommendations and instructions on resolving problems of related parties. 3. The construction contractor shall make as-built drawings of parts or items of the construction work, and the construction work it builds. The hidden parts of the construction work must be shown on as-built drawings, or their actual sizes must be accurately measured before proceeding to subsequent jobs. As- built drawings must be made and certified in accordance with Appendix 2 to this Circular. Article 19. Construction supervision and author supervision by the design contractor 1. All construction works during the construction process are subject to supervision. Supervision is encouraged for building of individual houses. The investor shall hire a supervisor or supervise the construction process itself if it is capable. The construction supervisor must possess a practice certificate relevant to the construction jobs and class and grade of the construction work. 2. The construction supervisor of the investor, project enterprise or general contractor shall comply with Decree No. 15/2013/ND- CP and this Circular during the supervision of construction activities. 3. Author supervision: a/ The design contractor shall appoint capable persons to conduct author supervision according to regulations during the construction process; b/ If detecting that the construction is inconsistent with the design, the author supervisor shall record it in the construction diary, request observance of the design, and send a written notice to the investor; 15

16 c/ The design contractor shall participate in the test before acceptance of the construction work at the request of the investor. If a work item or the whole construction work is found unsatisfactory during the author supervision or test before acceptance, the.design contractor shall send a written notice to the investor specifying the reason for non-acceptance. Article 20. Test before acceptance of construction jobs 1. Grounds for test before acceptance of construction jobs: a/ The procedures for inspection, supervision and test before acceptance agreed between by the investor and related contractors; b/ The contractors written requests for test before acceptance; c/ The records of internal test before acceptance conducted by the contractors (if any);, d/ The design dossiers and construction drawings, and changes in the design approved by the investor; dd/ Relevant technical specifications; e/ Results of relevant observations, measurements and tests; g/ The- construction diary and other documents related to the to-be-tested items. 2. Contents and sequence of test before acceptance of construction jobs: a/ Checking the finished construction job at the site; b/ Checking the actual observation and measurement data; comparing them with the design requirements; c/ Checking the testing and measurement results; d/assessing the conformity of the construction jobs with the design requirements; dd/ Making conclusions about the test before acceptance of the construction jobs for proceeding with the subsequent steps. If the construction job cannot be tested before acceptance, the construction supervisor of the investor or general contractor shall provide a written explanation, or record it in the construction diary. 3. Participants in the test before acceptance: a/ The construction supervisor of the investor or general contractor, for general construction contracts; a/ The person in charge of the construction of the construction contractor or the subcontractor, for general construction contracts; 16

17 c/ The construction supervisor of the investor may witness or participate directly in the test when necessary, for general construction contracts. 4. Pre-acceptance test record: a/ The pre-acceptance test record must state the tested items (specifying the names of the tested jobs); participants in the test; time and location of the test; conclusion (acceptance or non-acceptance, permission to proceed with the subsequent job, request for repair and completion of the performed job, and other requirements, if any); signatures, full names and positions of participants in the test; b/ The pre-acceptance test record may be enclosed with appendices, if any; c/ The pre-acceptance test record may be made separately for each construction job or for multiple construction jobs of the same work item in construction sequence. 5. The responsible person of the investor or general contractor shall carry out the pre-acceptance test promptly within 24 hours after receiving a request for pre-acceptance test of the construction contractor, or notify in writing the reason for refusal to conduct the test to the construction contractor. In case the investor is required to witness the pre- acceptance test by the general contractor of subcontractors, if the supervisor of the investor fails to participate in the test and gives no written opinion, the general contractor shall still carry out the test. In this case, the pre- acceptance test record is still legally valid. Article 21. Test before acceptance of the construction stage or construction parts 1. The test before acceptance of the construction stage or construction parts may be carried out when such parts start to carry load according to the design, or to serve the payment for a performed workload or upon completion of a construction bid package. 2. The grounds for test before acceptance include the documents similar to those of test before acceptance of construction jobs specified in Clause 1, Article 20 of this Circular, and the pre-acceptance test records of construction jobs related to the tested construction stage or construction parts. 3. The investor and the construction supervisor of the investor, the general contractor and related construction contractors may reach an agreement on the time, sequence and contents of the test before acceptance, and participants in the test. 17

18 4. The pre-acceptance test record must be made, stating the tested objects (specifying the construction parts or construction stage tested); participants in the test; the time and location of the test; conclusion (acceptance or nonacceptance, permission to proceed with the subsequent construction stage, request for repair and completion of work parts, completed construction stages, and other requirements, if any); signatures, full names, and positions of participants in the test. The pre-acceptance test record may be enclosed with relevant appendices. Article 22. Test before acceptance of completed work items or construction works before use 1. Grounds for test before acceptance: a/ The documents mentioned at Points a, b, c, d, and dd, Clause 1, Article 20 of this Circular related to the tested objects; b/ The pre-acceptance test records of the completed construction jobs, construction stages or construction parts (if any) c/ The results of observation, measurement, testing, calibration and test run of complete equipment systems, and results of the quality inspection of the construction work (if any); d/ The as-built drawings of the construction work; dd/ The written approvals given by competent state management agencies in charge of fire and explosion prevention and fighting, environmental safety and operational safety according to regulations; e/ The conclusion of the specialized construction agency on the test before acceptance of the construction work before use according to Article 32 of Decree No. 15/2013/ND-CP. 2. Contents of and procedure for test before acceptance: a/ Checking the quality of the construction work or work items at the site against the design requirements and technical specifications; b/ Checking the as-built drawings; c/ Checking the test results, measurements, results of experimental operation of equipment, and results of quality inspection of the construction (if any); d/ Checking the written agreements, certifications or approvals given by the state management agencies in charge of fire and explosion prevention and fighting, environmental safety and operational safety; inspecting the test before acceptance of the construction work before use, and relevant documents; 18

19 dd/ Checking the operation and maintenance procedures of the construction work; e/ Making conclusion on the test before acceptance of the construction work before use. The pre-acceptance test result must be recorded in accordance with Clause 4 of this Article. 3. Participants in the test before acceptance: a/ On the side of the investor: The at-law representative or an authorized person of the investor, the manager of the construction supervision section of the investor; the at-law representative and the manager of the construction supervision section of the supervision contractor (if any); b/ On the side of the construction contractor: The at-law representative, the person in charge of construction of the general contractor, and related construction contractors; c/ On the side of the design contractor participating in the test at the request of the investor: The at-law representative and the design manager; d/ If the investor is not the manager or user j of the construction work, the investor may invite the manager or user of the construction work to witness the test. 4. The pre-acceptance test record of completed work item or construction work must state: a/ The objects tested (name of work item or construction work); b/ The time and location of the test; c/ Participants in the test; d/assessment of the quality of the completed work item or construction work against the design task, technical specifications and other requirements of the construction contract; dd/ The conclusion (acceptance or non- acceptance for putting the work item or construction work into use, request for repair and completion, and other opinions, if any); signatures, full names and positions of at-law representatives, and legal-person seals of the participants; and appendices, if necessary. 5. A construction work or work item may still be tested before acceptance for use if some defects in the design or construction work exist which, however, do not affect the load-bearing capacity, lifetime, utilities and appearance of the construction work, and do not affect the operation and use of the construction work according to the design requirements. The 19

20 involved parties shall specify a deadline for repairing such defects in the pre-acceptance test record. Article 23. Handover of work items and construction works 1. If the investor is not the manager or user of the work, the investor shall hand the work over to its manager or user after organizing the preacceptance test of the completed work. The handover result must be recorded in writing. 2. Upon handing over the construction work, the investor shall hand over to its manager or user the following documents: a/ The operation and maintenance procedures of the work; the design dossier, as-built drawings and other documents related to the operation and maintenance of the work; b/ The list of equipment, parts and supplies that are not installed or used. 3. When making investment under BOT, BTO and BT contracts, the competent state agency and investor shall consider satisfying the conditions for transfer defined in the contract, Decree No. 108/2009/ND-CP and Decree No. 24/2011/ND-CP. 4. The manager or user of the construction work shall take over, manage, operate and maintain the work in accordance with law from the day of taking over and putting the work into use. During the warranty period, the investor and contractors shall perform their obligations to provide warranty in accordance with law. 5. Pending the handover of the construction work to its manager or user, the investor is responsible for the provisional management, operation and maintenance of the work. Article 24. Inspection of the test before acceptance of works for use according to Article 32 of Decree No. 15/2013/ND-CP 1. After commencing the construction of a work mentioned in Clause 1, Article 21 of Decree No. 15/2013/ND-CP, the investor shall send a report to the specialized agency in charge of state management of quality of construction works (below referred to as specialized construction agency) according to the decentralization of powers defined in Article 25 of this Circular, stating the name and contact address of the investor, name of the work, construction location and size, and construction schedule. 2. The specialized construction agency shall notify the investor of the inspection plan, including: a/ The plan, contents, dossiers and documents that need to be inspected at some important transitional construction stages of the work. The number of 20

21 inspections depends on the size and technical characteristics of the work, but must not exceed 4 for construction works of special grade; 3 for construction works of grade I; and 2 for other construction works, unless an incident occurs during the construction process or when the investor requests an inspection; b/ The plans, contents, dossiers and documents that need to be inspected before the investor organizes the test before acceptance of work items or the work for use. 3. The specialized construction agency shall carry out the final inspection after receiving the construction completion report from the investor, made according to the form in Appendix 3 to this Circular. The inspection must be recorded in writing, focusing on the observance of law in order to ensure the safety of the work and its utilities and operational safety according to the design, specifically: a/ Visually inspecting the actual state of construction parts and the observation and measurement data; b/ Checking the observance of the law on construction quality management by inspecting the completion documents, made according to Appendix 5 of this Circular, and discussing with related parties during the inspection; c/ Checking the observance of other relevant laws on construction. 4. During the inspection, the specialized construction agency may request the investor and contractors to provide explanations on inspection contents, or appoint a consultancy organization to inspect work items and parts showing signs of poor quality or lacking grounds for assuring construction quality according o the design requirements. 5. The specialized construction agency shall notify the inspection results to the investor within the time limit specified at Point d, Clause 3, Article 32 of Decree No. 15/2013/ND-CP. The notice of inspection results must be made according to the form provided in Appendix 4 to this Circular. 6. The specialized construction agency may request non-public units or organizations and individuals with relevant capabilities to participate in inspecting the test before acceptance of works. 7. The cost of inspection of the test before acceptance works for use must be estimated and included in the total construction investment. Article 25. Competence to inspect the test before acceptance of construction works according to Article 32 of Decree No. 15/2013/ ND-CP 1. The specialized construction agency of the Ministry of Construction shall inspect: 21

22 a/ Works of grade I or higher, regardless of funding sources, including apartment buildings, public works, technical infrastructural works and cement factories; b/ Works of grade II or III, including public works, apartment buildings, cement factories and technical infrastructural works in construction investment projects decided by the Minister of Construction; c/ Works of national importance as assigned by the Prime Minister. 2. The specialized construction agency of the Ministry of Industry and Trade shall inspect: a/ Works of grade I or higher, regardless of funding sources, including power grids, hydropower plants, thermopower plants, metallurgy factories, alumina factories, petrochemical refineries, gas processing plants, depots and pipelines (of petrol, oil and liquefied gas), factories and warehouses of hazardous chemicals, factories and warehouses of industrial explosives; b/ Works of grade II or III, including power grids, hydropower plants, thermopower plants, metallurgy factories, alumina factories in construction investment projects decided by the Minister of Industry and Trade; c/ Works of grade II, III or IV, including petrochemical refineries, gas processing plants, depots and pipelines of petrol, oil and liquefied gas, factories and warehouses of hazardous chemicals, factories and warehouses of industrial explosives in construction investment projects decided by the Minister of Industry and Trade; d/ Industrial works of national importance as assigned by the Prime Minister. 3. The specialized construction agency of the Ministry of Transport shall inspect: a/ Works of grade I or higher, regardless of funding sources, including bridges, tunnels and roads, railway works, airports, piers, docks, waterway ports and landing stages and cable car systems; b/ Works of grade II or III, including bridges, tunnels and roads in construction investment projects decided by the Minister of Transport; c/ Works of grade II, III or IV, including railways, airports, piers, docks, waterway ports and landing stages, and cable car systems in construction investment projects decided by the Minister of Transport; d/ Transport works of national importance as assigned by the Prime Minister. 22

23 4. The specialized construction agency of the Ministry of Agriculture and Rural Development shall inspect: a/ Works of grade I or higher, regardless of funding sources, including reservoirs, dams, spillways, water conducting and discharging culverts, canals, water pipes, hydraulic tunnels, dikes, embankments, pump stations and other irrigation works; b/ Works of grade II, III or IV, including reservoirs, dams, spillways, water conducting and discharging culverts, canals, closed water pipes, hydraulic tunnels, dikes, embankments, pump stations and other irrigation works in construction investment projects decided by the Minister of Agriculture and Rural Development; d/ Agricultural and rural development works of national importance as assigned by the Prime Minister. 5. The specialized construction agencies of the Ministry of Public Security and the Ministry of National Defense shall inspect works in the fields of national defense and security according to regulations of the Ministry of Public Security and the Ministry of National Defense. 6. Provincial-level Construction Departments or Departments managing specialized works shall inspect the test before acceptance of local construction works as follows: a/ Provincial-level Construction Departments shall inspect cement factories of grade III or II, works specified at Points a, b and e, Clause 1, Article 21 of Decree No. 15/2013/ND-CP, except construction works specified in Clause 1 of this Article; b/ Provincial-level Industry and Trade Departments shall inspect works specified at Point c, Clause 1, Article 21 of Decree No. 15/2013/ND-CP, except cement factories and construction works specified in Clause 2 of this Article; c/ Provincial-level Transport Departments shall inspect works specified at Point d, Clause 1 Article 21 of Decree No. 1 5/2(MND-CP, except works specified in Clause 3 of this Article; d/ Provincial-level Agriculture and Rural Development Departments shall inspect works specified at Point dd, Clause 1, Article 21 of Decree No. 15/2013/ND-CP, except works specified in Clause 4 of this Article. 7. Coordination in inspection of the test before acceptance of construction works for use: a/ If a construction investment project consists of multiple works of various types and grades, the specialized construction agency in charge of 23

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